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Tuning Between Quantum-Dot- and Quantum-Well-Like Behaviors in Type II ZnTe Submonolayer Quantum Dots by Controlling Tellurium Flux During MBE Growth
H. Ji, B. Roy, S. Dhomkar, R. T. Moug, M. C. Tamargo, A. Wang & I. L. Kuskovsky
Journal of Electronic Materials
ISSN 0361-5235
Volume 42
Number 11
Journal of Elec Materi (2013)
42:3297-3302
DOI 10.1007/s11664-013-2729-2
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Tuning Between Quantum-Dot- and Quantum-Well-Like Behaviors in Type II ZnTe Submonolayer Quantum Dots by Controlling Tellurium Flux During MBE Growth
H. JI,1,3,5 B. ROY,1,3 S. DHOMKAR,1,3 R.T. MOUG,2 M.C. TAMARGO,2,3 A. WANG,4 and I.L. KUSKOVSKY1,3
1.—Queens College of CUNY, Flushing, NY 11367, USA. 2.—City College of CUNY, New York, NY 10031, USA. 3.—The Graduate Center of CUNY, New York, NY 10016, USA. 4.—Evans Analytical Group, Sunnyvale, CA 94086, USA. 5.—e-mail: email@example.com
We report tuning of properties of type II nanostructures between quantum dot (QD)-like and quantum well (QW)-like behaviors in ZnSe layers with ZnTe submonolayer insertions, grown by migration-enhanced epitaxy. The sizes of QDs are estimated from magneto-photoluminescence (PL) measurements, which showed no significant change in the QD lateral size with increasing Te flux, indicating increase in QD density instead. The area density of QDs is estimated from the results of secondary-ion mass spectrometry measurements. It is determined that, in the sample grown using the highest Te flux, the electronic wavefunctions begin to overlap, leading to QW-like behavior before the formation of a full QW layer. This is also confirmed via temperature-dependent time-resolved PL, which showed significant change of excitonic lifetimes and binding energies of type II excitons.
Key words: Type II heterostructures, submonolayer quantum dots, Zn-Se-Te, MBE, excitonic lifetime, quantum well
INTRODUCTION
Based on their band alignment, semiconductor heterostructures are generally divided into two types: type I heterostructures, where electrons and holes are located in the same material, which has lower potential for both of them, and type II heterostructures, where one of the materials has lower potential for electrons while the other has lower potential for holes, leading to spatial separation of the charge carriers. Because of the Coulomb interaction, these electrons and holes are bound in pairs, forming spatially indirect, type II, excitons. These excitons generally have recombination lifetimes longer than those of type I excitons. In addition, the energies and recombination oscillator strength of type II excitons are sensitive to the carrier densities as well as the external electric and magnetic fields. These properties can be used for novel device applications.
Among type II semiconductor heterostructures, ZnSe layers with ZnTe submonolayer quantum dot (QD) multilayers have attracted a lot of interest due to the suitable band structure, which can be tuned to interact with light in a large wavelength range, from the ultraviolet to infrared. For ZnTe QDs embedded in ZnSe barriers, photogenerated holes and electrons are located within the QDs and in the barriers, respectively. Along with the fact that ZnTe can be easily doped p-type, this structure has practical applications in photodetectors and photovoltaic devices. Using a combination of migration-enhanced epitaxy (MEE) and molecular beam epitaxy (MBE), ZnTe submonolayer QDs can be grown without the formation of wetting layers, which might be key to improvements in device performance. Due to the low contrast between the ZnTe submonolayer QDs and ZnSe barriers, it is very difficult to characterize the structure by transmission electron microscopy. Therefore, indirect
methods are required to finely probe the sizes and densities of the QDs.
For most device applications, the density of QDs is a very important parameter, since the degree of light absorption depends on it. With increasing QD density, it is expected that the QDs would start to coalesce, forming a quantum-well-like layer, which would change the electronic properties of the sample. For type II QDs, and for the ZnTe/ZnSe system in particular, where the electrons are located in the barriers, the wavefunctions of charge carriers can start to strongly overlap much earlier than the onset of physical QD coalescence. Thus, type II QD layers can start behaving like quantum wells (QWs) at much lower densities than those required for the formation of real QW layers, with obvious consequences for device performance. Herein, we report tuning between QD- and QW-like behaviors in ZnSe layers with ZnTe submonolayer QDs, by studying samples grown with increasing Te flux. Conditions and evidence for such tuning are obtained by measuring QD sizes and densities as well as analyzing photoluminescence (PL) spectra, and excitonic lifetimes and binding energies.
**EXPERIMENTAL PROCEDURES**
ZnSe layers with ZnTe submonolayer QDs were grown using a Riber 2300 MBE system on (001) GaAs substrates by a combination of MEE and MBE. Prior to the growth of the QD layers, an undoped ZnSe buffer layer was grown at optimum growth temperature of 270°C. After this, ZnSe layers with ZnTe QDs were grown following the same shutter sequence and steps as for the samples reported in Ref. 7. The ZnSe spacers between the QD layers were about 3.0 nm thick. By varying the Te cell temperature, three samples were grown using different Te fluxes during the formation of the QDs. All other growth conditions remained the same. The samples are listed in Table I, along with the total number of periods of the multilayers and the average Te concentration obtained via secondary-ion mass spectrometry (SIMS) performed by Evans Analytical Group. Samples A, B, and C are organized in order of increasing Te cell temperature.
For continuous-wave (cw) PL measurements, the 351-nm emission line from an Ar⁺ laser was used for excitation. The emission was detected via a third stage of a TriVista SP2 500i triple monochromator coupled to a thermoelectrically cooled GaAs photomultiplier tube and a photon counting system. Samples were kept in an ARS Inc. temperature-variable closed-cycle refrigeration system, allowing for temperature-dependent measurements between 10 K and 300 K. The same cryosystem was used for the time-resolved PL (TRPL) measurements, where the 337-nm line of a N₂ pulsed laser with 4-ns pulse width was used for excitation, while a 500-MHz Tektronix TDS 654C oscilloscope was used for data
| Sample | Te Cell Temperature (°C) | Number of Periods | Te Concentration (atoms/cm³) | Green Band Position at 50 K (eV) | Thickness of QDs (nm) | Electronic Orbit Radius (nm) | Area Density of QDs (cm⁻²) | Average Distance Between QD Centers (nm) |
|--------|--------------------------|-------------------|------------------------------|----------------------------------|-----------------------|-------------------------------|---------------------------|----------------------------------------|
| A | \(T_0\) | 100 | \(4.0 \times 10^{19}\) | 2.52 | 0.5 | 18.2 | \(5.1 \times 10^9\) | ~140 |
| B | \(T_0 + 6\) | 250 | \(6.5 \times 10^{19}\) | 2.51 | 0.5 | 18.7 | \(8.0 \times 10^9\) | ~112 |
| C | \(T_0 + 60\) | 120 | \(7.0 \times 10^{20}\) | 2.32 | 1.1 | 21.8 | \(29.5 \times 10^9\) | ~58 |
\(T_0\) relative temperature
recording. Magneto-PL measurements were performed within a Cryo Industries of America, Inc. 9-T superconducting magnet fitted with fiber-optic probes. In this case, the PL was excited by a 405-nm diode laser and detected with an Ocean Optics high-resolution solid-state spectrometer. The samples were cooled to 7.5 K by vaporizing liquid helium.
**RESULTS AND DISCUSSION**
The normalized PL spectra of all three samples for several measurement temperatures are shown in Fig. 1. It is apparent that each spectrum consists of several bands, and the relative intensities of these bands vary with the measurement temperature. We thus fit the spectra with Gaussian peaks, as shown in insets of Fig. 2 for the spectra at 50 K. The “green bands” (energy <2.6 eV) are related to type II ZnTe/ZnSe QDs, while the “blue bands” (energy >2.6 eV) are mostly related to Te$_{n/2}$ iso-electronic centers (ICs) within the ZnSe barriers.\textsuperscript{4} At 10 K, emission from ICs dominates in the spectrum of sample A, whereas the QD emission dominates in the spectrum of sample B. This implies that the density of QDs increases with the increase of Te flux during growth. There is no noticeable emission form ICs in the spectrum of sample C.
Considering the hole confinement in ZnTe QDs, one can estimate energy levels of the holes from the peak position of the green bands (listed in Table I). For this we interpolated the band parameters of ZnTe/ZnSe taken from Ref. 8 based on a 50% Te fraction within the QDs.\textsuperscript{4} The obtained energy levels, measured from the top of the valence band of ZnSe$_{0.5}$Te$_{0.5}$, are 0.47 eV for samples A and B, and 0.28 eV for sample C. Since the lateral size of the submonolayer QDs is much larger than their thickness,\textsuperscript{2} the energy level of holes is mostly determined by the confinement in the growth direction. We therefore numerically solved the Schrödinger equation for a hole in a one-dimensional QW to correlate the energy level of holes and the thickness of QDs. Using this approach, we determined the average thicknesses of the QDs for all the samples, also listed in Table I. The broadening of the green bands is related to the thickness distribution of QDs\textsuperscript{4} and the electron–phonon
interaction.\textsuperscript{9} The green band is narrower for sample C, indicating that the thickness distribution of the QDs is smaller in the sample grown with the highest Te flux (i.e., the QD sizes are more uniform).
The temperature dependences of the integrated PL intensity for the fit bands in the three samples are shown in Fig. 2. For samples A and B, as the temperature rises, the intensity of the blue band decreases, while the intensity of the green band increases up to $\sim80$ K, decreasing thereafter. This is because of the competition between ICs and QDs. Excitons bound to ICs have lower binding energies than those bound to QDs. They start ionizing at lower temperature, and can become trapped at QDs, which enhances the emission from the latter while lowering the emission from ICs. When the temperature reaches $\sim80$ K, the ionization process starts to dominate in both ICs and QDs, leading to the decrease of intensity for all bands. In sample C, due to the much higher density and more uniform size distribution of the QDs, an increase of temperature only contributes to the ionization, resulting in the immediate decrease of PL emission.
To estimate the radius of the type II QDs, one can use results of magneto-PL, as these dots exhibit the excitonic Aharonov–Bohm (AB) effect, as shown in Fig. 3. Analysis of the AB effect gives a direct and precise measure of the electronic orbit,\textsuperscript{11} and therefore an estimation of the lateral size of the QDs.\textsuperscript{10,11} Following the model of Refs. 10,11, we calculated the electronic orbit radius for these samples from the AB peak position, with the results listed in Table I. Comparing the electronic orbit radius with the average QD thickness for each sample, we find that, for higher Te flux during growth, the density of QDs increases: sample B has higher QD density than sample A, while the QD sizes are almost the same for both samples. For sample C, which has the highest Te flux, both the density and size of QDs increase compared with the other two samples. We further quantitatively estimated the area density of QDs, $n_{\text{QD}}$, as
$$n_{\text{QD}} = \frac{N_{\text{Te}}}{N_A} \left( \frac{h_L}{h_{\text{QD}}} \right) \frac{1}{\pi R^2 x},$$
where $N_{\text{Te}}$ is the average Te concentration as measured by SIMS, $N_A$ is the volumetric atomic density of ZnTe, which is $3.52 \times 10^{22}$ cm$^{-3}$,\textsuperscript{12} $h_L$ and $h_{\text{QD}}$ are the average thickness of one spacer layer and the QDs, respectively, $R$ is the average radius of the QDs, which is about half the electronic orbit radius,\textsuperscript{3,10,13} and $x \simeq 0.5$ is the Te fraction within the QDs.\textsuperscript{3,14} The results of this calculation are listed in Table I, along with the average distances between the centers of QDs as estimated from the area densities. Comparing the separation between QDs with the electronic orbit radius, the samples can be divided into two groups. For samples A and B, the average distance between QDs is about one order of magnitude larger than the electronic orbit radius, so that electrons bound to different QDs are not affected by each other. For sample C, the average distance between QDs is less than three times the electronic orbit radius. Therefore, it is possible
that some electrons bound to neighboring QDs may have overlapping wavefunctions, leading to QW-like properties of the multilayers.
To further investigate this, we carried out temperature-dependent TRPL to extract the excitonic PL lifetimes and exciton binding energies. Figure 4 shows the excitonic PL lifetimes at low temperature across the spectra of the three samples. For samples A and B, at the higher energy side, the PL has relatively short lifetimes ($\sim 60$ ns), since the emission is dominated by ICs. At the lower energy side, the PL lifetimes of all three samples approach similar values around 95 ns; these values give the lifetimes of excitons bound to type II ZnTe QDs at low temperature. We next consider emission at a photon energy of 2.45 eV, which is within the emission region associated with QDs, and find that the PL lifetime in sample C is $\sim 52$ ns, which is much shorter than that ($\sim 95$ ns) for both sample A and sample B. We suggest that this is one of the effects of the overlapping of electron wavefunctions in sample C. Indeed, because of the vertical confinement in the multilayers with stacked QDs,\textsuperscript{10} electrons prefer to be located in the barrier on the side of QDs, instead of above/below as for a single ideal QD.\textsuperscript{2} In sample C, because some of the electron wavefunctions start to overlap, a fraction of the electrons might be located in the barrier region above/below the QDs, forming excitons like those in QW multilayers. Since the thickness of the submonolayer QDs is much smaller than their lateral size, these QW-like excitons have much stronger electron and hole wavefunction overlap, and therefore shorter lifetimes. In addition, due to the vertical confinement, the electrons located above/below QDs have higher energies than those located on the side of QDs. They contribute more on the higher energy side of the PL spectrum. Therefore, the excitonic lifetimes on the high-energy side are shorter than those on the low-energy side for sample C.
We further consider the photon energy of 2.36 eV, which is only related to emission from QDs, for samples B and C, to study the dependence of excitonic PL lifetimes on temperature. Results are shown in Fig. 5. Within the temperature region below $\sim 120$ K, the excitonic lifetimes increase with increasing temperature, which is a signature of radiative recombination in type II QDs.\textsuperscript{8} As the temperature rises, the weakly bound excitons are ionized, while the holes are still confined within the QDs, lowering the average overlap of wavefunctions of electrons and holes, which results in a longer lifetime of excitons undergoing radiative recombination. When temperature is higher than 120 K, the nonradiative processes of hole ionization\textsuperscript{8} start to dominate. Thus, the excitonic lifetimes decrease with increasing temperature in the high-temperature region. It was argued in Ref. 4 that, under such conditions, the temperature dependence of a type II excitonic lifetime, $\tau$, can be fitted with the following formula, first proposed in Ref. 15:
$$\frac{1}{\tau} = \frac{1}{\tau_{r0}} - \left[1 - C \exp(-e_b/k_B T)\right] + \frac{1}{\tau_{nr0}} \exp(-e_n/k_B T),$$
(2)
where $C$ is a constant, $k_B$ is the Boltzmann constant, $\tau_{r0}$ and $\tau_{nr0}$ are the radiative and nonradiative excitonic lifetimes at $T = 0$ K, respectively, $e_b$ is the exciton binding energy, and $e_n$ is the nonradiative activation energy. The fitting parameters with errors are listed in Table II. We notice that the exciton binding energy for sample C is comparatively larger than that in sample B, which is in conflict with the larger lateral QD size in sample C, if one assumes that in both samples electrons are located only at the “side” of all QDs.\textsuperscript{7} This conflict, however, reveals the fact that, in sample C with high density of QDs, because of the overlapping of electron wavefunctions, a portion of the electrons
---
**Table II. Fitting parameters of 2.36-eV type II excitons for samples B and C**
| Sample | Exciton Binding Energy (meV) | $\tau_{r0}$ (ns) | Nonradiative Activation Energy (meV) | $\tau_{nr0}$ (ns) |
|--------|-----------------------------|-----------------|-------------------------------------|------------------|
| B | 6.9 ± 0.3 | 93 ± 4 | 117.6 ± 10 | 0.10 ± 0.05 |
| C | 9.1 ± 0.9 | 99 ± 5 | 87.7 ± 5 | 1.21 ± 0.2 |
move to the barrier above/below the QDs, creating QW-like excitons which have stronger electron–hole overlap and therefore larger binding energies.
CONCLUSIONS
Combining SIMS, cw and TRPL, as well as magneto-PL measurements, we obtained the sizes and densities of type II ZnTe submonolayer QDs embedded in three ZnSe samples grown with different Te cell temperatures. We propose that, with increasing Te flux during growth, the density of QDs first increases without much change in the QD size. When the density of QDs becomes high enough that the electronic orbit radius is comparable to the average distance between QDs, some of the electron wavefunctions overlap with each other, resulting in a change of location of these electrons. Therefore, before the formation of full QW layers, a portion of the excitons bound to QDs start behaving like those in QW multilayers, showing characteristic properties such as shorter lifetimes and larger binding energies.
ACKNOWLEDGEMENTS
This work is supported by the National Science Foundation under Award No. DMR-1006050 and the Department of Energy, Office of Basic Energy Sciences, Division of Materials Sciences and Engineering under Award No. SC003739. Specifically, sample preparation, cw PL, and SIMS studies were carried out with DOE support (S.D., R.T.M., M.C.T., and I.L.K.), while the TRPL and the AB investigations were performed with support from the NSF (H.J., B.R., and I.L.K.). The authors are grateful to Prof. F. Cadiou and Dr. V. Shuvayev for helpful discussions and support.
REFERENCES
1. J.R. Madureira, M.P.F. de Godoy, M.J.S.P. Brasil, and F. Ikikawa, *Appl. Phys. Lett.* 90, 212105 (2007).
2. I.L. Kuskovsky, Y.W. Macdonald, A.O. Govorov, L. Mouroukh, X. Wei, M.C. Tamargo, M. Tadic, and F.M. Peeters, *Phys. Rev. B* 76, 035342 (2007).
3. Y. Gong, W. MacDonal, G.F. Neumark, M.C. Tamargo, and I.L. Kuskovsky, *Phys. Rev. B* 77, 155314 (2008).
4. Y. Gu, I.L. Kuskovsky, M. van der Voort, G.F. Neumark, X. Wei, and M.C. Tamargo, *J. Appl. Phys.* 71, 045340 (2005).
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6. A. Luque and A. Marti, *Adv. Mater.* 22, 160 (2010).
7. B. Roy, A.D. Shen, M.C. Tamargo, and I.L. Kuskovsky, *J. Electron. Mater.* 40, 1775 (2011).
8. V.A. Shuvayev, I.L. Kuskovsky, S.V. Deych, Y. Gu, Y. Gong, G.F. Neumark, M.C. Tamargo, and A.A. Lisynskiy, *Phys. Rev. B* 79, 115307 (2009).
9. I.L. Kuskovsky, Y. Gong, G.F. Neumark, and M.C. Tamargo, *Superlattice Microst.* 47, 87 (2010).
10. B. Roy, H. Ji, S. Dhomkar, F.J. Cadiou, L. Peng, R. Moug, M.C. Tamargo, Y. Kim, E. Smirnov, and I.L. Kuskovsky, *Phys. Rev. B* 86, 165310 (2012).
11. B. Roy, H. Ji, S. Dhomkar, F.J. Cadiou, L. Peng, R. Moug, M.C. Tamargo, and I.L. Kuskovsky, *Appl. Phys. Lett.* 100, 213114 (2012).
12. S. Dhomkar, F.G. Zavislak, M. Behar, E. Pedrero, M.H. Velez, and O. de Melo, *J. Cryst. Growth* 312, 892 (2010).
13. K.L. Janssens, B. Partoens, and F.M. Peeters, *Phys. Rev. B* 64, 155324 (2001).
14. Y. Gong, H.F. Yan, I.L. Kuskovsky, Y. Gu, I.C. Noyan, G.F. Neumark, and M.C. Tamargo, *J. Appl. Phys.* 99, 064913 (2006).
15. J.D. Cuthbert and D.G. Thomas, *Phys. Rev.* 154, 763 (1967).
|
MODERN TECHNOLOGY
INTERVIEW: JACK RENNER
EXPANDED SR COVERAGE
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## Contents
### Features
| Title | Page |
|----------------------------------------------------------------------|------|
| R•E•P Interview: Jack Renner | 28 |
| Less is more: The Grammy-winning chairman of Telarc talks about mixing and recording for classical music. *By: Dan Levitin* | |
| Profitable Coexistence with Desktop Production | 34 |
| The revolution will not be televised; it will be computerized. *By: Peter Gotcher* | |
| The Future of Audio Test Technology | 42 |
| Future developing technologies make proper equipment testing ever more important. *By: Dr. Richard C. Cabot, P.E.* | |
| Producing For New Technologies | 48 |
| The coming of multimedia appliances. *By: Sean Kitzmiller* | |
| Five Questions: The Modern World | 53 |
| *By: Mack Clark* | |
| Hands On: Drawmer M500 Dynamics Processor | 63 |
| *By: Paul D. Lehrman* | |
| Hands On: Lexicon 300 Digital Effects System | 68 |
| *By: Rick Schwartz* | |
### Sound Reinforcement
| Title | Page |
|----------------------------------------------------------------------|------|
| Live & Direct | 54 |
| Poor Acoustics In Sports Arenas. *By: David Scheirman* | |
| All Access | 56 |
| A new monthly department spotlighting sound companies and a recent touring equipment lineup. *By: Mark Herman* | |
| Lean and Mean: Schubert Systems Group | 58 |
| Compactness counts as shown by the recent tour of Bruce Hornsby and the Range. *By: Mike Joseph* | |
### Departments
| Title | Page |
|----------------------------------------------------------------------|------|
| From The Top | 7 |
| Letters | 8 |
| Random Access | 10 |
| Fresh Tracks | 16 |
| Sound Business | 24 |
| Digital Domain | 26 |
| First Look | 74 |
| The Cutting Edge | 75 |
| Classified | 81 |
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| Subscriber Cards | 91 |
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Lessons We Should Know
Not a dull moment out here on the jagged edge, overlooking the upcoming 1991 pro audio landscape.
To recap briefly, 1990 left us with Audio Wars, Part 3: Is it Live or is it Vanilli? Only the Grammy committee knew for sure. Not to be confused with Part 2 — 2 Live Crew's legal battle over the right to perform questionable material on stage to a private, paying, adult audience (and the accompanying arrest and conviction of a small-time record shop owner busted for selling their legally manufactured, nationally distributed program material) — or even Part 1: the very sad Judas Priest subliminal trial in Reno, NV.
By all appearances, we seem to be a country that can't make up its mind whether we want to be free to explore our musical tastes, good or bad, or be protected from the same. As producers, engineers and program providers, the questions and issues raised throughout these events cut to the very center of our working world.
What we are allowed to create through our work in the future is being determined right now on the national media and legal stage. If you haven't been following along closely, we suggest you tune in right now.
On an equally affective note, last year saw many big fish audio manufacturers gobble up little fish quicker than you could say "Pink Slip Termination." Handfuls of respected and successful audio equipment suppliers were absorbed, with more to come.
On the plus side, the greater resources that a large corporation can provide often means a shot in the arm for a small shop's R&D. Additionally, a great product from a small company can explode in sales once exposed via a larger, coordinated distribution network.
On the down side, large organizations are not generally known for their wild-eyed innovation and market sensitivity for anything but the largest common-denominator products or support for the small user in any area other than warranty repair. Customize a product to your application? Not likely. Info on what's inside the epoxy-potted module? Not today, sorry. An off-the-shelf replacement chip for the X-coded version on the circuit board? It's proprietary. Here's our service department number if you want to order one ...
Any corporate tendencies toward a myopic attentiveness to the bottom line (only) would bode ill for all of us. With this in mind, we should all fear the arrival of a true recession, which would dictate the shrinkage of many product lines down to items that sold in quantity last year.
We hope the corporations that have purchased smaller manufacturers in our industry have the foresight to recognize what it was that made the companies and their products great in the first place: the people, the sensitivity to the needs and requests of the buyer, the design of the right devices for the right job, and the quality of the merchandise that provided a high value for the cost.
Finally, it is worth taking a moment to consider the ongoing issue of DAT copy-protection. The record companies, ostensibly to protect profits, are acting like hungry dogs with raw meat on the subject of DAT consumer machine copy-protection codes and blank tape taxation. Market research information shows that the vast majority of home taping is the copying of material previously purchased, for application in the individual's own car or portable player. They don't buy one CD and shop copies to their friends and neighbors. Why then the fear?
The act of continually raising CD and prerecorded cassette prices, as well as levying a tax or applying a surcharge on blank digital audio tapes, is illogical, at best, and damaging to the production industry, at the least, both directly for our raw material and indirectly by decreasing consumer purchasing desire. The net effect can decrease development and production dollars spent by the record companies themselves because of a reduced cash flow. Is it too obvious to suggest that lower CD or cassette prices would make it easier to simply purchase additional copies for the consumer's multiple environments? It would also increase total sales and improve the manufacturing economy of scale.
Short-term profits at the expense of our industry's long-term health should not be taken lightly. They are playing with our life blood. Write your congressman, if he or she is still in office. Then let us know what you think.
Mike Joseph
Editor
Audio to VTRs
From: Tony Kremer, technical producer, Aquarian Productions, Las Vegas, NV.
In the article "Interfacing Audio to VTRs" in the October issue, author Eric Wenocur makes some very valid points concerning the myriad of formats video professionals must deal with. However, there are a few points I'd like to clarify.
1. Betacam SP or MII: While it is true that the FM audio tracks (channels 3 and 4) are married to the video and that you cannot "overdub" these tracks once the video is completed, they can be manipulated somewhat during post-production. For instance, when video inserts are made, FM audio is also inserted, so inputting external audio to channels 3 and 4 is fair game during video inserts. This may be useful for adding ambient sound or sound effects that correspond to the picture. You may also use FM channels 3 and 4 for dialogue, but the dialogue must cut when the video cuts, thus prohibiting split audio edits.
2. Betacam audio noise reduction: The author states, "All Betacams and MIIs have Dolby, so there is no risk of incompatibility between decks." This is not entirely true. All Betacams have Dolby C circuitry, but only the newer Betacam SP decks have automatic detection and automatic turn on of this circuit. Older Betacam machines (BVW 10, 15, 40, etc.) do not have auto detection or auto on, so you must use the Dolby on/off switch if you intend to record with or properly decode Dolby C. As mentioned, Betacam SP will automatically turn on encode/decode circuitry whenever a metal particle "SP" tape is used. If you use standard oxide tape, you must decide to switch the Dolby on or off. If a metal SP tape (or Dolby-encoded oxide tape) is inserted into an older Betacam deck, you must be sure to switch Dolby on in order to properly decode the Dolby audio.
3. The table listing various VTRs and their audio features is a little confusing and contains certain inaccuracies. For instance, the first row indicates that the Sony BVU-150 (a portable U-matic SP) has transformer-balanced inputs, no noise reduction and a limiter switch. Sony tells me the BVU-150, VO-8800 and all of its portable recorders (including Betacam) have electronically differential balanced inputs. Also, the 150 has Dolby C noise reduction and an auto gain switch (not a limiter switch). The listing for the VO-8800 (also a portable U-matic SP that I happen to own) indicates that there is no facility for audio monitor. There is a headphone jack and XLR output (channel 1), which may be switched to monitor channel 1, channel 2, a mono mix or both channels. As a point of interest, the VO-8800 is the first portable U-matic from Sony that has a true stereo-type 1/4-inch jack for the headphones, instead of the horrible, mono 1/8-inch jack used in all previous models.
4. Concerning limiters/AGCs: The author states, "virtually all VTRs suitable for field use have some sort of built-in limiter or AGC circuit. Most can be switched in and out on the front panel." This is not entirely true. While most portables have limiters and AGCs, it has been my experience that only the AGC can be switched off. The peak limiter circuitry incorporated into most portables cannot be switched off at all, and is designed that way to prevent internal clipping. Try it yourself: Input a continuous audio source to a portable VTR (a CD player works great), and open the input pots wide. You'll notice the meters hover in the red zone, but never slam. The audio will probably not be clipped but will sound severely limited. This non-switchable peak limiting seems to work well when recording audio that has unpredictable levels (i.e., talent microphones), but caution should be exercised to avoid over-limiting a signal (especially with music). A good rule of thumb is to use headphones and carefully listen as you adjust your input levels. Set them so that limiting occurs only with strong peaks so your audio still has some dynamic range and is not "squashed." Watching the VU meters helps, too.
5. Balanced/unbalanced schemes: The author states, "If using an unbalanced source or load with the VTR, be sure to ground the transformer's low side." This may work, but it can also lead to other problems such as ground loops when interfacing with other gear. My personal preference is not to ground the low side of a transformer or differential circuit. I simply connect the unbalanced center conductor to Pin 2 and the shield to Pin 3 and leave Pin 1 unconnected. This avoids tying the two grounds together. However, no method can be a sure solution, so at times you may need to tie an unbalanced shield to both Pins 1 and 3, etc.
In conclusion, I'd like to say that it's refreshing to see R*E*P address the needs of video professionals, as well as recording engineers. Keep up the good work and kudos to the author for an informative article.
Judas Priest Trial
From: Helmut Vles, Rockland, ME.
The fuss over Judas Priest ["Subliminal Secrets: Justice and Judas Priest," October] aroused my curiosity. I had to listen!
Somehow, nothing as drastic as suicide crossed my mind. To listen was, however, my choice. To listen was also their choice, the young men who died. The band was responsible for loud rock music. The young men were responsible for their own suicides.
The shifting of responsibility of one person's actions to another has become a pervasive malaise. Ultimately, no one will be responsible for anything! We're almost there!
Digital Zero
From: Jay Rose, Brookline, MA.
Regarding the Five Questions piece on "Recording Tech" in the August issue: I record national spots on four different brands of DAT recorders, and edit them on the AKG multitrack workstation.
In every case, digital zero is the absolute maximum undistorted level; that is, "all bits on." Levels recorded on one system, track perfectly on every other.
Average peak speech level, and "zero tones" from an analog recorder, are usually lined up to -15dB or -18dB below digital zero (depending on the amount of processing), and this is the operating level highlighted on the meters and recommended by many digital manufacturers. It might not be the official standard, but it's sure a de facto one. (Italics added—Ed.)
By the way, most well-designed digital equipment doesn't go sour when you exceed zero. The AKG workstation, for example, is designed for a soft "analog style" distortion when overmodulated.
(Editor's note: Thanks for recognizing the point we were making—standards should be universal, not variable by several decibels or between manufacturers, de facto standards included.)
EVEN WALTER BECKER IS TALKING ABOUT SOUNDTRACS.
Soundtracs IL Series
"You have to be careful about what you spend for a console in a home studio. You want as clean a signal path and as versatile a board as you can get. The Soundtracs IL 4832 is logically laid out, easy to get around on, has great sounding EQs and prints a very clean signal to tape.
We use a 32-track digital recorder — the IL 4832 made the most sense. It provides a 32 buss design in an extremely affordable package. It looks great in the room, too."
As a founding member of Steely Dan, Walter Becker is known for his uncompromising point of view. So choosing a console for his personal studio in Maui was a carefully considered decision.
Soundtracs IL 4832 features an inline design that produces a pure, transparent sound. Its 32 Busses allow total flexibility for maximum ease of use in a variety of recording situations.
The IL 4832 comes standard with patchbay and delivers up to 104 inputs with EQ and Aux on mixdown. The board is also available in a 36 mainframe format.
Sonic purity, versatility, maximum inputs and operational flexibility. These are the reasons why even Walter Becker has so many good things to say about recording with the IL 4832.
© 1991 SAMSON
Soundtracs distributed exclusively in the United States by Samson Technologies Corp., P.O. Box 9068, Hicksville, NY 11802-9068
TEL: (516) 932-4810 FAX: (516) 932-3915
Circle (8) on Rapid Facts Card
WHO OWNS WHAT: 1991 Update
Mark IV Audio’s acquisition of Klark-Teknik caps a year of frenzied acquisition activity. The $22.4 million cash tender deal gives Mark IV the companies Klark-Teknik owns but also Klark-Teknik Electronics, the U.S. distribution company that handles K-T, Midas, DDA and Milab.
With these acquisitions, Mark IV cements its position as one of the audio industry’s dominate conglomerates. In terms of size, it may well be the largest; Mark IV Audio owns and distributes the products of 11 companies.
In fact, an informal grouping of companies and what they own shows that we’re well on the way to where “five to seven large companies will control 50%-60% of business,” as K-T’s Jack Kelly was quoted in Billboard. We’re not quite there yet; the companies listed below account for 13% of the total number of companies in the industry, if you use 300, approximately the number of companies that attended the AES Convention, as a benchmark. Throw in the five or six giant companies, such as Sony, Yamaha and Peavey, and the percentage increases to about 15%.
But wait: More acquisitions are rumored, and if the economy tightens up, it’s a sure bet that the consolidation is going to continue.
| MARK IV AUDIO | HARMON INTERNATIONAL |
|---------------|----------------------|
| ALTEC LANSING | AUDIO LOGIC |
| DDA | DIGITECH |
| DYNACORD | DOD ELECTRONICS |
| EDEN | INFINITY |
| ELECTRO-SOUND | JBL PROFESSIONAL |
| ELECTRO-VOICE | SECK |
| AKG ACOUSTICS | TCI |
|---------------|----------------------|
| BSS | AUDIX |
| DBX | MARTIN AMERICA |
| ORBAN | TANNOY |
| MATSUSHITA | OTARI |
|---------------|----------------------|
| PANASONIC/RAMSA | KING INSTRUMENT |
| TECHNICS | SOUND WORKSHOP |
| SAEG REFINDUS | SIEMENS |
|---------------|----------------------|
| STUDER REVOX | AMS INDUSTRIES |
| STUDER EDITECH* | NEVE |
| BASF | LINEAR TECHNOLOGY |
|---------------|----------------------|
| AGFA | SOUNDMASTER INTERNATIONAL |
*FORMERLY DYAXIS
VANILLI FALLOUT CONTINUES
As of early December, here’s the fallout from the revelations that the hairstyles hired to pose as the pop group Milli Vanilli — surprise — never sang a note on their album and that — surprise again — they lip-synched in concert:
• Two class action lawsuits.
• One lawsuit by an Ohio radio station that sponsored a Vanilli concert filed under the state’s consumer fraud statutes.
• Two more proposed lip-synching disclosure bills.
• One returned Grammy.
• Another mark against an industry that must appear to the public that it is driven by nothing but greed. Look at the year the recording industry had: an obscenity conviction for “As Nasty As They Wanna Be,” numerous obscenity investigations over other albums, a trial concerning subliminal messages, lip-synching legislation. Wasn’t a great year.
Neil Wilburn, who designed some of Nashville's best-known studios, died Oct. 21. Wilburn's designs included the old CBS Quonset Hut and the Castle. He was also an engineer and producer; his credits included Waylon Jennings, Johnny Rodriguez, the Whites and the Family Brown ... Sidney C. Sterchele has been appointed by JVC Service and Engineering as national service manager ... SMPTE members elected Blaine Baker president of the society ... John Schofield has been named senior vice president for sales and marketing of Telex Communications ... Meridian Data announced that Jean-Louis Gasse, former president of Apple products, has joined its board of directors ... Synergistic Technologies has added Mark Valenti, former president of Highland Studios, to its staff ... Studer Revox and Studer Editech have named Anita Giacalone Martino sales assistance/office manager, Thorsteinn Thorsteinsson northeastern region technical support engineer, Tom Knox senior test engineer, Gail Bush secretary/administrative assistant, Kerwin Yuen director of manufacturing, Al Wegener senior DSP engineer, Bill Woods technical support department, Synthia Petroka software engineer, Deanna Moore office manager and Andreas Koch director of product planning.
SR Coverage Expands
With this issue, we are pleased to announce the addition of Mark Herman as a regular contributor. Mark is the president of Hi-Tech Audio, a sound reinforcement equipment rental company located in Half Moon Bay, CA. He first contributed to R•E•P in the September issue with his article on Clair Bros programmable EQ system. Mark will be contributing two items: Roadwork, a roundup of SR news among manufacturers and end-users; and All Access, a detailed look at equipment and people working on specific tours.
Mark's contributions will augment the considerable contributions of David Scheirman, R•E•P's live sound consulting editor, who will continue with Live & Direct and feature articles. We are proud to have the most comprehensive and authoritative sound reinforcement coverage of the pro audio magazines. Enjoy.
QSound: Archer Communications, the developer of the QSound three-dimensional recording process, has announced that 12 recording artists have used or are going to use the process on upcoming releases. The list includes Paula Abdul, Bon Jovi, Wilson Phillips, Janet Jackson and Sting. Madonna's "The Immaculate Collection" is the first QSound recording, according to the company. However, word in the engineering grapevine is that the use of QSound on Madonna's album is interesting but not overly dramatic. The album to listen to, it is said, will be Jackson's.
DAT bill: The Digital Audio Tape Recorder Act, which would have required all consumer DAT machines to be equipped with the Serial Copy Management System, died when the 101st Congress adjourned in October. According to Pat Dogato, an aide to Rep. Henry Waxman, the bill's sponsor, there are no plans to reintroduce it next session, and it is unlikely that related legislation will be introduced. Since Sony introduced consumer DAT this past summer, music publishers filed suit. When an issue hits the courts, Dogato said, Congress often drops related legislation, preferring that controversies work their way through the court system. — Sarah Coleman, Washington Correspondent
Lip-synching: In the wake of the Milli Vanilli debacle, lip-synching disclosure bills have been filed in Massachusetts and California. The bills are similar in scope to bills introduced this past summer in New York and New Jersey. However, California's is unique in that it stipulates a prison term of up to one year; the others propose only fines. One of the co-sponsors of the Massachusetts bill, quoted by the Associated Press, said, "It's time to stop the phony road shows." Similar bills have been introduced in New York and New Jersey; no action has been taken on either bill.
Sound-alikes: A sound-alikes suit filed by singer Mitch Ryder has been dismissed. Ryder claimed that a Molson Breweries' TV commercial appropriated his vocal style without his permission. The suit was similar to successful ones brought by Bette Midler and Tom Waites. A suit by Carlos Santana over his guitar sound is still pending.
Compact discs: First it was stabilizing rings. Then, drawing magic marker lines around the edges. Now comes the latest in the quest for improved CD sound: freezing your discs. Not just in the freezer. We're talking heavy-duty cold. Cryogenic freezing. According to an article in Stereophile, placing a CD in a cryogenic freezing chamber with liquid nitrogen relaxes the lattice structure of the disc's polycarbonate. The result: better sounding discs, whatever that means.
"Seven million albums? Embarrassing? I don't mean the end justifies the means. But we sold 7 million albums."
— Roy Lott, vice president of operations for Arista, which released Milli Vanilli's "Girl You Know It's True"
## STUDIO UPDATE
| Facility/Location | Details |
|-------------------|---------|
| **MANUFACTURERS** | |
| Alpha Audio | Cintel (Knoxville, TN), purchased the BOSS/2 automated audio editor. |
| Apogee Electronics| Filters fitted in Mitsubishi digital recorders: Howard Jones (UK); Hilton Sound (London). |
| Digital Audio Research | Soundtracks Studio Ltd. (London), installed Sound-Station II. |
| Mitsubishi Pro Audio | The Mill Studios (Berkshire, UK), installed an X-880 32-track digital recorder and an X-86 mastering machine. |
| Neve | Installations of VR consoles: NEP's Super Shooter 8, Manhattan Center Studios (New York), Sound-On-Sound (New York), The Hit Factory (New York), Angel Recording Studios (Islington, UK), Studio 306 (Toronto), 525 Productions (Hollywood), Complete Post (Hollywood) and Compact Video (Burbank, CA). Installations of V consoles: Photo-Magnetic Sound Studios (New York), Sound One (New York) and Group IV (Hollywood). |
| New England Digital | Sales of PostPro SD: Post Effects (Chicago); Editel (New York); and National Recording Studios (New York). Other sales: Video London, 8-track PostPro; ImagiTrek, Synclavier with Direct-to-Disk; NFL Films, PostPro; Century III (Orlando), PostPro; Chicago Recording Studios, Synclavier 3200; Innovation (Montreal), PostPro; and Blanchard & Healy (Philadelphia). Synclavier 3200 and a PostPro. |
| Otari | Deliveries taken: Saul Zaentz Film Center, Premier console; and Advantage Audio (Los Angeles), Sound Workshop Series 54 Console. |
| Shure HTS | The Power Station (New York), purchased Stereosurround encoding and decoding equipment. |
| Solid State Logic | Installations: Howard Schwartz Recording (New York), ScreenSound; Soundtrack Recording Studios (New York), second ScreenSound; CBS (Hollywood), two SL 6000 G Series consoles. |
| Soundmaster USA | Warner Bros. Studios installed two Integrated Audio Editing Systems. |
| Soundtracs | Installed: Quartz production console at EMI'S new London recording complex. |
| Studer Revox | Dyaxis system installed at JC Penney's video production facility (Dallas). Purchased: D820-48 48-track DASH digital recorder, Conway Recording Studios (Hollywood). |
| Tannoy | Soundtrek Plaza (Kansas City, MO), took delivery on first pair of System 15 DMT monitors available in US. |
| TimeLine | TRA Productions (New York), installed two Lynx SAL Time Code Modules. |
| Versadyne | Installations: Lion Recording Services (Washington, DC), the 4-slave 1500 series high-speed duplication system; and Miami Tape, 6-slave 1500 series high speed duplication system. |
| WaveFrame | Sales: Paul Clay & Associates (Los Angeles), two CyberFrames; West Productions (Los Angeles), four AudioFrames; Pacific Sound Services (Los Angeles), 10 CyberFrames; and Audio Outpost (London), one AudioFrame. |
### NEWS NOTES
**Correction:** In October's First Look column, Audio Animation's Paragon digital processor was described as being appropriate for compact disc mastering, in addition to its capabilities for the broadcast market. According to the company, the statement was incorrect. The company's Muse digital console is for mastering; the Paragon is designed only for broadcast transmission use. R*E*P apologizes for the error.
The Society of Professional Audio Recording Services (SPARS) has discontinued its National Studio Exam as part of an overhaul of its educational programs. The exam was begun in 1984. In its place will be an expanded internship program and a lecture network, whereby SPARS manufacturer members will speak at educational institutions.
Five Lone Wolf MidiTaps and more than 500 feet of fiber optic cable were used during the recent INXS world tour. The list of artists and facilities using Lone Wolf systems numbers more than 12. Also, the company has chosen New West Audio as its West Coast sales representative.
Here are the attendance figures for the fall conventions. The 89th Audio Engineering Society Convention, held in Los Angeles in September, had an attendance of 14,752. For the 132nd SMPTE Convention, held in New York in October, attendance was 12,000.
### DEALS
The German government has approved BASF's acquisition of the magnetic tape business of Agfa-Gevaert. The acquisition will include sites in Munich, Berlin and Avranches, France.
Clair Brothers Audio and t.c. electronic A/S have signed an agreement concerning their joint development of the TC 6032 EQ motor fader remote control.
Meridian Data has signed a three-year non-exclusive distribution agreement with Merisel. Macamerica. Merisel's Macintosh division, will distribute Meridian Data's full line of CD ROM-related products and publishing systems.
"I've been sold on Beta's superiority since I first tried them. I use them on vocals, drums, amps, and brass because their sensitivity and resistance to feedback make them the perfect fit for the groups I work with. And the Beta 58 Wireless is the first system I've found that gives my artists the freedom of a radio mic without sacrificing sound quality."
Paul Dalen, Sound Engineer for David Sanborn and Lisa Stansfield.
Shure Beta Microphones.
Buy Them On Word Of Mouth Alone.
Before you select a microphone, listen to the leading pros who use the Shure Beta Series on stage. They'll tell you about the benefits of Shure Beta's advanced transducer design, extraordinary gain-before-feedback, and true supercardioid polar pattern, as well as its outstanding sensitivity and low handling noise. But most important, they'll tell you that nothing beats a Beta for live performance. And that's not just talk. Try Shure Beta today and get the final word for yourself. Or call us for more information at 1-800-25-SHURE. The Sound Of The Professionals ...Worldwide.
Roadwork
By Mark Herman
dB Sound (Des Plaines, IL) has had extensive activity this past fall. dB provided a complete monitor system with a Ramsa WR-S840 stage console, house electronics and a Gamble EX56 house console for the final leg of Aerosmith's world tour, which just ended in Australia. Toby Francis engineered the house mix and Bill Head handled the stage ... The Allman Brothers Band was out on tour with a 40-box dB Sound HD (JBL-loaded) system. Bud Snider (FOH) and Jeff Nelson (stage) handled mixing chores ... World Party played in the U.S. before heading to Europe with a Meyer 12 MSL-3 and four 650 sub main systems. Consoles are a Yamaha PM3000 and a TAC Scorpion 40×12 ... Rapper M.C. Hammer traveled across the U.S. with Electro-Voice MT-4 cabinets. Tim Colvert worked the house mix on a Yamaha PM3000 ... AC/DC is on tour with house mixer Robbie McGrath using a TAC SR9000 40-channel console with 24-channel extender unit. (This same console was just previously out with the Phil Collins world tour) ... the Smithereens fall tour carried a small E-V MT-4 system with a Yamaha PM3000 in the house and a Midas 30×10 onstage. Engineering was by Andy Meyer (FOH) and Don Dorne (stage) ... During the Christian group Stryper's recent fall tour, monitor engineer Mike McNeil used the new 11:30 CPM monitor wedges ... dB also has a 40-box system in Europe out with Birmingham, U.K., sound hire company, SSE.
The Big Get Bigger: The latest in manufacturer acquisitions has Klark-Teknik being sold to Mark IV Industries, parent company of Electro-Voice, Altec Lansing and Dynacord, among others. With this acquisition, Mark IV has emerged as one of the primary players in the pro audio manufacturing industry. As far as KT is concerned, it should remain business as usual with only slight changes ahead, for the time being. All the main directors of KT, including president Jack Kelly, have three-year contracts and will remain with the operation. Kelly recently said, "We don't believe any major changes are planned for KT because of the sale. We're looking forward to it and it is something I currently support. We should be good for Mark IV because we fit into certain industry segments that they don't currently operate in."
Audio Teknology reported recent sales of its Paragon live mixing console. Maryland Sound Industries took delivery of a standard 40-channel Paragon for immediate touring service and Nashville's Opryland purchased a custom 64-channel model ... ATI just released version 4.0 of the LEAP (Loudspeaker Enclosure Analysis Program) speaker cabinet CAD software program. The powerful LEAP 4.0 is capable of very accurate non-linear modeling of driver response and complete passive and active crossover design, as well as much more. The program will operate with the Audio Precision System for automated measurement of driver parameters and also contains a new parameter measurement module that helps with manual measurements. Entire program cost is $795.
The 1990 Knobbie Award goes to Crest's new Gamble EX-48 monitor console — with a total of 2,104 knobs! ATI's Paragon console came in a close second with 2,054. (Take note that the Paragon also has 75 faders and 143 meters.)
Next Generation Sound and Lighting (Indian Rocks Beach, FL) is located on the Gulf coast in the Tampa Bay area. This young company was started in August 1990 by Jeff Heiler, formerly part owner of Turn-of-the-Century Productions. Heiler said, "The emphasis will primarily be on touring and serving the local/regional market." Next Generation has been averaging about eight shows a month over the past several months, mainly working national one-offs and occasional large local events. Heiler's main FOH system includes a Soundcraft 800B 32×8×2 house console, Klark-Teknik DN300 equalizers and 16 flyable JBL-loaded full-range Overture main cabinets, which are powered by Crest 8001 and 4001 amps. The monitor system consists of a Soundcraft 500 40×12, Klark-Teknik DN300 equalizers and bi-amped JBL-loaded (15-inch JBL 2225 and 1-inch JBL 2425) proprietary stage wedges which are powered by Crown MA1200s.
Odds and Ends: TC Electronic has acquired the rights from Clair Bros. to market and sell the 6032 remote control equalization system worldwide. (See R*E*P's September 1990 issue.) TC Electronic's U.S. distributor, Virtual Designs, has moved to larger facilities in Westlake, CA ... QSC is shipping its newest amplifier, the 3U EX4000. This powerful, cost-effective amplifier features 1,125W/channel into 4Ω(), versatile modular input architecture and a sophisticated, thermal management system. Retail price is $1,998 ... Adamson Acoustic Design has shipped 20 of its new MH121 cabinets to C.V. Lloyd (Champaign, IL) and a small system to SPL Production AB (Sweden) ... Clair Bros. recently purchased a fully loaded Crest-manufactured Gamble EX-56 house console for use on the current Paul Simon tour. Crest also sold a Gamble EX-56 house console to Gavay Sound (Sao Paulo, Brazil).
Mark Herman is the president of Hi-Tech Audio Systems, a sound reinforcement equipment rental company based in Half Moon Bay, CA.
200 Delta. From the smooth contours of its sleekly styled shell to the advanced circuitry that delivers unprecedented performance, Delta is the compact console of the nineties. Expanding on the modular versatility of its 200 Series predecessors, Delta incorporates many innovations unique to Soundcraft. Advances in low profile console design that go well beyond the obvious restyling.
Delta delivers superb sonic quality, with an improved electronic design that incorporates a new microphone preamp and active panpot. And, because Delta selectively bypasses any circuitry not in operation, you can be assured of optimum transparency.
Delta delivers unmatched versatility and control. With Standard, Deluxe, Stereo and Dual-Line Input Modules, Delta can meet a wider variety of applications. By adding up to four Group Modules, configuring just the right console for your application couldn’t be easier.
200 Delta. Engineered for those who hunger for perfection.
Frank Sinatra: “The Reprise Collection”
Label: Reprise
Collection produced by: Mo Ostin, Joe McEwen, James Isaacs
Digital mastering and remixes: Lee Herschberg
Comments: If you buy only one record in the next year, it should be this one. If you listen to only one record in the next 10 years, it should be this one.
Of special interest: Sinatra is a brilliant vocalist. The arrangements of Quincy Jones, Don Costa, Nelson Riddle and Torrie Zito, Johnny Mandel, Neal Hefti, Sy Oliver (and others) are genius. This collection is entrancing and mesmerizing, from the downbeat of “Let’s Fall In Love” to the last note of “Mack the Knife.” 81 songs later. Every major rock and jazz artist has singled Sinatra out as one of the most important vocalists ever. This collection shows why.
Sandor Kovacs and Chorus of Shany Street Synagogue: “Liturgy of Dohany Street Synagogue”
Label: Hungaroton
Produced by: Zoltan Hezser
Recording by: Endre Radanyi
Studio: Recorded live at Dohany Street Synagogue
Mastered by: N/A
SPARS Code: DDD
Comments: If the confines of today’s modern studio have you yearning for the natural acoustic depth of yesteryear’s large recital halls, this recording may spark the creative engineer inside of you to create realistic environs when utilizing digital effects to create an ambient environment.
Toy Matinee: “Toy Matinee”
Label: Reprise
Produced by: Bill Bottrell
Engineered by: Bill Bottrell, Kevin Gilbert, Michael Vail Blum, Bob Salcedo, Elaine Anderson, Micajah Ryan
Recorded at: Johnny Yuma Recording, Smoketree Ranch, The Grey Room
Mastered by: Steve Hall at Future Disc, Hollywood
SPARS Code: AAD
Comments: Not since Peter Gabriel’s “So” has such a well-crafted collection of fresh modern rock ‘n’ roll emerged from the depths of today’s modern recording studios. The superb craft evident in this writing is equally matched by superior recording production and engineering feats.
Of special interest: For the digital purists, listen very carefully: The warmth of analog, and dare we say, clarity, might just make you reconsider bashing the old medium.
NO AUDIO TAPE HAS EVER GONE SO HIGH. SO LOW. SO HOT. SO QUIETLY.
Introducing 3M 996 Analog Audio Mastering Tape. It's the first tape that lets you record as hot as you want (level +9), capturing the highest highs and lowest lows with virtually no distortion or print through. From its consistently clear sound, to its protective TapeCare™ Library Box, 3M 996 audio tape takes analog recording where it's never been before. Call 1-800-245-8332 for more information. We won't be satisfied until you are.
3M Professional Audio/Video Products Div.
3M Center, St. Paul, MN 55144
Circle (10) on Rapid Facts Card
Mark Whitfield: “The Marksman”
Label: Warner Bros.
Produced by: Tommy LiPuma
Engineered by: Al Schmitt
Mixed by: Al Schmitt
Recorded at: The Power Station, New York; Bill Schnee Studios, Los Angeles; 321 Studios, Los Angeles
Mastered by: Doug Sax, the Mastering Lab, Los Angeles
SPARS Code: AAD
Comments: Maybe we should start devoting a special section just to albums recorded by Al Schmitt. Like this one, they are consistently beautiful recordings, well balanced and easy to listen to. “The Marksman’s” modern sound is achieved with subtlety: there is no particular “sound” or device that jumps out and screams “modern!” The recording sounds fresh in an easy and understated way. Whitfield is a new, young jazz guitarist, discovered by George Benson. His playing is slightly Benson-like (early Benson, before he started singing), yet Whitfield maintains a unique voice on his instrument.
Of special interest: The drums are brilliantly recorded. In headphones, it sounds as though you are sitting right behind the drum kit; the kit surrounds and envelopes you. Similarly, the guitar, acoustic bass and piano sound like you are standing right next to them, yet none of the instruments crowd one another. The combination of the performance and engineering is vibrant. [For an interview with Schmitt on his mic technique, see September’s Fresh Tracks.]
Candyman: “Ain’t No Shame in My Game”
Label: Epic
Produced by: Candyman, Johnny “J” and the Candyland Band
Engineered by: Tony Cannella, Donovan Sound
Recorded at: Formula 1 Studios, Audio Achievements Recording Studios
Mastered by: Brian Gardner, Bernie Grundman Mastering
SPARS Code: AAD
Comments: This is one of the top rap albums in the country, and it is very musical and well-recorded. The kick is practically subsonic — almost entirely below 60Hz. Candyman uses his sources just enough to be interesting, but not so much that you get confused about what song you’re listening to. The album contains the obligatory song about safe sex (“Don’t Leave Home Without It”) and Candy’s sense of humor and groove are top-notch.
Of special interest: Palmer captures the moody ambience of the performances in a recording that itself seems moody, particularly on “Colours.” Like U2’s recordings, the instruments are often recorded darkly, and the voice gets all the top end, helping it to cut through and sit on top. The bass guitar has that full and rich sound that can only be achieved by miking a loud, live cabinet.
An Emotional Fish: “An Emotional Fish”
Label: Atlantic
Produced by: Tim Palmer
Engineered by: Chris Sheldon
Mixed by: Tim Palmer and Wimon Vinestock
Recorded at: Windmill Lane, Dublin
Mixed at: The Mill, Cookham
Comments: AEF may be the most interesting new band to come along in some time. Reminiscent of Velvet Underground and U2, the rock press has also compared them to The Doors. They’re considered “alternative,” which means they may be difficult to find on radio, but this release is worth owning.
Of special interest: Palmer captures the moody ambience of the performances in a recording that itself seems moody, particularly on “Colours.” Like U2’s recordings, the instruments are often recorded darkly, and the voice gets all the top end, helping it to cut through and sit on top. The bass guitar has that full and rich sound that can only be achieved by miking a loud, live cabinet.
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Our new professional DAT recorder, you’ll have to look at DAT in a new light.
**Time Code.** It’s about time someone perfected time code for DAT. And Sony’s new PCM-7000 DAT recorders have done just that. They make time code based editing easier than you ever thought possible. They allow you to read and generate SMPTE, EBU or film rates which can be prestripped, post-stripped or recorded simultaneously with your audio. They even let you translate from one time code rate to another during playback. All of which means if you’re not using a Sony professional time code DAT recorder, you may want to take a closer look at what you’re missing.
**Speed and Size.** When speed counts the PCM-7000 recorders are the tools you want. They have a shuttle speed 175 times play speed, which lets you locate cues or lock to other equipment faster than with open-reel systems. They also come with helpful menus and self-diagnostics for fast set-up and easier maintenance. But speed isn’t the only issue. Size is also important. Unlike reel-to-reel recorders, you can fit any of our new DAT recorders into just 5 ¼” of rack space. In addition, each DAT tape can fit two hours of stereo digital audio into a package smaller than a standard audio cassette, saving you plenty of storage space. And since DAT tape costs about one-third of analog open-reel tape, most facilities could save enough in the first year to pay for the recorder.
**Instant Start.** If you need “On-the-Air” or “On-the-Fly” cueing, you can equip our new DAT recorders with Instant Start. It’s simple to use. Just mark and trim the starting point, then press PLAY. You’ll get instantaneous audio output with absolutely no start-up “wow.” To make it even more convenient, you can initiate Instant Start with a fader-start or GPI.
**Chase Synchronization.** With the internal Chase Synchronization option of the PCM-7050 and 7030, you can press a single button to lock to any time code based equipment—whether it’s a VTR, ATR or a second Sony PCM-7000. You can also enter or capture an offset instantly and maintain synchronization with the time code data or from an external reference.
**The System.** The PCM-7C50, 7030 and 701C time code DAT recorders are all designed and constructed for professional use. They each offer clear advantages in sound quality and operating economy over conventional analog recorders. They’re smaller and faster than analog recorders. And when you add the RM-D7300 edit controller to the PCM-7050 and 7030, they create a powerful electronic editing system. No other DAT manufacturer offers you this kind of system approach because no other manufacturer looks at DAT quite the same way as Sony. For more information, call the Sony Professional Audio Group at 1-800-635-SONY.
**Professional Inputs and Outputs.** It goes without saying that you can connect these DAT recorders with a variety of I/Os—like balanced XLR analog I/Os or optional digital I/Os, including AES/EBU. This enables you to transfer audio to digital VTR’s and just about any other professional audio equipment you desire.
DAT recorders have so many features, whole new way.
**External Control.** Our new DAT recorders offer you several external control options—an RS-232C port for computers, parallel connectors for external synchronizers and a 9-pin serial port on the PCM-7050 and 7030 for compatible video editors. So you can control our DAT recorders from just about any source you choose.
**Off-Tape Monitoring.** A sophisticated four head design lets you monitor off-tape as you record. So you’ll always be confident of the quality of the recorded signal.
**Electronic Editing.** Plug the PCM-7050 and 7030 into the RM-D7300 edit controller and you’ll be able to capture edit points in RAM memory, trim with the jog wheel and preview edit points before committing them to tape. You’ll also be able to set the crossfade time from 0 to 999 ms and digitally adjust the audio level for the smoothest transition possible. It’s definitely the best way to edit DAT.
**Audio Quality.** We’ve minimized phase distortion in our new DAT recorders by giving them 18-bit D-to-A converters with 8 times oversampling—and A-to-D converters with 64 times oversampling. And because they’re digital, frequency response is extremely flat from 20Hz-20KHz, dynamic range exceeds 90dB and “wow and flutter” levels are so low they can’t be measured. Which sounds pretty good here, but sounds even better on DAT.
Steve Winwood: “Refugees of the Heart”
FOCUS:
STEVE WINWOOD, Producer, TOM LORD-ALGE, Engineer
“Refugees of the Heart”
R•E•P: As a producer, how involved do you get with the engineering?
SW: I am kind of a tech-head. I operate the SSL and in some instances, make my own composites. I do a certain amount of my own recording, particularly in the control room. I like to be involved with the equipment.
R•E•P: What drew you to Tom Lord-Alge in the first place?
SW: Tom was fresh and unbiased. He was quick and worked to a considerable extent without any set rules, and I found this to be exactly what I wanted at the time.
R•E•P: Do you approach recording with a particular production philosophy?
SW: Yes: A record should not be overproduced. Also, Tom and I are great believers in keeping the machine in Record because we’ve found many times that good takes can escape. We don’t allow anyone to play anything in Input. I also think that sounds should be distinctive and that balance is very important.
R•E•P: How did the tracks begin?
TLA: When I came into the project, Steve had already spent four months at home putting stuff down. There were Fairlight drums, one or two basic keyboard parts and the vocals. One of the great things he did for this record was he recorded the vocals right after these basics were done. We might have gone back and punched an odd line here and there, but we basically kept those first takes through the whole project. The performances were great — they were right off the cuff, they were the first times he sang it, and they had a nice spark to them.
So we went to Nashville and recorded the drums first — the drum room at Emerald sounds great. Russ Kunkel came in and I used an Electro-Voice RE20 on the kick, Shure 57 on the snare top and bottom, Sennheiser 451 on the hat, Sennheiser 421s across the three toms, and a pair of AKG 414s on the overheads. Another pair of 414s close in for the room, and Neumann U87s in the back of the room. I hired in a set of double 18 bass bins and an amplifier, and I set them up into the room, as well, to make it bark more.
R•E•P: What kind of board did you mix on?
TLA: We mixed the record at Steve’s house; he has an SSL 64-channel, and two Mitsubishi 32-track digitals. For monitors, we just put in a set of the big Tannoy’s; we also have the standard NS-10s with tissue paper.
R•E•P: What reverbs did you use?
TLA: The main one I used on the drums was the Sony DRE-2000 — it’s one of my faves. On the vocals, he’s got one of the original Lexicon 224s, which I think is the only Lexicon product that’s worth a f—. Lex started doing something to its reverbs after the 224, which made them sound really unnatural to me. I think the Yamaha SPX-1000s are absolutely brilliant; they’re reasonably priced and they sound very realistic. Another of my faves are the Ursa Major Space Station, Yamaha REV 5 and Steve’s EMT 250. — By Dan Levitin
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DIVERSIFYING YOUR FUTURE
By Jon Dressel
As we face the beginning of what may be a recessionary period, I keep reminding myself and those who work with me that the entertainment business, specifically the recording industry, is recession-proof. Everybody needs entertainment, especially music, right?
We might all like to believe that, but in truth, an economic slowdown is going to impact us all.
It seems that in this day of the specialist, the general practitioner has all but disappeared. If we are going to weather this economic storm on the horizon, it might be a good idea for us to examine diversification, both in the type of work we do and the markets we aim to capture.
There are really only two major categories of diversification open to our service-oriented businesses. One is to add additional services to our existing operation; the other is to expand our current marketplace penetration to attract additional clientele. Let's take a closer look at adding services and expanding our position in the marketplace.
It surprises me how often a recording facility has a great service to offer and yet doesn't have the volume of business that it deserves. It's all too common that there is an inadequate understanding of who the clientele actually is. Before making any kind of move, it is imperative to understand who makes up the current client base so that you can determine the best ways in which to expand.
The next step is to examine the potential for new work. What percentage of prospective new clients do you work with already? Perhaps you are only handling their recording needs and could offer duplication, packaging and other related services.
Is it possible to move into other marketplaces? Does your business have the ability and resources to market itself locally, nationally and internationally? If so, can you expand your client base using your existing services? With the help of the technology that you already base your business on, and the ease of communication and travel available these days, it's not unreasonable to consider clientele that may reach well beyond your local market. In fact, there are many non-location specific services that can be offered.
Let's further analyze current and future clients, and the services that could be provided. For example, if your business is primarily commercial jingles on weekdays, does it make sense to pursue record work at night? Take a close look at your existing resources, competition and current clients.
In examining your resources, do you have the necessary equipment and personnel to offer clients the ability to make a record? If not, does your projected income justify purchasing additional gear or hiring additional employees to help secure this new business? What about your competition? How many studios are there in your marketplace that already have established clients in the new area that you want to provide services in? What about the clients that you already have — will any of them be potential clients for this new service?
These are the types of questions you must answer before you can make a proper decision regarding new directions for your business. Although most of us would like to be innovators, it usually doesn't make sense to reinvent the wheel. If you don't have existing clients that can use a service, maybe you should re-examine what kind of service you are planning to offer. If your existing clients are primarily doing jingles, maybe it would make more sense to look at post-production audio scoring for video. It seems that most of your existing clients and resources would fit into this new service area.
But are you absolutely sure that it is appropriate to add more comprehensive and additional services? That answer may be no; it may be more strategic to continue providing the same services that you already have in place. The answer may be to provide these services to a larger base of clients. If this is true, then a proper marketing strategy should bring your business the added revenue and traffic you are looking for, without it being necessary to add new technology and expand your staff.
Providing a wider variety of services aimed toward different types of clientele gives you the capability to stay in whatever your current marketplace might be. The options are almost limitless: record work, jingles, industrial projects, film/video scoring, post-production audio, editing, tape duplication, mastering and audio restoration, to name a few.
Some of these services must be primarily based in your local marketplace. For example, most advertising agencies that work on jingles are not willing to fly to another city, let alone drive very far. On the other hand, many recording artists are willing to fly halfway around the world for the right creative vibe or technology. Depending on your location, both situations should be considered.
In addition, there are many types of services that are not dependent on the physical location of your facility. Restoration work is one example. Generally, it is not necessary for the client to be present during most of the restoration work. If it is necessary, it can usually be handled by one person who need not be present at all times. Removing the travel costs from the formula dramatically affects the ability to offer many different services despite your, or your client's, location. Of course, it is still necessary to find your potential clients and introduce them to your business and services.
All of these points of diversification and expansion rely on one very important factor: your employees and the level of service and commitment to your clients that you provide. Even if it isn't necessary for the client to be present for all of the work that must be done, his needs must be met promptly, efficiently, courteously and professionally. Once you have gone to the trouble of attracting new clients, it's important that you maintain their confidence and repeat business.
In closing, I'd like to recommend SPARS as an organization that provides all of its members with the ability to begin networking beyond their existing markets. I've found SPARS members to be very open and willing to share valuable business and technical insights. You'll find the hard facts and camaraderie to help explore new areas of business from those who have survived and succeeded. SPARS itself is very diverse in its membership and capabilities, reflecting the growing diversity of our industry.
Jon Dressel is studio operations manager of Paisley Park Studios in Minneapolis and a member of the SPARS board of directors.
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Circle (13) on Rapid Facts Card
Talk is Cheap
By Rick Schwartz
A lot of people are talking about the standardization of digital audio workstations, but few seem to be doing anything about it. There are really two issues here: sound file compatibility and playlist compatibility.
Let's start with sound file compatibility. Sound files are stored on very large hard disks. Most systems use Winchester-style magnetic drives, which comply more or less to the SCSI standard. Because of this fact, many drives could be interchangeable, but here is where the trouble begins.
Not all disks are formatted using the same disk operating system. As a result, one system cannot read another's disk directory to find out what is on the disk. However, there is hope, especially among manufacturers on the same platform. Macintosh users can easily interchange media whether it be an optical platter, SyQuest cartridge or a streamer tape. Although few companies seem to be using it, there is a standard for sound file exchange.
A STANDARD EXISTS
The Audio Interchange File Format (AIFF) provides a standard for storing sound. The format is quite flexible, allowing for the storage of single or multichannel sounds at a variety of different sample rates. AIFF conforms to an earlier standard developed by Electronic Arts and is the result of meetings held with music developers over a 10-month period in 1987-88.
In order to fully understand the AIFF standard, you need to learn a new word: chunk. It represents a type of data. A simple AIFF file consists of a common chunk and a sound data chunk. The common chunk describes basic parameters of the sound, like the number of channels, its length and sample rate. Any number of channels may be supported, even 6-channel film sound. For multichannel use, the sound is interleaved.
The second part of an AIFF file is the sound data chunk, which contains the actual audio samples. The standard supports up to 32-bit resolution. One nice thing about AIFF is that a 12-bit device can read 16-bit files, by ignoring the last four bits.
AIFF is mainly an interchange format, although programmers should find it flexible enough to use as a data storage format as well. There are several optional chunks like the instrument chunk, which is ideal for use with digital samplers. It contains special parameters for looping, keyboard mapping, pitch range and more. If an application wishes to continue using its existing format, it should be able to convert to and from the AIFF format.
Everything is getting smaller, faster and cheaper except hard disks, which are getting larger, faster and cheaper.
One example of this compatibility is Sound Designer II from Digidesign. Sound Designer supports the AIFF format for mono sound files, but converts to other formats as well. By storing data in the AIFF format, it is easy to go back and forth between Passport's Alchemy, Digidesign's Sound Designer, Opcode's Studio Vision and even to a Studer Editech Dyaxis digital editing system. Even if AIFF files are not supported, it is not difficult to open sound files from another manufacturer, if it chooses to make its file formats public.
A SIMPLE SOLUTION
The next obstacle to DAW standardization is playlist compatibility. Fortunately, there is a popular format for edit decision lists (EDLs) from a company called CMX. Although most video editing equipment conforms to this standard, very few audio manufacturers support it. It is unlikely that you will be able to directly open a playlist from another workstation. This is not a problem if programmers add simple conversion utilities to their products.
The DAW manufacturers need to get together and work out a standard like the MIDI manufacturers did two years ago for MIDI song files. It can be done. Most likely, each company will need to convert its EDLs to a text file, so that it can be read by any type of computer system. A playlist is small compared to a sound file and will most likely fit on a high density floppy disk. There are floppy disk drives that can read both IBM and Macintosh disks.
WHY BOTHER?
In case you're wondering why inter-platform sound file exchange is so important, consider the fact that it is easy to fill up a 300Mbyte, or even a 600Mbyte, hard disk with audio. You can think of 300Mbytes as the equivalent of a 10-inch reel of tape. If a client could simply bring in a universal format removable disk, it would eliminate the time required to upload and download sound files into the system. This is a problem, however, because who pays for this transfer time, the client or the studio? This dilemma was never an issue with multitrack, because of the popularity of 2-inch tape machines.
For some reason, DAW manufacturers do not seem to be highly motivated to adopt a universal file format, possibly because of the fear that they could lose market share. If such a universal standard existed, companies that had previously shied away (i.e., the Japanese manufacturers), might be more inclined to produce a digital workstation. They could then sell enough devices to make such an endeavor profitable by taking advantage of an already existing user base. But regardless of these risks, you can't stop progress. DAW users will demand more exchangeability in future products.
COMDEX EXPLODES
I had a dream. I was in the middle of a giant hall with the two great superpowers — Apple and IBM — but it wasn't a dream. It was COMDEX, the giant computer show. This year, Apple seemed ready to go head-to-head with IBM feature for feature, dollar for dollar. Held at the Las Vegas Convention Center, COMDEX was out of control. To see everything at this megashow, you would need to walk more than 22 miles of aisles. We're talkin' 40-plus football fields of exhibit space. Not bad in a recession year. Try to get a hotel room with 120,000+ conventioneers in town.
SMALLER, FASTER, CHEAPER
So what's new? In a nutshell, it seems everything is getting smaller, faster and cheaper. Except, of course, hard disks, which are getting larger, faster and cheaper. Hard disk manufacturers are increasing performance by increasing rotational...
speeds or by using two disks that are spliced into one volume. This greatly reduces some types of seek times.
Another way to improve performance is by using third-party SCSI cards with greatly improved transfer rates. Rodime introduced a 3.5-inch hard disk with a formatted capacity of 540Mbytes. If that's not enough storage space, Seagate showed a (5.25-inch) 1.6Gbyte drive.
The DAW manufacturers need to get together and work out a standard like the MIDI manufacturers did.
SUPER FLOPPIES?
Sony is developing a 4Mbyte 3.5-inch floppy disk that is scheduled to ship this month. Eventually, the company expects to have a 20Mbyte floppy. It wasn't that long ago when 20Mbytes were the largest hard disks available — period.
One of the biggest problems with digital audio workstations has been where to put all of the data. There are really only two serious choices: removable optical media and tape streamers. MicroNet announced a 4mm DAT backup system capable of 3.3Gbytes, blowing the lid off the previous 1.3Gbyte limit. By using thinner tape, up to 5Gbytes is possible, the company said. That's equal to more than 6,000 double-density floppy disks.
Best of all, tape streamers are becoming faster because of hardware data compression techniques, which should make backups several times faster than "real time" in the future.
THIS YEAR'S BUZZWORD
Intel is making available special video processor chips, based on DVI (Digital Video Interactive) compression technology that will bring expanded multimedia applications into personal computers for less than $1,000. Desktop video is sure to be one of the next great buzzwords.
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Circle (14) on Rapid Facts Card
As the chairman and chief recording engineer at Telarc, Jack Renner is the head of what is arguably the world's most respected label for sound quality. While other labels produce classical recordings of high quality, Telarc stands apart for its consistency. Each one of its roughly 200 titles reaches higher and higher standards for recording quality and performance.
Renner has recorded many of the finest orchestras and conductors in the world. A partial list includes the Berlin Philharmonic, Vienna Philharmonic, Boston Symphony, Cleveland Orchestra, Philadelphia Orchestra, Los Angeles Philharmonic, Seiji Ozawa, Edo de Waart, Lorin Maazel, Eugene Ormandy, Zubin Mehta and Sir Charles Mackerras.
Dan Levitin is a contributing editor to R•E•P and a producer based in Stanford, CA.
Less is more: The Grammy-winning chairman of Telarc talks about miking and recording for classical music.
Renner has received the Best Engineered Classical Recording Grammy four times, and been nominated for it an additional seven times. He made the first U.S. symphonic digital recording in April 1978, and the first worldwide digital recording of a world-class orchestra in October of that year.
A master of microphone technique, Renner subscribes to the "less is more" theory. Rarely using more than five microphones on an entire symphony orchestra, his mic technique has been praised widely, most notably by the performers themselves, who describe his recordings as the most realistic they've ever heard.
Additionally, Telarc compact discs are exquisitely packaged, with extensive liner notes. And get this: Each recording includes specific information about which mics were used, and about the console, monitor speakers, and D/A converters — a practice that we would like to see adopted by all labels.
R•E•P: How many microphones do you use to record a symphony?
JR: That depends on the room, the piece being performed ... normally three and quite often as many as five.
R•E•P: What kind of mics?
JR: The three would normally be small diaphragm, omnidirectional microphones: B&K 4006, Schoeps MK2 or MK2-S, Sennheiser MKH-20. Again, depending on the acoustics and the orchestra, they would probably be anywhere from 10 to 11 feet off of the main floor, and somewhere from four to six feet away from the front row of the orchestra. The center one would be behind the conductor, and the other two would be spread 12 to 15 feet on either side, depending on how the orchestra's laid out.
R•E•P: Do you ever suspend mics from the ceiling? I'm thinking of the recent recording you did at Davies Symphony Hall in San Francisco [Michael Murray, "The Ruffatti Organ in Davies Symphony Hall"] where they have mics already placed and suspended, and which I believe they use for many of their recordings ...
JR: No, I use my own mics. I try not to hang from the ceiling. When you're in a closed recording situation, there's no reason to hang. The only reason you might hang is so that there are no mic stands obscuring the view of audience members.
R•E•P: You were telling me the other day about how much it costs to keep an orchestra waiting ...
JR: Right. Of course, it depends on the orchestra, and if you're in Europe, on the exchange rate and so on. On the average, with a really major, international orchestra, the cost is somewhere between $250 to $300 a minute. So I generally don't like to spend more than 15 minutes getting a sound before I'm ready to roll.
R•E•P: Clearly, you have to do as much setup as possible before the orchestra gets there.
JR: That's true. Typically, I'll go and listen to them first at a concert. It's often difficult to hear an orchestra in a rehearsal. But the mic placement I described to you works fairly well in most halls. We generally don't go into halls that we know are not going to work well for recording. Most of the places we use now are places where I've recorded before, so I know what to expect.
R•E•P: It seems like it would be impossible to get things going in 15 minutes, or even in an hour. There are so many variables: the piece they're going to play, the
orchestra on that particular day, the conductor ...
JR: Before the orchestra gets there, of course, the mics will be set up. They'll be on stands, plugged in, everything will be checked out, and they will be within this area that I've described. I may have spot mics on the winds, for instance, and they'll be set. From what I've learned over the years, I can come within inches of having them where they need to be for the kind of finished sound we want to get, and I can have that before the orchestra walks on stage.
Then they play a bit and I might move the mics around a little — it's really a matter of fine-tuning then. The only time I might take longer is if we have an unusual situation. Say a piano concerto where balance may be a problem. I always try to record orchestras and soloists in what would be a normal concert setup. I don't like moving people all over the place into strange positions just to accommodate the recording.
So if we're doing a piano concerto, the conductor normally has the backs of his legs practically against the rear of the piano. We try to keep it that way, because that's how they are used to playing concerts, so it's more comfortable for everyone involved. But you can see, this can present some balance problems.
R•E•P: How can you ensure that a soloist will come through without spot miking?
JR: I would normally spot mike soloists ...
R•E•P: And mix them in live ...
JR: Yes ...
R•E•P: So you have to have an intimate familiarity with the score.
JR: Right.
R•E•P: Do you record multitrack and mix down later?
JR: No, this is all live to 2-track. The producer is in the control room with me, and he follows the score very carefully. But
R•E•P: Do you record a piece all the way through, or do you edit sections together?
JR: There are two approaches. We try to get either complete movements, or where circumstances are right, we will have an orchestra run a complete symphony for us, just as if they were doing a concert. That gets the musical flow going; it just gives you much more of a finished performance. Once we've got at least two full performances of an entire work in the can, then we might go back in spots to record little sections where we have to. Normally we start our editing process with long, long chunks of tape.
R•E•P: What is your 2-track machine?
JR: We're typically recording to Sony 1630s, but we are only using that as a storage medium. We have outboard A/Ds.
R•E•P: And you do all of your editing from one 1630 to another?
JR: Right. And we never have to deal with Sony electronics at all, nor with the other digital formats. The A/D that we're using — the UltraAnalog — is a 20-bit, 128-times oversampling chip. Now we have our own R&D department here, and a fellow we're working with, Tom Stockham, developed the SoundStream digital system in the mid-1970s, which most of the American companies used. So we're using him as a consultant to help us develop our own proprietary A/Ds.
By going to 1630, we eliminate the need for mastering. We can just send our finished product directly to the CD manufacturer without having to ever relinquish control.
R•E•P: Who do you use for manufacturing?
JR: We use Digital Audio Disc Corp. in Terre Haute, IN, which does all of our Western Hemisphere and Far East product. Its sister plant in Austria manufactures our European product.
R•E•P: There's a recording that is interesting because it is so awful. It's not one of yours — it was one of the last Beethoven series that Herbert von Karajan did in the mid-1980s. It was a digital recording, and he close-miked everything ...
JR: That's right ...
R•E•P: Whenever a featured or solo instrument plays, it's right in your face. It is really annoying and you don't get any sense of natural ambience. And the story is that the Deutsche Grammophon people were hounding him to let them remix it, but he refused because he loved the way it sounded. I think he said something to the effect that it was how he had always heard it in his head.
"I've waited 14 years for a monitor this accurate. The HD-1 is worth the wait."
Roger Nichols
Engineer/Producer
Grammy Winner for: A.A., F.M., Gas-20-Steely Dan
Grammy Nominee, for Rikki Lee Jones; Nikki Le - Jones; Nightfly-Donald Fagen
Meyer Sound redefines the near-field monitor with the introduction of our HD-1 High Definition Recording Monitor. The HD-1 was designed to provide the most stable, accurate imaging available today. With an extended low frequency response to 32Hz, the HD-1 needs no external subwoofer. And the control electronics and power amplifier are built in the cabinet, eliminating the need for additional equipment or rack space. Contact us or your Meyer Sound dealer and listen to the HD-1.
There's no need to wait any longer.
Meyer Sound Laboratories, Inc.
2332 San Pablo Avenue
Berkeley, California 94702
(415) 486-1166
FAX (415) 486-8356
JR: Von Karajan was a great techno freak; he loved to fiddle with balances and he loved to fiddle with all of the new things. I would not lay the blame for the inappropriate balances totally at his feet; it may have been a product of what I think is general overmiking.
When I started working with the Vienna Philharmonic with my 5-mic setup — because the hall there is excessively reverberant and I needed two extra mics to get the detail I wanted — several members of the orchestra told me that they appreciate what they hear on my recordings more than any other label, because it sounds like the Vienna Philharmonic playing in its own hall. What they said was that when other companies come in, there are microphones everywhere and the result is that the Vienna Philharmonic ends up sounding like every other orchestra in every other hall.
R•E•P: That's a very good articulation of it. I think the reason you are a hero in the industry is because you are doing what everyone says they want to do, but hasn't figured out yet how to do it: You give every orchestra its own identity.
JR: Yes, that is what I've tried the hardest to do.
R•E•P: And within a given orchestra, each recording has a subtle identity that distinguishes it from the others. When you record performances of say, Mozart and Haydn, they sound as different as they should.
JR: I think part of that is in the miking, because I'm not sitting there mixing the whole performance and constantly overriding the balance decisions that the conductor has so carefully worked out with the orchestra.
R•E•P: Yes. Because ultimately one thing which distinguishes one composer from another, certainly apart from the music, is their choice of orchestration and balance, and that is what you preserve so well.
JR: Well, I am lucky, because I was trained as a musician rather than as an engineer, and I approach what I do from the musical aspect.
R•E•P: The economics of classical music are very different than pop, aren't they?
JR: Yes. If a major label sells 10,000 copies of a particular title, I think they're happy.
R•E•P: So at $250 a minute, it seems they can barely afford to record the entire piece and break even. As chairman of the company, how do you decide the balance between your artistic preferences and your business obligation? How do you decide whether to spend the extra few hundred or a thousand bucks to get something just a little bit better?
JR: That's a very easy decision: We are always going to make it as good as we can. And if it's going to take a few hundred extra dollars, we'll do it.
JR: I'd say 20,000 to 30,000 in the first couple of years, and then they just keep on going. We're past 50,000 with the first one we did there in Prague. And our jazz titles are doing incredibly well.
R•E•P: What's your overall philosophy of recording? How do you see your role?
JR: I see my role as being re-creative. I feel it is my job to try to re-create what the soloist and the group and the conductor have worked so hard to achieve, and not to intrude between the intention of the performers and what finally reaches the audience. I really think that the Telarc sound should represent the perception of the music that you would have if you were sitting in the concert hall.
Recommended Telarc Discography
Selecting a few representative titles from the vast Telarc discography is exceedingly difficult. All Telarc CDs are impeccably recorded and represent the standard in recording quality. The performances also meet the highest standards of quality. It is hard to go wrong with any Telarc release, but the following are our favorites:
- Cleveland Quartet: "Schubert: Trout Quintet/Quartet in A Minor." The members of the quartet perform on a matched set of Stradivarius instruments made between 1696 and 1736. Renner captured the sound on Schoeps M221B tube mics.
- The Cleveland Orchestra and Chorus, Christopher von Dohnnyi: "Beethoven Symphony Series." Available as a boxed set or individually. Highly recommended, even for those who already have a collection of these. You can't own too many versions of Beethoven symphonies.
- Sir Charles Mackerras, Prague Chamber Orchestra: "Mozart Symphony Series." Vibrant, particularly the "Jupiter." Available across a series of eight CDs.
- Jess Lpez-Cobos, Cincinnati Symphony Orchestra: "Franck Symphony in D Minor/Le Chasseur Maudit." A beautiful performance of a hard-to-find work.
- London Symphony Orchestra, Sir Charles Mackerras: "Tchaikovsky Nutcracker Complete Ballet Score." This recording comprised the soundtrack of the 1986 motion picture. The label warns: "CAUTION! Digital Cannons." A two-CD set.
- The Oscar Peterson Trio: "Live at the Blue Note" (with Bobby Durham). Renner said, "I used what is really a classical approach for recording this." The legendary jazz group captured at the famous Blue Note nightclub.
- Yoel Levi, Atlanta Symphony Orchestra: "Sibelius Symphonies No. 1 and 5." The opening clarinet solo in the first symphony has a natural ambience that is haunting. Renner used only Sennheiser MKH-20s.
- John O'Conner: "Beethoven Piano Sonatas series." By one of the brightest young pianists. Two of the more popular — the "Moonlight" and the "Pathétique" — are on the same disc.
- "Telarc Samplers 1-4." An introduction to the diversity available on Telarc — a good way to find out what you like.
ANNOUNCING A BREAKTHROUGH THAT WILL STAND THE RECORDING INDUSTRY ON ITS
INTRODUCING THE MX-2D™ DIGITAL AUDIO SERIES MAGNETO OPTICAL DRIVE
The revolutionary MX-2D™ Magneto Optical Disk Drive represents the latest achievement in removable disk drive technology from the "Masters of Mass Storage", Eltekon Technologies.
Ruggedly designed for continuous studio use, the MX-2D™ incorporates state of the art innovations which enable it to record Digital Audio at 48kHz stereo directly to Magneto Optical disk. One cartridge is capable of storing a total of 650 mbytes (27 minutes per side) and is completely reusable. Repeated rewriting to the disk will not degrade its performance as is the case with conventional magnetic storage media. Furthermore, the laser optical technology of the MX-2D™ Magneto Optical Drive completely eliminates any possibility of data loss from a catastrophic "head crash".
Step into the future of hard disk recording today with the Eltekon Technologies MX-2D™ Digital Audio Series Magneto Optical Drive!
Ask about our new CD Mastering service.
Eltekon Technologies
37491 Schoolcraft Rd.
Livonia, Mich. 48150
Phone: 313-462-3155
Fax: 313-462-5922
See us at NAMM Expo '91
Booth #4665
Circle (16) on Rapid Facts Card
"THE MASTERS OF MASS STORAGE"
The microprocessor is probably the most significant technological innovation of the 20th century. These "computers on a chip" have influenced virtually every aspect of our lives, and we rely on computers to carry out many tasks we now take for granted. Word processors have replaced typewriters, Nintendo has superseded Monopoly, and even our coffee makers are computerized. I can't remember the last time I set foot in a bank, now that automated teller machines exist on every corner. As accustomed as I have become to the omnipresence of computers, I was surprised recently when an auto mechanic told me that my car needed a software update to correct a problem. Well, that's one computer that I hope never crashes!
Peter Gotcher is president of Digidesign, Menlo Park, CA.
The revolution will not be televised; it will be computerized.
IF A·DAM IS JUST ANOTHER DIGITAL MULTI-TRACK,
STEVIE IS JUST ANOTHER MUSICIAN.
You know how good this guy is. For total musical abilities there's simply no one better. So when an impressive guy like Stevie tells us he's real impressed with A·DAM, its music to our ears.
Well, what Stevie is doing for music, Akai is doing for digital multi-track. A·DAM. The world's first portable digital multi-track, with the convenience of universally accepted 8mm tape, gives you the flexibility to expand to 36 tracks. It's the only digital machine within the means of any professional application.
A·DAM is the ultimate satellite multi-track. In a midi facility, A·DAM is the ideal primary machine because its SMPTE compatibility lets you devote 12 digital tracks to vocals. And with single frame editing, you can now eliminate the most difficult breaths and pops with absolute precision.
A·DAM. Just another wonder from Akai. Call today for the authorized AKAI Digital dealer nearest you.
AKAI
DIGITAL
PO Box 2344 • Fort Worth, TX 76113
(817) 336-5114
Circle (17) on Rapid Facts Card
Processed?
Processed speaker systems use a dedicated line-level electronics control unit ahead of the power amps. Typical signal processing senses the power amp outputs, and includes band pass filters, EQ, delay for offset transducers, and limiting for speaker protection.
Let's examine half space axial response recordings of a typical processed system at various input levels, beginning at 10 watts output at 300 Hz from the LF amp, increasing in 3, 5, 6 and 7 dB increments, equal to 20, 30, 40 and 50 watts in a linear system.
At 10 watts, the response was ± 4 dB from 65 Hz to 14 kHz. At +3 dB, the limiters reduce the low and high EQ. Above +3 dB, limiting has flattened the EQ and is gain-reducing the LF and HF bands independently, raising the low pass, and lowering the high pass frequencies.
At these modest levels, the LF and HF overlap, rather than cross-over. Because the LF and HF sum coherently where they overlap, dynamic expansion results. For a 7 dB increase in input level, the lows increase 4 dB, highs only 2 dB, but the mids increase 13 dB.
This non-linearity is the result of conflicting design objectives. High SPLs need high efficiency, but high efficiency needs lots of EQ for extended response in compact systems. The EQ improves response at low levels, but jeopardizes speaker survival at high levels. Limiting doesn't provide use protection for the speakers — limiting actually operates the components closer to thermal damage risk limits.
Here, limiting sacrifices dynamic linearity and consistency of sound quality to protect the speakers by defeating the EQ needed to make the system sound acceptable in the first place.
Slice, Dice, Mince, Chop, Grate or Puree?
If you're a musician, recording engineer or producer, you know that the next computer revolution is taking place now in the recording studio. Although analog recording technology is still holding on (thanks in large part to Ray Dolby's brilliant work), the future is clearly digital. The transition is inevitable, but when will it be complete?
Sure, computer technology has been infiltrating the studio for many years now. First, with mixing automation systems, then programmable synthesizers, effects devices and MIDI sequencers. Just as a secretary would never go back to a typewriter, carbons and white-out, we can't imagine making a record these days without such modern conveniences. However, the real computer revolution in the audio industry is right around the corner: computer-based, complete digital audio production systems that provide random access recording, editing and mixing, all in the digital domain from mic pre-amp to consumer playback. No more tape, no more patch bays.
Many studio pros are investing in digital audio workstations simply because they recognize the creative power and efficiency of these systems. (That's the first and last time I'll use the "W" word; let's just call them digital audio editing systems.) If you are still cutting tape with a razor blade, I highly recommend that you check out the technology available today for digital audio editing. I know very few engineers who still prefer traditional editing methods after they have used a good digital audio editing system. The main reason to join the digital audio "revolution" is simple—it works.
What role will you play in this revolution? Will you use these new tools to your advantage, or will technology leave you behind? Studio owners, producers, engineers and artists alike must consider the impact of the digital audio revolution on their professional careers.
If you are a commercial studio owner, you probably already fear lost business to sophisticated home, or "project," studios. Although most existing home studios cannot really compete with commercial studios because of the current technology/cost gap (how many home studio owners can afford a 2-inch, 24-track or large console?), new developments in computer-based home studio recording equipment show signs of bridging this gap. Within the next two years, the cost of a multitrack digital audio/MIDI studio will drop well below $20,000—well within the affordability range of many small or home studio owners.
Commercial studio owners must ask themselves some tough questions: What capabilities will these systems have? What
advantage can my commercial studio offer over a sophisticated digital home studio? How can I continue to survive as a profitable service business? My answer is simple, and is based on precedents from other industries that have undergone widespread computerization: Don’t fight it, be compatible and look for “value added” in new services that complement the smaller studios.
Let’s consider the example of an industry that went through a similar evolutionary stage several years ago. Typesetting used to be a pure service bureau business. If you needed a typeset brochure, book or business card, you went to a typesetting house that owned large, expensive equipment (sound familiar?) to produce quality type. When low-cost laser printers and personal computer word processing/page layout software became available in the mid-1980s, typesetters faced a serious dilemma: Their (former) customers could now produce typeset materials in-house at a fraction of the cost charged by the typesetters.
Some typesetting businesses fought this trend by claiming that “the quality isn’t as good” (it wasn’t) and “good typesetting is an art” (it is), among other arguments. Many typesetters went out of business. Other typesetters accommodated their clients’ desire to use inexpensive, computer-based typesetting by being compatible with their clients’ systems and offering augmented services.
Clients could produce layouts in-house, then simply take a disk to the typesetting house when higher quality printouts were needed. These typesetting houses also bought specialized equipment that clients were unlikely to own (such as high-quality scanners and color printers) and offered time and expertise on these systems to their clients.
The moral of this story? The typesetters who resisted the advancing technology lost business, while the more progressive (and successful) typesetters embraced the new technology and found new ways to add value for their clients.
The recording industry is at a similar crossroads. Music studio clients, such as musicians and producers, can do more at home than ever before. Most musicians I know prefer to do as much production as possible at home. Home is comfortable, private, distractions are few (unless, like me, you have a 14-month-old son) and the time clock isn’t ticking away at $20 to $200 an hour. In the past, MIDI synths, samplers and sequencers have allowed extensive small room “pre-production” work (particularly if you are a keyboard player).
Many studios have already recognized this trend and have installed MIDI systems
Non-processed.
True Sound, on the other hand, requires a speaker system that will render an accurate acoustic replication of its electrical input. No less, but no more.
A truly accurate speaker system does not interpret electrical signals. It has no personality, no characteristic sound. It neither adds, nor detracts from the program input. It doesn’t compensate for anything—accuracy isn’t negotiable at various sound levels. A speaker system is either accurate, or it is not.
Accuracy in a loudspeaker system calls for transducers that are manufactured to precise tolerances, to be sure. But it also demands that the loudspeaker systems be configured so that the transducers operate within their inherent electro-mechanical limitations.
In the Ramsa 500 Series Speaker Systems, there are no processors that compensate for frequency response deficiencies at low levels, only to remove the compensation at high levels so that the components can survive. Performance deficiencies have been avoided by designing within realistic capabilities of high quality transducers.
Measurements of a Ramsa WS-A500 speaker system; under identical conditions to the processed system recorded significant differences. Over the same range of input levels, the A-500 responses remain essentially unchanged, demonstrating linear dynamic performance. Consistent sound quality is what the 500 Series is all about.
At Ramsa, we are developing product concepts that deliver outstanding performance based upon science and reality, not fashion or fantasy. But don’t accept anybody’s technology as an article of faith. Audition the 500 Series at a local Ramsa Dealer’s showroom. Compare the accuracy of sound quality — regardless of cost — processed, or not. The integrity of the Ramsa 500 Series will speak for itself.
For more information contact: Ramsa, 6550 Katella Ave., Cypress, CA 90620. 714-373-7278.
that allow clients to bring MIDI work from home to the studio. However, compatibility problems often occur. For example, the client uses one sequencer/computer combination at home, but your studio doesn't own the same setup. You try transferring a "standard" MIDI file between the two systems, but subtle (or not so subtle) differences between the home and studio systems result in music that "doesn't sound right." Frustration ensues. We've all been there.
The situation is worse if you are a singer, guitarist, saxophonist or any other non-keyboard musician. MIDI doesn't do much for you. You need to record audio tracks, not performance data for synthesizers and samplers. Traditionally, this meant setting up a home multitrack tape-based system, which is probably based on a tape format that is not compatible with commercial studios, and suffers from second-rate sound quality.
And heaven help you if you want to combine tape-based audio tracks with MIDI — you then must enter the nightmare realm of synchronization. Problems like these have kept those non-MIDI clients knocking on the commercial studio's door when the time comes to produce their future hit records. They simply can't get the job done at home.
That situation is currently changing on account of digital audio technology. Users who need audio tracks can now benefit from systems that combine the fidelity of 16-bit digital audio with the ease of use of MIDI sequencers. The latest technological breakthrough allows integrated recording and editing of MIDI and digital audio, providing a level of creative power that even most commercial studios do not currently offer. In addition, many home studios now have DAT recorders to mix down to, removing another advantage formerly held by commercial studios: digital mastering.
So what advantages does your commercial studio still have over the digital home studio of the future? What new services can you provide that complement the new home studios?
First, you have one advantage that the home studio is never likely to match: a quality acoustic environment. Few home studios have decent-sounding live recording rooms, and their control room acoustics and monitor speakers are usually inadequate for critical mixing. This issue may be more or less important to various clients — rock guitarists often feel that they can get the sounds they want by plugging directly into a rack of effects boxes. Singers, on the other hand, need the right acoustic environment and expensive antique microphones to get the best possible results. Most home studio owners will probably want to do the majority of tracking at home, and then rent time in commercial studios for tracking and final mixing that requires a good acoustical environment.
The challenge for the professional studio owner is to provide compatible equipment, which allows the home studio user to bring material into the commercial studio with as few problems as possible. This is not an easy matter, however, because few standards exist for digital audio interchange.
Unfortunately, because of the current lack of standards, there are only small "pockets" of compatibility among systems. Although many manufacturers are involved in discussions regarding broad-based standards, a truly universal standard is not likely to appear for at least three to five years, because most digital audio editing systems are based on personal computers with incompatible operating systems and disk formats. This is currently a subject of intense debate among both manufacturers and users of digital audio systems.
Users can't understand why an interchange standard that would allow them to simply remove a disk from one system and connect it to any other has not been developed. Although this problem seems straightforward on the surface, it is, in fact, an extremely difficult proposition. Even large computer companies, such as IBM and Apple, have been trying for many years to develop cross-compatibility between their own systems, as well as each other's, with little success. The problem of universal compatibility is challenging, but manufacturers of digital audio systems must address this problem if disk-based systems are to prevail as the standard for audio production. In the meantime, systems that are based on the same model computer can provide a reasonable level of compatibility. Although this is not an ideal situation, recording studios are accustomed to dealing with many different tape formats (/¼-inch, ½-inch, ¼-track, ½-track, 15ips, 30ips, Dolby A, Dolby SR, dbx etc.).
As a studio owner, you probably find the compatibility issue very confusing. It is. Even the manufacturers seem to be somewhat confused at this point. But can you afford to wait for these problems to be resolved before you invest in a digital audio editing system? No, unless you want to suffer the same fate as the typesetting businesses that ignored desktop publishing.
Because it is obviously impractical for a studio to own every system on the market, your best option is to invest in a system that has the greatest level of compatibility with your client base. Survey them to find out what system they are using, and then buy the system that will make it easiest for them to transfer their home pre-production work to your production environment. Although you may suffer some anxiety about investing in a system that may be superseded by next year's model, remember that all computer-based systems have the advantage of being software-upgradeable so you can add features. Look for a system that has a reputation for providing software updates on a regular basis. This will reduce the likelihood of early obsolescence, thus protecting your investment.
Another option is to look for an "open" system that is supported by software from several different companies. The open systems approach has proved very successful in the computer industry because users are not totally dependent on a single company to address all of their software needs. Some manufacturers even have a track record of offering hardware upgrades as technology advances, further protecting your investment.
Once you have a basic system installed
that provides compatibility with your client base, look for additional services you can provide that will tie into the basic system. For example, CD recorders are now available that allow audio CDs to be "pressed" directly from a digital audio system or DAT tape. Providing "instant" CDs would be an attractive (and profitable) addition to any studio's rate card.
I have always felt that it is ironic that studios invest vast sums of money for high-end recording gear, then send their paying clients home with a lowly cassette of their work. Although DAT is becoming popular, there are tens of millions of CD players in the United States alone.
CDs are clearly the best medium for a high-quality reference mix or demo. However, CD recorders are still fairly expensive (complete systems sell for $30,000 and up), so clients are very unlikely to buy their own. This is a capital investment that a studio owner can amortize across many clients' usage requirements, resulting in a profitable use of the commercial studio's capital.
Providing production quantity CDs to your clients can be another profitable addition to your business. Some systems are better suited for CD mastering than others. Be sure to review the entire process (and expense) of creating a CD master when comparing systems. Establish a relationship with a CD mastering/pressing facility, and be sure to negotiate for the lowest possible mastering and replication rates.
Besides client-compatible audio systems, where else should a studio owner invest his/her capital to bring more business in the door? Remember to think about the unique value your studio can add that a typical home studio lacks. Invest in creating an excellent acoustical environment for both tracking and mixing. Quality microphones are still a good investment because they are an essential link in capturing the subtleties of acoustical sound sources. To belabor the desktop publishing/typesetting analogy, microphones are like image scanners — home users are likely to own the basics, but they will go to a commercial operation when they need higher-quality options.
Of course, perhaps the biggest benefit you can offer to your clients is talent. Although many potential customers will be able to afford a sophisticated home studio, few will have the talent to make great-sounding records. Your staff's collective experience and skills relating to mic placement, production and mixing will never lose their value.
The trend toward sophisticated home studios is building momentum. Why waste your time lamenting the loss of business to these studios when you can add a new dimension to your business (and compete more effectively with the studio down the street) by embracing the new computer-based, digital audio technology.
Remember the simple formula for success: Be compatible with home systems, but add value through your facilities, additional equipment and skills.
ABOUT R•E•P
R•E•P is the Pro Audio Applications Magazine for Recording, Engineering and Production. Our readers consist of more than 20,000 professionals working in all areas of audio creation and production. Our goal each month is to present information that you can immediately apply to your working life.
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R•E•P welcomes press releases from all parties in the industry. However, we reserve the right to make the final determination as to what is appropriate for the readership. We also reserve the right to edit releases for length and clarity.
Please do not call to see if we've received your press release. We receive hundreds of releases each week, and it is impossible to track each one. Allow two to three months from the time you send the release in to when it appears in print. If it hasn't appeared by then, resubmit the release.
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Cutting Edge: the latest product introductions, hardware and software updates, and publications available to the industry.
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CORRECTIONS
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MIDI Spoken Here
and here...
here, too.
Fostex offers you by far the most sophisticated MIDI control in all of the most popular recording formats.
Choose either 16- or 8-track open reel or 4-track cassette and Fostex lets you use MIDI commands to control the recorder via the MTC-1.
It simply plugs into the R8 or 280 and provides a bridge between SMPTE time code and MIDI time code. For the G-16, the MTC-1 is on the optional Model 8330 plug-in synchronizer card.
Dip switches allow you to set a MIDI System Exclusive address (0-16), an address-free mode and MIDI note information.
Thus truly sophisticated MIDI control* with full system integration is now possible.
If you own an Atari™ or Macintosh™ computer, you’ll make the most of MIDI control with MidiRemote™ - a Fostex Desk Accessory. In addition to standard tape transport and monitoring control, the software will let you select tracks, locate and loop among ten cue points, automatically punch-in/out, set zone limits, display MIDI time code and generate SMPTE code (all 4 formats).
The Macintosh software works with Performer and Master Tracks Pro. The Atari software works with Master Tracks Pro and Dr. T’s KCS.
Steinberg’s Cuebase sequencer has a device driver for the MTC-1 and 8330 built-in, so you don’t need MidiRemote software with it.
As with all computer interfacing certain restrictions apply. So check the details at your local Fostex Dealer or call Fostex.
No other tape recorder company offers a better combination of hardware and software.
* The 280/MTC-1 interface does not offer all of the functions available with the open reel interface. * Atari and Macintosh are registered trademarks.
© 1990 Fostex Corporation of America
15431 Blackburn Avenue
Norwalk, CA 90650
(213) 921-1112.
Circle (21) on Rapid Facts Card
The Future of Audio Test Technology
By Dr. Richard C. Cabot, P.E.
Even in the early days of audio engineering, the need to quantify the performance of equipment was well understood. Testing allowed designers to understand the engineering tradeoffs available to them and to compare their design refinements. Testing permitted manufacturers to specify the performance of their equipment and contrast that with the performance of their competitor's equipment. It also enabled users to verify that the equipment they purchased met the specifications advertised by the manufacturer. If a piece of equipment stopped meeting these specifications it was generally time to service or replace it.
The specifications of audio equipment are continually improving. Analog equipment has improved tremendously, in large part because of the competition provided by digital equipment. A prime example is the development of Dolby SR as a viable interim alternative to digital recorders.
In most cases, this performance improvement has brought an increase in complexity. The increased complexity means a greater chance for misalignment, drift or failure. Because of competition in recording and related audio industries, the costs of down-time are multiplying. Preventive maintenance will assume a greater role in the bottom line.
Digital audio equipment is not only more complicated than its analog counterpart, it introduces new problems into the studio. Analog gear, which can be interconnected with relative ease, suffers mostly in the areas of level mismatch, hum, RFI and line balance. However, digital incompatibilities arise from different sample rates, interface formats, level mismatches, line reflections, RFI and manufacturer's differing interpretations of interface standards.
The prevalence of the compact disc has raised listeners' expectations of sound quality. DAT has allowed people to make recordings of local events, which rival that of many commercial concert recordings. New technologies for direct digital broadcast into homes, already in experimental use in Japan, will likely become common in a few years. To keep competitive in this changing marketplace, the recording sound quality will become much more important in the success of the music.
EARLY APPROACHES TO AUDIO TESTING
Frequency response is undoubtedly the oldest measurement in use today. The original approach was to stimulate the equipment with a sine wave and measure the level at both the input and output. Gain could be computed from the two values. This was repeated for many different frequencies and the results were graphed. The measurements were sequential because they were performed by humans, and humans cannot efficiently process many pieces of information simultaneously.
Most early audio equipment added noise, and techniques were developed to quantify its subjective level. It was recognized early that the voltage or power of noise is not representative of its audibility. The A weighting curve was an attempt, using simple components, to simulate the frequency response of the ear for low-level sounds.
Seeking a way to characterize nonlinearities, the ability of a device to process a signal and not add anything new to it was studied. Harmonic distortion was the earliest approach; it was done by applying a sine wave and measuring what was left in the output when the sine wave was removed. CCIF intermodulation distortion testing uses two closely spaced tones and was developed to allow measurements in limited bandwidth systems. Most other distortion techniques were devised in response to audible effects noted in a given new technology. The "transistor sound" that plagued early transistorized consoles and recorders led to the development of TIM and DIM (transient and...
dynamic intermodulation) distortion test.
**COMPUTER-BASED MEASUREMENTS**
The tremendous rise in popularity of computers has brought new ways of doing most things, including making measurements. By adding computer-interface ports to audio measurement equipment, the computer can be connected as the brain of a complete audio test system. The early attempts at this required the user to write the programs that controlled the equipment. Of course, most users had neither the time nor the skill for such programming. Application of this equipment was limited to large organizations, usually manufacturers, which could hire people for the task.
The Audio Precision System One is a computer-based audio measurement set that includes both hardware and software specifically designed for the needs of professional audio personnel. The user selects test setups from menus and control panels in the software, avoiding any involvement with programming in the classic sense. The synergism of hardware and software allows the system to perform measurements that are impractical with manually operated equipment and are difficult to program with more general-purpose audio measurement hardware. The System One has recently been expanded to perform measurements directly on digital signals in the digital domain.
The System One is personal computer-based but places all of the measurement hardware in a separate chassis outside the computer to avoid the performance compromises inherent in a noisy computer environment. Recent products have been introduced from Ariel, DRA and others, which are plug-in measurement cards for computers. These offer an attractive small size and relatively low cost but are largely limited to acoustic applications where the performance requirements are not as severe.
Computer processing can also be built into test equipment to assist the operator while maintaining the feel of conventional audio measurement equipment. The Audio Precision Portable One provides single-button operation for most audio measurements. All parameters of a measurement mode, such as bandwidth and reading units, are saved independently for each mode. All measurements may be displayed in a digital or analog bar graph readout.
**DIGITAL TESTS**
Although digital audio was touted as "perfect audio forever," the industry soon realized that digital requires its own new set of measurements, which are still evolving. Digital systems involve a class of circuitry (A/D and D/A converters) that is among the most complex and "tweaky" in its analog aspects. This produces imperfections that have not occurred with analog systems. Several techniques have been developed to characterize these imperfections. As the subtleties of digital signal processing are discovered, there will be more such imperfections uncovered.
The conversion of analog signals to digital words starts with an infinite resolution signal and converts it to a series of numbers with finite precision. This process is called quantization and adds noise to the signal. Unlike noise in analog electronics, quantization noise changes with the signal itself. To measure this effect, a variable-level, low-frequency signal is applied to the test device. The noise amplitude after removing the signal is measured as a function of signal level.
Level linearity measurements examine the ability of digital systems to correctly reproduce low-level signals. It was developed in response to the complaint that some digital systems lost the reverberation in recordings. With misadjusted or poorly designed converters, low-level signals can be reproduced at the wrong level. Level linearity testing applies a signal of adjustable level to the device and measures the level of the original signal in the output using a bandpass filter. As the signal level is decreased from full scale down into the background noise, the output level should track. Any deviation in gain represents an error.
This quantization noise measurement does not address the changes in spectral distribution that may occur with the signal. It is quite possible for different nonlinearities to produce the same audio band noise level but have completely different tonal balance. The ear is quite sensitive to shifts in spectrum, detecting changes of less than 1dB. If the quantization noise measurement is followed by a 1/3-octave analysis of the noise spectrum, potentially audible shifts in tonal color may be detected. The input signal level is changed and the noise floor is measured as a function of frequency for each level. If the converter was ideal, all of the traces would be identical and there would be no change in the background noise with signal. Any change that occurs is representative of level and/or spectral changes in the converter output. If a single number measurement is desired, the largest deviation in any of the 1/3-octave bands is then defined to be the noise modulation.
Figure 4. Five-tone signal spectrum showing fundamentals, harmonics and intermodulation of a noise-reduction unit.
Go Ahead, Drive It—You’ve Got The Keys
Introducing the Peavey DPM® V3. Made for the musician who already owns a MIDI keyboard and wants to incorporate the punch and presence of the DPM® 3 into his current system. The DPM V3 is a rack-mountable module containing all the voice-producing capabilities of the revolutionary DPM 3 synthesizer.
- Software-based open architecture voice generation
- 16-bit, studio-quality PCM wavesamples
- 4 Megabyte ROM wavesample memory
- Loadable wavesample RAM (expandable to 1 Megabyte)
- 6 individually assignable outputs
NEW TEST TECHNIQUES
One way to speed a complex set of measurements is to use parallel processing. To do this, all test frequencies are applied simultaneously as shown in Figure 1. To obtain the desired data, each one must be measured individually at the output with a dedicated bandpass filter, voltmeter and phasemeter. The cost and complexity of multiple bandpass filters and RMS converters would be substantial, especially if high accuracy was required. The sharpness of each filter, which is required at high frequencies to separate distortion products from original stimulus frequencies, would work against the use of inexpensive $1/3$-octave-type filters.
This high performance, frequency-selective analysis is supplied by an FFT. The FFT operates with sampled data, acquiring a block of input signal, and transforming it to the frequency domain. The block length is typically chosen to be a power of two, but this is not required with some FFT algorithms. The transformation yields one frequency point for each pair of input samples, giving 8192 frequency points from 16,384 input samples. Because a fixed number of points will be acquired for analysis, the stimulus signal may be generated digitally to exactly match the acquisition length of the FFT analysis. This block orientation of stimulus and analysis produces a fixed frequency resolution of the stimulus frequencies matching the bin centers of the analysis.
Figure 2 shows the spectrum of a 60-
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**Figure 5. Distortion plot obtained by measuring amplitude at harmonic frequencies only.**
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- 24-bit programmable multi-effects processing
- 5 alternate tunings (3 factory; 2 user programmable)
- 10 user programmable 32-piece drum kits
- 200 internal programs (expandable to 300 with Peavey Cache Card™)
- 16-voice polyphonic/16-voice multi-timbral dual oscillator program architecture
- DPM 3 expansion compatibility
- Easy-to-use 20 character x 2 line operator display
- 1 I.U. rack-mountable configuration
tone (1/6-octave) test signal. All frequencies are contained in the signal simultaneously. By using data at only the frequencies of the original stimulus, a conventional frequency response graph is obtained as shown in Figure 3. The measured points are interpolated to obtain the complete curve. Because the frequencies used in the stimulus may be user-selected, detail may be concentrated in frequency ranges of special interest. If performance in the low-frequency and high-frequency regions are known to be the problem areas, the test signal might consist of five tones from 20Hz to 100Hz, a tone at 1kHz and five tones from 10kHz to 20kHz.
Non-linearities in the system under test will produce harmonics of the stimulus sine waves. If stimulus frequencies that are not integer multiples of each other are selected, the harmonics of these tones will occur at unique places in the spectrum. The high-frequency resolution of the FFT allows the amplitude of each harmonic to be measured separately. If the system has non-linearities, there will be intermodulation products between all combinations of tone frequencies. By modeling the non-linearity as a power series, the intermodulation frequencies can be predicted.
These intermodulation components will appear at frequencies above, below and between the stimulus frequencies. The calculation of these intermodulation frequencies gets very complex when many stimulus tones are included and when the non-linearity is of high order. A plot of a
Figure 6. Time-domain view of a 60-tone test signal with random phases.
5-tone signal, its harmonics and intermodulation distortion is shown in Figure 4. With the appropriate selection in software, the distortion products alone may be measured and compared to limits as in Figure 5.
By picking stimulus frequencies that leave gaps in the harmonic and intermodulation spectrum, it is possible to measure noise with this same test. The FFT analysis merely has to display the levels in the otherwise empty bins to obtain a plot of noise floor spectrum. The squared and summed value must be multiplied by a constant representing the number of bins used in the computation, the bandwidth of the bins and the bandwidth of the measurement, to yield an accurate wideband noise figure. If enough frequency points are used it is possible to factor in weighting filter gain vs. frequency when computing noise, yielding a weighted noise measurement.
It is important to note that the distortion measurements obtained with this technique are not directly comparable to those obtained by single sine wave THD+N testing or by conventional IMD testing. There are several reasons for this. The crest factor of a multitone stimulus will always be higher than that of a single sine wave. For the same peak signal amplitude, the amplitude of each individual tone will be lower than a single sine wave at that frequency. The resulting distortion products will be different in the two cases.
Multitone test signals are much more like program material in the time domain than traditional sine wave stimuli. The waveshape of the 60-tone signal is shown in Figure 6. The software that creates the stimulus waveform allows the amplitude of each component to be separately specified. This capability may be used to shape the stimulus spectrum to simulate the program material. If the test signal spectrum matches that of typical program material, it will more accurately predict the behavior of noise reducers and other processing equipment in use.
REFERENCES
Cabot, R.C., “Noise Modulation in Digital Audio Devices,” R&E-P, 19 (7):20-24; 1988 July.
Cabot, R.C., “Measuring Digital Devices in the Digital Domain,” presented at the 86th convention of the Audio Engineering Society, March 1989. Journal of the Audio Engineering Society (Abstracts), 37(5):399, 1989 May; Preprint *2800
Cabot, R.C., “Measuring AES-EBU Digital Audio Interfaces.” Journal of the Audio Engineering Society 38(6):459-468, 1990 June.
Cabot, R.C., “Fast Measurement of Response and Distortion,” to be presented at the 90th convention of the Audio Engineering Society, February 1991.
Fielder, Louis D., “Evaluation of the Audible Distortion and Noise Produced by Digital Audio Converters,” Journal of the Audio Engineering Society, 35(7/8):517-535; 1987 July/August.
Finger, Robert A., “On the Use of Computer-Generated Dithered Test Signals,” Journal of the Audio Engineering Society, 35(6):434-445; 1987 June.
Producing For New Technologies
With the convergence of a number of newly emerging technologies, information producers now have many more effective ways to communicate their subject matter. One long-promised vehicle that has finally arrived on the scene is interactive multimedia, with many companies on different continents racing to provide hardware. A large need will arise for audio and video production to satisfy the huge projected requirements of commercial, industrial and consumer program material for the just-emerging multimedia hardware platforms.
With multimedia, consumers of information can experience sound, text, graphics, pictures and even video in any form, mixture or order they desire. This means that a viewer/listener (or maybe, "interactor") can much more widely experience ballet, or learn who Beethoven was, or perhaps tour a museum, choosing which halls and exhibits to see. A mechanical technician might select a component of an engine on a screen and call up a complete parts list, see a video or animation on how that part works and even hear what probable problems sound like. The scope of interactive programs that will appear in the future will be limited only by the imagination and commitment of the producers — people like you — working with audio, video and text.
Industries affected by this multimedia revolution will not only be in the training and education fields, but also in entertainment, marketing, information reference and more. Big players have already plunged headfirst into the arena because
One of the end products engineers and producers will be producing for audio will be multimedia appliances — dedicated playback machines built for interactive applications.
Sean Kitzmiller is an Industrial designer in charge of product design and corporate communications for Empruve, Knoxville, TN.
researchers have predicted that multimedia products and services will be an $11 billion market by 1993. In a recent *Business Week* article, Apple chairman John Sculley said, "Multimedia will change the world in the 1990s as personal computing did in the 1980s." Microsoft chairman William H. Gates III has also insisted that multimedia "will be bigger than everything we do today."
**THE IMPORTANCE OF VISION**
"Computer and TV manufacturers are obviously looking at the multimedia industry as a way to sell more computers and TVs," says Danny McCall, president of playback hardware manufacturer Empruve. He noted that only 2% of the top decision makers in the country and fewer than 10% of the nation's doctors feel comfortable with personal computers. IBM and Apple both have multimedia stations, which usually consist of their high-end personal computers, equipped with special video or audio processing cards; A/D and D/A converters; a menagerie of external components, such as CD-ROM drives; videodisc players; and peripherals, such as speaker systems. Philips is offering a solution called CD-I, which is positioned and priced as end-user consumer based. It consists of a player that is attached to a standard TV. Commodore's CD-TV, another video-based consumer platform, is similar.
Before specifically describing new developments in hardware, it is important to point out the technologies that have allowed multimedia to become a reality. One of the prerequisites of interactive multimedia is massive storage. Like its audio cousin, CD-ROM (read-only memory) stores information digitally. However, audio is not the only form of digital media the disc handles. One standard ROM disc can store more than 600Mbytes of data in text, audio, graphics, animation and video. Such a disc can contain the equivalent of 650,000 pages of printed text. A standard 1-hour audio disc can hold only 30 seconds of high-resolution digital video. DVI (Digital Video Interactive) is a new technology from Intel that allows the compression of digital information by factors of 100 or more. DVI compression is unique in that it can be accessed randomly and in real time, with no off-line number crunching involved. This means that CD-
ROMs can now store true multimedia, including full-motion video at 30 frames per second.
**A CORNUCOPIA OF INFORMATION**
An example of an all-in-one playback platform is Empruve's Cornucopia. This device has taken a ground-up approach to this new emerging industry.
"Instead of starting with a computer and adding-on pieces or trying to turn a television into an interactive tool, we concentrated on the human considerations, both cognitive and ergonomic, in coming up with the solution for the delivery, access and navigation through information," McCall says.
The product is billed as an interactive multimedia appliance, and in many ways it is a book with moving pictures and sound, using a microprocessor for navigation.
"The importance of the audio cannot be ignored," says McCall. "No other media is so spontaneous and powerful in creating a direct response, not to mention communicating information."
Beneath the ergonomic surface is technology that includes a 386/20MHz processor with 1Mbyte of RAM. Media comes from an interchangeable CD-ROM optical disc and on-line sources. There is also a solid-state disc; a digital signal processor using DVI technology; and a variety of optional hardware, such as hard, floppy or floptical drives, a voice-synthesized annotator, a bar code reader, a LAN adapter, CD-ROM tower Jukebox network applications and a modem. To take advantage of this system, Cornucopia offers serial communications and printer ports, video and external monitor outputs and a regular keyboard connector.
In a break from typical consumer sales-oriented manufacturing, Empruve is acting as an OEM and configuring systems to special business-user specifications for their own internal use or to distribute to their customers. Examples of possible applications and areas of commercial development include universities and their students, automobile companies and their dealer's service technicians, or insurance companies and their sales forces.
**PRODUCING FOR MULTIMEDIA**
To facilitate multimedia production for Cornucopia, Empruve is currently putting together a Content Development Center. The center consists of both a PC and Macintosh II hardware platform and an authoring software package, which is designed to guide an audio or video producer when creating material that plays on such a multimedia hardware platform as the Cornucopia. The center will also consist of a console to simulate the way a program author's presentation will be seen on Cornucopia. Empruve is currently developing its own authoring tools and investigating the use of custom versions of new off-the-shelf multimedia authoring software packages.
For the engineer or producer, the program material can be created using relatively traditional techniques, mapped into interactive segments. Video can be captured and digitized from such sources as videotape, camcorders or high-end film production cameras. The audio source can be from tape, a sample or live, and prepped to digital tape just as program material destined for a CD would be.
Farrel Smith, the audio design engineer at Empruve and a 30-year veteran at Philips/Magnavox, believes that even with DVI compression, program material has the capacity to be as clean in resolution as the source.
"The sampling rate is actually higher than CD audio production," Smith says. As with any production, there will be various levels of sophistication involved. Publishers/producers will use the actual center to construct multimedia information products, pulling together produced segments from different recorded media, and then refining these products before producing an optical disc.
Producers can either undertake entire multimedia designs themselves or can involve program segment producers before the overall program design, much the way audio post or sweetening is accomplished in video or film work.
"We are anxious to seek partnerships with content producers," McCall stresses. "We will not be offering our product to the end-user. Rather, we will build appliances tailored to the specific needs and business agenda of the purveyors of information, such as a medical reference company, an encyclopedia company, a government agency or a corporation.
"With the recent release of the product's announcement, we have attracted the interest of many Fortune 500 corporations. We think multimedia hardware like Cornucopia will spawn whole new industries of publishing and producing for use with this appliance."
Q: How will technology change our industry in the 1990s?
A: The most significant change will likely develop as storage for digital audio matures. Magneto-optical technology is a rising star in the data storage arena. This is a very high density storage medium; tests have shown it to be more stable and reliable than other magnetic media such as hard or floppy disks.
Removable disks can contain a number of gigabytes of data. Currently, a gigabyte of media (roughly three hours of single-channel audio) may cost $300 or less, which will likely drop significantly as the technology is more widely used. Compare that to a reel of 2-inch 24-track tape (six hours of single-channel audio at 30ips). So next time your producer says, "Gimme MO," you will know what to do.
Q: I understand dynamic processing and effects processing, but what is spatial processing?
A: Spatial processing is a term that represents the latest audio techniques to place sound in a space. This process began with the advent of stereophonic sound, followed by the development and lack of acceptance of quadraphonic sound in the 1970s. The multichannel format has reappeared recently with the Dolby surround capabilities incorporated into consumer units for home video applications.
Localization of sound has been founded primarily on the phase and time relationship between sounds arriving at our respective left and right ears. Psychoacoustic research in the 1980s discovered, among other things, the effect of the ear pinnae on our perception of sound location. This has led to the development of techniques in audio to "move" an aural image through space. The devices currently marketed as spatial processors combine some or all of these techniques in an attempt to expand the 2-dimensional image of stereo to a 3-dimensional one.
Q: How does optical fiber help aural health?
A: Does speaker wire with oat bran maintain healthy phase coherence? Fiber optics is a recent technology that improves upon conventional wire in just about every spec: size, weight, bandwidth, durability, and EMI and RFI immunity. This is possible because the signal is transmitted down a length of small glass fiber in the form of photons (light) rather than along metal wire as electrons (electricity). As the components of a fiber-optic system become more modular and easier to use, it will likely replace copper wire as the choice signal transmission medium.
This technology has not yet found its way to widespread use in the audio industry, though there are several applications currently under development.
Q: How can I go "virtual" without disposing of all of my equipment and buying a digital workstation?
A: Are you sure you don't mean "virtuous?" As an industry we are steadily moving toward systems that are tightly integrated. The recording studios of previous decades were characterized by separate, manually controlled pieces of analog audio equipment, passing only sound signals between one another. As various common denominators of communication and control have been developed and accepted (SMPTE, MIDI, MTC, MIDIfile, RS-422, R2-D2, etc.), we have progressed more toward the one-mind-one-machine mode of operation.
The digital workstation is obviously the closest approximation of a "virtual recording studio" to date, although it seems as though this will progress toward larger systems being controlled from smaller control surfaces as soon as we can let go of our need to be handling huge pieces of hardware. In the meantime, there are ways to integrate your current system without unloading it all and starting from scratch. Most of the synchronizer manufacturers provide a means to control all machines (and, in some cases, MIDI) from one keypad or console-mounted controller.
Sequencers are getting more sophisticated in what they control and how they control it. Virtual tracks under sequencer control are commonplace in your MIDI studio today. Sound sources can be set up for a track, effects can be controlled in real time, virtual mixers can control multitimbrial sound sources. That is a lot of control from one piece of software. Mark of the Unicorn has developed one piece of hardware that can route, merge and filter MIDI signals from a sequencer, as well as expand the capacity of your sequencer.
Another piece is a hardware mixer that is controlled via sequencer. Opcode's Vision sequencer has recently integrated control of Digidesign's Sound Tools into its capabilities, adding a truly digital aspect to its operation.
Q: Oversampling—does it really matter?
A: You will have to decide for yourself. Oversampling is a misnomer (as it is commonly used by current industry marketing) for what is essentially digital filtering that takes the pressure off of the analog filter that is necessary in the A/D and D/A conversion processes to prevent aliasing. The early digital devices had analog filtering that introduced audible anomalies into your signal, such as phase distortion.
Oversampling has proved to be a viable means of solving that problem. How much oversampling is enough or even too much is a matter of preference, or even debate. I refer you to the following excellent articles on oversampling and digital systems by Dr. Richard C. Cabot: "Practical Performance of Digital Systems," R*E*P, March 1988; and "Performance Aspects of Digital Oversampling," R*E*P, March 1989.
Poor Acoustics In Sports Arenas
By David Scheirman
At a convention of the International Association of Auditorium Managers several years ago, many facility managers reported that in their respective sports arenas, contemporary music events were bringing in greater building revenue than the competitive sports events that the buildings were originally designed for. In other words, concerts (primarily rock) were keeping the building staff working more than the home team's game schedule.
As managers begin to realize that a competitive market actually exists for venues in which to hold rock concerts, and as promoters begin to take a long, hard look at what different buildings have to offer in a regional market before deciding where to book a rock concert, more attention is being focused on the facilities' ability to satisfy rock groups and their audiences.
One of the first things that needs to be considered when attempting to present a rock concert in a sports arena is the building's acoustics. If a building's management is attempting to make it more attractive to the concert industry, and if funds are going to be spent on improvements, acoustical treatment is one of the most important considerations.
As anyone who has operated a music-quality concert sound system in an ice hockey rink can tell you, those are the shows that the sound crews suffer through. The same lively acoustics that make the crowd's roar sound exciting when the goalie misses a slapshot are the ones that spell disaster for amplified musical events in that same space. Mid-band reverb times in excess of six seconds make even a vocal-bandwidth PA system hard to understand; they wreak havoc on full-bandwidth amplified rhythmic music presentations.
BUILDING ACOUSTICAL CHARACTERISTICS
Although all arenas are slightly different in design, there are certain basic architectural patterns that are observable. Some can be treated with relatively simple techniques to reduce reverberation time; others are more difficult to deal with. One of the most critical determining factors in the acoustics of any building space is the shape of its ceiling.
In particular, the intentional acoustics of a domed ceiling facility spell trouble for musicians and sound crews. This is because of the behavior of the extremely different types of sound waves that compete for the listener's attention in the same building space: early reflections, flutter echoes, mid-band "time smear" and every other nasty acoustical anomaly that will usually show up in a dome.
In the early 1900s, it was nearly impossible for architects to accurately predict the acoustics of a new public facility in advance of its construction. Classical concert halls were modeled on buildings in Europe that "worked." However, venues for sports events were often based purely on budget size, available space and materials. Rapid advances in the field of acoustics have changed that considerably.
Although the prediction of building acoustics through computer-aided design is an established science, many large assembly venues that have been built within the past few decades do not offer the variable acoustics required to turn the facility into a real multipurpose building. Recently, though, many newer structures have been designed with true multipurpose acoustics in mind.
As an example of how sports arenas are often intended to be lively, witness this quote from Cliff Faszner, the engineer in charge of the design for the architectural acoustics of the Olympic Saddledome in Calgary, Alberta: "You have to make a trade-off between the liveliness that is desirable for a sports arena and having a short enough [reverb] decay time to make the sound system intelligible."
The 17,000-seat Saddledome makes use of a negatively curved hyperbolic roof to allow a larger audience seating area with approximately 55% less internal cubic volume than a traditional domed arena.
ACOUSTICAL ALTERATIONS
The fact that new, consciously designed facilities are being conceived by competent acoustical designers still leaves us with the problem of trying to present musical events in sports arenas. Many existing arenas suffer from excessively long reverberation times. The large domed arenas often have compounded problems. However, the acoustical characteristics of a building space, even a domed one, can be altered by the use of certain absorbent materials. Cotton, cellulose, mineral fiber and polyurethane foam are examples of such materials currently in use to absorb sound.
Sports arenas can be retro-fitted with acoustical material to improve the building space for use with live musical events. Panels of acoustical foam, custom-built Helmholtz resonators and other devices can make a world of difference during renovation of an existing building. Or, temporary acoustical treatments can be applied for specific events.
PORTABLE ACOUSTICAL SYSTEMS
A method for temporarily improving the acoustical space of a sports arena that is actually used more often for rock music concerts could be developed through the use of scale-model building forms, impulse-testing in the existing spaces, and with the knowledgeable application of computerized measurement devices. An acoustical analysis of various structures could yield a wealth of information that would be applicable to this problem.
The development of a permanent system that would offer variable acoustical treatment for large, multipurpose facilities would enable an event promoter or building manager to play host to a basketball game one night and a contemporary rock singer the next, while offering each assembled audience the preferred acoustical setting in which to experience the show or game. Even more attractive to the rock concert industry would be a portable service company that traveled with the show to each venue. It would take yet another semitrailer on the road with the show, it would mean more traveling technicians and a larger stage crew to get the show up-and-running on time. But, it could also mean a dramatic improvement in sound quality for the entire tour.
An ideal future for the concert sound industry would include the temporary alteration of large-space acoustics to offer audiences a more pleasurable listening experience. The increasing interest in the sound of contemporary musical events, and the rapid advancements in the field of computerized acoustical measurements, may help lead the way to arenas that can be made to sound better not only with adjustments to the sound system, but also by the scientific application of acoustically absorbent materials.
"This was a big installation. We didn't have much time, so it had to be easy.
I needed a high performance system that could be clearly heard on a huge convention floor, and easily concealed too.
The sound solution was Bose."
—Randy Lucatuorto
Scenario Systems, Incorporated
The Site: Colorado Convention Center, Denver, Colorado
The Challenge: Design and install a state-of-the-art sound system for a one million square foot convention facility in half the normal time estimated for a project of this type.
The Contractor: Randy Lucatuorto, Scenario Systems, Incorporated
The Tools: BoseSound System® Software
The Products: 280 Bose 102® II loudspeakers
140 Bose 402 loudspeakers
24 Bose 802® II loudspeakers
The Result: "We had to do it all. We needed even sound dispersion for meeting rooms and function areas, a presentation system for the exhibit hall and event systems for the grand ballrooms. The Bose Sound System Software helped us try different design scenarios, maintain a very tight schedule, and quickly and accurately provide the data and illustrations needed for immediate approval and construction. It was cost effective and exceeded our client's performance expectations. But that's what I've come to expect from Bose!"
For more information on Bose products, call 1-508-879-7330, or write Bose Corp., Dept REP, The Mountain, Framingham, MA 01701-9168
©1990 Bose Corporation. All rights reserved.
BOSE
Better sound through research.
By Mark Herman
MP PRODUCTIONS, LITTLE ROCK, AR
Headline Act:
REO Speedwagon
Support Act: Alias
Dates: Oct. 26-Nov. 22, 1990
Region: Midwest, New York and Pennsylvania
PERSONNEL
House Mixer: Neil Atkinson (independent)
Monitor Mixer: Neil Shaeffer (independent)
Support House Mixer: Jim Carroccio
Support Monitor Mixer: Todd Hunt
Head System Technician: Todd Hunt
House Technician: Duane Griffin
Rigger: Ron Anderson (independent)
CONSOLES
House: Yamaha PM3000, 40-channel
Monitor: Ramsa WR-S840, 40×18
Support House: Soundcraft 8000, 40-channel
Support Monitor: Soundcraft 500, 40×12
AMPLIFIERS
Main FOH: Carver PM 1.5 and 1250
Lows/Subs: Carver PM 1.5 and 1250
Monitors: Crown PSA-2
Sidefills: Crown MA2400 and MA1200
MAIN LOUDSPEAKER CABINET
Manufacturer: MP Productions
Model: (18) MP Mid-High Frequency (46" × 46" × 22.5")
Components: (4) 12-inch JBL 2202, (2) JBL 2385 60° × 40° horns with 2445 2-inch, (2) JBL 2405 tweeters
LOW-END CABINET/SUBWOOFER
Manufacturer: MP Productions
Model: (18) MP Lo Frequency (46" × 46" × 22.5")
Components: (4) 15-inch JBL 2225
FOH SYSTEM
Configuration per side: Flying (6) Mid-High & (6) Lo, Floor (3) Mid-High & (3) Lo
Flying System: MP Wahoobe
Truck Pack: Four wide single-stacked or two across single-stacked
ONSTAGE MONITOR WEDGES
Manufacturer: MP Productions
Model: (18) 15-2 Floor Wedge
Components: (1) 15-inch JBL 2225, (1) JBL 2311 horn with JBL 2442 2-inch
Crossover Model: TDM 24 CX-4
Manufacturer: MP Productions
Model: (2) Drum Sub
Components: (2) 18-inch JBL 2240
Crossover Model: TDM 24 CX-4
ONSTAGE SIDEFILLS
Manufacturer: MP Productions
Model: (10) 18-10-2
Components: (1) 18-inch JBL 2240, (2) 10-inch JBL E110, (1) JBL 2343 horn with JBL 2445
Crossover Model: TDM 24 CX-4
HOUSE RACK (Headliner Only)
Equalizers: Klark-Teknik DN360
Crossover: BSS FDS 360
Effects: Lexicon PCM 70, Lexicon 200, Lexicon 480L, (2) Yamaha SPX90-II, Roland SDE3000, Eventide H3000-S
Gates: (2) BSS DPR 504
Compressor/Limiters: (8) dbx 903 cards (for channel insert)
Compressor/Limiters: Klark-Teknik DN504 (for drive lines)
Intercom: Clear-Com 2-channel
CD Player: Sony D11 portable
Cassette Deck: Carver 2400 dual
Headphones: Beyer DT 770
FOH Monitor Speakers: Ramsa close-field monitors
ONSTAGE SIGNAL PROCESSING (Headliner Only)
Equalizers: (12) White 4000 graphic, (4) Klark-Teknik DN410 parametric
Effects: Yamaha REV-7, Yamaha SPX90-II, Lexicon PCM70
Gates: (12) Rebis
Compressor/Limiters: (8) dbx 903 cards
Analyzer: Audio Controls
MICROPHONES (Headliner Only)
Vocals: Beyer TGX 480
Kick: Sennheiser 421
Toms: Ramsa ES-5
Overheads: Ramsa ES-1
Snare Top: Ramsa ES-5
Snare Bottom: Ramsa ES-5
High Hat: Ramsa ES-1
Guitar No. 1: Shure SM57
Guitar No. 2: Shure SM57
Keyboards: BSS DI
Bass: Ramsa ES-5
Direct Boxes: BSS
CABLING
Main Snake: 300-foot Alpha 55-pair; 250-foot Belden 38-pair
Multi-pair connectors: Cannon NK27, AMP G-4, G-2 & G-1
Stageboxes: Pro-Co
Splitter: (1) 40-channel 2-way transformer split with 8-channel drive and six aux sends; (1) 32-channel 2-way split with six aux sends
SHOWCO, DALLAS
Headline Act:
Linda Ronstadt
Support Act: Neville Brothers
Dates: Summer/Fall 1990
PERSONNEL
House Mixer: David Scheirman (independent)
Monitor Mixer: Vish Wadi (independent)
Support Act House Mixer: Dave Cheramie
Support Act Monitor Mixer: Kelsey Smith (independent)
Showco Technicians: Dave Cheramie & Kevin McCarthy
Rigger: Billy Phillips (independent)
CONSOLES
House: Harrison HM-5 32×16×2 with bus-linked 20-channel extender unit
Monitor: Harrison SM-5 32×16 with bus-linked 20-channel extender unit
Support Act House: Yamaha PM3000, 40×8×2
Support Act Monitor: Yamaha 2408M, 24×8
Continued on page 73
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The Pro Audio Applications Magazine
Lean and Mean: Schubert Systems Group
By Mike Joseph
One of the biggest challenges in the sound reinforcement touring world is the need to run as tight a ship as possible. Gas and transport costs are way up. Budgets are down and paying customers, both audiences and acts, are saving their pennies. Few but the largest draws are playing the big rooms right now. To keep the production in the black, a system packager has to run a lean operation.
Schubert Sound Systems, with Dirk Schubert at the controls, understands this well, as evidenced on the recent Bruce Hornsby and the Range tour. To stay profitable, he has learned the necessities of touring economics. The sound system fielded for these series of shows uses equipment packaging techniques learned after years of trying to get more pounds of performance on the road without giving up an ounce of quality.
FRONT OF HOUSE
Although this tour’s system has played outdoor venues and much larger halls (very effectively, Schubert is quick to point out), it is configured for midrange theaters and auditoriums. Using a maximum total of 32 of Schubert’s proprietary Steradian trapezoid full-range boxes and 16 double, 18-inch trapezoid subs, the system can be tailored specifically to the dozens of venues on this tour. The show R•E•P caught, at Memorial Hall in Kansas City, KS, used 24 cabinets in a 2:1 ratio of tops to bottoms. There was more than enough volume and clearly lots of headroom left for this 2,500-seater.
The 3-way, full-range main boxes consist of four JBL 2402 tweeters with 2404 diaphragms in a horizontal arc, under a large format 2441 driver with 2445 diaphragms substituted, mounted on a cus-
Compactness counts as shown by the recent tour of Bruce Hornsby and the Range.
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Each seminar participant receives a detailed manual, presenting the concepts taught clearly and completely with real-life examples to help illustrate the material.
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• The effects of passive electronic components (capacitors, transformers, etc.) on audio frequencies.
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• Plus, the elementary physics of sound and architectural acoustics.
Each class begins on Friday morning and works through an evening session Friday night. Then it begins again Saturday morning, and concludes after lunch.
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This is a "first-come, first-served" opportunity. Seating is limited, and advance registration is required. The cost for this rigorous but complete course is just $395 and includes tuition, manual and other class materials, two breakfasts, two lunches and three refreshment breaks. Payment can be made by cash, check or major credit card. For a seminar brochure, or to register, write, fax or call Jenny Staton at:
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PHONE: 405-340-3932
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Continuing Education Programs
The bottom end uses two JBL 2226 high-power 15s. The entire box weighs 220 pounds, including internal rigging fittings and bracing.
The subs, built into identically sized and similarly weighted trapezoid cabinets, consist of two JBL 2241 18-inch high-powered drivers. Thanks to the low weight and compact size of these boxes, eight can be hoisted by a 1-ton chain motor, or 16 with two motors. This tour, however, primarily uses the system in a stack-em-up mode on the stage wings.
FOH amplifier power is supplied exclusively by Crests, with 8001s for sub-bass, bass and mid drive, and 7001s for tweeter action. Most channels load into 2Ω. Each woofer in the system is configured to receive up to 1kW of available power. The entire FOH speaker stack was fed by eight 8001s and four 7001s, or six amps per stage side. Very impressive, efficiency-wise.
According to Schubert, the amplifiers have never suffered from sun or heat problems, although Schubert clearly takes extra care to leave a wide margin of safety in the operating parameters. Extra fans force air through the sealed racks in the same flow direction as the on-boards, and the foam air filters have been removed from the amps proper (on the theory that dirty circuit cards are less fatal than fried parts caused by impeded air flow).
A very interesting custom "steering box" switch and connector panel sits at the top of each amp case (see Figure 1). Using four so-called "intelligent" silent relays, the switch position determines without repatching whether that particular rack picks up the left or right mains signal off the stage feed. A 2-color LED instantly shows status. The switch obviates the need to patch each rack to a splitter box or snake head and verify proper routing with tones or signal. Here, as throughout the system, the design is intent on supporting quick, reliable setup and strike, without handfuls of loose patch cables.
**FOLDBACK**
The monitor system consists of newly designed and standard Schubert boxes, as well as special designs fabricated specifically for Hornsby. In all of the large monitors, the JBL 2450 neodymium drivers are the top end of choice, all mounted on DDS (Northwest) horns. In keeping consistent, the bottom end is also JBL, with small boxes using 2206s as 12-inch drivers, and larger single and double 15-inch slant cabinets using the relatively new 2226 high-power woofers.
A custom monitor on a stand for Hornsby at the piano position uses a JBL 2426 screw-on 1-inch on a 2342 bi-radial horn, with a 2123 10-inch underneath. This provides the vocal and piano punch needed to rise above the 4-piece band rocking behind him. The entire monitor system is powered by eight 7001 amplifiers.
Offstage, a Gamble SCC 40-16 monitor console, with Alan Bonomo at the helm, provides mixing control. Although getting on in years, this particular board still performs on a day-in/day-out basis. It is also the only version of this model ever built with a center output section, with Schubert himself contributing the design.
**SIGNAL SOURCES ON STAGE**
Although the music is straight-ahead rock 'n' roll with acoustic piano, live drums and real vocals (imagine that in this day and age!), Hornsby and his players use a number of techno tricks on-stage, including triggered drum samples, a wireless MIDI feed from an accordion to a Juno 106 synthesizer, wireless guitar and bass links.
and an excellent piano pickup scheme.
Hornsby's vocals are handled by two different microphones: an AKG 535 on a piano-mounted boom stand and a Shure Beta 58 on a straight stand, center stage.
An AKG D-112 is positioned inside the kick, with Shure SM-98 mics on all of the toms and inside the two rack-mounted bongos. A Shure SM-94 does snare duty, with AKG 414s capturing air. Several trigger pads mounted between the toms drive an Akai 100 sampler, which along with an Akai Linn MPC 60 drum machine/sequencer, controls the samples for special effects and unusual drum sounds specific to the show. An Aphex Impulse triggers sounds directly from the snare. These samples feed a stereo mixer with drum monitor, stage monitor and house outputs.
A well-thought-out and highly customized mounting arrangement of Helpinstill pickups and purpose-built pre-amps provides very high-quality, feedback-free piano amplification without the use of any mics (see Figure 2).
The pickup outputs feed a custom stereo pre-amp (although its channels are panned to one output), which, in addition to level and position, provides up to 30dB of preset frequency equalization on specific pickup inputs. The sound is excellent, closer in sound to good condenser mics in a studio than magnetic bar pickups over metal strings.
The mono output from this piano pickup is then fed to monitors and house, where a special arrangement of dynamics and effects devices manipulate the piano sound through the system.
electronically is rather unique. The mono feed from stage is split to two parametric equalizer channels, then into two dbx 165 channels. This splitting and separate parameter arrangement for dynamics and tone provide a piano sound through the stacks that has motion and character, more so than a straight-through artificial left/right split of Helpinstill pickups alone. The net result really works — the sound of the piano through the system is clear, large and present, with movement and air adding to the clarity.
Additional mic signal processing includes four Aphex expander/gates, dbx 160x compressors on background vocals and Hornsby's Beta 58, and a modular dbx 903 over-easy compressor and 902 de-esser combo on Hornsby's 535 piano vocal mic.
Triggered directly from the kick at the console is a Wendel Jr., whose slots were loaded on this particular night with "Heart 1986 Summer Tour" kick samples. Accord-
---
**AT THE MAINS**
The FOH mixing position has Schubert and systems engineer Joe Johnson sharing duties for the show, which often lasts three hours, with Johnson lending opening act navigational aid. A 56-input Gamble EX is operation central. In keeping with the theme of efficiency and compactness, the devices in the several racks are limited to necessities. Reverb and effects are handled by Yamaha, AMS and Lexicon units, with some delay effects going through a Roland SDE-3000.
Two REV-5s are in the rack, one for toms and occasionally kick, the other for background vocals. The AMS dmx 15-80 and rmx 16 stack provide vocal harmonizing, delay and reverb. A Lexicon PCM 60 (the "best reverb ever," says Schubert) is fed from the snare alone, and a PCM 70 sits across the piano feed, adding reverb and air. A Yamaha SPX-90 is used for special keyboard effects.
The way the piano signal is manipulated...
ing to Schubert, these are used selectively for certain songs, but only in rooms that need the reinforced low-end.
**DRIVE TIME**
The stereo outputs of the board feed two KTI DN-300 equalizers for house tune, and then into the proprietary Schubert P.A. System Processor (see Figure 3). This 2-unit package consists of a high-quality 4-way crossover, straddled by an unusual component that models the resonance frequencies (Schubert calls them "ring points") of the separate component sections in their specific cabinets or on their specific horns. The dynamic thresholds can be adjusted to trigger the inverse injection of this modeled curve, thereby countering the effects of the distortion.
The net result of all of these approaches and devices contributes to a relatively compact, simple system which, on the night we heard it, was crystal clear, loud, extremely dynamic, and free of blare and harshness. The fact that Johnson told me his job as a third member, or extra setup hands for the sound crew, was almost unnecessary is testament to the ease and speed with which this system packs and sets up. And in these leaner, meaner times, you can't ask for anything better.
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Drawmer M500 Dynamics Processor
Drawmer is an English company noted for high-quality studio dynamics processing gear. The M500 has been available for nearly three years but, like the company itself, it is still not well-known in this country. Which is too bad; although at $2149 it is not the cheapest processor, the M500 is one of the most interesting pieces of dynamics processing hardware anyone has come up with yet.
Paul D. Lehrman is a frequent contributor to R-E-P and a Boston-based producer, electronic musician and free-lance writer.
The M500 is a hybrid of technologies that brings dynamics processing into the digital age without sacrificing the advantages, real and perceived, of analog circuitry. It uses high-quality VCAs under digital control, and that control extends to the outside world through MIDI. The programmability of the unit is exceptional, and the user interface lets the engineer think about dynamics control in a musical context, greatly enhancing its creative potential.
The stereo device incorporates separate modules for compression, limiting, expansion, gating, panning, de-essing and fading. These modules are in software; there is actually only one VCA per channel, and the modules simply tell it how to behave. The modules can be arranged in any order within reason (the compressor can’t follow the limiter, for example), and can be interactive. Using a single VCA eliminates the signal degradation that one might encounter with multiple discrete devices.
Each channel can be used independently, with its own modules and settings or can be linked for true stereo operation. Inputs and outputs are balanced XLR connectors, with unbalanced 1/4-inch jacks for key inputs and sidechain input/output. The operating level is switchable; in software it is between -10 and +4dBm.
**THE PROCESSING MODULES**
Each module contains all of the parameters one would expect from a stand-alone processor, plus some surprises. The compressor offers ratios from 1.1:1 to 20:1, as well as “soft-knee” ratios from zero to nine. The threshold adjustment includes an “auto” setting, which links with the limiter. It automatically sets the threshold so that the compressor’s peaks are just below the limiter’s threshold. Attack and release times also have an “auto” setting, which allows them to vary according to the program material. A “hold” parameter freezes the level for up to 10 seconds.
The limiter and expander modules are fairly straightforward, with adjustable ratio, threshold, attack, hold and release. The fader module fades the signal up and down between 5dB and 90dB, and the fades can last from 10ms to 10 minutes.
A fade can be triggered by a MIDI command or a front-panel button, and the fade-out can be pre-programmed to occur at a certain length of time after audio appears at the input — so getting a 2-second fade to occur at exactly 28 seconds for a TV spot is simple. The timer can be set numerically or by “recording” a real time interval.
The Panning module lets you sweep the signal across the stereo field, using a variety of waveforms, including sine, triangle, ramp and square, as well as “duo sine” and “tri sine,” which creates two or three volume swells in the first channel before panning to the other. The pan rate is adjustable from 1/60Hz (one per minute) to 10Hz. The amplitude range of the sweep can be ramped so that the panning action can start narrow and get wider over time. The panning waveform can be triggered from incoming audio or MIDI.
The de-esser offers four different modes of frequency-conscious compression. There are two filters, one for each channel, which can be applied to the internal side-chain circuit of the unit, and can be set up as high-pass, low-pass, or bandpass, with continuously variable bandwidth. In the “Full band” mode, any audio that passes through a channel’s filter is detected and its level is used to compress the audio signal over the entire frequency spectrum. In the “Single band” mode, only the audio frequencies that pass the filter are compressed, and other frequencies are left alone.
In the “Two band” mode (which only
works on a mono audio signal), you can use both filters, and set them to different frequencies. The signal going through each filter will compress only the part of the spectrum corresponding to that filter. The filter outputs can be split between the audio outputs — one factory patch, "Filter Pan," alternates the filter outputs across the audio outputs for an interesting "spectral-vibrato" effect.
In the "Two band complex" mode, the audio signal passed by the Channel 1 filter goes to one output. At the same time, the signal rejected by the Channel 1 filter is added to the signal passed by the Channel 2 filter, and this goes to the other output, ending up as a signal with two peaks and a notch. Throw a panner onto the outputs, and you get some very nice "floating" effects, as in the factory patch "FiltPhaze."
Finally, there are the gates. A gate can be triggered from incoming audio or from MIDI (which we'll get to in a moment). There's a "peak" function, which adds a short burst of gain, up to 16dB and lasting up to 10 seconds with adjustable decay, to the opening of the gate, which is excellent for spiking a drum hit. The way the gate re-triggers in response to incoming audio is highly programmable, with two different modes, adjustable delay and a re-triggering threshold setting separate from the main threshold.
In addition, you can record an envelope that will define the gate action. Press the "Record" button and input a sound lasting from \( \frac{1}{4} \) second to 60 seconds. The changing volume level of the sound over time will be recorded and stored in one of 16 memory locations, and it can then be called up and applied to a gate at any time. This lets you perform tricks like imposing the envelope of a gunshot sample on top of a choir. You can even tell the envelope to play backward.
The gates can also be used in "duck" mode, in which the level is reduced when a gate is triggered. The trigger can come from the audio signal itself, or from a separate signal appearing at a "key" input on the back panel. If the filters are not currently being used by a de-essing module, they can be used for the keying action.
An example of how this might be useful is when you need to duck a background music track under a track that contains both dialogue and sound effects. If the key input is filtered so that only vocal frequencies get through, then the music will duck under the voices, but not under the sound effects.
PUTTING THINGS TOGETHER
Modules are designed — that is, their parameters are set — one at a time. The front panel of the M500 consists of 21 buttons, four "cursor" keys, a two-line by 24-character LCD, and a continuous parameter adjustment knob. A module is called up by pressing a button, and then the various "screens" pertaining to the module are selected by the up-down cursor keys. Each module has from two to five screens. The top screen is a meter, showing input, output and gain reduction levels for the current module.
Individual parameters within a screen are chosen with the left-right cursor keys, and the selected parameter is then adjusted with the knob. To make things easier, there are several routes available to many parameters, which allow you to view and adjust them in different contexts. For example, pressing "Thresh" shows you the threshold settings of all of the modules at the same time, while pressing...
"Meters" show you the instantaneous input and output levels for both audio channels simultaneously.
Modules are put on line, on one or both channels, in whatever order you choose, using the "Assign" function. All of the modules are available all of the time, although as noted earlier there are some restrictions. An entire program — that is, all the module assignments and settings — is called (and very appropriately so) a "patch." A patch can be stored into one of 50 user registers and recalled instantly. It can be mono or stereo, and if a mono patch is loaded into Channel 1, the program in Channel 2 will be unchanged.
There are also 70 non-erasable factory patches, which do a good job of illustrating the complexity and capabilities of the unit. Switching between two patches is generally glitchless, although certain complex programs will make noise if they are called up while a signal is present.
allows you "play" in the stereo position of a signal by jumping around the MIDI keyboard, or if the keyboard is also connected to a synthesizer, you can make the synth's output stereo, with high notes on one side and low notes on the other.
In the fader module, the fade-in and fade-out can be triggered by MIDI start and stop commands, or by toggling a user-definable MIDI controller. For example, pressing a footswitch that sends out controller number 65 (normally portamento) will start the fade up, and pressing it again will start the fade down.
Each of the two audio channels can be set to respond to a different MIDI channel, maintaining the M500's two-processors-in-one capability. The overall output level of the unit can be set to respond to controller number 7, MIDI Volume. System-exclusive information can be used to slave a second M500, or to store patches, function settings, and/or user-defined gate envelopes in a sysex librarian.
There is also a way to control individual patch parameters over MIDI, but, unfortunately, it's not as simple as with many MIDI-controllable processors, which allow you to assign a controller directly to a parameter — so, for example, you can't have a mod wheel controlling pan sweep rate. Instead, you must go through a complex series of context-sensitive "button pushes," which, although they might be feasible with a sequencer that has sophisticated macro features, are impossible with any live MIDI input device and will be beyond the capability of most studios.
On the other hand, you can have the unit transmit controller data every time you push a button or move the knob, and record that data in a sequencer, giving you some automation control — but you're not allowed to make any mistakes.
The M500 is a complex beast, and the one-screen/one-knob approach to adjusting parameters is not ideal. There are many parameters that interact with each other but do not appear on the same screen, so it's easy to find yourself playing with a parameter and have no idea why nothing seems to be happening. In fact, it took me about 45 minutes and a phone call to the manufacturer's rep before I could figure out how to get the filters to have any effect.
**OUTPUT LINK**
There is also an "output link" setting that under some circumstances (it's unclear which ones) defaults to "Ch1 Mono." This means that if you are using a single-channel effect, like the 2-band de-esser, you will get no output on the right channel at all unless you remember to reset this link to "Two channel."
Unfortunately, the setting is not saved with the patch, which can result in a lot of hair-pulling until you figure out what's going on. But considering the power and versatility of the unit, a front panel that would make everything obvious would be enormous and, no doubt, cost-prohibitive. So the stinginess of the user interface can be considered an acceptable compromise. Perhaps some enterprising MIDI hacker will write a graphic-oriented program for controlling the M500 from a personal computer. (I can imagine a great Hypercard stack for it.)
On the other hand, I don't think it would have been unreasonable for the designers to provide some way to view signal levels at the same time you are adjusting parameters. Because the LCDs show either parameters or levels, but not both, all adjustments must be done "blind."
Of course, most adjustments you make will affect what you hear, but it would be nice to see what's going on, too — perhaps with a simple 8-LED display showing output level or gain reduction, especially at those times when it seems like nothing's going on. (There is an overload LED for each channel, but by the time it lights, you've generated a +18dB signal, and it's too late to do much about it.)
**SLOPES**
A strange design quirk is that parameters on the display referring to time are not absolute: They are instead slopes, and refer to the time to affect a 10dB
---
**MIDI CAPABILITY**
Patches, both user and factory, can be recalled using MIDI program change commands, so a sequencer or other device that generates these commands can be used to automate the action of the M500. But there's more: The designers have thought hard about how to use MIDI with a dynamic processor.
MIDI commands can control gates, pans and faders. A gate can be triggered to open when a MIDI note within a specified range (which can be as small as one note) is received, so that a continuous noise track, for example, can be used as a snare drum. Or a timer can be set to count incoming MIDI clocks so that the gate opens at regular intervals based on the tempo of the sequence playing. The rhythmic interval can be set anywhere from one MIDI clock ($\frac{1}{24}$ of a beat, which the M500 incorrectly refers to as a "frame") to just under 10 beats.
Conversely, it can transmit a MIDI note whenever the gate threshold is exceeded (from whatever source it happens to be set to), so that an incoming snare drum hit can trigger a sampler. The note number is programmable, and the note velocity and duration are controlled by the gate peak level and envelope time, respectively.
In the pan module, MIDI clocks can be used to retrigger the pan envelope, so that sweeping effects can follow a sequencer's tempo. Note numbers are used in a different way: An incoming note number can determine the instantaneous position of the output signal in the stereo field. This
change in level. This means that if you set a gate's attack time to 10ms and its dynamic range to 90dB, the gate will not open in 10ms, but in 90ms, which is a significant difference. Although this method is not totally illogical, it doesn't seem like the best way to have done it.
**MANUAL**
An even more serious problem is the manual. It's not terrible, but a device that breaks as much new ground as the M500 does deserves a lot better. The manual explains *how* all of the buttons and menus work, but precious little as to *what* to do with them. Engineers unfamiliar with MIDI will be utterly bewildered by the way the manual explains its use (and the incorrect nomenclature doesn't help). There are also many ways that different parameters can get in each other's way — if a gate attack time is longer than the space between MIDI beats, for example, there will be no sound — and much more discussion is needed about this problem in the manual, before the confused user rips apart his entire patch bay trying to figure out why there's no output.
Although the manual wisely advises the user to look at the factory patches and play around with them as a way of learning the unit, it fails to follow up with any details. The M500 is a device that cries out for a good set of tutorials that can guide the user from scratch, but this manual has none of that. Instead, it serves as a sterling example of why engineers who design a new product should *not* be the ones responsible for instructing others in its use.
**WRAP UP**
But these are small problems, and although they would help make the learning curve easier, as it stands, the M500 is certainly not impossible to use, and the time invested in learning it is well-spent. In every respect, it is a remarkable piece of equipment, providing an extremely high degree of functional performance, excellent audio quality and an unprecedented level of automation capability. Given the unique creative control it provides, not to mention the amount of equipment it replaces, it can even be called reasonably priced. Anyone seriously into the creative aspects of dynamics control should consider it strongly.
Circle (100) on Rapid Facts Card
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**REPRINTS**
Interested in ordering article reprints out of this or another issue? Reprints can be excellent learning tools for your technical staff and great marketing tools for your sales staff. Call or write Denise Kelley at Intertec Publishing Corp., P.O. Box 12901, Overland Park, KS 66212; (913) 888-4664.
*Minimum order 500 copies*
Lexicon 300 Digital Effects System
By Rick Schwartz
Although shown at the previous NAB and AES conventions, the Lexicon 300 digital processor was hard to fully experience in a room crammed full of people. I wondered how the new box would sound in a side-by-side comparison with the 480 (the current flagship of the Lexicon product line). Would the 300 be a new digital wonder box or just a slimmed-down 480?
I quickly unpacked the unit, powered it up and fed in a signal from a 24-track master. I must confess that without glancing at the enclosed help card, I was unable to get a sound out of the unit.
As it turns out, the 300 has to be configured before it can be used. Once I told the device that I wanted to use its analog inputs at an internal sample rate of 48kHz, I was ready to roll. Fortunately, Lexicon ships the unit with presets for eight common configurations. Perhaps the company should consider having the unit boot up in the run mode instead of the control.
The front and rear panels of the Lexicon 300.
mode. [According to the company, this will be implemented in the next software revision — Ed.]
**NEW REFINEMENTS**
According to Lexicon, the 300 takes advantage of several recent advancements in converter technology. The A/D section uses 64x oversampling Delta/Sigma conversion techniques, while the D/A section uses an 8x oversampling circuit. Oversampling allows the use of warmer-sounding filters, instead of the brick wall circuitry used in early digital products. These refinements are apparent in the smoothness of reverberation decay times, with the absence of any low-level graininess or distortion.
According to Lexicon, the new spin and wander parameters are greatly responsible for this smooth decay, by randomizing the processed signals. Lexicon also swears by the new 1-bit converters, and is researching new methods of audio data acquisition.
Digital reverbs use computer algorithms to create the illusion of different acoustic spaces. The 300 uses a new set of algorithms with additional parameter settings. Now reverb and ambience algorithms have dynamic-size parameters. By using time code, it is possible to change these parameters on the fly and even rotate a listener's position in space. In addition, there is a stereo pitch shifting algorithm for harmonization and chorus effects. A mastering algorithm rounds out the sound with digital EQ and precision level/balance controls.
**BUILT FOR SPEED**
The front panel of the 300 has been designed for speed — with dedicated function keys and a numerical keypad. There is also a soft knob, soft buttons and a large display. The display is easy to read at any angle, unlike most LCD readouts. The soft keys operate in a manner similar to earlier Lexicon products, with a single rotary control (instead of faders) to save panel space.
Although there are eight function keys, I spent most of the time with Setup edit and Effect edit keys. I found it easier to change parameters on the 300 than the 480, because there is no need to null the faders — just click on the desired soft buttons and tweak its parameters. Pressing the value key displays all of the parameter settings on the current page, which is useful if you ever need to document front panel settings.
When operating in run mode, presets can be loaded by entering the preset number via the keypad or browsing presets by rotating the soft knob and pressing the enter key.
**THE BACK PANEL**
The back panel has stereo inputs and outputs on professional XLR audio connectors. I must admit, it's a bit unusual to find a balanced time code input on a piece of signal processing gear. Let's hope Lexicon has started a new trend.
There are other connectors as well, for MIDI and a DB-9 Comm Port for future use. The 300 has not one, but three different types of connectors for digital I/O — XLR, RCA and optical. Although the SPDIF I/O makes it easy to hook up the 300 to consumer DAT recorders, it uses an...
unbalanced RCA connector. Unless your device is located in the same rack as the 300, balanced XLR jacks are a better choice for digital signals. The manual states that the AES/EBU outputs will not work reliably if normal microphone cable is used and recommends the use of Belden 9860 cable.
One has to question the choice of a 3-pin XLR-type connector by the AES standards committee for two reasons. A cannon-type connector is not rated for high bandwidth applications (like digital audio). In addition, it's all too easy to accidentally patch an analog cable into a digital source.
For this reason, some engineers prefer to use the SDIF standard because it uses the same type of BNC connector used in professional video applications. Getting any of the digital inputs to work is easy because they automatically lock to the incoming sampling rate. Digital format conversion is also possible.
Say you want to mix an analog source straight to DAT — digitally. The digital I/O sounds so good that some engineers will use the 300 as a front-end to their DAT recorders. It's also easy to convert from DAT (SPDIF) to a Sony PCM-1630 (with the AES/EBU option) for CD pre-mastering. You can even mix digital and analog signals together, which opens up all kinds of new possibilities, including the ability to make a digital safety copy during a final mix.
OVERVIEW
The setup includes information such as the sample rate, emphasis options, I/O formats and the effect preset. The 300 is shipped with eight preset setups, which should cover most situations. In addition, there are 64 registers for custom-user setups. The 300 contains four algorithms: reverb, ambience, pitch shift and stereo adjust. Some of the 300's algorithms, including Random Hall and Ambience, came from 480 technology included in that unit's recent software updates. An algorithm is a set of instructions stored on ROM that tells the 300's processor how to affect the input signal. Each algorithm has its own control parameters, which can be adjusted along a range of values. The reverb algorithm has 28 parameters. I was pleased to find that there are wide ranges on many of the parameters. For example, the pre-delay goes up to 1,000ms and is not limited like the PCM-70.
An effect contains an algorithm, user-definable parameters and five patches. All effects presets and setups can be dumped and loaded using MIDI, eliminating the need for RAM cards. The 300 is shipped with 75 effects presets. Presets are factory-installed setups and the effects cannot be overwritten, but can be modified and stored as custom setups into registers. There are 64 effects registers and 64 setup registers.
THE BOX
The 300 is a 2U device. The device doesn't seem to generate a lot of heat, which is a good sign. Metering on the 300 is good; LED indicators display almost 50dB of range. Input and output trims (±10dB) provide fast and easy setup for unity gain. If additional gain is needed, there is a rear panel switch that adds 16dB gain to the signal for MI applications. In the past, Lexicon has encouraged "pushing" the meters on some models to maximize the S/N ratio. With the 300 this is not necessary. On the other hand, I was unable to get the 300 to go into hard clipping.
no matter how hard I drove the inputs.
THE SOUND
I was surprised by the large amount of factory presets in such a new product. It would be nice if Lexicon included a guide to factory presets in the future. The first preset is called Large Hall. I was surprised at how warm it sounded next to the 480. The reverb algorithm is rich, smooth and realistic, without any metallic quality or graininess. The frequency response was full, especially on the bottom end. It's flat down to 10Hz.
Most of all, I was blown away by the lack of noise. It's ironic that most digital reverbs are noisier than the plates that they replaced. There was negligible hiss with the 300, even when the master volume was cranked. With this kind of fidelity an engineer can use the 300 on anything, without worrying about adding hiss to a track.
I also noticed the smoothness of the decay. I monitored the sound on large studio monitors with the outputs of the 300 soloed, so I could concentrate on the reverberation. Although some manufacturers would cringe at this type of listening test, it is a painfully obvious indication of how the algorithms really sound.
THE PRESETS
Studio A is one of my favorite presets; the sound is big and wide. Wetsuit and Canyon Walls are also good, should you want a more dramatic panned effect. The plates are OK, but don't seem to have the same sizzle as an EMT plate. Contemplate is the brightest of the plates and sounds good on drums and vocals. Le Gate is an AMS-like reverse-gated reverb, which sounds incredible on drums. The Gated Hall sounds good on kick drums as well.
Some of the preset names, like Salad Plate, are a bit too silly for my taste. This may seem trivial, but I have had clients who would insist on using a preset simply because they liked the way it was named.
I tested the 300 with drums, vocals, piano, acoustic guitar and even with mixed tracks. The Large Hall preset is smooth and sweet. The acoustic spaces like Dance Hall, Lecture Hall, Ballroom and Basement are very realistic-sounding and should be welcome in audio-post environments.
There is even a preset called Sound Stage that corrects for overly close miking by placing a soloist back in the mix. The mastering algorithm has a rotation parameter. Rotation is a very interesting way to move things around in a mix. The result is an almost three-dimensional kind of processing.
The pitch shifting is good, but not great. (Lexicon has never been known for its pitch shifters.) I noticed a low-level, high-pitched sound that accompanied certain types of input signals. According to the company, this was the result of noise modulation caused by the pitch change. The EQ was clean, perhaps too clean. Ma Bell EQ, a factory preset, didn't seem to have enough phase distortion and resonance to sound believable. The flanging did not seem to sound as good as the PCM-70, either. So much for linear phase response.
AUTOMATION
Real-time MIDI control of signal processing devices has been around for years, although many mixing engineers still do not take full advantage of it, possibly because of the zipper noises early products made when making real-time changes and the long preset load times. The 300 loads most presets almost instantly and seamlessly segues from one sound to another.
The 300 is the first reverb on the market to actually glide from one preset to another. Loading presets using the same algorithm is generally very smooth although occasionally the device will mute for a second. It seems to take longer to load some presets than others, perhaps because of the algorithm type.
Thanks to a built-in time code reader, the 300 can change presets using SMPTE time code. Although time code-triggered program loading is a great idea, frame-accurate loads are not always possible. This is not a problem if time code values are trimmed, and most engineers checkboard ambience tracks anyway (so they can crossfade them).
Up to 50 different settings can be recalled, thanks to the 300's built-in event list. Fifty events may not be enough for some film and video work. Users requiring more than 50 preset changes can create very long lists, using software like Q-sheet A/V for the Macintosh.
EXPANSION
Although the 300 does not have a slot for a RAM card like the 480, this should not be a problem, thanks to MIDI. Programs can be stored as MIDI system exclusive data and edited using third party software, similar to the PCM-70 librarian for the Macintosh. Additional algorithms can be added via ROM chips. Lexicon has a number of other tricks up its sleeve that will involve the Comm Port on the back of the 300.
Another big question is whether Lexicon will provide a remote control for the 300. Although the 300 won't work with the LARC controller, the MRC controller is a low-cost alternative controller that uses MIDI.
CONCLUSIONS
At $4,795, the 300 is definitely a "best buy." I have yet to find an area where Lexicon cut any serious corners. In some ways the 300 shows up the 480. The sounds are so nice and clean that they can stand up on their own without being blended in with the original. Try that with other reverberation devices.
Although the press has been describing the 300 as half-of-a-480, my listening tests suggest it is an entirely different beast. Although the new reverb and ambience algorithms are superb, many of its 75 presets seem to have the same general quality.
Digital studios will kill for this piece, because of its low noise floor and extensive digital I/O. The 300 is also ideally suited for audio post and CD mastering applications because of its time code capability and new presets. The 300 will not replace every other signal processor in your studio. However, the things that it does well, it does very well.
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Continued from page 56
AMPLIFIERS
Main FOH: Crown MA1200, Crown PSA-2
Monitors: Crown MA1200, Crown MT1200
MAIN LOUDSPEAKER CABINETS
Manufacturer: Showco
Model: (40) Prism
LOW END CABINETS (Subwoofer)
Manufacturer: Showco
Model: (8) Prism Sub
FOH SYSTEM
Configuration per side: (16) Flying Prism 4×4
Flying System: Showco Prism grids
Truck Pack: five across with subs on top
ONSTAGE MONITOR CABINETS
Manufacturer: Showco
Model: (13) BFM600 wedge
Model: (4) Prism sidefill (flown 24 feet high at 45° angle)
Crossover: Showco 1016 (3-way)
HOUSE RACK (Headliner Only)
Equalizers: Industrial Research Products TEQ DG-4023 (featuring non-interactive filters)
Crossover: Showco Prism Digital 1040
Effects: Lexicon LARC 224 XL (for lead vocal), Lexicon 200 (background vocals), Yamaha REV-7 & SPX-90II (instrument groups), Roland SDE3000 (vocal special EFX) and AMS DMX (dual channel digital delay line and pitch changer).
Compressor/Limiters: dbx 900 series 903, dbx 160x
Gates: dbx 900 series 904
DAI Machines: Panasonic SV-3500 and 255.
Intercom: Clear-Com
SPL Meter: General Radio 1565B handheld
Headphones: Sony DR6M (15 years old with leather ear protectors and metal cans), Sony MDRV6
ONSTAGE SIGNAL PROCESSING
Equalizers: Klark-Teknik DN360
Effects: Lexicon PCM70, Yamaha SPX-90, Yamaha REV-7
Compressor/Limiters: dbx 903
Gates: dbx 904
MICROPHONES:
Linda Ronstadt: Beyer 88
Background Vocals: Sennheiser 431
Aaron Neville: Shure Beta 87
Choir Vocals: AKG C160B
Kick: Electro-Voice RE-20
Toms: Shure SM98 with pattern modifier
Overheads: AKG C451 with swivel heads and 10dB pads
Snare Top: Shure SM57 (noise gate on the bottom & phase reverse on the top & bottom)
Snare Bottom: Sennheiser 421
High Hat: AKG C451
Piano: AKG C114 Hammond B3
Bottom/Sennheiser 421
Guitar: Shure SM57
Bass: Showco DI
Direct Boxes: Showco
What Exactly is t.c. electronic up to ANYWAY?
Find Out JANUARY 1991 NAMM BOOTH 4955
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NEW YORK'S LARGEST PRO AUDIO INVENTORY
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NEW YORK CITY • 10036 • (212) 719-2640
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ROLAND SLIPS A DISK
A hard disk recorder, that is. The DM-80 is Roland's new "Personal Digital Workstation." It is designed as an affordable, digital multitrack recording system that offers 18 minutes (at 44.1kHz) on its built-in 100MByte hard disk of simultaneous 4-track recording. And if that's not enough tracks for you, it can be expanded with an optional expansion kit to eight tracks.
Plus, it has a built-in SCSI interface that allows you to connect up to 16 external devices, such as hard disks or magnetic optical disk drives, thereby dramatically extending recording time. The DM-80 accommodates SMPTE, MIDI Time Code and MIDI Tempo Clock so you can sync it to practically anything. The DM-80 consists of a rack-mount unit with internal hard disk, connectors, a remote unit with controls and an LCD screen. From a technical perspective, the data format is 16-bit linear, A/D conversion is 16-bit, D/A conversion is 18-bit, and internal processing is 24-bit.
And if you love numbers, here are some more — the DM-80 supports three selectable sampling rates: 32kHz, 44.1kHz and 48kHz. Because the DM-80 has random access capability, any portion of a track not containing recorded data, does not consume memory, so the effective playback time can be more than 18 minutes. There are both analog and digital inputs and outputs (optical/coaxial: AES/EBU), which allow you to process recorded data using outboard gear such as Roland's E-660 digital parametric equalizer or the R-880 digital reverb.
The optional expansion kit features a sample rate converter on the digital input that allows you to change data with different sample rates. Among the recording and editing functions, auto punch in/out and loop-type recording are available, as well as editing functions such as crossfade, cut, paste, delete and insert. Additionally, the auto locator allows you to specify a point and jump to that position instantly.
The data is recorded much the same way a sequencer stores a song. The first pass is called a 'Take.' From the Take, a Phrase can be designated (such as a verse, chorus, or a single note) and then these Phrases are linked together to form a Song using a Play List. (However, I think that Roland might want to consider the applicability of this terminology to other types of recording. For instance, audio for video post production or commercials may benefit, because sound effects and dialogue do not fit into Roland's convenient categories.)
The DM-80 also has a built-in mixer with 2-stage EQ, pan and gain, plus it uses inexpensive DAT technology for backup of the hard disk or magneto optical disk. All in all, it seems that the DM-80 will be an interesting new toy to play with when it comes out sometime in early 1991.
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HEY, TRY TO KEEP THIS QUIET
Sonic Solutions, the other noise reduction company from San Francisco, has released NoNOISE 2, the second generation version of its successful digital signal processing system for noise reduction.
Among NoNOISE 2's increased capabilities are:
• A new way to remove surface scratches or crackles from disc recordings.
• A new broadband (hiss) noise reduction program that operates on a stereo signal in real time.
• A de-clicking program that is 20 times faster than the original NoNOISE package.
Along with this new version, Sonic Solutions is also introducing the "Sonic FX" Digital Effects Processor. (Remember when products had short and simple names?) Sonic FX is a processing card that uses the Macintosh II's NuBus and software modules, which are available separately enabling you to design your own system.
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I THINK THERE'S AN ECHO IN HERE
Lexicon is introducing the LXP-15 multi-effects system, which combines remote control of its 27 variable parameters and 128 preset effects to create a very unique combination of effects, such as pitch shifting, gate, plate, stereo delays and various reverbs.
The LXP-15 also incorporates the company's Dynamic MIDI and works with nearly every type of controller, including breath controllers, pitch benders, sliders or expression pedals. Because the LXP-15 has a number of user-stored memories, you can set global patches that can be activated with each set-up.
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JLCooper CS-1 Control Station
The CS-1 provides an easy-to-use hardware control interface for disk-based recording systems, sequencers and multimedia software. An optically encoded jog/shuttle wheel allows sample-precise positioning within a recording and effortless scrub editing. Complex commands can be initiated with a single button using the CS-1's programmable function keys and footswitch input. The CS-1 is available in Apple Desktop Bus, MIDI and PC versions. Retail price is $599.95.
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Kenwood recordable CD system
The CD-Write Once System, which records music or data on CDs, consists of a CD Encoder, a CD Writer and basic systems software. The CD-WO is controlled by a PC and records CD graphics and produces CD-ROM in real time. Discs are manufactured from a single master disc. A CD-ROM/I Formatter, A/D converter and a CD graphics unit are available options.
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Wohler Technologies AMP-2
The AMP-2 is a self-powered rack-mount stereo audio monitoring system designed to be used where space is a premium. It occupies two units of rack space and delivers a frequency response of 100Hz to 16kHz, ±5dB. Two stereo amps are rated at 20W peak; center channel amp is 32W peak. Acoustic output at 2 feet measures up to 104dB SPL. The standard version of the AMP-2 includes balanced XLR and unbalanced RCA inputs, LED peak meters, an LED-matrix visual phase indicator, and volume and balance control. Magnetic shielding allows the AMP-2 to be installed adjacent to most video monitors.
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Summit Audio TPA-200A
The Dual Tube Pre-amplifier model TPA-200A combines vacuum tube and solid state technologies. It uses either mic input, line level input or front panel high-impedance input. Three-pin XLR connectors and quarter-inch jacks enable interfacing. Output is balanced or unbalanced using 990 op-amps. Maximum output is +25dBm. Input is transformer balanced. The TPA-200A features .35W of power.
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Sonic Solutions
Sonic Mini Editor
The Sonic Mini Editing System is a 2-track, 16-bit, disk-based editing system, which is a less expensive version of the Sonic System CD PreMastering System. Designed for users who want to edit DAT source material in the digital domain, it features seamless waveform editing and real-time playback of edits. List price of the fully expandable system is $8,750; a full system, which includes an Apple Mac II with more than 80 minutes of storage, costs a little more than $20,000.
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Digidesign Pro Store
Pro Store is a 660Mbyte (enough to master an entire CD), high-speed SCSI hard disk drive encased in a standard 2-space, 19-inch rack-mount box. It features quiet operation, shock mounting and a five-year warranty. The hard disk drive can be used with Digidesign's direct-to-disk recording products, Sound Tools and Audiomedia. It is compatible with any model Macintosh PC. The Pro Store consists of the drive, formatting software and a 9-foot SCSI cable. List price is $3,995.
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Otari DTR-900-II
The DTR-900-II PD format tape machine includes an internal digital matrix that is addressed from the remote controller, which assigns any input to any other track. Other features include a front panel status display, 8X oversampled D/A converters, linear power supplies for all analog audio electronics, selectable crossfade times and curves, and time advance output for use with external digital processors and mixers.
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Peavey PMA 250 amp
The PMA 250 is a dual-channel power amp that produces 125W RMS per chan-
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January 1991 R·E·P 75
nel at a 4Ω load. Total harmonic distortion is at 0.008, with a high slew rate and damping factor of more than 300 at 1kHz into 4Ω. The amp features a 5⅛-inch standard rack-mount configuration, a rugged steel chassis, built-in load protection and distortion protection circuitry.
Circle 112 on Rapid Facts Card
Panasonic SV-3700
The SV-3700 Pro-DAT Recorder features a front-panel shuttle wheel, with 0.5 to 15 times speed range; a horizontal cassette tray for easier tape loading; an infrared wireless remote; program, absolute and time-remaining displays; and push-button selection of 44.1/48kHz sampling rates, via analog or digital inputs. Precision Quad DACs at the analog output reduce zero-cross distortion and enhance linearity at low signal levels. The SV-3700 provides up to 400 times fast-forward, rewind and search speeds.
Circle 111 on Rapid Facts Card
Peavey UltraVerb II processor
The UltraVerb II is a multi-effects processor that features 256 internal programs. All the original standard factory presets from the UltraVerb have been included, with the added capability to replace every effect group in the range of up to 128 effects slots. Each preset transfer step is reversible up to the last keystroke. The UltraVerb II is capable of real-time MIDI control for the synthesist, MIDI guitarist or MIDI-driven PA system. User friendliness is increased by two-color LEDs located near each function and detailed labeling on each function button.
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Carver PT-2400 and PT-1800 amps
The PT-2400 Magnetic Field Power Amp produces 1,200W/channel into 4Ω and 3,000W bridged into 4Ω, 20Hz-20kHz; it weighs 45 pounds. The PT-1800 is rated at 900W/channel into 4Ω and 2,200W bridged into 4Ω, 20Hz-20kHz; it weighs 42 pounds. Both amps are modular dual-monoaural designs. Other features include positive locking detachable dual ac line cords, a quiet 100 CFM cooling system, a compression circuit for excessive long-term HF signals, a clipping eliminator circuit and a remote sequential power on/off feature.
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East West ProSamples Volume 1
ProSamples Volume 1 is a CD sample library that features 259 drum samples, recorded by producer/engineer Bob Clearmountain. Four performances of each sample make it easy to get a level on the sampler. The CD features more than 900 individual samples, with each individual sample in each series a different performance. The CD is fully indexed, pressed in gold and comes with a 16-page booklet, which details the studios and equipment used, mic type and placement, and information on ambience for each sample. All samples have been recorded direct to DAT. Retail price is $129.
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Omnimusic Zapfile
Zapfile 1 has been added to the Professional Broadcast Series, a collection of copyright-cleared production music on CD for TV and radio producers. The CD collection includes more than a hundred different tracks and is divided into four sections: musical logos, for station or product IDs, credits, fanfares, trailers and program segues; musical sound effects, including bells, sweeps, chords, orchestra hits, cues and stings; supersound effects, including laser shots, noise swirls, filter sweeps and zaps; and themes and patterns, including news bulletins, time tracks and expanded logos.
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TDK NF-CO9B Digital Noise Absorber
The NF-CO9B is a snap-on electromagnetic interference noise filter. The passive filters clamp onto signal cables and power cords up to 9mm in diameter. A high-density ferrite core absorbs UHF energy, eliminating the high-range distortion associated with EMI. The absorbers are available in two-packs; retail price is $10.
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Azonic Acoustic Analysis Service
This 3D computerized modeling program maximizes noise reduction within the parameters of a specific environment. The program simulates the use of Azonic noise and reverberation reduction products within a defined space to customize the acoustical environment to the desired sound level and/or reverberation time. A sound analysis kit, which includes starter gun, tape recorder and an in-depth questionnaire to describe the room's characteristics, is used to collect customer data. The data are returned to Azonic, where a complete analysis is furnished, including detailed graphs and recommendations.
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Ultimate Support Systems mic stand
The Liberty weighted-base mic stand weighs 9 pounds and features a dovetail base, which stacks up to six stands into the footprint of one stand. An on/off clutch design allows adjustment of the mic stand height with only a quarter turn. Retail price is $29.99.
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Morenz Development SA-1000 amp
The SA-1000 power amp incorporates pulse width modulation technology to amplify audio signals using digital-like signals. The amp features a 10Hz-to-30kHz frequency response, a dynamic range of
105dB, 95% amplifier efficiency, a damping factor of 440, intermodulation distortion of 0.05%, 40% line voltage range and 1,000W of power. The amp weighs 18 pounds; its dimensions are $3.25" \times 19" \times 12.875"$.
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**Professional Acoustics Consultants PAC-10**
The PAC-10 dc alternative studio lighting system features a non-switching ramped dimmable source, overvoltage protection, current limiting and remote programming. The system replaces the 110V ac lighting currently in use with a low-voltage dc light source. The EMI and RFI created by ac power sources are reduced, providing a safe low-voltage source. The ramping feature prevents bulb shock, which can provide an indefinite lamp lifespan.
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**dbx 1531X EQ**
The dbx 1531X graphic equalizer features switchable dual 15-band or mono 31-band operation and high-pass filtering with selectable turnover frequencies. It is configurable for single-channel $\frac{1}{3}$-octave or dual-channel $\frac{2}{3}$-octave use, and offers symmetrical peak/dip combining filters on ISO centers. The front panel configuration switches allow bypass, selection of fader throw between ±15dB and ±7.5dB and high-pass filter in/out, with turnover at 20Hz, 60Hz or 120Hz. List price is $399.
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**Audio/Video File Systems storage units**
Storage units for cassettes, CDs, digital audiotapes and Nintendo game cartridges are now available from Audio/Video File Systems. The storage units are made of Lucite Plexiglas and are available in clear, smoke and black colors. Units are available in 25, 50, 100, 200 and 250 amounts.
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**Delta Electronics Model SNG-1**
The Model SNG-1 stereo noise generator offers switch-selectable white, pink and USASI noise spectra, in either continuous or pulsed output modes. An external gate feature permits control of left and right channel noise for a variety of alignment and troubleshooting tests. Using two independent noise generators, the SNG-1 provides true uncorrelated stereo noise through front panel tip-ring-sleeve jacks for simple patch bay connection. Outputs are available through XLR connectors mounted on the rear panel. List price is $550.
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**Symetrix SX208 compressor/limiter**
The SX208 is a stereo compressor/limiter in the half-rack format. Either channel can be used to control the dynamic extremes of a mono source, or both channels can compress or limit stereo signals. Three LEDs indicate proper level setting and a ratio control selects the degree of compression desired. Peak and RMS level detection respond immediately to hard transients and gently to gradual level changes. The SX208's $\frac{1}{4"}$ TRS input and output jacks accept balanced and unbalanced signals automatically with no risk of level or impedance mismatching. List price is $299.
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**Community RS880 speaker**
The 3-way RS880 loudspeaker system is housed in a rugged trapezoidal enclosure. Its 15-inch cast-frame speakers manage frequencies up to 450Hz; the horn-loaded LF drivers are outfitted with ferro-fluid cooled voice coils. The M200 2-inch compression driver handles the midband frequencies. At 3kHz, signals are directed by the system's passive crossover into a 1-inch titanium diaphragm driver, which is coaxially mounted in the bass horn section. Other features include an operating range of 45Hz-18kHz, sensitivity of 107dB IW/m and power handling rated at 400W pink noise/1,000W program. Retail price is $2,168.
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**Audio Precision Portable One**
Portable One is a test set for field, benchtop and studio applications. The true-channel architecture provides full stereo measurement capability and dual bargraph displays. Twelve different measurement functions can be selected by push buttons. List price is $4,000.
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**Turbosound Flashlight speaker system**
The Flashlight System is a line of integrated loudspeaker enclosures with dedicated amplifiers capable of delivering 1,800W per channel. The control system comprises a fully time-aligned 24dB per octave crossover with factory pre-set limiters and balanced line drivers. The TFS-780L enclosure covers LF from 30Hz to 150Hz and contains a 21-inch speaker with a six-inch voice coil loaded with a TurboBass device. The TFS-780H handles HF from 150Hz to 20kHz and consists of two long-throw TurboMid devices and a high-Q 1-inch waveguide horn.
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**SigTech AEC 1000 correction unit**
The AEC 1000 Acoustic Environment Correction unit generates a test signal to automatically measure direct sound and room reflections, and then designs an FIR digital filter to correct for the room acoustics. Because it operates in the time domain, it is able to compensate separately for direct sound and later reflections. The resulting filter is capable of correcting up to 1,000 peaks and dips in the spectrum.
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Hardware and Software Updates
Hybrid Arts TimePage software
For the ADAP II digital audio recorder/editing system, TimePage software changes the length or tempo of an audio file uniformly without changing its pitch. The algorithm can scale speech by ±30% without artifacts.
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Akai sampler price reduction
Akai's line of digital samplers has undergone a 25% average reduction in the suggested retail price. The S950 is $1,899.95; the S1000 is $4,599.95; the S1000HD (hard drive) is $5,399.95; the S1000PB (playback) is $2,699.95; and the S1000KB (keyboard) is $4,899.95
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Coda Music Software Finale update
The 1.1 version of the Finale PC music notation software, which is compatible with Microsoft Windows 3.0, is up to five times faster than the 1.0+ version, for such functions as note entry, copying music, recalculating and screen redraw. New features include Windows 3.0-compatible MIDI drivers that allow the use of MIDI while in Standard Mode; a Hand Grabber tool, which allows movement without the use of scroll bars; and a Zoom tool, which allows the user to drag-enclose a region, then enlarge it to fill the screen. Suggested retail price is $599.
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JLCooper MAGI II Version 2.0
Version 2.0 software for the MAGI II Console Automation System is an upgrade providing cue list off-line editing, hit list, auto punch, multi-finder compatibility, enhanced user interface and real time and off-line MIDI event editing. A Cue List View Filter allows any combination of event types to be displayed, resulting in a less cluttered view of the information that is being edited. Version 2.0 requires an Apple Macintosh Plus or Atari 1040 ST computer. The update will be sent to all registered owners free of charge.
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Wohler Technologies AMP-1 update
The AMP-1A rack-mount stereo audio monitor features the same single-rack unit size as the AMP-1, but features a frequency response that extends from 80Hz to 15kHz, ±7dB. Its design consists of three amp/driver combinations, two for midrange and HF material in stereo, and a third center channel for summed LF information. Its sound field is tightly focused for optimum 1-to-3 feet monitoring. Electronic center-channel bass cancellation emphasizes phase problems occurring in the stereo feed.
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ADA update for MP-1 Guitar Pre-amp
ADA's level 2.0 software for the MP-1 MIDI Tube Pre-amp supports MIDI System Exclusive, allowing MP-1 users to up/download programs to a computer. Level 2.0 includes new and improved presets and a dictionary feature that increases user-friendliness. Registered ADA MP-1 owners can receive the update kit free of charge. A service special includes software installation and complete calibration and circuit updates by ADA technicians.
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Peavey DPM 3 SE Version 2.0
The DPM 3 SE Version 2.0 software provides local edit capability for samples loaded via MIDI Sample Dump Standard. It also supports dumping of samples from internal memory via MIDI Sample Dump Standard, with expansion Sample RAM capability of up to 1Mbyte. The DPM 3 SE also includes support for the DPM VE sampler module.
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Belden Wire and Cable power supply cords
Belden now offers the Japanese T-Mark on its power supply cords for appliances and electronic equipment. Products with the T-Mark rating conform to the Dentori Law, which regulates appliance and material control in Japan. All plugs made to the Dentori requirements use the Belden-patented design that ensures no stray strands or shorts within the attachment plug. The T-Mark can be used on both plugs and cordage. PVC and rubber.
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Peavey SyncController Version 2.0
The SyncController Version 2.0 is a SMPTE time code based machine synchronizer/controller. Both machines can be locked together by using time code information from an audio track of each machine and remotely controlling the speed of one. MIDI Time Clock and MIDI Song Position Pointer are also derived from the slave SMPTE time code. Version 2.0 also features 99 programmable events, with tempo changes available at every event time. Multiple keystrokes are eliminated because the slave machine will respond to master tallies.
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Oxmoor receives UL listing
The MDA-16 and MDA-26 Distribution Amplifiers and the RMX-62 and RMX-44 Mixing Matrix Amplifiers have recently received UL listings.
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Caig Cramolin DeOxidizer Wipes
Caig's Cramolin DeOxidizer is now available in wipe applicators that are non-flammable, non-toxic and ozone safe. The fast-acting deoxidizing solution cleans, preserves, lubricates and improves conductivity on all metal contacts, connectors and other metal surfaces, including gold. A kit includes 50 wipes in a pocket-size polypropylene container.
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Continued from page 77
The AEC consists of a signal processor and a specially configured laptop PC. The laptop provides a VGA display on its sharp gas plasma screen.
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Cory Instrument Products Studio Duster
The Studio Duster works like a dust magnet because thousands of soft, plastic bristles create static electricity, which attracts and holds dust. It will not scratch surfaces like a traditional feather duster and can be rinsed clean after use. Suggested retail price is $7.50.
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Applied Research & Technology MDC-2001
The MDC signal system controller offers two channels of stereo processing, with more than 45 LEDs to monitor all functions and level variations. The compressor allows independent control of all functions, including input gain, slope, attack and release time. The expander and gate functions can be controlled separately or used in tandem. The System Master Limiter/Clipper serves as an absolute gain threshold that cannot be exceeded. Separate left and right output levels control the main balanced output feeds to the tape machine for amplification system.
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You Can Hear The Difference
For More Info on Our Production Music Library Call
800-227-1954 212-333-5766
FAX 212-262-0814
MANHATTAN PRODUCTION MUSIC
311 West 43rd St., Suite 702; NY NY 10036
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HOLDS UP ON THE ROAD
TYPE 85 FET DIRECT BOX
AMP. INST. PICKUP
INPUT SPEAKER
COUNTRYMAN ASSOCIATES INC.
417 STANFORD AVE.-REDWOOD CITY, CA. 94063-PHONE 415-364-9988
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Media
Radio commercials audiotapes
"How to Produce Great Radio Commercials," written by Brian Battles and available from Porkpie Productions, is an audiotape training program on four full-length cassettes. Information includes how to write copy; prepare jingles and background music; record and edit; use special effects and sound effects; find clients and sell your services; and make organized presentations. Retail price is $99.95.
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Rane users guide
To support its Flex Series modular signal processors, Rane has published the "Flex Users Guide," which includes detailed diagrams of proven configurations, including church systems, small studios and multizone distribution venues. User tips and shortcuts are also included. CAD drawings are included on a diskette, which enables users to prepare computerized presentations and system designs. The guide is available at no charge.
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Disc Makers wholesale catalog
Disc Makers has released its full-color 1990-91 wholesale catalog. It describes the company's retail ready packages and includes updated pricing and information on cassette duplication, CD replication, record pressing, video duplication and Disc Maker's mastering, art design and printing services. It is free of charge.
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Basic Measuring Instruments newsletter
The "Power Monitor" newsletter is written for studio engineers who are concerned about reducing power cost and maintaining reliable operation of electronic recording equipment. It features articles on power quality and energy management applications and products; industrial topics such as harmonic distortion and power shortages; questions and answers about power-related issues; and information on power applications group meetings around the country. It is free of charge.
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Marshall Electronics catalog
A 1990-91 catalog for the audio, video and broadcast industries is now available from Marshall Electronics. The 48-page catalog features a complete range of component parts for interfacing both professional and industrial audio and video equipment. Items include BNC panel connectors with built-in termination switches, which operate automatically when inserting a mating plug; molded patch cords available in any color; RCA and panel jacks that come in strips of up to eight across; and the company's line of Hi-Definition Video coaxial cable assemblies, which operate up to 100MHz for computer RGB and HDTV.
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Shure Brothers videocassette guide
The "Guide to Better Audio" is now available on videocassette with VHS Hi-Fi sound. It discusses microphone selection and technique, mixer operation, wireless mic systems and audio accessories. A copy of the original 24-page booklet is included with each order. List price is $29.95.
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Motionworks Control Protocol
The Control Protocol is for manufacturers and professionals in audio and broadcast product development who want to integrate Motionworks' products with their own. The protocol is simple to implement and is available upon request, with documentation and example applications for either PC-compatible or Macintosh computers.
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Crown SASS-P CD
A CD featuring recordings made with SASS-P microphones is available free of charge from Crown. The CD, which has a running time of more than one hour, contains an assortment of live music, studio music, stereo sound effects, samples and A/B comparisons with other stereo mics. Live and studio music is comprised of a range of music, from classical to pop. Percussive arts are featured on another portion of the CD. Each CD comes with extensive documentation about how each recording was made. Photos illustrate the actual recording session and mic placement.
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Vega white paper
The free "Vega Wireless Microphone Application Techniques" white paper, written by Vega president Gary Stanfill, presents information on wireless systems and provides solutions to common wireless problems. The 20-page paper includes frequency selection, interference control and antenna systems.
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Audio Services catalog
A 115-page catalog of production sound recording equipment and accessories has been issued by Audio Services Corporation. It contains 500 original photographs, commentary, articles and other information about the industry and is available free of charge.
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Atlas/Soundolier catalog
A two-color, 8-page catalog from Atlas/Soundolier illustrates a selection of microphone stands and accessories for music, recording and performance applications. Contents include: mic and loudspeaker equipment floor stands, desk stands, studio-quality mic booms and attachments, stand accessories, adaptors and fittings. The catalog is free of charge.
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FOR SALE, con't.
WHAT COULD YOU HAVE IN COMMON WITH:
POWER STATION, HIT FACTORY-NY, HIT FACTORY-LONDON, LARRABEE SOUND, BATTERY STUDIOS, GEORGETOWN MASTERS, THE TOY SPECIALISTS, DREAMHIRE, STUDIO FX (SYDNEY), STEVIE B. AND MANY OTHER OF THE WORLD'S FINEST STUDIOS, MASTERING LABS, RENTAL COMPANIES, AND TOP RECORDING ARTISTS?
IN STOCK & WAITING FOR A NEW HOME...
FAIRCHILD 670; TELEFUNKEN ELAM 250s and 251s, U-47s, API CONSOLES, EQ's OF ALL SHAPES & SIZES
WE ALWAYS HAVE TUBE NEUMANNs and AKGs, TUBE COMPRESSORS & EQUALIZERS...PULTECS, LANGs, FAIRCHILD, API, NEVE, LA-2As ETC
WE BUY, SELL AND TRADE—LIST YOUR FOR SALE EQUIPMENT FREE!!
WE HAVE LISTINGS ON CONSOLES AND 24 TRACKS, NEVE, SSL, AMEK, TRIDENT, API, OTARI, STUDER AND MCI..."this is not a problem."
THE CONNECTION, THE SOURCE, THE PROFESSIONALS
TEL: 617-784-7610 FAX: 617-784-9244
Stamp Out SCR Buzz. Forever.
Diff amps may work — when far from SCR dimmers and RF transmitters. When you're up close, you'll need a good transformer.
jensen transformers
INCORPORATED
10735 Burbank Blvd. • North Hollywood, CA 91601
FAX (818) 763-4574 Phone (213) 876-0059
TELEX 6502919207 MCI UW
(Mon-Thurs. 9am-5pm Pacific time)
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Portable Sound Panels
• Isolate specific areas
• Many sizes and options
• Parts start at $19.95/ea
Complete w/oals
Island Cases
Write for free catalog
1221 Fifth Avenue, New York, NY 10121
(212) 321-2111 In N.Y. 415-561-1611
WILLIAM STARR
★ DISTRIBUTORS ★
Wholesale Prices To Retail Stores For...
• Shure • Atlas
• Audiotechnica • West Penn Wire
• Teac • Many others
CALL THE "STARR"
★ 800-247-0040 ★
American Pro Audio
• Sony/MCI • Trident •
• Tannoy • Eventide •
• Yamaha • Tubetech •
• Fostex • Soundtracs •
• Beyer • Roland • Akai •
• Ramsa • Panasonic •
Mini Lease Program
New or used, trade-ins 24-60 months with buyout option
$5K-25K no financials required min. 2 yrs in business.
1-800-333-2172
REICHENBACH ENGINEERING INC.
Quality Audio Transformers
(Formerly Marketed as jensen transformers)
Now brought to you at substantial savings through our new marketing Rep.
BAUER COMMUNICATIONS, INC.
(800) 627-7277
SOUND REINFORCEMENT,
MULTI-TRACK RECORDING
AND DIGITAL AUDIO
SPECIALISTS
COMPETITIVE PRICES
EXPERT TECHNICAL
SUPPORT & SERVICE
DESIGN AND INSTALLATION
TekCom sells virtually every product on the market with mid-Atlantic exclusives on the full line of Otari tape recorders, Trident and DDA consoles, Disk Mix & J.L. Cooper automation systems, and ProDisk direct to disk recording/editing system.
(215) 426-6700
1020 N.Delaware Ave.
Philadelphia PA
FOR SALE
"World Class"
Tapes
& Duplicating
Agfa
- Digital Audio Tape (D.A.T.) In Stock
- Analog Tape, Audio Accessories
- Phone In Order, Ship Same Day
- Great Quality — Great Price
- On-Shell Printing
Call us at
(800) 365-0669
for prices on tapes & duplicating
World Class Tapes
Audio Tape Distributors & Duplicators
670 Airport Blvd., Suite 1
P.O. Box 7611
Ann Arbor, Michigan 48107
(313) 662-0669 (within Michigan)
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STUDIOWORKS
Recording & Broadcast Equipment
FACTORY DIRECT PRICES
ON 3M & AMPLEX TAPE
| ARG | JBL/UREI | RAMSA |
|-----|----------|-------|
| ALLEN & HEATH | LEXICON | SENNHEISER |
| FOSTEX | NEUMANN | SOUNDTRACS |
| OTARI | VALLEY INT'L |
Over 70 Professional Lines!
SONY
Professional Audio
(800)438-5921
(704)375-1053
Sony used & demo sale
Sony 3036 loaded 32/mono/auto $52K w/warranty.
Sony 3036 loaded 36 white & hard drive $75K.
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Reliable
- Fostex E-16 4.1K • Fostex E-22 2.1K
- Fostex 1240 $1,545.00
- Tascam M600/16/16 $7,650.00
- Tascam 520 4.5K
- Soundcraft 6000 28/24 with patch 21K
- Emulator III 8 meg 10K
All items new or demo
Subject to prior sale.
Reliable Music • 704/375-8662
GET YOUR CABLES TOGETHER
SIZES, 10 COLORS
VELCRO® CABLEWRAPS
PACKAGES OF 3, 10 & 100
SeamTech
(415) 861-6011
P.O. Box 77394
San Francisco, CA 94107
FAX: (415) 334-9511
All rights reserved. Patent #4700432
MILAM AUDIO
"The Source"
SINCE 1967
CONSOLES
MULTI-TRACKS
MONITORS
D.A.T. • AMPS
EFFECTS • MICS
USED EQUIPMENT
1470 Valle Vista Blvd.
Pekin, IL 61554
(309) 346-3161
800-334-8187
FAX 309-346-6431
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FOR SALE
**Attack Noise Now!**
**MARKERFOAM™ ACOUSTIC FOAM GIANT**
54" x 54"
$19.99 Per Sheet!!
Blue or Gray
KILL NOISE QUICK! Soundproof studios, rehearsal spaces, vans, cars, etc. Markerfoam is 2" thick, comes in blue gray or natural blue (spechit color). Markerfoam offers outstanding sound absorption qualities. Immediate shipping. Add $3.50 sheet shipping NYS residents add 7% tax. MC Visa AmeriCOD Check. Terms: 3-inch sheets also available at $29.99.
**MARKERTEK BLADE TILES™**
HIGH PERFORMANCE LOW COST!
$3.49 per tile 16"x12"
America's best acoustic tile value, only from Markertek!
Blue or gray Also available 16"x16"x3" as shown $4.49 ea
**MARKERSTIK™ foam adhesive**
Works with all Markerfoam cushion tiles. Mounts up to 50 square ft. $3.80 per tube
**SONEX**
All the colors and sizes plus great prices!
Get our FREE 150-page catalog of over 5,000 exclusive and hard-to-find supplies for audio & video.
800-522-2025
MARKERTEK VIDEO SUPPLY
145 Ulster Ave Saugerties New York 12477 USA
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**TEF ANALYZERS for rent, USED TEF'S FOR SALE**
Excellent selection and prices
Also we broker STUDIO EQUIPMENT mics, consoles, tape recorders etc.
Contact Bill Landow (the TEF Broker)
EXPERIENCED AUDIO
18562 US Hwy 20 E - Bristol • IN • 46507
(219) 522-8346 OR FAX (219) 533-8800
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**ENDLESS WORD™**
ADVERTISING PROMOTIONS
O.E.M. DISTRIBUTORS AND DEALERS WANTED
ENDLESS CASSETTES & ON-HOLD ON-HOLD SYSTEMS MADE IN U.S.A.—OUR 14TH YEAR
• Clear case allows visual inspection of tape & splice • Call and hear the audio clarity of our new On-Hold telephone line adapter in combination with our Hold-A-Call™ Endless Cassette System • We are offering our new volume distributor pricing on endless cassettes and On-Hold equipment
MANN ENDLESS CASSETTE INDUSTRIES
P. O. Box 1347 • San Francisco, CA 94101
(415) 221-2000 Fax: (415) 387-3425
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**TDK's NEW SM CASSETTES: "IT'S ABOUT TIME"**
- Now available in 10, 20, 30, and 60 minute lengths.
- Superior high bias cassette for studio and demo recordings.
- Uses top-quality SA tape pancake for low noise and wide dynamic range.
- Ask for our new A/V catalog.
**SONOCRAFT**
360 West 31st Street
New York, NY 10001
TEL.(212) 760-9300
FAX (212) 564-9488
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**BRAND NEW SERIES 10 CONSOLE**
48 module/96 input, three bucket mainframe w/Mac II automation. Retail cost is $501K. It's available shipped direct from the factory for either $355K cash, or $365K ($120K cash and $245K financed).
Call 415-339-2111
**WHO USES THE TUBE DIRECT**
Walter Becker, George Massenberg, Hugh Padgum, Stanley Clarke, Niko Bolas, Ocean Way Recorders A&M Records, Clint Black, Bonnie Raitt, Lyle Lovett, Brian Ahern, Jackson Browne, Crosby, Stills, Nash, and Young, Val Garay, Chet Atkins, Pete Anderson, The Complex, Ry Cooder Eddie Van Halan, Sting, & The Who
WHY NOT YOU?
THE TUBE DIRECT IS SIMPLY THE BEST SOUNDING DIRECT BOX MADE!
ALSO NOW AVAILABLE THE
TUBE MIC PRE-AMP
See Hugh Padgum interview
June 1990 issue R-E-P
DEMETER AMPLIFICATION/
INNOVATIVE AUDIO SYSTEMS
(213) 470-6426
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Akai ADAM 12-track digital recording system
Includes locator and meter bridge
Less than 50 hours on machine like new!
$16,500.00
708/513-7233
FOR OVER 10 YEARS
YOUR BEST BUY IS USED RECORDING EQUIPMENT
SYE MITCHELL SOUND
22301 CASS AVE.
WOODLAND HILLS, CA 91364
(818) 348-4977
FAX: (818) 704-7031
FOR SALE, con't.
Blevins Audio Exchange Inc.
We supply the best quality in used studio equipment.
Specializing in Used MCI Products & Parts.
Dealers, call us with your trade-ins
Call for January Specials! 615/242-0596
Fax: 615/242-0599
FOR RENT OR SALE
Soundcraft 800B 40x8x8x2
Will Deliver
Call Greg Flynn
Ray Pro Sound
1902 Wharton Rd.
Jenkintown, PA 19046
215-885-8885
VINTAGE SPEAKERS
4-UREI 6048G Speakers $1,200.00 each
2-UREI 838 X-overs...$200.00 each
Call Gary-(213) 957-2996
Hammond B-3 with Leslie Speaker Excellent Condition $2,600 delivered — most locations 414-642-9732
LET THE GOVERNMENT FINANCE your new or existing small business. Grants/loans to $500,000. Free recorded message: 707-448-0201. (SE1)
PHONE Renée Hambleton for Classified Advertising Information (913) 888-4664
OPUS
CALL OPUS FOR ... MICS
AKG C-414BULS
NEUMANN U87aZ
BEYER M-740C
and used microphone listing
CALL OPUS FOR ... SPEAKERS
JBL 4400 Series Monitors
TANNOY Control Room Monitors
UREI 800 Series Studio Monitors
CALL OPUS FOR ... AKAI A-DAM 12 Track Digital Recorder DD1000 4 Channel Optical Disk S-1000 Samplers
CALL OPUS FOR ...
SHARP XV-100 Video Projection PANASONIC Pro-Video SOUND CRAFT Consoles
USED AUDIO EQUIPMENT CALL FOR THE NEW TAPE CATALOG
OPUS
4262 Grand Avenue, Gurnee, IL 60031
1-800-522-6787 For Orders
1-708-336-6787 Information
EQUIPMENT WANTED
WANTED
NEVE-SSL-API-TELEFUNKEN-SONY NEUMANN-OTARI-MCI-PULTEC-URIE-AMS OR ANY USED CONSOLE, TAPE MACHINE, VINTAGE MIC OR PROCESSOR YOU WANT TO SELL—CALL ANYTHING AUDIO 617-426-2875
Wanted: Dead or alive
Pultec, ITI, Lang, Sontec EQs Telefunken, Neumarn, AKG or RCA mics, UREI, dbx, UA, Telertonix, Fairchild limiters and other gear. Boxes or tubes; API or Neve consoles and old guitars.
Dan Alexander
5935 Market St. Oakland, CA 94608
415-644-2363 Fax 415-644-1848
EQUIPMENT WANTED
BUY OR TRADE YOUR USED MULTITRACK RECORDERS AND CONSOLES
EAR PROFESSIONAL AUDIO/VIDEO (602) 267-0600
The Studio POP Filter
A Great Improvement on a Good Ideal!
Open up the sound of your vocals and voice overs without annoying "POPS" ruining your best take!
• Standard mic stand adapter with threaded brass bossing
• One piece plastic rim, 5" diameter—in sky blue or black
Only $2400 With optional Gooseneck $4895
ONE YEAR GUARANTEE plus shipping
AUDIO VISUAL ASSISTANCE
565 Sherwood Road,
Shoreview, MN 55126
Phone: 812-481-9715
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DUPLICATION SERVICES
Cassette Tek, Inc.
SPECIALISTS IN PROMOTIONAL CASSETTES FOR ARTISTS—PRODUCERS—AGENCIES
• Highest quality custom blanks audio and video VHS cassettes
• Duplication of audio and video
• EMBOSSED on-cassette printing using the PRINT RITE system
• Direct mail services
• Reasonable pricing
• Fast service
1605 Thomaston Ave.
Waterbury, CT 06704
TEL. (203) 757-4848
FAX (203) 756-8585
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TRAINING
READY TO IMPROVE YOUR RECORDING SKILLS?
THEN SIT NEXT TO A TOP FLIGHT ENGINEER AS HE DEMONSTRATES ALL THE ELEMENTS THAT GO INTO GREAT RECORDING
The SHAPING YOUR SOUND series is five indispensable new videotapes covering multi-track recording, mixing, signal processing and microphones. They bring better studio technique to life using the power of video to do "WHAT NO BOOK ON THE SUBJECT HAS EVER BEEN ABLE TO ACCOMPLISH!" (Mix Magazine)
Every tape is packed with demonstrations and examples that cut through time consuming book study and get you down to better recordings.
CALL FREE TO FIND OUT MORE ABOUT SHAPING YOUR SOUND, THE PROFESSIONALS' TRAINING PROGRAM.
1-800-777-1576
FIRST LIGHT VIDEO PUBLISHING
374 N. Ridgewood Place, L.A., CA 90004
January 1991 R-E-P 85
**SERVICES**
**LOUDSPEAKER REPAIR FOR THE DISCRIMINATING PROFESSIONAL**
TekCom, the mid-Atlantic's only full-service pro audio dealer, is also the Factory Authorized/Factory Trained speaker recone center for: JBL, Electro-Voice, Tannoy, Gauss, EAW/RCF, Altec Lansing, Bose Pro., P.A.S., UREI, Cerwin Vega
(215) 426-6700
1020 N.Delaware Ave.
Philadelphia PA
**BUILDING A STUDIO?**
STUDIO & ACOUSTICAL DESIGN
COMPLETE STUDIO PLANS
WIRING SYSTEM DESIGN
STUDIO INSTALLS & PRE-WIRING
OTARI & TASCAM SERVICE
Have your new room or facility designed & built by audio professionals with over 20 years experience as mixers, producers, musicians & studio owners.
db ENGINEERING
Boston, MA (617) 782-0648
**RCA MICROPHONES**—Repair service on all models. Complete sound and cosmetic restoration. We also repair other ribbon types. ENAK Microphone Repair, 420 Carew Avenue, Pitman, NJ 08071. (609) 589-6186.
**STUDER REVOX**
FACTORY AUTHORIZED SERVICE CENTER
"SUPERLATIVE SERVICE"
Swiss trained in servicing all open reel and cassette tape recorders, CD players, and other Studer/ReVox equipment. Over 12,000 units serviced and repaired since 1978. Fast 24-hour service w/90 day warranty. Large parts inventory. Capstan shaft resurfacing & head relapping service. New & used machines available w/warranty. Visa/MC.
STUDIO-SONICS CORP.
2246 N. Palmer Dr., #100
Schaumburg, IL 60173
Phone: (708) 843-7400
FAX: (708) 843-7493
**DISC MAKERS**
- Cassette Duplication
- Record Pressing
- CD Replication
- Video Duplication
Complete Packages
CALL FOR OUR FREE FULL COLOR CATALOG
1-800-686-9353 (in PA: 215-232-4140)
DISC MAKERS
1328 North 4th Street
Philadelphia, PA 10019
**LOUDSPEAKERS**—EXCLUSIVE
Factory Authorized Center
Professional-High Fidelity
Warranty/Non Warranty Repair. Four Day Turnaround For Stocked Kits. All Work Done By Factory Trained Technicians.
PRICE STEVENSON ACOUSTIC RESEARCH
1591 Broad Run Rd. Downingtown, PA 19335 (215) 383-1083
**MAGNETIC RECORDING HEADS**—RELAP/REPLACEMENT for Audio, Video, Time Code, Duplication. 29 years of head design experience. IEM, 350 N. Eric Dr. Palatine, IL 60067; tel (708)358-4622.
**EUROPADISK, LTD.**
MASTERING MANUFACTURING
- Compact Disc
- Cassettes
- Vinyl Records
- Printed Graphics
- Digital Mastering Studios
The U.S. most complete facility with a 20-year reputation for the finest quality. Call for our information-packed brochure.
EUROPADISK, LTD.
75 Varick Street. New York, NY 10013
(212) 226-4401 FAX (212) 966-0456
**Phone**
Renée Hambleton
for
Classified Advertising Information
(913) 888-4664
**ALIGNED AUDIO INC. SUPER QUALITY**
- Audiophile Record Pressing
- CD Replication
- Real Time and High Speed
- Cassette Duplication
- Direct On-Shell Imprint in Colors
**COMPLETE PACKAGES**
Call Today for your Free Catalogue
- 1-800-869-6561
- 1-718-788-6969
- 1-718-499-0421
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**RENTAL EQUIPMENT**
**A TOTAL EFFECT**
| Eventide H-3000 SE | <New |
|-------------------|------|
| T.C. 2290 (32 sec.) | Includes remote patchbay |
| T.C. 2290 (32 sec.) | |
| T.C. 1210 spatial ex. | |
| Publison Infernal 90 | |
| AMS S-DMX | |
| AMS RMX-16 | |
| Eventide SP 2016 | |
| Lexicon 480L | |
| 480L Larc & Manuals | |
All for $300 a day or $1200 a week!
(That's $171.43 a day!)
Call for advance bookings today
(818)345-4404
Encino, CA
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**The Nation's #1 Co. for Live Console Rentals:**
ATI Paragon ***NEW!! Yamaha 3000, 1800
Gamble EX56, HC-40, SC32 Yamaha 2800, 2408M
Rancho MS2, SC32 Soundcraft 800, TOA RX-7
TAC Scorpion I & II other console models!
* MacPherson LPM monitor rigs/*R-DAT
* Intersonics SDL-5 subs / various EFXs
HI-TECH AUDIO SYSTEMS
Long & short term 415-726-2428
MOVING?
Take us with you.
Just peel off your subscription mailing label and attach it to the address change card inside this issue. Please allow 6-8 weeks to process your address change.
MISCELLANEOUS
The Professional Choice In Cassette Duplication
Each order customized to fit your budget and your total needs
High speed - Realtime & DAT Replication
LORAN
1-800-633-0455
Member of NAIRD
Call For Free Sample
Cassettes AS EASY AS...
1 REAL TIME DUPLICATION
2 HIGH SPEED DUPLICATION
3 CUSTOM BLANKS
INTRODUCING:
Full Service Digital Editing and CD Compilation
ESP Means Quality Full Service Printing and Packaging, Friendly Professional Service, Competitive Prices, Fast Turn-Around and Highest Quality Raw Materials.
EASTERN STANDARD PRODUCTIONS, INC.
26 BAXTER STREET
BUFFALO, NY 14207
1-716-876-1454
1-800-527-9225
THE MOST COMPLETE SELECTION OF AUDIO TEST TAPES
All formats including cassettes
Write or phone for free catalog
STL
STANDARD TAPE LABORATORY, INC.
26120 Eden Landing Road #5, Hayward, CA 94545
(415) 788-3546
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FINANCING
LFCI Equipment Leasing
- $50,000 with credit app. only
- Provides: Off-balance sheet financing Tax benefits
- All types of equipment
- Nationwide
- Dealers welcome
We specialize in A/V equipment
Call: (216) 882-6503
AUDIO AFFECTS
STUDIO EQUIP FOR HIRE
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NUMERICAL ANALYSES OF THE FOREST EDGE VEGETATION IN THE PREDINARIC REGION IN SE SLOVENIA
ANDRAŽ ČARNI
(Institute of Biology, Centre of Scientific Research,
Slovene Academy of Sciences and Arts)
Received December 15, 1994.
The paper deals with numerical analyses of the forest edges in SW Slovenia. A large number of relevés made according to the Braun-Blanquet method was collected from different sources and was subject to different analyses (Programme packages SYN-TAX and CANOCO were used). The results show their relations and positions in the cultural landscape.
Introduction
Since there are numerous data on forest edge vegetation in the Predinaric region in Slovenia (Čarni 1994, 1996, submitted, in preparation), it was decided to collect these data and to perform some numerical analyses (ordinations and classifications). For the preparation of this data set the programme package MHP (Hauser 1990) was used, whereas for the analyses the programme packages SYN-TAX 5.0 (Podani 1993) and CANOCO (Ter Braak 1989) were applied.
Study area
The Predinaric region (Fig.1) was defined as proposed by Wraber (1969) in his phytogeographical division of Slovenia. It is bounded on the north and east by the river Sava, on the south by Croatia and on the west by the higher Dinaric region. The Predinaric region is mainly hilly and submountain with altitudes between 200 and 400 m above sea-level. From a phytogeographic point of view it is under the influence of Illyric floristic elements that are less often noticed on mesophilous and nitrophilous sites. The climatic vegetation comprises *Abieti albae-Carpinetum* (Marinček 1976) Marinček 1995 in the lowlands and *Hacquetio-Fagetum* Košir 1962 and *Lamio orvalae-Fagetum* (Ht 1938) Borhidi 1963 in the submountain and mountain vegetation belts.
**Fig. 1.** The Predinaric region
The bedrock consists of limestone and dolomite in the marginal and partially in the central part. The central part consists mainly of clastical sediments. Central European climate prevails here, the annual precipitation is between 1100 and 1300 mm; the mean temperatures of the coldest month range from −0.6 to −1.1°C and of the warmest from 18.3 to 20.1°C.
**Predominant forest associations**
1. Hornbeam forests
Hornbeam forests thrive in the lowlands. Since this is the most favourable agricultural land they are often felled. They appear on small surfaces and are called "farmers'forest", because they offer wood for heating and timber to the
local inhabitants in a densely populated area. These forests have a very low economic value.
*Vaccinio myrtilli-Carpinetum* (M. Wraber 1969) Marinček 1995 – This acidophilous hornbeam association is the most widely spread of all the hornbeam associations. It thrives on the non-carbonate bedrock where the effect of overexploitation is even more evident than on the limestone. The association appears on steep sites that are not very suitable for agriculture. Sometimes it is found also in the lowlands. These are floristically poor communities on acid soils. They appear on all expositions and on altitudes between 200 and 400m above sea-level.
*Piceo abietis-Quercetum* (M. Wraber 1969) Marinček 1995 – This association is a potential natural on banks of brooks and it depends on the level of ground water level. As to the floristical and ecological conditions this association is very close to the associations *Pseudostellario-Quercetum* Accetto 1975 and *Pseudostellario-Carpinetum* Accetto 1975 which appear in Krakovski gozd.
*Abieti albae-Carpinetum* (Marinček 1976) Marinček 1995 – The association with a lot of easteuropean-illyric species appears on limestone bedrock. It is spread on small surfaces of shallow carbonate soils. The communities which appear in central Dolenjska and Bela krajina can be classified into the subassociation *Abieti albae-Carpinetum myrtilletosum*. The bedrock is also limestone, but it is covered with a layer of decarbonated, loose rock and with acid soils (Marinček 1980). The well known litter forests in Bela krajina, which belong to the association *Pteridio-Betuletum* Trinajstić et Šugar 1977, and which give a specific appearance to the landscape, represent a phase in the degradation process of this subassociation.
2. Beech forests
Beech forests are very common in this area. They cover the majority of forest areas.
*Blechno-Fagetum* Ht. ex Marinček 1970 – This association is found in Zasavje on non carbonate rocks where the ground is acid to highly acid. This association depends on the ground conditions and appears on different sea-levels (Marinček 1987).
*Castaneo-Fagetum sylvaticae* Marinček et Zupančič (1979) 1995 – The association is found on larger surfaces. It appears within the submountain and mountain belts at the altitudes between 200/300 – 700/800 m on non-carbonate bedrock all over Slovenia. These are relatively warmer slopes within the colline belt that are divided by small valleys and ditches. The slopes are fairly steep to steep and since the ground is watertight, there is often a brook or river at the bottom of the valley (Marinček & Zupančič 1979).
*Arunco-Fagetum* Košir 1962 – The association appears on the dolomite bedrock, on cold northern sites. The dolomite is quite common in the area. With the exception of very steep slopes and ridges, the dolomite bedrock used to be covered with beech forests. Because of the antropogenous influence in
the past, the small cattle pasture and the present exploitation of these surfaces and above all because of the very slow succession of vegetation, forests of hophornbeam and ash, in which beech often appears, can be found on the southern slopes. The northern slopes are covered by dense community of beech, association *Arunco-Fagetum* (Košir 1979). The slopes are fairly steep to very steep, separated by deep ditches. On these slopes, which are not exposed to the sun, specific micro climatic conditions prevail. In general, they are cooler, however, the extremes are lower than on the sunny sites, the growing season is somewhat longer and the air humidity is high throughout the year (Marinček 1987).
*Ostryo-Fagetum* Wraber ex Trinajstić 1972 – This continental beech forest thrives in Slovenia, which is fairly rich in precipitation, but only on sunny expositions. The ecology of this association is well defined by the presence of hophornbeam (*Ostrya carpinifolia*) which despite its thermophilous character thrives only in regions with minimal 1100 mm of precipitation and where the summer is not too hot. In drier and warmer sites more thermophilous forests appear, dominated by downy and bitter oaks (*Quercus pubescens*, *Q. cerris*).
*Hacquetio-Fagetum* Košir 1962 – The submountain beech forest grows on brown carbonate soils, It spreads up to 600 m above sea-level. With regard to floristical composition, synecology and syndynamics, it differs substantially from hornbeam and mountain beech forests (Marinček 1983). It has been decided to assign to this association also the association *Querco-Fagetum*, which, according to Košir (1979) is an independent association.
*Lamio orvalae-Fagetum* (Ht. 1938) Borhidi 1963 – This association of mountain beech forests appears in a humid mountain climate which is also very suitable for beech tree. The average annual temperatures are still high enough and the vegetation period is long enough. In comparison to the submountain beech forest, the average annual temperature is lower (6 to 7°C) but more uniform. There is always enough humidity in the ground, even during the summer drought. In the Predinarc region this association builds a well defined vegetation belt between 600 and 800 m above sea-level.
*Ranunculo platanifolii-Fagetum* Marinček et al. 1993 – In this area this association builds the subsequent vegetation belt, which appears only at the top of the Gorjanci mountain ridge.
3. Pine tree forests
In Slovenia the pine tree (*Pinus sylvestris*) appears only on extreme sites. The competition ability of the pine tree is rather low and it is often ousted by the beech tree, which is the dominant species of our forests.
*Genisto januensis-Pinetum sylvestris* Tomažič 1940 – This association is fragmentarily spread in Zasavje on dolomite bedrock. The plant species that can be found there are explicit specialists, such as *Crepis incarnata*, *Chamaecytisus purpureus*, *Daphne blagayana* etc.
*Vaccinio myrtilli-Pinetum sylvestris* (Kobendza 1942) var. geogr. *Castanea sativa* (Tomažič 1942) Zupančič 1995 – This is an acidophilous pine tree
association. The sites of this association are completely different from the previous one, since it thrives on non-carbonate bedrock. It is also an initial association like the previous one, but there appear species that show acidiphility of the site, such as *Lycopodium complanatum*, *Vaccinium vitis-idaea*, *Dicranum spurium*, *D. polysetum* etc. This is a primary association, but it can also appear as a secondary association on the sites of acidophilous beech forest.
4. Oak forests
*Lathyro nigrae-Quercetum petraeae* Ht. (1938) 1958 – When Horvat (1938) first described *Querco-Ostryetum* this association was only a subassociation, but later on he considered it as an independent association. The sites are deep and clayey and often slightly acid. Although the association thrives on southern slopes, there are some heliophilous and thermophilous plant species which are characteristic of the association *Querco-Ostryetum* missing. In the communities the hophornbeam and downy oak rarely appear; while oak, bitter oak and flowering ash are fast growing trees due to the good water supply. The hornbeam and beech do not appear because they cannot survive the summer drought. These communities have greater economic values than downy oak forests (*Querco-Ostryetum*).
*Melamptyro vulgati-Quercetum petraeae* (Puncer et Zupančič 1979) Zupančič 1994 var. *Epimedium alpinum* Zupančič 1994 – The association is spread on warm south-western slopes, on the hilly ground at the foot of the Gorjanci range and on smaller surfaces elsewhere in the Predinaric region. These are secondary communities on the sites of acidophilous beech forests *Castaneo-Fagetum sylvaticae*. These are warm, acidophilous oak tree communities, where chestnut, trembling poplar and birch can also be found.
5. Ash forests
*Hacquetio-Fraxinetum excelsioris* Marinček in Wallnöfer et al. 1993 – This association appears in cool and humid valleys in the Gorjanci region. The bedrock consists of limestone and dolomite. The soil layer is shallow and there is often bedrock protruding on the surface. The association is found at the bottom of the valleys along the brooks.
6. Alder forests
*Carici elongatae-Alnetum glutinosae* Koch 1926 – The alder forest, found in this area, can be classified with the upper association only provisionally. These communities can hardly be classified as this association because there the species from the class *Querco-Fagetea* dominate and there appear only a few species which are classified within the class *Alnetea glutinosae*.
7. Willow forests
The willow forests thrive along brooks and rivers. Two associations were noticed.
Salicetum triandrae (Malc. 1929) Noirf. 1955 – The association appears along the rivers Krka and Kolpa. It thrives on the banks immediately above the water surface and in the river mud.
Salicetum albae Issl. 1926 – This association is found higher above the water level and it is a further step in the progressive succession.
Methods and material
The data set was organised with the help of the programme package MHP (Hauser 1990). The ordination was elaborated with Principal coordinates analysis and classification with a Complete link, both taken from the statistical package SYN-TAX 5.0 (Podani 1993). For the similarity index the option similarity ratio was chosen in both cases. In the case of nitrophilous fringe association the Correspondence analysis from the package CANOCO (ter Braak 1989) was applied. In order to get a general idea we calculated the van der Maarel values (van der Maarel 1985) for each of the associations and then these values were entered into the analysis. The results of the Principal coordinates analysis are presented in diagrams. In all of them two most significant axes are shown. The classification is shown in dendrograms.
The associations of the forest edge taken into consideration:
Nitrophilous fringe
class Artemisietea Lohm., Prsg., et R. Tx in R. Tx 1950
order Glechometalia hederaceae R. Tx in R. Tx. et Brun-H. 1975
alliance Aegopodion podagrariae R. Tx. 1967
Urtico-Aegopodietum R. Tx. ex Oberd. in Oberd. et al. 1967 var. geogr.
Lamium orvala Čarni 1994
Urtico-Cruciatetum laevipedis Dierschke 1974
Heracleo-Sambucetum ebuli Brandes 1983
Chaerophylletum bulbosi R. Tx. 1937
Antibriscus sylvestris community
Chaerophylletum aurei Oberdorfer 1957
Phalarido-Petasitetum officinalis Schwickerath 1933
Chaerophyllo-Petasitetum officinalis Kaiser 1926 var. geogr. Knautia drymeia subsp. drymeia Čarni 1994
Urtico-Lamietum orvalae Čarni 1994
alliance Alliarion Oberd. (1957) 1962 emend. Siss. 1973
Torilidetum japonicae Lohm. in Oberd. et al. 1967 ex Görs et Müller 1969 var. geogr. Epimedium alpinum Čarni 1994
Natural fringe
class Trifolio-Geranietea T. Müller 1961
order Origanetalia T. Müller 1961
alliance *Geranion sanguinei* R. Tx. in T. Müller 1961
*Geranio-Peucedanetum cervariae* (Kuhn 1937) T. Müller 1961 var. geogr.
*Knautia drymeia* subsp. *drymeia* Čarni 1995
*Knautio drymeiae-Dictamnetum* Čarni 1995
alliance *Trifolion medii* T. Müller 1961
*Trifolio-Agrimonetum eupatori* T. Müller (1961) 1962 var. geogr. *Knautia drymeia* subsp. *drymeia* Čarni 1993
*Knautio drymeiae* subsp. *drymeiae-Melampyretum nemorosi* Čarni 1995
*Agrimonio-Vicetium cassubicae* Pass. 1967 var. geogr. *Knautia drymeia* subsp. *drymeia* Čarni 1993
alliance *Teucrion scorodoniae* De Foucault et al. 1979
*Cruciato-Melampyretum pratense* Passarge 1979 var. geogr. *Knautia drymeia* subsp. *drymeia* Čarni 1993
*Mantle*
class *Querco-Fagetea* Br.-Bl. et Vlieg. 1937
order *Quercetalia pubescentis* Br.-Bl. (1931) 1932
alliance *Ostryo-Carpinion orientalis* Horvat 1958
*Brachypodio-Ostryetum* Čarni 1995
order *Prunetalia spinosae* R. Tx. 1952
alliance *Berberidion* Br.-Bl. 1950
*Ostryo-Cornetum* Čarni 1994
*Omphalodo vernae-Coryletum avellanae* Čarni 1994
*Ligustro-Prunetum spinosae* R. Tx. 1952 var. geogr. *Knautia drymeia* subsp. *drymeia* Čarni 1993
alliance *Pruno-Rubion fruticosi* R. Tx. 1952 corr. Doing 1962
*Carpino-Prunetum spinosae* R. Tx. 1952 var. geogr. *Knautia drymeia* subsp. *drymeia* Čarni 1993 subvar. geogr. *Epimedium alpinum* Čarni 1996
*Rubo-Coryletum avellanae* Oberd. 1957 var. geogr. *Knautia drymeia* subsp. *drymeia* Čarni 1996
Nitrophilous associations from the order *Prunetalia spinosae* R. Tx. 1952
*Cornus sanguinea* community
*Sambucus nigra* community
**Results**
*Nitrophilous fringe*
The nitrophilous fringe associations are very common in this region. Because of intensive nitrification (overmanuring, litter dumping etc.), these associations are expanding very fast in this region. Since they often appear
Classification of nitrophilous fringe communities. The relevés are taken from Čarni 1994: Tab. I *Urtico-Aegopodietum* (N° in the dendrogram 1-12); Tab. II *Urtico-Crucifetum* (13-27); Tab. III *Heracio-Sambucetum* (28-38); Tab. IV *Chaerophylletum bulbosi* (39-48); Tab. V *Anthirsac sylvestris* comm. (49-58); Tab. VI *Chaerophylletum aurei* (59-68); Tab. VII *Phalarido-Petasitetum* (69-73); Tab. VIII *Chaerophyllo-Petasitetum* (76-86); Tab. IX *Urtico-Lamietum* (87-98); Tab. X *Torilidetum japonice* (99-107).
separated from the forest edge on the sites of a nitrophilous character, it is difficult to define with which association they are in syndynamical contact. The certainly thrive as a fringe of the nitrophilous mantle associations like *Sambucus nigra* community, *Cornus sanguinea* community, *Rubo-Coryletum avellanae sambucetosum nigrae*, *Ligustro-Prunetum sambucetosum nigrae*, *Carpino-Prunetum rubetosum caesii*. They often appear on the edges of forests if there are enough nutrients in the ground. This is often the case, since they can easily be transported by water from neighbouring fields, or sometimes the litter is thrown in the forest, etc. This happens mostly on the edges of the mesophilous lowland forests such as *Vaccinio-Carpinetum*, *Abieti-Carpinetum*, *Piceo-Quercetum*, *Castaneo-Fagetum sylvaticae*, *Hacquetio-Fagetum*, etc.
Classification of nitrophilous fringe communities is presented in Fig.2.
Correspondence analysis is shown in Fig.3. On the abscissa there is a gradient from the associations growing on dry sites (*Torilidetum japonicae* and *Heracleo-Sambucetum*) to the associations appearing on wet sites (*Phalarido-Petasitetum* and *Chaerophyllo-Petasitetum*), whereas the ordinate shows the gradient between the heliophilous associations *Heracleo-Sambucetum* and *Urtico-Cruciatetum* and the association *Torilidetum japonicae* appearing on shady sites.
Fig. 3. Correspondence analysis of nitrophilous fringe communities.
Correspondence analysis without associations *Torilidetum japonicae* and *Chaerophyllo-Petasitetum* is presented in Fig. 4. On the abscissa there is a gradient from the heliophilous *Heracleo-Sambucetum* to the sciophilous *Urtico-Lamietum*. On the ordinate there is a gradient from the associations *Heracleo-Sambucetum* and *Urtico-Cruciatetum* growing on dry sites to *Phalarido-Petasitetum* appearing on wet sites on brook and river banks.
In the dendrogram five main groups are shown. The first one contains *Urtico-Aegopodietum*, *Chaerophylletum bulbosi*, *Anthriscetum sylvestris* and *Urtico-Lamietum* which are nitrophilous associations appearing on more nitrophilous and shadier sites. The other group contains *Urtico-Cruciatetum* and *Chaerophylletum aurei* which are more heliophilous and less nitrophilous, the third group is formed by the association *Heracleo-Sambucetum* appearing on dry sunny sites in summer. It is rarely found on forest edges. The fourth group is formed by *Phalarido-Petasitetum* and *Chaerophyllo-Petasitetum*. These two associations form one group because they thrive on the banks of brooks and rivers and both of them contain species thriving on wet sites. In fact, these associations are quite different from each other. The former appears on more
---
**Fig. 4.** Correspondence analysis of nitrophilous fringe communities without associations *Torilidetum japonicae* and *Chaerophyllo-Petasitetum*.
degraded sites with more ruderal and nitrophilous species. The latter thrives on natural sites. Like all other associations from the alliance *Aegopodion* in this area, the former can be classified with the suballiance *Lamio albae-Aegopodion* (R. Tx. 1967) Siss. 1973 and *Chaerophyllo-Petasitetum* is classified under the suballiance *Sileno dioicae-Aegopodienion* (R. Tx. 1967) Siss. 1973. The fifth group includes *Torilidetum japonicae*, a sciophilous, ruderal association from the alliance *Alliarion*.
**Natural fringe**
This fringe from the class *Trifolio-Geranietea* thrives on more natural sites. More often it appears on forest edges, but it can also be found independently as a stage of the secondary progressive succession (reforestation).
Classification of the relevés is presented in Fig. 5.
**Fig. 5.** Classification of natural fringe communities. The relevés were taken from Čarni (submitted): 1. *Geranio-Pseucedanetum* (Tab. 1; 1-10 in the dendrogram); 2. *Knautio-Dictamnetum* (Tab. 2; 11-21); 3. *Trifolio-Agrimonietum* (Tab. 4; 22-31); 4. *Agrimonio-Vicietum* (Tab. 5; 46-52); 5. *Knautio-Melampyretum* (Tab. 3; 32-45); 6. *Cruciato-Melampyretum* (Tab. 6; 53-62).
Ordination of relevés is presented in Fig. 6. The caption is the same as for Fig. 5. The abscissa shows a gradient from *Knautio-Dictamnetum* and *Geranio-Peucedanetum* belonging to the alliance *Geranion sanguinei* and thriving on warm sites on limestone and dolomite to *Cruciato-Melampyretum* from the alliance *Teucrion scorodoniae* appearing on colder, acid soils. Even within the associations there is a gradient from the warmest and richest in bases *Knautio-Melampyretum peucedanetosum* (rel. n° 42-45) over transitional *knautietosum* (39-41) to the most acid *solidagetosum* (32-38), and within *Trifolio-Agrimonietum* from the warmer and richer in bases *Trifolio-Agrimonietum teucrietosum* (22-28) to the poorer *veronicetosum* (29-32). On the ordinate there is a gradient from *Knautio-Melampyretum* that grows on the richest soils to *Cruciato-Melampyretum* that grows on poor, acid soils.
From a syndynamical point of view *Knautio-Dictamnetum* is found on the warmest sites in the region, in the Kolpa valley, together with *Carpinus orientalis* and on some other sites exposed to the sun. *Geranio-Peucedanetum* also thrives on extreme warm sites. These associations appear as a fringe of *Brachypodio-Ostryetum* and *Querco-Ostryetum*. *Knautio-Melampyretum* thrives on rich, mesophilous sites which are rich in bases. It forms the fringe of *Carpino-Prunetum*, *Ligustro-Prunetum*, *Ostryo-Cornetum*, on sites of *Abieti-Carpinetum*, *Hacquetio-Fagetum*, *Melampyro-Quercetum* and rarely of acidophilous beech and hornbeam forests. *Trifolio-Agrimonietum* is found as a fringe on poorer sites. It forms the fringe of *Carpino-Prunetum*, *Ligustro-Prunetum and the fringe of all mesophilous and acidophilous hornbeam and beech forests. Agrimonia-Vicietum is found on the forest edge of poor Castaneo-Fagetum, Vaccinio-Carpinetum and Pteridio-Betuletum. Cruciat-Melampyretum is found on the most acid and poorest sites in the region. It forms the fringe of Castaneo-Fagetum, Vaccinio-Carpinetum, Pteridio-Betuletum and Vaccinio-Pinetum.
Mantle associations
In this case the results are shown only in the ordination diagram (Fig. 7). In the diagram on the abscissa there is a gradient from the most nitrophilous Sambucus nigra community to the least nitrophilous Brachypodio-Ostryetum. This division clearly indicates three or even four types of succession in the area (see text below). On the ordinate there is a development of vegetation. At the bottom there are two communities dominated by cornel (Cornus sanguinea) that are initial mantle associations and there are communities dominated by hazel (Corylus avellana) at the top.
Fig. 7. Ordination of the mantle associations in the region. The relevés were taken from A Sambucus nigra community (Čarni 1996: Tab. IV/1-10; in the ordination diagram 54-63); B Cornus sanguinea community (Čarni 1996: Tab. III/1-9; 45-53); C Ostryo-Cornetum (Čarni in prep.: Tab. II/1-10; 1-10); D Carpino-Prunetum (Čarni 1996: Tab. I/1-10; 35-44); E Ligusto-Prunetum (Čarni in prep.: Tab. IV/1-11; 11-21); F Rubo-Coryletum (Čarni 1996: Tab. II/1-16; 64-79); G Omphalodo-Coryletum (Čarni in prep.: III/1-13; 22-34); H Brachypodio-Ostryetum (Čarni in prep.: Tab. I/1-13; 80-92).
The result is three or four types of succession (abscissa) with three steps (ordinate). The first one is *Brachypodio-Ostryetum*. It appears as a mantle of thermophilous associations such as *Lathyro-Quercetum* and *Ostryo-Fagetum*. It is in syndynamical contact with grasslands from the class *Festuco-Brometea*, fringe from the alliance Geranion sanguinei on the one side and with the above mentioned thermophilous forest on the other. The second is a less thermophilous line with initial *Ostryo-Cornetum* that is followed by *Ligustro-Prunetum* and *Omphalodo-Coryletum*. The last one cannot be interpreted as a mantle association in the narrowest sense. The hazel-stage is already a further stage of the reforestation process. It can have its own mantle association, in our case *Ligustro-Prunetum*. These associations appear mainly on the sites of more thermophilous submountain and mountain beech forests: *Hacquetio-Fagetum*, *Lamio orvalae-Fagetum* and partly *Ostryo-Fagetum*. It should be mentioned that *Ligustro-Prunetum* has a large ecological distribution, it can appear on thermophilous sites as subassociation *brachypodietosum rupestre*, on mesophilous sites as *quercetosum roboris* and on nitrophilous sites as *sambucetosum nigrae*. The mesophilous types of the succession are not so clear, since the pollution with too many nutrients (nitrification) often takes place. In our opinion there is a line of succession that goes through *Cornus sanguinea* communities to *Carpino-Prunetum* and ends in mesophilous beech and hornbeam forests: *Hacquetio-Fagetum*, *Castaneo-Fagetum*, *Abieti-Carpinetum* etc. On acid soil there is a possibility that the succession goes over an acidophilous hazel-stage (*Rubo-Coryletum*). On brook and river banks very often the development from *Cornus sanguinea* community to the nitrophilous *Rubo-Coryletum sambucetosum nigrae* can be noticed. The last group is formed by *Sambucus nigra* community and it is hard to believe that it can develop further. It is the final stage of the pollution with nutrients.
**General view**
Dendrogram of forest edge vegetation in Predinaric region is presented in Fig. 8.
Ordination of the forest edges in Predinaric region in Slovenia is shown in Fig. 9. In this case there is not much to be seen, since the gradient is too long. From the diagram presenting the ordination it can be seen that the mantle association from the order *Prunetalia spinosae* has a wider ecological niche than fringe associations from the classes *Artemisietae* and *Trifolio-Geranietae*. In fact, the associations from the order *Prunetalia spinosae* are in contact with the associations from both type of fringes.
In the dendrogram the *Sambucus nigra* community was transferred into the group of nitrophilous fringe association. It is logical because *Sambucus nigra* dominates in this community and hardly any other shrub species can be found there. The herb layer is dominated by *Urtica dioica* and other nitrophilous species from the class *Artemisietae*. The other mantle association *BrachyFig. 8. Dendrogram of forest edge vegetation in Predinaric region.
1 Nitrophilous fringe (1 Urtico-Aegopodietum, 2 Urtico-Cruciatetum, 3 Heracleo-Sambucetum, 4 Chaerophylletum bulbosi, 5 Anthriscus sylvestris community, 6 Chaerophylletum aurei, 7 Phalarido-Petasitetum, 8 Chaerophyllo-Petasitetum, 9 Urtico-Lamietum, 10 Torilidetum japonicae). 2 Natural fringe (11 Geranio-Peucedanetum, 12 Knautio-Dictamnetum, 13 Trifolio-Agrimonetum, 14 Knautio-Melampyretum, 15 Agrimonia-Vicietum, 16 Cruciatio-Melampyretum). 3 Mantle (17 Ostryo-Corne-tum, 18 Ligustro-Prunetum, 19 Omphalodo-Coryletum, 20 Carpino-Prunetum, 21 Cornus sanguinea community, 22 Sambucus nigra community, 23 Rubo-Coryletum, 24 Brachypodio-Ostryetum).
podio-Ostryetum is in the group of thermophilous fringe associations. This is easy to explain since it is not classified into the order of mantle communities Prunetalia spinosae, but into the order Quercetalia pubescentis. In this association numerous fringe species from the class Trifolio-Geranietae appear.
Fig. 9. Ordination of the forest edges in Predinaric region in Slovenia.
References
Čarni, A., 1993: La végétation des lisières forestières dans la région de Prekmurje (NE Slovénie). Documents Phytosociologiques, N.S. 14, 241-272.
Čarni, A., 1994: Les associations des ourlets nitrophiles dans le Sud-Est de la Slovénie comme indicateurs des habitats. Colloques de Phytosociologie 22, 467-498.
Čarni, A., 1994a: Vegetacija gozdnih obrovnkov v preddinarskem svetu Slovenije. Doktorska disertacija. Biotehniška fakulteta, Univerza v Ljubljani (mscr.)
Čarni, A., 1996: Mesophilous and nitrophilous mantle vegetation in the Predinaric region in Slovenia. Znanstvena revija (in press).
Čarni, A., (submitted): Les ourlet natureaux dans le Sud-Est de la Slovénie. Documents phytosociologiques.
Čarni, A., (in preparation): Termophilous mantle vegetation in the Predinaric region in Slovenia.
Ehrendorfer, F. 1973: Liste der Gefäßpflanzen Mitteleuropas. Gustav Fischer Verlag, Stuttgart.
Hauser, M., 1990: MHP. Dpt. f. VegetationsEcology, University of Vienna.
Horvar, I., 1938: Biljnosociološka istraživanja šuma u Hrvatskoj. Glasnik za šumske pokuse 6, 127-279.
Numerical Analyses of the Forest Edge Vegetation
Horvat, I., V. Glavač, H. Ellenberg, 1974: Vegetation Südosteuropas. Geobotanica selecta IV, Gustav Fischer Verlag, Stuttgart.
Košir, Ž., 1979: Ekološke in vegetacijske značilnosti Gorjancev. Zbornik gozdarstva in lesarstva 17(1), 1-242.
Marinček, L., 1980: Gozdne združbe na klastičnih sedimentih v jugovzhodni Sloveniji. Razprave IV. razreda SAZU 22(4), 41-185.
Marinček, L., 1983: Klimatogene združbe bukve v Sloveniji. Ekologija 18 (1), 1-13.
Marinček, L., 1987: Prispevek k poznavanju gozdov belega gabra. Razprave IV. razreda SAZU 27/4, 65-99.
Marinček, L., 1994: Zur Nomenklatur der Hainbuchwälder des Erythronio-Carpinion. Simpozij Pevalek, Zbornik radova, 57-62, Koprivnica – Zagreb.
Marinček, L., I. Puncer, M. Zupančič, 1980: Ostryo-Fagetum v Sloveniji. Biološki vestnik 28(2), 125-136.
Marinček, L., M. Zupančič, 1978: Das Mosaik der Pflanzengesellschaften im Bereich einer verlassenen Kulturlandschaft. Berichte der Internationalen Symposien der Internationalen Vereinigung für Vegetationskunde. Assoziationskomplexe (Sigmeten) und ihre praktische Anwendung (Rinteln, 4. 7. 1977), 213-221.
Marinček, L., M. Zupančič, 1979: Donos k problematiki acidofilnih bukovih gozdov v Sloveniji. Drugi kongres ekologa Jugoslavije 1, 717-730.
Marinček, L., M. Zupančič, 1995: Nomenklatorična revizija acidofilnih bukovih in gradnovih gozdov zahodnega območja ilirske florne province. Hladnikia (in press)
Podani, J., 1993: SYN-TAX. Version 5.0. User’s guide. Scientia, Budapest.
Ter Braak, C.J.F., 1988: CANOCO-a FORTRAN program for canonical community ordination by partial, detrended, canonical correspondence analysis, principal components analysis and redundancy analysis (version 3.12). Agricultural Mathematics Group, Wageningen.
Sažetak
Numerička analiza vegetacije šumskih rubova preddinarskog područja u jugoistočnoj Sloveniji
Andraž Čarni
(Biološki institut Slovenske akademije znanosti i umjetnosti, Ljubljana)
Predstavljena je vegetacija šumskih rubova u preddinarskom fitogeografskom području Slovenije. Fitocenološke snimke te vegetacije, skupljene iz različitih izvora, podvrgnute su numeričkoj analizi. Rezultati analize ukazuju na međusobne odnose pojedinih zajednica i njihov položaj u kulturnom krajobliku.
Najprije su ukratko prikazane najčešće šumske zajednice preddinarskog područja Slovenije, na čijim rubovima raste istraživana vegetacija. To su: Vaccinio myrtilli-Carpinetum (M. Wraber 1969) Marinček 1995, Piceo abietis-Quercetum (M. Wraber 1969) Marinček 1995, Abieti albae-Carpinetum (Marinček 1976) Marinček 1995, Blechno-Fagetum Ht. ex Marinček 1970, Castaneo-Fagetum sylvaticae Marinček et Zupančič (1979) 1995, Arunco-Fagetum
Košir 1962, Ostryo-Fagetum Wraber ex Trinajstić 1972, Hacquetio-Fagetum Košir 1962, Lamio orvalae-Fagetum (Ht. 1938) Borhidi 1963, Ramunculo platanifolii-Fagetum Marinček et al. 1993, Genisto januensis-Pinetum sylvestris Tomažič 1942, Lathyro nigrae-Quercetum petraeae Ht. (1938) 1958, Melampyro vulgati-Quercetum petraeae Puncer et Zupančič ex Zupančič 1994, Hacquetio-Fraxinetum Marinček in Wallnöfer et al. 1993, Carici elongatae-Alnetum glutinosae Koch 1926, Salicetum triandrae (Malc. 1929) Noif. 1955 i Salicetum albae Issl. 1926.
Ordinacija nitrofilnih zajednica šumskih rubova (sl. 3) pokazuje gradijent od zajednice najvlažnijeg staništa Chaerophyllo-Petasitetum, preko zajednica Phalarido-Petasitetum, Urtico-Lamietum orvalae, Anthriscetum sylvestris, Urtico-Aegopodietum, Chaerophylletum aurei, Chaerophylletum bulbosi do zajednica Heracleo-Sambucetum i Torilidetum japonicae na razmjerno najsušim staništima. Osim toga prikazan je na ordinati gradijent od najheliofilnije zajednice Heracleo-Sambucetum do najskiofilnije zajednice Torilidetum japonicae.
Dijagram ordinacije zajednica prirodnih šumskih rubova (sl. 6) pokazuje na apscisi podjelu na termofilne zajednice sveze Geranion sanguinei (Geranio-Peucedanetum i Knautio-Dictamnetum) i mezofilne zajednice sveza Trifolion medii i Teucrion scorodoniae (Knautio-Melampyretum, Trifolio-Agrimonietum, Agrimonio-Vicietum i Cruciatio-Melampyretum). Na ordinati je vidljiv gradijent od zajednice koja raste na najbogatijem tlu (Knautio-Melampyretum nemorosi) do zajednice Cruciatio-Melampyretum, koja raste na siromašnom i kiselom tlu.
Ordinacija zastornih zajednica (sl. 7) pokazuje tri ili četiri tipa sindinamskih kontakata: a) Brachypodio-Ostryetum, b) Ostryo-Cornetum, Ligustro-Prunetum, Omphalodeo-Coryletum, c) Cornus sanguinea – zajednica, Carpino-Prunetum ili Rubo-Coryletum, d) Cornus sanguinea – zajednica, Rubo-Coryletum sambucetosum nigrae.
Dr. sc. Andraž Čarni
Institute of Biology
Centre of Scientific Research
Slovene Academy of Sciences and Arts
Gosposka 13
SLO-1000 Ljubljana, Slovenija
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The original documents are located in Box 53, folder “8/14/76 HR10076 Relief of Mrs Kazwko Sallion” of the White House Records Office: Legislation Case Files at the Gerald R. Ford Presidential Library.
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MEMORANDUM FOR THE PRESIDENT
FROM: JIM CANNON
SUBJECT: H.R. 8557 - Relief of Carmen Thomas
Sponsor - Representative Jordan
H.R. 10076 - Relief of Mrs. Kazuko Scillion
Sponsor - Representative Wiggins
Attached for your consideration are H.R. 8557 and H.R. 10076, which would grant immediate relative status under the Immigration and Nationality Act to widows of U.S. citizens. Because of the death of their husbands, they are no longer eligible for immediate relative status.
Additional details are provided in OMB's enrolled bill report at Tab A.
OMB, NSC, Max Friedersdorf, Counsel's Office (Lazarus) and I recommend approval of the enrolled bills.
RECOMMENDATION
That you sign H.R. 8557 at Tab B.
That you sign H.R. 10076 at Tab C.
MEMORANDUM FOR THE PRESIDENT
Subject: Enrolled Bills
(1) H.R. 8557 - Relief of Carmen Thomas
Sponsor - Rep. Jordan (D) Texas
→(2) H.R. 10076 - Relief of Mrs. Kazuko Scillion
Sponsor - Rep. Wiggins (R) California
Last Day for Action
August 21, 1976 - Saturday
Purpose
To grant immediate relative status to alien widows of United States citizens.
Agency Recommendations
Office of Management and Budget Approval
Immigration and Naturalization Service Approval
Department of State No objection
Discussion
H.R. 8557 and H.R. 10076 would grant immediate relative status under the Immigration and Nationality Act to widows of U.S. citizens, and thus allow them permanent residence in the United States. Because of the deaths of their husbands, they are no longer eligible for immediate relative status.
H.R. 8557 - Carmen Thomas
Carmen Thomas is a 25-year-old native and citizen of Guyana who married a U.S. citizen on February 1, 1971. They had one daughter, now 4 years old, who is a U.S. citizen. Her husband filed a petition to accord her immediate relative status but he died in September 1974, before the petition was adjudicated. Because of his death, she is no longer eligible for classification as an immediate relative. Mrs. Thomas was admitted to the United States
in October 1974, as a nonimmigrant visitor. She has remained in the U.S. for a longer time than permitted and was found deportable on November 11, 1975.
H.R. 10076 - Mrs. Kazuko Scillion
Mrs. Kazuko Scillion is a 34-year-old native and citizen of Japan. She married a U.S. citizen, a member of the U.S. Armed Forces, who died in 1972. Mrs. Scillion entered the U.S. in September 1973, as a temporary visitor to live with her deceased husband's parents, at their request. Deportation proceedings will be instituted against her since she has remained in the U.S. for a longer time than permitted.
James M. Frey
Assistant Director for Legislative Reference
Enclosures
TO: OFFICE OF MANAGEMENT AND BUDGET
SUBJECT: Enrolled Private Bill No. H.R. 10076; Office of Management and Budget request dated August 9, 1976.
Beneficiary or Beneficiaries Mrs. Kazuko Scillion.
Pursuant to your request for the views of the Department of Justice on the subject bill, a review has been made of the facsimile of the bill, the relating Congressional Committee report or reports, and all pertinent information in the files of the Immigration and Naturalization Service.
On the basis of this review the Immigration and Naturalization Service, on behalf of the Department of Justice:
☒ Recommends approval of the bill
☐ Interposes no objection to approval of the bill
Sincerely,
[Signature]
Commissioner
Dear Mr. Lynn:
Reference is made to Mr. Frey's communication of August 9, 1976, transmitting for comment enrolled bills, H.R. 8557, "For the relief of Carmen Thomas", H.R. 10076, "For the relief of Mrs. Kazuko Scillion", and H.R. 8695, "For the relief of Eugene Homsy Phillips".
This Department has no objection to the enactment of these bills.
Sincerely yours,
Kempton B. Jenkins
Acting Assistant Secretary for Congressional Relations
The Honorable
James T. Lynn, Director,
Office of Management and Budget.
MEMORANDUM FOR THE PRESIDENT
Subject: Enrolled Bills
(1) H.R. 8557 - Relief of Carmen Thomas
Sponsor - Rep. Jordan (D) Texas
(2) H.R. 10076 - Relief of Mrs. Kazuko Scillion
Sponsor - Rep. Wiggins (R) California
Last Day for Action
August 21, 1976 - Saturday
Purpose
To grant immediate relative status to alien widows of United States citizens.
Agency Recommendations
Office of Management and Budget Approval
Immigration and Naturalization Service Approval
Department of State No objection
Discussion
H.R. 8557 and H.R. 10076 would grant immediate relative status under the Immigration and Nationality Act to widows of U.S. citizens, and thus allow them permanent residence in the United States. Because of the deaths of their husbands, they are no longer eligible for immediate relative status.
H.R. 8557 - Carmen Thomas
Carmen Thomas is a 25-year-old native and citizen of Guyana who married a U.S. citizen on February 1, 1971. They had one daughter, now 4 years old, who is a U.S. citizen. Her husband filed a petition to accord her immediate relative status but he died in September 1974, before the petition was adjudicated. Because of his death, she is no longer eligible for classification as an immediate relative. Mrs. Thomas was admitted to the United States
in October 1974, as a nonimmigrant visitor. She has remained in the U.S. for a longer time than permitted and was found deportable on November 11, 1975.
H.R. 10076 - Mrs. Kazuko Scillion
Mrs. Kazuko Scillion is a 34-year-old native and citizen of Japan. She married a U.S. citizen, a member of the U.S. Armed Forces, who died in 1972. Mrs. Scillion entered the U.S. in September 1973, as a temporary visitor to live with her deceased husband's parents, at their request. Deportation proceedings will be instituted against her since she has remained in the U.S. for a longer time than permitted.
(Signed) James M. Frey
Assistant Director for Legislative Reference
Enclosures
THE WHITE HOUSE
ACTION MEMORANDUM
WASHINGTON
Date: August 12
Time: 700pm
FOR ACTION: Dick Parsons
NSC/S
Max Friedersdorf
Ken Lazarus
cc (for information):
Jack Marsh
Jim Cavanaugh
Ed Schmults
FROM THE STAFF SECRETARY
DUE: Date: August 13
Time: 200pm
SUBJECT:
H.R. 8557-Relief of Carmen Thomas
H.R. 10076 - Relief of Mrs. Kazuko Scillion
ACTION REQUESTED:
___ For Necessary Action
___ For Your Recommendations
___ Prepare Agenda and Brief
___ Draft Reply
___ For Your Comments
___ Draft Remarks
REMARKS:
please return to judy johnston, ground floor west wing
No objection.
Ken Lazarus
PLEASE ATTACH THIS COPY TO MATERIAL SUBMITTED.
If you have any questions or if you anticipate a
THE WHITE HOUSE
ACTION MEMORANDUM
Date: August 12
FOR ACTION: Dick Parsons, NSC/S
Max Friedersdorf
Ken Lazarus
cc (for information):
Jack Marsh
Jim Cavanaugh
Ed Schmults
FROM THE STAFF SECRETARY
DUE: Date: August 13
SUBJECT:
H.R. 8557-Relief of Carmen Thomas
H.R. 10076 - Relief of Mrs. Kazuko Scillion
ACTION REQUESTED:
___ For Necessary Action
___ Prepare Agenda and Brief
___ For Your Comments
___ For Your Recommendations
___ Draft Reply
___ Draft Remarks
REMARKS:
please return to judy johnston, ground floor west wing
PLEASE ATTACH THIS COPY TO MATERIAL SUBMITTED.
If you have any questions or if you anticipate a
MRS. KAZUKO SCILLION
JANUARY 22, 1976.—Committed to the Committee of the Whole House and ordered to be printed
Mr. Fish, from the Committee on the Judiciary, submitted the following
REPORT
[To accompany H.R. 10076]
The Committee on the Judiciary, to whom was referred the bill (H.R. 10076) for the relief of Mrs. Kazuko Scillion, having considered the same, report favorably thereon with amendment and recommend that the bill as amended do pass.
The amendment is as follows:
Strike out all after the enacting clause and insert in lieu thereof the following:
That, in the administration of the Immigration and Nationality Act, Mrs. Kazuko Scillion, the widow of a citizen of the United States, shall be held and considered to be within the purview of section 201(b) of that Act and the provisions of section 204 of such Act shall not be applicable in this case.
PURPOSE OF THE BILL
The purpose of this bill, as amended, is to restore immediate relative status to Mrs. Kazuko Scillion. The bill has been amended in accordance with established precedence.
GENERAL INFORMATION
The beneficiary of this bill is a 34-year-old native and citizen of Japan. She was married in Okinawa on April 4, 1972 to a United States citizen serviceman who died in Okinawa on December 10, 1972. She was admitted to the United States as a visitor and resides with her deceased husband's parents in California.
The pertinent facts in this case are contained in a letter dated July 17, 1974 from the Commissioner of Immigration and Naturalization to the Chairman of the Committee on the Judiciary regarding a bill then pending for the relief of the same person. That letter and accompanying memorandum read as follows:
DEPARTMENT OF JUSTICE,
IMMIGRATION AND NATURALIZATION SERVICE,
Washington, D.C., July 17, 1974.
A-20543279.
Hon. Peter W. Rodino, Jr.,
Chairman, Committee on the Judiciary, House of Representatives,
Washington, D.C.
Dear Mr. Chairman: In response to your request for a report relative to the bill (H.R. 13029) for the relief of Mrs. Kazuko Scillion, there is attached a memorandum of information concerning the beneficiary.
The bill would grant the beneficiary permanent residence in the United States as of the date of its enactment upon payment of the required visa fee. It would also direct that a visa number deduction be made.
The beneficiary, a native of Japan, is chargeable to the nonpreference portion of the numerical limitation for immigrants and conditional entrants from countries in the Eastern Hemisphere.
Sincerely,
Enclosure.
L. F. Chapman, Jr., Commissioner.
MEMORANDUM OF INFORMATION FROM IMMIGRATION AND NATURALIZATION SERVICE FILES RE H.R. 13029
The beneficiary, Mrs. Kazuko Scillion, native and citizen of Japan, was born September 10, 1931, and is widowed. She has no children. Both parents are deceased. A sister and three brothers reside in Japan. She attended public school in her native country for six years. The beneficiary resides with her deceased husband's parents at Glendora, California. She is not employed. She has savings in excess of $30,000, and she receives $217 per month from a widow's military pension. Her personal property is valued at $800.
On April 4, 1972, the beneficiary married Terry Dean Scillion, a native-born citizen of the United States serving in the United States Armed Forces at Okinawa. He died from a noncombatant cause on December 10, 1972. She entered the United States with his body and to attend the funeral.
The beneficiary last entered the United States on September 4, 1973, as a temporary visitor. She was authorized to remain in this country until December 10, 1973. She came to the United States to live with her deceased husband's parents, at their request. Deportation proceedings will be instituted against her on the ground that she has remained in the United States for a longer time than permitted.
Mr. Wiggins submitted the following letter in support of his bill.
MRS. KAZUKO SCILLION
August 4, 1976.—Ordered to be printed
Mr. EASTLAND, from the Committee on the Judiciary, submitted the following
REPORT
[To accompany H.R. 10076]
The Committee on the Judiciary, to which was referred the bill (H.R. 10076), for the relief of Mrs. Kazuko Scillion, having considered the same, reports favorably thereon without amendment and recommends that the bill do pass.
PURPOSE OF THE BILL
The purpose of the bill is to grant the status of an immediate relative to Mrs. Kazuko Scillion, to which status she would have been entitled were it not for the death of her husband, a citizen of the United States.
STATEMENT OF FACTS
The beneficiary of the bill is a 34-year-old native and citizen of Japan. She was married in Okinawa on April 4, 1972 to a United States citizen serviceman who died in Okinawa on December 10, 1972. The beneficiary was admitted to the United States as a visitor and resides with her deceased husband’s parents in California.
A letter, with attached memorandum, dated July 17, 1974, to the Chairman of the House Judiciary Committee from the Commissioner of Immigration and Naturalization refers to H.R. 13029, a similar bill introduced in the 93rd Congress. The information reads as follows:
DEPARTMENT OF JUSTICE,
IMMIGRATION AND NATURALIZATION SERVICE,
Washington, D.C., July 17, 1974.
A-20543279.
Hon. Peter W. Rodino, Jr.,
Chairman, Committee on the Judiciary, House of Representatives,
Washington, D.C.
Dear Mr. Chairman: In response to your request for a report relative to the bill (H.R. 13029) for the relief of Mrs. Kazuko Scillion, there is attached a memorandum of information concerning the beneficiary.
The bill would grant the beneficiary permanent residence in the United States as of the date of its enactment upon payment of the required visa fee. It would also direct that a visa number deduction be made.
The beneficiary, a native of Japan, is chargeable to the nonpreference portion of the numerical limitation for immigrants and conditional entrants from countries in the Eastern Hemisphere.
Sincerely,
Enclosure.
L. F. Chapman, Jr., Commissioner.
MEMORANDUM OF INFORMATION FROM IMMIGRATION AND NATURALIZATION SERVICE FILES RE H.R. 13029
The beneficiary, Mrs. Kazuko Scillion, native and citizen of Japan, was born September 10, 1931, and is widowed. She has no children. Both parents are deceased. A sister and three brothers reside in Japan. She attended public school in her native country for six years. The beneficiary resides with her deceased husband's parents at Glendora, California. She is not employed. She has savings in excess of $30,000, and she receives $817 per month from a widow's military pension. Her personal property is valued at $800.
On April 4, 1972, the beneficiary married Terry Dean Scillion, a native-born citizen of the United States serving in the United States Armed Forces at Okinawa. He died from a noncombatant cause on December 10, 1972. She entered the United States with his body and to attend the funeral.
The beneficiary last entered the United States on September 4, 1973, as a temporary visitor. She was authorized to remain in this country until December 10, 1978. She came to the United States to live with her deceased husband's parents, at their request. Deportation proceedings will be instituted against her on the ground that she has remained in the United States for a longer time than permitted.
Congressman Charles E. Wiggins, the author of the bill, submitted the following letter of support:
CONGRESS OF THE UNITED STATES,
Washington, D.C., January 5, 1976.
Hon. Joshua Eilberg,
Chairman, Subcommittee on Immigration, Citizenship, and International Law, Committee on the Judiciary, Washington, D.C.
Dear Mr. Chairman: I am writing to confirm my support for H.R. 10076, a bill I introduced for the relief of Mrs. Terry Dean Scillion nee Kazuko Komesu.
Mrs. Scillion is a Japanese National who married Terry Dean Scillion, an American citizen and Army veteran, on April 4, 1972 in Nana, Okinawa. Mr. Scillion died of natural causes on Okinawa on December 10, 1972. No children resulted from the marriage.
Mrs. Scillion accompanied her husband's body to Glendora, California, his home, for burial. She then returned to Okinawa, although she has no relatives there. In September, 1973, Mrs. Scillion returned to Glendora on a visitor's visa to be with her husband's parents, Mr. and Mrs. Milton Scillion.
Since that time, the Scillions have come to consider themselves a family. The Milton Scillions fervently wish that their daughter-in-law be allowed to reside with them permanently. Mrs. Terry Scillion also desires this.
I am informed that Mrs. Scillion is financially stable, in that she receives a widow's pension and has a net worth of $30,000.
Sincerely,
Charles E. Wiggins,
Member of Congress.
The committee, after consideration of all the facts in the case, is of the opinion that the bill (H.R. 10076) should be enacted.
An Act
For the relief of Mrs. Kazuko Scillion.
Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled, That, in the administration of the Immigration and Nationality Act, Mrs. Kazuko Scillion, the widow of a citizen of the United States, shall be held and considered to be within the purview of section 201(b) of that Act and the provisions of section 204 of such Act shall not be applicable in this case.
Speaker of the House of Representatives.
Vice President of the United States and President of the Senate.
|
THE DIALECTIC OF THE BUILT ENVIRONMENT
A STUDY IN THE HISTORICAL TRANSFORMATION OF LABOUR AND SPACE
Jonathan Charley
THE DIALECTIC OF THE BUILT ENVIRONMENT
A study in the historical transformation of labour and space
Jonathan Charley
PhD Dissertation
University of Strathclyde
December 1994
Acknowledgements
To my family, teachers, friends and colleagues in England, Scotland, Russia and Brazil
Abstract
Born out of a long term interest in history and social change and nearly two decades of involvement in building and architecture, this dissertation aims to make a contribution to both a materialist theory of the production of the built environment and to our knowledge of the history of the Russian and Soviet experience. It is not however intended as a history book, rather the spatial and temporal co-ordinates of the text, Russia and Moscow, and the historical period from the end of the eighteenth century to the early 1990s, offer a framework within which theoretical and historical questions of a more general nature concerning the social character of labour and space can be explored.
The emphasis throughout is on the concept of the *social production of the built environment* at the centre of which lies the *labour process*, understood in its most general sense as purposeful human activity. The dissertation seeks to show how changes in the dialectic of the *forces of production*, the physical and mental means by which the built environment is created, and the *relations* of property, control and power within which the production process occurs, are central to an understanding of the historical transformation of human labour, the form of buildings and the organisation of space.
# CONTENTS
**Introduction**
I-XII
**Chapter 1 - The development of capitalism in Russia**
| Section | Page |
|----------------------------------------------|------|
| 1.1 The estrangement and alienation of labour | 1 |
| 1.2 The passage to modernity | 12 |
| 1.3 Capital and Labour | 28 |
**Chapter 2 - The origins of ideology lie in the unity of opposites**
| Section | Page |
|----------------------------------------------|------|
| 2.1 Social relations and the social form of labour | 43 |
| 2.2 The revolution in space | 65 |
| 2.3 The revolution in the labour process | 81 |
**Chapter 3 - The consolidation of dictatorship and the negation of the negation**
| Section | Page |
|----------------------------------------------|------|
| 3.1 On ideology | 97 |
| 3.2 Making the hero worker | 111 |
| 3.3 Realism and myth | 125 |
| 3.4 The making of an imperial city | 142 |
**Chapter 4 - The transformation of quality into quantity**
| Section | Page |
|----------------------------------------------|------|
| 4.1 The industrialisation of the labour process | 160 |
| 4.2 The industrialisation of form and space | 179 |
| 4.3 The industrialisation of the Soviet building industry | 186 |
| 4.4 The formal and spatial transformation of Moscow | 196 |
| 4.5 Crisis | 202 |
**Conclusion**
221
**Bibliography**
225
notes from the underground
"In my personal opinion, if you like, something definite has been accomplished; new and useful ideas have spread, new and useful writings disseminated in place of the old dreamy and romantic ones; literature has assumed a tinge of maturity; many harmful prejudices have been uprooted and held up to ridicule - In a word, we have irrevocably severed ourselves from the past and that, in my opinion, is something worthwhile, sir."
In this passage from *Crime and Punishment*, Dostoevsky reminds us that the desire to break with history, to speculate on the effective end of time is not a particularly new conceit. It represents but one more stage in the epic construction of myth - the burning imperative to rid ourselves of uncomfortable memories and ghosts. Thus we stand at the brink of a new era of 'absurdistans', untainted by the legacies of past lives and crimes.
In the burning of mythologies new ones are born. The mythologisation of history is a characteristic shared by all class societies. A skill that is possessed by rulers as a means of reproducing their own hegemony, and by the ruled as a means of believing that resistance to domination remains possible. The production and dissemination of myth is one way in which a social system seeks to reproduce itself. For myth enables us to mystify the present and forget the past though the construction of distorted and idealised visions of both.
**myth and ideology**
This aspect of mythology is but one building block in the production of ideology as a form of consciousness that makes the recognition of the real and actual conditions of our existence
---
1 It is inevitable that in the 1990s we should suffer a plethora of *fin de siècle, fin d'histoire* theses. A preoccupation of some of the protagonists of the post modern, it has been celebrated most recently in Fukoyama's work, a text that McCarney, NLR, indicates is heavily indebted to Hegel. It was Lukacs in *History and Class Consciousness* who pointed out that Hegel's whole theory of history ending as it does with the identification of the absolute in the Prussian State, implies exactly the possibility of the final accomplishment of the historical project. Hegel made his visionary comments fifty years before Dostoevsky's creation in the mid nineteenth century of the above St Petersburg character dressed and speaking like a late twentieth century post modernist. Inevitably, under the management of far less accomplished thinkers than Hegel, profound insights into he nature of history become transformed into the flippant sound byte that masquerades as an authoritative statement on human destiny. Tafuri has argued that this 'anti historicism' not only finds an expression in the avant gardes of the early 1920s but is a recurrent theme that has its roots way back in Brunelleschi's attempt to build a new urban spectacle and by implication to inaugurate a new phase in history. See the chapter *Modern architecture and the eclipse of history* in Tafuri Manfredo - *Theories and history of architecture* - Granada-1980
2 Within Russian architectural history of the twentieth century the most vivid manifestation of this is to be found in the proclamations of *Proletkult*, advocates of the 'year zero - tabula rasa' approach to history. To reject history is as Tafuri comments is to give oneself up "to the most vulgar and, and at the same time, the most subtle mystifications". See *The tasks of Criticism*, in Tafuri Manfredo - *Theories and history of architecture* - Granada-1980-p232. It is important here to see the historical link between the modern movement and post modernist thinking. It is an inescapable paradox that the post modernist obsession with an undefined present and equally elusive promise of a future, rather than distancing itself from the world of Fordism, automation, and enlightenment, reproduces many of the same contradictions. In its desire to transcend the ruptures that mark the Modern World, there is revealed an equally profound hope that utopia is coming in to land. If the avant garde and the Moderns erected myths, then what distinguishes post modern thinking, is pure mythomania, what Jameson might have referred to as a symptom of social and historical impotence. See Jameson Frederick - *Post Modernism, or, the cultural logic of late capitalism* - Verso 1991 - p369
increasingly elusive.\textsuperscript{3} It is not something that people willingly participate in. It is a condition that we are forced into independently of our desire. Its true dangers are revealed when the representation of dreams becomes inseparable from material reality. For Katerina Ivanovna\textsuperscript{4}, as the chasm widens between her poverty and her dreams of salvation, the dialectic of real illusions and unintelligible realities are revealed in the creation of a fictitious world, one which protects her and keeps her alive, yet inexorably leads to her madness and death.
It is when such hallucinations emerge from the novel to stake a claim on social life itself, that the full materiality of ideology is revealed. As if to celebrate the point at which legends cease being imaginary, the cliched phoenix awakes from its slumber as a two headed imperial eagle and nestles on the new one rouble coin. In one piece of tin the tragedy of historical memory is confirmed. In a curious twist of dialectical logic, the apparent crimes of a seventy year regime are negated by the invocation of the memory of a despotic regime that was the equal of the tyrannical phases in Soviet history. It is inevitable that in the race to commemorate the twentieth century, history will suffer intense time compression. It is quite another for real time to be eradicated by a manufactured nostalgia.\textsuperscript{5} The quest for knowledge and understanding becomes ever more fragile and transient. Even Maxim Gorky cannot escape historical banishment. Gorky Street reverts to Tverskaya Ulitsa. Meanwhile, more notorious bronzed individuals lie with their legs broken and their heads cleaved in two next to the House of Culture opposite Gorky park.
the conquest of capital
We arrive at a moment in time when capitalism, appearing as the historic victor and standard bearer of social justice, becomes synonymous with nature. This, symptomatic as it is of the erosion of opposition and the assimilation of resistance makes it even more important
\textsuperscript{3} The concept of ideology is a major preoccupation of this work. Like other theoretical categories, the tradition of explanatory introductions are avoided. Rather the historical transformation of their use and meaning is to be elaborated within the main text itself. It is however important to emphasise that ideology is not used in any pejorative sense, or reduced solely to the 'positive' set of beliefs belonging to a particular social group or class. The work of Marx (Capital and the German Ideology), Luckacs (1983), Adorno (1989, 1991), Larraín (1979, 1983, 1986), and Eagleton (1991) have been of particular importance and influence in the development of my ideas. See bibliography
\textsuperscript{4} Katerina Ivanovna, the mother of Sonia, befriended by Raskolnikov, is just one of many characters that Dostoevsky explores in Crime and Punishment who are depicted as having deeply rooted psychological problems that gives rise to behaviour which astonishes and intimidates those around her
\textsuperscript{5} It comes as no surprise that money, the principal means of communication in modern life should become the focus of a new phase in the production of propaganda. Just as, after his death, Lenin against his wishes was to be immortalised on the rouble note and St Petersburg eventually became Leningrad it was perhaps inevitable that things should be inverted. However, this apparent "playfulness" hides a far more insidious process of historical revisionism whereby the Bolsheviks, Gorky and even Mayakovsky are held up to ridicule and effectively criminalised.
to reclaim from history attempts which have been made to build a *society*, and thereby an *architecture*, that aspires to values and beliefs that do not appear to correspond with the institutions and practices that define a capitalist society. It is not so much a question of simply redressing the balance as rearming ourselves with a critical memory.
It is inevitable that to engage with the historical project is to enter into the zone of confrontation. For histories that marginalise the transformative consequences of class struggle, that exorcise the labour process and offer instead a story made up of 'objective facts' reproduce under the cloak of objectivity a journey in historical self deception. These stories however are concerned with trying to capture the moments of conception and production, to grapple with the origins of ideas and their material realisation, before the transformation of meaning through time, renders memory irretrievable.
**ghosts in the landscape**
It is the labour process which lies at the heart of all human history. What Marx called "the everlasting nature imposed condition of human existence". This is where our story begins. Considered in the breadth of all of its manifestations, it is within the labour process that men and women acquire consciousness, create use values, transform nature. In so doing they reproduce the 'material' and 'spiritual' pre-conditions of human life.
In the *Theses on Feuerbach*, written in the late 1840s, Marx gave a warning about the consequences of a materialism that depicts reality as an external object. His argument was that "the thing, reality, sensuousness" should be conceived as "sensuous human activity, practice". In so doing, Marx suggests that it is through human activity that we not only transform the world but become conscious of it. Within such a proposition the notion of
---
6 Marx, Karl - *Capital Volume I* - p163-164 - Swan Sonnenschein and Co Ltd London 1908 This is taken from chapter VII The Labour Process and the process of producing surplus value
7 Whilst Marx restricts the concept of the labour process to the production of commodities that generate surplus value, in the conditions of the late twentieth century when we face the effective commodification of almost everything from water to knowledge, it seems important to extend the category to include the production and sale of information. In the discussion of the built environment the design process can be considered as much a labour process as that part of production that takes place on site and in factories. The production of drawings, specifications, design concepts and ideas have become indispensable to the mass production of buildings. Without becoming embroiled in the debate over productive or unproductive labour, whilst the process of design might not always produce surplus value the production of buildings is inconceivable without it. In addition architectural and design workers are just as much victims of exploitation, be it of a different kind as building workers. This is particularly so in the old Soviet Union, where both building workers and architectural workers were State employees. It was frequently the case that architects earn considerably less than building workers, a rather crude way of redressing the historical balance between the working class and the intelligentsia and petty bourgeoisie.
8 "The chief defect of all hitherto materialism (that of Feuerbach included) is that the thing, reality, sensuousness is conceived only in the form of an object or of contemplation, but not as sensuous human activity, practice, not subjectively". Marx, Karl - *Theses on Feuerbach* - in *The German Ideology* - Lawrence and Wishart - London - 1985 - p121
thinking can not be separated from and indeed forms part of *actual human practice*. The concept of production assumes even greater significance and allows us to think of both the act of making and thinking as labour processes, as the processes of production of objects and knowledge. This theme was one of the major pre-occupations of the controversial but influential Soviet philosopher Ilyenkov. Ilyenkov sought to construct a philosophical system (described as a radical realism) that attempted to reconcile 'materialism' and 'objective idealism', by treating "the thinking subject as located in material reality, in direct contact with its objects".9 Whilst Ilyenkov was dealing with fundamental philosophical questions concerning the relationship between thinking and being and between object and subject, at the centre of his enquiry remained the notions of *human labour* and *practical human activity*. Thus labour becomes both the end and the starting point for an investigation not just into the physical transformation of the world but into the manner in which we objectify and idealise it.10
Inevitably, the labour process has been the terrain on which the great classes of modern times, have battled and struggled to fashion the world according to their own aspirations. Successful control over the labour process, and therefore space and time, becomes the key test on which all social systems flourish or flounder.11
But such a view of history and of the creation of buildings is contradicted when confronted by the spring glow of the Catalonian sun. Because here the Barcelona Pavilion beams, the unblemished virgin that tells us that buildings are born through magic.12 (See fig 1)
---
9 Bakhurst, David - *Consciousness and Revolution in Soviet Philosophy* - Cambridge University Press - 1991- p215
10 "Human beings exist as human beings, as subjects of *activity* directed upon the world around them and on themselves, from such time, and for so long, as they actively produce and reproduce their own lives in forms created by themselves, by their own *labour*. And this *labour*, this real transformation of their surroundings and of themselves, performed in socially developed and sanctioned forms, is just that process ...inside which the ideal is born...It is the process in which the idealization of reality, of nature and of social relations takes place, in which the language of symbols is born, as the external body of the ideal form of the external world. In this lies the whole secret of the ideal and its solution". Ilyenkov, E, V - *Idealnoe* - (The Ideal) - originally published in 1962 in *Filosofskaya entsiklopedia* Vol 2- quoted in Bakhurst, David - *Consciousness and Revolution in Soviet Philosophy* - CUP - 1991- p187 Under the suffocating orthodoxy of 'official' Soviet intellectual life in which labour was consistently mythologised and eulogised in order to obscure its real social character, such a project that argued for an elaboration on the character and 'problematic' of labour was extremely controversial, a controversy that was obscured in the predictable accusations of idealism.
11 The use of categories such as class, ideology and the labour process are controversial, in how we define them and their explanatory potential. They therefore require terminological clarification. But this in itself falls into the trap of erecting new theoretical statues. Rather it seems more valid with an accepted caution to elaborate the way in which these tools are useful within the main text itself, than to detach what is the essence of the whole story to the appendices. There are nevertheless a series of axioms which should not be cast for ever in stone but have guided the work from its very beginning. Theoretical tools by themselves do not guarantee anything. Their evaluation can only be based on how and why they are used and the extent to which they increase or diminish our understanding of the way cities are produced.
12 This is a reference to the Barcelona Pavilion designed by Mies Van de Rohe, one of the icons of the modern movement and one which every architecture student is required to study. A celebration of the
"St Nicholas with scenes from his life"
Novgorod school 1551-1552
FIG 1
INTRODUCTION
suffocating pilgrimage to the summits of high art, we take comfort in the pretence that such objects of beauty were not delivered by human kind. For to speak of their production by labour is to reveal the tragic impossibility of their generalised construction. We are left with the worship of isolated objects, the subject matter of the immaculate conception and most art histories.
As our collective consciousness seeks to deny or at least misrepresent the centrality of the human labour process in the explanation of historical transformation, we are left with the tale of the city as a ghost story, dimly recalling the reasons why it was built and of the vast armies of labour that congregated for a fragment of time and then vanished. Meanwhile, over the back from the Mies pavilion lies the industrial zone and the multi storey blocks that house a working class. They are well removed from the "real" city and from history, both of which begin where the workers disappear. To reinstate the labour process and the categories of class and ideology is to begin to sing the unsung ballad of these ghosts in the landscape. (See fig 2)
We are forced to confront the fact that all of our great built spectacles, those we revere and pay homage to, are tumultuous expressions of 'free' and 'unfree' labour, of the propertied and the propertyless. St Petersburg, Moscow, London, Paris are the physical structures and consequences of classes engaged in struggle. It is the meeting point of conflicting aspirations that appear as universal truths.
Buildings at this point finally lose any pretensions towards the status of disassociated objects. At the very least they exist as dynamic repositories of memory. The desire to understand them solely as objects drives us to mask a building's origins in human labour.
modernist ideals of space, light, and materials, and a poignant reminder even at a formal level of the absurd comparisons that are drawn between systems-built tower blocks and the modern movement.
13 As is perhaps already clear the approach taken departs from the conventions of traditional architectural history in that it draws on the social sciences, critical theory and political economy. It also attempts to shift the subject matter away from the discussion of individual buildings to embrace the built environment, understood as a collective noun that includes along with buildings, infrastructure, land and the category of space.
14 This refers to the way in which tourist literature, urban histories, books on architectural history continue to represent the history of the built environment as an almost contradiction free 'given'. This leaves us thinking of Glasgow's and London's architectural ensembles as natural embodiments of nineteenth century municipal pride and beauty, rather than the natural embodiment of Imperial expansion and the exploitation of workers in Africa, India and the Americas. To question the basis on which we evaluate such historical objects is to court condemnation. Yet nothing exposes the disintegration of memory more than the fact that the mass slaughter of tens of thousands of workers in the construction of St Petersburg and the Moscow metro mean nothing to how we evaluate them in the contemporary world.
"The labour process ..is the everlasting nature-imposed condition of human existence."
Marx, Karl
FIG 2
Labour appears as an invisible fingerprint, at once entirely self evident but shrouded in mystery. We are left with the pursuit of beauty without acknowledging it as utopia\textsuperscript{15}.
rehearsing the argument
One way of distinguishing historical periods is through the relative shifts that take place in the organisation of production and class formation. As such, each recent transformation in the British built environment has corresponded to the shifting balance of class forces and to the dynamic changes that have taken place in the relations of ownership and control to which the production of buildings are subordinate.\textsuperscript{16} Just as the pursuit of monetarism, privatisation and a free market in land and buildings belong to the speculative office and housing developments of the late 1980s, so state regulation and a militant working class belong to the inauguration of a social building programme after world war two. It is the juxtaposition of these forces that not only determines what gets built but how. The triumphant pedestals and mirrored glass of Canary Wharf are as much a symbol of the vanity of capital, as the Finsbury Health Centre was the dream of labour.
extending the argument
The analysis begins with the social relations that dominate daily life, and proceeds to the examination of the general characteristics of social production of which the production of the built environment is one branch\textsuperscript{17}. To understand the predicament of cities like Glasgow or
\textsuperscript{15} Like many before and no doubt many after, the reading of Marx's chapter \textit{The Fetishism of Commodities and the Secret Thereof} in \textit{Capital}, was a revelation and a turning point in my own intellectual development. As Lukacs pointed out, it is the starting point for any understanding of the nature of ideology in capitalist societies.
\textsuperscript{16} Another way of understanding this, is as the dialectic of the forces and relations of production- the principal determinant of the structure and practices that distinguish different social formations and cause them to change. Neither the forces nor relations have explanatory primacy - they can only be understood as a dialectical unity. For architecture the term \textit{force of production} refers not only to the means of building production, that is to the relevant, machinery, tools, materials and factories, but to the architectural design process that takes place in schools, research institutes, offices and publishing houses and which therefore includes knowledge, books, journals, and the equipment with which drawings and images are realised and mass produced. The \textit{relations of production} refer to the broad patterns of ownership and control under which production takes place, and implies the distribution of resources and the separation of labour along class, ethnic and gender lines. It would prompt us to ask questions such as - Who owns and controls the land and construction firms? How is labour bought and sold? What kind of technology is available? How is need determined, through the market, plan or both? Who disseminates knowledge and how? Who are the teachers and managers? Who runs the design office?, Where do their ideas come from? Who makes the profits and how are they distributed?
\textsuperscript{17} This draws on what within Marxist theory has been labelled the \textit{modes of production debate}. It is a complex and controversial area, not least because of the explanatory potential of such an abstract category. In addition Marx's periodisation of human society into successive modes of production - \textit{primitive communal, slave, feudal, capitalist, socialist} has been interpreted far too literally, resulting in a theory of history that is teleological and preordained. In the spirit of Marx it seems more important to approach them with caution. It seems increasingly clear that modes of production can co-exist even though one might pre-dominate. It also seems vital to entertain the possibility of different modes of production that are more suited to the concrete analysis of social formations in Africa, Latin America and Asia. The question of how we characterise the old Soviet Union is a case in point. Clearly not a socialist or capitalist country it could be argued that it displayed features of both including residual forms of feudal social
INTRODUCTION
London we would follow a similar logic. Speculating on the character of capitalist development in the late twentieth century, the simultaneous globalisation and concentration of capital, the emergence of transnational finance blocs and the pursuit of free market economics have been major features. As a willing partner in these shifts of power, the British state has attempted to regulate economic activity overwhelmingly in the interests of capital. This led to an inevitable confrontation with political movements who continued to fight for greater social ownership and local democratic control. This in turn all helped set the framework whereby needs in the built environment have been overwhelmingly met through the market place and control over the building industry has been concentrated in the hands of a few large corporations. These changes have contributed to the increasing penetration of the commodity form into all areas of the production and use of the built environment. Manifest most sharply in the proliferation of speculative offices, speculative housing, retail and leisure outlets, it is the architectural mirror of the tendency towards the total commodification of everyday life.
structure of the work
This method of tracing contradictions at different levels of generality forms the basis of an approach to understanding the process of historical change in Russia. It asks questions in relation to the precise character of economic and political regimes, it does this largely through an analysis of the form that labour takes at historical moments. This unavoidably and inevitably requires a discussion of how we might characterise the Soviet Union as a mode of production. Thus we proceed from the most general of theoretical discussions into the nature of social production and class, proceeding to the examination of particular tendencies in the production of the built environment.
The complexities of social life cannot of course be reduced solely to the conflicts between classes and social groups. But neither can social life be explained without such concepts. Seen in this light the history of Soviet architecture is a history of a struggle between contradictory ideas and practices, the history of the replacement of one set of contradictions by another, a history that corresponds to the emergence and continual transformation of social relations, one in which changes in the production of architecture and political and economic practice are interdependent\(^{18}\). It tells the tale of the negation of the commune by the organisations. That it was a society in transition there is of course no doubt. It does however expose the danger of hanging on to a theory of a single mode of production as a cast iron law.
\(^{18}\) This again makes what are controversial assumptions about the character of the Soviet Union, in particular the application of categories that have been developed primarily through the critique of capitalist society. The detailed elaboration of these issues can only be made through the concrete analysis of the Soviet experience, however it is an implicit assumption throughout the work that whilst the Soviet
INTRODUCTION
prestigious apartment, it tells the tale of the negation of liberated space by the imperial city, it tells the tale of the negation of universal access to the institutions of the city by new technologies of discipline and spatial segregation, and it tells the tale of the negation of the free factory by new satanic mills. These transformations correspond to contradictions that exist at other levels within the social totality such as the atomisation of a politicised working class, the defeat of Soviet democracy and the workers' movement, the suppression of the fight for gender and racial equality, and of the renunciation of internationalism. In this there is a mutual interdependence between the periodisation of Soviet architecture and the periodisation of Soviet political and economic practice.
Chapter one - The Development of Capitalism
This initial chapter explores the extent to which capitalism had developed within the Russian building industry, and the degree to which Moscow had by the revolution shed the characteristics of a feudal city. It argues that the most important indicator of the transition from feudalism to capitalism is the emergence of wage labour, that is the commodification of labour power. A theory of the relationship between class and the built environment is explored, and it is argued that it is the contradictory character of class relations that largely accounts for what gets built, how and where. Accordingly, the transition from feudal to capitalist social relations, that establishes the pre-conditions for the emergence of capital and labour is central to our understanding of the history of Moscow.
Whilst by the turn of the century the commodification of space and the development of a market for buildings in Moscow was still in its infancy, it is clear that large joint stock companies and contractors were increasingly common and a considerable market for building labour had emerged particularly in connection with the construction of infrastructural projects. Accordingly the chapter looks at the changes which occur in the midst of continuing social and political upheaval, to the building labour process and to the physical character of Moscow, that is to the form and types of buildings, and to the socio-spatial structure of the city.
The chapter refers to three main areas of theory: to the development of a theory of alienation as explored by Hegel and Marx, to the debates on the mechanics of historical transformation, and to the work by Marx, Lenin and others on the process by which the 'free wage labourer' appears. It concludes with a description of the development of organised
Union did not fit into the traditional framework of what constitutes a class society, it was nevertheless a class society of a new and hybrid variety.
construction labour and the class conflicts in which it becomes embroiled in the late nineteenth century and in the turbulent years in the run up to the revolution.
Chapter two - the origins of ideology lie in the unity of opposites 19
This chapter explores the years up to the beginning of the 1930s, a period of experiment and innovation in all branches of social life. Remembered in particular for the introduction of a State regulated mixed economy, NEP, and for the flowering of the avant garde, of all the periods of Soviet history, whether it be in the arts or politics, this is probably the most controversial and carefully documented. 20.
Despite the eventual predominance of forms of State property, it argues that the Soviet labour process shared many of the fundamental features by which we would define a capitalist labour process. Whilst this was to be expected under the conditions of the New Economic Policy, NEP, the greatest contradiction is that many of the features that define capitalist social relations in the labour process, far from vanishing at the end of the twenties were transformed and consolidated. Our evaluation of the avant garde proceeds therefore to explore the dialectical relationship between the attempt to spatialise new social relations a practice that was premised on an ideal notion of democracy and equality and the materialisation of social relations in the building labour process that can be seen to stand in almost direct contradiction to them. Thus it is argued that there was nothing intrinsically utopian about the avant garde. It became utopian only in the context of the negation of social relations on which much of the work was founded.
Such conclusions are arrived at through the exploration of key areas of theory that deal with the concept of labour and of space. It begins with a discussion of Marx's theory of the commodity and proceeds to a description of the work on fetishism conducted by Isaac Rubin and Evgeny Pashukanis. In parallel the work refers to a debate on the character of the labour process under capitalism, and to those started by Kollantai, Shliapnikov and Leon Trotsky.
---
19 The use of Engels' three laws of dialectics as titles for the first three chapters is not wholly arbitrary; on the contrary, they will be seen to be remarkably apt descriptions. Whilst this work is not a philosophical work it has consciously drawn on ideas from within what became known as dialectical and historical materialism. Despite the well grounded criticism of the validity of applying what were observations of the natural world to that of society, and of erecting them as universal generalisations, they nevertheless were an important benchmark in the development of my own thinking about the social world and the history of architecture. Despite their controversial canonisation in orthodox Soviet philosophy, it should be remembered (as pointed out by Scanlan, James - *Marxism in the USSR. A critical survey of Current Soviet thought* - Cornell-1985), that there were considerable differences between what occurred in the corners of the Academy of Sciences and the unanimity displayed and printed in text books.
20 In particular there are now countless texts that deal with the architectural and art avant gardes. For a comprehensive bibliography of texts that deal with the art and architecture of this period see bibliography.
INTRODUCTION
into the nature of the bureaucracy and into the character of social relations in the Soviet Union as it emerged from the 1920s. Lastly, it investigates the basis on which we might understand the materialisation of social relations not only in the building labour process, but in the built environment more generally.
Chapter three - the consolidation of dictatorship and the negation of the negation
This period spans the years from the early 1930s to the late 1950s. It is the era in which we see the creation of the gulag labour camps and the annihilation of all political opposition. Political and economic power, including control over cultural production, becomes centralised and concentrated in the hands of the Party-State Bureaucracy in Moscow. "Socialist Realism", the guiding principle in the arts, in theory was a method for the critical representation of social life. However, it was to become a deeply idealistic project seeking an aesthetic of 'truth'. The production of architecture was reduced to an indulgent formal programme founded on an eclectic mixture of nationalist and classical symbols and meanings, an architecture that could be described as 'heroic and monumental'. Constructed by forced labour, armies of shock brigades and 'heroic' Stakhanovite bricklayers, Moscow becomes a stage set for spectacles and propaganda. Both labour and space become subject to an absolutist tyranny.
Here we argue that the dialectical relationship between social relations as manifested in the labour process and in space are removed to a whole new plane. If they existed in a contradictory relationship in the 1920s, there now emerges a direct correspondence between the two. The negation of political democracy and of the workers' movement is inseparable from the creation of Moscow as an Imperial city. This is to be explained by the emergence not only of a Dictatorship but of what were in effect new class contradictions and these were to be seen not only in the planning of the capital city but in the heart of the labour process where the regime resorts to methods for the extraction of surplus labour that in itself persuades us to think of the bureaucracy in the State and Party as a ruling class.
It is in this period that ideology matures in both the positive sense, ideas belonging to a class or social group, and in a negative sense, as a form of distorted consciousness which emerges as a real organising social force, in which the identity of labour and space become inverted and the realities of social life and practice become represented as their opposites. Accordingly, the chapter embraces important areas of theory in relation to debates on ideology, realism and dictatorship, that is to be found in the work of Marx, Lenin, Gramsci, Lukacs and that of Adorno, Marcuse and the Frankfurt school.
Chapter four - the collapse of reason in the victory of quantity over quality
This passage begins with the death of Stalin and spans the period up to the late 1980s and the advent of 'perestroika'. It is characterised by the rapid industrialisation of the building industry, the equally massive expansion of its working class, and the complete institutionalisation of the command administrative system of economic management. The Soviet landscape witnessed the explosion of prefabricated concrete panel construction that swept across all time zones and all cultures within a situation where the architectural profession became marginalised within the new construction combines. It is in this period that the greatest contradiction of all is revealed when the negative aspect of ideology bore its greatest fruit, the cold war.
The propaganda machinery on both sides of the great divide, began to construct an image of two mutually incompatible social systems. Nothing of course could be further from the truth. In both social systems we find administrative and management systems that are centralised and concentrated under the jurisdiction of a ruling class within which the military industrial complex predominates. In both cases we see these elites supervising an accumulation process, tempered by oppositional forces, but overwhelmingly geared to the private accumulation of capital in the west, and the State appropriation of surplus and its redistribution to individuals in the east. For beneath the housing statistics and May day parades, we find a Soviet bureaucracy immersed in an all embracing rationalised plan of accumulation, a desperate recourse to technological determinism that was breathtaking in its efficiency at channelling surplus into the arms race and equally accomplished at wasting human labour and natural resources. These features it shares with the ruling class in the west, the great distinguishing feature being the scale at which the Soviet bureaucracy achieved these goals particularly within the building industry, which at its high point employed up to thirteen million workers in the mass production of factory pre fabricated buildings, what is equivalent in strictly capitalist terms to the wholesale transition from the production of absolute to relative surplus value.
It is at this point and for clear reasons that crude economic imperatives dominate architectural production in both east and west, signalling the subordination of qualitative social transformation to the unrestrained quantitative expansion of commodities. This manifests itself in the west and east in the identification of freedom with shopping and the replacement of non administered time and space with a culture industry that differs only in the forms within which it expresses our progressive alienation, vulgar Marxist textbooks and
Lenin badges, versus Sun newspapers and the Royal Mint\textsuperscript{21}. Thus the increasing reification of consciousness that concurs with the full scale commodification of social life in the capitalist countries, is mirrored by a distortion of consciousness in the east symptomatic of a complete rupture between the ossified rhetoric of 'developed socialism' and the conditions of human existence. In both situations the avenues towards the critique of class rule and of access to communication networks are barricaded.
\textsuperscript{21} Somewhat predictably these and other comments have been deeply influenced by the work of Horkheimer, Max and Adorno, Theodor - \textit{The Dialectic of the Enlightenment} - Verso - 1989. In particular the essay \textit{The Culture Industry: Enlightenment as mass deception}, and the selection of essays by Adorno - \textit{The Culture Industry} - Verso - 1992, raise vital questions as relevant to the organisation of culture in the old USSR as they are to life in the USA or western Europe. Take for instance the following passage from the \textit{Culture Industry reconsidered} - "The total effect of the culture industry is one of anti-enlightenment, in which, as Horkheimer and I have noted, enlightenment, that is the progressive technical domination of nature, becomes mass deception and is turned into a means for fettering consciousness."- p92
CHAPTER 1
THE DEVELOPMENT OF CAPITALISM IN RUSSIA
Fragments of true stories
1994
Kolya peeled away the gluey mucus that held his eyes shut. Stumbling upwards his head spun with the alcohol nausea that rushed through every limb. He had never dreamt that his journey to Moscow would have ended like this prostrate beneath the statue of Yuri Gagarin. The hangover lurked with a vengeance and Kolya became uncontrollably hungry. Searching his pockets he found one last gulp of vodka and a piece of black bread. Feeling better he squatted down on the pavement and stared up the Lenin Prospect. For a moment the spring sun seemed to pick out the gilt on horse drawn carriages and the whole street seemed to be ablaze as he thought of god, tsars, monasteries and peasants.
1864
Kolya is the ghost in the landscape. The grand labourer whose hand print is buried in every metre of the railways that streak the Russian landscape, whose footprints lie underneath every metropolitan construction and whose price of labour lies etched into every grain of dust in the industrialised world. Kolya is the grand drunk whose mouth has touched every bottle in the journey from the medieval village commune to the nineteenth century urban labour market. His is the distant voice of the dispossessed serf, the wandering free labourer, liberated from all property save his power to labour on the building sites of Russia. Kolya is the absent memory of the hero who appeared as a vagabond. Olga was his love, the idealised peasant woman without whom the migration could never have begun. She is history's prostitute, farmer, mother and wage earner, and her story lies hidden even deeper in the matter that makes up the commodity world.
"And the nature of history is precisely that every definition degenerates into an illusion: history is the history of the unceasing overthrow of the objective forms that shape the life of man." 1
"Besides, it is not difficult to see that ours is a birth-time and a period of transition to a new era. Spirit has broken with the world it has hitherto inhabited and imagined, and is of a mind to submerge it in the past, and in the labour of its own transformation. Spirit is indeed never at rest but always engaged in moving forward. But just as the first breath drawn by a child after its long, quiet nourishment breaks the gradualness of merely quantitative growth - there is a qualitative leap, and the child is born - so likewise the Spirit in its formation matures slowly and quietly into its new shape, dissolving bit by bit the structure of its previous world, whose tottering state is only hinted at by isolated symptoms." 2
To write a chapter in the history of the production of the built environment, is to be dragged into the tempestuous story of humankind's transformation of nature. This refers not only to the creation of buildings and settlements, but to the technologies, systems and infrastructures through which we have altered the time and space of social life.
Adrift and unarmed within this maelstrom we grasp despairingly at fragments of knowledge that like mythological sirens beckon us with promises of understanding. Many of the tools that have equipped us with the necessary confidence to face history have been inherited from Hegel and Lukacs, and in the above two passages alone we are offered tantalising glimpses of the critique of history. History variously confronts us as illusion, as myth, as dynamic struggle, as the resolution and transformation of contradictions, as the dialectical relationship between qualitative and quantitative change, and as the quest to find the indices by which we might measure progress and freedom.
This particular story begins with the transition from feudalism to capitalism in Russia, and is nothing else than the dissolution bit by bit of the structure of a previous world, a process punctuated by the "unceasing overthrow" of that which is familiar.
**On the imagery of feudalism**
Our images of medieval Russia are more than anything formed through the Russkie Skaszki, the icon and the glistening onion domes of Zagorsk. (See fig 3) Only the most bitter amongst us can fail to be impressed and moved in ways that we might not comprehend by the sad yet majestic tranquillity of the Orthodox church resplendent in the Easter snow. The fact that
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1 Lukacs, Georg - *History and Class Consciousness* - Merlin Press - London -1983 - p186
2 Hegel, Georg, Wilhelm, Friedrich - *Phenomenology of Spirit* - Oxford University Press (OUP) - The Preface - p6
3 Skazki is Russian for fairy tale, Zagorsk is the home of the Russian orthodox church
The romantic ideal of medieval Russia
FIG 3
from a seat of political power they have become commercial centres peddling trinkets and other idols is an acute exposition of either modern freedom, or the spirit's self alienation.
Our images of Russia might alternatively have been informed by the films of Eisenstein such as *Ivan the Terrible* and *Alexander Nevsky*, apparent celebrations of Russian nationhood that covertly nurture uncertainty and doubt. (See fig 4) The imperative to search for knowledge and truth encounters many barriers, not least the realisation that we may not be prepared for it. As Hegel comments "We must hold to the conviction that it is in the nature of truth to prevail when its time has come, and that it appears only when this time has come, and therefore never appears prematurely, nor finds a public not ripe to receive it;.."
At the end of the twentieth century it seems perhaps incomprehensible why two of the most magnificent Soviet films that depict the feudal world, Tarkovsky's *Andrei Rublev*, the story of the icon painter, and Paradjanov's *Colour of Pomegranates* should have been suppressed. It is a testament to the Soviet regime's paranoia and deeply held conservatism that two films which dealt with historical truth in such a metaphorical and painterly way should be become so great a threat. If anything the suppression of films like these only fuelled the desire of many individuals to resort to mysticism and mythologies within which the realities of not only serfdom but their own contemporary conditions could be ameliorated and smothered.
It is when access to history is blocked that we have recourse to mythology which according to Lukacs "is simply the reproduction in imagination of the problem in its insolubility". To misrepresent history is one problem, to prevent access to it is another altogether. In the history of the development of capitalism and of Soviet type social formations, we are dealing with both. We are not able to enter into history because in the removal of the human labour process we are no longer able to recognise ourselves within it. History inevitably becomes represented as something that must end in the attainment of some absolute condition or idea, the tragedy being that this absolute "is nothing but the fixation of thought, it is the projection into myth of the intellectual failure to understand reality concretely as a historical process".
---
4 Hegel, ibid p44
5 Lukacs *History and Class Consciousness* - Merlin Press - London -1983 - p194
6 ibid p187
SERGEI EISENSTEIN - film maker - 1898-1948
Clip from "IVAN THE TERRIBLE" completed in 1944
FIG 4
the ugliness of work
To make an argument then for placing the labour process at the centre of historical explanation is to do more than simply add another ingredient to the list of things to be included in the narrative, it is to shift the focus of analysis and to redefine ourselves politically as the makers and interpreters of the world we inhabit. Accordingly the reproduction and representation of labour, and of the labour process occupies a central position in the reproduction of a social system. By the way in which the subject of labour is represented in theory, literature and art, we are given powerful indicators of the social character of an historical period, such that two of the principal ways in which the contradictory character of social life becomes hidden is either through the production of mythologies about labour or through its disappearance from the text. This process of myth-making in relation to Soviet history is a recurrent theme of this work and is explored in more detail in chapter three.
It is within the history of the transition from feudalism to capitalism that the material preconditions of modern alienation are laid, an alienation that is confirmed when labour vanishes from the script. The relentless pursuit of a world free from the ugliness of work reveals itself not only in the *Utopia* of More, but is most prevalent in literature, a central theme in Raymond Williams' *Country and the City*. Here he begins his argument about the representation of the country and the city in English literature with a discussion of the celebration of the rural order by Johnson and Carew, a story in which the "magical extraction of the curse of labour is in fact achieved by a simple extraction of the existence of labourers". 7 (See fig 5) Nowhere does this reveal itself more than in the history of the building worker. Undoubtedly compounded by the migratory nature of building labour, as much a feature of medieval as late capitalist building production, it is notoriously difficult to stitch together these historical threads. Even painstaking archival work can prove to be fruitless. Zemstvo statistics in the latter half of the nineteenth century in Russia provide some clues, but often building workers were not considered to fit into the category of either industrial or agricultural workers and therefore remain buried in the administrative records.
This is one reason why the nineteenth century literature of authors like Zola, Dostoevsky and Dickens has remained so important to the historical memory dealing as they do with the
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7 Williams, Raymond - *The Country and the City* - Hogarth Press - London -1985 - p32
8 The Zemstvos were the equivalent of a County Council set up throughout most of Russia as a consequence of the reforms introduced by Alexander II in 1864. They were mainly responsible for the administration of education and health.
History becomes indistinguishable from mythology, when the serfs, workers, rebels and makers of the world vanish from the text and image.
"...a story in which the magical extraction of the curse of labour is in fact achieved by a simple extraction of the existence of labourers."
Williams, Raymond
lives of ordinary people and in examples such as *Hard Times* and *Germinial* directly with the struggles of labour. In tackling the experience of life of the majority they offer some of the most enduring descriptions of the city and of the built environment. Linked historically with this literary tradition is the work of the British School of historians, a group which would include Dobb, Hilton, Hobsbawm, Williams, and Thompson. This band of writers have been instrumental in remaking the history of the last three hundred years in Britain, a history in which the peasants, workers and rebels reappear, a magical return celebrated most powerfully in *The making of the English working class* by E.P. Thompson.
**arcadia as memory**
In the quest to grasp the historical moment of production in all of its entirety, there remains the possibility of reproducing other memories of arcadia, and of replacing old mythologies with new ones. This does not invalidate such mythologies. It does however expose the dialectic of memory. Considering the persistent desire to believe in a past that was free from the shackles of exploitation, Williams considers that the Diggers and the Chartists retained this romantic belief in a Golden Age, such that myth began to function as memory.\(^9\) Through the construction of such dream worlds the landless peasant and exploited worker actively assist in the reproduction of their own oppression, desperately clinging to the impossibility of Eden.
To speak of production is to speak of labour. To speak of labour is to speak of alienation and estrangement. There is a very real sense in which each historical period finds new methods of expressing not only what it finds beautiful but what it finds strange and uncomfortable. Historically, both objectives have been mutually interdependent, although the latter as a form of criticism perhaps belongs exclusively to the modern era. It is only from the beginnings of this period that the anti hero becomes hero, peasants and workers move centre stage, the oppressed are remembered, we revel in the break up of moral supremacies, and learn to find nourishment from despair.
**notes from the history of a theory of alienation**
Alienation remains a favourite subject of artists and writers, and whether in literature, painting or film, there is a consistency in the themes that are dealt with. It is that paradox of pleasure, that we know so well and comes from languishing in a sense of deep loss, of betrayal, of being adrift from the means by which we might not only recognise the world but
\(^9\) Williams, 1985, op cit p43
come to understand it. Recalling the words of Hegel to the effect that "By the little which now satisfies Spirit, we can measure the extent of its loss",\textsuperscript{10} we can acknowledge that it is only through the profound fact of dispossession that we come to comprehend the notion of liberation.
Most contemporary discussions of alienation refer to Marx. However the roots of Marx's thinking on what he called "estrangement" are not surprisingly to be found in the work of Hegel. Marcuse reminds us that it was Hegel in his early theological writings who struck "the pervasive note that the loss of unity and liberty - a historical fact - is the general mark of the modern era and the factor that characterises all conditions of private and social life" a fact that is manifest "in the numerous conflicts that abound in human living, especially in the conflict between man and nature."\textsuperscript{11} The comments below seek to elaborate on this central issue and on the links detailed by Marcuse in \textit{Reason and Revolution} between the early work of Marx and Hegel. That is between The \textit{Economic and Philosophical manuscripts}, \textit{The German Ideology} and \textit{The Phenomenology of Spirit (Mind)}.
\textbf{Hegel and alienation}
Because of the complexity and richness of Hegel's work he has always been open to appropriation from thinkers of quite different persuasions. It is not difficult to pluck out of context particular quotes where he is discussing such things as the Idea, as if it was irrefutable proof of the heinous crime of idealism. Such accusations like others miss his greatest contribution, which remains his use of the dialectical method for the analysis of human, or in his terms, \textit{world history}. Hegel considered history to be "the process whereby the spirit discovers itself and its own concept"\textsuperscript{12}. As such one of the tasks of humankind is to gain knowledge of the spirit. This is doubly important. Firstly because it is the unfolding knowledge of the spirit that guides human activity: "The spirit as it advances towards its realisation, towards self satisfaction and self knowledge, is the sole motive force behind all the deeds and aspirations of the nation. Religion, knowledge, the arts, and the destinies and events of history are all aspects of its evolution."\textsuperscript{13} Second, because the progressive self realisation of the spirit is entwined with our path towards freedom. "The spirit is free; and
\begin{footnotes}
\item[10] \textit{Hegel, Georg, Wilhelm, Friedrich - Phenomenology of Spirit - OUP - 1977 - p5}
\item[11] \textit{Marcuse, Herbert - Reason and revolution - RKP (Routledge and Kegan Paul)- London -1986 - p35}
\item[12] \textit{Hegel, G.W.F. - Lectures on the Philosophy of World History - C.U.P. (Cambridge University Press) - 1988 - p62}
\item[13] \textit{ibid p56}
\end{footnotes}
the aim of the world spirit in world history is to realise its essence and to obtain the prerogative of freedom." 14
self alienation and disrupted consciousness
There can be no greater form of alienation than that which obstructs this passage to emancipation. This is a central theme of the *Phenomenology* which Marcuse rightly regards as aspiring towards a "philosophy of a self conscious humanity that lays claim to mastery over men and things and to its right to shape the world accordingly, a philosophy that enunciates the highest ideals of modern individualist society." 15 Indeed the work is imbued with the revolutionary notion of the long haul from bondage to liberation. It is however in the nature of the dialectic that freedom only has meaning in relation to unfreedom and opposition. Every step in the process of self knowledge gives rise to its opposite. Even though the ultimate aim of the spirit is to know itself "...this very success is also its downfall, and this in turn heralds the emergence of a new phase and a new spirit." 16 Even though Hegel retains an optimistic belief in the immanence of freedom, the impediments towards self knowledge of it are great and many. Accordingly as Marcuse notes the *Phenomenology* is equally concerned with the process by which the human subject is unable to recognise him or herself beyond "the fixed form of things and laws". 17 Here of course lies the roots of the later theory of 'reification' elaborated by Lukacs. However for Hegel, alienation finds its greatest expression in the self alienation of the spirit. The first step in the resolution of this contradiction is to be found in the process of self consciousness where the human subject uncovers the truth first about him or herself, and consequently about the world.
Hegel proceeds to elaborate at great length on how the self-alienated spirit constructs "for itself not merely a world, but a world that is double, divided, and self opposed", 18 a world characterised by what he calls "disrupted consciousness" 19, one in which the Enlightenment has completed the alienation of the Spirit by bringing into the household of faith, "the tools and utensils of this world" 20.
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14 ibid p63
15 Marcuse, Herbert - *Reason and revolution* - RKP - London -1986 - p97
16 Hegel, G.W.F. - *Lectures on the Philosophy of World History* - CUP - 1988 - p56
17 Marcuse, Herbert - *Reason and revolution* - RKP - 1986 - p112-113
18 Hegel, Georg, Wilhelm, Friedrich - *Phenomenology of Spirit* - O.U.P. (Oxford University Press) - 1977 - p295
19 ibid p317
20 ibid p296
When he speaks the "language of this disrupted consciousness" 21, that belongs to a world of culture, a "pure culture" that is synonymous with the "absolute and universal inversion and alienation of the actual world and of thought", the deep influence that he had on Marx and on modern theories of ideology are clear. This is of course hardly a new observation, but it was not simply a case of Marx inverting Hegel. This was clearly a polemical statement against idealism that has been wrenched out of its historical context. Marx of course acknowledged his debt, as did Adorno. When Hegel speaks of the "struggle of the Enlightenment with errors, that of fighting itself in them, and of condemning in them what it itself asserts" 22 and concludes that "Thus what Enlightenment declares to be an error and a fiction is the very same thing as Enlightenment itself is" we see the origins of Adorno and Horkheimer's *Dialectic of the Enlightenment*.
**Marx and estrangement**
Hegel's critique remains within the resolution of contradictions as they afflict consciousness. Marx was interested how these might in themselves be rooted in the material transformation of social life. Hegel describes the relationship that exists between Lordship and bondsman in terms of the unequal opposition of two aspects of consciousness. To the Lord he ascribes "an independent consciousness whose essential nature is to be for itself" and for the bondsman a "dependent consciousness whose essential nature is simply to live or to be for another.", a consciousness in the form of what Hegel calls "thinghood". 23 It is a fairly short step from the Lord and Bondsman of Hegel to the Capital and Labour of Marx.
Drawing simultaneously on this work of Hegel and on a critique of political economy, Marx develops a theory of *estranged labour*, that has three main characteristics which with modifications were to inform the rest of his work. It is worth recalling the comments of Marcuse that Marx's analysis of labour goes much further than the structure of economic relationships and penetrates to the actual content of human relations at the heart of social existence. 24
Under the conditions of private property, the process of production gives rise to three main contradictions. The first concerns the product of labour, which appears to the worker as "an
---
21 ibid p316
22 ibid p333
23 ibid p115
24 Marcuse, Herbert - *Reason and revolution* - RKP - 1986 - p278
alien object exercising power over him or her" 25 a theme that was explored at greater length in the chapter in Capital on commodity fetishism. The second concerns what Marx called "The relation of labour to the act of production within the labour process." 26 Here he has in mind the way in which the labour process appears as an activity which is turned against the worker, assuming the character of an "alien activity not belonging to him or her." 27 . Marx summarises the first contradiction as the "estrangement of the thing" and the latter echoing Hegel's notion of self-alienation as "self-estrangement". The third contradiction concerns the realm of nature. The first point is that "in creating a world of objects by their practical activity, in their work upon inorganic nature, humans prove themselves as a conscious species being...Through this production, nature appears as their work and their reality." 28 But to tear then the object of labour, from labour, is also to take nature away too. Marx concludes that, "estranged labour turns thus: Humankind's species being, both nature and its spiritual species property, into a being alien to it, into a means for its (individual) existence. It estranges from the human being his or her own body, as well as external nature and his or her spiritual aspect, his or her human aspect" 29. We are left with the estrangement of humankind from itself. Marx finishes this section of the manuscripts with two propositions; the first, that since the concept of private property is derived from alienated labour, it is possible by analysis to develop every other category of political economy, and second, and this appears of great importance in later discussions of class societies "that everything which appears in the worker as an activity of alienation, of estrangement, appears in the non-worker as a state of alienation, of estrangement." In other words the ruling and propertied classes are as much subject to alienation as the ruled and propertyless.
the germs of the fetish
Here then in 1844 Marx summarises the main features of alienation that continue to define the modern condition, and are central to any understanding of the production of the built environment. Our alienation from the products of labour, from the means of production and from nature. The first two are familiar as cornerstones of radical criticism. The third, whilst never developed in great detail, ironically predicts not only the contemporary "Green" and "Sustainability" debates, but places into focus and context the 'pastoral' reaction to rapid
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25 Marx, Karl - Economic and Philosophical Manuscripts of 1844 - Lawrence and Wishart - London -1981 - p61 - 74
26 ibid p66
27 ibid p67
28 ibid p68 - 69
29 ibid p69
industrialisation and the continued search for a rural idyll. The profound desire to reconcile ourselves with nature and to escape the commodity world.
It is in the existence and reproduction of the commodity status of labour that we find one of the sources of our alienation. This only occurs with the development of capitalism. Indeed, the generalisation of human labour power as a commodity, that is of *wage labour*, remains one of the characteristics by which we define the development of capitalism. What begins to emerge from this, is that the early ideas of both Hegel and Marx concerning alienation, far from being antagonistic are in fact complimentary. It is obvious that alienation as an issue (to borrow the vocabulary of the early twentieth century), is simultaneously material and spiritual. It is revealed as much in the "unhappy, inwardly disrupted consciousness" of Hegel, as it is in the estrangement from the material production of Marx. As such not only is the "servile consciousness of the bondsmen" entwined with Marx's concept of "alien activity", but the imperative for Labour to undermine the rule of Capital is ultimately dependent on the point at which the bondsmen's consciousness will "turn into the opposite of what it really is; as a consciousness forced back into itself, it will withdraw into itself and be transformed into a truly independent consciousness."
The depth to which the commodity legislates human life, that is the penetration of the commodity form into all human relations, is the measure by which we can gauge the extent of the development or transcendence of alienation within the capitalist world. This makes the question of the origins of the commodification of labour power and the development later of the theory of commodity fetishism in *Capital* central to the whole work. Rubin went as far as saying that the theory of fetishism, represented the basis of Marx's entire economic system, and we know that Lukacs considered it to lie at the centre of the eternal question concerning consciousness.\(^{30}\)
\(^{30}\) **Rubin, I.I** - *Essays on Marx’s Theory of value* - Black Rose Books- Montreal -1990 - p5. First published in Moscow 1928
a general theory of architecture?
Can there be a universal theory of art and architecture? We instinctively shy away from such totalising questions that seek to locate general rules which guide our lives. If though we were to ask what is our need for art?, we might well be inclined to answer like Hegel, that it lies "in man's rational impulse to exalt the inner and outer world into a spiritual consciousness for himself, as an object in which he recognises his own self. He satisfies the need for this spiritual freedom when he makes all that exists explicit for himself within, and in a corresponding way realises this his explicit self without, evoking thereby, in this reduplication of himself, what is in him into vision and into knowledge for his own mind and for that of others. This is the free rationality of man, in which, as all action and knowledge, so also art has its ground and necessary origin."¹ Hegel suggests then that our universal need for art is bound up with the processes of self recognition, self consciousness, free rationality, and ultimately the expression of this to others. What then is it that guides and/or prevents the realisation of these objectives?
In that all art and architecture hitherto has been produced by class societies we might tentatively propose a general theory of the class character of architectural production. But we encounter many fears in doing this. It is our overwhelming desire to believe in freedom and trust in its immanence that makes the subject of class, dealing as it does with inequality, ownership, control and power so difficult, and the class analysis of art and architecture so deeply unpopular and painful.
This has always and quite legitimately led us to celebrate form as an autonomous category. The corresponding revolts against 'formalism' can be argued as admissions of our own repression, of the shackling of the mind as opposed to its freedom. Accordingly, our desire to search for and to liberate form is inextricably tied to the need for our own general social liberation. Our misunderstanding of this link is however revealed in the separation of form from any notion of social relations which structure political and aesthetic practice. A general theory of architecture that locates social relations at the heart of any analysis, would suggest that it is the dialectical relationship between classes that determines what gets built (building type), how it gets built (the labour process) and where (space and location). It will not inform us of all of the peculiarities of a building's form but it will indicate what are the general historical tendencies in the transformation of the production of the built environment.
¹ Hegel, G,W,F - Introductory lectures on aesthetics - Penguin- London -1993-p 36. First published in 1886
In addition, whilst this work concentrates on the class character of social relations, our knowledge of nineteenth and twentieth century Russia can only be enhanced by considering gender relations as reproduced through patriarchy within the church and the *obschina*, (village commune) and ethnic relations which are expressed most clearly in the crisis of national identity that gave rise to slavophilism and imperialist pretensions in Central Asia, the far East and Eastern Europe.
**nineteenth century Russian architecture**
Architectural histories of nineteenth century Russia, whether Russian or western offer the same periodisation. They tell of a journey from classicism up to 1830, to eclecticism which is split into two periods that of 1830 - 1850 and that of the years between 1870 - 1890\(^2\), to the Moderne 1890 - early 1900s\(^3\), to a combined neo Russian and neo classical period that takes us up to the first world war. As formal transformations they correspond to the architectural experience of most European countries in the transition from feudalism to capitalism in the eighteenth and nineteenth century.\(^4\)
Conceived of at the most general level, such buildings are linked together within the dialectic of the history of form. Here stylistic forces and theories of spatial organisation fight and contradict each other, eventually merging to produce new forms and spaces that are in turn transformed under the pressure of new stylistic tendencies. Such transformations are inseparable from the nineteenth century transition from one dominant set of social relations to another. That is from those between the landed aristocracy and peasantry to those between the working class and bourgeoisie. The Neo Classical corresponds to the rebirth of the Russian nation and Imperial expansion, the Eclectic to the crisis of autocracy and popular rebellion, the Moderne to the new bourgeoisie, and the brief resurgence of Neo Classicism to the years of conservative reaction after 1905. These are observations that are of course not lost on Russian authors whose work on this era achieves a critical status in the discussion of class that disappears in the debates on architecture in the twentieth century.
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\(^2\) Eclecticism can be considered as a relative of Romanticism in western Europe. Within Russia it implied the construction of form through the opportunistic and largely uncritical application of any historical style. In this it has populist pretensions that make it the historical ancestor of post modernist thinking about the language of architecture.
\(^3\) The Russian equivalent of art nouveau led by Shektel.
\(^4\) Such a periodisation of form is generally accepted and is elaborated by Ikkonikov, Andrei - one of the more productive of Russian architectural historians - see for instance the initial chapters and introductions on the origins of twentieth century Russian architecture in - *Russian Architecture of the Soviet period* - Raduga - Moscow - 1988, and Shuralev, A. M and Rochegov, G. A., - *Arkhitektura Sovetskaya Rossia* - Stroizdat - Moscow - 1987 In addition in English there are several books by Brumfield of a mostly descriptive character that are useful as introductions (See bibliography)
nationhood
The concept of nationhood, is one area in which the dialectic of form finds its expression and provides continuity between the nineteenth and twentieth centuries. Just as the battle to define the "Soviet" identity forms the backdrop against which argument about architecture was to be conducted in the 1930s, so the whole of nineteenth century Russian architecture grapples with the problem of the Russian identity, of self-knowledge and recognition\(^5\). This always happens at historical moments when the class structure of an existing society is called into question. Although distinctions are drawn by prominent historians like Kirichenko and Ikonnikov between the 'eclectic', one of the most distinguished examples of this latter period being the History Museum on Red Square, the 'neo-Russian' which includes the Tretyakov gallery, and the Kazan Station designed by Schusev (later to become one of the prominent Socialist realist architects in the 1930's), and the Moderne, all three display elements that are connected with the formal devices to be found in traditional Russian arts and crafts and in the construction of medieval kremlin and ecclesiatical buildings.(See fig 6)
form and labour
The transition from feudal to capitalist social relations is first apparent in the transformation of the labour process. Subsequently however we witness major changes in the formal and physical character of the city, as the structure of the feudal city is slowly undermined and is replaced by a specifically capitalist organisation of space and place. Both of these processes are historically continuous but temporally and spatially uneven. There is no direct one-to-one correspondence, but just as we might associate meaning in a tower block with the consolidation of wage labour in a rationalised labour process centrally controlled by a ruling class, so meaning in the transition from the Muscovite baroque to the classicism of the early nineteenth century and the eclecticism of the mid century can be found in the uneven process by which a capitalist class tentatively began to emerge in Russia, and the first tremors are felt that lead to the commodification of space, technology and the labour power of building workers.
truths and absolutes
It should of course be emphasised that the objective is not to evaluate any particular period of architecture in a positive or negative sense but to grasp the contradictory character of each historical moment as it inherits and transforms previous structures and phenomena.
\(^5\) For an introductory essay relating to Moscow see Kirichenko, E - *Moskva - Pamiatiniki arkhitekturi 1830 - 1910 godov* - Moskva - 1977 - In Russian with a translation into English. The sort of text that might now be dismissed as 'sociology' but pinpoints some of the questions relating to class and nationhood.
Late nineteenth and early twentieth century Muscovite architecture
Below - The Neo-Russian - The Kazan Station - 1913-1926 - Architect Shchusev, A
Above - The eclectic The history museum Red Square, Moscow 1875-1883 Arch-Sherbood
mediaeval churches of the Golden Ring express this paradox most acutely. (See fig 7) As centres of learning and knowledge, they were also buildings at the cutting edge of architectural engineering and offer a spatial experience that is at once both uplifting but mysterious and oppressive. Just as actual building production cannot step beyond the forces and relations of production that exist at any one historical moment, so architectural practice cannot step beyond the imagination and ideas bequeathed to it in an era like the nineteenth century that was industrially underdeveloped and marked by deepening social conflicts. In the same sense that it is naive to argue that the avant garde was right or wrong, good or bad, so with the history of nineteenth century Russian architecture. There are no architectural truths. All pejorative comments about particular buildings tend inevitably towards discriminatory absolutes. To associate early Russian classicism with an epoch of developing social critical thought, and the baroque with the conspicuous consumption of the old aristocracy, is not to negate either as architecture but is an attempt to understand the contradictory character of their social production as building types. This is in essence the difference between the dialectical method and that of vulgar sociology.\(^6\)
The spectre of economic determinism and vulgar base-superstructure metaphors only arise as long as art, architecture and indeed ideology are understood as objects or simply as representations and mirrors within which 'real social life' is projected. Architectural ideas and designs are produced, they are processes of production. Understood as practices, as labour processes, they are as much subject to relations of production as any other aspect of social life. It is not then a question of seeing how one level influences another, but how particular social relations bind together what appear to be diverse and different practices.
We have noted that the passage from the old world to the new is distinguished by the appearance of wage labour. How precisely does this occur and what are the implications of capitalist commodity production for the built environment and for Moscow?
**capitalism and history**
Whilst we are able to speak with a certain amount of confidence about the specific characteristics of a capitalist society, the spatial and temporal patterns of the transition from feudalism are extremely complex and controversial, as are the motive forces in the great shift to the modern world. The debates over whether the roots of the collapse of the feudal
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\(^6\) For an introductory essay in English to Russian attitudes to classicism in the nineteenth century see Schmidt, Albert - *The architecture and planning of Classical Moscow: a cultural history* - American Philosophical Society - Philadelphia - 1989 - p195-201
Ecclesiastical architecture of the Golden Ring - Zagorsk
FIG 7
system are to be found in the conflicts between the peasantry and landed aristocracy, or in the introduction of trade are to be found in the now celebrated set of essays edited by Rodney Hilton.\textsuperscript{7} The polarisation of the debate seems in retrospect to be rather strange, if nothing else because it is difficult to conceive of class conflict as being separate from the manner in which surpluses were exchanged and distributed. They represent what Marx called a simultaneous duality, mutually interdependent categories.\textsuperscript{8}
A parallel debate on "the nature of the relationships between structure and subject in human history and society," has led to equally heated exchanges.\textsuperscript{9} Much of the confusion it has been suggested stems from ambiguities in Marx's own writings as to whether we should give primacy in historical explanation to the contradiction between the forces and relations of production, (structure), or to the class struggle, (subject). Anderson argues that these apparently irreconcilable positions set the framework for much intellectual activity throughout western Europe, a debate to which, Althusser, Foucault, and Sartre, inevitably referred and to which historians such as E.P. Thompson was to respond. Again at a purely intuitive level such a polarisation in retrospect seems very peculiar. It would not be the first time that the contradiction between the issue of the Althusserian structuralist manifesto that marginalised the subject, and the simultaneous student and worker uprisings of 1968 has been noted. But if such an ambiguity can be read in Marx, then so can its opposite. It seems theoretically unfounded to separate the notion of class struggle or to put it more generally, class contradictions, from that of the dialectic of the forces and relations of production. They are mutually interdependent categories. The human subject cannot be separated from the structure of a society any more than society can be conceived as existing independently of the human subject. The relations of production always imply the division of human beings into classes, that are inevitably in conflict, whether we become conscious of it and enter into struggle or whether we remain content within such antagonistic relationships. At the very least as Anderson argues structure and subject have always been interdependent.\textsuperscript{10}
\textbf{urban and rural}
If we retain both categories in our explanation of the process of historical change, when we begin to think about the locus of capitalist development we encounter further controversies.
\begin{itemize}
\item \textsuperscript{7} Hilton, Dobb,Hill, Sweezy et al - \textit{The transition from Feudalism to Capitalism} - Verso - London - 1984
\item \textsuperscript{8} Marx, Karl - \textit{Production, consumption, distribution, exchange} - Appendix to \textit{A contribution to the critique of political economy} - Lawrence and Wishart - London - 1981 - p 188 - 199
\item \textsuperscript{9} Anderson, Perry -\textit{Structure and Subject} - In the tracks of historical materialism - Verso -1984 - p33
\item \textsuperscript{10} ibid p54
\end{itemize}
For the discussion of the built environment, the relationship, and indeed the validity of the 'urban' 'rural' distinction, has been called into question as a spatial framework for thinking about the process of transition from feudalism to capitalism. Given the twentieth century history of cities like Detroit, Sheffield, or Ivanovo, cities that have grown very much in relationship to one particular branch of economic activity, automobiles, steel, and textiles, the equation that reads industrialisation-capitalism-city as synonymous is hardly surprising. Yet it is becoming increasingly clear that the identification of industrial development with the city in the transition from feudalism to capitalism is far from universal. Whilst Moscow and St Petersburg eventually became the main industrial centres in the Soviet Union, the transition to manufacture indicative of the first stage in the development of capitalist production first begins to gather pace in rural locations, an historical tendency confirmed by Trotsky who in answer to the question "Where, then, were manufacturing industry and crafts?" answers, "In the country, attached to agriculture."11
The attempt to define the urban has engendered another set of contradictory positions. Did feudal towns hinder or help the development of capitalism? Were they centres of progress and learning or decadence and reaction? It is increasingly clear there was no single type of town in feudal Europe. Certainly, the identification of the urban with 'civilisation' has increasingly been brought into question not only in relation to the pre history of Europe, but the history of Asia and Africa.12 In terms of either concepts of progress or the process of capital accumulation the significance of urban and rural distinctions in the transition from feudalism seems problematic.
wage labour
The categories 'urban' and 'rural' retain a usefulness in terms of describing cultural and demographic differences, but can be subsumed in a new approach to the study of the transition to capitalism which emphasises the "wider polycentric patterns of property relations as they effect the extension of a division of labour and the commodification of labour."13 In other words, the locus for the development of capitalism is determined by the places and spaces in which we witness the appearance and consolidation of the transformation of serf into wage labour. This is born out in Russia, where the largest concentrations of wage labour in the building industry occur in the lumber trade and in the construction of railways. Again it is
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11 Trotsky, Leon - *The Permanent revolution* - Pathfinder - New York - 1986 - p47. First published in 1937
12 Holton, R, J - *Cities, capitalism, and civilisation* - Allen and Unwin - London - 1986 - p1-18
13 ibid p117
important to realise how this is of immense contemporary significance. As the process of de-industrialisation gathers pace in western Europe and the developing capitalist nations in the southern hemisphere industrialise, whole regions like Ayrshire in south west Scotland, Wales, and Northern England are being transformed into ghost regions. Once the heartland of mining and steel, rural locations in which wage labour first becomes consolidated, their decimation is a testament to the almost incomprehensible spatial agility and mobility of capital.
The most comprehensive study to date of the transition from feudalism to capitalism within the building industry is to be found in the work of Clarke.\textsuperscript{14} In "Building Capitalism",\textsuperscript{15} Clarke reviews theories of urbanisation from Weber to Castells and Lefebvre, concluding that despite their relative merits they share a common flaw in their failure to elaborate on a theory of urbanisation as a process of production. In relation to the process of transition Clarke offers three arguments. In Way I, the development of capitalism in the building industry is to be explained principally through the introduction of new contracting, leasing or farming out systems promoted by merchants.\textsuperscript{16} Way II, concentrates on the emergence of the master builders of the eighteenth century attached to the building materials industry and employing wage labour.\textsuperscript{17} Clarke argues that the emergence of both merchants and artisans, wedded as they were to feudal class structures were not able in themselves to bring about change. A third way is offered which suggests that the capitalist originates from "production by wage labour, whereby labour is employed outside craft regulations and totally separated from its means of production. With such an alternative, or Way III, capitalism represents the dominance of production by wage labour, with labour power just as much a commodity as the product it produces." The rest of this important book attempts to explain just how this occurred through a study of the development of a part of North London and in the construction of parts of London's early infrastructure. The emphasis then is on the emergence of wage labour. Within Russia this begins to happen later than in Britain, but in a similar fashion it was out of the ranks of newly proletarianised serfs that some of the first contractors were to emerge.
\begin{footnotes}
\item[14] Clarke, Linda - Annual Proceedings of the Bartlett International Summer School - Volume 3 - 1981 - The transition from a feudal to a capitalist mode of building production - p 1-52 - with Janssen, Jorn - Volume 4 - 1982 - On a theoretical approach to the study of labour in building and construction - p7-39
\item[15] Clarke, Linda - Building Capitalism - Routledge - London- 1992
\item[16] ibid p40
\item[17] ibid p41
\end{footnotes}
The transition from feudalism to capitalism in architecture
The serf builds the mansions and monasteries for immediate use by the lord Zagorsk. One of the homes of the Russian Orthodox church.
The wage labourer builds the speculative house and office for the market place The Banestan Tower. A bank and the tallest building in South America. Sao Paulo.
the origins of the commodity status of labour
One of the pre-requisites of wage labour and one of the historic conditions for capital is free labour and the exchange of free labour against money. Another pre-requisite is the separation of free labour from the objective conditions of its realisation - from the means and material of labour.\(^{18}\) Marx argued that this requires the dissolution of all previous relations; of the labourer to the soil, to the lord of the soil, of relations of property that makes the labourer a yeoman or petty landowner, of guild relations which pre-suppose the labourers property in the instruments of production and in addition all relations of 'clientship' where the former serf was required to participate in rituals, feuds and acts of personal service at the bequest of the Lord\(^{19}\). Capitalist production thus requires a labourer who possesses nothing more than his or her labour power in a contract where all the objective conditions of production appear as alien, as non property. Thus freedom for the capitalist means freedom to accumulate capital. For the workers to become free is to become free of all property, save labour power\(^{20}\). The paradox for the workers is that it is not the worker that the capitalist wants but his or her power to labour, and if this work can be conducted by a machine then so much the better\(^{21}\).
With the inauguration of capitalist commodity production the reign of capital and the commodity form commences its journey that will result in no stone being left unturned. Labour power, buildings, building materials, land, space, tools and equipment all become commodities and possess the twin character of any commodity - use value and exchange value. Thus, the transition from feudalism to capitalism can be characterised as the dissolution of relations of production in which use value predominates. At the extremes of architecture this can be understood as the difference between a mansion built by serf labour, that is coerced labour producing buildings for the use of the aristocracy, and a speculative house built by wage labour for sale in the market. (See fig 8)
use and exchange
One of the most important distinctions between the feudal city and the capitalist city is the progressive domination of the latter by the commodity form. Buildings and land assume two aspects, a *use-value* and an *exchange value*, a relation in which the use-value of an object has to perpetually seek approval from the world of exchange, such that its existence is dependent on its ability to be sold. Within feudal Moscow land ownership and building production
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\(^{18}\) Marx, Karl - *Pre-capitalist economic formations*-- Lawrence and Wishart - 1978 - p67
\(^{19}\) ibid p104-105
\(^{20}\) ibid p111
\(^{21}\) ibid p99
Heroes of a different class
Tsar Alexander II - "The enlightened monarch" who introduced the reforms of 1861 that emancipated the serfs
Emelka Pugachev Leader of the peasant rebellions of 1773-1775
takes place under the jurisdiction of monarch and church. It is also the state that has a virtual monopoly of decision on not only what gets built but how and where.
Changes in the formal and spatial organisation of the city occur when feudal relations commence their disintegration. This gathers pace with the development of class conflicts between the landed class and peasantry and is completed with the emergence of capital and a class of capitalists and wage workers. In turn this sets the structure not only for accelerated changes in building types and technology as capitals enter into competition, but for the development of differential land rents and zoning patterns that accentuate the spatial hierarchies and social division within the city according to function, (industrial, residential, governmental...), and increasingly along new class lines (i.e. defined working class and bourgeois housing regions). In the building industry this is most prevalent in the rapidly expanding markets in Moscow for labour and building materials. It is less clear to what extent a market for land and buildings emerges in late 19th century Moscow, although there are clearly signs not only in the construction of town houses for merchants and industrialists but in the construction of what appears to be housing for rent.
St Petersburg - symbol of modernity
Whilst the transition to capitalism only gathers pace in the latter half of the nineteenth century after the reforms of Alexander II in the early 1860s, it is not entirely romantic fancy to argue that the symbolic starting point of the modern revolution is the founding of St Petersburg. (See fig 9) As the locus of the 19th century development of modern literature and culture in general, St Petersburg's pre-eminence has been well described by Marshall Berman\(^{22}\).
But like all great public works, their splendour belies their cruelty. Inevitably, Hegel's concept of the alienation of the spirit pervades the novels of Gogol, Dostoevsky and of course Pushkin's masterpiece the *Bronze Horseman* (1833). Much of the Russian intelligentsia including such figures as Bakunin, Chernyshevsky, and Herzen were deeply influenced by Hegel and German philosophy. Whilst the fiction writers may not have been students of Hegel themselves, it would have been impossible in the St Petersburg of the mid nineteenth century to avoid the discussion provoked by Hegel not only into the subject of the loss of spirit but of course on the nature of history and of the State.
\(^{22}\) Berman, Marshall - *All that is solid melts into air. The experience of modernity* - Verso-London- 1989
It is in the construction of St Petersburg that we encounter the origins of these modern dilemmas. The city is the most vivid example of the union of free and unfree labour, of the wildest dreams of progress and the most bitter of repressions. Within architecture the reforms of Peter the Great set in motion the widespread replanning of Russian cities, which under the reign of Catherine saw four hundred settlements altered along European lines.\(^{23}\) (See fig 10) This was a serious attempt to break the courtyard structure of villages and towns that were if anything Asian in origin. Weber considered feudal Moscow to be a 'land rent' type of consumer city\(^{24}\), sharing the characteristics similar to a large Oriental city of the time of Diocletian,\(^{25}\) and a characteristic Trotsky argued to be true of most Russian towns from this period.\(^{26}\) (See fig 11) Indeed Peter is reputed to have pledged himself to destroying the "Asiatic sprawl" of Moscow. This desire to emulate Europe is deeply contradictory, not least because of Moscow's geographical position, Russia's centuries-long occupation by the Mongols, and the crude identification of the 'west' as progressive and the 'east' as primitive. The 'window to the west' nevertheless remained an obsession with the ruling class right up to the contemporary period. It has also been a point of bitter contention for those who wished to maintain a distinctly Slav identity, and those inhabitants of the Russian and then Soviet empire who had little connection with the Judeo Christian tradition apart from one of subservience. (See fig 12)
**rationalising space**
Like his twentieth century counterparts, Peter the Great imported western European ideas and architects, who, combined with Russian labour, were given the task of transforming the spatial characteristics of Russian life. St Petersburg was of course the epitome of this rationalisation of space - the grid, the boulevard, the street, the pavement, the square and the monument. It also revealed one of the most arrogant of modernist conceits, the attempt to tame and ultimately conquer nature. A grandiose project unmatched in urban history in its battle not only with the swamps and ice of the Baltic but with the limits of human labour itself.
Seen at its most conceptual in the scheme of Le Blond (1717), (See fig 13) the organisation of space through the 'reasoned geometry' of grid and boulevard, historically situates St
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\(^{23}\) The revolution in architectural production inaugurated by Peter the Great has been elegantly documented by Cracraft, James - *The Petrine revolution in modern architecture* - University of Chicago -1988
\(^{24}\) Weber, Max - *The city* - Free Press - New York -1966 - p68
\(^{25}\) ibid p200
\(^{26}\) Trotsky, Leon - *The Permanent revolution* - Pathfinder - New York -1986 - p47 First published in 1919
The modern revolution begins in St Petersburg
The Nevsky Prospect in 1988
The Winter Palace
The asiatic sprawl of Moscow in 1661
FIG 11
Samarkand - The jewel of Central Asia Home of Tamurlane, astronomy, major trading point on the Silk road, centre of Persian culture and point of pilgrimage for Muslims.
Above - Registan Square Samarkand. 17th century.
The bringing of a rational order to space
Le Blond’s scheme for St Petersburg 18th century
Barcelona 19th century
Le Corbusier’s Ville Radieuse-Early 20th century
Petersburg within the modern tradition of classical Urban design. This would include Hausmann's spatial revolution a hundred years later in Paris, the planning of nineteenth century Budapest, the Burnham plan for Chicago, Barcelona, New York, Glasgow, Speer's plan for Berlin, Pagano's for Milan and Soviet urban design in the 1930s, schemes which despite differences share the need to bring discipline to the city. In so doing the degree to which a rationalised grid structure can represent the democratic divisions of space or the physical incarceration of populations, is entirely dependent on the balance of class forces. However, such plans universally belong to the history of class societies and in this sense always retain a function in relation to the control of social life, of which the enlightenment imperative to order is a lifeline between centuries. St Petersburg betrays this dialectic. At one and the same time a call to authority yet a call to progress, to be conducted of course under the scrupulous eye of the Tsar.
rationalising labour
This distinctly modern attempt to rationalise space was accompanied by the greatest rationalisation of all, that of construction labour. This is significant for two reasons. First is the sheer scale of the operation. Between 1703 and 1725 it is estimated that anywhere between 10,000 and 30,000 ordinary workers laboured annually on the construction of St Petersburg, a good many of them perishing in the process of making firm land out of a swamp. Second, whilst on the whole 'conscripted' labour, labour effectively rounded up and sent to St Petersburg by provincial governments, and therefore not yet fully fledged wage workers, they represented an historical pre-figuration, the ancestral grandparents of similar armies of construction workers who over one hundred years later were not only to work in the factories and on the railways and building sites, but as waged labourers for private contractors.
Moskva - the city burns
With the shift of the court to St Petersburg, Moscow entered into a relative decline. Some of the engravings from this period give a remarkably convincing picture of what Moscow must have looked like. Pikart's two metre long panorama of 1707 shows a city dominated by the buildings of the Patriarch and the Kremlin but with an urban sprawl stretching away out to the east of the city, a vast timber-built favella. (See fig 14) Delabart's engravings in the
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27 It should of course not be forgotten that the image of St Petersburg as the rational 'Venice of the North' had already begun to crumble by the beginning of the nineteenth century.
28 Cracraft op cit p176-178
29 Ruban, B, G, - Opicanie Moskvi - Priloshenie k fakcilomi- Moskva - 1988 - p60 - 63
Moscow in the early eighteenth century
Fragment of a gravure by Pikart circa 1707
were established in the 1840s and 50s for the creation of the first State Technical School in Moscow in 1932, the formation in 1950 of new State Design Institutes including the organisation and training of construction labourers, and the publication in 1939 of handbooks that dealt with construction details.
An architectural guide from the same years gives a detailed picture of the city in the midst of a rapid transformation into a busy if somewhat dishevelled manufacturing and commercial centre. It was surrounded by an increasing number of factories and in 1911 had numbered 253 and had increased by 1923 to 659 employing 58,000 wage workers.
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FIG 14
Images of dystopia
Msitislav Dobhuzhinsky- The city - 1904
Above- Illustrations by Dobhuzinsky for Dostoevsky's White Nights - 1922
1790s are equally impressive. While inevitably stylised, they show a ramshackle city in which timber huts jostle with neo classical facades, pristine buildings with obviously decaying ones, women bathing, children skating, and many people trading and travelling.\(^{30}\) For all of the need to locate the pastoral idyll, images like these and even more so those of Piranesi, of Fritz Lang, and of the late twentieth century urban nightmare film genre, endure because we know and secretly gain comfort from the knowledge that even as imaginations they touch closest to the hope and tragedy of life. (See fig 15)
This juxtaposition of ruin and prosperity is not confined to the artistic imagination. Moscow's development at the start of the nineteenth century was arrested by the Napoleonic wars and by a fire on the scale of Ludwig Meidner's paintings of the apocalyptic city. Whilst from afar Moscow had glistened like a fairy tale city, the outbreaks of fires had been frequent given the preponderance of timber buildings. A major fire had threatened to engulf the city for years which eventually broke out in 1812 in which 6532 houses out of 9158 were destroyed.\(^{31}\)
**rebuilding the city**
By 1831, Moscow's reconstruction was well underway boasting 10,200 houses. Its architectural re-emergence had been greatly assisted by the introduction of design catalogues in 1803 that were republished in the 1840s and 50s, by the creation of the first architectural school in Moscow in 1809\(^{32}\), the formation in 1832 of new State Organs to regulate building production including the organisation and training of construction labour, and the eventual publication in 1839 of handbooks that dealt with construction details.\(^{33}\)
An architectural guide from the same years gives a detailed picture of the city in the midst of a rapid transformation into a busy if somewhat dilapidated cosmopolitan and commercial centre\(^{34}\) surrounded by an increasing number of factories which in 1814 had numbered 253 and had increased by 1853 to 939 employing 58,000 wage workers.\(^{35}\) (See fig 16)
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\(^{30}\) ibid p112 -123
\(^{31}\) ibid p192. See also Muraev,V,L, - Moskva 1812 - in Arkhitektura i stroitelstvo Moskvi - No 12 - 1987 p25 -27
\(^{32}\) For an essay on the history of the Moscow school of architecture see Ivanovna,L.V, - *Chto muyi znaem ob istoria Moskovskoi arkhitekturnaya shkoli* - in Arkhitektura i stroitelstvo Moskvi - No 10 - 1989 p 9 -13
\(^{33}\) Zvorikin, D,H, - *Razvitia stroitelnovo proizvodtzva v SSSR* - Moskva stroizdat - 1987 - p84 -96
\(^{34}\) Guide to Moscow - Containing a description of the public edifices - London - 1835. It possessed 159 principal streets connected by pavements constructed out of small stones embedded in sand. "All houses within the boulevards must be built of brick, those beyond them may be wholly of wood, if not of one story, but of two stories, the lower story at least must be of brick, The foundation is laid with soft calcereous stone, brought form Metchova, a village in the circle of Bronitsa. sandstone is found at Tatarova, in the circle of Kolomna. The brick used comes from the vicinity; and is both ill made and insufficiently burnt. The
Late nineteenth century Moscow in postcards
Moscow. Уг. Софийки и Лубянской пл.
По фот. А. Павловина. 40-46. 2-е изд.
Moscou. Coin de la Sofica et de la Place Loubianca.
View up towards the Lyubianka
Москва. Moscou. 42. Толкучий рынокъ.
Marché à la friperie.
Street market in the city centre
The decline in the feudal character of the city was simultaneous with the increasingly weak position of the "enlightened monarchy". Tsarist rule had been confronted with the advocates of new social and political ideals, beliefs and attitudes which had been inherited from the French revolution of 1789, the peasant rebellions and the Decembrist uprising. The slow dissolution of the old regime was to manifest itself within the city in a number of ways. First, the restructuring of space, the attempt to apply order and reason. Although a project for Moscow's restructuring had been proposed in 1775 the rebuilding of the city only gathered pace at the beginning of the 19th century when the Sadovoye ringroad came into existence. The process of reconstruction was further accelerated by the introduction of a new plan in 1818\(^{36}\), which was to lay the pattern for the development of the historic centre of the city for the rest of the century and which the town planners of the avant garde were to inherit in the 1920s. (See fig 17) This plan sought to maintain the four historic areas, yet to emphasise the neo classical character of the city, strengthening not only the Sadovoye Ring road around the Zemlyana Gorod\(^{37}\) but the inner ring road around the Belyi Gorod\(^{38}\) and that of the radial streets that dissected these historic areas of the city.
Whilst in the years immediately following the fire, timber construction continued, by 1838 it had been banned along the main boulevards, such that by 1856 all new construction in the Zemlyanie was out of stone. Many of the new buildings constructed were two or three storey dwellings with shops on the ground floor and rented accommodation above\(^{39}\). In the Belie gorod there had been a boom in the construction in the late eighteenth and early nineteenth
---
imperfect quality of the bricks added to the quantity of water used in laying them, renders most of the buildings in Moscow very damp. The outside of the houses is covered with plaster, and painted either white or yellow. Wooden houses, which are far more comfortable that those of brick, are lined on the outside with planks, and painted the same as the others. The timber used in their construction comes by water from the government of Vladimir, Kaluga, and Smolensk. The roofs are either of iron, or of planks, painted red, green, or black. Some of the houses are in a line with the street, others stand back with a courtyard between them....." In the accompanying notes to the guide there is a breakdown of all of the buildings in the city by construction and function including the distribution of housing in the different wards. Private individuals owned 2,947 brick houses and 6712 timber ones, the next biggest owner being the church with 166 and 218 respectively. There were 5644 shops, including 41 hotels, 57 eating houses, 19 coffee shops, 65 gin shops, 50 beer shops, serving a population of 263,469 that included 125,308 peasants and servants, 19,914 members of the nobility, and a whole community of foreigners; Arabs, Turks, Germans, Sicilians, Spaniards Armenians and so on.\(^{34}\) It was estimated that there were 1379 small workshops run by 2498 Masters with 13,545 apprentices and servants.
\(^{35}\) Trifinov, A, A - *Formirovanie nacelenie Moskvi v dorevolutzionnie period* - Russki gorod - Volume 7 - 1984-p192 (Formation of the population of Moscow in the pre-revolutionary period)
\(^{36}\) Posokhin, M - *Towns for people* - Progress - Moscow - p103
\(^{37}\) See Posokhin, Makareivich et al - *Pamiatniki Arkhitekturi Moskvi - Zemlianie Gorod* - Moskva Iskusstvo-1989. This book like the one below are excellent and thorough records of all of the major buildings in the historic part of Moscow. The book is lavishly illustrated with photographs, drawings and plans, and includes brief histories of all of the principal streets.
\(^{38}\) For an introductory essay on the history of this area See Makerevich et al - *Pamiatniki Arkhitekturi Moskvi - Belie Gorod* - Moskva Isskustvo - 1989 - p11 -35
\(^{39}\) See Posokhin, Makareivich et al - *Pamiatniki Arkhitekturi Moskvi - Zemlianie Gorod* - Moskva Iskusstvo 1989 - p23
ПЛАНЪ МОСКВЫ
въ 1865 году.
ЧАСТИ ГОРОДА:
I Кремль
II Городская
III Тверская
IV Мясницкая
V Покровская
VI Ярославская
VII Арбатская
VIII Пречистенская
IX Пресненская
X Хамовничья
XI Сухаревская
XII Сретенская
XIII Бульварная
XIV Никольская
XV Басманная
XVI Рогожская
XVII Дерптская
FIG 17
century of what were called "urban garden - estates", relatively prestigious neo classical mansions sitting in an enclosed garden. (See fig 18) The new plan however began to fragment the enclosure character of these areas, not only with the construction of boulevards but in many cases in the change of use from that of the unified mansion with outhouse, to shops, workshops and even apartments. 40 Two of the greatest testaments to the transition to capitalism also date from this era. In 1836, Moscow's first stock exchange is built, much of it out of cast iron, and in the 1840s the first four and five storey workers' barracks were built in the Belie Gorod.
From the 1860s onwards these inner city areas increasingly boasted cheaper housing, further evidence to the emerging importance of Moscow as a trading and industrial centre, and consequently of new classes of merchants and smaller owners of property. 41 By the mid century Moscow was commonly acknowledged as the 'merchant capital of Russia'. The social division of space thus takes on a markedly different character, displaying the remnants of the old city with the origins of a new class structure and a new set of spatial relationships summarised by the poet P.A. Vyazemski;
"Here next to the nobleman's mansion
Squats the wretched hovel with its cabbage plot.
Side by side the bard makes verses and the merchant - bargains,
As Manchester assaults Constantinople,
The smoke and stench and clang of engines,
The idlers' paradise, the workers' hell ..." 42
new social programmes for architects
The transformation of social and political life that had occurred in both St Petersburg and in Moscow, following the abolition of serfdom had also resulted in the loosening of centralised state control over architectural activity. This had set a whole new agenda for architects and artists, many of whom were faced with the prospect of patronage from a nascent capitalist class, a class growing in confidence, prosperous and eager to rival the old order. This not only finds an expression in the populist sentiments of the Russianess of both the Eclectic and the Moderne but in the work profile of architects themselves. K. Ton (1794-1881), the architect for the 'eclectic' Grand Kremlin Palace (completed in 1849), and the Church of Christ the Saviour (completed in 1854 and destroyed by Stalin), was also involved in the design of
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40 Makerevich et al - Pamiatniki Arkhitekturi Mosckvi - Belie Gorod - Moskva Isskustvo - 1989 - p32-35
41 ibid p26
42 Quoted in Kirichenko, E - Moskva - Pamiatiniki arkhitekturi 1830 - 1910 godov - Moskva -1977 - p30
The garden estates of the historic core of Moscow
Top-Late 18th early 19th century Below-Gagarin garden estate.Early 19th century
railways stations and town houses. 43 (See fig 19) Other prominent architects of the nineteenth century were confronted by similar and new social tasks. The portfolio of Pomerantsev (1848-1918) the designer of what became known in the Soviet period as GUM (The State supermarket) on Red Square and a leading exponent of the eclectic, also included hotels, shops, museums and railway stations. One of the most prolific was Klein (1858 - 1924), who not only designed over sixty major buildings in Moscow for a similar variety of use functions but utilised virtually the whole of the architectural vocabulary - ancient Russian, mediaeval, the gothic in the famous Muir and Mereliz shop and the neo-classical in the Museum of Fine Art.
Shektel
A fitting end to the century was of course to be found in *The Russki Moderne*, headed by Feodor Shektel (1859 - 1926) the aesthetic relative of Mackintosh in Scotland, Horta in Belgium - France and Saarinen in Sweden.
Much of Shektel's and his contemporaries' work was commissioned by the new breed of merchants and industrialists who required not only residential but commercial and industrial buildings. In this respect, the problems that Shektel faced were remarkably similar to those of the grand masters of the Modern Movement. At the most general level they were confronted with the task of describing within architecture the aspirations of a new class of property owners. Modern, forward looking but at the same time very Russian. Thus Shektel, like Mosei Ginzburg and the Constructivists after him, Klein and Ton before, was confronted with the contradictions associated with the historical emergence of new class forces and new concepts of national identity.
All of Shektel's buildings play with the contradiction between that which is recognisable as lying within a distinct Russian historic tradition, the architectural language of ancient Russian myths and folklore, and that of modernism, the architectural expression of an idealised new world. It is this relationship that gives his buildings their particularity and peculiarity. The most well known of these are the Zinaida Morozova House, 1893-1896, an idiosyncratic collage of gothic, Russian and Islamic references, the Stefan Riabushinski House, 1900-1902, and the Derozhinsakaya House, 1901, all of them in Moscow. (See fig 20)
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43 For essays on Ton, Pomerantsev, Klein, and Shektel see - Kirichenko et al - *Zodchiye Moskvi* - Moskovskii Rabochi - 1981 - p243 - 300
The Grand Kremlin Palace Arch - Ton, K (1794-1881)
Shopping arcade on eastern edge of Red Square known as GUM in the soviet era (State Supermarket) Arch-Pomerantsev (1848-1918). Decorated for May Day 1988
FEODOR SHEKTEL - Architect - 1859-1926
Housing and headquarters for the bourgeoisie
Riabushinski house 1900-1902 Shektel was the acknowledged leader of the Moderne, the Russian equivalent of the art nouveau movement. The aesthetic relative of architects like Macintosh and Saarinen.
Yaroslavl railway station 1904
FEODOR SHEKTEL
Plan of the Riabushinski House, Moscow, 1900-1902
The last two houses, it has been suggested, are examples of Shektel's early experimentation with what was to become an organising design principle of the Modern Movement. That is the process of "easnutri - narushi", meaning "from the inside - outwards", or in its modern movement version form follows function. This concerns the process whereby the form of a building, such as in these houses is fundamentally conditioned by the function and spatial organisation of the interior spaces.\textsuperscript{44}
Whilst Shektel was to have little place in architectural practice after the revolution several of his contemporaries were to dominate Soviet architecture after 1917. Both the Vesnin brothers who were to be at the forefront of the Constructivist movement, Ivan Zholotvski the premiere neo-renaissance revivalist in Thirties Moscow, and Fomin the inventor of the Red Doric and Proletarian Classicism had all been trained before the revolution and had completed a number of neo classical buildings in the revival of the classical tradition in the years running up to the revolution. An important issue here is that of historical continuity between the avant garde, the 1930s and pre-revolutionary architectural activity. Just as within industry the early Soviet state had to rely on the managers and 'bourgeois specialists' who had run Russian industry before the first world war, so in the field of architecture. In the history of all attempts to redirect the process of social development along new lines, a regime cannot avoid the technological and intellectual inheritance bequeathed by a previous epoch whether it attempts to destroy, dismantle, or assimilate it. As we shall see the Soviet regime's reaction to the cultural and political inheritance of the bourgeois era was fraught with contradiction.
\textsuperscript{44} Both houses are planned around a central stairwell, and whilst the exterior treatment of the Derozhinskaia House is more subdued, the interiors of both buildings stand as monuments to the crafted sensuality immediately recognisable in the art nouveau buildings of western Europe. Complete with twisting ironwork, stained glass, mosaics, timber mouldings, and brass features, the Riabushinski house is the more contorted and gnarled of the two, whereas the Derozhinskaia house is the more complete and elegant. Here Shektel turned his design skills to every detail of the interior, from the design of the newel posts, to the furniture and to the timber wall panelling. Much of the detailing is very evocative of the work of the Scottish architect Charles Rennie Mackintosh, in the Glasgow school of Art, with whose work Shektel became familiarised during the construction of the Russian pavilions at the Glasgow Fair of 1901, pavilions which explicitly drew on the timber building traditions of the far Russian north. Following this building and his design for the Yaroslavl railway Station, another eclectic and crafted building, Shektel produced a series of buildings, such as the Utro Rossii printing office, Moscow 1907, and the Moscow Merchants' Society building, 1910 - 1911, which saw him embracing modern construction technology and a more rationalist approach to building design with less overt historical references and decorative excess. The merchants building in particular clearly expresses its reinforced concrete frame, possesses a flat roof, with gridded, repetitive and geometric elevations, broken up with large areas of vertical glazing and piers, a stark contrast to his earlier work, and in many ways a precursor of subsequent Modern Movement buildings of the 1920s. He did not however become a firm and committed adherent to the design approach of the Constructivists and Rationalists, preferring to pursue even as a member of the first post revolutionary state committee on construction his own highly eclectic and idiosyncratic idealism, perhaps best summed up by his comment that "Love conquers all. Loving art, we create a magical fairytale, giving meaning to our lives." His legacy and influence as the leader of the Russian art nouveau movement, and in his contribution to the development of not only modernism but the Russian tradition, have ensured him a lasting and prominent position in the history of 19th and early 20th century Russian architecture.
the dual character of the city
If we consider the Enlightenment to be the cultural revolution of the bourgeoisie, then it is clear that the call to reason and order should be heard in both architectural design and the scientific and technological development of building production. Similarly despite the feudal inheritance of building production many of the aspects of a modern capitalist construction industry were already established.
The last two decades of the 19th century had seen Moscow establish itself not only as an administrative and trading centre but as an industrial region with a large textile sector. Its population had risen from 350,000 in 1848, to 1,171,700 in 1902, almost reaching 2 million by 1917, taking its place as one of the largest metropolises in the world alongside New York, London, Paris and Berlin\(^1\). It was of course unlike these cities not least because of the fact that out of the 1.1 million living in the city at the turn of the twentieth century 789,000 are estimated to have been peasants entering the urban world for the first time, over a quarter of whom were between the ages of twenty and twenty nine.\(^2\) Nevertheless Moscow in 1900 still possessed many of the ingredients of a modern metropolis not only because of the 77,000 workers labouring in the seven hundred metal, textile and brick workshops and factories, but because in 1899 the first electric street lamps and trams appeared.\(^3\) (See fig 21)
In terms of plan and building it portrayed many of the same features of other cities still dominated by the contradiction between the legacy of 'organic' mediaeval concepts of form and space and those of the 'planned and rational' enlightenment. These dual features were also manifest in the building industry. Despite the use since 1880 of reinforced concrete for piping and railway construction, and the widespread use of metals, in 1913 on-site building construction was still largely based on labour-intensive methods rooted in traditional handicraft production with many building workers organised in *artels*. Nevertheless the formation of capital in the previous two decades had accelerated, indicated by the operations of thirty large Russian and Foreign Joint Stock Companies, *aktzionerniye obshestvo* and over 450 large construction firms\(^4\). The central feature of this transition is of course the formation of capital and the transformation of the serf into the wage worker, and it is to this that we turn next, to the people who built Moscow.
---
1 Trifinov, A.A - *Formirovanie nacelenie Moskvi v dorevolutzionnie period* - Russki gorod - Volume 7 - 1984 - p 194-195
2 ibid 196-197
3 Istoria, Moskvi - Nauka - Moskva - 1980 - p 139-159
4 Zvorikin, D.H, - *Razvitia stroitelnovo proizvodtza v SSSR* - Moskva stroizdat - 1987 - p 97-98 see also Zvorikin,D.H, - *Razvitia proektnovo dela v SSSP*--Moskva stroizdat - 1984 (The development of building production in the Soviet Union, and The development of design activity in the USSR, respectively)
The transformation of Moscow into a world metropolis - 1903
Two views of Tverskaya Street (in Soviet times known as Gorky street)
Vagabonds
Whilst the detailed mechanics of the transition from feudalism to capitalism are spatially and nationally variable, the process that sees the peasant separated from the land, transformed first into semi proletarians and then wage workers, finds parallels "in almost every region of the world"5. The descriptions of wandering 'vagabonds' made landless by the enclosures that concentrated land ownership in Britain finds its expression at some point in the history of every nation. The explosion of shanty towns throughout Latin America, is precisely due to the capitalist transformation of agriculture that sees peasants deprived of the means of subsistence and unable to find work in an increasingly mechanised agrarian economy. A large proportion of the inhabitants of the favellas that surround Rio De Janeiro and Sao Paulo are landless peasants from the north east, migrating partly due to drought and the lure of the big city, but more to do with the patterns of concentrated private landownership. Furthermore, albeit at a different scale it is a process which is still continuing in Northern Europe, not least within the Highlands and Islands of Scotland where the consequences of the clearances of crofters from the land to make way for sheep farming in the 18th and 19th century are still being felt.6 It appears almost as an iron law of capital that it must destroy all relations that are hangovers form different ways of organising life. The crofter, the peasant, and the journeyman, cannot escape the diffusion of the commodity form. Equally, just as they are required to renounce previous social rituals and customs that belong to these old human relations, so any individual or group that attempts to live outside the law of the commodity form becomes demonised and marginalised. Thus the vagabonds and beggars of the time of Henry VII and VIII are historically connected with the contemporary Hippy, Punk and New Age Traveller, and were treated by the dominant powers in much the same way. (See fig 22)
Class differentiation amongst the peasantry was of course a major factor in the fate of these newly dispossessed masses. The armies of "roaming vagabonds "that appeared in 17th century France and Germany, mostly comprised the poorest peasants, who not only had been evicted from the land, but with the introduction of guild restrictions in the cities by new artisans who often came from the ranks of wealthier peasants, were prevented from gaining access to employment. Similar stories are to be found following the introduction of an enclosure system similar to the English type in 18th century Sweden, Denmark and Schleswig.
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5 Dobb, Maurice - *Studies in the development of capitalism* - Routledge- London -1981 p253
6 The indigenous populations are still unable to eke a living out of crofts that are diminishing in size, and are frequently unable to gain access to the local housing market
vagabonds, marginals and migrant building workers
In the Baltic States under Tsarist rule in the post reform period, peasants were simply dispossessed of the land, a process that constituted them very much as a landless proletariat.\(^8\) What we are witnessing here is not only the capitalist transformation of agriculture, but the beginnings of the commodification of space itself, a process that becomes progressively more intensive as capitalism develops.
The slow proletarianisation of peasants is one of the great untold human stories. Back in Russia it has a particular resonance not least because it was only in the 1960s that the number of urban dwellers surpassed those living in predominantly agrarian circumstances.\(^9\) It is generally felt that one of the biggest catalysts in the transition to capitalism were the reforms of Alexander II which formally emancipated the serfs, introduced limited local self government, and instituted changes within the legal system. There is every reason to argue however that these reforms were introduced as a result of a protracted period of class struggle within Russia epitomised by the peasant wars and by the Decembrist uprising amongst the nobility in which the desire for serf emancipation and a constitution had been articulated. The introduction of reforms was also due to the genuine fear amongst the ruling class of the revolutionary wave sweeping Europe that had been sparked by the French revolution and culminated in the insurrections of 1848.
**Capitalism in the countryside**
Throughout the eighteenth century the centralisation and concentration of political and economic power in the hands of the autocracy intensified at the time when it was being ameliorated in the west. A combination of seigniorial duties and a draconian passport system kept the peasantry landlocked and tied to the estate. This however began to change with the introduction of the *obrok* system whereby rent in the form of labour services could be transmuted into monetary rents, enabling serfs to seek employment as hired workers in other estates, in one of the new manufactories, or as we shall see in the building industry.
Following the reforms of the 1860s, serfs were permitted to retain land, although they were required to pay redemption fees to former serf owners. The land controlled by such serfs progressively decreased in size, resulting in peasant holdings that could not yield enough to support the communes. This increasingly vulnerable part of the poor peasantry Lenin labelled
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7 Dobb op cit p240
8 Dobb op cit p241
9 Vaskina, L, I - *K izucheniu chislenost gorodov i gorodskovo nacilenia SSSR* - in Russki Gorod (Russian town) - Volume 1 - 1976 (A study in the number of towns and the urban population in the USSR)
allotment holding wage workers, workers who were forced to sell their labour power to owners of other estates or often to contractors in the building industry.\textsuperscript{10} The landowners' transition from corvee to capitalist economy, whilst an uneven process, had by the late 1880s been completed in the majority of the gubernias the European part of Russia\textsuperscript{11}. The increased concentration of capital in production, of capitalist co-operation and competition combined with machinery within agriculture had signalled the death knell for a feudal agrarian system in the west of Russia.
Construction labour has a special place in this story not least because of the seasonal nature of building work in Russia and the migratory character of labour itself. Even though by the end of the eighteenth century in St Petersburg, there were a considerable number of resident bricklayers and masons,\textsuperscript{12} artisan labour largely responsible for the construction of the Petrine architectural monuments from this era, the overwhelming majority of building workers right up until the 1920s were \textit{otkhodniki}, seasonal workers from peasant backgrounds who would migrate into the cities and towns for the building season in the summer months. As semi-proletarians, \textit{otkhodniki} were prevalent in many branches of early capitalist manufacture and light industry. It is not until the 1930s that we can really speak of an established working class in the building industry, and this was to be very short lived as it became decimated by war and repression in the years that followed. The greatest impetus in the proletarianisation of building workers was to be the wholesale industrialisation of building production in the 1950s.
\textbf{otkhodniki migrants}
If on site building production was to retain its essentially transitional character right up to the end of the century, there were nevertheless indications of important changes taking place especially in the production of building materials. It is in the latter half of the 18th century that the seeds of capitalist production began to take root. By 1760 light industrial enterprises had increased by a factor of 18 times that of 1730. This happens not only in the textile industry but in brick production, a branch of early manufacturing which by 1770 was attracting peasants from the Tula, Kostrom, Kalushskaya and Moscow regions.\textsuperscript{13} By as early as 1785 it is estimated that there were seventy five brick manufactories in the Moscow area.
\begin{itemize}
\item \textsuperscript{10} Lenin, V.I - \textit{The development of capitalism in Russia} - Progress-Moscow- 1977 - Collected works - Volume III - p177
\item \textsuperscript{11} ibid p197
\item \textsuperscript{12} ibid p239
\item \textsuperscript{13} Prokorov, M, F, - \textit{Otkhodichestvo krestian v Moskvu v tretie chetvortie XVIII veka} - Russki Gorod - Volume 7 - 1984 - p 153 - 155 (Migrant workers in Moscow in the third quarter of the 18th century)
\end{itemize}
and region. These peasant building workers began to enter into contracts to supply amongst other things bricks to Moscow house building agents, in the construction boom that followed 1760, a period in which we have noted that many of the "urban garden estates" of the nobility in the historic centre of Moscow were constructed. It was from the ranks of the more well to do peasants from the same regions that contractors emerged to co-ordinate the flow of bricklayers, painters, plasterers and carpenters. The migration into Moscow, that had followed the Moscow peasant uprising of 1771 and the peasant wars of 1773 - 1775, had reached massive proportions at the close of the 18th century. From Yaroslav and Kostrom alone it is estimated that up to 65,000 and 75,000 peasants respectively, many of them women had entered into the Moscow area, amongst whom building workers were the second largest group. Given that the population of Moscow city in 1790 was only 175,000, the impression given is of a whole nation on the move.
labour on the move in the nineteenth century
In the second building boom that followed the great fire and the classical revival literally swarms of building workers descended upon Moscow. Many of these were skilled craftsmen who would have been responsible for the construction of not only the mansions in the Zemliyani and Beliye Gorods, but the new commercial buildings and small town houses. In these years from the Kostrom district, over eleven thousand building workers left for Moscow and St Petersburg, an estimated 18.5% of all otkhodniki. Throughout the 1850s from the Vladimir region renowned for its skilled construction workers 30,500 carpenters and 15,000 bricklayers descended on Moscow, many of them becoming permanent residents and eventually members of the urban proletariat. (See fig 23) Well off peasants from the same villages increasingly organised themselves in artels with anything up to 100 members. They were able to take on increasingly large contracts, that necessitated some of them taking on the role of foremen, many of whom subsequently became contractors. Slowly but surely artisan forms of building activity in which 'artel' members would have owned their own means of production began to compete with the first large capitalist construction organisations in which the principle means of production became privately owned and to whom incoming
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14 Prokhorov, M, F, - Vedomosti k mesheevim atlasam po istorii promishlennosti i torgovli v gorodax Podmoskovyiya v srediniye 80 ix godov 18 ovo veka - p71-73
15 ibid p164 - 5
16 ibid p170
17 Fedorov, V, A, - Krestian otkhodnik v Moskve - Russkie Gorod - Volume 1 - 1976- p166 (Peasant migrants in Moscow)
18 Trifinov,A,A-Formirovanie nacelenie Moskvi v dorevolutzionnie period - Russki gorod - Volume 7 - 1984 - p194
19 Fedorov, V, A, - Krestian otkhodnik v Moskve - Russkie Gorod - Volume 1 - 1976
20 ibid p177
The Moscow region at the turn of the eighteenth century
FIG 23
'propertyless' peasants were to sell their labour power. In this transitional period between modes of production, we see mixed forms of property and co-existent different social forms of labour. The long term tendency in the changes in the social form of labour in the building industry that points towards the generalised commodification of labour power, develops hand in hand with the changes in land use, building type and urban design, the first steps in the commodification of the built environment which the capitalist revolution accelerates but which has its genesis as noted away from the big settlements.
**Free labourers on the railways**
For the poor unskilled peasants without any capital and unable to join *artels*, life in the building industry was rather different. These are the real 'free labourers' of Marx. Unlike the artisan, these workers possessed neither objects nor instruments, nothing but their labour power. They could find themselves moving earth in one of the large infrastructural projects, of which the biggest was the Moscow to St Petersburg railway begun in 1843 and finished in 1851.\(^{21}\) This represented a massive concentration of wage labour, with an estimated 49,000 *otkhodniki* working in 1850 on the southern part of the railway line alone\(^{22}\). That the railways were central to the development of capitalism hardly needs reiterating. Politically, within Russia, USA, India and Africa, they were vital in helping to secure the territorial acquisitions that came with imperial expansion. Economically they were crucial, not only for transporting freight and passengers, but as a sponge for capital investment and therefore as a pivot in the process of accumulation. This had two aspects, first the production of pig iron and then steel, and second in the profits that could be made through the exploitation of labour. In Russia this is revealed in the formation of large scale Joint Stock Companies, some of them with foreign capital, and in the employment of colossal numbers of workers in construction, that it was estimated had reached a quarter of a million in 1890.\(^{23}\)
Railways are pivotal not only in the formation of a working class but also as a catalyst in the development of science and technology within the building industry. This received one of its biggest boosts in the construction of the St Petersburg Alexandrovski Iron foundry, a massive factory that not only produced metal building components for the Winter palace and the Cupola Dome for St Isaac's cathedral, but from which was produced the first Russian made
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\(^{21}\) Kazantzev, B, N., *Rabochie Moskvi i Moskovskie Guberniye v seredinie XIX veka* - Nauka - Moskva - 1976 - p94-5
\(^{22}\) ibid p96
\(^{23}\) Kromov, P, A - *Ekonomicheski razvitia rossii v XIX - XX vekax* - Gosudarstvennoye Izdalestvo. - Moskva -1950 - p206-210 and 338-340
steam engine.\textsuperscript{24} It was also on the Moscow St Petersburg railway that the first steam driven earth mover makes its appearance in Russia.\textsuperscript{25}
If these labourers were not to be found working on building sites and infrastructural projects they were very likely to be found in the lumber industry, at the bottom of the social hierarchy of labour. Lenin considered these lumber workers to be one of the biggest sections of the "rural proletariat"\textsuperscript{26} estimating that there could have been anything up to two million peasants involved in the lumber industry\textsuperscript{27}. He argued that whereas "the lumber industry leaves the producer a peasant; the coal industry transforms him into a factory hand."\textsuperscript{28} In this sense the alienation of peasants in the timber industry like that of those working on infrastructural projects was doubly compounded. They in effect got the worst of both worlds. "The lumber industry leaves all the old patriarchal way of life practically intact, enmeshed in the worst forms of bondage, the workers are left to toil in the remote forest depths where their ignorance, defencelessness and isolation, is taken advantage of."\textsuperscript{29}
\textbf{a working class emerges}
The numbers of peasants entering into the building industry, selling their labour power as a commodity, grew larger and larger as did the number of contractors hiring migrant labour. The spatial mobility of labour makes it difficult to fix the exact number but it was reckoned that in the European part of Russia there was not less than one million building workers by the end of the 1870s.\textsuperscript{30} Other sources suggest that as a category of the proletariat construction workers in 1860 numbered 350,000, this had grown to 700,000 by 1880, a million by 1890 and by the turn of the century was estimated at 1.4 million.\textsuperscript{31}
Kautsky and the Menshiviks, Axelrod and Dan had argued that the conditions were not available in Russia for a proletarian social revolution to be successful, citing amongst other things the weak position of the working class. Whilst there is a danger in over estimating the scale of the process of proletarianisation in a country still overwhelmingly agrarian in character, these brief notes would seem to indicate that not only had there been considerable
\begin{itemize}
\item \textsuperscript{24} Zvorikin, D,H, - \textit{Razvitia proektnovo dela v sssp} - Moskva stroizdat - 1984 - p94
\item \textsuperscript{25} Zvorikin, D,H, - \textit{Razvitia stroitelnovvo proizvodztva v SSSR} - Moskva stroizdat - 1987 - p86
\item \textsuperscript{26} Lenin, V, I, - \textit{The development of capitalism in Russia} - Progress 1977 - Collected works - Volume III - p528
\item \textsuperscript{27} ibid p527
\item \textsuperscript{28} ibid p529
\item \textsuperscript{29} ibid p529
\item \textsuperscript{30} ibid p533
\item \textsuperscript{31} Kromov et al - \textit{Istoria rabochevo klassa SSSR} - Nauka Moskva 1983 - p203
\end{itemize}
leaps forward in the development of the productive forces, but that out of the peasantry had emerged a fledgling working class within the building industry, and from the merchants, artisans and the ranks of the more prosperous peasants had emerged a class of contractors. Whilst this was far from generalised, the industrial revolution was well underway by the end of the 19th century and was to accelerate still further in the following 15 years\(^{32}\). More importantly the socialisation of workers was far more widespread than we might like to think. A million plus semi-proletarian building workers many of whom had a strong sense of collective solidarity inherited not only from the village communes but from the collective character of *artel* organisation and from being concentrated in such large numbers in the big building projects, were a ripe army. As Hobsbawm reminds us no misinterpretation of Marx is more grotesque than the one that suggests that he expected a revolution exclusively from the advanced industrial countries of the west.\(^{33}\) He also points out that many of Marx's views were inclined towards the position of the Narodniks who believed that the Russian village could be the foundation for the transition to socialism, a thesis that led them into a confrontation with Lenin.
**class confrontation**
One of the clearest signals of the emergence of wage labour is the development of political organisations amongst the working class and of the strike movement. Whilst building workers were not as organised as textile or metal workers, they nevertheless figure prominently in labour history. These notes are of far more than historical interest, because they clearly show the development of a class consciousness amongst building workers that led many of them to support the revolution. It also indicates the depth of betrayal that many subsequently felt during the years of NEP.
Railway construction workers in Siberia, bricklayers building the Kronstadt docks and workers in the St Petersburg brick factories were all to go on strike during the seventies, a decade in which nineteen strikes were reported in the building industry mainly concerning wage disagreements.\(^{34}\) This culminated in 1878 in what according to the police reports was an orchestrated and simultaneous strike movement involving several hundred workers in four
---
\(^{32}\) Solovieva, A, M. - *Promishlenaya revolutsia v Rossia XIX beka.* - Nauka - Moskva - 1990. A detailed statistical analysis of the development of industry, that unfortunately excludes construction.
\(^{33}\) Hobsbawm, Eric - *Introduction* - in Marx, Karl - *Pre capitalist economic formations* - Lawrence and Wishart - 1978 - p49-51
\(^{34}\) Korolchuk, E, A. - *Robochie dvishenie semideciatik godov* - Moskva - 1939 - p12, 17, 23, 114, 123, 151-156 (Workers movements in the 1870's)
St Petersburg brick factories. The largest confrontation occurred in 1875 when eight hundred workers on the construction of the Orenburg railway went on strike over wage reductions.\textsuperscript{35}
Apart from two reported strikes during 1883 due to poor working conditions in a cement factory and in the construction of a canal, the records would appear to indicate the construction industry as being relatively conflict free in the early eighties\textsuperscript{36}. The early 1890s were another matter with reports of strikes all over the place. Bricklayers on site, workers in Moscow and St Petersburg brick factories, sewer builders, canal construction workers, labourers all along the Siberian railway, cement factory workers, and joiners are all documented as having walked off the job mainly in disputes over wages and working conditions.\textsuperscript{37}
The frequent arrest of leaders did not deter workers from striking again, such as in 1899 when 4-5,000 workers in fifty Moscow brick factories went on strike for a wage increase.\textsuperscript{38} Their demands were refused on the basis that they had acted "vney zakona", outside of the law. Equally outside of the law, was the fact that in 1900, there were still no laws on the protection of labour. In St Petersburg alone it was estimated that 2,500 youths under the age of 15 were working a 15-16 hour day living with another 3,500 older building workers in barracks and lofts.\textsuperscript{39} By the turn of the twentieth century, the working class found itself concentrated in tremendous numbers confronted by and frequently in conflict with a bourgeoisie standing between the masses and the autocracy. Fuelled by its own sense of vulnerability, the bourgeoisie was particularly reactionary in character, a class described by Trotsky as "isolated from the people, half foreign, without historical traditions, and inspired only by the greed for gain."\textsuperscript{40}
When in 1903, 200 carpenters and 300 stonemasons were shot upon and whipped in Elisavertade in the Ukraine, the pattern was set for future developments, not only in terms of repression but in the fact that some of the "kustari"\textsuperscript{41} and other workers in an expression of solidarity joined the building workers in their protest.\textsuperscript{42} Workers were being shown that
\begin{itemize}
\item \textsuperscript{35} Bogdanov,N, et al - Kratkaya Istoria Soyuz Stroiteli- TK - USSR - Moskva-1927- p4 (A short history of the union of construction workers)
\item \textsuperscript{36} Robochie Dvishenie v Rossii v XIX veka - Tom II - Chast vtoraya - 1875 -1884 - Politicheskovo literatura - 1950 -p521, 539 (The workers' movement in Russia in the nineteenth century)
\item \textsuperscript{37} See Robochie Dvishenie v Rossii v XIX veka - Tom III - Chast vtoraya - 1890 -1894 - Politicheskovo literatura - 1950 - numerous entries p22, 31, 44, 215, 289, 296, 351, 493, 520, 532.
\item \textsuperscript{38} Bogdanov, N,-Kratkaya Istoria op.cit p.5
\item \textsuperscript{39} Boev, B -Stroiteli v revolutzia - Slavnje iubeli Sovietskik profsoyuz - Moscow -1958 -p180 (Builders in the revolution)
\item \textsuperscript{40} Trotsky, Leon - The Permanent revolution - Pathfinder - New York - 1986 - p51
\item \textsuperscript{41} Kustari were similar to the British Guilds, that is craft based building organisations
\item \textsuperscript{42} Bogdanov,N-Kratkaya Istoria op.cit p6-7
\end{itemize}
they would be met not only by the full weight of Tsarist law, but also by physical violence, an omen of what was to happen in 1905.
In the revolution of 1905\(^{43}\), bricklayers, cementworkers, carpenters, painters, stonemasons and other building workers all participated in the strike movement which at its height involved nearly three million workers in all sectors of the economy, with a third of strikes raising directly political demands.\(^{44}\) Construction workers joined the strike movements in Moscow (where several became members of the Soviet), St Petersburg, Temin Khan Shure, Saratov, Odessa, Simferopol, and Novopossisski. In Novopossisski, cement workers linked with railway and other workers to organise a Soviet of Workers and Peasants Deputies that was to stay in power for two months and eight days.\(^{45}\)
**a united building workers' union**
Whereas at this stage building workers were organised around craft based unions such as painters, and stucco workers,\(^{46}\) of which it is estimated that in 1907 there were forty three with over twelve thousand members\(^{47}\), by 1906 the call for a united building workers' union began to spread across Russia. By the end of July workers had actually succeeded in acquiring legal status only to see it subsequently withdrawn, although they continued to meet illegally. Two years later as the era of reaction tightened its grip, all of the fledgling trade union branches in Moscow, St Petersburg and Saratov had been closed. By 1910, the number of workers involved in strike activity had dropped to a sixtieth of that of 1905.\(^{48}\)
Nevertheless the formulation of a declaration of intent by delegates at a Moscow Conference of building workers on the 23rd of January 1907 had left its imprint on the labour movement, many of its demands being destined to resurface in 1917. Its principal demands were as follows: a united union, a library and lecture programme, an eight hour day, wages to be determined locally by trade unions on a time basis, to continue the struggle against the exploitation of seasonal workers and the undercutting practices of "artels" willing to work on
---
\(^{43}\) For a detailed analysis of the organised workers movement in English see **Bonnell, Victoria** - *Roots of Rebellion* - *Workers politics and Organisations in St petersburg and Moscow, 1900 - 1914* - University of California - 1983 and **Smith, S,A** - *Red Petrograd. Revolution in the factories. 1917-1918* - CUP -1986
\(^{44}\) **Bolshakov, A, M, Roshkov, N, A** - *Istoria khoziastvo Rossii v materialax i dokumentax - 1905-1925* - Moskva 1926 - p93 - (Economic history of Russia in materials and documents)
\(^{45}\) **Bogdanov,N**- *Kratkaya Istoria* op.cit p 9,10,11
\(^{46}\) See **Sindeyev, S** -*Professionalnie Dvishenie Rabochik stroiteli v 1917* - Moskva- 1927 (The construction workers trade union movement)
\(^{47}\) **Bolshakov, A, M, Roshkov, N, A** - *Istoria khoziastvo Rossii v materialax i dokumentax - 1905-1925* - Moskva 1926 - p100
\(^{48}\) ibid p93
piece rates, the replacement of food by money wages, a state insurance scheme, training schools, and overtime only to be allowed where there was no unemployment.\textsuperscript{49}
The demands at this point were still of a typical trade union character, but during the period from 1914 to 1917 more directly political issues to do with the ownership and control of production were to be added to the list.
In Moscow on the 31st August 1914, the Society of Architectural and Construction Workers of the Moscow Industrial region was formed. Its expansion over the next three years was to be hampered by the semi-proletarian nature of building workers, conscription for the war, the arrest of activists and attempts to shut the Union down.
During this period the Bolsheviks, who had assumed the leadership of the Union, were quick to erect the rallying slogan - \textit{doloi gnet} - 'down with oppression', and despite resistance had by July 1917 expanded its membership to 10,000.\textsuperscript{50} These heady months were further complicated by the rise of unemployment, largely due to soldiers returning from the war front willing to work for lower wages. This prompted the creation of a Labour Bureau and law office to deal with the unemployed as well as the creation of a private contractors organisation to fight the workers union.\textsuperscript{51}
The turning point for building workers as in other industrial sectors occurred in the summer months of 1917 which saw a dramatic rise in workers' unrest on building sites. Between May and October, St Petersburg experienced fifty strikes by building workers.\textsuperscript{52} Meanwhile in Moscow, strike funds had been set up and a wage demand sent to all contractors along with instructions to building workers to refer all disputes to the Union.\textsuperscript{53} The Union in Moscow was comparatively strong and well prepared to meet the inevitable refusal of their demands by building employers. Following a series of conflicts on Moscow building sites and brick factories, the Union eventually called a Moscow-wide strike that was to continue throughout September with the participation of twelve thousand building industry workers. In all from April to November in the Moscow region alone twenty one thousand building workers took part in strike action.\textsuperscript{54} Furthermore the "mini general strike" was to end in victory for the
\begin{itemize}
\item[49] Bogdanov,N -Kratkaya Istorya op.cit p14-16
\item[50] Boev,B-Stroitelni v Revolutzia op.cit p183
\item[51] Sindeyev,S-Professionalnie Dvishenie op.cit p13
\item[52] Boev,B-Stroitelni v Revolutzia op.cit p184
\item[53] Sindeyev,S--Professionalnie Dvishenie op.cit p15-21
\item[54] ibid p30
\end{itemize}
workers. With a strike fund of five thousand roubles, the Moscow workers appealed to peasants and out-of-town workers not to enter Moscow, as contractors began to organise strike breakers. Despite the attempt by contractors to bypass the courts and approach the administrators of factories and sites demanding lists of activists and issuing threats to have workers sent to the war front, the then Moscow Commissar for Labour proposed a court of arbitration which eventually adjudicated in favour of the workers.
Whilst these strikes were primarily concerned with "economic issues" such as wages, rates, and hours, the often unprincipled behaviour of some contractors undoubtedly contributed to the politicisation of workers. Contractors such as Yakobi and Vinogradoff who would hire workers at Rubles 5.5 per day but pay them only Rubles 4.5, agreeing to pay the hired rate but only on condition that workers dismantled their committees and broke links with the Union. Such actions increased demands for workers' control within the building industry and one source suggests that over a third of the strikes in 1917 had this as one of their objectives.\(^{55}\)
**building workers in the revolution**
By the end of 1916 Russia had become irrevocably polarised between a deeply repressive autocratic regime in alliance with a reactionary class of capitalists and landowners, and a propertyless impoverished mass of workers and peasants. An antagonistic situation had been created where the essential pre-conditions for the reproduction of working class and peasant life could no longer be guaranteed. This ensured the breakdown of any widespread social contract between the rulers and the ruled that had first exploded in the Russian Revolution of 1905 and was to ignite again in the February and October of 1917. In the days of October, many building workers were to join the red guard. Others scattered, some such as the Union of Plumbers joined the Mensheviks and many simply returned to the countryside as the building season had ended.
With these conditions exacerbated by the First World War Russia was plunged into a deepening crisis. Under their leadership, the Bolsheviks believed this could only be resolved by the replacement of the Tsar and the State Duma, (the parliament founded after 1905), with a form of government that declared the mass of workers, peasants, and soldiers, through their representatives in the Soviets (councils) as the new ruling class in Russia.
\(^{55}\) Koenker, Diane - *Moscow Workers and the 1917 Revolution* - Princeton - 1981-p311-322
However, they were inheriting a country which was hungry, decimated by war, and industrially underdeveloped. Nevertheless, the revolutionary government forged ahead in their plan to change the structure of Russian society and began to advocate long-term programmes for future social and economic development which included the nationalisation of land, the creation of a socialised construction sector and the taking into social ownership of banks and factories. This helped plunge the Bolshevik government into civil war not only against forces opposed to the revolution within Russia, but against the Western Imperialist countries who were panic stricken at the Bolshevik desire to spread the proletarian revolution throughout Europe.
However throughout this period of what became known as *war communism*, the Union continued to meet. In Samara from the 12th-15th May 1918, a conference of the All Russian Union of Construction Workers was held that sought amongst other things to further unite the disparate smaller unions and groups of building workers into one organisation. The proceedings of the conference were published in the new journal "Stroitel" (Builder). The declarations indicate the transcendence of traditional trade union politics. The paper explicitly called for the nationalisation of the key branches of industry including construction. More importantly it called on workers to think beyond issues of wages to questions of a more general economic and organisational character. In particular strong demands were made for the introduction according to the decree of November 14th 1917 of *workers' control of production*, in all construction enterprises employing more than thirty employees. Additional demands for the introduction of an eight hour day and time based wages were accompanied by a polemic against the "artels", a demand for the liquidation of private contractors and for the socialisation of the building industry where all of its branches would be brought under the organs of "socialist state power".\(^{56}\)
At its first congress in January 1919, the Union consolidated the preparatory work of the previous years conference and set about building up its membership, that in Moscow during the course of 1917 had expanded from ten to twenty three thousand but had fallen back to around ten thousand during the civil war.\(^{57}\)
This excursion into labour history is important for several reasons. Firstly it shows that at the beginning of the introduction of NEP, an organised and politically conscious working class
---
\(^{56}\) *Stroitel* - No 2 - May 1918 - p1-15
\(^{57}\) Sindeyev,S- Professionalnie Dvishenie -op.cit p39
had begun to emerge in the building industry, which led by Shalkov, Bogdanov and other Bolsheviks had already begun to formulate a clear set of political and economic demands.
Much of what subsequently occurred in the 1920s was justified on the grounds of the immediate necessity of raising productivity which in 1920 had stood at a quarter of its pre-war level. But the long term fate of the revolution rested not only on recommencing industrial production but on maintaining the political authority of the working class. This was progressively undermined by a series of contradictions within the construction labour process. These concerned the social composition of the labour force, labour organisation, wages, organisational structure and management, and underpinning all of these, fundamental questions to do with workers' control and the character of social ownership.
CHAPTER 2
THE ORIGINS OF IDEOLOGY LIE IN THE UNITY OF OPPOSITES
Fragments of true stories
1934
Ludmilla gazed with astonishment as the workers pushed the architect into a wheelbarrow and carted him off site. She had heard stories of how in the revolution of 1917 the carting off ceremony and had been the ritual by which workers literally threw the factory mangers out of the building. But this was all rather different. There had been a heated argument between state officials and the architects on one side and the building workers on the other. Many of the rank and file workers still felt sympathetic to the Left Opposition and Lev Davidovich who had been such a popular speaker in previous years at the Building Workers Trade Union Congress in Moscow. The argument had started when the visiting authorities declared themselves to be supporters of Stalin and had started to issue barbed warnings to angry workers who had objected to the productivity increases being demanded.
Everyone had laughed as the ridiculed officials brushed down their suits at the edge of the site, but Ludmilla felt sure that their actions would have far from amusing consequences. There were stories circulating of people being arrested for what were called 'anti-soviet' activity. She was frightened not least because she was determined not to jeopardise her newly won position as a painter and decorator. Ten years before she had tried to read some of Kollantia's articles and although she did not understand everything, she liked the talk of how life for women would be completely different under socialism. In any case it seemed to her that the dispute was more a case of boys toughing it out.
They were building a block of flats not far from the Moscow river. It was designed by a man called Golosov, and was dominated by a triumphal arched entrance, flanked by statues of armed workers. Sitting high on the scaffold it struck her how different the shapes of the constructions were, compared with those she had seen in street demonstrations and in pictures at one of the new public art exhibitions a few years before. There she had seen paintings by women that were colourful and dynamic if a little bit odd and she had liked the images of shiny metal buildings. She thought that the front wall that she was painting was rather disappointing in comparison, too solid, and too sad, but she was happy working alongside her two close friends Katiya and Ira.
Nowhere is the dialectic of history so acutely expressed as in the political and cultural inheritance of Russian society in 1917. Whilst industrially underdeveloped and with a small working class, it was as ripe as any country could have been for revolution. As we have seen, questions concerning the future of democracy in Russia, the character of political revolutions, the organisation of work and of the role of art had all been rehearsed in the preceding seventy years of turmoil.
The nineteenth century had been dominated by the clash between revolutionary and reactionary traditions, between the memories of autocratic despotism, absolutist tyranny and those of popular revolt and peasant rebellions. What we see in Russian social life throughout the nineteen twenties and early thirties is the unfolding at another level of complexity, of similar contradictions concerning political democracy, the labour process, and culture. This is why we should dispense with any ideal notion of the avant-garde and understand it as a deeply contradictory movement produced out of the collision between interdependent but antagonistic tendencies that were deeply rooted in the 19th century political and philosophical traditions of the Enlightenment. In this sense we are left to confront as much the transition from feudalism, Herzen and Dostoevsky, as the passage to socialism, Lenin and Mayakovsky.
It is only through a montage that throws together the films of Eisenstein, with the books of Bulgakov, the polemic of Trotsky, the paintings of Malevic, the architecture of Melnikov, and the memories of workers and revolutionaries, that we can begin to capture the tremors and vibrations, madness and optimism which had shaken all deeply held beliefs and dismembered bodies and lives. (See fig 24)
As we have seen this had happened in the midst of an historic collision between the remnants of feudalism, the bastions of capitalism and the embryos of socialism. The need to understand this period has assumed ever greater significance as the world becomes convulsed by contradictions that were instrumental in the development of the Russian revolution and
---
1 It is worth remembering here that the influence of cubism, dada, and futurism had already begun to grip the minds of Russian artists in the years running up to the revolution. Many of Malevic's explosive Suprematist paintings were completed in the five years before 1917. Whilst not consciously aligned with any political movement there advocacy of new techniques and new forms of representation implied a critique of the dominant Beaux Arts traditions that prevailed within the Academies and in so doing played a role in the undermining of the established order. Trotsky's essays in *Literature and Revolution* are of great importance here in giving us an insight into the debates of this time. "The October Revolution appeared to the intelligentsia, including its literary left wing, as a complete destruction of its known world, of that very world from which it broke away from time to time, for the purpose of creating new schools, and to which it invariably returned. To us on the contrary, the Revolution appeared as the embodiment of a familiar tradition, internally digested". *Trotsky, Leon - Futurism - In Literature and Revolution - Pathfinder - University of Michigan - 1971 - p131*
"Mui stroieem sotsialism" - "We are building socialism"
FIG 24
which far from being ameliorated have been transformed and intensified in the late twentieth century. As ever we should be wary in the analysis of this epoch that we do not fall foul of the construction of new romantic legends, for which this decade has proved to be the most fertile territory.
**history and revolutions**
"No social order is ever destroyed before all the productive forces for which it is sufficient have been developed, and new and superior relations of production never replace older ones before the material conditions for their existence have matured within the framework of the old society. Humankind thus inevitably sets itself only such tasks as it is able to solve, since closer examination will always show that the problem itself arises only when the material conditions for its solution are already present or at least in the course of formation"2.
Here undoubtedly inspired by the turmoil of the 1840s, Marx had summarised the whole problematic of revolutionary historical transformation. Revolutions are only catalysts in a historical process. To represent them as complete breaks with history is to idealise them. In addition, a social revolution does not guarantee the overthrow of existing structures, rather it assists in the creation of the material preconditions by which revolutionary goals can eventually be achieved. Revolutionary demands only have any real sense if they are anchored in the actual transformation of the relations and practices by which the world and knowledge of it is produced. It is this problematic that provides the backdrop to the historic distinction made by Marx and Engels between 'utopian' and 'scientific' socialism, to many of the debates of the 1920's between Lenin and the Left Communists, and to the economic arguments such as those between the advocates of the restoration of commodity relations and communists who continued to demand the abolition of money.
The revolution simply raised the possibility of new forms of social labour and social space. As such any desire for a rapid transformation of the building industry and of the production of architecture had inevitably to confront the limits that were historically set on the character of labour and the development of technology.
---
2 This quotation is taken from *Marx, Karl - Preface to the Critique of Political Economy* - Lawrence and Wishart - 1981- p21 - first published in 1859, an earlier version is to be found in *Marx, Karl - German Ideology* - Lawrence and Wishart - 1985 - p57 - written by Marx between 1845 and 1846 "History is nothing but the succession of the separate generations, each of which exploits the materials, the capital funds, the productive forces handed down to it by all preceding generations, and thus, on the one hand, continues the traditional activity in completely changed circumstances and, on the other, modifies the old circumstances with a completely changed activity."
periodisation of contradictions
Historical periodisations always run the risk of creating major ruptures in time that obscure the forces that bind together what appear to be qualitatively different epochs. However the reverse is also true, such that we fail to distinguish between periods that are demonstrably different. Similarly, within the history of the Soviet Union dilemmas occur with regards to the basis on which we make distinctions. There is for instance common agreement that the period of the New Economic Policy was an experiment in a mixed economy where plan and market rubbed shoulders, and that it was introduced, rightly or wrongly in order to raise productivity and to re-generate the economy, a period distinguished by heightened class conflict. The important question to ask however, is whether the contradictions that re-emerged during NEP were resolved during the first and second five year plans (1929-1932), (1933-1937), or were consolidated and transferred to a higher level. There is every evidence to show that the later was the case. There was not so much a complete break between the NEP and the first five year plan as a minor fracture that acts more in the way of a catalyst in an ongoing historical process. Nothing contradicts a materialist theory of history more than to surgically remove one epoch from history and hold it up to the light as an isolated symbol of what might have been. In many ways the experience of the NEP is insignificant compared with what followed, except as we shall see later it was viewed with much 'disconnected' nostalgia by the architects of the Gorbachev reforms.
executing criticism
The Russian Revolutionary movement inevitably spawned some of the most insightful thinkers that sought to re-examine the works of Marx and increase our understanding of how capitalism operates and by implication how socialism might, and who, apart from Lenin, were all executed. The economists Bukharin and Preobrazhenski, are two who were to be removed at the end of the thirties. For our discussion here there are three authors in particular who are important who dealt explicitly although not exclusively with problems associated with politics, law and economics, namely Leon Trotsky, Evgeny Pashukanis, and Isaac Rubin. There are many things that these authors shared in common, not least their murder. Their grasp on the theoretical origins of class and on the nature of exploitation also bind them together and provide one of the reasons for their deaths. In the *Permanent Revolution* and *The Revolution Betrayed* 3Trotsky was undoubtedly the fiercest and most open critic of the degeneration of the revolution, but Pashukanis's text *Law and Marxism*, 4
---
3 Trotsky, Leon - *The revolution betrayed* - Pathfinder - New York -1989
4 Pashukanis, Evgeny - *Law and marxism. A general theory* - Pluto - London- 1989 - (Moscow 1924)
and Rubin's *Essay's on Marx's Theory of Value* implicitly, however unconsciously, offered a damning critique on the emergent regime.
Pashukanis's work on law, ideology and the state, makes it quite clear that the need for law is based on the structure of antagonistic social relations of production, and that the measure of the extent of liberation can be judged therefore by the dissolution of legal forms that enshrine the right to property. Rubin's work also makes it quite clear that value as a category is specific to capitalism, and the commodification of labour power. Both authors were aware that such social forms and categories would be inherited in the process of transition. However in the situation of the 1930s when the rule of Law and of the State were being strengthened, and the commodity form was being transformed rather than disappearing, their conclusions asked some very uncomfortable questions about the regime as it emerged out of the New Economic Policy.
**the revolution betrayed?**
It has been frequently argued that in the period of NEP many of the social objectives of the revolution were not only temporarily suspended but dispensed with altogether, never to return. There is a general consensus in the work of authors such as Trotsky, Bettleheim, Cliff, Burawoy, Filtzer and Kagarlitsky, that the process of the betrayal of the revolution commenced in the early 1920s and was consolidated throughout the 1930s. If we were to condense out of the many arguments offered particular reasons then the following would predominate: the alienation of workers from the means of production; the corresponding rise of a Party bureaucracy which whilst not formally owning nevertheless controlled the means of production and reaped the surplus produced by the working class; the introduction of work practices more consistent with a capitalist organisation of the labour process; the marginalisation and progressive undermining of the local Soviets as democratically elected political organisations and the dissolution of Trade Unions as independent workers' organisations; the policy of trying to build socialism in one country. These are the objective contradictions that emerged in the 1920s and were to become intensified throughout the thirties up to its eventual collapse. The prophetic comments of Trotsky on the character of the collapse of the Soviet Union at the end of *The Revolution Betrayed* are one indication of his insight into the problems that the country faced. He foresaw in 1936 many of the tendencies that are now unfolding in the 1990s, the attempt to privatise state property,
---
5 **Rubin, Isaac - Essays on Marx's theory of Value - Black Rose - Toronto -1990 - (Moscow 1928)**
bonds between enterprises collapsing and with the return to capitalist relations a catastrophic decline in industry and culture.\textsuperscript{6}
It is not the intention here to offer another version of events or another all-embracing definition as to whether the USSR was 'State Capitalist', a 'Degenerated Workers State', or a new mode of production such as 'Bureaucratic Collectivism'. The task nevertheless remains to determine the character and extent of the transformation of social relations as a key to comprehending the changes that take place in the production of the Soviet built environment.
\textbf{the value of value}
This has dragged us into controversial areas of debate, particularly those that surround the categories of \textit{value}, \textit{labor power}, and \textit{class} in relation to the Soviet formation. Value is perhaps the most controversial of all. By non-marxist economists, it is dismissed as illogical and flawed, amongst marxist economists it is equally contested. Some argue that it is superfluous to Marx's analysis of exploitation, others that it is central to any understanding of the dynamics of capitalism.\textsuperscript{7} Rubin falls into the last camp and a part of his \textit{Essays on Value} is devoted to a critique of Bohm Bauwerks analysis of Capital, arguing that he misconstrues Marx's method. The details of these arguments are extremely complex. However it seems clear that the category of value as an abstract category is indispensable in the understanding of Marx's theory of capital, labour power, commodity fetishism, bourgeois law and ultimately it might be argued class. As we shall see, much of the criticism of value theory concerns the transformation of the value of a commodity into its price. Rubin and others have argued that this misses the central issue, and that the starting point for Marx was not an analysis of the processes of exchange, but of the historical form of labour. The importance of this for the historical development of the Soviet working class in the building industry is self evident.
\textbf{Soviet orthodoxy}
It is acknowledged in Soviet textbooks on Political Economy published in the 1980's, that the Law of Value and Commodity Money relations that were re-established in the 1920's continued to operate after the end of NEP.\textsuperscript{8} The persistence of commodity money relations was explained by the relative isolation of co-operative enterprises from each other, and from enterprises in the state sector, such that relations between them took on the form of an
\begin{itemize}
\item \textsuperscript{6} Trotsky, Leon - \textit{The revolution betrayed} - Pathfinder - 1989 - p250-251
\item \textsuperscript{7} Mohun, Simon - \textit{Value} - In \textit{A Dictionary of marxist thought} - Ed Bottmore et al - Blackwell - 1985 - p507-511
\item \textsuperscript{8} See for instance Avdakov,Y, Borodin,V - \textit{State Industry during the transition period} - Progress-1977
\end{itemize}
exchange of commodities. Another reason was given as resulting from the "incomplete maturity of direct social labour under socialism" indicated by the fact that workers retained an economic interest in the end results of production through the state's use of money incentives to stimulate productivity.\(^9\)
However, within the conditions of a consciously planned economy, where social ownership was considered synonymous with state ownership and where neither labour power nor land were any longer commodities, the analysis of the operation of the law of value was effectively separated from any notions of exploitation and appropriation. It was argued, that whereas under capitalism the law of value regulates social production, under socialism, "social production is regulated on the basis of the law of planned, proportionate development".\(^{10}\) Accordingly, the law of value was represented as an objective economic law but one that concerned the relationship between value and price, and the general formation of the prices of goods and commodities, rather than as the starting point for an analysis of labour and production relations. Thus, not only was it claimed that "the law of value operates in socialist society through the mechanism of planned price formation",\(^{11}\) whereby labour inputs into the production of goods can be compared, but that "The law of value is manifested as the law of price,..." \(^{12}\) Such propositions it will be seen are extremely problematic, not least because of the underlying and profoundly utopian presumption that in the USSR the means of production existed as common social property.\(^{13}\)
**Marx and the commodity**
As a means of perhaps clarifying these problems we return to our building worker, newly emerged from the peasantry, possessing nothing more than his labour power and confronted by a contractor who owns and controls the means of building production in a brick manufactory. We remember from Marx that the contractor is not actually interested in the worker but, in the absence of machinery like a modern automatic brick maker, only in the building worker's power to labour, his capacity for labour. This labour power has two aspects: it has a concrete
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\(^9\) Ryndina et al - *Fundamentals of political economy* - Progress - Moscow- 1980 - p251
\(^{10}\) ibid p256
\(^{11}\) ibid p258
\(^{12}\) Kuznetsov et al - *Political economy* - Progress - 1985 - p189 For another version See also Kulikov, A - *Political Economy* - Moscow - Progress - 1986 - p198 "In accordance with the law of value, the prices of commodities should be determined by their social value, i.e. by the socially necessary inputs in their production...........In the socialist countries, price formation is planned. The State plans supply, demand, social inputs and prices..."
\(^{13}\) In one the most celebrated accounts of the Soviet Union as a State Capitalist formation by Tony Cliff, he argues that seen in isolation there is a partial negation of both the law of value and the status of labour power as a commodity, but seen in its integration with the world capitalist economy, the law of value reasserts itself within the context of the permanent arms economy where the soviet economy enters into competition with the west. See Cliff, Tony - *State capitalism in Russia* - Bookmarks - 1988 - p214-24
useful aspect, his ability to mould clay and operate hand tools to make a brick that has a use value and can be laid on site, and it has an abstract form "his productive expenditure of human brains, nerves and muscles"14. It is the common expenditure of this identical abstract labour which creates and imparts value to commodities, in this case the brick. That is it gives a common basis to diverse commodities that makes them reducible to a common abstract measure, value. But the value of this commodity, this single brick, has "a purely social reality" being the embodiment of one identical social substance, human labour, Marx's conclusion being therefore that "value can only manifest itself in the social relation of commodity to commodity"15
It is true of course that commodities and money pre-date capitalism, but in the pre-capitalist era the great mass of objects are intended for the immediate requirements of the producers. Although the increasing circulation of commodities and money are a precondition for the emergence of capital, capital only springs into life, "when the owner of the means of production and subsistence meets in the market with the free labourer selling his labour power."16 Marx characterises the capitalist epoch as one where the "labour power takes in the eyes of the labourer himself the form of a commodity which is his property; his labour consequently becomes wage labour. On the other hand, it is only from this moment that the produce of labour universally becomes a commodity"17. We would expect then to find tendencies within the new Soviet State that point towards the transcendence of these preconditions of capitalist production.
**Rubin on Marx**
Rubin reminds us that the whole project of *Capital* is primarily an exposition of social relations, Volume I between capitalist and workers, Volume II between capitalists and members of society who buy and sell, and Volume III social relations between particular groups within the capitalist class 18. All of the basic concepts of political economy express in his eyes different production relations among people. All categories of political economy in this sense then can be seen to shield the real relations between people that lay at the heart of the capitalist economy. Rubin argues that this is born out by the trajectory of *Das Capital* itself. Thus if Marx begins *Capital* with the Fetishism of Commodities, in which social relations take the fantastic form of a relation between things, where value "converts every
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14 Marx, Karl - *Capital* - Swan Sonnenschein - 1908 - London - p12
15 ibid p14-15
16 ibid p 148
17 ibid p 149
18 Rubin, Isaac - *Essays on Marx’s theory of Value* - Black Rose - 1990 -p33 -34
product into a social hieroglyph"19, it is entirely consistent that Volume III, should end with the statement that within the trinity formula of 'capital - profit, land - ground rent, labour -wages', all the secrets of the social production process are hidden, signing off that in this trinity "we have the completed mystification of the capitalist mode of production, the conversion of social relations into things... It is an enchanted, perverted, topsy turvy world in which Monsieur Le capital and Madame la terre do their ghost walking as social characters and at the same time directly as mere things" 20.
**Rubin and fetishism**
This fetishisation of social relations is a central pre-occupation of Rubin's work which contains a whole series of penetrating insights that predict the contemporary discussion of ideology. Here ideology is understood as a organising social force rooted in the material structure of society and which refers to an aspect of consciousness where the actual conditions of social life remain obscured. He distinguishes quite clearly between 'alienation' and 'reification'. The former he argues concerns the alienation of human relations and is rooted in the early works of Marx such as the Holy Family. It subsequently becomes transformed through the *Poverty of Philosophy*, the *Critique* and arrives at *Capital* Volume I as a theory of the reification of social relations.21 These aspects of the 'fetish' can however be understood as complimentary. There is no reason to exclude one from the other, a point that seems to be confirmed by Rubin when he comments that *fetishism* is a phenomenon of *social being* and *social consciousness*.22 Furthermore just because the world is 'perverted and topsy turvy' does not make it any less real. Capital, money and wage labour, are not phantoms of the imagination " but concrete products of the self alienation of the worker", the power of capital then is not illusory but very real. 23
**the value of labour**
In Rubin's work the central concept is that of abstract labour and more precisely the status of this social labour in a simple capitalist economy as a commodity. Rubin constantly reminds us that value is not based on a theory of exchange relations but on the social production relations expressed in these transactions. As such he saw his task in relation to the theory of value in demonstrating that value "is a social relation between people which assumes material form.
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19 ibid p 45
20 Marx, Karl - *Capital* - Volume III - Lawrence and Wishart - London - 1984 - p830
21 Rubin, Isaac - *Essays on Marx’s theory of Value* - Black Rose - 1990 p55 -62
22 ibid p59
23 ibid p57
and is related to the process of production." The point of departure for research then is not so much value as labour, the form of value being a material expression of abstract labour. Indeed, this is similar to the conclusion of a recent volume of essays that observes that it is not "a matter of seeking an explanation of why prices are what they are and finding it in labour. But rather of seeking an understanding of why labour takes the form it does, and what the political consequences are. Not so much a "labour theory of value" as a "value theory of labour".
It is not difficult to see then why Rubin considered the concept of reification to be perhaps the most important aspect of Marx's work, arguing that all Marx's later work is constructed on his early contemplation of the opposition between free labour, free production and enjoyment in life, that is the conception of an unalienated ideal human subject and the alienated subject of the capitalist world.
The test of the transition towards socialism concerns not so much an argument about the relationship between value and price as an argument about the form of labour and the persistence of the reification of social relations. The conclusions from Rubin's essay's then can be seen to be a 'phrophetic' indictment of the historical development of production relations in the Soviet Union. If value is inextricably tied to the historic form of labour under capitalism, then for it to survive in any way is to suggest that the fundamental contradiction of capitalist society, the commodity status of labour survives as well. It will be argued that labour power indeed remains a commodity after the end of the NEP if in a somewhat different manner, and production relations become reified if in a somewhat changed form. When we turn to the work of Pashukanis the deeply contradictory character of the Soviet Union is pulled into focus even more sharply.
**Pashukanis and the legal fetish**
Similarly to Rubin, Pashukanis argues for the dual character of the categories of political economy. The commodity, value, exchange value are "indubitably ideological constructs, distorted, mystified mental images", but they are also very real reflecting objective social relations. The same can be said for the state, for law and by implication for ideology itself.
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24 ibid p63
25 Elson, Diane - *Value theory of Labour* - in the *Representation of labour in capitalism* - CSE books - London -1979
26 Perlman, F - *Commodity Fetishism* - in Rubin, Isaac - *Essays on Marx's theory of Value* - Black Rose - 1990 - pXV
27 Pashukanis, Evgeny - *Law and marxism. A general theory* - Pluto - London -1989 - p73-74
Law he argues is the mystified form of a specific social relation, or as he alternatively phrases it "the regulation of social relations assumes a legal character". By locating the origins of bourgeois law in the contradictory character of capitalist social relations, he proceeds to generalise that the basic pre-requisite for legal regulation is a conflict of private interests arising at the point when differentiation and opposition of interests begin. In contrast then to the technical regulation of say something like "railway traffic" it can be argued that "controversy is the fundamental element of everything juridical".28 Capitalist society however enshrines the 'controversial juridical category' as something natural, expressed in no greater way than in the formal equality of capitalist and wage labourer. As capitalist society develops and matures so law becomes increasingly abstract, to the point where "bourgeois capitalist property ceases to be unstable, and precarious and is effectively transformed into "an absolute fixed right".29
This abstraction and legal fetish reaches its apogee within the realm of Soviet law and the constitution. Much of this reads as a deeply utopian novel. Not unlike capitalist society, it too enshrines all subjects as being equal under the law, as well of course as maintaining the inviolability of laws with regards to the sale of labour power and private ownership of the means of production. The simple point being made is that Soviet law was free from controversy. It wrapped the real contradictions of Soviet life in a parody of an ideal world.
a doubly mysterious form
At the same time then that labour power, and the products of labour become commodities man "acquires the capacity to be a legal subject and a bearer of rights".30 The reification of social relations is encapsulated in law, Pashukanis concluding that "the social relation which is rooted in production presents itself simultaneously in two absurd forms: as the value of commodities, and as man's capacity to be the subject of rights". The absurdity is to be found in the way that all of the particularities and peculiarities that distinguish one human being from another that gives the social world its richness and diversity are dissolved into the abstraction of man and woman as a legal subject, as the owner of nothing else but labour power in which the "concrete types of human labour are dissolved into abstract human labour as the creator of value."31 Marx himself describes exchange value "as a generality, in which all individuality and peculiarity are negated and extinguished"32
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28 ibid p81
29 ibid p115
30 ibid p113
31 ibid p115
32 Marx, Karl - *Grundrisse* - Penguin - London - 1981 - p157
Our building worker then is faced with a double problem. The social relations in which he finds himself with the owner of the brick manufactory, assume a "doubly mysterious form". On the one hand they appear as relations between things (commodities), and on the other, as relations between the wills of autonomous entities equal to each other - of legal subjects. Thus legal fetishism accompanies commodity fetishism, a "homogeneously integrated relation assumes two fundamental abstract aspects at the same time: an economic and a legal aspect". A brief glance at the police and official reports of labour unrest in the Russian building industry of the late 19th century bears this out particularly strongly, the language of the reporting official often couched in a shocked outrage that workers could question a contract into which they had freely entered.
The problems of such insights as a critique of the emerging regime are clear. Like Rubin the departure point of research is labour. Pashukanis fully expected residual forms of the legal fetish and the commodity fetish to be inherited, especially so given the character of NEP. But, following Lenin's famous comment on the "withering away of the state" he also expected them to slowly vanish as "the relations based on commodity exchange and the huckstering mentality have been overcome (in the realm of production)." concluding that the "legal form only encompasses us within its narrow horizon for the time being, it exists for the sole purpose of being spent." In the circumstances where both the State and its legal machinery were being strengthened, Pashukanis was faced like many other Bolsheviks with the choice of collaboration or opposition. He chose the former, siding with the Stalinist general line against the Opposition. He went on to edit a number of journals, a three volume encyclopaedia on law, and became a renowned teacher in the Law Faculty of Moscow State University especially amongst the young. However as criticism of him grew, Pashukanis attempted to redeem himself with the publication of 'apologetic' articles in the early thirties. But his previous work with its implicit criticism of the role of the state, was there for all to read and in 1937 he was executed. Although rehabilitated in 1980 with the
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33 Pashukanis, Evgeny - *Law and marxism. A general theory* - Pluto - 1989 - p117
34 ibid p132
35 ibid p133
36 Born in 1891 he had been a member of the Russian social democratic party since 1907.
37 See for instance Pashukanis, E, E, - *Rekonstruktsia gosapparata i borba c burakratismom* - Moskva-1934. Addressing its attention to the question of bureaucracy, was a convenient political tactic for deflecting attention away from the real actual usurping of power. Pashukanis's ten point plan contains predictable remonstrations against the evils of bureaucracy, but saving some of the more aggressive criticism for what he termed "right opportunist and liberal bourgeois tendencies", and "leftwise men, dreaming of higher forms of communism, and not wishing to think about 'contemptible commerce' or the control of the ruble". See also Pashukanis, E, - *Piatnadzat lyet* - in *Pitanadzat lyet sovetskovo stroitelstvo* - Sbornik statii - Mosckva - 1932
republication of the "General theory", no attempt was made to employ his analysis in a reassessment of the history of the Soviet state.
"But in fact, remnants of the old, surviving in the new confront us in life at every step, both in nature and in society"
It would appear consistent from the analyses of Rubin and Pashukanis to argue that central to the long term goals of the revolution must be the transformation of capitalist social relations and of the specifically capitalist character of the social form of labour. In the context of the New Economic Policy, described by Preobrazhensky as an historic "combination of two economic systems, the socialist and the capitalist, the combination of socialist management with regulation by the capitalist market" 40, and against the aftermath of the civil war, discussion of the details of the transition to a new form of labour process could justifiably be dismissed as premature and even utopian. From a position similar to that taken by Lenin, economists like Preobrazhensky had argued that in the period of transition "experience showed that socialism could successfully use many capitalist forms (capitalist calculation) and categories of simple commodity production (money) long after the political power of the class which represented all these forms taken together had been destroyed". 41 Leaving aside that this was making a number of questionable assumptions, it was acknowledged that NEP was a contradictory stage in the development of socialism, bound to engender controversy amongst workers and Party members, many of whom considered NEP not just a temporary retreat but an historic betrayal. 42 With the reappearance of a labour market, unemployment, speculators, and other spectres and symbols of capitalist society, the Party central committee increased its calls for discipline and patience amongst workers, arguing that any violation against socialist legality by capitalists could be dealt with through the courts.
38 See, Pashukanis, E., Izbranie proizvedenia po obshiyi teorii prava i gosudarstvo - Hauka - Moskva - 1980. As well as the main text this volume includes a short biography acknowledging his contribution to a marxist theory of law. As of 1994, along with the works of Pashukanis, Rubin's essays were freely available in the Lenin library. His essays on the theory of value have to my knowledge yet to be given the official state rehabilitation awarded to Pashukanis. It will be interesting to see whether they ever will be. In one of the later copies of his "Ocherki po teorii stoimosti narxa" published in 1928 in Moscow, there are series of essays entitled "Otvet kritikam", answer to my critics, where he responds to the criticism made at the time by other economists such as Dashkovski, Konstantin, and Ton.
39 Lenin, V, I - State and Revolution - In Lenin, Seleted works - Progress - Moscow - 1977 - p332 Completed on November the 30th 1917
40 Preobrazhensky, E, A - The organisation of State Industry - In From NEP to Socialism - New Park Publications - London - 1973 - p48 - First published in 1922
41 ibid p49
42 The specific consequences of this for the development of the construction industry are discussed below
Lurking within the problem of how new non-reified social relations and forms of non-alienated labour were to develop, we encounter a number of dialectical relationships that came to characterise not only the period of the NEP but the whole of Soviet history. The relations between long term objectives and short term necessities, between the inheritance of capitalist forms of social life and the creation of embryonic socialist organisations, all come to rest in the contradiction between the juridical expression of social ownership and the actual practice of workers' democracy, how workers' power was to manifest itself not only in law, but in the workplace at the point of production.\(^{43}\)
**the character of social relations**
From the very beginning of the Soviet state, demands for workers' control at a local level had to be reconciled with more general conceptions of social ownership and property. The Bolshevik seizure of State power was an obvious precondition of granting rights to producers and workers but no guarantee of their practical realisation. The aspirations of the early Bolsheviks towards the transformation of capitalist relations is summarised most eloquently in two documents drafted by Lenin. Both written in the revolutionary optimism of November 1917, one was the decree on workers' control, that guaranteed workers' rights through the factory committees and trade unions to control the activities of enterprises.\(^{44}\) The second document and probably the most famous of Lenin's works, was of course *State and Revolution*. In *State and Revolution* Lenin explores the pre-conditions for the transformation of social relations in the transition from capitalism to the first and 'higher' stages of communist society. It is a crucial document for a number of reasons. First is the inflamed language of social justice, a text rich with such phrases as the "immense expansion of democracy", and abundant with an almost romantic belief in the immanence of the moment when "equality is achieved for all members of society in relation to ownership of the means of production, that is, equality of labour and wages"\(^{45}\). Second, is his elaboration of Engels theme of the withering away of the State, the notion that it only becomes possible to speak of freedom
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\(^{43}\) It could be argued that the State Ownership of the means of production becomes social ownership only when it ceases to be State property such that jurisdiction over it lies in the hands of democratically elected workers organisations. This dialectic is explored further in this chapter in the context of Trotsky's critique of the bureaucracy, and again in the context of Stalinist industrialisation (chapter 3). It was a central dilemma in the attempt to restructure social relations in the 1980s (Chapter 4). This first passage looks at how leading Bolsheviks conceived of the notion of workers control.
\(^{44}\) "In order to provide planned regulation of the national economy, workers' control over the manufacture, purchase, sale and storage of produce and raw materials and over the financial activity of enterprises is introduced in all industrial, commercial, banking, agricultural, and other enterprises which employ hired labour or give work to be done at home. Workers' control is exercised by all the workers of the given enterprise through their elected bodies, such as factory committees, shop stewards' councils.....Decisions of workers' control bodies are binding upon the owners of enterprises and may be revoked only by higher workers' control bodies..." quoted in Cliff, Tony - *Lenin. Volume Three. The revolution besieged* - Pluto Press 1978 - p10
\(^{45}\) Lenin, V, I - *State and Revolution* - In *Lenin, Selected works* - Progress - Moscow - 1977 - p333
when the state ceases to exist. Third is his conception of workers' control. This takes two fundamental forms. On the one hand it relates to the expropriation of the capitalists by a state of armed workers\textsuperscript{46}, and second to the process of accounting and control in the first transitional period, where all citizens "become employees and workers of a single country-wide state syndicate" in which the "majority of people begin independently and everywhere to keep such control over the capitalists (now converted into employees..."\textsuperscript{47}. Nowhere in the text does Lenin restrict his concept of new socialist relations to that of state property. The state plays a merely transitory role in guaranteeing workers' control and in the long term tendency towards the establishment of "common property".
As one of the first steps in the development of post capitalist social relations, Lenin envisaged a system of "the most precise and most conscientious accounting and control, of workers' control of the production and distribution of goods", a system of "countryside accounting and control of production".\textsuperscript{48} Somewhat intriguingly in other passages he comments that "The socialist state can arise only as a network of producers and consumers communes.."\textsuperscript{49} But workers' control was very much defined as a supervisory function in relation to the activities of capitalists, a prelude to the development of fully socialised production and to the introduction of \textit{full workers' regulation of the economy}. Lenin does not however seem to have addressed the actual character of work itself, and as we shall see his attitude to aspects of capitalist work practices and such things as Taylorism was rather ambiguous.
In the early 1930s Trotsky endorsed Lenin's distinction between workers' control and full scale workers' management. He distinguished between control as a system of observation and checking, and \textit{full management} which belongs to a quite different stage of political development. Trotsky argued that, "Control is a transitional measure, in the conditions of an intensive class struggle and has a sense only as a bridge towards the revolutionary nationalisation of industry."\textsuperscript{50} In addition he drew attention to the dangers of idealising and 'fetishising' slogans such as "workers' control" and "All power to the Soviets", for more important than the organisational form was the \textit{class character} of such organisations.
\begin{itemize}
\item[46] ibid p331
\item[47] ibid p334
\item[48] \textit{Lenin, V, I - Can the Bolsheviks retain state power?} - In \textit{Lenin, Selected works} - Progress - Moscow - 1977 - p371-374. First published in 1918
\item[49] \textit{Lenin, V, I, - The immediate tasks of the Soviet Government} - In \textit{Lenin, Selected works} - Progress - Moscow - 1977 - p410
\item[50] \textit{Trotsky, L, - Rabochii Kontrol i sotrudnichestvo c SSSP} - In \textit{Niemetzkaya Revolutzia i stalinskaya burokratia} - Uzdatelstvo Bulleteria Opposisitsa - Berlin - 1932 - p140-141 (Workers' control and cooperation with the USSR)
\end{itemize}
Workers' Councils and indeed Soviets were not by definition either progressive or socialist in character. As such Trotsky argued that the goal was not the "workers' control of production, but the control of production by the workers' State".\textsuperscript{51}
There were few Bolsheviks in the early 1920s who would have disputed this. But there were several who were already questioning the credentials of the new government and the extent to which the seizure of State power by the Bolsheviks had resulted in a Dictatorship of the Party rather than the Proletariat. At some point, fundamental questions concerning the relationship between the mass of workers and the state would have to be resolved. To what extent was the State a 'workers' state'? Were workers to be allowed to organise independently of State organs, and to what extent could workers actually exercise real control over production in the transformation not only of the \textit{labor process} but its \textit{products}?
"canonised functionaries of the state" and the Workers' Opposition
These questions formed the backdrop to the platform of the Workers opposition led by Kollantai and Shliapnikov in 1921. The inevitable accusations of syndicalism and political naiveté hurled at them at the time and posthumously misses the point that not only were many of their criticisms prophetic, but that behind their critique was the crucial question "what form shall labour take?" Shliapnikov had been a member of the Party since 1901 and participated in all three Russian revolutions. He was also a worker rather than a middle class intellectual. In his memoirs of the revolution he offered a particular thesis that emphasised that the St Petersburg insurrection had been not only Bolshevik-led, but by working class cadres, and that worker' Bolsheviks had been the backbone of the Party.\textsuperscript{52} He himself had been a leader of the St Petersburg workers, and it was this allegiance to the working class rank and file that led him to formulate the demands of the workers' opposition with Kollantai. After the revolution he was elected to the Central Committee of the Party. However he frequently came into conflict with the leadership for breaches of Party discipline, and even after the abolition of factions at the Tenth Party Congress in March
\textsuperscript{51} Trotsky, L - \textit{Workers control of production} - In \textit{The struggle against Fascism in Germany} - Pathfinder - 1971 - p78. In response to the programme of German workers, he argued that "Die Aktion has transformed the soviets into a fetish, into a supersocial spectre, into a religious myth. Mythology serves people as a cover for their own weaknesses or at best as a consolation" \textit{Factory councils and workers control of production}. In same volume p86-87. Both articles first published in 1931
\textsuperscript{52} For a discussion of the dispute surrounding Shliapnikov's version of the St Petersburg insurrection see Longley, D, A - \textit{Iakovlev's Question} - in \textit{Revolution in Russia: reassessments of 1917} - Frankel et al - CUP - 1992
1921, continued to articulate his critique of bureaucracy and anti democratic tendencies in the Party. Earlier in 1920 he delivered a report quoted by Kollontai in which he declared;
"We believe that the question of reconstruction and development of the productive forces of our country can be solved only if the entire system of control over the people's economy is changed......by what means during this period of transformation can our communist party carry out its economic policy - shall it be by means of the workers organised into their class union, or - over their heads - by bureaucratic means, through canonised functionaries of the State?"
Echoing Rosa Luxemburg's comments that the dictatorship must be "a dictatorship of the class, not a party or clique", and that by "dictatorship of the class", we mean in the sense of its "broadest public form on the basis of the most active, unlimited participation of the mass of the people, of unlimited democracy", he published an article in Pravda in 1924, called "Our different opinions" in which he continued to directly accuse the party of authoritarian tendencies, marked by intolerance rather than open debate. His persistence in calling on the people to support the movement for workers' democracy led him into a final confrontation with the party. Although the Workers' Opposition had considerable support not only in the trade unions but from other leading Bolsheviks, it was not enough to prevent him in a paradoxical twist of fate of being accused as a Trotskyist. He was expelled from the party in 1933 and executed in 1937.
It was in the pamphlet "The Workers' Opposition", that the programme of the Opposition was most clearly articulated. Amongst other suggestions for countering the slide into unrepresentative bureaucracy were proposals for the creation of an 'All Russian Congress of Producers', and for transforming the trade unions into economic units that would eventually take on the responsibility for the administrative running of industry. Such a 'workerist' position made accusations of syndicalism and political utopianism easy, and Kollontai was openly attacked by Lenin and ridiculed by leading Bolsheviks like Bukharin. It should also be remembered that at this juncture in Soviet history Trotsky was advocating the
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53 Lenin, V.I - Tenth Congress of the RCP (B) - In Lenin, Selected works - Progress - Moscow - 1977 - p625-8
54 Shliapnikov, A, G - Quoted in Kollontai, A - The Workers Opposition - In Selected writings of - p174 - Lawrence Hill - Connecticut - 1977
55 Luxemburg, R - The Russian revolution - University of Michigan - 1961 - p76-77
56 See biographical introduction to Shliapnikov, A, G, - Kanun cemnatzatovo goda - Moskva - 1992 - p5-30 ("On the eve of 1917")
57 Shliapnikov was rehabilitated in 1963 and was posthumously returned his Party membership in 1988
58 For a biographical study and discussion of the Workers Opposition see Porter, Cathy - Alexandra Kollontai: a biography - Virago - 1980 - p365-398
'militarisation' of labour and the subordination of Trade Unions in the interests of securing rapid industrial development. Although during the 1920s under Tomsky the Trade Unions reclaimed a certain amount of autonomy in their activities, in the context of the practical and immediate tasks of reconstruction, defending workers' rights against State initiated productivity drives was an economically precarious and politically dangerous path to take. Official Party policy as articulated by Zinoviev still leant towards the transformation of the Trade Unions into organs of the Soviet State. By the beginnings of the first five year plan this had been accomplished and the Trade Unions had become completely subordinate, remaining responsible only for matters such as education, health and safety. Whilst some of the criticisms of the Workers' Opposition against bureaucracy and of the influx into the Party of clandestine anti-Bolshevik careerists were taken on board by Lenin, some of the more interesting comments on the character of work were ignored in the outpouring of vitriol at the Opposition's line on Trade Unions.
The Workers' Opposition had sought to broaden the discussion about the character of labour. In a situation in which workers not only controlled but fully managed production, the objective was not just the retention of power but of creating a qualitatively different labour process, of creating "new incentives to the productivity of labour". This was a task that could only be accomplished "by the workers' collectives that are closely bound with the new forms of production". Thus the solution to the question 'what kind of labour?', as proposed by the industrial unions, consisted in "giving complete freedom to the workers as regards experimenting, class training, adjusting and discovering new forms of production, as well as expressing and developing their creative abilities". Kollontai's declaration is full of such enthusiastic propositions, and in other places she talks of workers becoming "worker creators" that would be able to find "new impulses for work", and would be able to develop "a new system to utilise labour power". It would be simple to deride such aspirations as a form of revolutionary romanticism. But the real issue is that the question of new social relations, was not restricted to its juridical expression, but was taken to imply the development of new forms of work and labour, founded upon what Kollontai called the "free and creative self activity of the masses". With the defeat of the Opposition, such questions were removed from the political agenda. It is no coincidence that Kollontai's effort to expand the notion of social relations to include gender was also marginalised. As a champion of women's liberation she had been at the forefront of the women's movement in Russia.
59 Kollontai, A - The Workers Opposition - In Selected writings of - Lawrence Hill - Connecticut - 1977 p176
60 ibid p184
was instrumental not only in establishing conferences like "The international socialist conference of working women" in Moscow in 1918, but in general agitational work that sought to put gender issues firmly at the forefront of the political discussion about socialism. Her many articles embraced all aspects of gender relations taking on board discussions about the family, female and domestic labour, prostitution, marriage, sex, love and morality. Her speech to the Comintern in 1922, not only gave an opportunity for the Party to attack the political platform of the Workers' Opposition, but offered a pretext for her removal from the "Zhenotdel", "Women's Department". The subsequent leadership was nowhere as radical in its aspirations as Kollontai, and along with the question of workers' democracy, gender liberation was arguably given a blow from which it never really recovered. By the late 1920s a moral conservatism and a political authoritarianism had already established itself within the Soviet State. The new ruling class had no more need for gender democracy than it had for workers' democracy. Ironically by 1930 many of the criticisms levelled at the Party by Kollontai and Shliapnikov had been incorporated into what became one of the most influential and articulate attacks on the degeneration of the Russian revolution.
**Trotsky's analysis of the Soviet Bureaucracy**
Trotsky's celebrated essays in the *The revolution betrayed* represent one of the most thorough and convincing analyses of the Soviet Union's character. Of particular importance in the discussion of alienation and exploitation is chapter nine "Social relations in the Soviet Union". Whilst during the 1920s it was still not clear in which direction the Soviet Union was heading, by the 1930s there was little doubt as the architectural profession and the building industry in general, were, like most other sectors of the national economy, State owned, managed and controlled through centralised ministries in Moscow. In most official Soviet texts, state ownership was considered to be the highest form of 'socialist property'. However as we shall see the mere fact that property lies in State hands is no guarantee of social ownership or the democratic control of production on the basis of workers' self management. Echoing Lenin and Pashukanis, Trotsky makes the comment, that state property becomes socialist property in proportion to the extent it ceases to be state property, adding that the transfer of property to the state changed the situation of the workers only juridically. That is, state ownership is not in itself sufficient to change the character and form of labour, new forms of fetishised social relations are quite possible.
---
61 Trotsky, Leon - *The revolution betrayed* - Pathfinder - 1989 - p237
62 ibid p241
Trotsky refrains however from describing the bureaucracy as a ruling class. He qualifies this by drawing attention to the latent strength of the proletariat, how the bureaucracy had not developed special forms of property, had no stocks and bonds and could not transfer rights in a hereditary fashion. But his description of the primary functions executed by the Soviet bureaucracy all but make it one. He speaks alternately of a "ruling group", of a "superbureaucracy" of a "privileged upper strata", of the "sole privileged and commanding stratum", "of a ruling Soviet caste" and so on and so on. His main argument boils down to the fact that the bureaucracy are not the legal owners of the means of production. He does however acknowledge that the bureaucracy through the state machinery has "appropriated the proletariat politically" 63 and at another point he adds that the "ruling group itself forms the chief reservoir of legal and illegal personal accumulations". 64 Other defenders of Trotsky's analysis argue that no one has been able to define or in any way differentiate the relations of production (mode of appropriation of surplus labour) into which the "new class" is supposedly inserted, concluding along with Trotsky that the best description of the Soviet Union is as a "bureaucratically degenerated workers' state". 65 There is however no reason why we should restrict our definition of a ruling class to the concept of formal legal ownership.
**state capitalism and statocracy**
Trotsky of course also refrains from any characterisation of the Soviet Union as state capitalist, the conclusion reached by Cliff 66. He reserves this category for the situation when "state property is substituted for private property" 67 and contrasts this to the regimes of state regulation of the capitalist economy in fascist Germany, Italy or in the 'New Deal' U.S.A., which he refers to as "etatism". Despite theoretical disagreements over 'value theory' and whether to refer to the bureaucracy as a class, there is a consensus of opinion amongst the authors mentioned previously as to the actions and functions of the bureaucracy. In a recent work by Kagarlitsky he takes up the reins of the debate. He suggests the notion of the "statocracy", the effective fusion of the bureaucracy with the state, which can control and partly appropriate the surplus product of labour whilst not being the formal legal owner, recalling Trotsky's comment that "The means of production belong to the State. But the State
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63 ibid p249
64 ibid p236
65 Bellis, Paul - *Marxism and the USSR* - Macmillan - 1979 - p223 -236
66 See also Bettelheim, Charles - *Class struggles in the USSR* - Volume I - 1917 - 1923, Volume II 1923-1930 - Harvester -1978
67 Trotsky, Leon - *The revolution betrayed* - Pathfinder - 1989 -p24
so to speak, "belongs" to the bureaucracy\(^{68}\). Kagarlistky adds that class dominance need not be reduced to the category of legal ownership of the means of production and argues that in the USSR "property ownership cannot be treated as a class category and attempts to define the 'new class' through property ownership are fruitless"\(^{69}\) He then proceeds to employ the category of "state-class", and concludes by characterising the statocracy as a "class in itself" but one that can never be a "class for itself" arguing that its interests cannot be directly expressed.\(^{70}\) This last point seems rather contradictory in an argument that becomes increasingly circular. At the end of the day if an 'estate' can appropriate the surplus product of labour through the centralised control and administration of the economy, decide and control all aspects of cultural life, sends millions to the labour camps, it seems entirely appropriate to consider it a ruling class 'in itself' and one that is very conscious 'of itself'.
What we end up calling the Soviet Union is of secondary importance. We shall for the time being content ourselves with Trotsky's verdict that it was halfway between capitalism and socialism, which with the survival and transformation into new forms of the fetishism of law and of the commodity, fetishisms that were born in the period of NEP and were to flower in the 1930s, stood every chance of sliding towards the former, a type of society that Kagarlitksy argues was to become superalienated.
We return to our building worker, who having fought on the barricades, seen the building industry nationalised in the period of war communism, is waiting in the wings for the transformation of the labour process. With the re-establishment in the 1920s of the characteristics of the capitalist labour process in both the private and State sectors, the preconditions for the development of a new stage in the progress of alienation are laid. It must be remembered that for labour power to become a commodity the worker must be a 'free worker', free of all property save of course his capacity to labour. One of the essential preconditions for the commodification of labour power has already been met, whether our worker was to sell it to the state or to a contractor. Our soviet building worker at the beginning of the NEP was in possession of little more than labour power and elementary hand tools. This is further compounded during the 1920s by the expansion of a traditional labour market, birzshah truda, the rise in unemployment, and the slow but inevitable introduction of new labour organisation. As objective contradictions emerged in the labour process that suspended and threatened to undermine the transition to new and progressive social relations, the avant-
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\(^{68}\) Kagarlistky, Boris - The thinking Reed - Verso - p1989 - p76-89
\(^{69}\) ibid p81
\(^{70}\) ibid p82
garde became immersed in the search for ways in which these very social relations could be materialised in form and space.
excising the avant-garde
All architectural acts are political acts. However the connections between politics and architecture appear shrouded in mystery and this is in part due to the disinterest and fear that the subject of politics generates. It appears easy to discuss the connections in the USSR, the Germany and Italy of the 1930s, where the political pre-conditions for the production of architecture are thrown into sharp relief. This is why their investigation is a vital starting point in the analysis of architecture in other social formations where the bonds are equally strong but opaque and elusive. To comment that many of the ideas of the avant garde were fanciful and idealistic is to say nothing new. To comment that the course of the avant garde mirrors the radicalism of political and economic debate in the early 1920s, should hardly need demonstrating.
However the much talked about utopian character of the avant garde only emerges with the defeat of the political opposition. It becomes fully expressed in the objective contradiction between the elaboration of theories of space, building and art which celebrated a new way of life, that of equality, self management and progress and the development of social relations within the labour process and with respect to the State that were opposite in their intentions and consequences. Thus we do not see a break between architectural activity before and after the watershed of 1932 when the organisations of the modern movement were dissolved, so much as the transfer of the arguments on aesthetics and urban design into new conditions. The same issues are investigated but simply under new economic and political guidelines.
grasping the contradiction
Just as there was no blueprint for how to organise a socialist economy, neither was there a clear idea on how future art and architecture should develop. At the most extreme, groups such as Proletkult emerged which considered that it was essential to build a new proletarian culture untainted by the artistic achievements of the bourgeois epoch. Such ideas were criticised by Lenin and Trotsky who argued that it was necessary to harness the progressive achievements of both capitalist technology and culture\(^1\).
In this like other controversies it would be foolish to make pejorative comments, rather the task is to examine how in very concrete ways social relations were or were not transformed. If nothing else than its formal intentions, the quite astonishing profusion of literature about the
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1 Trotsky, Leon - *Proletarian Culture and Proletarian Art* - in *Literature and Revolution* - Michigan - 1971 - p184 - 215 and a letter by Lenin, V.I., *On Proletarian Culture* - in *Culture and Cultural revolution* - Progress - Moscow - 1978
Soviet avant garde is evidence of its central importance within the history of modern cultural movements, a general cultural revolution that was unprecedented in its scale and depth of vision. However, most of it tends to be confined to the description of the formal experiments and of the pronouncements and manifestos of individual artists and groups.\(^2\) Whilst many of the artists and architects had of course been active before the revolution the impetus that the events of 1917 had on their work was profound, not only in strengthening their resolve to experiment further in the exploration of form, colour, and language but to focus it on quite specific social tasks.
All art and architecture in any historical period emerges from the field of social conflict. The art which tries to hide this reality is of course the most adept at reproducing the contradictions that it seeks to evade. That which deals with it face to face can be simply dismissed as propaganda. This is one of the dilemmas of the avant-garde. It is essential more than anything to grasp the contradictory character of this period. Political and economic life was characterised by the clashing and interpenetration of what were often opposing forces. Much of this was a result of the attempt to reconcile the objectives of freedom and democracy, with the immediate tasks of reconstruction. For Lenin the most important slogans were not so much "art into life" as "soviet power and electrification". (See fig 25) Similarly the avant-garde should not be evaluated in terms of right or wrong but should be understood as a unity of conflicting interests and arguments. But just as we should not harbour any romantic illusions about the avant-garde, we should also acknowledge its progressive aspirations and how its own negation is inseparable from that of the defeat of the revolutionary movement as a whole.
**painting, acting and filming the new way of life**
Predominantly abstract speculations that had been a pillar of the early modern movement, and are to be seen in the paintings of both Lyubov Popova and Kasimir Malevich (See fig 26) were readily incorporated into an exploration of forms and techniques that could more adequately meet the volatile and dynamic character of the tasks thrown up in a revolutionary situation. These can be seen in the use of photomontage in the historical films *Strike* and *Battleship Potemkin* of Eisenstein, in the red and black abstract covers for the journal *New Left*, (See fig 27) in the functional furniture and clothing designs of Rodchenko, and in the collage and text deconstruction of the artist poet Mayakovski. (See fig 28)
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\(^2\) See for instance, Bowlt, J - *The documents of 20th century art. Russian art of the avant garde.* -1902-1934 - Viking press - 1976, Conrads, Ulrich - *Programmes and manifestoes on 20th century architecture* - MIT - 1989, Harrison, Wood, editors - *Art in Theory 1900-1990*. An anthology of changing ideas- Blackwell - 1992
"Sovieti e elektrifikatsia iyest osnova novogo mira"
"The soviets and electrification are the foundations of the new world"
Popova, Lyubov 1889-1924
Pictorial architectonics 1916
RODCHENKO, Alexander
Artist, designer and photographer -1891-1956
Dynamo football club, Moscow, 1930
Collage - "The steel bore breaks the earth"
precisely because these and many other artists were required to fulfil new social functions, to convey slogans, ideas, and knowledge to the new audience, the proletariat and peasantry, that innovative forms of language and communication were invented. This is one reason why the Modern Movement in Russia distinguishes itself from the development of modernism in Western Europe. Perhaps one of the most extraordinary episodes was the character of street art and public spectacles.\(^3\)
One of the most revolutionary aspects of revolutionary art was its objective of breaking the dominant relations that had characterised both the production and consumption of art before the revolution. This has two aspects, the battle against the separation of art from life, that is the whole process by which art slowly becomes removed from the human subject and objectified ending as an object on a wall in a gallery, a process linked to that of reification, and second, the way in which art becomes a specialist activity, the preserve of great masters. The extraordinary character of some of this early "performance art" such as the re-enactment of the storming of the winter palace comes from the redefinition of the relations between audience, object, and artist. It not only involved the mass participation of thousands of people but experimented with the formal aspects of set design, employing many of the innovations then so popular. (See fig 29) Thus the stage set in front of the Winter Palace is an expressionist construction involving the distortion of primary geometric shapes, the statues in the squares are replaced by objects akin to three dimensional versions of a Malevich painting, and the opera is replaced by the concert of factory sirens, not forgetting of course the propaganda trains and the agit prop barge. (See fig 30) With the help of trained specialists, we witness if only temporarily, masses of 'non-artists' fully embracing the redefinition of ways of seeing and making.
**the birth of the culture industry**
There is however an uncomfortable paradox within the avant garde. The true test of any movement's avant garde credentials is the strength with which it challenges established systems of thought and practice, and can resist the forces of assimilation.\(^4\) We have argued that it was precisely the recognition and unification of a political and formal programme within the work of the avant garde in the 1920s that rendered it dangerous and provided the
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\(^3\) See Cooke, Catherine - *Street art of the revolution* - Academy-1991
\(^4\) It is not surprising to see how within the west the formal ideas of the Constructivists have been torn from their political aspirations and ruthlessly commodified. As for the movements in the west held up to be at the cutting edge of critical enquiry, the speed with which they became mere fashion accessories is testament to the fragility of any inherent radical critique.
"All aboard the agit-prop train" 1918
The avant-garde redecoration of the winter palace, 1918
pretext on which it was attacked\(^5\). The paradox is that it was the avant-garde that indicated to the emerging ruling bureaucracy how powerful the conscious politicisation of culture could be in the field of propaganda. It is from this period that the political exploitation of mass communication systems matures to become an essential pre-condition of class rule, deepening the rupture between the material transformation of everyday life and its representation.
Thus one aspect of the dialectic of the avant garde is that it unwittingly signalled the birth of a new culture industry involving the mass production of mythologies that was to permeate every corner of Soviet life in the 1930s. The greatest contradiction of all was that the reduction of the transformative consequences of human action within history to idealised legends and disputable footnotes, was to happen in a society emerging from a period of intense class struggle. This all forms part of a general ideological project that was instrumental over the next three decades, in the progressive de-politicisation of consciousness and the annihilation of the working class as an independent political force.
**Lefebvre and social relations**
The Russian Revolution was concerned with a struggle over history and hence time. But it was also about how these historical processes occur in space. The importance of space, and control over it, manifests itself not only in the erection of barricades in streets, of armies claiming territories, but in the context of the antagonistic relationships between town and country, the spatial distribution of production and resources, and in what we might call the physical and spatial arrangement of social relations.
Here we need to elaborate further on the theory of the relationship between space and social relations. We have noted how in the transition from the feudal to the capitalist mode of production the character of the labour process and more specifically the form of labour was transformed. We also noted how the capitalist mode of production brings with it an equally comprehensive revolution in the spatial dimensions of social life. This we have observed at a whole number of levels; the smashing of first local and then national boundaries that comes with the revolution in production, the global annihilation of space through time, the spatial
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\(^5\) It should be pointed out here that some of the ideas of the constructivists were reconsidered in the first phase of the industrialisation of building that occurred after the denunciation of Stalin in 1956. The housing schemes of the late fifties such as Novie Cheremushki in Moscow, became internationally renowned for their attempts to construct coherent neighbourhoods integrated with a high level of collective social and cultural facilities. Since the late 1980's the avant garde has again undergone a re-evaluation as it became possible once again to discuss critically and in public some of the ideas.
division and concentration of new forms of labour, the reorganisation of the relationship between 'town' and country', the increasing penetration of new forms of 'rationalised' order and discipline to the spatial structures of towns, the transition to new building types, and to the production of buildings and space for exchange.\(^6\)
Later in the book Lefebvre describes the distinction between what he calls the *problematic of space*, that is the philosophical questions regarding the relations between mental-social space and nature, and "spatial practice" which refers to the empirical manifestations of architectural and urban design.\(^7\) We would expect to find in any profound shift in the structure and practice of social life, (that is the shift from slavery to feudalism, from feudalism to capitalism and from capitalism to socialism), an accompanying transformation in the problematic of space and in its practice. Indeed Lefebvre argues that it is with the emergence of capitalism and of the bourgeoisie as a revolutionary class, that the notion of abstract space emerges to take over from historical and absolute space. Abstract space is of a greater quantitative character which whilst not homogenous tends toward homogeneity.\(^8\)
**abstract labour - abstract space**
In this Lefebvre is drawing an analogy between the emergence of social abstract labour, that lies at the origins of the fetishism of the commodity, and abstract social space which lies at the origins of what we might refer to as the fetishisation of space. Thus just as under capitalism there is a tendency towards the domination of an homogenised labour, that is the rule of abstract social labour, the bearer of value, so space is increasingly produced as an abstract commodity. This reaches its apogee in the tendency towards the full scale commodification of space in the latter half of the twentieth century. The production of office space, empty space in city centres, and speculative housing and retail construction are all complex examples of this. (See fig 31) Commodities increasingly homogenous in character but marketed as being very exclusive and very different. Capitalism is an historical project, but it is by now clear that it is also a geographical and spatial one as well. In a recent review of urban theory, Soja comments on Lefebvre's work that it is imbued with the proposition that
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6 The conceptual triad from the work of Lebevrvre is a help in disentangling this mass of different processes. He begins by distinguishing spatial practices, from Representations of Space and from Representational space. To summarise very crudely, these categories refer to the making of space, the thinking about it, and its properties with regards to language and ideology.
7 Lefebvre, Henri - *The production of space* - Blackwell - London - 1991 - p413
8 ibid p287
Canary Wharf - The apogee of speculative construction
FIG 31
capitalism's very survival is dependent on an "all embracing, instrumental, socially mystified spatiality"\textsuperscript{9}.
\textbf{space as produced}
But if it appears obvious that all historical processes are simultaneously spatial it is less obvious why the category of space appears at the margins of theoretical work, apart from in the more obvious histories of "urban form". \textsuperscript{10} Lefebvre introduces us to the idea that space is not an ahistorical given, space is produced, that is, every social formation produces both new concepts of space and new practices to transform it. Lefebvre goes as far as to argue that social relations have no real existence save in and through space.\textsuperscript{11} This could too easily be interpreted as an argument for spatial determinism. Alternatively Lefebvre can be seen to be doing no more than giving emphasis to the notion that, "Socio-political contradictions are realised spatially. The contradictions of space thus make the contradictions of social relations operative. In other words spatial contradictions express conflicts between socio-political interests and forces; it is only in space that such conflicts come effectively into play, and in so doing they become contradictions of space."\textsuperscript{12}
\textbf{space as a productive force}
Lefebvre was to summarise social space in the following manner; like Cohen\textsuperscript{13}, he argues for the inclusion of space in the list of productive forces, a force of production that is both produced and productively consumed. Furthermore space is politically instrumental, and appears as an element in the means of production that any prospective ruling class must seize control of. He concludes from this that therefore space not only underpins the reproduction of production and property relations but is equivalent to a set of institutional and ideological structures\textsuperscript{14}. Lefebvre had given the biggest boost to the process which Soja was to christen as the reassertion of space in critical theory. Picking up on aspects of Lefebvre's argument, Soja proposes a theory of a socio-spatial dialectic (the union of spatial and social relations) that leads him to argue for a "spatialised ontology". Here space becomes part of a second nature, both the precondition and consequence, or presupposition and outcome of social practices and relations. This is extended into an argument for a theoretical project that seeks
\begin{itemize}
\item \textsuperscript{9} Soja, Edward - \textit{Postmodern Geographies. The reassertion of space in critical theory} - Verso - London -1990
\item \textsuperscript{10} ibid p10-43
\item \textsuperscript{11} Lefebvre, Henri - \textit{The production of space} - Blackwell - 1991 -p404
\item \textsuperscript{12} ibid p365
\item \textsuperscript{13} Cohen, G,A, - \textit{Karl marx’s theory of history} - A defence - OUP - 1984 -pp47 -55
\item \textsuperscript{14} Lefebvre, Henri - \textit{The production of space} - Blackwell - 1991 - p349
\end{itemize}
to emphasise the necessity and interdependence of an historical and geographical materialism.\textsuperscript{15}
Perhaps most importantly Lefebvre has argued that historically the concept of space has been inseparable from that of the class struggle and that a revolutionary spatial project should be at the centre of any new political project. Indeed Lefebvre argued that the revolution of Marx was concerned with a total revolution not just of work, but of social life and the whole space in which it happens.\textsuperscript{16}
\textbf{the built environment as a complex commodity}
Recent work by Harvey approaches similar themes from a different perspective. Much of \textit{Consciousness and the Urban Experience} looks precisely at the spatial character of the class struggle as it emerged in France in the period of and preceding the Paris commune.\textsuperscript{17} This follows earlier work that introduces us to a political economy of the built environment. If on the one hand spatial struggle is wrapped up with class struggle then it must within the context of capitalist development be inseparable from that of capital accumulation. Indeed, following an exposition of value theory, Harvey begins to build a theory of the built environment that emphasises it "as a humanly created resource system, comprising of use values embedded in the physical landscape, which can be used for production, exchange and consumption," adding that within the context of capitalist development it has to be regarded as "a geographically ordered, complex, composite commodity."\textsuperscript{18} This sets him the task of indicating how capital circulates within the built environment and how it is supportive of the process of accumulation\textsuperscript{19}. As the physical manifestation of social relations the built environment is central to the accumulation of surplus, which under capitalism is distinguished by being uneven and contradictory. It should come as no surprise then that the class struggle is accompanied by the struggle for space. If this is distinctive of a particularly capitalist history of the built environment it raises the theoretical question of how the built environment functions in relation to the process of 'socialist' accumulation. The next sections describe in more detail how the production of the Soviet built environment became a platform for generating surplus and as a monument to the development of new class contradictions.
\begin{footnotes}
\item[15] Soja, Edward - \textit{Postmodern Geographies. The reassertion of space in critical theory} - Verso - 1990-p129 This remains of course a deeply controversial project about a deeply contradictory process. However a cursory glance at recent European history strengthens the case for the re-examination of the space of social history.
\item[16] Lefebvre, Henri - \textit{The production of space} - Blackwell - 1991 -p392
\item[17] Harvey, David - \textit{Consciousness and the urban experience} - John Hopkins - 1985
\item[18] Harvey, David - \textit{The limits to capital} - Blackwell - 1984 - p233
\item[19] ibid p234-235
\end{footnotes}
There are however some powerful reminders of the problems we face. To deal with the most obvious, is the realisation as we walk the streets of the 'Third Rome' that there is little physical evidence of the avant garde. This needs some qualification. As has been noted some of the early concepts on urban design, such as elements of the theory of the 'social condenser', were incorporated in the micro-rayon, (micro-region) programme of the late 1950s and early 1960s. But apart from the inclusion of ideas, buildings that were built and survived are few in number, Melnikov's Club Russakova, Golosov's and the Vesnin's Workers' clubs and Ginzburg's Dom Narkomfina being some of the highlights.\textsuperscript{20}
\textbf{architecture and urban design - the nature of the avant garde}
The conscious synthesis of a revolutionary formal and social programme marks out \textit{particular tendencies within} the Soviet experiment as being unique.\textsuperscript{21} The conventional evaluation of Soviet architectural and urban design from the 1920s is that they were interesting ideas, but ultimately utopian and impractical. Either the masses were not ready for such ideas, the technological and economic pre conditions were not available, or there were more pressing tasks concerning electrification and industrial construction. Ikkonikov is no doubt right when he remarks about the umbilical connection of many projects with the Utopian tradition, and Tafuri is largely correct when he asserts that Soviet Russia found itself entrenched in two positions each of no use "that of the more or less romantic realm of empiricism and that of the artificial universe of the avant garde"\textsuperscript{22} But there is an alternative argument.
A social revolution inevitably calls into question our spatial and temporal existence. It is entirely consistent with the history of revolutions that the spatialisation of politics should
\textsuperscript{20} Along with the publication of Khan Magomedov's \textit{Pioneers of Soviet Architecture} and Anatole Kopp's \textit{Constructivist Architecture in the USSR}, there is now a rich and readily available archive that deals with architecture and urban design from the twenties. The journal \textit{Arkhitektura i Stroitelstvo Moskvi} first published in the 1920s as \textit{Stroitelstvo Moskvi} is a treasure trove of documents and photographs of Moscow. In the late 1980s a weekly entry "Moskva -shag za shagom" was introduced, (Moscow, step by step), also from the mid- eighties onwards there were a number of articles that revisited the avant garde and the early years of Soviet architectural design. \textit{Rozdolskaya i Striapunina,- Znemim li mui pamiatniki sovietckoi arkhitektura} - No 5 - 1988 p7-8 including a list of adresses. \textit{Dlugach and Volchok - Moskva 1917 - 1987} - No 10 1987 p3 - 25. For an excellent guide in English to some of Moscow's key buildings see \textit{Cooke, Catherine - Moscow Map Guide} - Architectural Design 53 - 1983. Catherine Cooke's work on the avant garde remains important, not only for popularising the work outside of Russia, but for emphasising the extraordinary depth and breadth of creative activity. See for instance \textit{Cooke, Catherine - Form is a function of X-Architectural Design-} No 53 - 1983 - p34 -59 an analysis of the constructivists design and teaching methods - , and many other collaborations as editor and designer. See for instance \textit{Gozak and Leonidov - Ivan Leonidov. The complete works} - Academy - London -1988
\textsuperscript{21} This is a cautionary note - it remains important to recognise similarities within the various tendencies but equally the differences. It is to easy to make sweeping generalisations about the 'avant garde'. On a contemporary note it is worth adding how the absence of any clear political vision in the naive formalism of the projects of Archigram, post- modernism, deconstructivism, and other 'radical-isms' render them ultimately conservative by comparison with the likes of Melnikov, Leonidov, Ginzburg, the Vesnins et al.
\textsuperscript{22} See \textit{Ikkonikov, Andrei - Russian Architecture of the Soviet Period} - Raduga - 1988 - p 105, and \textit{Tafuri, Manfredo - Chapter 5 - Toward the Socialist City, USSR, 1917 - 1928} - pp 149 - 170 in \textit{The Sphere and the Labyrinth. Avant gardes and architecture from Piranesi to the 1970's} - MIT -1990 -
seek to redefine itself at all levels of the social totality, from the design of whole cities to the construction of homes. Urban design becomes but one arena in which the class struggle is fought out. In this light it could be argued that there was nothing essentially artificial or intrinsically utopian about many of the early projects of the twenties, even Tatlin's tower. Rather they appeared to be utopian, or more precisely impossible because the radical transformation in the social relations of production and everyday life on which they were premised, were step by step being dismantled and reversed. Indeed Kopp argues that the reasons for the attack on the Constructivist movement are not to be found within the field of architecture, but in the rise of new anti-egalitarian social attitudes within the bureaucracy.\textsuperscript{23} Objectives such as the liberation of women from discrimination at work and at home, and the establishment of democratic structures to guarantee workers' control, were slowly being crushed by the onslaught conducted by the emerging dictatorship against all such 'naive leftist' ideas on egalitarianism. A situation had transpired where forms of consciousness that speculated on the democratic transformation of space and building production were developing in direct contradiction to the reintroduction of capitalist work practices and forms of social organisation. Justified as temporary measures to raise productivity, they were eventually to become permanent features of the Soviet economy.
\textbf{constructing a programme}
During NEP, under the Plan for the Electrification of Russia, known as GOELRO, over half of the State budget available for construction was devoted to the building of factories, power lines and railways, with a quarter reserved for housing.\textsuperscript{24} Despite the undeniably pressing tasks of repair and reconstruction work, this did not prevent the production of a vibrant and innovative stream of ideas on how settlements, housing, clubs and factories could be built. The journals from this time expose the paradox of the situation that was to fuel the onslaught against the avant garde. In the same issue alongside detailed analyses of timber framing and how to cheapen workers' housing would appear constructivist projects by Leonidov that would have pushed architectural technology to the limits of the state of science.\textsuperscript{25}
Whilst pre-revolutionary classicists such as the neo-renaissance architect Ivan Zholtovski, and the author of the theory of "proletarian classicism" Ivan Fomin were to dominate Soviet Architecture after the fall of the avant garde in the 1930s, during the 1920s the two most influential groups involved in the race to capture within built form the goals and aspirations
\textsuperscript{23} Kopp, Anatole op.cit p156
\textsuperscript{24} Stroitelstvo Moskvi - No 5 - 1925 - p413
\textsuperscript{25} See for instance Stroitelstvo Moskvi - No 7 -1927
of the revolution, were the *Constructivists*, centred around the Vesnin brothers and Mosei Ginzburg, and the *Rationalists*, led by Nikolai Ladovski. Alongside the establishment of a State building industry, both groups were involved in teaching at VKhUTEMAS. Founded in 1920 the Higher Artistic Technical Studios was set up to co-ordinate architectural and art education. It emerged more or less simultaneously with the Bauhaus, but was not dominated by any one doctrine.
Despite the acrimonious debates that occurred between the two groups, the former being labelled as *functionalists* the latter *formalists*, in terms of building form, there is arguably a greater similarity than there is a difference. This is especially evident in relation to the combined use of simple geometric shapes, and in the exploration of a machined aesthetic where the structure of the building was often clearly expressed. But what makes Soviet architecture of this period not only modern but truly avant garde was the mutual interdependence of this formal experimentation with a revolutionary social programme. Within the avant-garde, the architects who did most to promote the production of a social architecture that sought to encapsulate a socialist politics were the Constructivists.
Whilst many artists and architects were either ambivalent or pragmatic to the demands of a revolutionary situation, there were others who if not politicised before the revolution had through the political struggle become involved in creative activity that was imbued with and indeed organised by, a *conscious* politics that promoted *collective* and *social* values. In Mosei Ginzburg, Alexander Vesnin and El Lissitsky, the Constructivists possessed articulate defenders of this position. When in 1934 the elder Vesnin continued to affirm that functionalism was in essence "no more than the rebirth of the immemorial primacy of function as opposed to scholastic, decorative academism..", he had in mind a notion of function that embraced both the utilitarian and ideological aspects of architecture\(^{26}\). Such words were accompanied by El Lissitsky's declarations that "it is to the social revolution, rather than to the technological revolution that the basic elements of Russian architecture are tied"\(^{27}\), and that the value of the new architecture along with art would be "determined by its relationship with the community"\(^{28}\). These sentiments were summarised in the polemical writings of Ginzburg, the author of the seminal book *Style and the Epoch*, who considered the functional method as the basis for a materialist approach to both the practice and
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\(^{26}\) **Vesnin, Alexander** - *Arkhitektura SSSR* - No 7 - pp3-4 Quoted in Khan Magomedov, Selim - *Pioneers of Soviet Architecture* - Thames and Hudson- 1983 - p550
\(^{27}\) **Lissitsky, El** - *Russia: An Architecture for World Revolution* - Lund Humphries - London - 1970-p27. Originally published in 1930
\(^{28}\) ibid p68
teaching of architecture. Constructivism became a "working method for searching out the most reliable and correct path to a new form which most closely corresponds to the new social context", such that we "approach form through the unfolding of the social aim" 29. One of the paradoxes of these pronouncements is that the Soviet ruling class were to use much of the same kind of language in the subsequent attack on the avant-garde.
**democratic space**
It follows from this that at the heart of the modern movement in the USSR, was an attempt to spatialise democracy, that is to find a theory of settlement development and of individual building design, that was commensurate with socialism. This required a systematic elaboration of not only the "problematic" but the "practice of space".
Amongst the mountain of projects, the majority of which were never built, there are a few which are of special importance for the following reasons. First, they all represented new ways of thinking about materials, technology, and form. In this sense they represent a departure from the dominant pre-revolutionary tendencies in Russian architecture, that of neo-classicism and the movement known as the Russki Moderne.
More generally, they represent a set of dynamic documents of a society in the process of transition where new needs and functions for buildings were being produced. Much of the work was founded on the belief that a fundamental transformation had taken place with regards to the social relations underpinning the practices and labour processes that make up daily life, at home, at work and at school. The intention is not to survey the work of the avant garde, this has already been done, but simply to elaborate on a few projects that are indicative of the attempt to build post-capitalist social and spatial relations. Within the built environment it is possible to conceptualise these social relations as existing at a number of levels within the social totality, thus corresponding to different social practices and thus engendering different organisations of space. These new social relations would inevitably require a new built environment at the level of the *world*, Tatlin's monument to the Third International, the *territory and region*, the planning ideas of Sabsovich and Okhitovich, the *settlement*, the Dom Narkomfin by Ginzburg, the *club*, the Russakova by Melnikov and the *educational establishment*, the Institute of Librarianship by Leonidov.
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29 Ginzburg, Mosei - *Sovremennaya arkhitektura* - 1928 - Quoted in Khan Magomedov, Selim - Pioneers of Soviet Architecture - Thames and Hudson-1983 - p584
TATLIN, Vladimir
Artist and designer 18885-1853
Tatlin's tower - Monument to the third international
Territorial organisation under socialism
Diagrammatic attempts to spatialise democracy
Clockwise - disurbanised, decentralised, a-centralised, dispersed
Constructivist 'disurban' movement - Left Ginzburg and Barsch plan for a green city,
right, the linear development plan for Magnitogorsk - 1930
Clockwise-Krutikov's flying city, Ladovski's radial city, Miliutin's linear city and Leonidov's linear city - All late 1920's early 1930's
Tatlin's Tower
In the first years of the new 'Workers' State' before the Communist Party was transformed by Stalin, many Bolsheviks firmly believed that it was impossible to build socialism in one country, and that the Russian Revolution's success depended on the spread of an International Revolution. This is a theme that is central to Trotsky's theory of the Permanent Revolution. Tatlin's tower was not only a monument, but the proposed headquarters of such an International. (See fig 32) Three volumes, a cube, cylinder and pyramid, in which the world's socialist and left wing groups would meet, were to be suspended and revolving inside a spiralling steel and glass structure. A synthesis of orbital motion and primary solids combine to produce a powerful metaphor of the global aspirations of the communist movement and of the permanent necessity of struggle against a capitalism that had conquered earthly space. But as we shall see the criticisms of this and other projects in terms of the lack of available resources and technology masks and disguises far deeper contradictions to do with the direction the revolution was taking. In this case its real impossibility lay not in its complex technological vision but in the negation of two interrelated issues. The replacement of the theory of the necessity of an international revolution by the theory of socialism in one country, and of the wholesale negation of the theory of the withering away of the state and law that accompanies the rise of the new statocracy.
territorial and regional development
At the heart of any theory of territorial planning are a set of inter-related issues that deal with social relations at a very general level; the centralisation and decentralisation of political and economic power; the concentration or dispersal of State power; the dialectic of town and country, home and work, the human subject and nature.
The schemes of Leonid Sabsovich and Mikhail Okhitovich are but two of many theories which emerged concerning urban development that in one way or another tackled these issues. (See fig 33) These include a version of Ebenezer Howard's Garden City, 'cosmic' and vertical cities, Miliutin's linear city proposal for the development of Stalingrad (nowadays Volgograd), Leonidov's version of the *linear city* for the development of Magnitogorsk and Ladovski's *radial city* plan for Moscow. (See fig 34) Sabsovich envisaged a web of transport and communication routes evenly spread across the entire country linking what would effectively be production units. These were settlements of a similar size, compact and possessing a central core of collective social and cultural facilities. Okhitovich proposed a similar network of communication and transport routes but whereas in the former the human
settlement was essentially stationary, in the latter it acquires mobility. People would live in houses within a communication network that combined motorways, telephones and radio.
Although the former was labelled "urbanist" and the latter "disurbanist", this in some ways obscures their similarity. They both reflect a belief in the possibility of rational planning and how to express in physical and spatial terms the egalitarian principle of the even and uniform distribution of resources. In themselves they do not offer a blueprint which could immediately have become part of a construction programme. They should be understood as "programmatic" statements that indicated the directions spatial practice could take given the political imagination and the economic will.\(^{30}\) However, it is not the absence of such a ready made consciousness for such visions or indeed the paucity of motor cars that render these ideas utopian, but rather the contradiction between a consciousness rooted in the belief of the inevitable transformation of the conditions of exploitation, and the alternative reality of the emergence of a new group of exploiters, a party bureaucracy which was slowly usurping the democratic goals of the revolution.
**social condensers and settlements**
Perhaps the single most influential idea of the avant-garde in the field of architecture was the Constructivists theory of the *social condenser*. It was premised on the belief in the inevitable and necessary transformation of the social relations at the heart of daily life, and its objectives are summarised in the following words of Mosei Ginzburg: "Our work should essentially be based on a scrupulous and detailed study of the brief in the light of our political and social circumstances. Its essential aim should be the creation of social condensors for our times. This is the essential objective of constructivism in architecture."\(^{31}\) It is in the social condensor that we find the most concerted attempt to redefine relations between human subjects.
The social condensor was conceived as being a part of, or all of, a building or complex, in which the development of a new way of life and of collective and co-operative organisation would be encouraged, an environment in which women in particular would be liberated from the burdens of domestic labour. As such a collective laundry, a child care establishment, as well as the more general categories of the housing commune or workers' club, could be considered as social condensors. Such a theory stressed the transformative and educational
\(^{30}\) Although it should be added that with Barsch, Vladimirov and Sokolov, Okhitovich produced a detailed application of some of the ideas in a proposal for Magnitogorsk.
\(^{31}\) Kopp, Anatole op.cit p70
possibilities of architecture, and can be seen as part of the historic struggle against alienation and reification. At the level of the neighbourhood the concept of the "sotsgorod" emerged. These were intended as dwelling complexes with anything up to thirty thousand people, effectively 'neighbourhoods that had fully integrated social and cultural facilities. It was an eminently practical idea as indicated in the drawings of the Vesnin brothers and Ilya Golosov for the proposals for Stalingrad, and in the incorporation of aspects of the 'sotsgorod' in the first schemes that followed the industrialisation of the building industry in the late 1950s, notably the micro region "novie chremushki" in Moscow. (See fig 35)
A smaller and arguably more sophisticated attempt to put such ideas into practice can be seen in the Dom Narkomfin in Moscow (1928-30) designed by I.Milinis and Mosei Ginzburg. (See fig 36) Ginzburg was not only committed to the formal and social possibilities of the new architecture, but to the vast potential offered by the industrialisation of the building process. Discussion of the commune was widespread and reached its most extreme variant in the scheme by Nikolaev which proposed the almost total collectivisation of the way of life. The journals at this time regularly featured debates on the relative merits of the housing commune as an essential feature in the socialist construction of the *novie beat*, 'new way of life'. As late as 1929, *Arkhitektura i Stroitelstvo Moskvi* was publishing programmatic statements declaring that "the liberation of women from the kitchen must be realised not in words but in actions", suggesting that one of the ways this could be achieved was to provide every adult with their own room, to rear children collectively in an adjoining building, and to socialise the budget and running of the commune.
In Ginzburg's *Dom Perekhodnova tipa* we see a scheme that is still a benchmark in the development of modern urban living and housing design, one that is linked historically with the work of Ernst May in the Weimar republic and of Corbusier in the Unite D'Habitation. (See fig 37) The Dom Narkomfina lay within the modernist paradigm displaying the full catalogue of its formal icons: ribbon windows, internal street, pilotis, roof garden, rendered infill brickwork to give it the "machined" elevation, and the emphasis throughout on air, sun, and greenery. This was a housing commune of the transitional type and possessed both individual and collective facilities so that a person could be eased into the new social relationships. It possessed what were called F-type units for small families and K-type units on two floors for larger families. These living units had separate cooking facilities for those.
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32 *Stroitelestvo Moskvi* - No 12 - 1929 p1-21
33 For a good essay on Ginzburg and Corbusier see Henry, Rex -- *Modern Urban Living* - A3 Times - London-1989
The "SOTSGOROD" - The "SOCIALIST TOWN"
The Vesnin's Sotsgorod dwelling complex 1929
Ilya Golosov's dwelling combine 1930
GINZBURG, Mosei - Architect 1892-1946 - Leader of the Constructivist movement
Below - the 'tragic' remains of the Dom Narkomfin, the housing commune of the transitional type Built 1928-1930
GINZBURG and MILINIS
Ground, first, second, third, fourth and fifth floor plans of the Dom Narkomfina, Moscow, 1928-30
GINZBURG, Mosei - Architect 1892-1946 - Leader of the Constructivist movement
Above-Housing commune, Moscow, 1926 Below-Constructivist split level flat, F-type
not wishing to use the communal kitchens. Buildings like the Narkomfin, of which there were six built in the late twenties, aspired to offering in addition to basic living accommodation a dining room, laundries, kindergartens, libraries and spaces for intellectual work.\(^{34}\) Unlike the Vesnins 'sotsgorod" which distributed collective facilities over an area, the Dom Narkomfina placed them within one building complex. The radical character of this building ensures its place in architectural history. With varying degrees of success it addresses the inherited forms of human alienation that exist between man from woman and the human subject and nature, and in its collective aspirations confronts the process of reification which undermines social relations and obliterates human individuality and particularity.
**leisure clubs and the libraries**
The seven workers' clubs, by Melnikov,\(^{35}\) deserve a special place in this discussion, along with those of the Vesnin's, Kornfeld and Golosov. (See figs 38 and 39) It would be too easy to approach the category of leisure as a peripheral issue. However the leisure industry has become one of the principal areas of expansion of the commodity form in late-capitalism. This refers not only to the production of commodities for immediate use and consumption but to the production of a whole complex of new building types that have arisen not only to sell such commodities but as consumption centres in which the whole of social life can take place. The comparison then with the early workers' club is another poignant reminder of the possibility of different social practices. If the leisure centres of the late twentieth century are primarily orientated towards the spectator and the consumer, a leisure dominated by 'exchange value', one of the distinguishing features of the workers' clubs was the priority given to creative activity, the concept of the worker as a participant and producer of culture.
Melnikov's designs for the *Paris Pavilion* (see fig 40) and for the *Club Russakova* (see fig 41) are truly avant garde buildings. At a purely formal level they were completely experimental. The Paris pavilion plays with the idea of intersecting planes and of the dynamic character of the diagonal, the Russakova's dynamism is achieved through the explosive use of technology, the building's form being dominated by three cantilevered auditoria separated by vertical steel windows. In terms of their mass and presence, they are on a non-monumental and human scale, quite literally in the case of the Paris pavilion where
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\(^{34}\) Published in *Stroitelestvo Moskvi* - No 10 - 1930 - p8-12
\(^{35}\) The workers clubs of Melnikov and the famous Golosov club plagiarised by Terragni were published in *Stroitelstvo Moskvi* - No 11 - 1929. Melnikov was an independent thinker who associated himself for a time with the rationalist movement. However his designs for the workers clubs are arguably some of the finest examples of a constructivist architecture.
Proletarsky district Palace of Culture- The Vesnin brothers-1931-37
Gorbunov Palace of culture-Kornfeld, Yakov,-1930
GOLOSOV, Ilya - Architect 1883-1945 - Club Zueva
One of the most striking modern buildings from the 1920s that attempts to unify a revolutionary aesthetic and social programme. Its original purpose was for mass agitational and educational programmes.
The Club Zueva is dominated by auditoria; here there are two, seating 950 and 285. Its impact on the street is equally as memorable with the glazed cylindrical stairwell defining the corner. Giuseppe Terragni, the Italian Rationalist is reputed to have borrowed elements of Golosov's scheme in his design for the Novocomum apartments in Como, 1928.
Golosov was one of the architects whose work profile followed the shifts in the State regulation of cultural production. He produced a number of notable schemes in the 1930s that saw a shift from a modernist aesthetic to one that worked within the traditions of a heroic monumentality, or what was sometimes referred to as "revolutionary romanticism."
MELNIKOV, Konstantin - Architect - 1890-1974 - Workers Clubs
Burevestnik club,
Moscow,
1928-1930
Paris Pavilion, 1925, interior of pavilion designed by Rodchenko
This is arguably one of the finest modern buildings from the early years of the Soviet Union. Although Melnikov did not consider himself to be a Constructivist, the unity of a radical social programme and the experimental use of form and construction technology, the Club Russakova encapsulates the progressive aspirations of a radical and potentially revolutionary architecture.
It still functions as a club for local residents, and has been repaired over the recent years. As well as the main auditorium, it offers a canteen and a variety of spaces where bands and other groups can hold workshops.
the inside spaces and furniture of the reading room were anthropometrically designed by Rodchenko. The Russakova which is still standing was more impressive in the range of facilities offered. As well as lecture halls, as late as the mid 1980s you could still get something to eat, go to a dance lesson or play in a band.\textsuperscript{36}
Comparable in its technological and social vision is the Lenin Institute of Librarianship by Ivan Leonidov. (See fig 42) A diploma design project from 1927, it was intended as a vast depository of books and information connected to the rest of Moscow by an aerial tram and to the world by a radio station. To be built from glass, steel and reinforced concrete the institute was to house a library, reading rooms, research facilities and auditoria. As with the other projects its dynamic form and geometry is inseparable from its primary social function which was to assist in the redefinition of social relations in one of the most critical areas of all, that is between the human subject and knowledge. Possession of the means to disseminate or obstruct the passage to knowledge remains one of the principle ways in which any class reproduces its power and leading role in society, something of which the bureaucracy was more than aware.
What distinguishes these projects is that they all in their different ways proclaim the arrival of the epoch of workers' democracy, freedom, collective organisation and internationalism. These are the real reasons why they are so contradictory, conceived as they were in the midst of an era which the revolutionary process began to take a very different course.\textsuperscript{37}
\textsuperscript{36} Less interesting formally but important in terms of its social programme was the Burevestnik club, which was built to service the workers in an adjoining shoe factory. As well as lecture rooms, reading rooms, and a cafe, it also possessed a library and a small museum devoted to the history of shoe production!
\textsuperscript{37} If Leonidov (1902-1959) was to end up at the margins for a while a model maker in the provinces, Melnikov (1890-1974) arguably embraced Socialist Realism never again achieving the heights of his designs for workers' clubs, and Ginzburg (1892-1946) became a member of the Soviet Academy of Architecture editing a book on the architecture of the ancient world and researching into industrialisation, the fate of other avant garde thinkers was not so fortuitous. For introductory essays on each of these architects see - \textit{Zodchie Moskvi} - Moskovskii Rabochii - 1988. In addition there are several volumes devoted to the individual architects \textit{Melnikov, Konstantin} - \textit{Solo Architect in a mass society} - Khan Magomedov - \textit{Konstantin Melnikov} - Stroizdat - Moscow -1990, \textit{Strigalev i Ikkonikov} - \textit{Konstantin Stepanovich Melnikov} - Ikkustvo - Moskva - 1985. For further titles see bibliography.
LEONIDOV, Ivan- Architect-1902-1959
The Lenin Institute of librarianship - Diploma project from 1927
the capitalist labour process
If the architects and planners had enjoyed a relatively independent existence in the 1920s with considerable freedom to debate and experiment albeit mostly at a theoretical level, the labour process in the building industry was subject to far greater state regulation in an economic regime that defies conventional terminology.
We have noted how the development of capitalism can be characterised by the progressive alienation of the human subject and by the reification of social relations. We now need to see in what way social relations in the labour process become transformed at the point of production itself. We have dealt with abstract notions of labour, we now need to confront its mystical form as wages, and the activity of labour itself once labour power has been sold. As with every other category so far we start by recapping here on some of the fundamental characteristics of the capitalist industrialisation of building production.
More than a machine, more than an object, industrialisation is the violent force that propels us from the mystic uncertainties of the feudal world into the rationalist bliss of the modern. It drags us from the field to the factory, from the cottage to the housing estate and from the rural market to the shopping mall. It starts with the transformation of the labour process, and brings in its wake the wholesale revolution of everyday social life and the spaces in which it takes place.
from manufacture to machinofacture
Nowhere is the dialectic of hope and despair more clearly articulated than in the shift from manufacture to machinofacture, whereby buildings and their components could be mass produced by machine processes\(^1\). This opened up the possibilities of the liberation from environmental poverty, but also the threat of subordination to a new set of dictated needs. If we have any one person to thank for this, then it was Ford, who applied Taylor's and Gilbreth's ideas on time, motion, and work organisation, to the automated vehicle production line. Whilst within early manufacture the revolution in productivity had commenced with human labour power, within modern industry it had begun with the instruments of labour. (See fig 43). With the combined application of new technologies and Fordist principles concerning the social organisation of the labour process, new methods of labour control were thus incorporated into large scale machinery. This resulted in enormous increases in the
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1 These distinctions between different phases in the development of the capitalist labour process were made by Marx in *Capital* and are explored in greater depth in chapters three and four.
"machinofacture...the transformation of the instruments of production"
Soviet building machinery
productivity of labour, such that workers were able to produce not only greater quantities of product, but at ever increasing speed.\(^2\)
**industrialising building**
Within the context of building production, work that had previously been conducted by skilled craftsmen with handtools, by the advent of the late twentieth century had increasingly become mechanised and in some cases automated. If in the late feudal era a single carpenter could make all the doors, windows and trusses a building might require, the modern world saw each aspect of this labour process fragmented into many parts, each presided over by a different worker, in a process that had largely shifted from the site and small workshop with handsaws and chisels, to the factory, and to the machinery of lathes, routers, and bench drills. Within the space of three hundred years, tasks that had previously needed a thousand labourers could now be accomplished by two machines and two operators. (See fig 44) At last the unshackling of the human subject from heavy manual labour seemed a real possibility. Yet within capitalist conditions the *private ownership* of what is social property was to temper and contradict this dream of deliverance.
Within manufacture the production of surplus and profit was *absolute* in that it depended on lowering wages or extending the working day, and there are limits to both of these processes. But in modern industry it is the speed of the machine that dictates the amount of surplus that any one worker can produce. There is in principle no limit to the possible consequent increases in productivity. In such a situation the production of surplus value then becomes a question of increasing productivity relative to wages. The implicit growth in the scale and speed of production was mirrored in the expansion of a managerial elite and bureaucracy whose task it was to supervise the increasingly complex vertical and horizontal division of labour, ensure labour discipline, and maintain efficiency and the rate of profit. The outcome was a situation where the direct producers were divorced from the products of their own labour, created in a process over which they had very little control.
Thus, despite the fact that the automated and machine technologies which dominate modern building production represent the historic accumulation of labour power, of human skill and knowledge, the machines stand to the worker not as the products and objectification of human labour and thought, but as objects that are remote and alien, and which appear as an
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\(^2\) For an introduction to debates on the labour process see Braverman, Harry - *Labour and monopoly capital. The degradation of work in the twentieth century* - Monthly Review Press - New York- 1974, and Littler, Craig - *The development of the Labour Process in capitalist societies* - Gower-Aldershot -1982
"...the replacement of living labour by the machine...working up a speed.."
The construction of a satellite 'micro-region' on the edge of St Petersburg in 1987
attribute of capital. From the producers of such innovations, workers now appeared as organs scattered within their mechanical systems. Instead of the means of emancipation, the machine "confronts labour as a ruling power and as an active subsumption of the latter under itself....." Here lie the origins of the technological tyranny of the twentieth century and one of the cornerstones of modern alienation.
This is of course a huge sweep over several centuries and describes at a general level the experience of industrialisation in a country like Britain. But the crucial features of this story, (wage labour, scientific management, the concentration of the means of production that occurs with their increasing mechanisation, the reskilling and de skilling of labour that accompanies the shift towards pre-fabrication, an increasingly fragmented horizontal division of labour, the institutional separation of conception and execution, the use of piece rates), were all to emerge for the first time in the Soviet building industry in the twenties and thirties and by the early 1970s were the dominant means of organising the labour process.
What is to be done in the construction industry?
Given that one of the central arguments of this work is that we cannot escape but only transform the historical conditions and relations that are bequeathed to us, we might argue that the development of many of these aspects of a capitalist labour process are to be expected. In addition we might argue that technology and what some refer to as the 'technical division of labour' are effectively politically neutral.
The latter two themes form part of a thesis called 'technological determinism' that was to dominate the Soviet version of historical materialism from the 1930s onwards. It is a theme to which we will subsequently return. Suffice to comment here that such a thesis proposes that the motor of historical change is to be found in the development of technology, and that after the final resolution of class contradictions (that according to Stalin happened in 1936) the development of socialism was primarily concerned with scientific and technological development. (See fig 45) There is a sense in which science at an abstract level can be viewed as neutral. (See chapter IV) But as soon as it is mediated by human subjects and applied to the actual transformation of the material world it becomes a political issue. There can be no greater fetishisation of history than that which places technology in an independent relation to the social world. Secondly, it is theoretically unjustified to somehow split the
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3 Marx,Karl - *The Grundrisse* - Penguin - 1981-p693-695
Soviet textile design from the 1930's
'technical' division of labour from its 'social' division. They, like other categories, are mutually interdependent.
With regard to the former proposition we might be inclined to accept Lenin's bitter attack on the Mensheviks and Left Communists who viewed the reintroduction of capitalist management techniques such as one man management, elements of Taylorism, and piece rates, as extremely contradictory. Lenin was quite clear in his attitudes towards the overriding imperative of maintaining labour discipline, of taking out of Taylorism and other management techniques what was progressive \(^4\), arguing that in relation to the organisation of industry there was no alternative but to use capitalist managers since workers had few if any management skills. This could be justified because workers always had recourse to political bodies if any of the old specialists contravened new labour laws. \(^5\) However it is in the reproduction of these objective contradictions that the problem is to be found. For rather than being temporary expedients in the process of reconstruction, they were to become permanent features.
**class, state and private contractors**
After the compulsory nationalisations of war communism, the building industry like other sectors of the economy was restructured to allow different forms of property to emerge. (See fig 46) The precise extent to which a private industry developed during NEP is difficult to ascertain since statistics are not only variable but for on-site construction activity they often simply do not exist. One source suggests that between 1918 - 1927 only 10% of the total volume of building work was completed by State contracting organisations.\(^6\) Others suggest that in 1924-25, the State Sector only completed between 30 and 40% of building work, 50% completed by 'khozaistvennie spocobi" (economic methods), and 10% by private firms.\(^7\) One explanation of the difference it would seem is to be found in the scale and type of building project.
For the whole period of the NEP large scale industry remained overwhelmingly in State hands. Within the building industry this included large scale infrastructural projects like that of the famous Dnepr hydro-electric dam, and of course the building materials sector,
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4 Lenin, V.I, *The immediate tasks of the Soviet Government* - In *Selected works* - Progress - 1977 - p 412-413
5 Lenin, V, I, *Left wing childishness and the petty bourgeois mentality* - in *Selected works* - Progress - 1977 - p440
6 Zvorikin - *Razvitia stroitel'novo proizvodstva* - op.citp106
7 Rabota soyuz stroiteli za 1924-1925- Moskva- 1926-p71 (The work of the construction unions)
The co-existence of different forms of property and the rebirth of the market
Below - Melnikov's design for the Novo-Sukharevsky Market, Moscow, 1924
Below - Advertisements from the 1920s for Artel and Co-operative building firms
МОСКОВСКАЯ СТРОИТЕЛЬНО-ТЕХНИЧЕСКАЯ АРТЕЛЬ "МСТА"
ПРОИЗВОДИТ РАБОТЫ ПО ЦЕНТРАЛЬНОМУ ОТОПЛЕНИЮ, ВОДОПРОВОДУ, КАНАЛИЗАЦИИ, ГАЗУ, ВЕНТИЛЯЦИИ, ИЗОЛЯЦИИ И Т. Л.
Под руководством техперсонала: составление проектов, чертежей и смет на все виды перечисленных работ производит по самым низким ценам.
Адрес: Москва, Александровская ул., дом № 29.
Телефон № 4-72-47.
САНИТАРНО-ТЕХНИЧЕСКОЕ СТРОИТЕЛЬСТВО
Т-во "САНТЕХСТРОЙ".
Покровка, Машков переулок, дом № 7. Тел. 6-34-99.
РЕМОНТ И СПЕЦИАЛЬНОЕ УСТРОЙСТВО:
Водопровод | Освещение | Водостоки
Канализация | Газопровод | Вентиляция
Отопление | Паропровод | Дренаж
Техническая консультация санитарного строительства
ОТВЕТСТВЕННЫЙ ТЕХНИЧЕСКИЙ НАДЗОР
СОСТАВЛЯЕТ:
проекты, сметы, чертежи, технические расчеты.
ТРУДОВАЯ ПРОМЫСЛОВАЯ КООПЕРАТИВНАЯ АРТЕЛЬ "МОСНОВСТРОЙ" (МОСКОВСКОЕ НОВОЕ СТРОИТЕЛЬСТВО)
Учрежденна 19-VII-1923 г. Устав утвержден МОНХ 19-VII 23 г., № 3871.
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ИНЖЕНЕРНО-ТЕХНИЧЕСКАЯ КООПЕРАТИВНО-СТРОИТЕЛЬНАЯ АРТЕЛЬ МОСКВА, Ильинка, Старый Гостиный Двор, пом. № 57. Тел. № 3-52-83.
ПРОИЗВОДСТВО
where in the years between 1923 and 1926 ninety per cent of concerns were in State hands, with only five per cent in the private sector.\(^8\) It has been pointed out that the most significant area of private industry was to be found in small scale concerns, handicraft and workshop production. This is particularly important for the house building sector where it is clear that many small builders re-appeared in the construction of individual housing in the private sector. In the same years in the whole Moscow area only 27% of the total number of new houses were built by the state and co-operative sectors, although they accounted for 61% of the total quantity in square metres. Another source suggests that in the 1925 building season in 167 Russian towns, 87.5% of all new housing was being built by 'chastnie zastroishiki', that is private individuals either building homes for themselves or having them built.\(^9\) There were of course great regional differentiations, with the private sector completing more housing in remote areas. However for Moscow, whilst at its high point in 1923-24 the private sector accounted for around a fifth of all capital investment in the housing stock, by 1925/26 this had shrunk to less than one per cent and by 1927/28 was insignificant, virtually all house building being conducted by the 'socialised sector' the majority under the direction the Moscow Soviet but a good proportion by co-operatives.\(^10\)
**khozraschot**
One of the most important innovations in the management of the economy during the period of the NEP was the introduction of "khozrazchot". Khozrazchot, or cost accounting, was an economic reform that gave the newly formed State owned *trusts* (agglomerations of enterprises) considerable financial autonomy and rights of self management. As a policy in amended form it was central to the economic restructuring of the perestroika period, two of the biggest slogans in the late 1980s being *samofinancirovania*, self financing, and *samoupravlenie*, self management.
Within the Moscow building sector, Mosstroi was a typical trust and an ancestor of the giant DSK, *domo stroitelnie kombinati*, house building combines of the post war period. Whilst it had started life in 1922 with little fixed capital and was involved principally in repair work, by the end of the twenties it was one of the Moscow Soviets' biggest contracting organisations, employing nearly twenty thousand workers, not only in on-site housing construction, but in subsidiary enterprises producing amongst other things reinforced concrete
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8 Ten Years of Soviet Power in figures. 1917 - 1927 - Central Statistical Board of the USSR - Moscow - 1927 - p248-9
9 Stroitelnaya promishlennost - No.9-1926 - p619
10 Stroitelstvo Moskvi - No 10 - 1927 -p 6-7, and No.10-1928 - p2
and sanitary ware. It was Mosstroi who built one of the highlights of early Muscovite modern architecture, the Dukstroi housing co-operative that was highly regarded at the time not only for its modern aesthetic but for its provision of collective social facilities.\(^{11}\) (See fig 47)
Such trusts however were run not by elected officials but Party appointed directors and managers. They received a capital loan from the State, and were relatively free to regulate their own production plans, buy raw materials and sell the products of their enterprises for profit, some of which went to the treasury, some of which was reinvested back in the trust, and some of which was paid out in the form of bonuses to workers and percentages to managers. The objective consequences of such a reform, were to further separate the workforce from management and control over the means of production, and to integrate the enterprises within the new structure of commodity and money relations.\(^{12}\) Of course this is not a new observation, and was acknowledged at the time, the categories of capital, profit, wages being used openly to describe a system considered by Lenin to be a transitory phenomena not unlike state capitalism.
**technology and labour**
The construction sector like other sectors of the economy had two immediate problems. One was the underdevelopment of technology, the other was a lack of a ready and able workforce. In purely quantitative terms, the recovery of the building industry and its subsequent expansion was remarkable, given that it was almost completely dependent on manual labour, that is skilled labour without the widespread benefit of machinery. (See fig 48) Nevertheless by the end of the twenties, 2,200 factories had been built, brick and cement production had recovered its pre war levels, and between 1921 and 1926-7, the number of workers in the building industry had increased four fold, gross production nearly ten fold, and productivity of labour by a factor of more than two.\(^{13}\) This needs to be tempered by reports of the industry still being in a state of crisis, due to serious deficits in good quality materials and qualified workers, and due to the persistence of "individualism" in design and the 'kustarnie' (handicraft) character of the building labour that had entered the industry.\(^{14}\)
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\(^{11}\) Chto i kak stroit Mosstroi ? - Moskva - 1929 (What and how do Mosstroi build?)
\(^{12}\) Bettleheim, Charles - *Class struggles in the USSR* - Volumes I and II - Harvester - 1978 - p266 - 285
\(^{13}\) *Ten Years of Soviet Power in figures*. 1917 - 1927 - Central Statistical Board of the USSR - Moscow - 1927 - p236 -237
\(^{14}\) *Stroitelstvo Moskvi* - No 8 - 1928 - p15
Celebrating five years of 'socialist' construction
"The revolution created and celebrated by the workers and peasants, October - their means, Communism- their goal"
Building the factories by horse and cart
If in 1919 the total Union membership stood at 120,000, by 1927 the Moscow branch alone had 150,000 workers.\textsuperscript{15} Nationally by 1929 it had reached a million and by 1932 over three million workers were registered within the building industry.\textsuperscript{16} This rapid 'proletarianisation' was accomplished not surprisingly by the influx of seasonal workers who still accounted in 1927 for 46% of the Trade Union's membership.\textsuperscript{17} In 1926-27 it was estimated that 500,000 seasonal 'otkhodniki' were still arriving from the countryside to work on building sites in major towns.\textsuperscript{18} Out of the 350 workers building the new Moscow Central Telegraph station in 1927, 310 were seasonal workers.\textsuperscript{19} (See fig 49) Taken as a whole, 66% of building workers in Moscow were seasonals.\textsuperscript{20} Across the territory of the Soviet Union it was estimated that in 1926 out of 743,000 workers less than half were occupied in construction for the whole year.\textsuperscript{21} Seasonal workers predominated in the traditional trades like bricklaying and plastering where they numbered 80% and 66% respectively.\textsuperscript{22}
Many of these semi proletarian workers brought with them traditional ideas on work organisation, were often religious, illiterate, and politically inexperienced. In 1927 in the construction of the Baumanski region of Moscow, out of 15,910 building workers it was recorded that only 114 were party members.\textsuperscript{23} But, if the formation of stable cadre in the building industry was one problem, the development of production relations was even more contradictory.
Whilst in relation to special clothing, insurance, and rest homes, working conditions for many builders had begun to improve, for workers full of the heady egalitarianism of war communism the introduction of capitalist work practices hardly seemed what to expect from a new socialist building industry. These workers were joining an industry where labour productivity was being raised by a combination of piece rates, time and motion studies, and profit and loss accounting, all measures that effectively attempted to push individual workers to the limits of their physical capabilities. All of this was occurring within enterprises where a system of one man management was operative. Such ideas on labour
\begin{itemize}
\item \textsuperscript{15} Sindeyev, S -Professionalnie Dvishenie Rabochik Stroiteli v 1917 - Moskva 1927 p39
\item \textsuperscript{16} The USSR in figures - Central Administrationof economic and social statistics - Moscow-1934
\item \textsuperscript{17} Weiner ,Douglas - Razmychka - In Fitzpatrick et al -Russia in the era of NEP - Indiana - 1991 p150
\item \textsuperscript{18} Tavrukina - Rabota credi stroiteli -Moskva- 1928 -p11 (Work amongst builders)
\item \textsuperscript{19} ibid p12
\item \textsuperscript{20} Goltzman - Sostav stroitelnvie rabochik CCCP V godi pervoi niatiletki - Moskva-p143 (The composition of construction workers in the first five year plan)
\item \textsuperscript{21} Tavrukina - Rabota credi stroiteli - 1928.-Moskva-p12
\item \textsuperscript{22} Goltzman - op.cit-p144
\item \textsuperscript{23} Tavrukina - Rabota credi stroiteli - 1928.-Moskva-p16
\end{itemize}
Main entrance to the Central Telegraph Office on Tverskaya Street
(In the Soviet era known as Gorky Street)
organisation were sanctioned by the Party, and can be recognised as forming a coherent ideology\textsuperscript{24}, that was to dominate the historical development of the labour process.
**Seeds of unrest**
As early as 1919 building workers were heavily criticising the way in which private contractors were being given rights that ran counter to the workers movement.\textsuperscript{25} At the fifth All Union Conference of Building Workers, the question was asked "Are all the contractors in Prison? No! Some are working in the State Offices of Construction"\textsuperscript{26} Within KOMSOGOOR, the State Building department set up during the period of war communism, there was a strong feeling that only private industry could promote efficiency and productivity. At the beginning of 1922, it was effectively shut down, and in its place a supervisory body was set up within VSNKh (Supreme Council of National Economy, operative between 1917 - 1932). State building organisations that were functioning perfectly well were 'liquidated' as in the case of GUGS, the State Management of State Construction responsible for railways and water. It was argued that it was because of this undermining of the nascent State sector that a coherent State policy towards construction was temporarily lost. Fledgling State building organisations found themselves struggling in a situation of competitive tendering with private firms, many of which were given 25% advances and were little more than unscrupulous speculators.\textsuperscript{27}
The whole situation was exacerbated, first, by the contradictory state of labour relations in the thirteen foreign firms granted concessions in the construction industry\textsuperscript{28} and second, by the operations of private contractors exploiting seasonal workers in the context of rapidly rising unemployment. They would send agents out into the countryside to recruit workers or meet them at train stations offering employment with conditions that conflicted with the Trade Unions' attempts to regulate employment.\textsuperscript{29} Such seasonal workers also fell into the hands of artels and co-operatives. There is an argument that suggests that the artels which remerged in the 1920s tended to represent a type of pre-industrial egalitarian and collective organisation.\textsuperscript{30} However the journals \textit{Stroitel}, ('the builder'), and \textit{Postroika}, ('on the
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\textsuperscript{24} Ideology in the positive sense, as a body of ideas belonging to a group
\textsuperscript{25} Stroitel-No 10/11 -1919-p7
\textsuperscript{26} Postroika-No 4 - 1924
\textsuperscript{27} Bogdanov, N, P.- \textit{Puti voroshdenia stroitelestvo i nashi zadachi} - Moskva 1925 - p33-38 (The reconstruction of the building industry)
\textsuperscript{28} Bogdanov, N, P - \textit{Profsoyuzi i Konsessionie Predpriatia} - Leningrad - 1928 - (Trade unions and foreign joint ventures)
\textsuperscript{29} Stroitel-No7-1925-p20
\textsuperscript{30} Kuromiya, Hiroaki - \textit{Workers Artels and Soviet Production Relations} - In Fitzpatrick et al -\textit{Russia in the period of NEP} - Indiana UP - 1991 p 72 - 89
building site'), contain many articles in opposition to the artels. Some were clearly little more than labour-only organisations headed by contractors posing as the artel 'elders' who would hire vulnerable workers, pay them low wages, require them to work long hours and would not participate in the new social insurance schemes.\textsuperscript{31} Consequently calls were made to 'eradicate completely' the blacklegging activities of the construction artels.\textsuperscript{32}
Despite the historic battle for the eight hour day that had become enshrined in Union legislation, reports tell of workers in artels struggling on twelve and even eighteen hour days\textsuperscript{33}. Other reports emerged of contractors receiving orders for work forming artels and then refusing to pay wages all together.\textsuperscript{34} One tale in Kostrom reports a group of contractors who organised a co-operative named Promstroi to build factories. Seasonal workers from the countryside and not from the regulated labour market were recruited. The five contractors carried 100 votes each whilst the workers were given one only, such that the contractors had the same rights as 500 workers.\textsuperscript{35} But such conflicts were not confined to the activities of artels and private contractors. Increasingly as the NEP wore on conflicts emerged in the state sector concerning questions to do with wages and labour organisation.
As early as 1922, there were critical reports emerging that the programmes of the Construction Trade Unions were not being supported by State organs, and that however historically expedient, workers, no doubt ones who in Lenin's words were not class conscious, considered the NEP to be a retreat\textsuperscript{36}. It is perhaps of more than just passing interest that at the tenth anniversary celebrations of the Moscow Building Workers trade union, the guest of honour and guest speaker was one Lev Davidovich Trotsky.
N.O.T.
One aspect of the 'retreat' was the introduction of the scientific management of labour, \textit{nauchnaya organizatsia truda}, (N.O.T.). This was little more than Taylorism wrapped up in a self justifying rhetoric. It was argued that under the conditions of the private ownership of the means of production, Taylorism helped increase the profits of individual capitalists, however when the means of production are owned collectively by the "workers' state", this exploitative relationship no longer exists. The profoundly ideological character of Taylorism
\begin{itemize}
\item[31] Stroitel-No 5-1924-p23-24
\item[32] Stroitel-No 11-1925- p22
\item[33] Postroika -21st July -1926-p12
\item[34] Postroika -27th Sept-1924-p7
\item[35] Postroika- 9th Aug-1924-p9
\item[36] Bogdanov, N, P- \textit{Puti voroshdenia stroitelestvo i nashi zadachi} - Moskva-1925 - p14 -15
\end{itemize}
was not acknowledged, it was treated as an objective science and introduced widely throughout industry. Bogdanov commented that in the construction industry "we are not so rich that we can throw away the experience and achievement of bourgeois culture and capitalist techniques"37. However the same article also records arguments from others as to the appropriateness in a socialist industry of the introduction of such practices. Others argued that NOT was more sophisticated than Taylorism, citing the attention given to the study of the physiology of labour, the nervous system, and relaxation techniques as examples.38 However underneath the objective of rationalising the work process, lay the deeply authoritarian nature of any attempt to treat human beings like machines. An example of this is to be found in Gastev's instructions on labour discipline. Defining NOT as the 'calculated organisation of work', workers were instructed to arrive at work in an orderly fashion, avoid sharp movements, avoid fraternising when working, there was to be no eating or drinking except in authorised breaks, no leaving the work station unless for purposes connected with the task in hand, and so on.39 Bettleheim questions the extent to which Taylorism was effective in increasing productivity.40 What we do know is that NOT was to become a central feature of labour discipline and the drive to the production of 'absolute surplus' in the 1930s. Whatever the demands for raising productivity, under the conditions where workers have little control over the production process, the treatment of labour in such an abstracted way intensifies the process of alienation.
Wages
This all took place in the context of rapidly rising unemployment, which in 1926 stood at 21%. At the beginning of April 1927 within the Union membership of 923,000 the unemployed numbered 333,000, a sixth of whom were women.41 It reached a high point in the summer of 1928 before declining such that with the beginning of the first five year plan, the industry was faced by a shortage of building labour. Wages increased over the latter part of NEP, the highest paid being bricklayers and roofers, and the lowest paid being unskilled manual workers who received about half as much. The period was equally characterised by conflicts over wages and contracts. It is perhaps worth reminding ourselves here on the significance of the wage form.
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37 Stroitel'naya Promishlennost - No 9-1924 - p233-234
38 Zhdanko - Rostki nauchnie organizatsia stroitelnovo proizvodstva - -Izdatelstvo lit. po stroitelstvu - 1968 -p146-148 (Growth of the scientific organisation in building production)
39 Gastev - Kak nado rabotat - Moskva-1927 -p33 (How it is necessary to work)
40 See Bettleheim, Charles - Class struggles in the USSR: 1923-1930 - Volume II - Monthly Review Press - 1978 - p237-257
41 Stroitel'naya Promishlennost - No 10 - 1926 p 716
Wages represented what Marx called the transformation of the value of labour power. He is at great pains to distinguish between the value of labour and the value of labour power. It is of course the latter that the Soviet State wanted to buy. One of the most significant things about the wage-form was that "it extinguishes every trace of the division of the working day into necessary labour and surplus labour, into paid and unpaid labour. All labour appears as paid labour".42 Thus the wage form conceals the process of exploitation in capitalist society, it equally conceals from the Soviet worker that part of labour which is not being paid for and is for instance going to the manager of a trust as a "per centage". 'Bonus' schemes are no different. They appear as extra payment but conceal and mystify the two aspects of labour in the same way as the ordinary wage. Marx goes on to argue that the wage form as a phenomenal form, "forms the basis of all the juridical notions of both labourer and capitalist, of all the mystifications of the capitalistic mode of production, of all its illusions to liberty...." 43.
In his early work Marx contemplates an absolute decline in wages that occurs as dead labour in the form of machines is substituted for living labour. By *Capital* as Mandel observes, Marx had arrived at a *relative* concept of wages. Wages then have two aspects, a physical aspect necessary for biological reproduction and an historico-social aspect that refers to the production of new needs as the worker becomes a consumer as well as the producer of commodities. Thus it is relative not only historically but always to the total social wealth.44
**the form of wages**
Marx continues to analyse the specific form that wages take - that is time based wages, and piece rates - *sdelnaya* - which he argues are a transformation of time based wages. His comments on the piece rate are however particularly revealing. It is the piece rate that is most in harmony with the capitalist system. Piece wages become an exact measure of the intensity of labour, such that work intensity becomes controlled by the wage form. This greatly facilitates what he refers to as 'subletting'; (what we might call labour-only subcontracting), and more importantly the exploitation of labour by capital. This occurs primarily because it sets labourer against labourer thus fragmenting collective identity, and making it easier to raise, through adjusting norms, the intensity and therefore the
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42 Marx, *Capital*-op.cit.-p505
43 ibid 551
44 Mandel, Ernest - *The formation of the economic thought of Karl Marx*- New Left Books 1977- p140-153
exploitation of labour. These comments by Marx were well known by Lenin and Rubin as well as others.
It was in this same period that letters appeared in the journals from workers opposed to the introduction of piece rates on the grounds that they created divisions, factions and competition within the working class, exactly the grounds of Marx's criticisms. However, despite disputes within the Party they received widespread use during NEP and were to remain the principal wage form with modifications for the next seventy years.
A sophisticated system of norms and rates developed that was intended to correspond to differences in skill and experience. Piece rates were considered to be one of the best ways of motivating workers because it was argued it connected the wage directly with work output. Similarly in 1928 bonus schemes were widely introduced, considered as one of the most effective ways of raising productivity.\textsuperscript{45} Collective contracts where groups of workers took on a package of work became common although conflicts were frequent between workers and management, in relation to the calculation of contract sums, in the methods of hiring and paying off of labour, and with regards to payment for housing\textsuperscript{46}
conflicts or class struggles?
The greatest evidence of widespread dissatisfaction was to be found in the increased incidences of strikes and what were called "conflicts". In 1923 workers everywhere including builders were to enter into struggle. A detailed report from this year tells that out of one hundred and thirty "general conflicts" throughout the new territory of the new state, seventy nine were in the industrial sector of which fifteen major occurred in the building industry concerning disputes over contract agreements and in which seventy five thousand building workers participated. The regional arbitration courts reported that in Moscow alone there had been eight hundred incidents involving nearly two hundred thousand industrial workers, with a further 225 incidents in the building industry nationally that had involved sixty four thousand building workers, all in disputes over wages. The same report indicates a further 219 conflicts over dismissals.\textsuperscript{47} Considering the construction workforce was in the region of a quarter of a million this suggests that anything up to half of all building workers were involved in disputes.
\textsuperscript{45} Stroitelnaya Promishlennost- No.9 - 1928 - p138
\textsuperscript{46} ibid p 140
\textsuperscript{47} Rashina ed - Trud v SSSR -Statistiko - Etonomicheski obzop 1922 -1924 - Moskva 1924 - p214 - 240 (Labour in the USSR)
This intense period of worker unrest was to continue into 1924 and 1925, when the piece wage had become operative on the majority of building sites, and increasingly in the state sector. In 1924, twenty two strikes took place over norms and wages. In the same year 3,058 conflicts were reported involving nearly 40,000 workers, 1869 in state enterprises and 1061 in private firms, 90% of these over wages. Mosstroi itself reports 2632 disputes. A year later in the first half of 1925, 25,000 workers were involved in labour disputes in the building industry and almost all of these had occurred in the State sector.\(^{48}\) Just to add to the picture of turmoil, of the 322 arrests made by the Moscow militia for drunkenness in the three summer months of 1927, 201 were builders.
**Institutionalising the fetish**
Nevertheless, these birth pangs could be justified. By the 1930s productivity in industry had passed its pre-war levels, the artels and the contractors had vanished, and some of the more painful reminders of the old world seemed to have been resolved. Important though these changes were, they did not in themselves destroy the basis on which the reification of social relations arises. Rather this period transforms the appearance of social relations. This was to be accompanied by their legal fetishisation that resulted from the consolidation of state power in the late twenties and throughout the thirties. Instead of the establishment of a political structure that guaranteed the authority of the working class and of workers' control of production, a Party bureaucracy had begun to emerge that whilst not formally owning enterprises and factories nevertheless directed them and reaped the surplus produced by workers, this being accomplished within the labour process on building sites and in factories, with essentially capitalist forms of work practice, such as one man management, piece rates and Taylorism.
Within law labour power was no longer a commodity. In reality the Soviet worker had become alienated in a quite new way. Not only was he or she 'property less', free of all property save his or her labour power, the soviet worker was no longer able like a worker under capitalism to sell labour freely. There was effectively only one buyer, who was to prove to be a particularly greedy one, and that was the state.
The dialectic of the form of labour thus takes a new turn. In the language of Soviet philosophy we have the complete unity of opposites, yet a thoroughly antagonistic unity: the creation of social relations in the labour process that are the effective opposite of the
\(^{48}\) *Rabota Soyuz Stroiteli*- op.cit p112
spatialisation of social relations in the projects of the avant garde. As we shall see however this dialectic is propelled to altogether new heights in the early 1930's.
**leading the assault**
Within the field of culture one of the ways in which the new dictatorship manifested itself was through an attack on the Modern Movement. The Association of Proletarian Architects VOPRA, founded in 1929, immediately engaged in a polemic against formalism and constructivism. Both were considered inappropriate, the former was targeted as being symbolic of the petty-bourgeoisie, and both were too closely associated with the art of the capitalist west. Constructivism in particular was targeted, for its 'vulgar' materialism, for ignoring artistic content, for being too abstract, and for paying too little attention to the 'real' local conditions. 49 The criticisms were to be repeated in the following months. Whilst VOPRA along with OSA and ASNOVA were dissolved in 1932, their critique was not unlike that which was to come from the Party bureaucracy. The attack was to be conducted not only in relation to aesthetic issues but against many of the functional objectives contained within the egalitarian visions of early urban and housing design. It is important in relation to our dialectical model to see how this assault on the avant garde is appropriate to the increasing dominance of bourgeois political economy. Categories like 'wages' became empty categories, empty that is of any notion that they were real expressions of social relations50. Thus architecture like political economy was to largely return to its bourgeois origins, a retreat that was announced as a great leap forward into socialism.
The modernist aesthetic in particular was considered to belong to the bourgeois world, and ideas concerning disurbanism and the commune were considered naive, utopian and even dangerous. Architects and artists were faced with either accepting the line of the new ruling elite on acceptable forms of cultural activity, or of being marginalised, sometimes disappearing altogether. For painters this meant a return to idealised figurative works, for architects an heroic decorative monumentality often deeply influenced by classicism.
In the history of the work of any artist it is inevitable that we should see changes in the subject matter addressed and in the techniques of representation. However it is the depth and rapidity of the transformation in the work of particular individuals that provides us with a clear symbol of the emergent regime's true character. In the early 1920s Kasimir Malevich,
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49 *Stroitelstvo Moskvy*-No 8-1929-pp25-26.
50 Bettleheim, Charles - *Class struggles in the USSR* - Volume II -Harvester - 1978 - p505
the leader of the painting movement known as Suprematism was renowned for his geometric abstractions, such as the black square. By 1933 at the height of the famine he is painting in an orthodox manner rosy cheeked peasants. Melnikov travels from the humanism of the club Russakova, to the triumphalist despotism of his scheme for the ministry of Heavy Industry. (See fig 50)
It is from the negation of social relations, and from the negation of critical ideas and theory, that ideology arises as a form of distorted consciousness which increasingly masks the betrayal of the revolution. Consequently the search for an architecture aspiring to a socialist democracy became utopian only in the context of the negation and atomisation of democracy itself.
Melnikov's journey from the avant-garde to the heroic and monumental
Melnikov's design for the Commissariat of Heavy Industry, 1934
CHAPTER 3
THE CONSOLIDATION OF DICTATORSHIP AND THE NEGATION OF THE NEGATION
Fragments of true stories
March the twelfth 1953
There was an eerie silence in Moscow that day. It was only a week since Stalin had died and people were still coming to terms with what this might mean. Holding on to an empty bottle of samagon, Konstantin stared down through the firmly shut windows onto Chakalova Street. Extremely confused, he was sick. Too many years spent heaving earth in grandiose projects that were built as a boast to the rest of the world had left him with a twisted back that pricked with pain when the weather was damp and defiantly cold. He lived in one of the more prestigious neo renaissance apartment blocks in Moscow designed by the architect Vaynstein in the thirties. This was a right that he enjoyed by virtue of being a decorated shock worker, one of the enthusiastic masses that had helped rebuild Moscow as a 'third Rome'. He had been off work for six months and had time to do a lot of morbid thinking, if the selective censorship of memory can be called thought. He was in the grip of nostalgia for those moments twenty years earlier when still surrounded by friends the world had seemed a lot less ambiguous and the tasks that he faced with his close friend Mosei had seemed perfectly straight forward. There was no question then that productivity must be raised by any means necessary and if that meant sacrificing ones labour and perhaps ones life then so be it. But at this moment nagging doubts plagued his overweight mind and body. However hard he tried there was this burning idea etching its way towards his mouth that for all the apparent triumphs, there was no document of civilisation which was not at the same time a document of barbarism.\(^1\) As he turned his gaze towards his fat flaky hands, he remembered his medal. Slowly easing himself out of the chair he went to the glass cabinet and pulled out the five pointed star awarded to him by Kaganovich himself. In tears he threw it onto the floor in a hopeless rage. Many had talked in hushed whispers about the dark side of Kaganovich. He knew first hand. A brother and three old school friends had been arrested in 1937 when Kaganovich as Commissar of communications had countless transport workers removed.\(^2\) It was too difficult for Konstantin to reconcile this knowledge with the hero that had spoken to them with such revolutionary bravado on the official opening of the Moscow Metro. However hard he tried to block that day the enthusiastic "urrahs", "Zdrastvitia Stalina" bounced with such ferocity that he became rooted to the spot locked into the 14th of May 1935.
Kaganovich was in full swing "Us- Bolsheviks, Proletarians - the bourgeoisie try and represent as barbarians, destroyers of culture. But it is the opposite, we fight against predators, against the barbarism of imperialism, we fight for a new culture, for new labour, for the new person, for an immediate, bright and splendid life for all human kind".\(^3\)
It was stirring stuff and amidst the roars of approval Konstantin, Mosei and everyone else looked cautiously around to spot the 'individualists' and 'opportunist' that Kaganovich had warned them were in their midst. But nothing could dull the pride of these young shock workers revelling in the completion of an engineering and artistic masterpiece that would have peasants, workers and enemies shivering in awe.
"In every piece of marble, in every piece of metal and concrete, in every step of the escalator is manifest the new human soul, our socialist labour, our blood, our love, our struggle for the new person for a socialist society.....The worker sees in the metro his strength and power, If
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1. Benjamin, Walter - *Theses on the Philosophy of History* - p256 In *Illuminations* - Schocken - 1969
2. Medvedev, Roy - *Let History Judge* - Spokesman Books - 1976-p 334 - 7
3. Kaganovich,L.M - *Pobeda Metropolitena - pobeda sozsialisma* - p28 in *Kosarev et al - Kak Myi Stroili Metro* - Izd "Istoria fabrik i zavodov" - Moskva - 1935 (How we built the metro)
before only the rich used marble, now under our power, this construction - is for us - the workers and peasants - the marble columns, are the peoples, Soviet and Socialist.....in every one of these palaces burns a flame, moving forwards to the victory of socialism.......Greetings workers, engineers, technicians, party and union organisers, non party individuals, everyone who built the metro with love, with belief, they built not only for themselves but for socialism....Greetings to the victorious Party of Lenin and the great builder of communism, our comrade Stalin" (See fig 51)
Everyone was on their feet, the cheering rang through hall and city, and the hero workers paraded in the streets. It was a day Konstantin would never forget but one that had assumed the character of a fairy tale, so removed from what was to follow as to tear the foundations from all belief.
In that he suffers the mental chaos that comes from the grotesque distortion of truth and reality Konstantin is to all intents a real character. New labour had been created. New culture had emerged. But the former was to become defined by violence and the latter by mythology.
4 ibid excerpts p32 - 35
Stalin and Kaganovich watch over the grand opening of the Moscow metro
Торжественное заседание в Колонном зале Дома союзов накануне пуска метрополитена 14 мая 1935 года
ideology is laid bare
This chapter focuses on the transformation of space and the labour process in the 1930s, it is also concerned with the representation of such changes and the meanings which are attached to them. It is in this period that the materiality of ideology\(^5\) is laid bare in the all embracing production of fantasy, where one of the principal functions of art and architecture was to bury the reality of the defeat of the working class as a conscious political subject. Again this is not to be perceived as a conspiratorial act on behalf of the bureaucracy, but as something that was born in the material contradictions of social life, a relationship that both rulers and ruled entered into regardless of their own will. For virtually every slogan offered in the world of propaganda, there occurred practices in homes, farms, and factories that were in direct contradiction. Socialist Realist culture begins to invent a social world that is increasingly unrecognisable, as labour, history, and space become idealised. We should remind ourselves of the paradox that this rupture between daily life and its representation, is one of the threads of continuity that binds the cultural counter revolution in the 1930's with the history of the avant garde. The more the democratic foundations of the revolution were being undermined, the greater the recourse to the construction of utopian dreams, and ultimately violence.
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5 Three books in particular have been of great use in summarising the historical debate over the concept of ideology are - Eagleton Terry - *Ideology an Introduction* - Verso- London-1992, Larrain, Jorge - *Marxism and Ideology* - Macmillan- London-1983, and Larrain, Jorge - *A reconstruction of historical materialism* - Allen and Unwin - 1986 In opposition to 'positive' and 'neutral' theories of ideology, both authors tend to favour and emphasise a negative and critical theory, that has a lineage which can be traced back to Marx.
Here, Ideology becomes much more narrowly defined as an elaboration on the categories of contradiction and negation. Accordingly it can be argued that whilst it is possible in any epoch to recognise ruling ideas, these ideas are not necessarily ideological. Ideology becomes reserved for a particular form of distorted consciousness which conceals contradiction. (Larrain 1986 p123) By concealing social contradictions, ideology objectively helps to reproduce them. Thus not only are the notions of 'wages' and 'profit' aspects of ideology in that they conceal non equal social relations, but painting, literature, indeed any social practice can be understood as forms of deception. This could easily be read as an argument in favour of a 'realism' that seeks to explore the true nature of social relations. But as we shall see the pursuit of realism in art and literature is open to accusations of misrepresentation and historical fraud perhaps more than any other genre.
Ideology then can refer to any class, not just a ruling class. (Larrain 1986 p49) Groups in opposition are just as able to be self contradictory as those in power. That individuals can be deceived by others and by themselves is hardly a new insight. But the linkage between this aspect of consciousness and the reproduction of a class system is a considerable advance in our understanding of social development. We have then a concept of ideology that is both negative and critical which refers in the first place to "ideas and beliefs that which help legitimate the interests of a ruling group or class specifically by distortion and dissimulation," and in the second place to the origins of such distorted and deceptive consciousness not so much "from the interests of a dominant class but from the material structure of society as a whole." (Eagleton 1992 p30) This returns us to the *Fetishism of the Commodity and the Secret Thereof*. Ideology in this latter sense occurs wherever human social relations become reified either in the form of things, objects, paintings, words and of course law. It is negative because it refers to the negation of social reality. It is critical because it draws our attention to the exploitative character of the relations that are concealed.
the third Rome
Within the production of the built environment this reaches its apogee in the reconstruction of Moscow as a showpiece Imperial city, finally negating the avant garde, and replacing the Constructivist 'social condenser', with a new type of collective space devoted to organised social ritual, and the creation of zones of exclusion. As the population was told of the triumphant transformation of social relations, within the building industry a regime of accumulation was introduced dependent on the extraction of surplus by 'absolute' means, that was comparable to the most draconian of the satanic mills of nineteenth century Britain. With the defeat of the Workers' Opposition, and with the subordination of the Trade Unions, the State was able to establish the system of one man management and a strictly controlled vertical division of labour. Along with the attack on collective forms of work organisation and wage payments, the bureaucracy had in effect mounted an assault on the very foundations of a workers' democracy. Such a betrayal could only be disguised from the most illiterate of peasants entering the proletarian world for the first time.
the aestheticisation of politics
The recourse to repression and wild architectural ostentation was inevitable. But the argument does not stop here, for many of the aspects of the centralised bureaucratic management of political and social life that emerges during this period have parallels not only in the history of other class societies and fascist dictatorships, but in contemporary life in western countries. Although we should be careful in drawing too many parallels between the Germany and the Russia of the 1930s, Benjamin's comments on the fate of aesthetics under the Third Reich could well have been written about the relations between aesthetics and politics under Stalin.
"The masses have a right to change property relations; Fascism seeks to give them an expression while preserving property. The logical result of fascism is the introduction of aesthetics into political life. The violation of the masses, whom Fascism, with its Fuhrer cult, forces to their knees, has is counterpart in the violence of an apparatus which is pressed into the production of ritual values. All efforts to render politics aesthetic culminate in one thing: war"6
The merging of politics and aesthetics became one of the distinguishing features of social life in the Soviet Union. The organisation of mass culture assumes a central position in the reproduction of new social relations that establish the bureaucracy as a ruling class. One of its primary functions was precisely to preserve the illusion that property relations had been
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6 Benjamin, Walter, *Illuminations* - Schocken- 1969 - page 241
fundamentally transformed in the interests of the masses. The contemporary significance of this should be immediately apparent and exposes the dangers and unhappy conclusions that we inevitably draw from the realisation that the merging of politics and art has reached untold new heights in late twentieth century capitalist societies. We come to accept as natural the degeneration of aesthetics into advertising, and contemplate with no feelings of loss or fear the ultimate victory of exchange value in the production of art.\(^7\)
**organising for the production of a mass culture**
It is immediately apparent that the monumental changes in the character of the labour process that lay at the forefront of the history of Soviet industrialisation were matched in scale and profundity by a transformation in the production of a specifically Soviet 'culture'. In its narrow sense culture refers to the production and dissemination of ideas within art and literature, a specific notion of artistic and intellectual activity, such as the Soviet policy for the arts in the 1930s that became known as Socialist Realism.\(^8\) But there is a broader anthropological and sociological concept of culture. Not unrelated to the Russian concept of the *Noviye Beat*, "new way of life", 'culture' here refers to the dominant characteristics of the social life of a people, and to the role that cultural production takes in the reproduction of an established social order.\(^9\) Such a concept embraces aesthetic practice, but seeks to explore its relations with other dominant customs and practices. To try and describe such a culture, is to attempt to describe the totality of social life at a given historical moment in the development of a society, the point at which what has been traditionally called 'material' production, and the production of ideas, form a clearly distinguished historical unity. If the latter Marcusian general concept of culture appears as too universal and Hegelian in its emphasis on a unified social totality, it nevertheless comes closest to capturing the aspirations of the Soviet bureaucracy for the mass organisation of social life, in which work, leisure, thinking and dreaming would be united in a common platform and with a common goal.
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7 The production of information and the control of communication emerges and assumes a significance that is unique and historically specific to the late nineteenth and twentieth centuries. Modern political struggles within the labour process are inseparable from struggles concerning the production of knowledge and communication systems. It is not that the banks and the factories have ceased being the locus of struggle, it is just that the spatial map of class struggle has become more extensive and complicated. It is an index of modern times that in the Romanian and Russian uprisings of the late eighties and early nineties, some of the most intense fighting took place around the television stations. If the slogan of 1968 had been that the 'revolution will not be televised', its protagonists must have felt more than a twinge of historical farce that in 1988 we could watch it all, complete with commercial breaks.
8 For a more detailed critique of the ideological character of Socialist realism see Part III of this chapter
9 See Williams, Raymond - *Culture* - Fontana - 1986 - p11-13. Williams is generally acknowledged as one of the pioneers in the development of a materialist theory of culture. For introductory discussions on ideology and the social production of art see Hadjinicolau, Nicos - *Art History and Class Struggle* - Pluto - 1978 and also Wolff, Janet - *The Social production of art* - Macmillan - 1981
This grandiose cultural counter revolution was one of the pre-conditions for the reproduction of the Soviet ruling class. All ruling classes are obliged to ensure that its ideas, its conception of the world become dominant and ultimately natural in that they appear neutral. The scale on which the naked mass production of a culture embodying particular social values was planned and executed through organised social ritual, was unique in the history of twentieth century Europe, rivalled only by the organisation and production of ideology and information in Nazi Germany. If the way in which the ideas of the ruling class permeate the fabric of late capitalist societies can be said to be insidious, discrete, and ever harder to recognise, the Soviet ruling class was always unequivocal and loud in the message that it proclaimed.
**the peculiarities of Soviet 'ideology'**
It is argued that it was Lenin who established the concept of ideology as being connected to "class political ideas", such that ideology came to refer to a body of ideas that reflect the historical interests of a class.\(^{10}\) In this sense Marxism, could be considered to be the ideology of the revolutionary proletariat. Whilst it is important to distinguish the Marxism of Lenin from that of Stalin, Stalin nevertheless inherited the concept and role of ideology as *the world view of a class* from Lenin, and this notion of ideology as the expression of class interests was subsequently retained throughout the Soviet period.
From the earliest years of the Soviet Union, the Communist Party had sought to reproduce and extend its hegemony through the centralised administration and control of education and knowledge. The intolerance of dissent and the authoritarian monopoly of the means of producing information were not invented by the Stalinist regime but were traditions inherited from the years of the civil war when the Soviet government was forced into taking draconian measures to defend its seizure of power. It was after all the Bolsheviks who first introduced the Communist Party's monopoly on printing paper, abolished press freedom, disenfranchised parts of the electorate, curbed rights of assembly, and suspended the activities of the Constituent Assembly. However expedient these measures might have been in a revolutionary situation, the implicit dangers of such tendencies were already clear to those like Rosa Luxemburg, who considered that many of the measures taken by the Bolsheviks were running counter to the long term prospects for the development of democracy. High on the list of such fears was the way in which the dictatorship of the proletariat was fast becoming
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\(^{10}\) **Larrain, Jorge - Marxism and Ideology - Macmillan 1983 - p63-69**
a dictatorship of a Jacobin elite, acting on behalf of the class in whose name the revolutionary dictatorship had been proclaimed.\textsuperscript{11}
As early as 1918, she had warned of the dangers of making a virtue out of necessity, such that we arrive at the historical moment when the temporary suspension of freedoms becomes a permanent feature of social life. Four years later, also on the grounds of necessity, it was Lenin who at the notorious Tenth Party Congress banned factions. Many of the precedents and preconditions for the development of a mass culture and agit-prop programme that would eventually lead to a materialist ideological orthodoxy had been lain before the ascension to power of Stalin. The centralisation and concentration of the means of communication within the hands of the Communist Party, established during the Civil War, was never fully relinquished. Rather we see a shift from a climate of relative tolerance during the years of NEP, a period in which the avant garde had admirably displayed the value of harnessing politics to aesthetics, to the political and cultural intolerance that dates from the late 1920s onwards.
Central to official Soviet Marxism was a particular version of historical and dialectical materialism. The claims of such theory to have unlocked the secrets of capitalist development and historical change, to have developed a science of society and history that revealed the truth of the human condition, were central to its universal claim on the hearts and minds of the Soviet population. However, by the 1930s within official state publications, the critical traditions of Marxism had been dispatched and replaced by a series of 'ruling' axioms. Official Marxism, stripped of any critical tradition became no more than a sterile signpost with which to brand any oppositional ideas and programmes, 'anti-Marxist' and therefore 'anti Soviet', and could be used with equal vehemence to condemn either western or internal critics. All art, literature and knowledge was judged according to whether it complied with or deviated from the 'Party-Line'. All debates and arguments such as those between ASNOVA, OSA, and VOPRA on architectural policy and those between Bukharin, Preobrashenski, Trotsky and Stalin, concerning such issues as economic development, industrialisation, the organisation of labour, and the role of the Soviets, could be crudely evaluated in terms of their occupation of Marxist or Non Marxist positions. Under the centralised administration of guilt, anyone and anything could become anti-Soviet. 'Partinost', party-spirit and 'Ideanost', ideological position, became the chief arbiters of quality. This regime of judgement like a highly virulent virus spread through every school,
\textsuperscript{11} Luxemburg, Rosa - \textit{The Russian revolution and Leninism or Marxism} - University of Michigan - 1961 - The former was first published in 1922 the latter in 1904
institution and factory to every home, festival and holiday. 12 Any word and any act was judged according to whether it correctly reflected the prevailing position of the Party. Thus daily life became politicised in a manner whereby political life is stripped of any politics. Amongst the 'axioms' - "the moral, social and economic superiority of the Soviet system", "the inevitable victory of socialism over capitalism", "the inviolability of state property as the finest expression of socialist property", "the leading role of the productive forces", along with the three canonical laws of the 'diamat', were all prominent and familiar cornerstones of Soviet orthodoxy, a set of rules that every school child was required to learn off by heart.
But it is clear that in order to successfully disseminate such ideas, the Soviet ruling class was concerned not only with the publication of slogans and textbooks on historical and dialectical materialism, but was required to operate on the totality of time and space. This sought for unification of a conception of the world, of a philosophy with practical activity, is what Gramsci considered to be one of the defining features of ideology. It was when such a unity of a philosophical system with forms of practical activity reveal themselves "at all levels of a society, in art, in law, in economic activity, and indeed in all manifestations of individual and collective life", that not only can we speak of society becoming saturated by particular ruling ideas, but that they have the power to "organise human masses, and create the terrain on which men move, acquire consciousness of their position, struggle". 13
The more however the aspirations and ideas of the ruling class were being undermined and contradicted by the realities of everyday social life, the wider the fracture became between rhetorical slogans about socialism and the actual experience of life at labour and at home. This was accompanied by the organisation of an unprecedented and comprehensive programme of mass propaganda and education that sought to rescue and build a dominant 'socialist' culture, through the endless repetition and eulogisation of the notions of socialist democracy, the heroism of labour, and of the victory of the proletariat. As the truly ideological character of these ideas became more pronounced the need to universalise and totalise such ideas through propaganda became imperative. State occasions, public holidays, sport, first names, festivals, art exhibitions, all became opportunities for the dissemination of ruling ideas concerning history, class and labour.
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12 For a discussion of the way in which ideology is literally institutionalised within a social formation see, Althusser, Louis - *Ideology and ideological State Apparatuses* - in *Lenin and Philosophy and other essays* - MRP - New York -1971
13 Gramsci, Antonio, - *Selections from Prison Notebooks* - Lawrence and Wishart - 1971 - p328, and 376-377
Here we encounter another paradox. With the weaponry of scientific socialism and rationalist thought, the 'triumphant defeat' of the mediaeval world of mystical uncertainty could be proudly declared. However, Soviet culture steps into the same framework of time and space previously occupied by the Orthodox church. The analogy is not at all spurious. Through prayer, biblical teachings, and its virtual monopoly on the production of text and image, Orthodox Christianity as a previously dominant official State culture endeavoured to control the cultural and social life of the Russian people. This was reinforced by the regulation of space - the predominance of the church in the landscape, the icon in the corner of every home, and by the regulation of time - the mirroring of natural and agricultural cycles by that of the call to prayer and worship. The Soviet regime's monopoly on the production of knowledge and its occupation of the temporal and spatial co-ordinates of twentieth century life is closely analogous. This is amplified in that salvation was to be found not in the resolution of the myths of the ancient world but in the construction of a new simultaneously real and illusory form of ideology. The 'red corner' replaces the icon, the factory the church, the workers' club the seminary, a waxed Lenin in the mausoleum replaces the Christ figure, *State and Revolution* replaces the Bible, May Day replaces Easter, and the "Communist Subbotnik", ("Communist Saturday"), replaces Sunday worship. (See fig 52)
**the contradictions of Soviet 'ideology'**
However in the historical development of Soviet cultural and ideological production, there arose two principal contradictions that ultimately negated the positive and totalising intentions of the Soviet world view. Whilst Rubin and Pashukanis had explored the concept of reification and fetishism in Marx, and later philosophers like Mamardashvili\(^{14}\) were to explore Marx's theory of fetishism and ideology as primary constituents in the formation of consciousness, such ideas were approached at a purely theoretical level or in relation to the analysis of capitalist society. Under the regime of a rigid Marxist orthodoxy it is obvious that cultural theorists were not able to use theoretical tools such as alienation and reification to examine the contradictions of Soviet social life. To do so would be to presume the development of new antagonistic class relations.\(^{15}\) Soviet cultural theory and more general Marxist theory remained predicated on a binary split of the social world between
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\(^{14}\) Mamardashvili, Merab - *Analiz sosnania v rabotax Marxa* - In *Kak Ya ponimayu filosofiu* - Progress - 1992 - (The analysis of consciousness in Marx) First published in 1968. It is interesting that it is contemporary with the western resurgence of interest in Marx. The essay however makes no reference to the work of Rubin and the early work of Pashukanis.
\(^{15}\) It is in the social relations of production that the origins of reification, alienation and ideology, are to be found. The barriers to consciousness, identity and knowledge of the social world that these categories epitomise are inseparable from class relations, and these are manifest as much in the production of art as in the reorganisation of the building labour process and in the class character of the Soviet State.
The icon and the good disciple become buried under white wash
Cosmas, Damian and Jacob - Novgorod early 16th century
bourgeois and proletarian, capitalist and communist, good and bad. Under such circumstances Soviet Marxism could never provide a critique of itself as ideological, that is as a body of ideas born in the heart of material life that in the process of enlightenment masks social contradictions. This as we shall see had particularly damaging consequences for the Soviet theory of realism.
But neither could the hegemony of the Soviet ruling class ever be absolute, not least because workers and repressed people find ways even in the face of dictatorship of resisting domination. Moreover its ideas were always compromised and mediated by the class contradictions that it constantly sought to deny. Its success in actually transforming consciousness through such a cultural revolution could never be more than partial. In particular, Soviet ideology was always mediated by two factors; first the biological and intellectual reproduction of the working class, that historically obliged the State to back up at least some of its claims in the redistribution of the social surplus to workers, and secondly, in the context of an assault on the pre-conditions of socialism, the obligation to reproduce at a formal level within law, propaganda, art and architecture the concept of the class struggle, socialism and the revolutionary process within history.
In the subsequent aestheticisation of politics in which the real class origins of thought were hidden, a suffocating conformity began to masquerade as universal liberty. Class relations, exploitation, misery and poverty became touched out of the picture and out of the text. The Soviet insistent claim on universal freedom, and its hand maiden 'socialist realism', became masks behind which the suspension of basic democratic rights remained unseen. The more the ruling bureaucracy established itself as a ruling class the more powerful and all embracing the production of ideology had to become, and as the objective truths of social life became too obvious to bear, the recourse to crude 'hagiographic' mythology became inevitable.
In this mythology, powerlessness and non-identity become represented as freedom and happiness. If the ability of workers to organise production on the basis of their own creative self activity was to be vanquished by an authoritarian regime of bureaucratic management, this could be redeemed. First within law, where workers could still be declared owners of State property, and second in the idealisation of labour within art, literature and architecture. Myth can be painted, written about and even built. Presented as no more than
16 Indeed, Eagleton argues that ideology is in essence "scarred and disarticulated by its relational character; by the conflicting interest among which it must ceaselessly negotiate" (Eagleton op.cit p222 - 1992)
another passage in the ancient history of objectifying beauty and pleasure, and of creating in stone a dreamt of monument to self identification, the making of architectural works also become ideological acts by concealing their social intentions. Within the folds of objective notions of beauty, lie the subjective prejudices of the class that seeks to make the world in its own image. But there is comfort in the knowledge that such ideas can never be reduced to the unmediated conduct of one class, they remain contradictory and dialectical, the unhappy marriage of civilisation and barbarism. This is where mythology can once more enter, to blur the edges, by providing historical intention with a natural justification, and making contingency appear eternal. In this way myth becomes de-politicised speech.\(^{17}\) Language itself became saturated with political mythologies, revealed in both popular metaphors and vocabulary. One of the consequences is that the rhetoric and language of revolutionary politics becomes one of the very means by which the Soviet worker was not only alienated but politically unarmed. To fight for workers management and for the democratic social ownership of the means of production becomes problematic when in every book, slogan, and picture, such historic rights have already been confirmed.
One of the greatest paradoxes was that it was precisely Marxism which was supposed to reveal through theory and practical activity the reality of the human condition. It was Marxism that could rid us of the process of reification, that could strip away the camera obscura in which men and their circumstances appear upside down, to reveal the social relations behind the "fantastic form of a relation between things".\(^{18}\)
One of the more obvious consequences of this was that it enabled a fortuitous division of the world into hostile and irreconcilable 'ideological' camps, the bourgeois versus the proletarian world outlook, a simplistic fracture that was more useful in maintaining the positions of the ruling class in both societies than uncovering the real nature of antagonistic relationships. But the elevation of Soviet Marxism to the status of a science, in which its real ideological character in masking contradictions was implicitly denied contributed to the controversial history of instrumental reason. In the very act of disrupting and distorting consciousness, Soviet Marxism in the 1930s was thus raised aloft as the triumphant means
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\(^{17}\) Barthes, Roland - *Mythologies* - Paladin - 1984 - p142-3
\(^{18}\) This is of course a reference to two passages, Marx, Karl - *Capital* - Sonneschein - 1908 - p43, Marx Karl - "German Ideology" - Lawrence and Wishart - 1985-p47. After the work of Pashukanis and Rubin, the most famous exposition of the concept of reification as a barrier to class consciousness was to be found in the early work of Lukacs. He was to take the notion of reification and to elaborate it to include not only the mystifying categories of political economy but the whole ideological history of the bourgeoisie which he described as "nothing but a desperate resistance to every insight into the true nature of the society it had created and thus to a real understanding of its class situation." See Lukacs, Georg - *Class Consciousness* - In *History and Class Consciousness* - Merlin - 1983 - p66
through which the de-mystification of the social world was to be accomplished. This of course was a paradox. If on the one hand Soviet rationalism offered the chance to rid the Russian people of the ghosts, gods and spectres of the feudal world and to provide them with electricity and tractors, it was to accomplish this by banishing the 'spirit' to the wastelands of time as a defeated opposition and reflex of the material world. Nothing in Soviet life would thereafter escape the logic that comes with the rule of mathematical law.\textsuperscript{19}
This is the birth of the fetishisation of science and technology, a phenomenon originating in the bourgeois world that was to mature in the Soviet Union in two respects. First the supremacy of the historical thesis known as "technological determinism" (see chapter four), and second the vulgarisation of materialist thought, where everything and all human activity had to surrender to science, often regardless of whether the knowledge it represented had any relationship to formal logic. To justify themselves, all Soviet institutes became prefixed by the word 'nauchnie', scientific, a lasting symbol of the deeply held ideological distrust of idealism.\textsuperscript{20}
"the curse of irresistible progress is irresistible regression"\textsuperscript{21}
These are not just abstract propositions. With the publication of Stalin's infamous essay of 1936, declaring the foundation of socialism and the resolution of fundamental class antagonisms, socialist development from then onwards was a matter of the development of the productive forces, where need, or rather the concept of necessity was reduced to a process of quantitative expansion.\textsuperscript{22} Journals, and propaganda from this period became almost devoted to an obsession with statistics. That progress is connected with an increase in the
\textsuperscript{19} But by the end of the 1930s, the world according to reason was slowly drowning in a world according to fact and utility. The Faith of Hegel regarded the ascendancy of this Utility as an abomination. (\textit{Hegel}, Georg - \textit{The phenomenology of Spirit} - OUP - 1977 - p343). Everything is called upon to justify itself in the court of numbers, and in the court of means and purposes. It was a process described by Lukacs whereby all the elements of historical change 'are converted into empirical facts and incorporated in reified form in the web of rational calculation'(\textit{ Lukacs}, Georg - \textit{Reification and the Consciousness of the proletariat}- In \textit{History and Class Consciousness} - Merlin - 1983 - p182).
\textsuperscript{20} Despite their deep differences with Lukacs, Adorno and Horkheimer were also to develop the critique of the 'quantifiable world' in the classic text "\textit{The dialectic of the enlightenment}". One of the great features of the Enlightenment was the way in which technology and science became the foundation of knowledge and thereby a crucial aspect of power. This rendered anything that could not be computated as suspect and inaugurated the reign of formal logic whereby all qualitative aspects of the world must bow and be quantified. (\textit{Adorno and Horkheimer} - \textit{The concept of enlightenment} - In \textit{The Dialectic of the Enlightenment} - Verso - 1989 - p6) Mathematical science is erected as the rallying banner for human emancipation and banishes metaphysics, declaring the victory and hegemony of factuality celebrated most immediately in the rigidification of time itself. (ibid. p 25-27) This achieves its purest form in the rationalisation of the labour process and the payment of piece wages that comes with the transition from manufacture to machine based production.
\textsuperscript{21} \textit{Adorno and Horkheimer} - \textit{The concept of enlightenment} - In \textit{The Dialectic of the Enlightenment} - Verso - 1989 - p36
\textsuperscript{22} For a discussion of the 'primacy of productive forces thesis' see \textit{Larrain}, Jorge - \textit{A reconstruction of historical materialism} - Allen and Unwin - 1986 - p44-50
volume of goods and means of production is not questioned here, but to define socialism by the development of the productive forces is an historic betrayal. As Lefebvre commented "economic statistics cannot answer the question: What is socialism? Men do not die for tons of steel or for tanks and atomic bombs. They aspire to be happy, not to produce."23 However the quantification of quality, that Barthes argued was one characteristic of bourgeois ideology24, was to dominate ideological production in the USSR for all of its seventy years. The plan target became the measure of social progress and a new form of domination. The possibility of profound and qualitative transformations of everyday life, could only be acknowledged if such changes could be subject to rational calculation. Anything that flew in the face of the laws of mathematical science and could not be predicted with scientific precision was of questionable merit. Thus;
"By elevating necessity to the status of the basis for all time to come, and by idealistically degrading the spirit for ever to the very apex, socialism held on all too surely to the legacy of bourgeois philosophy. Hence the relation of necessity to the realm of freedom would remain purely quantitative and mechanical, and nature, posited as wholly alien - just as in the earliest mythology - would become totalitarian and absorb freedom together with socialism. With the abandonment of thought, which in its reified form of mathematics, machine, and organisation avenges itself on the men who have forgotten it, enlightenment has relinquished its own realisation."25
The question of whether workers were actually swayed by the weight and constant barrage of ideological production is in many ways overshadowed by the fact that the counter revolution occurred at every level within the social totality. Where ideology demonstrably failed to motivate workers the regime resorted to violence. Yet for all the workers who opposed the general line, there were equal numbers enthusiastically engaged in 'emulation' schemes and in the drive to become Heroes of labour. The death of Stalin brought many sighs of relief but also genuine tears of grief.
labour, alienation, and ideology
Such a theory of ideology that emphasises deception, myth and distortion is fundamentally concerned with the reification of social relations.26 Historically connected with the notion of abstract social labour and the commodification of labour power, it has its origins in the history of capitalism. However in the situation where social relations become reified in quite
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23 Lefebvre, Henri - *Critique of Everyday Life* - Volume 1 - Verso - 1991 - It is worth noting that the publication of this text led to the expulsion of Lefebvre from the French Communist Party.
24 Barthes, Roland - *Mythologies* - Paladin - 1984 - p153
25 Adorno and Horkheimer - *The Concept of Enlightenment* - In *The Dialectic of the Enlightenment* - Verso - 1989 p41
26 This continues the discussion introduced in chapter two.
new ways, we could fully expect the reproduction of this aspect of ideology if in a different manner. Not only can such categories be applied in the analysis of the Soviet social formation, but if anything the process of alienation and the production of ideology that is born in bourgeois society matures in the Soviet Union.
It has been argued in relation to the process of Stalinist industrialisation that "The absence of commodity production and the resultant absence of exchange value have meant that abstract labour does not exist either.....The employer does not confront the worker in the same way as the capitalist confronts the wage labourer. Labour power in the Soviet Union is not a commodity."27 In the early thirties there was no market for labour power and other commodities in the same way in which we have experienced it in a classical capitalist economy. This however is to be entirely expected. It is far too crude a simplification to think of the Soviet economy in the same way as we would 1930s Britain or U.S.A. However, as we noted earlier, this is not the central issue. We remember following the arguments of Marx, Rubin and Pashukanis, that the starting point for research is labour and production not the processes of exchange. The commodification of labour power, the emergence of the category of abstract social labour, is simply the *social form of labour belonging historically to the development of capitalism*. It should come as no surprise then to find that it is not reproduced in the same way in the conditions of the USSR. But the question remains *what new social forms of labour emerge?*, *what new forms of alienation develop?*, and *how are the new social relations reified*? Marx never limited the concept of alienation to capitalism and certainly did not envisage its absolute end in the transition to socialism.28 Its disappearance in the Soviet Union, occurred by decree only, a law that needless to say was contradicted by objective social reality. At the centre of this social reality lies the new social form of labour, and it is to the fate of the Soviet worker that we turn next.29
---
27 Filtzer, Donald - *Soviet Workers and Stalinist Industrialisation* - Pluto - 1986 - p259 - We could attempt to contradict this by pursuing an argument concerning the integration of the Soviet economy with the global development of capitalism, and with the development under the policy of Khozrascot of money commodity relations between enterprises
28 Lefebvre, Henri - *Critique of Everyday life* - Volume 1 - Verso - 1991- p52-63ff
29 This is in actual fact the great strength of Filtzer's book, which demonstrates convincingly and thoroughly the emergence of new objective forms of exploitation and alienation which represent the transfer of the contradictions of capitalism to a new level.
restructuring the management of the labour process
By the beginning of the first five year plan co operatives, artels, and private contractors had vanished and in this sense many of the contradictions that had occurred in the period of NEP would appear to have been resolved. In 1929 under the jurisdiction of BCHX, Glavstroiprom was founded to reorganise all construction activity on a Union wide basis with specialist ministries created for the different geographical regions. It is from this point that the Ministerial system of management that was to dominate construction activity for the rest of the Soviet period develops. Despite periodic moves to de-centralise control to Republican and local levels such as in the early 1960s, and during the years of Perestroika, the industry retained what was in essence a strictly controlled vertical division of labour. The founding of the state system of construction was of course met with slogans testifying to the 'liquidation' of the vestiges of capitalist industrial development. However, whilst some contradictions were resolved, others became intensified and new ones emerged.
Under the new Ministerial system, the form of management and control within industry far from returning to the principles of the building workers declarations of 1918, became even more centralised and concentrated within the hands of the party bureaucracy in Moscow. This was formalised and entered textbooks under the banner of democratic centralism. It was certainly centralised. Its claims to democracy were founded solely on the identification of state ownership with socialist property. An investigation of the language of law is particularly revealing of the double act that the Party was required to perform. The decree of the 5th of September 1929 on "The measures for the regulation of the management of production and the installation of one-man management" was perhaps the pivotal piece of legislation legitimising in law the development of the bureaucracy.¹
These new laws made the directors of enterprises responsible for the carrying out of plan targets and granted them virtually complete authority in the appointment of staff, in the general running of the enterprise and in maintaining labour discipline. Whilst the regulations clearly stipulated that directors were required to seek the opinions of trade union and party organisations and to delegate smaller day to day running problems, the extent to which rank and file workers could intervene in the actual management of the enterprise was strictly limited. Trade unions were informed that "they must not hinder directly in the running of the enterprise..." and that ultimately their role was "to assist actively in the carrying out and
¹ Reshenie Partii (Party decisions) i pravitelstvo no xozastvennom voprocam - Tom 2 - 1929-1940 - Moskva 1967 - p125-131 "O merax po uporiadoenniu upravlenia proizvodstvom i ustanovlenie edino nachalie"
strengthening of one man management". Like everything else such measures could be justified by reference to comments by Lenin with regards to the immediate necessity of maintaining labour discipline and raising productivity. However the objective contradictions of such laws were clear. Not only did they further separate the workers from control over the enterprise thus reinforcing the division of labour between the functions of 'conception and execution', but it also put managers under enormous pressure. Not only were many led into falsifying output rates, but it also set directors up as vulnerable targets for the bureaucracy to blame when plans were not fulfilled. On the whole it was a counterproductive way of improving efficiency.
In what was a fragile working class with a complex social composition and little if any political authority, the potentially devastating consequences of such contradictions for the development of a class consciousness cannot be underestimated, 'Edinonachalie' (one man management), along with N.O.T. and piece rates were restrictive and fundamentally undemocratic theories of work organisation. Such methods were to remain permanent features of industrial life and were central to the Stakhonovite and shock brigade movement, the central ingredients of the Soviet regimes methods for raising productivity in the 1930s. Always, as in the 1920s such methods for raising productivity were justified in terms of the immediate practical tasks of reconstruction and the absence of ready alternatives. Criticisms of party policy towards industrial development could easily be dismissed for being not only opportunistic but 'anti-Soviet'.
To replace historical criticism by notions of an idealised and immediate transformation of the social conditions of work and labour contradicts one of the central premises of historical materialism. But it would be equally wrong to ignore the objective contradictions that arise in any historical moment when the pressures on accumulation gives rise to policies that expose the dialectic of immediate necessity against long term goals.
Marx had indicated that the raising of the productivity of labour was a precondition for the continued expansion of the process of accumulation. This went as much for socialism as for capitalism where the very survival of the Soviet regime was dependent on increasing the rate of production of means of production and of increasing the availability of consumer goods. We have noted that in the history of capitalism, two primary methods can be distinguished. The first can be characterised as the production of absolute surplus value and the second the
---
2 ibid p128
production of relative surplus value. These correspond to manufacture and machinofacture respectively. In the absence of labour saving technologies by which workers could be liberated from heavy manual work, the Soviet regime was to resort to methods of raising productivity that do not differ in any significant way from the classic phase of building 'manufacture' in the history of capitalism.
Absolute surplus or primitive socialist accumulation
Under the capitalist organisation of the production process, the term 'absolute' refers to the method of extracting surplus value through work practices that involve an increase in the rate of exploitation of labour. That is, through the lowering of wages, intensification and extension of the working day, pushing labour to the 'absolute' limits of physical endurance.\(^3\)
Such an "unrestrainable passion", such a "werewolf hunger for surplus labour", was for Marx a characteristic feature of the early stages of capitalist commodity production. In this "production of absolute surplus value" capital "oversteps not only the moral, but even the merely physical maximum bounds of the working day".\(^4\) Whilst ultimately dead labour is of no use to anyone, such a process has absolute limits precisely because it potentially leads to the premature exhaustion of and death of this labour power itself. Processing forty tons of steel a day, or laying seven thousand bricks, must surely lead to the shortening of life expectancy.
But Marx also points out that this insatiable thirst is contradictory. For if within the labour process we see the shortening "of the length of life of the individual labourer, and therefore the duration of his labour power, the forces used up have to be replenished at a more rapid rate and the sum of the expenses for the reproduction of labour will be greater".\(^5\)
This would imply that the pursuit of such practices by the Soviet regime was extremely contradictory. First, it is an unavoidable paradox that a workers' government was to rely so heavily on essentially capitalist methods for the production and extraction of surplus. Second, as we shall see, similar to the history of capitalist industrial development, the employment of methods to raise productivity by stretching to the limits of imagination and reality human physical performance is in actual fact counterproductive. Third, and perhaps
---
\(^3\) This is elaborated on by Marx in Part III and IV of *Capital, Volume One - The production of absolute surplus value*, and *The Production of relative surplus value*. *Capital* - Sonnenschein and Co Ltd - London - 1908.
\(^4\) ibid p250
\(^5\) ibid p251
most importantly, such labour policies approach the nature of work and the character of technology as neutral territory. The transformation of the labour process is not dependent on a revolution in the concept of work or the products of work, but simply in the notion of property. As the surplus accumulated belonged to the state, and the state belonged to the mass of workers, the bureaucracy could conclude that such mechanisms were not contradictory, citing the increased availability of rest homes, holiday schemes and other social benefits as evidence.
Ignoring the fact that increasing proportions of this accumulated surplus were disappearing in the form of privileges for the bureaucracy, or being used for the production of rituals and in particular for the reconstruction of Moscow as the Empire show piece, for the individual worker Stakhanovism was little more than a werewolf in sheep's clothing, a thoroughly draconian form of exploitation dressed up as the victory of socialist labour.
**the glory of work**
Remarkably for a workers' government, a truly qualitative revolution in the notion of work itself was not on the political agenda. Capitalist technology, management, and labour discipline could be rendered non contradictory simply by virtue of their state control. "In theory it seemed possible for workers to take possession of the means of production and subordinate them to their purposes without calling into question the nature of either what was produced or of what continued to be perceived as their work".6
Wage labour, as the defining characteristic of capitalism, was not to be dismantled, but was to be reinforced. The emancipatory project of the end of alienated work was replaced by the cult and worship of work. This cult of labour had been criticised long before in Marx's analysis of the Gotha programme. The transformation of the labour process was undoubtedly central to the transition from capitalism to socialism. But work and labour were not the goals of this transformation. Quite the opposite. When Benjamin comments that the old Protestant ethics of work were resurrected among German workers in secularised form, he was also describing the process by which for the Soviet worker, labour had become synonymous with social progress, a conception of the nature of labour that "bypasses the question of how its products might benefit the workers while not being at their disposal." 7 Within Soviet labour policy, work is elevated such that it comes to represent the crowning achievement of human
---
6 Gorz, Andre - *Farewell to the working class* - Pluto - 1982 - p48
7 Benjamin, Walter - *Theses on the Philosophy of History* - p259 In *Illuminations* - Schocken - 1969
civilisation. The goal of socialism becomes the improvement of the efficiency of wage labour rather than its abolition.
For the efficient management of this labour, what greater example could there be of strictly enforced tasks and roles than the militarised model. Despite the earlier indignant responses to Trotsky's proposition to militarise labour, to all intents and purposes this is exactly what happens. The 'brigade of workers' is little different from the 'platoon of soldiers', the workers 'brigadier' is no different from the 'platoon sergeant', and the enterprise director is no different from the divisional commander. In the hierarchical organisation of Soviet labour we see a set of organisational relations that are entirely borrowed from the military world. 8
The glorification of the concept of labour and the militarisation of work is central to the process of reification. Under the banner of socialist industrialisation all manner of types of exploitation can be hidden or at least made palatable by the erection of its prime victim, the worker, to the godly. The worker replaces the good disciple. (See fig 53) The worker becomes identified with the state. To offer a critique of the worker was thus to criticise the state, in the same way that to criticise the good disciple is to criticise God. Both are punishable by excommunication or execution. This 'myth of labour' is accompanied later by the 'myth of the machine'. Both are new forms of the fetish, and both are central to the Soviet project, and as we shall see when the first fails, the second assumes a dominant position.
the first five year plan
In this next section we explore how exactly the 'hero' was put to work. By the late thirties many of the disruptive problems associated with seasonal work had been overcome, partly through the development of new techniques that enabled construction to take place throughout the winter months and partly due to government efforts to provide training courses, building schools and continuous work for seasonal workers. However this had been achieved following a major crisis in the construction industry. As capital investment in construction dramatically increased building activity, by the early thirties the problem of unemployment had been replaced by a lack of skilled labour. This was partly linked of course to the persistence of such labour intensive methods of building construction.
Between 1918-1928, nearly sixteen milliard Roubles had been invested in construction. In the first five year plan, investment was four times this amount, and the number of building
8 For a discussion of this and related themes see Gorz, op.cit p28-31
The good disciples are replaced by the goodly workers
"Forward to communism - Greetings to the Union of workers and peasants - the foundation of Soviet power"
workers, expanded from 426,000 in 1925/1926 to over three million by 1932.\(^9\) This could only be met by yet another massive migration from the countryside. In 1932, eighty per-cent of the labour force in the industrial and house building sectors were from peasant families.\(^{10}\) This was a source of considerable conflict. First of all the "otkhodniki" had to be attracted into an industry that had never been a popular choice, not least because of the harsh working conditions. State regulatory bodies were set up to 'procure' labour from the farms. Rumours of labour being force marched from the village to the building site are dismissed as being "bourgeois anti-soviet lies", what is admitted however is the emergence of a new phase in the class struggle against Kulaks who it was claimed were hindering peasants from leaving the farms and entering into the construction industry.\(^{11}\)
With three quarters of the workforce from peasant backgrounds, many of whom were illiterate and unskilled, technologically advanced in some sectors but overall backward, the State was faced with a construction industry that was inherently unstable. In addition labour discipline was a major problem. Many workers were used to setting their own pace of work, taking leave to go on 'progulka' walkabout, and going in time honoured fashion on alcoholic binges.
One of the solutions for the regime was to further extend the introduction of new forms of labour organisation and to increase the operation of commodity money relations that had been first introduced during the years of NEP.
**money and the bureaucracy**
Before expanding on the new regime of financial control, it is worth dwelling on the actual growth of the bureaucracy itself. It was Hegel who had already noticed as distinct from the Roman senator, or medieval courtier, the particular emergence of a 'universal class' of civil servants whose task it was to serve the universal interests of the community and who would therefore need to be relieved from direct labour.\(^{12}\) It is on the one hand to be expected that as the division of labour becomes more and more complex and the productive basis of society expands, appropriate methods of management need to be created to supervise production. There is nothing in such a proposition that of course suggests that a management system need
---
\(^9\) Goltzman - *Sostav stroitelnie rabochik CCCP V godi pervoi niatiletki*-Moskva-1966-p131
\(^{10}\) ibid p144
\(^{11}\) Fedorov, V. D., - *Formirovanie rabochik kadrov na novostroikax pervoi piatiletki* - Dissertatzia - Gorkovski Universitetata - 1966 - Avotreferat - p9-11 - (Formation of cadre on the building sites of the first five year plan)
\(^{12}\) Hegel, G.W,F - *Philosophy of Right* - Oxford University Press - 1967 - p132
be hierarchically organised. Weber's comments on the bureaucracy are of interest here. Whilst they are extremely ambiguous, (he comments for instance that the bureaucracy can function as social leveller but recognises the simultaneous need to conduct secret sessions), his main insight was to see how the bureaucracy emerges with the growth of a money economy.\textsuperscript{13} Indeed the generalised money economy is a pre-condition of the growth of the bureaucracy, along with the Great State and the mass party. The growth of the bureaucracy is thus synonymous with the concentration of the means of management of money. The rise of the bureaucracy within in the USSR is entirely in accordance with such a thesis, and its expansion is wholly linked to the increased operation of the ruble as the regulator of social life. (See fig 54) As early as 1932 it had been noted that the increased operation of "khozraschot" had led to an increase in the emergence of "bureaucratic relations" especially on building sites\textsuperscript{14}. But Weber had noticed another feature of the bureaucracy, in that "once it is fully established, bureaucracy is among those social structures which are hardest to destroy...."\textsuperscript{15} The functions of the Soviet ruling class are thus not dissimilar to that in any other twentieth century society. Control over money through the reproduction of commodity relations, the regulation of the process of accumulation, and the employment of the forces of law and order. Thus for all the particular differences, the Soviet system carries out exactly the functions that Hegel had described as the moments of Civil Society. "The mediation of needs... the System of Needs, the protection of property through the Administration of Justice, and care for the particular interests as common interests, by means of the Police and Corporation."\textsuperscript{16} It is to the system of needs, or rather the process of accumulation that we turn next.
\textbf{accumulation, 'emulation' and wages}
The first phase in the drive to increase the rate of accumulation was to transfer as many workers as possible into \textit{Khozraschotnie Brigadi}, cost accounting brigades. This is where groups of workers were organised into teams and received production tasks as part of the overall planned output for a construction trust.\textsuperscript{17} The intention of khozraschot was quite straightforward. It was to link the monetary wage and other forms of payments directly to the quantity and quality of output, initially on a collective but increasingly on an individual basis. Not surprisingly this was accompanied by the extension of bonus schemes and piece wages. The piece wage \textit{sdelnaya zarplata} we have argued is the most effective way of
\begin{itemize}
\item[13] Weber, Max - \textit{Bureaucracy} - In \textit{Essays in Sociology} - Routledge - 1991 - p 204
\item[14] Barsukov, A i Kristalnie, A - \textit{Khozraschot na stroike} - Gosfinizdat SSSP - 1932 - p7 (Khozraschot on the building site)
\item[15] Weber op cit p228
\item[16] Hegel, G.W.F - \textit{Philosophy of Right} - Oxford University Press - 1967 -p126
\item[17] It is worth remembering here that an adapted form of this labour organisation was at the centre of economic policy in the perestroika period.
\end{itemize}
MONEY The rouble as the regulator of Russian life
Leather money used in early Russia
Ten Kopecks from the reign of Nicholas I
10 КОПѢЕКЪ
С.П.Б.
Soviet money
The rouble in 1994 - the imperial eagle returns
linking money to output and therefore one of the most effective way of accumulating surplus. The operation of such a system was followed later by the introduction of 'progressivnosdelnaya', "progressive piece wages' which was part of a general policy for widening wage differentials, which with the addition of bonus schemes, was felt to be the most appropriate method of stimulating labour and raising productivity.
This move was accompanied by the introduction of sotzialisticheskoe sorevnovania. 'Socialist competition' or rather what the Soviets preferred to call it 'emulation', meant that one group of workers or a brigade issued a productivity challenge to another. (See fig 55) The shock brigades were groups of workers who set themselves targets to exceed output norms that accompanied the contract from a trust. In 1930 it is reported that in the construction industry 51 out of every 100 workers were operating on the basis of 'sotz sorevnovania', and 27 out of every 100 were involved in shock brigades.\(^{18}\) This was to rise to up to seventy per cent.\(^{19}\) However whilst the brigade organisation of labour on construction sites continued in the sense of groups of workers performing tasks together, from 1931 collective wages which had been advocated by amongst others Gastev and the 8th Trade Union congress of 1928, increasingly came under attack, a move that was resisted by some construction workers.\(^{20}\)
This policy of extending the operation of shock working became the platform from which in 1936 the stakhanovite movement was launched. Accordingly the attack was continued against "left opportunists" who continued to criticise the increased role of money and who still advocated even in 1932 the introduction of exchange mechanisms purely on the basis of "produktoobmen", product exchange.\(^{21}\) Also singled out for criticism was the popularity amongst young building workers of Proizvodstvennie Beatovye Kommuni, 'Production-Way of Life Communes', which were reported as still operating "false principles" like wage sharing.\(^{22}\)
It was clear that uranilovka, 'egalitarianism' was not going to be tolerated. The call went out, "To liquidate egalitarianism and the lack of responsibility in the construction industry". Wage equalisation and uranilovka were singled out as the principle causes of all the
---
\(^{18}\) Soyuz stroiteli v zifrak i diagrammak - Moskva-1930 (The union of builders in diagrams and indices)
\(^{19}\) Fedorov, V, D, - Formirovanie rabochik kadrov na novostroikax pervoi piatiletki - Dissertatzia - Gorkovski Universiteta - 1966 - Avotreferat - p15
\(^{20}\) Kuromiya, Hiroaki - Workers Artels and Soviet Production Relations - In Fitzpatrick et al - Russia in the peeriod of NEP - Indiana UP - 1991 p79 -80
\(^{21}\) Barsukov, A e Kristalnie, A - Khozraschet na stroike - Gosfinizdat SSSP - 1932 - p4
\(^{22}\) Fedorov, V, D, - Formirovanie rabochik kadrov na novostroikax pervoi piatiletki - Dissertatzia - Gorkovski Universiteta - 1966 - Avotreferat - p13
Brigade of workers on the Moscow metro 1935
industry's problems, its low productivity, the poor stimulation of workers in improving their qualifications, and in the lack of commitment to the job.\textsuperscript{23} Right up until 1932, wage rates for construction labour were still expressive of what were termed "the equalising policies of the old directors of the trade union".\textsuperscript{24} In 1934 new legislation came in that further increased wage differentials and halted the 'dangerous' tendency towards wage levelling.\textsuperscript{25} The campaign against wage equalisation and egalitarianism conducted by the bureaucracy was quite relentless and intensified throughout the course of 1930s. \textit{Uranilovka}, was described as a weapon of the enemies of the stakhonovite movement, a "distortion of the socialist principle of wages according to the quantity and quality of work", and was singled out as not only a dangerous hindrance to the great stakhonovite movement, but as being "petty bourgeois", the ultimate condemnation of anything deemed to be against the interests of the Soviet state.\textsuperscript{26}
"The stakhanovite movement - the irresistible movement of the present"\textsuperscript{27}
For the construction industry as for every other sector of the national economy, the mid 1930s were a turning point. In time honoured fashion, the historical pre-condition for the wholesale restructuring of social life began with the shattering of all previous and familiar concepts of time and space. The comprehensive 1935 plan for the reconstruction of Moscow was the signal for the re-ordering of space. (see below) The catalyst in the restructuring of time and labour arrived in the 1936 decree concerning the "Improvement of construction matters and reduction in price of construction."\textsuperscript{28} These documents are important. First because they institutionalised within law Party control over the production of the built environment. Second, the plans for construction were actually carried out in practice, and third, the all embracing and comprehensive character of the declarations set the framework for the development of the labour process and for the physical character of the city of Moscow for the next thirty years.
\begin{itemize}
\item[23] \textit{Stroitelstvo Moskvi} - No 10 - 1931 - p2-4
\item[24] Pak,Y - \textit{Organizatia truda i zarabotnaya plati v stroitelstve} - Moskva - Stroizdat - 1974 - p171 - (Organisation of labour and wages in the construction industry)
\item[25] A brief history of wage forms in the construction industry form the October revolution onwards is to be found in Pak,Y - \textit{Organizatia truda i zarabotnaya plati v stroitelstve} - Moskva - Stroizdat - 1974- p166 ff and by the same author - \textit{Ekonomika truda v stroitelstve} - Moscow - 1978 - p192ff (The economics of labour in construction)
\item[26] \textit{Trud} - May 8th - 1936 - p1
\item[27] \textit{Stroitelstvo Moskvi} - No 22 - Nov - 1936
\item[28] \textit{Reshenie Partii i pravitelstvo no xozaistvennom voprocam} - Tom 2 - 1929 -1940 - Moskva 1967 Postanovlenie Sovnarkoma CCCP i TsK BKP - \textit{Ob uluchsheniye stroitelstvo i ob udeshevlenie stroitelstvo} - (On improving and cheapening construction) Feb 11th - 1936 - Also published in \textit{Trud} - Feb 12th - 1936 - p1 and with a summary in Pak-p174
\end{itemize}
Crucial to the desperate and necessary campaign to improve efficiency in terms of both quality and quantity was the expanded role of money relations. This took many forms. First of all was the decision as a priority matter to complete the transfer of *all* construction operations onto a system of contract work. This meant the creation of 'money' relations between state organs and trusts, trusts and enterprises, and between the directors of enterprises and brigades of building workers. Such contracts were to be conducted under a regime of strict financial control, through the strengthening of the state credit system and through the further extension of the methods of 'cost accounting', the by now familiar *khozraschet*. This was inevitably paralleled by the enlargement of the bureaucracy and the extension of the division of labour both vertically and horizontally, expressed most clearly in the profusion of new territorial and regional trusts and specialist construction organisations devoted to particular technologies. This was all accompanied by familiar Party demands to broaden the basis of mechanisation, to rationalise design work and to expand the process of standardisation. However, the drive for productivity was ultimately dependent on three sets of coercive measures. First, as noted, the reinforcement of piece wages and the widening of differential wage rates, second the development of the principles of the stakhanovite movement, and lastly the decision taken to send Communist Party members into all construction organisations with the remit to maintain discipline, ensure productivity increases and to strengthen the "socialist form of labour".29
**the hero worker**
It was a concerted drive by the state to convert the construction sector still characterised by being "polukustarnie", that is of a semi handicraft nature into a modern powerful industry. (See fig 56). However, in the construction industry the widespread expansion of fixed capital and the development of factory based building production was not to occur until the late 1950s. Given the absence of machinery to relieve the worst excesses of heavy toil, the construction industry was particularly prone to bureaucratic campaigns of work speed up and was notorious as always for vast concentrations of labour. It is reported that in the second half of 1934 alone, seventy thousand construction workers could be found on site in the building of the Moscow metro.30 (See fig 57) But to manage and control what was in effect a mass army, the state was left with only one way out, and that was to convert the Soviet worker into a superworker, a hero, one that could defy all known limits of physical endurance. As we shall
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29 ibid p 578 - 584
30 *Trud* - Feb 16th - 1936-p1
The smiling Stakhonovites
Brigade of workers, 1930's - the mass production of happiness
MAKING THE METRO
Шлюзовая перегородка. Шлюзование породы. Готовая часть тоннеля.
Тавка-блоков. Каркасная обделка тоннеля. Транспортировка породы. Наполнение раствора. Тележка эректора. Сборка обделки. Щит. Разработка породы.
see later this was easier to achieve in fiction, film, painting and sculpture than in the labour process.
Taken as a whole it has been argued that the reported increases in productivity in this period were more to do with the growing modernisation of industry, especially in machine production, rather than due to the widespread achievements of Stakhanovite record breaking which were more isolated and unusual than we might believe. Nevertheless the statistics concerning productivity rises in the building industry make quite fantastic reading. Stakhanovism was concerned with *individual* productivity levels. Whilst strange new tools were introduced like double handed two metre long plastering trowels, and bizarre buckets with a straight edge for pouring mortar along a course of bricks instead of using a trowel, it was in essence all about squeezing as much labour as possible out of individual workers by offering what were in some cases very high bonuses. (See fig 58) A plasterer named Golov was reported in *Trud* for having raised his productivity by a factor of twenty five and a 'hero bricklayer'. Orlov organised his own bricklaying school instructing young shock workers how to lay 4-5000 bricks a day.\(^{31}\) (See fig 59)
This was paralleled at the beginning of 1936 by the redefinition of the working day which was extended in the building industry as in other industrial sectors in a quite remarkable fashion with the invention of the Stakhanovite Day, the "Stakhanovite Five Day" and the "Stakhonovite fortnight". Individual brigades were noted as having raised productivity by 2-300%. It is reported that the Stakhanovite fortnight, which saw building workers toiling flat out for two weeks resulted in an overall increase in productivity of 174%,\(^{32}\) exceeding the plan targets for January 1936 by 10%. However this is nothing compared to the performance of some of the heroes and heroines whose faces would appear in the trade journals. Workers like the electrician Maria Maslova who raised productivity by 812%\(^{33}\), of the Steel worker T. Romanov who in one day processed forty tons of reinforcing steel exceeding norms by 1250%. Perhaps the biggest prize though goes to the brick layers. In 1931 the norm for an average bricklayer was 7 -800 bricks a day. 1936 saw several 'hero' bricklayers laying 7,000 bricks in one day, the record going to one worker who with a helper was laying bricks at the rate of 1500 per hour.\(^{34}\) By any contemporary standards these are quite extraordinary
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\(^{31}\) *Trud* - Feb 9th - 1936 - p2
\(^{32}\) *Stroitelnaya Promishlennost* - No.7-1936- p9
\(^{33}\) ibid p6
\(^{34}\) *Stroitelnaya Promishlennost*- No.61936- p5-6
Inventing machines to raise the productivity of labour
Machine for finishing plaster, 1930's
HEROIC BUILDING WORKERS
Steps in the construction of mythology
Рекордистка-электросварщица Мартенстроя
т. Маслова
Плотник т. Тихомиров
Маляр т. Касьян
The welder, the carpenter, and the painter
levels of productivity, that can be evaluated as either a celebration of the victory of socialist labour or one of history's more grotesque stories of exploitation. (See fig 60)
atomisation
It has been argued that the combination of shock work, 'socialist competition', and Stakhanovism, can be seen as the method by which to individualise incentives, to attack collective methods of work organisation and halt collective forms of payment. By holding up individuals as model and heroic workers it further undermined any sense of collective solidarity amongst workers. It was as Filtzer points out extremely divisive, and not in actual fact a particularly efficient way of raising productivity. Just as in the capitalist labour process, labour loses its social essence and assumes the appearance and reality of an individual task, so within the Soviet labour process, with the distinction that the Soviet worker is assured that this labour attains its social character by virtue of being conducted on behalf of other workers through the State. The social character of labour remains in this sense purely juridical, as a legal assurance of greater truth and freedom.
One of the other paradoxes of the atomisation of the working class and the increased individualisation of work practices, was that coupled with absenteeism and labour turnover, it became increasingly difficult for the bureaucracy to control either the quantity or quality of output.
opposition
Although the sheer scale of executions and disappearances could provide evidence of widespread resistance to the regime, many of those who were removed from the land of the living were of course innocent victims who actually supported the party programme. It remains difficult to ascertain the precise manner in which opposition to the regime took place in the 1930s, but it is suggested that the Stakhanovite movement met with widespread opposition.
Journals are a good indicator, and those in the construction industry as everywhere else became uncritical texts devoted to technological questions, or those of technique. Of course this was entirely in accordance with the bureaucracy's assertions that fundamental class
---
35 Filtzer, Donald - *Soviet Workers and Stalinist Industrialisation* - Pluto - 1986- p118
36 See Lefebvre, Henri - *Critique of Everyday life* - Volume 1 - Verso - 1991- for an early critique on money, need and work, written in 1948.
37 ibid p 200-207
THE VICTORY OF SOCIALIST LABOUR
An exhibition of the feats of Soviet engineering, 1930's
Plastering over the cracks, 1930's
contradictions had been overcome. Often we are left to draw conclusions by what is not written and by what is implied. It is clear that the introduction of Stakhanovism and the further extension of differential piece rates prompted a wide campaign of 'sabotage'. *Trud*, (labour), was forced to admit that the sabotage of the Stakhanovite movement had unfortunately not been stopped on many building sites and as a movement it remained weak in the construction industry. An indication of how widespread the opposition was in other sectors can be gleaned by the reported incidence of 'sabotage' in the journal throughout April in places like the Cheliabinsk Tractor and Motor factory, the Invanovna cotton factories and in the mining regions of the Donbass.
Another report in the pages of *Stroitelnaya Promishlenost*, (construction industry), would imply that incidences of conflict were fairly widespread on building sites. There was a printed warning to building workers to be vigilant of the Trotsky-Zinoviev blok, who were described as bandits and fascist agents, accused of organising the murder of Kirov and of perpetrating terrorist acts against the leadership of the Party. Furthermore it warned that such bandits were at that very moment "spinning yarns", and "spreading their bloody web on building sites", and that building workers should "not forget Krivom Ross, Magnitogorsk and Zaporashtal where the Trotsky Zinoviev bandits have been carrying out their mean and base work".
The architectural profession was just as much a victim of the terror campaign as any other. Proclamations were published calling for 'vigilance' and demanding that the ranks of architects be cleansed of the enemies of the people. The reported unmasking of two "Trotskyist theoreticians" on the architectural front, namely Lisagor (who had worked with Ginzburg and the Vesnins on schemes for a housing commune and the competition for the ministry of Heavy Industry), and Okhitovich the radical sociologist planner, were held up as symbols of the necessity of such 'revolutionary zeal'.
Other clues of course come from personal testimonies. During an interview in 1988, an architect who had worked under Ginzburg and Zholtovski, had commented that housing communes like the Dom Nikolaev had been nothing short of nonsense, and that neo-classicism had been
---
38 *Trud* - Feb 9th - 1936 - p2
39 *Trud* - April 15th - 1936-p3
40 *Trud* - April 18th - 1936-p1
41 *Trud* - April 31st - 1936-p4
42 *Stroitelnaya Promishlennost* - Oct 15th - 1936
43 *Arkhitektura CCCP* - No 9 - 1936 - p2
undoubtedly the most valid representation of the traditions of Russian architecture. But more interesting was the anecdote that he had been one of the architects supervising the construction of Gorky Park, in the process of which he had been carted off site by construction workers who still supported Trotsky and were opposed to the *General Line of the Party* of which he was a representative.\(^{44}\)
**social reality in the 1930s**
The pre-condition for all of the changes that take place in Soviet society in the 1930's is the elevation of the Soviet state to an absolute. It is now the State that is the goal of socialism. It is only through the state that freedom can be attained. The state ownership of the means of production is the solution for abolishing the objective alienation of the worker from other workers, from both the process of labour and from the products of labour. The legacy of Hegel's theory of the state on the development of socialism is generally acknowledged. But in that Hegel was speculating on nineteenth century Europe, the correspondence of his *Idea of the State* with the idea and operations of the Soviet State is clearly contradictory if inevitable. In Hegel's words, "The State is the actuality of the ethical Idea...of the substantial will" in which the individuals duty "is to be a member of the State" for it is only in the State through the operation of Constitutional and International law, that particular and universal interests can be reconciled. "The State is the actuality of concrete freedom."\(^{45}\) Hegel's Idea of the State, thus finds an heir in the Soviet Union. It is only through the Soviet State that both workers and collective interests can be met, the State becomes the guarantor of non exploitative relations, of progress and democracy.
That the way in which a worker is forced to sell his or her labour power to State trusts is contradictory, and that the process of distribution of the surplus is a process over which he or she has very little control, are criticisms that can not be allowed as long as the State remains as the 'end' of socialism. This is the objective social reality within which the production of paintings and architectural designs takes place, and the Soviet theory of realism emerges.
---
\(^{44}\) There are many anecdotal stories picked up in conversations and interviews in the ten years I have been visiting Moscow. One of the more tragic is that there has not been one family that I have ever met who did not suffer in one way or another in the years of repression. When the numbers killed enters the millions, the scale of death either through executions or war becomes incomprehensible. It is remarkable that friends who are the only surviving male members in families and others who hid photographs and writings are remain so optimistic about the possibilities of social progress.
\(^{45}\) *Hegel, C.W,F - Philosophy of Right* - Oxford University Press - 1967 - p155-160
After Lunacharsky, it was Lukacs resident in Moscow in the late 1930s who became the most influential and articulate defender of realism. However the Lukacs of 1938 was a very different Lukacs from the one who in 1922 had argued that one of the consequences of the theoretical tendency to separate politics from economics was a State utopianism which would "either await a miracle or else pursue a policy of adventurist illusions"¹. But the late Lukacs under the conformist strangulation of Muscovite rule, was unable to see how the Soviet State was precisely projecting itself as a neutral zone with regards to the working class, and was pursuing particularly in the realm of art and literature, policies that were deeply idealistic and illusory.
back to the avant-garde
Our journey not surprisingly starts back in the nineteenth century. Aesthetic inquiry begins with the production of art in the ancient world. But it has been argued that as a separate part of the philosophical system, aesthetics is a child of bourgeois society. It has been suggested that its emergence as a separate enterprise can in part be explained by the need to compensate for the disappearance of beauty in the face of rationality, as an arbiter in a world of chaos, and as a consequence of the detachment of art from everyday life.²
Specialised institutions thus emerge in the bourgeois world to co-ordinate and control the function of art, which becomes concerned with the portrayal of bourgeois self understanding, and the production and reception of art, which takes place on a predominantly individual basis.³ Such a methodology with its emphasis on practice is a useful contribution in the critique of art as an autonomous object, and as the work of genius. The schema suggested for periodising art history, the sacral, the courtly, the bourgeois, whilst for some far too general is valuable for precisely that reason, because it relates the production of art not just to historical periods but potentially to specific modes of production. Thus if bourgeois art belongs to the transformation of capitalism, courtly art to the transition from feudalism, then sacral art is very much linked to the transition from primitive communal and slave societies to feudalism. (See fig 61) This however is a project fraught with problems and belongs to another time.
---
¹ Lukacs, Georg - Reification and the Consciousness of the proletariat- In History and Class Consciousness - Merlin - 1983 - p195 -196
² Heller and Feher - The Necessity and Irreformability of Aesthetics - In Reconstructing Aesthetics - Blackwell - 1991-p 1-4
³ Burger, Peter - Theory of the Avant garde - Manchester University Press - 1984 - p48
The self confessed vanity of the bourgeoisie
Kustodiev, Boris - Portrait of Fyodor Chlaiapin, 1921
It is nevertheless in the cauldron of the nineteenth century that the production of modern art begins to develop through what it is suggested are three distinct phases. The first corresponds to the artist seeking to protect work in opposition to an art market and against the indifference of the formal academies. The second phase, modernism proper, occurs when artists begin to seek control over their own means of production and distribution of art works. The third phase corresponds to the avant-garde and takes place when the artist enters into direct confrontation and opposition with the established art world and market.
Within such theories, the avant-garde earns its unique position by virtue of its assault on the institutions of the art world and against the representation of a world free of contradiction. In this we have argued that the Soviet avant-garde holds a special position. Nevertheless, central to the programme of the avant-garde in western Europe, (and here we would include the futurist movement, dada, and surrealism) was an attack on the autonomy of art, that is the notion of the autonomy of art from everyday life. Common to the slogans of all these movements was a call for the reintegration of art into life. This is extremely contradictory, because it is only with the space allowed to it within bourgeois society that it is able to provide a critique. If art were to become fully integrated the possibility of conducting a critique evaporates.
This is exactly what happens with the full scale penetration of the commodity form into the production of art at the end of the twentieth century, where the commodity form grips both the labour of the commercial artist and the art product itself. A situation which is accompanied by the conversion of the shocks and innovations of the avant-garde into normal conventions. (See fig 62) This can be viewed as either a positive tendency in that cultural life becomes enriched by the experimental forms of language developed by the avant garde or as symptomatic of the impossibility of an art that is revolutionary.
**Lukacs and Adorno**
At the beginning of the twentieth century however the situation was rather different. It has been argued that both Adorno and Lukacs considered the avant-garde work of art to be an historically necessary expression of alienation in late capitalist society. This is in many ways where the argument starts. For whilst this was the motivation for Lukacs as the standard bearer of realism to condemn as decadent much of the avant-garde, in particular
---
4 Williams, Raymond - *The Politics of Modernism* - Verso - London - 1989-p50-51
5 Burger, Peter - *Theory of the Avant garde* - Manchester University Press - 1984 - p85
The avant-garde in post cards and on T-shirts
El Lissitsky - Runner in the city, 1926
surrealism and expressionism, for Adorno it was precisely through its status as a form of alienation that it could project itself as a form of resistance. In the following discussion we must bear in mind the distinctions that must be made between the production of architecture and the production of literature and art to which the debate primarily refers. However the implications for the evaluation of architectural production will become clear. It has been argued that unlike Hegel or Lukacs, Adorno did not construct any hierarchy of art. Whereas Hegel celebrated the classical over the romantic and Lukacs the realist over the avant-garde, Adorno preserved a dialectical criticism, refusing to erect any notion of art as an absolute goal.
This is the greatest problem with Lukacs. Having warned against any purely aesthetic condemnation of the bourgeois world, Lukacs takes a narrow selection of novelists and sets up what are false oppositions between a 'realist' like Mann and a 'surrealist' like Joyce. At this point in his career Lukacs was entrenched in orthodox Soviet 'reflection theories of consciousness', the consequence of the vulgar canonisation of the base-superstructure metaphor. However we should take care not to interpret Lukacs' comments at face value. They are in fact ambiguous. He commented that the artist's duty was "to mirror objective reality", and that the greatest of realist works explores man in all of his relationships to the real world, "above all those which outlast mere fashion". As a programme for a critical work of art, this would appear to be entirely valid. Where Lukacs exposes his subordination to the Stalinist general line is in the presumption that this could only be achieved through what were quite erroneously called 'realist works', what in painting were in fact the greatest pieces of mythology and what in literature frequently descended to what Adorno called sterile claptrap, and disparagingly referred to as "boy meets tractor stories". A work of 'critical realism' would precisely have dealt with all of the contradictory relations within which our friend Konstantin was to find himself.
If the goal of critical realism is to deal with the complexities of social life in all of its contradictions, in all of its tragic optimism and joyful pessimism, then what we are dealing with is primarily a method which does not in itself demand any particular style or form. An abstract painting can conduct a critique just as much as a figurative one. Thus when Lukacs comments that "only the major realists are capable of forming an avant garde", we can quite
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6 Burger op.cit p83-85 and Schulte Sasse, Jochen - Foreword -In Theory of the Avant garde - Manchester University Press - 1984 - p LI - LIV
7 Lukacs, Georg - Realism in the balance - In Aesthetics and politics - Verso - 1986 - p43
8 ibid p48
9 ibid p48
justifiably turn it on its head and pronounce that it is "only the avant-gardistes that are capable of forming a genuine realism". Better still is to entertain the possibility of both in which Gorky and Bulgakov can be considered 'realists'. (See fig 63)
Again, Lukac's assertion that the aim of art should be to penetrate beneath the surface of social life is not that controversial, but there is no logic in the conclusion that forms of abstraction can be reduced to the "opaque, fragmentary, chaotic and uncomprehended"10. Ultimately Lukacs reduces the concept of realism to one of form and style, which is of course exactly what it became in the conditions of the USSR. He concludes by eulogising 'folk art' and declaring that the "broad mass of people have nothing to learn from the avant garde". 11 As we know Brecht was to reply to the contrary, that it was exactly his experimental works which broke the conventions of theatre that many of the workers in his audiences warmed to, adding that "realism is not a mere question of form", that it is a method for "discovering the causal complexes of society.. unmasking the prevailing view of things as the view of those in power...."12.
But we can go further that this. The work of art can never be "real in the same sense as social reality. If this distinction is lost, then all attempts to provide a real foundation for aesthetics must be doomed to failure". 13 In addition any theory of realism that argues for the leading role of a particular mode of formal expression runs the risk of merely reproducing idealised and distorted images of social life. This is of course exactly what socialist realism ended up doing. Heralded as a method of critically assimilating past culture and traditional forms and merging them with new 'socialist content' to create an art that was truthful and comprehensible to the masses, it created a series of formal canons within which the realities of Soviet life could be mystified. Socialist or rather what should be called Soviet realism 14, conforms entirely to the patterns of a repressive state, a realism that Adorno argues Lukacs ultimately recognised as "an unhealthy version of bourgeois realism, or at least a highly dubious imitation of it", 15 one in which literature runs the danger of ceasing to "reflect the dynamic contradictions of social life; it becomes the illustration of abstract truth"16.
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10 ibid p36-39
11 ibid p57
12 Brecht, Bertolt - Against Georg Lukacs - In Aesthetics and politics - Verso - 1986 - p82
13 Adorno, Theodore - Reconciliation under duress - In Aesthetics and politics - Verso - 1986 - p159
14 Marcuse, Herbert - Soviet marxism - A critical analysis- RKP - 1965 - 131-135
15 Adorno, Theodore - Reconciliation under duress - In Aesthetics and politics - Verso - 1986 - p174
16 ibid p175
The mother saw them snatch up the leaflets and stuff them inside their coats and into their pockets. This gave her new strength. She began to speak more calmly and forcibly, conscious of the pride and joy surging within her. As she spoke, she snatched leaflets out of her bag and threw them to right and left, into the hands that eagerly caught them.
"Do you know why they brought my son and his friends to court? I'll tell you, and you can believe the heart of a mother, and her grey hair. They brought them to court for the simple reason that they told people the truth! And yesterday I found out there is no one who can deny this truth—no one!"
The crowd grew and was silent, forming a ring of living bodies about the woman.
"Poverty, hunger and disease—that's what people get for their work! Everything is against us—all of our lives, day after day, we give our last ounce of strength to our work, always dirty, always foiled, while others reap all the joy and benefits, holding us in ignorance like dogs on a chain—we don't know anything; holding us in fear—we're afraid of everything! Our lives are just one long, dark night!"
"That's right," came the dull response.
"Shut her mouth for her!"
At the back of the crowd the mother noticed the spy and two gendarmes, and she hastened to hand out the last leaflets. But when her hand reached into the suitcase, it touched somebody else's hand.
"Take them, take them," she said as she bent over.
"Get away!" shouted the gendarmes, pushing the people aside. The crowd reluctantly gave way, pressing against the gendarmes and holding them back, perhaps without even wanting to. The people were irresistibly drawn to the grey-haired woman with the large cardid eyes in a kindly face. Isolated in life, torn away from each other, they now found themselves together here, listening with deep feeling to the flaming words which perhaps many of these hearts, hurt by life's injustice, had long been searching for. Those who were nearest the mother stood silent, their eyes fixed on hers with eager attention, and she could feel their warm breath on her face.
"Move on, old woman!"
"They'll grab you in a minute!"
"What a nerve she has!"
"Get out of here! Go back to your places!" cried the gendarmes, pushing ahead. The people in front of the mother swayed and held on to one another.
She felt that they were ready to understand and to believe her, and she wanted to hurry and tell them all she knew, all the thoughts whose power she had experienced. They rose from the bottom of her heart and formed a song, but she realised with a pang that she could not sing it—her voice was cracked and broken.
"The words of my son are the honest words of a workingman who has not sold his soul. You can tell honest words by their boldness."
A pair of youthful eyes were fastened on her in tear and exultation.
Someone struck her in the breast and she fell down on the bench. The arms of the gendarmes flashed over the heads of the crowd, clutching at collars and shoulders, pushing people aside, snatching off caps and tossing them to the other end of the room. Everything swam before the mother's eyes, but she conquered her weakness to cry out with what was left of her voice. "Band together, good people, into one strong force!"
A gendarme caught her by the collar with a large, beefy hand and shook her.
"Shut your mouth!"
Her head struck against the wall; for a second the acrid smoke of fear rose in her heart, but courage flared up again, driving away the smoke.
"Get along with you!" said the gendarme.
"Don't let anything frighten you! Nothing could be worse than the lives you live..."
---
Excerpt form the *Mother*, by Gorky, 1906
*The Master and Margarita*
'Bravo...'
The last warning bell rang and everybody, excited by the prospect of a good act, tumbled out of the dressing room.
A minute later the house-lights went out, the footlights lit up the fringe of the curtain with a red glow and in the lighted gap between the tabs the audience saw a fat, jolly, clean-shaven man in stained tails and a grubby white dicky. It was Moscow's best known compère, George Bengalsky.
'And now, ladies and gentlemen,' said Bengalsky, smiling his boyish smile, 'you are about to see...'. Here Bengalsky broke off and started again in a completely different tone of voice: 'I see that our audience has increased in numbers since the interval. Half Moscow seems to be here tonight! D'you know, I met a friend of mine the other day and I said to him: "Why didn't you come and see our show? Half the town was there last night." And he said: "I live in the other half!"' Bengalsky paused for the laugh, but none came so he went on: 'Well, as I was saying, you are about to see a very famous artiste from abroad, M'sieur Woland, with a session of black magic. Of course we know, don't we...?' Bengalsky smiled confidentially, 'that there's no such thing really. It's all superstition—or rather Maestro Woland is a past master of the art of conjuring, as you will see from the most interesting part of his act in which he reveals the mysteries of his technique. And now, ladies and gentlemen, since none of us can bear the suspense any longer, I give you... Monsieur Woland!...'
Having said his feeble piece, Bengalsky put his hands palm to palm and raised them in a gesture of welcome towards the gap in the curtain, which then rose with a soft rustle.
The entry of the magician with his tall assistant and his cat, who trotted on stage on his hind legs, pleased the audience greatly.
'Armchair, please,' said Woland quietly and instantly an armchair appeared on stage from nowhere. The magician sat down.
'Tell me, my dear Faggot,' Woland enquired of the check-clad buffoon, who apparently had another name besides 'Koroviev', 'do you find the people of Moscow much changed?'
---
Black Magic Revealed
The magician nodded towards the audience, still silent with astonishment at seeing an armchair materialise from nowhere.
'I do, messire,' replied Faggot-Koroviev in a low voice.
'You are right. The Muscovites have changed considerably... outwardly, I mean... as, too, has the city itself... Not just the clothes, but now they have all these... what d'you call 'em... tramways, cars...'
'Buses,' prompted Faggot respectfully.
The audience listened intently to this conversation, assuming it to be the prelude to some magic tricks. The wings were full of actors and stage hands and among their faces could be seen the pale, strained features of Rimsky.
Bengalsky's face, lurking in a corner of the stage, began to show consternation. With an imperceptible raise of one eyebrow he seized the opportunity of a pause in the dialogue to interject:
'Our guest artiste from abroad is obviously delighted with Moscow's technological progress.' This was accompanied by a smile for the stalls and a smile for the gallery.
Woland, Faggot and the cat turned their heads towards the company.
'Did I say I was delighted?' the magician asked Faggot.
'You said nothing of the kind, messire,' replied the latter.
'Then what is the man talking about?'
'He was simply telling lies!' announced the chequered clown in a loud voice for the whole theatre to hear and turning to Bengalsky he added: 'D'you hear—you're a liar!'
There was a burst of laughter from the gallery as Bengalsky spluttered, his eyes popping with indignation.
'But naturally I am not so much interested in the buses and telephones and such like...'
'Apparatus,' prompted Faggot.
'Precisely, thank you,' drawled the magician in a deep bass, 'as in the much more important question: have the Muscovites changed inwardly?'
'A vital question indeed, sir.'
In the wings, glances were exchanged, shoulders shrugged;
The contemporary significance of this debate is encapsulated in popular prejudices that declare that in relation to housing design, art and culture generally, the people are given what they want, and what they do not want is modern art or architecture. We do not need critical theory to establish that what is being expressed has nothing to do with popular consent, and is no more than aged prejudice masquerading as something that is natural and obvious. The fallacy of such propositions is exposed by its logical extreme, that we are born with particular notions of art, that at birth a child is either a figurative painter or an expressionist, and that workers are unable to respond to ideas of an abstract nature, including we might add many of the abstract ideas of Marx. All arguments for such 'populist' ideas of knowledge tread a path that hide reaction under the name of universal appeal.
**Socialist Realism?**
Similarly, socialist realism, as a 'populist' idea confronts us with questions that are relevant not only to the history of the USSR, but to the organisation of popular culture in modern capitalist societies. There are however some methodological contradictions that need to be dispelled once and for all. First, is to distinguish between what was said and what was actually done. Similar to the avant garde our evaluation should not be based so much on what the artist, politician thought and said they were doing, but on the objective transformations in cultural life. Here we find the greatest of discrepancies. Second is to distinguish between its early phase from 1926 - 1937 when a critical debate could still be distinguished and its degeneration and ossification in the period from 1937 to 1960. \(^{17}\) Third, is to question what amounts to an 'aesthetic' critique of Stalinism. There are two problems here. The concept of 'Stalinism' is itself a mystification of what were material transformations whose explanations extend beyond the role of any one individual. The other problem occurs with the "aesthetic" critique of an historical period. Just as Lukacs warns us against reducing our analysis of the bourgeois world to the aesthetic, so that of Soviet society in the 1930s. It is not enough to comment that the Party passed decrees on Art. The question, is how this occurred, why, and what implications does it have for understanding the concept of a social totality and its historical transformation? The crucial insight is not that there is a connection between politics and art but that they become completely merged. The fourth point is to reject the whole notion of a 'socialist' realism. With the political degeneration of the revolution, and the 'capitalist' character of the transformation of the labour process, there can be no meaningful sense of the concept of socialist realism. The concept of a Soviet realism however
---
\(^{17}\) This is one of the conclusions in a detailed analysis of Socialist Realist literature see Robin, Regine - *Socialist Realism- An impossible aesthetic* - Stanford UP - 1992
preserves an historically specific meaning, without falling into the trap of erecting preconceptions with regards to the qualitative character of the Soviet version of realism.
**Soviet realism**
How then should we approach Soviet realism? Quite simply as a contradictory and dialectical phenomena that can only be understood in its actual relations to the rest of the social world. In this, Soviet realism takes its position in the general history of alienation that has defined the modern condition in the twentieth century. Soviet realism was an historical process completely bound to the processes of estrangement and reification. It is through this that it establishes its links with the general historical project and in particular with the contemporary condition.
It would be helpful of course if we could continue by defining exactly what Soviet realism was conceived to be. Not surprisingly we find that right from the beginning we face not so much a definition as a list of questions that in themselves clearly indicate that the roots of the debate of the 1930s lie firmly in the nineteenth century.\(^{18}\) The problem of how we might represent reality, history and the human subject, are hardly questions that are peculiar to the Soviet Union of the 1930s. Ever since the dawn of the enlightenment, art's role in the depiction of the world has been transformed, not least of course in the techniques of architectural perspective.
**the privileged status of realism**
In the elevation of realism to the premiere position within the historical development of art we encounter an immediate problem. Despite the noted ambiguities and discrepancies existing amongst the main protagonists, Soviet realism presents itself as a theory of exclusivity. Realism to the history of Art, is what state ownership is to the history of forms of property. Within the logic of hierarchical and absolute notions of cultural and economic progress, the former is the *real 'end' of art* since it is claimed as the most dynamic and historically progressive achievement in the world of aesthetics. Similarly, in that there can be no greater manifestation of socialist development, than state property, the latter is the *real 'end' of socialism*.
Rather than the liberation of human relations from the fetish they become reified in the new concepts. From the very outset Soviet realism was a hierarchical notion that in the mis-
\(^{18}\) ibid p 37 - 74. Here is summarised some of the central themes and questions of the debate. Part two of this book explores the 19th century realist tradition.
conceived idea of the "class struggle in art", labels all works considered non realist as reactionary, and puts all realist works in a strict pecking order. Before Lukacs, this was most clearly articulated by Lunacharsky's comments on the history of literature where he distinguishes between the progressive realism of the early bourgeois period and its descent into a pessimistic and reactionary naturalism. Nevertheless Soviet realism was considered to be the progressive heir to this tradition. If this was an example of the attempt to link Soviet literature dialectically and historically with previous genres then it was in some ways successful. But then to erect the new realism as the apogee of literary achievement despite the rhetoric to the contrary was non dialectical and deeply utopian. It begs the questions as to why realism should enjoy such a privileged status and whether this is in any way desirable? This turns us to the notion of realism as the seeker of truth.
**realism as the removal of the mask**
In most Soviet literature that deals with the theory of realism, we find a common notion not unlinked to the ideas of Brecht, Lukacs and Adorno, that realism is a method of acquiring knowledge of the world. Realist literature and painting attempts to deal with the world in all of its complexity, seeking to capture the central dynamic of historical change and revealing the human subject and indeed classes in their true predicaments. Realism, then is not unlinked to a process of revelation whereby the true essence behind deceptive auras can be deduced. Predicting Adorno's critique however, this was not to be confused with the taking of a photographic snapshot which was more akin to the notion of naturalism.
It comes as no surprise to find that many of these ideas on truth, form and content were rehearsed by Hegel in his lectures on aesthetics. It is worth recalling here some of Hegel's more well known theses on the aim and role of art. Hegel periodised art into the *symbolic*, the *classical*, and the *romantic*. For all of these periods, art has an important role in the development of the individuals self knowledge of the spirit. At each phase in human history one of the primary functions of art has "been to find for the spirit of a people, the artistic expression corresponding to it". One of the ways in which this can be achieved is not through the dissociation, "but in the identification of meaning and shape", that is in the reconciliation of form and content. The aim of art then is not simply one of utility, in the sense of "purification, financial gain, fame..", it has a very special function, "we must
---
19 Lunacharski, A, V, - *O sotsialisticheskom realisme* - In Izbrannie stati no estetike - Moskva-Isskustvo - 1975 - p318 - 345 and p356 - 360 (On socialist realism)
20 Hegel, G.W,F - *Aesthetics. Lectures on Fine Art*- Voule One - Oxford - Clarendon Press - 1975 - p603
21 ibid p422
maintain that art's vocation is to unveil the truth in the form of sensuous artistic configuration."22 Whilst the truth that Hegel refers to is the method by which the interpenetration of meaning and expression can help reveal the true essence of history, the development of the human spirit, his emphasis on truth, clarity, and honesty make him the philosophical precursor of not only Soviet realism, but the modern movement in architecture, which had as an organising obsession precisely the same reconciliation of form and content.
But Soviet realism seeks to go further than simply establishing the truth about the world. It "does not just get acquainted with the world but strives to alter it....it knows that nature and society are dialectical, that they constantly change through contradictions, and it more than anything tests the pulse of this race in time", it is a realism that is "wholly aspirational, active and dialectical".23 This conception of realism is closely linked with the critical and negative concept of ideology referred to earlier. But it can also become a victim. There is no guarantee that in the pulling away of the blinds of history, new ones will not be hung and despite the insistence that the new realism was primarily a method in which content assumed greater importance than form it very rapidly descended into a manifesto of style in which the formal characteristics of work assumed a pre-eminent position. Figurative painting, traditional 'narrative description' in literature, classical sculpture and heroic monumental architecture. However, there was far more going on here than a formal transformation. We see a revision of the materialist project and its replacement by a quest to reveal an absolute notion of labour, nature and history.
critical assimilation or uncritical adulation
By the mid thirties after the declarations of 1932 uniting artistic organisations, and the Congress of 1934 at which the concept of realism was elaborated upon, a series of themes central to the method began to emerge. Realism was still all about the objective depiction and analysis of social reality in which the critical assimilation of all that was progressive in previous societies was central. This was of course in accordance with the comments by Marx, Lenin and Trotsky on the necessity of harnessing the up to date achievements of the bourgeois epoch. Thus the assimilation and transformation of bourgeois realism could be justified in the same way as the assimilation and transformation of American Taylorism. However, it left the basis on which such decisions could be made largely unanswered and subjective. Despite the refutation of bourgeois eclecticism, there could be a very fine line between what
22 ibid p55
23 Lunacharski op cit p358
constituted critical assimilation and wanton historical plagiarism. The situation was to be compounded by the addition of new categories such as *partinost*, 'party spirit', *narodnost*, 'national character', and of course *ideanost*, 'ideological content'. Thus the realist project was to be fully imbued with a new enthusiasm for the new society in the midst of construction. Creeping into the notion of realism was the concept of a 'revolutionary romanticism'. This like everything else was contrasted with the bourgeois world. Romanticism in the context of Soviet realism was entirely appropriate in anticipating the socialist transformation that was of course at that very moment being confirmed by the bureaucracy. In contrast "Bourgeois romanticism carries with it unrealisable dreams....either mystical religious soarings or the character of profound sorrowful nightmares". The irony of this comment in relation to a cultural project that for good reasons has been depicted as amongst other things 'hagiographic' are clear. Rather than celebrating the harmonious union of labour and the masses with nature and history, such romanticism as we shall see is instrumental in confirming the alienation of labour.
**realism as the negation and continuation of the avant garde project**
Much of the work so far has emphasised the development of the ruling bureaucracy as a negation of the revolutionary movement. Accordingly the cultural counter revolution has been viewed as a negation of the avant garde, described elsewhere as a confrontation between 'Culture One' and 'Culture Two'. However the transformation of the labour process not only negates the tendencies of the early 1920s but of course continues other tendencies that were inherited from the capitalist world and survived right through the early years of the Soviet Union. Here we pick up on the threads of an argument alluded to previously concerning the dialectic of the avant garde. Viewed primarily as an aesthetic transformation, it has been argued that there is less a rupture between the period of Soviet realism and the avant-garde than a dialectical continuity, and that the questions at the centre of the Realist project are not that different from the ones faced by the avant-garde.
This leads to the conclusion that the realist project of the 1930s in actual fact radicalises the avant garde, it not so much negates it as lays it bare. There are problems with this thesis not only with regards to the problems of an aesthetic critique but in its tendency to view the
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24 For a summary of the declarations see Robin op.cit p63-64
25 Lunacharsky op cit p359
26 Robin op cit p70-72
27 Paperny, Vladimir - *Men,women, and living space* - In Brumfield et al -*Russian Housing in the Modern age* - CUP - 1993 - p149 -171
28 Groys, Boris - *Total Art of Stalinism* - Princeton - 1992 - p44
avant-garde as homogenous. It is true however, that both the avant-garde project and the realist project share the preoccupation with history and consciously deal with the problem of the role art and architecture should play in the construction of social life. In addition they both share a commitment to the necessary and total transformation of the social world in which the human subject is recreated as the new individual. Historically the *Novie Beat*, 'new way of life' of the Constructivist movement is the parent of the realist notion of the 'Soviet hero'. In the logic of the final and triumphant transformation of class contradictions and of the birth of the virgin worker, both tendencies share a vision of the end of historical time as we have come to know it. Perhaps most importantly as we have noted, the realist project completes the avant-garde's political project, and in the process turns it upside down. For if central to the avant garde was the union of political and aesthetic programmes, that is the politicisation of the aesthetic, it is of course the bureaucracy in the USSR and the National Socialists in Germany who complete the journey and aestheticise politics. This refers not only to the Nuremberg rallies and the Munich spectacles but the wholesale spectacular organisation of ritual in the USSR. Here we see that along with everything else the state appropriates the mystical experience.
How then do these contradictions reveal themselves in the production of art, architecture and the built environment? First of all through the concepts of labour, class, nature, nationhood and history. Just as these are central to the literary project, so to painting and so to architecture. In this, the architecture of the period is distinguished in exactly the same way as literature, painting, and the whole process of industrial development. A momentous achievement of human ingenuity and productivity, of civilisation and of barbarism. The union of the highest technical proficiency and skill with what had become a violent utopian project. Second, Soviet realism becomes a specific aspect of ideology. In this it would be wrong to consider it as a conscious project carried out by the bureaucracy but as an aspect of consciousness whose structure and intention is derived from the development of new antagonistic social relations between a new ruling class, that is the bureaucracy and the working class and intelligentsia.
the social relations of cultural production, reception and function
At the most general level, the development of social relations in the construction labour process, were to be replicated within architectural production. This refers not only to the obvious central administration and control of the arts, the state ownership of institutions.
29 ibid p65
(and it should be remembered the state regulated production of art materials), but in the resurrection of the academic 'master-apprentice' relation that had characterised architectural activity in the 19th century. The hero of architectural labour is thus invoked as a sister to the 'shock hero and heroine' building worker. It is important to note here that although female labour was increasingly used in the building industry, all of the prominent academics within architecture from this period were male, a significant index of the limited emancipation of women.
The reception of art and architecture accordingly reverts to the traditions of the bourgeois art world. The whole structure of institutions, of academies, museums, and galleries is reinvented. Art regains the autonomous status that the avant-garde tried to undermine, that is as a practice it became institutionally separated from the masses, a specialist activity presided over by great masters. Its autonomous status is given another boost philosophically with regards to its function which was to grasp in pictures and words the dialectic of history and social life. In its inadvertent negation of this realist objective it exposes in no clearer fashion its complete lack of autonomy in terms of its objective depiction of some other reality. Whether we think of them as good or bad works of art is besides the point. Our interest here is how such works contradict their own objectives and the social world they pertain to represent. If however, both in subject matter and relations we find many of the features of 19th century art actively reproduced, there is of course a marked distinction, which is that the reproduction of such traditional orthodoxies takes place within the context of the invention of a mass produced culture.
the ideological saturation of every day life
The whole theory and practice of the Stakhanovite movement, shock working and the transformation of the labour process was as we have seen deeply ideological. It is important to understand how such controversial work practices by being justified and dressed up in the language of socialism fulfil the function of ideology. In pitting workers against each other, questions of workers' control and collective action were replaced by images of heroic individual proletarians. (See fig 64) Indeed the whole process of idealising workers and Soviet institutions was part of the general process of ideological production that we have termed Soviet Realism. One of the principle ways in which this was done was of course within law. The rhetoric of Soviet legislation was always heavily imbued with the language of equality and liberty. The statute books were full of laws proclaiming the inviolability of the rights of workers and local Soviets. As such Soviet law assumes the
THE HEROIC PROLETARIAN
Riashski, G - The delegate - 1927
status of a utopian polemic, like William Morris's *News From Nowhere* or Thomas More's *Utopia*. But this ideological saturation was not invented by the bureaucracy, it has its roots as we have noted in the 1920s, when we see the penetration of political propaganda and ideology into all sectors of social life, into theatre, film, graphics, music, textiles as well as architecture.
It could be seen on the banners in libraries exhorting intellectuals "to raise their productivity in the interests of building socialism", to the pioneer movement which as early as the twenties were singing wonderful songs such as "the smoke of the factory is better than the Smoke of Incense". Dinner plates were manufactured with revolutionary slogans, and agit prop work was conducted in all areas of industry. In 1929 alone the construction workers' Trade Union organised 494 anti religious lectures organised over 1000 clubs, and 3760 'krasnie ugolki', the little red corners where pictures of Lenin would replace the icons of old. Old religious days like *Elijah Day* and the *Feast of Inauguration* were replaced by *Electric Day* and *Day of Industry* respectively. Children were named after Revolutionary heroes, heroines and even concepts, such as *Dotnara* - daughter of the toiling people, *Smychka* - alliance of workers and peasants! 30
Gorky's novel the *Mother* effectively became a Soviet institution. As the crises of Soviet society became more profound, we could read and disappear into the optimistic and victorious tales of the working class struggle. These stories offered the promise and hope that was being simultaneously crushed within the labour process. New novelists appeared such as Platanov and Ivanov, who despite touches of irony were to write on themes in sharp contrast to the macabre and satirical work of writers such as Bulgakov the author of masterpieces like the *Heart of a Dog*, the *Master and Margerita*. Such new writers concentrated their attention on the lives of workers and peasants of the heroism of struggling people, as opposed to Bulgakov's obsessions with cats in bowler hats and mongrel dogs with human testicles.
Eisenstein's films can be seen in a similar vein. The film *Strike*, immortalises the brutal suppression of the 1905 revolution. Using new tricks like photomontage, Eisenstein juxtaposed vicious caricatures of 'nasty capitalists' victimising guiltless workers, workers who are at times portrayed with an almost religious aura. As propaganda, such films as *Strike*, *Battleship Potemkin*, *October*, along with novels by Sholokov and Gorky, had a vital role in
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30 Stites Richard, - *Bolshevik Ritual building* - p295-310- In Fitzpatrick et al - *Russia in the period of NEP* - Indiana UP - 1991
convincing wayward peasants and workers not only of the legitimacy of the revolution, but that its fate was lying in safe hands.
From a celebration of the revolutionary process they became used as methods for deflecting consciousness away from contemporary criticism. Questions to do with class struggle are removed from the present and located in the past as historical artefacts, the reification of history itself. The paradox of the manipulation of these works is that they end up externalising the very subject matter which they attempt to draw our attention to.\(^{31}\)
**labour, art, and legends**
One of the principle ways then in which ideology began to work was through the idealisation not only of individual workers and the struggle of "the toiling masses", but of history itself and in particular the history of the revolution. Myths were created about the historical contributions of social groups and individuals. Whole events were exaggerated and distorted so as to refute objective contradictions manifest in daily life. If it is bourgeois ideology that, "cannot rest until it has obscured the making of the world, fixated this world into an object which can be forever possessed,...which will stop its transformation, its flight towards other forms of existence"\(^{32}\), then Soviet ideology continues this project with renewed vigour.
If we were to take a broad sweep across all of the works of art from this period, there are particular themes which are constantly replicated. First, the notion of realism is wholly replaced by one of romantic illusion. This reveals itself not only in the idealisation of the worker and of course work itself, but in the reification of social relations that comes with the mis-representation of social life. Images depicting events in Russian and revolutionary history, that deal with the respective roles played by individuals and the masses, paintings of contemporary life on the sports field, on the collective farm, and in the factory committee, mythologise everyday life yet nevertheless aspire to its revolution, a revolution that tragically can only be accomplished on canvas, celluloid and paper. It is no coincidence here that the subject matter of this romantic painting shares something else in common with 19th century romantic art, which is the absence of the urban, and indeed of the urban worker apart from in a classical pose of heroic isolation.
\(^{31}\) Eisenstein fled to America and Gorky committed suicide.
\(^{32}\) Barthes, Roland - *Mythologies* - Paladin - 1984 - p155
The world of art was to see a return to the traditions of epic figurative painting and classical sculpture. Just as the work of Constable shows a rural Britain as a non antagonistic idyll, accordingly much of the painting in the era of socialist realism portrays a world free from conflict. (See fig 65) But by denying social discord it simultaneously created new contradictions. In order to contradict the reality of oppression it too has to offer a vision of utopia. Painters were required to provide soporific scenes of a world free from antagonism, or of heroic workers in the field and in the factory, of the absolute grandeur of absolute labour.
The transformation in the work of Kasimir Malevich is a poignant demonstration of the imperatives on cultural workers to conform to Party dictates on acceptable modes of aesthetic representation and subject matter. Renowned for pioneering Russian Suprematism in painting, Malevich is chiefly remembered for abstract paintings such as the Black Square - 1914-15 and a series of pieces simply called 'Suprematism', where rectangles and lines collide in a dynamic and explosive orgy. These are important for the radical departure they represent from the traditions of 19th century painting. But in 1933, Malevich completed a painting simply called 'Worker'. It is a figurative painting of a happy, healthy, rosy cheeked women resplendent in a coloured folkloric outfit. This was painted at the same time as the 1932-33 famine in which it is estimated four million people perished. (See fig 66) Completed at the height of the purges in 1937, Arkadi Plastov's 'Collective Farm Holiday' depicts a mass of energetic farmworkers amidst tables overflowing with food and delicacies. (See fig 67) Clutching children, laughing and playing music, they enjoy themselves under a picture of Stalin and a slogan that reads "zhisn stalo veselye", "life became happier". Similarly the 1940 work "Election to a poor peasants committee" a scene of radiant sunshine and democratic debate, makes a mockery of any notion of realism not only in the context of war but of the realities of peasant life.
The greatest painter from this period was probably Aleksandr Gerasimov, a Party favourite. Like Plastov, and other masters of painterly mythology Yakovlev, Lokitiniov, Gerasimov was technically accomplished, one might say brilliant. His paintings are meticulously executed. The "Collective Farm Guard", 1933, "The collective farm holiday 1936-37", are of
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33 Petrova,E et al - *Malevic-Kudoshnik i teoretik* - Sovietski Kudoshnik - Moscow - 1990
34 Filtzer,,Donald - op.cit p 94
35 Germana,M et al - *Shitovecs* - 1920 -1930 - Gosudrarvstbvennie Russkie Muzei - Katalog -1988
36 These and other paintings can be seen in *Sovietskoe Izobratelnoe Iskusstvo* - 1917 -1941 - Moskva - 1977. For a survey in English see Cullerne Brown - *Art under Stalin* - Holmes and Meier - New York - 1991, and for a whole series of essays including an introductory essay on architecture by Catherine Cooke, see Cullerne Brown, Brandon Taylor et al - *Art of the Soviets. painting sculpture and architecture in a one party state*. 1917 - 1992 - Manchester University Press - 1993
The union of man and woman, worker and peasant
Mukhina, V - Steel sculpture, Moscow 1937
From the black square, white circle and red triangle to the joyous peasant
Malevic, Kasimir - The worker, 1933
Plastov, A - Election to a poor peasants committee, 1940
course contradictory in the same sense as the work of Plastov. But it is his painting "Lenin on the Tribune" 1929-1930, that provides the clearest reference point and benchmark in the new aesthetic. (See fig 68)
Lenin, is elevated above the historical process into the heavens themselves. Thus despite the orthodox thesis of history as the history of class struggles, here we have history as the deeds of great leaders. Secondly, the masses, the real makers of history are relegated not just to earth but to a fragment of the picture. In most of the paintings from this period, the workers appear as either idealised heroes and heroines plucked out of context, or as subordinate to some higher authority. In a complete paradox, Soviet painting achieves not so much a critical realism as a completely unintended photographic snapshot of the real and actual subordination of the masses to the 'Party', to the 'State', and ultimately to the cult of personality. This painting in many ways inaugurates the eulogisation of 'great' leaders that was to dominate much of Soviet Art over the next thirty years. Not just Lenin, but Stalin, Marshall Zhukov and even Aleksandr Nevski could become subjects. (See fig 69) Thus when Barthes comments on the distortion of reality in myth, and the bourgeois project of keeping reality whilst dispensing with its appearances\(^{37}\), we find an unexpected relative in Soviet painting, which in attempting to represent the dawn of an era of emancipation, is contradicted by the material reality of every day life which can never be painted. It first negates the truth and in so doing reveals it. The same can be said for the fate of painting in the Third Reich.
**the figurative work and fascism**
"Within a period of ten years, German fascism succeeded in reviving for its own purposes both the obsolete art of bourgeois genre painting and the opposing mode of feudal ideational painting. Both modes were so meaningless that the contradiction between them did not become apparent. In the painting of the Third Reich, every positive tie to reality was destroyed."\(^{38}\)
As the above passage implies, despite the dangers involved in drawing comparisons, the parallel between the fate of art in the USSR and in the Third Reich is unavoidable not least because of the more or less simultaneous attack on the avant garde. Freedom of artistic expression is one of the many litmus tests by which we judge the state of democracy.
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\(^{37}\) Barthes, Roland - *Mythologies* - Paladin - 1984 - p149
\(^{38}\) Hinz, Berthold - *Art in the Third Reich* - Blackwell - 1979 - p163
Gerasimov, A - Lenin on the tribune, 1929-30
History, as the history of great individual men
Yakolev, V - Marshal Zhukov, 1948
juridical and violent suppression of art and its replacement by myth is one index of its negation. In both societies we witness the centralised administration of the production of an aesthetic culture that reifies human relations and glorifies, work, sport, and the healthy ordered individual. The production of art in such circumstances becomes part of Foucault's carceral archipelago.\textsuperscript{39} Whilst we wait for incarceration we remain subject to the technologies of discipline and normalisation imparted not only through the institutions in which everyday life takes place, but by the mass production of images of the ideal.
One of the most obvious ways this happens is in the classical mythologisation of the shape of the human body most clearly evident in Soviet works of sculpture like Matveev's \textit{October 1927}, Sinanski's \textit{Young Worker} 1937, and is replicated in such paintings as Saliger's \textit{Mars and Venus}, Hackenbroich's \textit{New Youth}, Kampf's \textit{Venus and Adonis}. (See fig 70) There are of course major differences not least in the portrayal of women, which in German Art of this period tends to be of the naked, erotic mother and in Soviet painting tends towards the heroic female worker. However they both project the human subject as something otherworldly, a picture of the physique that contradicts the actual knowledge we have of our own bodies. It produces then one of the primary features of alienation, which is the alienation of the human subject from his or her actual body. They are the historical cousins of the Barbi doll and the Action man. (See fig 71)
Other forms of imprisonment emerge in the concepts of race and nation. Whilst Soviet appeals to nationhood were limited by the rhetoric of internationalism, "Soviet" nationalist myths and folkloric themes, crept into art production, as a rallying cry to accompany the advent of war and of course as an antidote to the critique of the theory of 'socialism in one country'. Blood and Soil, myths of race played as we know a central role not only in the organisation of Nazi art but also architecture. Just as the reality of rural life on the collective farm is mythologised in Soviet painting, German painting mythologises nature, landscape and natural reproduction. (See for instance Erler's "Blood and Soil", Cissarz's \textit{Time of Ripeness} and \textit{Farmer plowing}, Walther's \textit{Motherliness}, and Mazzetti's \textit{Mountain Landscape} which has the Alps crowned with a Swastika). It hardly needs adding that German leaders were also subject matter for painters. (See Einbeck's \textit{Reich Minister Rudolf Hess}, and Erler's \textit{Portrait of the Fuhrer}. ) As in the Soviet Union the pre-eminence of figurative painting should in no way be confused with that of realism. In that both these painting traditions
\textsuperscript{39} The two obvious references here are to Foucault, Michael - \textit{Discipline and Punish} - Penguin - 1987, and \textit{Madness and Civilisation} - Routledge-1987. See also Rabinow, Paul -\textit{The Foucault reader} - Penguin 1991
IDEALISING THE MALE BODY
Matveyev, A - October, 1927
FIG 70
IDEALISING THE FEMALE BODY
actively and openly distort the visual world should all recognition, if anything more, be closer to a form of surrealism. But at the same time of their formalism, a desire of product-based art, that is mass based yet subjective contemplation of the senses and of the realities of social life.
Mukhina, V - Bread, 1939
actively and openly distort the social world beyond all recognition, if anything they are closer to a form of surrealism. This is the real basis of their identity, a mode of production of art, that is mass based yet ultimately contemptuous of the masses and of the realities of social life.
walking the boulevards
There was always something very reassuring about the rich mixture of benzene and papirosi. It was the smell of the street, comforting and recognisably human, aromas that swirled at the foot of the triumphant city. A physical testament to progress and to repression, to the grandest of spectacles, to the discovery and annihilation of truth.
On what basis are we able to evaluate this towering colossus? Not through the proffering of pejorative and entirely subjective comments on the development of Moscow. This is to ignore the dialectic of history, and to erect yet more masks that obscure the making of city. The analysis of its construction during the years of Stalin's rule must commence from the contradictory structure of new social relations. This refers primarily to the development of new class relations between an emergent bureaucracy and a politically and economically appropriated working class, and immediately makes the notion of a 'socialist city' or indeed a 'socialist architecture' questionable not only in relation to the USSR but as an objective in any social formation. It is an intrinsically utopian concept that can only lead to the idealising of one particular form of architecture. The notion of an architecture that seeks to capture the dynamic reality of social life is however another matter, but this along with other concepts central to the realist project was to be frozen. Once however we strip away the empty rhetoric of 'developed socialism', we find by the greatest of paradoxes, that Moscow, is in fact true to itself. What more appropriate architecture and urban landscape could there be for a new bureaucracy and ruling class that captures the ossification of the revolutionary process than an Imperial city that would cast in stone the new rule of law forever. All documents of authoritarian rule impress, precisely because their magnitude and power feeds off our own vulnerability and our desire to absolve responsibility for the world to a higher authority. Grandiose feats of the architectural imagination are invariably linked to a notion of an absolute God.
the socio-spatial dialectic
The development of new ideas about form cannot be reduced to some notion of individual taste, autocratic desire or bureaucratic predilection whether it be Peter the Great, Stalin or Kruschev. We have seen how in both late nineteenth century Moscow and in the early period of the avant garde, social relations are bound together with spatial relations in a dialectical unity. The presumed liberation of social relations from the process of reification that provides the stimulus for the revolutionary process, implies not only the redefinition of the relation of labour to itself, to the products of work and nature, but as we have noted to space.
Similarly in the circumstances where social relations are becoming fetishised in new ways we should also expect to see the reorganisation of space at all levels of the social totality. The partial solution to the riddle of *heroic monumental architecture*, which is one way of describing the formal characteristics of architecture from this period, is to be found in the way that the production of architecture functions as one wing in the production of new forms of ideology that fetishise social relations by claiming to be the opposite of what it actually is, i.e. an architecture of an imperial bureaucracy laying claim to socialism.
We described how the avant garde project sought to redefine social relations at a global, territorial, and regional level, within the settlement plan, and within the spaces of education and work. One aspect of the continuity between the thirties and the twenties is how this project is transformed under the emergent regime. For every significant change in the character of social relations and in the form of labour, we find corresponding transformations in the form of the built environment.
One of the ways that this was inaugurated was through the medium of the competition. There were three in particular that were important. The *Plan for Moscow*, the competition to design the *Palace of the Soviets*, and the competition to design the *Ministry for Heavy Industry*. Despite the appearance of pluralism and tolerance that architectural competitions offer, they were in fact a tool for establishing Party rule over architectural production, for proclaiming the 'right answer' and for removing both criticism and opposition. Although most of the arguments had been already discussed and aired, the 1935 plan drew all strands of the new direction in architecture together.
**the 1935 plan**
In what amounts to perhaps one the most contradictory and ludicrous statements in any book on Soviet architecture, we are informed that 1931 saw "the resolution of the basic social problems of the nation"¹. This 'solving of social problems' enabled the Central Committee of the CPSU to pass a resolution calling for the development of a Master plan for Moscow. This as we have mentioned was an important document, not only as a statement of policy but because it set the structure for the future development of the city right up to the present day. It is also of unique historical importance in another sense, for there can be few examples in the history of architecture and urban design that have sought to plan a whole built environment in such an integrated and comprehensive manner.
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¹ Posokhin, Mikhail - *Towns for people* - Progress - Moscow -1980- p112
Following the great international interest in the possibilities for generalised planned urban development that the Soviet Union was unique in offering, and which had encouraged Corbusier, Ernst May and Hannes Meyer to submit schemes for the new Soviet capital, the plan for the creation of a "genuine socialist city" was finally published on July 10th 1935, with the innocuous title "On the general plan for the reconstruction of the city of Moscow". It contained programmes for the infrastructural development of the Metro, the Moscow - Volga canal, the rebuilding of the banks of the Moscow river, the asphalting of roads, a decision to strictly limit the growth of the city and to surround Moscow by a green belt. This was to be accompanied by a vast and ambitious programme of housing, social and commercial construction including, cinemas, hotels, supermarkets, schools, and factories. It is however the spatial restructuring of the city that is most revealing. Here we find the conscious decision to amplify the historic radial-ring road system of streets, not only through the construction of new 'magistrals' but through the widening to between thirty and forty metres of existing boulevards. The classical character of the city was to be completed by the planned construction of "several monumental buildings of state importance", the reconstruction of town squares with new names, "Komsomol", "Soviet", "Triumphal", "October", "1905", and a new crown in the sky line, The Palace of the Soviets to replace the Church of Christ the Saviour. (See fig 72) Finally, new buildings were to be constructed along the boulevards that were to be the best examples of 'classical' and 'new' architecture, with the most important boulevards, crossroads and city nodes being adorned with the "most expressive and parade like compositions" with housing blocks between seven and fourteen stories. That this plan led to the construction of buildings and boulevards that as passers by we can admire and contemplate with the same awe we reserve for a trip to the sites of Rome, should not be surprising and is not contested. It is primarily to the objective contradictions of such an architecture that we turn our attention, an investigation of the consequences of which reveal the paradox of pleasure that comes from awe.
Whether it be the grand plan or the individual building we see the same tensions reproduced that we have discussed previously in relation to the labour process, realism and ideology. We meet the negation of the aesthetic and political programmes of the avant garde, the idealisation of history and social progress, the projection of absolute and universal
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2 Reshenie partii i pravitelstvo po khozaistvennim voprocam - Tom 2 - 1929-1940 - Moskva - 1967 - Postanovlenie Sovnarkoma CCCP i TsK VKP - July 10 1935 - O generalnom plane rekonstruktsia goroda moskvi - p534-546
3 ibid 538-9
4 ibid 540-1
THE PLAN FOR THE IMPERIAL CITY, MOSCOW, 1935
north 'wedding cakes' = ●
proposed boulevards = —
DIAGRAMMATIC PLAN OF MOSCOW
Below is illustrated a generalised and approximate map of Moscow that indicates some of the more important structural features.
categories, the representation of a non contradictory reality and the mystification of social relations.
**the idealisation of form and space**
It is suggested that many of the earlier ideas on town planning offered by Ginzburg, Barshch, Leonidov, Milyutin, Ladovski and Okhitovich and which attempted to redefine the urban in the light of new social relations, "retained their umbilical cord to the erstwhile utopian tradition"5 They were however no more utopian than the 1935 plan, which with the accompanying drawings and aerial perspectives by Schusev and Rudnev confirm the new Moscow as an Imperial showpiece city. An agglomeration of axes, boulevards, squares and temples all leading to the Palace of the Soviets which would be built to tower over human history. The city like history itself, is shorn of the curse of conflict and contradiction.
But, neither tendencies can in fact be described as intrinsically utopian. This accolade should be reserved for the architectural fantasy which bears no relation to material life. What is more important is to see both tendencies as potentially real projects that are bound together historically, yet simultaneously negate each other. This is evident in a number of ways. Both the programmes of the 1920s and 1930s share a commitment to the fundamental restructuring of space that is interdependent with the development of post capitalist social relations and the redefinition of the human subject. As equal claimants to the progressive traditions of European culture and socialism, they can both be characterised as heirs to the Enlightenment programme of rational planning. Thus behind the formal opposition between the *disurbanist technological fetish* of the avant-garde and the embodiment of the *city of classical antiquity* of the 1935 declarations, we can see two similarly audacious proposals to subject nature and space to the rational plan, an act that firmly places both tendencies in the modern revolution, a revolution that commences with the capitalist assault on time and space.
But their unity as two historically linked movements also finds expression in their opposition. In the same way that the concept of 'high art' only has any meaning in relation to its opposite, that is 'low art', the reality of a plan for an Imperial city, the epitome of a centralised ruling bureaucracy can only be evaluated by that which might contradict it. Thus the final negation of the "Stalinist city" only occurs with the dissolution of state ownership as the predominant form of property, and the collapse of the State control over social life as the predominant means of maintaining political order. This begins to happen with the
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5 Ikonikov.,A - *Russian architecture of the Soviet Period* - Raduga -Moscow - 1988 -p105
introduction in the 1990s of differential rents, the commodification of land, labour power, 'parliamentary democracy' and other features of the drive to legalise private property and develop the market.
A far different critique is of course to be found in the work of the avant-garde. To argue for the invalidation of the Soviet avant-garde on either aesthetic or technological grounds, is to miss the fact that its impossibility lay in the assumption that the fundamental transformation of social relations necessary for the development of new directions in spatial design had taken place. One of the ways in which the work of the avant garde is distinguished is by the combination of a radical politics with the imperative to imagine the possible and to contemplate the improbable. Despite the various contradictory and confused attempts to locate new historical ideals, the question of history and the problematic of space nevertheless remains open ended with the avenues of criticism preserved. It is exactly into these gaps opened by the avant garde that the bureaucracy inevitably steps, in order to pull the world back from the brink of the unknown and to protect it from ideas now deemed to be both unreasonable, semi-fanciful, and dangerous.
We encounter the unambiguous logic between the concept of the state as the only repository of freedom and democracy and the offering of an absolute city that in essence calls on a single historical ideal, the architecture of the state appropriation of the slave. As the concept of spatial mobility is replaced by that of stability and immobility, the question of the dynamic of history and the emergence of new forms of property is declared shut and closed. The tendency to an absolutist conception of social life tends to be replicated at all levels of the social totality. State property as the highest form of socialist property, the stakhanovite hero worker as the highest form of labour, the neo-classical urban plan as the most appropriate urban pattern for the socialist city, historical development from hereon as the unburdened and non-contradictory march of science and technology, are all aspects of absolutist tyranny that deny the dialectical unity of the forces and relations of building production. (See fig 73)
By resurrecting the past in an idealised manner, the 1935 plan offers a way of rejecting the future and negating the present. In the situation where all political and economic power is concentrated with in the hands of the ruling bureaucracy in Moscow, and where economically exploitative relations are being fostered between the Russian and non-Russian territories, there can be no option to the creation of hierarchically ordered and centrally administered
The Liubianka, Moscow, (Dzershinsky Place in Soviet times), home of the Secret Service,
space. In institutionalising the 'universal' and 'absolute' city, the plan plays a role in the removal of opposition and in marginalising the possibility of the creation of an alternative plan for urban development. The subordination and exploitation of the Soviet worker becomes objectified in an architecture of authoritarian rule that is presented as the victory of the socialist city. In place of its liberation, time and space fall under a new reign of order and administration. This ordering of space was to be replicated in the post war plans for the reconstruction of Perm, Stalingrad, Novorossiski, Cheliabinsk and other cities. (See fig 74) Whilst as we shall see in the case of Moscow the proposals were to become tempered by the 1950's housing crisis, the logical outcome of the absolutist city are vividly encapsulated in the proposals by Iofan for Novorossisk (1943-1944) and by Arkin for Stalingrad (1944-1956). (See fig 75)
the spectacle of the militarised city
The reinforcement of the radial character of the city had other consequences. The arterial roads made the traversing of the city far easier, not only for civilian transport but of course for the military. The breadth of Moscow's main boulevards, Lenigradskoe Shosse, Leninski Prospect, Kutosovski Prospect, and Prospekt Mira, (See fig 76), enable aircraft to be landed right in the middle of the city, they also enable the sealing off of one part of the city from another and the rapid deployment of troops. This can be explained by the conversion of the Soviet economy into one dominated by the military industrial complex, but in the situation of civil unrest this militarisation of space facilitates the division and segregation of territory and people, assisting the reimposition of order and control. This is fully revealed by the ritual staging of parades and demonstrations when the militarised plan of the city is exposed. On such holidays as Red Army Day, May Day, November the 7th, the side streets were closed and all roads lead directly to Lenin's mausoleum, as the city became transformed into a massive 'theatre' of war. (See fig 77) This was another very important device for veiling deeply rooted antagonistic relations. We no longer have real class warriors but 'actors' dressed in bolshevik outfits riding on horses, SS20 missiles on trucks appearing out of nowhere, ranks of tanks trundling around the ring road, smiling masses holding portraits, and chanting slogans. (See fig 78) Such a carnival stage and magical grandeur creates an intoxicating atmosphere, in which historical events and the role of individuals could be
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6 See Sovietskaya Arkhitektura. 1917 -1957 - Moskva 1957-p6. The editorial committee included Vlasov and Abrosimov, prominent architects of this period, and is remarkable not least for not even mentioning the avant garde in the introductory retrospective, referring just to certain 'formalist theories' and 'deviations from the party line.
7 See Tarkhanov, A and Kavtaradze. S - Stalinist architecture - Laurence King 1992 - p100-103 for excellent reproductions of these and other notable drawings from this period.
POST WAR PLANS FOR RECONSTRUCTION
Order and celebration through the boulevard, axis, and monument
Схема главных магистралей и площадей центральной части города: 1 — улица Крещатик; 2 — площадь Калинина; 3 — памятник Богдану Хмельницкому; 4 — Софийский собор; 5 — бульвар Шевченко; 6 — здание Верховного Совета УССР; 7 — Оперный театр
Top- L, Kiev, R, Perm Middle-Cheliabinsk, Bottom-L, Leningrad, R, Stalingrad
FIG 74
Iofan, B - Plan for Novorossisk, 1943-44
Arkin, D - Design for Stalingrad, 1946-52
Cutting up space with the boulevard
Lenin Prospect
Gorky Street (now Tverskaya Street)
SS 20 nuclear missiles in Red Square
The seventieth anniversary of the Bolshevik revolution
The mass organisation of militarised ritual
Tank in front of a wedding cake
FIG 78
completely mythologised. For every portrait held aloft signalling the greatness of Lenin and Stalin, there remains a subtext which declares the subordination of the masses. Such performances operate in exactly the same way as the 'realist' figurative paintings, in which the world is cloaked in a romanticism that is all pervading and borders on sycophancy.
Such parades are hardly unique features of the Soviet regime. The organisation of ritual as a means of strengthening social cohesion is one of the fundamental characteristics of all class societies. Whether it be the gladiatorial confrontations of ancient Rome, Royal processions, executions in revolutionary France, the show trials of the 1930s, the McCarthy trials of the fifties, or the great leisure shopping experience, what passes as entertainment and pleasure also fulfils the function of disguising the critique of the society of the spectacle. It is simply that in the situation of dictatorship the manipulation of the spectator becomes particularly vivid and naked to the eye. This sits in marked contrast to the short lived happenings and events of the early 1920s. Again it is part of our dialectic that the spontaneous events, gatherings, sculptures and art that celebrated the revolution and of the opening up of new horizons indicated the overwhelming importance of ritual in the development of consciousness, with one crucial distinction. Whereas the former promised to turn the individual into an active and creative participant in a free and voluntary art, the latter became a strictly organised ritual that gives the mass the illusion of participation whilst reducing them to the role of an army of passive spectators. In the very celebration of labour we witness its defeat.
architecture and the idealist notion of truth
The reliance on myth and historical deception is not to be explained by the inappropriate application of the methods of realism to architecture. It is to be found as with painting and literature in the replacement of a critical method by a subjective notion of truth.
Let us momentarily continue our fantasy story with more Party pronouncements on the character of Soviet realism as it was meant to apply to architecture. In the editorial columns of *Arkhitektura CCCP* in July 1933, the new tasks for architecture were declared. The first task was the application of the totally arbitrary concept of 'ideanost'. "The new socialist content, lying at the base of each new Soviet construction, must dictate to the architect the appropriate technical and economic organisation, its planning and internal arrangements, and its architectural-artistic decisions," in which one of the most important methodological acts
was to be the "critical assimilation of previous architectural heritage"8. Similar to the instructions to writers and painters, architects were informed that this was not to be achieved through some kind of "bourgeois eclecticism" but by the "profound assimilation of the workings of previous architectural compositional methods and principles for the expression of the new socialist content."9 Thus under the slogan of "architects to the scaffold", the new architecture was required to "aspire in its stylistic quest for realistic foundations - for clarity, precision in its images, easy to read and intelligible to mass perception"10.
Thus the concept of realism is reduced to vague concepts of truth and comprehensibility, a clarity of meaning that was to be achieved through historical research or rather historical mystification. Claims to the superiority of the dialectical method are parodied in what was in effect an old fashioned argument for populism, the antithesis of the notion of progressive historical transformation, in which populist claims to diversity and freedom can be revealed as re-affirmations of homogeneity and stability. The possibility of launching a critique from a materialist perspective was made all the more difficult when faced with a language that justified itself through the use of 'marxist' categories. The analysis of the reification of social relations becomes a life threatening option in the face of declarations that confirm uncritically the epoch of socialist democracy, "the workers await bright new homes, worthy of a Soviet citizen, industrial buildings, appropriate to the nature of socialist labour, monuments to the great creativity of the Stalinist epoch" an epoch in which the reign of the fetish is claimed to have passed.
"Human relations, liberated from the fetishism of things, from all deceptions created in class societies, are not obscured by the genuine and fundamental meanings of creativity in all fields of art. Socialist Realism as the leading method of Soviet Art in opposition to naturalistic contemplation and idealistic organicist bourgeois art, stands for the free activity of people, of a dynamic world, directed on the scientific basis of Marxism and Leninism..."11
As if by stealth, the work of Rubin and Pashukanis is incorporated and turned on its head. 'Socialist realism' becomes the very method by which the process of reification is negated. It is able to do this precisely because as a realism it lays bare the "deceptions" of class societies. But for all the essays by Lunacharsky and Lukacs, realism becomes an apology for an aesthetic critique of the social world. As such and within the logic of this aspect of aesthetic autonomy, it can of course never reveal to itself the fact that Soviet realism has negated the
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8 Arkhitektura CCCP - July 1933 - p1
9 ibid p2
10 ibid p2
11 Arkhitektura CCCP - August - 1936 - p4-5
negation of social relations and reified them in new ways, not least within the very structure of language itself, and perhaps most gloriously in the production of architecture and space.
assimilation, eclecticism and an Hegelian aesthetic
Ultimately such phrases are meaningless as a theory of architecture or as a method for understanding the real nature of the physical transformation of the city. As the Party struggled to find "an appropriate style", a truly Soviet architecture that would "strive for realistic criteria - for clarity of precision in its images", and which would "be easily comprehensible by and accessible to the masses", the slogans of the avant garde were replaced by new ones that relentlessly tried to find the right words to describe socialist realism, such as "Truth in Art", and "mastery of the heritage". 12 The search for an architecture becomes dominated by the pursuit of an ideal, an architecture of purity that captures the essence of socialist man and woman. The religious or rather metaphysical overtones of such a programme leads inevitably into a world where like literature, the periods of architectural history can be classified into ranks where the most progressive of forms earn their position by virtue of being closest to the truth. For all the cries of materialism, the Soviet quest for an appropriate architecture is deeply Hegelian.
For Hegel the Ideal is to be found in the classical. It is within the realm of classical art that content and shape are united. 13 Hegel argued that since the human acts as the foundation for the development of both the form and content of classical art, such art can justly lay claim to a Universality. 14 Whilst Hegel was more reserved about the merits of classical architecture he nevertheless considered it to display a similar appropriateness of purpose such that it could become freed from confusion with the organic and the symbolic. Thus classical architecture "suberves a purpose, it comprises a perfect totality in itself which makes its one purpose shine clearly through all of its forms." 15 It is this same historic search for truth and for an ideal unity of form and content that lies at the centre of the Soviet project, and was celebrated in the synthesis of 'national' form and 'socialist content'. But to call the architecture of this period classical, is to stretch the meaning of such a descriptive category to the point of emptiness.
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12 Tarkhanov, A and Kavtaradze, S - Stalinist architecture - Laurence King-1992-p49-54
13 Hegel, G.W.F. - Aesthetics. Lectures of Fine Art.- Volume I - Oxford UP - 1975 - p427
14 ibid p476
15 Hegel, G,W.F. - Aesthetics. Lectures of Fine Art.- Volume II - Oxford UP - 1975 - p66()
For all the new chatter, Soviet architecture from this period is far more structured by romantic conceptions of the Russian rather than any progressive vision of the Soviet. In terms of form we only have to compare the work of Chechulin, Fomin, Iofan, Golts, Golosov, Zholotovski, Mordinov, Blokin, and any number of others to expose the fallacy of the critical assimilation of the architectural heritage. (See fig 79 and 80) Whilst architectural history was undoubtedly assimilated, the choice of form was driven far more by individual competition between these new academic masters than by any truly rational concept of history. What we are left with is an extraordinary collection of buildings that are highly idiosyncratic, and ultimately eclectic in their use of historical references.
**claiming the classical tradition**
At least in this the architects remain firmly in the tradition of the nineteenth century. The grand European drive of Peter the Great and Catherine had permanently installed the classical in the architectural vocabulary and as we have seen this led to the widespread penetration of classical principles of urban and building design into the traditions of Russian architecture. This as we know unfolded in the struggles of ideas between the *neo-classical* and the *eclectic*. Many of the architects who re-emerged in the 1930s such as the Renaissance revivalist Zholtovski and the author of the *red doric* and *proletarian classicism*, Fomin, had been educated in the pre revolutionary academies. (See fig 81) They thus brought to bear on Soviet architecture not only the noted traditions of hierarchical work relations, but the traditions of scholarship and a rich knowledge of 19th century architectural history.
The littering of neo classical masterpieces in so many Russian towns and cities made it easy for the revivalists of the 1930s to claim the classical heritage as their own, with of course its particular characteristics that had come from its historic collision with the 'Byzantine' and mediaeval Russian tradition. As such neo-classical architecture was claimed at the height of Soviet xenophobia as being an example of profound originality that was "organically linked with the national life".\(^{16}\) In addition it could be argued that the return to the heritage of classicism reflecting as it did national Russian tradition was entirely appropriate to the creation of a new Soviet style, a convenient antidote to the 'internationalist excesses' of the modernists and ultimately a fitting accompaniment to the theory of socialism in one country.
However, the formal character of these buildings cannot be embraced by any one genre. They remain a highly eclectic, dare we say a "post modern" mixture of historical symbols and
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\(^{16}\) See the introduction to Cracraft, J - op.cit p15-17– for a discussion in english of the Russian claim to the classical tradition
The assimilation of architectural history - re-inventing classicism
Soviet neo-classicism on the banks of the Neva, St Petersburg - the caption reads "Our goal - communism"
Housing on Chkalova St, Moscow, by Ribitsky, E., 1949
Housing scheme on Leningradskom Prospect, Moscow by Blokin and Burov, 1941 - Despite the decorative details, this house was in fact an early experiment in the use of mass produced large blocks.
THE HEROIC AND THE MONUMENTAL
Zholtovski, I (1867-1959) - neo-renaissance housing on Prospect Mira, Moscow, 1951-1957
Fomin, Ivan (1872-1936) - "Proletarian Classicism", Dynamo Sports Association, Moscow, 1928-29
meanings that pay homage to the orthodox church as much as to classical antiquity. To refer to them collectively as lying within the tradition of a heroic monumentality, brings us closer to a basis for a real understanding. This links many of the schemes not with periods in the history of style, but with transformations in the production of social life. Here we think not only of 1930s Germany and Italy, but the architecture and planning of the French Enlightenment, of the period of imperial expansion in the nineteenth century British Empire, and the monumental constructions of the capitalist revolution in the USA. In other words our task at this juncture remains an investigation of the aesthetic but in a manner that restrains claims for aesthetic autonomy.
It is perhaps stating the obvious to comment on the appropriate nature of such heroic monumentality to the ruling bureaucracy. It was hardly the first time, and unlikely to be the last that a ruling class or social group has adopted a historic melange as architectural policy. Claims to mastery of history remains an important ingredient of other claims to political, economic, and social superiority. It is a paradox that such architecture fulfilled the Party objectives of 'clarity' so admirably. There could be no confusion in the minds of visiting peasants and workers of the reality of a strong and powerful State system. The means of production of social life belonged to them like everything else through the Party and the state, what greater gift could there be than the appropriation on behalf of the peasants and workers of two thousand years of architectural history, the perfect union of ideology and truth.
**Palace of the Soviets and the Commissariat of Heavy Industry**
The palace of the Soviets was central to the 1935 plan. There are many apocryphal stories that surround the proposed site which are used to explain why it was never built, not least the revenge of God. But the impact of the competition on the future of Soviet architecture was profound. The competition understandably received great coverage in the press\(^{17}\), this was after all the building to house the first ever workers government in the world. The approval of the scheme by Iofan was for a colossal and monumental building comprising of stacked cylinders of decreasing diameters and which was to be crowned by a statue of Lenin taking the overall height to 415m. (See fig 82) Approved by both Lunacharsky and Stalin, the Palace drew obvious comparisons not only with the tower of Babel but with Boulees project for a cenotaph to Newton (1784). Rather more unfortunate comparisons can be made with Speer's
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\(^{17}\) This competition along with all the other projects from this era were of course documented in the two main journals. The Palace of the Soviets project was published in *Stroitelstvo Moskvi* - No 3 - 1932 - p13ff, and in *Arkhitektura CCCP* - July 1933 - p5ff
Iofan, B (1891-1976) - Scheme design with Schuko and Gelfreich, 1937
IOFAN, B, SHCHUKO, V and GELFREICH, V
Plan of the winning entry for the Palace of the Soviets 1937
Reich Chancellery in Berlin. Nowhere is the race to become the heir to Rome more explicit however than in the 1937 Paris World Exhibition in which pavilions by Speer and Iofan confront each other with formal similarities that contradict the display of mutual opposition and antagonism. (See fig 83)
The comparisons with Tatlin’s tower reveal however far greater contradictions. A kinetic structure, of glass and steel meets a decorative mass of national and neo classical symbols and motifs. This is hardly surprising, whereas the former composed in (1918) was imbued with the dynamic aspirations of the Internationale, of global and permanent revolution, of the withering away of the state, the latter in its final version of 1936 was conducted in the midst of a political culture that proclaimed the success of socialism in one country, that had declared the class struggle within Russia to be over, and had abandoned the withering of the state for its massive reconstruction. In the former the human subject remains a participant in government in the latter the subject sinks under the masonry of a building that declares the Soviet state, not the Soviet worker as the historic victor. As such, the Palace of the Soviets is the perfect embodiment of the unity of centralised state ownership and bureaucratic dictatorship.
If the Palace of the Soviets confirms the subordination of the Soviets then the competition for the People’s Commissariat of Heavy Industry confirms the subordination of the worker. The schemes by Fomin and Abrosimov, 1934, Shchuko and Minkus 1936, Mordvinov, 1936, and even Melnikov share a number of characteristics. (See fig 84) They are all massive in scale, employ a rationalised stripped down neo-classicism in a symmetry arranged around a central axis, are adorned with sculptures and ‘revolutionary’ motifs and can only be approached by mounting a series of colossal triumphal stairways. Like the Palace of the Soviets, they display not so much a critical assimilation of the progressive aspects of architectural history, as the fulfilment of party demands for a monument. The results can only be described as a despotic grandeur, in which the subject and even the workers collective stands in passive contemplation of the power that exists beyond them all. That such schemes were held up at the time as symbols of the imminent victory of socialism is no more than part of the production of ideology that distorts the real nature of the regime. If realism was about ‘capturing the dynamic and dialectical development of social life’, then these visions encapsulate the process of deepening rigar mortis. Their statement is an unequivocal denial of decentralised workers’ control of production, and of the democratic management of industrial
Speer's Reich pavilion challenges Iofan's Soviet pavilion at the 1937 Paris World Exhibition
The competition for the commissariat of heavy industry, Moscow, 1934
The Vesnin brothers - the dilution of modernism
Fomin, Abrosimov and Minkus - the definition of the monumental
development. Such schemes embody the degeneration of the revolutionary transformation of the labour process and of the institutionalisation of a new ruling class.
**completing the absolutist city**
With the hindsight that we now have, none of these comments are particularly original. The links between a triumphant architecture and dictatorship are well established and acknowledged. But the emergence of architectural ideas as an aspect of consciousness cannot be explained by stories about Stalin and Kaganovich. These individuals, prominent and powerful as they were, were simply the representatives of a new ruling class. Nothing could be more erroneous than to identify such architecture in anyway with the development of socialism, unless socialism is taken to mean the state ownership of the means of production and the introduction of capitalist techniques of management and organisation of the labour process. As an architectural vision they project in accordance with the 1935 plan an *absolute* vision of the city, in which new Gods replace old ones. In this case architecture becomes the mirror of the production of absolute surplus. The latter in the name of the state, pushes the worker to the absolute limits of human labour, the former is the very medium in which this must happen and which must extend construction technology to the very limits of mass, scale and height, high enough to conquer the remnants of the Orthodox church and Kremlin.
Although the Commissariat building was never constructed, the themes that it introduced to Soviet architecture were to become reproduced if at a more modest scale in the construction of public buildings and housing. Whilst work was conducted that sought to introduce typical sections and standardised details, the most impressive schemes from this era are the prestigious individually designed 'neo classical' housing schemes. Reserved on the whole for bureaucrats and Party officials, the need to create a facade for the triumphal avenues replaced the development of the housing commune and the Novie Beat. Not only were collectivist notions of living rejected in favour of the typical bourgeois family, but more importantly the revolution in gender relations that the commune promised, that is the liberation of women from universal obligations in the domestic world were reified in law but abolished in practice. The new Soviet man became a parody of the old Russian man, and the new Soviet woman had achieved a strange form of liberation. Not only was she required to still carry out the majority of domestic duties, but was also 'allowed' to work and labour alongside men. In the name of women's liberation, women's alienation was doubly compounded.
Whilst the size of some of the housing schemes enabled an economy of scale in the replication of details and apartment plans, architects indulged themselves in the production of schemes which whilst dependent on the same technology, that dependent on brick, masonry, plaster, ceramic tiles, did not lend themselves to the mass production of housing. As in the construction labour process, the only form of collective identity admissible was that which corresponded to official state organs. Architects like workers found themselves in relations that were founded on a notion of individual competition. Thus the 'hero worker' joins arms with the 'hero architect'. In a situation where collective bonds were being undermined, the possibility of a critique of dominant architectural practice became as difficult as the critique of the labour process.
This of course is no more than one more aspect in the repression of any mass activity that did not conform to party rules. The boulevards of Moscow are littered with these housing schemes of which the neo-renaissance block by Zholotovski on Mokhovaya Prospect 1934 (See fig 85), the "romantic symbolism" of the scheme by Golosov on Yaruskom Boulevard, 1934-36, (See fig 86), and the monolithic 'renaissance' blocks by Vaynstein on Chakalova St, 1936-37, (See fig 87) are representative examples. The contradictory nature of such ostentatious architecture is obvious yet entirely predictable. Despite the urgent need for a mass housing programme, for the whole seventeen year period, 1923 - 1941, the housing fund of Moscow increased by only one half of that in the pre-war period.\(^{18}\) Ginzburg, the Vesnins and other Constructivists had indicated and briefly shown what Ernst May in Frankfurt had proved conclusively, that it was perfectly possible with the political imagination and will to set in motion a house building programme that was revolutionary in both its formal and social aspirations.
But the architecture of conspicuous bureaucratic consumption which in its formal and social programmes represented the complete negation of Ginzburg's *Dom Perekhodnova Tipa*, continued to enjoy a privileged position right up until the 1950s, reaching its apogee in Chechulin's towering housing complex on the banks of the Moscow river, 1948-1952, and Posokhin's housing scheme on Vosstania Square, two of the complex of 'fortress' buildings that included the Moscow State University, and the Ministry of Foreign Affairs that altered the Moscow skyline for ever. (See fig 88 and 89)
In the history of the Imperial city, the Palace replaces the Internationale, the castle replaces the commune, and in the place of the universal access to knowledge and books
\(^{18}\) **Dichter, Ya, E**, -*Mnogo etashnie shilishye stolitzi* - Moskovskii Rabochie - 1979 - p9 (Mutli storey housing in the capital)
ZHOLTOVSKI, Ivan - Architect, 1867-1959
A 'master' of Russian architecture and leading classicist before and after the revolution
Zholtovski, I, fragment of apartment block on Mokhovaya Street, Moscow, early 1930's
Golosov, Ilya, housing on Yaruskom Boulevard, Moscow, 1934-36
Vaynstein, Ilya, born 1902, - Housing on Chkalova Street, Moscow, 1936-37
Above - Fragment of housing block by Chechulin, Moscow, 1948-1952
Below - Rudnev and Abrosimov, Moscow State University, 1949-1953
FIG 88
Gelfreich, V and Minkus, M - Ministry of foreign affairs, Moscow, 1948-1953
Dushkin, A and Mezentsev, B - Housing and administrative block, Moscow, 1949-1953
GELFREICH, V and MINKUS, M
Plan for the Ministry of Foreign Affairs, Moscow, 1952
In every piece of marble, in every party of dust and dust,
Is manifest the new human soul, the new man, the new person for a socialist society.
Before only the rich used marble, now the workers and peasants do.
One of these palaces burns a flame of socialism...
Workers, engineers, architects, scientists who built the metro sing hymns to socialism...
Greetings to the architect of the future, comrade Stalin!
It has been argued that the architecture of the Soviet Union was characterized by an optimistic belief in mass consumption, with its use of traditions of socialist realism and warm humanity. It could equally be argued that the modernist architecture of the USSR displayed the exact opposite, the pessimistic spirit of the period.
Historical genres within architecture all have their specific characteristics.
expressed in Leonidov's Institute of Librarianship, the Lenin library was built, an unimaginative sterile neo-classical block, in which access to the far reaches of the interior, to the deep sources of truth become closely guarded and impenetrable. (See fig 90)
The saturation of the city with these new forms did not of course stop above ground. The metro system was equally a place to celebrate the construction and the appropriation on behalf of the workers of all that was grand, magnificent and historically beyond the grasp of ordinary mortals. The synthesis of the greatest building craft and the greatest volumes of blood and sweat, now at long last the proletarian could travel to work through the Palace of Versaille, or linger marvelling at the stainless steel vaults of the Mayakovski station. (See fig 91)
The opening of the metro was the most perfect example of the "fight for a new culture, for new labour, for the new person, for an immediate, bright and splendid life for all human kind". Here we remember Konstantin. Such an achievement could leave the worker in no doubt as to the legitimacy of the regime. Nothing could dull the pride of the shock workers at a feat the completion of which would have all citizens trembling in awe at the greatest union of engineering, art, and labour the world had yet seen. We finish this part of the story recalling the words of Kaganovich;
"In every piece of marble, in every piece of metal and concrete, in every step of the escalator is manifest the new human soul, our socialist labour, our blood, our love, our struggle for the new person for a socialist society.....The worker sees in the metro his strength and power, If before only the rich used marble, now under our power, this construction - is for us - the workers and peasants - the marble columns, are the peoples, Soviet and Socialist.....in every one of these palaces burns a flame, moving forwards to the victory of socialism.......Greetings workers, engineers, technicians, party and union organisers, non party individuals, everyone who built the metro with love, with belief, they built not only for themselves but for socialism....Greetings to the victorious Party of Lenin and the great builder of communism, our comrade Stalin" (See fig 92)
the realism of social deception
It has been argued that the austerity of 1920s modernism was replaced by forms that reflected 'the optimistic belief in man's omnipotence', with the use of tradition to contribute to a "warm humanity". It could equally be argued that the emergent architecture of the 1930s displayed the exact opposite, the pessimistic reality of the individual's powerlessness. Such historical games within architecture always run the danger of reproducing myths.
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19 Kosarev et al - Kak Myi Stroili Metro - Izd "Istoria fabrik i zavodov" - Mosckva - 1935 - Kaganovich.L.M - Pobeda Metropolitena - pobeda sozsialisma - p28
20 ibid excerpts p32 - 35
21 Ikkonikov - op.cit p178
THE LENIN LIBRARY
Making knowledge a privilege
Schuko, V and Gelfreich, V - Moscow, 1929-1941
FIG 90
Dushkin, A - Mayakovski station, 1938
Schusev, A - Komsomolskaya station, 1952
THE MOSCOW METRO
Novoslobodskaya station
Kievskaya station
FIG 92
supposed to be a showpiece to the world, a demonstration of the great strides being made in the Soviet Union towards socialism and individual liberty shrouded in secrecy—the realities of the purges, showtrials, disappearances and hunger. In the face of deepening crisis the only route for Soviet architecture was to contradict the realities of social life and to attempt to build in stone an ideal city, a forlorn reference to the grandeur of the ancient world. Here the real definition of 'socialist realism' emerges as the realism of social deception.
By now it should hardly need repeating that the transformation of form and space is bound to the transformation of labour. For each step in the process by which a peasant is turned into a wage worker, we see not only the rationalisation of the labour process, but the transformation of the object.
The peasant worker in the 'artel' builds the mansion house, the semi-proletarian in the new state trust builds the first railways and factories, the first urban based brigades of wage workers build the first housing schemes, and the fully proletarianised stakhanovite building worker gives blood to build the workers' city. Here there is no mechanical process of determination but a series of directly corresponding historical transformations within the practice of politics (the exercise of control and domination), economics (the structures of ownership and the regime of accumulation) and culture (the production of ideas, knowledge, and a way of life).
All of these practices are governed by the perpetual transformation of social relations, in particular those that arise on the basis of class. At historical moments, these relations can become reified, that is objectified; in law, policy declarations, architecture, art, literature and within language itself. At this point ideology becomes the cement that simultaneously binds and disguises the reality of social life.
The limits on the development of the "heroic" city are entirely set by the limits of "heroic" labour itself. Borders can be broken within the imagination, but to fulfil the construction of an Empire city by means of a labour process, that is in the throes of the transition from 'handicraft' building production, to a primitive largely unmechanised manufacture, requires a limitless supply of labour that can be constantly expended and replaced. Just as there are limits on the availability and capabilities of labour so there are limits on the development of the city. This changes radically when the construction labour process becomes mechanised. The final stage in our story sees the simultaneous homogenisation of labour and the built
environment that accompanies the all out drive towards industrialisation. This is the real story of modernity.
a peculiar inheritance
As it emerges from the aftermath of the second world war Soviet society displays some peculiar features. That it should inherit many of the characteristics of the bourgeois world and of 19th century thought is not in question; the slightest knowledge of the process of historical change would indicate this as inevitable. But that they should become permanent features of a society is deeply problematic for any theory that maintains that it was socialist, deformed or otherwise. The labour process was dominated by capitalist techniques of management, aesthetic theory was dominated by archaic notions of the artistic ideal and absolute, the process of reification born in capitalist society is continued and reproduced in new ways, its only real claim to historical originality is in the unification of all of these tendencies under a state regime, that bears more than a passing resemblance to the state of Hegel. Thus socialism becomes defined not by the revolution of everyday life but by the State, and this of course lies at the root of its undoing.
CHAPTER 4
THE TRANSFORMATION OF QUALITY INTO QUANTITY
Fragments of true stories
1978
Cruising in a giant Volga courtesy of the Moldavian Republic the countryside reminded Alex of old vampire films. As the chief engineer for the construction of seven wine producing plants he was on his way to inspect the ancient wine cellars that lay deep in the hills. The car stopped at a gate which seemed to lead nowhere but directly into the cliff face. The doors opened and leaving the car behind they entered into a tunnel with racks of wine on either side. After a hundred metres they faced a set of wooden doors which the leader of the six strong delegation from the Moldavian Ministry of Agriculture opened majestically. "This" he said "is where we shall live for the next forty eight hours". They looked into a baroque dining room dominated by a long table overflowing with food and drink. "Comrades let us drink to our prosperity and our leader Leonid Brezhnev." With uncontrolled mirth the party faithful set co-ordinates for destination oblivion.
1986
Natasha lay shocked but wide awake. The concrete panel had clipped her shoulder and sent her into a spin. Pulling herself up from the mud she shook her head not so much in despair as in the knowledge of inevitability. Everything goes in threes and that was the third. Shaking as friends gave her a coat and a cigarette, she had the strange idea that the concrete panel on the end of the chain had been a letter, the same one she had received telling of her suspension from the party and her demotion from the position of manager in the panel factory.
She was popular and from this she drew a certain calm. As a good Komsomol the year before she had been nominated and elected as a deputy in the local Soviet. But her refusal to become involved in the 'money for favours' system led directly to her dismissal from office after only six months. Her pride in never having compromised herself tempered the feelings of disillusionment but not the pains of the broken shoulder that only vanished as the needle went into her arm.
"the open gates of the New Tower of Babel, the machine centre of Metropolis, threw up the masses as it gulped them down..."
taken from the script of Metropolis by Fritz Lang 1926 (See fig 93)
Dragged from the primitive commune and sold into slavery, history's vagabonds make their first tentative steps into the modern world. Wrenched from the land during the feudal period, they eventually come to rest on the machine. All the historic struggles over land and bread were merely rehearsals for this first and final act of the modern when in all but a few remote corners of the planet every human subject has become a wage worker, thus completing the annihilation of space through time.
The first circumnavigation, the first dream of the Internationale, the optimistic naiveté of the global village, football, coca cola and Christianity are just a few of the more self evident indices of the shrinking globe of which the Internet is but the latest fetish. But all of these phenomena are little more than the fragile shells discarded as the accumulation of capital becomes ever more rampant and ever more mystified. It is a peculiar but predictable paradox that as the forces of capitalist economic development integrate and shrink the world, writers and thinkers become ever more determined within the media of the word and image to rescue culture from the grasp of the commodity and to continue the onslaught against vulgar economic determinism.
But to marginalise the economic has always and inevitably lead to the de-politicisation of knowledge. The contradictions of the modern world become understood as predominantly aesthetic, and while reference is made to the mysteries of the 'commodity', the proper historical discussion of labour, accumulation, and capital, which is as important for the production of culture as for the production of gold, vanishes from the text. We have turned full circle, and unwittingly continue the romantic tradition of lancing the ugly from social life.\(^1\)
That so much work has been invested into language and meaning can only be welcomed, but it can all too easily be grasped as an opportunity to avoid that aspect of material life which
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1 An unfortunate example of this can be found in Jameson's writing. For all of the insights and elegance in his work there is a creeping suspicion that the labour process, capital and even class are slowly retreating into the footnotes and margins of the text. An example of this is the essay on Frank Gehry's house in "Post modernism, or, the cultural logic of late capitalism". That Gehry is worthy of study is not questioned. What is so contradictory is that at the moment when Los Angeles was burning (a truly 'post modern' bit of urban renewal), Gehry's house is presented as such a significant event, which in the development of the American built environment at the end of the twentieth century is largely irrelevant.
METROPOLIS
The fear of industry
Scenes from Fritz Lang's film Metropolis, 1926
remains centred on the accumulation of surplus and capital. Thus, if the previous chapter appeared as an essay in ideological determination, this part of the story tells of a world in which nothing escapes the crushing objectivity of economic and technological development. Despite our pleas for the freedom of design, the production of architecture for most of its modern history never manages more than two steps away from the process of accumulation. In the situation where economic theory is fetishised as accounting, and technology is fetishised as a liberation through 'VR' toys, the need to rethink the economic and the technological has to encounter well established barriers. Building is reassuring for if anything establishes in clear and unequivocal terms the true mission of the modern, which is to generalise the commodity form of labour and to convert every available corners of social life into an arena for capital, then it is the built environment.
**industrialisation as a total process**
Industrialisation has tended to become synonymous with the notion of technological innovation. In so doing it mystifies its true meaning as a decisive phase in the historic unfolding of the dialectic of the forces and relations of production. As an antidote to the mysteries that arise from viewing industrialisation as a matter purely of technology, let us begin with labour. Straight away it is apparent that the changes in the character of human labour have been as profound as the revolutions in the 'instruments' of production, that is the technologies, with which labour transforms nature.
Industrialisation concerns the transformation of the labour process from one characterised by manufacture and the production of absolute surplus value, to one that is dominated by the machine and the production of relative surplus value. Whilst the steam engines, looms and early machines of the industrial revolution take the crafttools from the hands of the worker, and propel labour towards the site of modern production, the greatest catalyst in the historical development of capitalism is symbolised by the scientific technological revolution which occurs from the end of the nineteenth century onwards, and assists in the generalisation of the wage relation.
From this point, semi automated machine based production acquires a predominant position in the economies of advanced industrialised nations. The ability to mass produce the means of production inexorably led to the mass production of consumer goods. The historical significance of this moment follows not only from the formation of a social consumption fund, but from the subsequent penetration of the commodity form into this and all other sectors of
social life. This is the moment of totality, whereby not only labour, but form, time, space, and the experience and meaning of everyday life become changed beyond all recognition.
Everyone's favourite historical example is of course Fordism, the genesis of the total regulation of life at work, at home and at leisure. As a tendency in the development of capitalism, Fordism has been described as an "articulation between the process of production and mode of consumption, which constitutes the mass production that is the specific content of the universalisation of wage-labour." In other words, Fordism describes a moment in the history of capitalism, when a transformation in the labour process based on semi automatic assembly line production, revolutionises work and with it, everyday life. This has been described as the combination of a predominantly extensive regime of accumulation, that was concerned with the reorganisation of the labour process, with an intensive regime of accumulation that creates a "new mode of life for the wage earning class by establishing a logic that operates on the totality of time and space..." Such a thesis is important because it attempts to theorise at an abstract level the way in which the commodity form permeates all aspects of social life in the late twentieth century. The Soviet citizen is confronted with a situation that is analogous. First the labour process is irrevocably transformed, and at the same time as the worker as a producer is being socialised in new ways, so the mass of workers are constituted as consumers. Similar to the classic phase in the history of capitalist accumulation, the process of Soviet accumulation operated on the basis of the integration of "department one", (that is the production of means of production), with "department two", the (production of mass consumption goods), and "department three"(military).
Elements of this are by now a familiar story, one that we introduced in part three of chapter two. Its repetition acts not only as a prelude to its detailed investigation, but serves to remind
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2 The industrial revolution not only helped redefine the human subject as a direct producer or as an assistant to the process of mass production, it also remade us as mass consumers, firstly for money itself and then for all of the commodities like cars, fridges, and cookers that help define modern life. This is a process that is achieving new heights with the profusion of DIY stores where we buy the products of industrialised production, and thereby mass produce the spaces of our home lives. Such familiar changes have been accompanied by perhaps the most important contemporary innovations of all, which are those connected with mass communication and information systems. Here we have the television, the radio, the video, the Personal Computer, the Satellite, along with the whole arsenal at the disposal of modern publishing and advertising corporations. The massive increase in the production of information as a commodity, and of pleasure devices in the form of new technologies are all part of the armoury and fabric of industrial society. Indeed, their proliferation is wholly dependent on the industrialisation of production. It would be easy to see such improvements in the quality of life brought by the consumer and communication revolutions as wholly positive and by their very nature, democratic. However this would presume that such new technologies are able to develop in an autonomous way beyond the limitations set by political and economic interest groups.
3 Aglietta, Michael - *A theory of capitalist regulation. The US experience* - New Left Books - 1979 - p116-117
4 ibid p 71
5 It is worth remembering that the production of the built environment operates in both sectors.
us of how in the process of industrialisation we witness the complete interdependence of different social practices. It is not surprising that so much 19th and 20th century philosophy and critical thought became pre-occupied with the notion of a world in which all things were in some manner connected with each other, either as an "expressive" or a "structured" totality. It is in the modern world that for the first time the economic, the political and the aesthetic merge together in a social totality that is impossible to ignore and is all embracing in its simultaneous unity and disintegration.
An equally familiar and no less profound story concerns the changes that take place in the production of the built environment. The quantitative and qualitative possibilities opened up by the advent of the mass production of buildings, changed not only the labour process, and the form of buildings, but vastly accelerated and altered the framework of urbanisation and of how we think about living. Just as with the general process of industrialisation, the industrialisation of building production was all about reorganising time and space. As an historical transformation it was comprehensive in its nature, and could only occur with the conscious merging of political, economic and aesthetic practices, which were invariably state regulated.
the unhappy unity of Soviet and American economic regimes
One of the main objectives here is too offer a critical evaluation of the Soviet experience of industrialisation particularly as it affects the production of the built environment. Our expectations of difference and our apprehension towards simplistic convergence theories of Soviet and American development should not blind us to their similarities.
In the history of capitalism, industrialisation can be thought of as a catalyst in the generalisation of the commodity form. In the USSR it was very much the catalyst in the implementation of the increasingly ambitious targets set in the five year plans. The consequences of the 'hegemony' of the plan were not confined to economic development, and as the fetishism of the commodity ascended to ever greater heights in the west, in the east the fetishism of the plan grew like a cancer to grip all corners of daily life. The factory floor, the research institute, the production of beer, art and the construction of the micro region, all became subject to the rule of the plan.
For all of the political pessimism of Adorno and Marcuse, their real objectives were simply to explore how the commodity form had become so generalised as to make the construction of
alternatives along the traditional lines of political revolt ever more elusive. Similarly it is the way in which the plan becomes the regulator of social life that is important. However, all forms of resistance are ultimately fruitless unless they seek to confront the dominant social relations that structure particular historical social formations, without the reproduction of which they collapse. The aesthetic critique of capitalism or of socialism, important though it is, misses this point. At this juncture as in the prelude to all histories, we are compelled to establish the exact manner in which surplus is appropriated from labour, and how the results of this unpaid labour time are distributed.
In the situation of the 'cold war' a whole generation was encouraged to believe in the image of two mutually incompatible social systems. Nothing of course could be further from the truth. In both social systems we find administrative and management systems that are centralised and concentrated under the jurisdiction of a ruling class within which the military industrial complex pre-dominates. In both capitalist societies and the USSR we see two ruling classes supervising an accumulation process, tempered by oppositional forces, but overwhelmingly geared to the private accumulation of capital in the west, and the State appropriation and redistribution to individuals of surplus in the east. For beneath the housing statistics and May day parades, we find a Soviet bureaucracy immersed in an all embracing rationalised plan of accumulation, a desperate recourse to technological determinism that was breathtaking in its efficiency at channelling surplus into the arms race and equally accomplished at wasting human labour and natural resources. These features it shares with the ruling class in the west, the great distinguishing feature being the scale at which the Soviet bureaucracy achieved these goals particularly within the building industry, which at its high point employed up to thirteen million workers in the mass production of factory pre-fabricated buildings, what amounts in strictly capitalist terms to the wholesale transition from absolute to relative surplus value.
In both systems the process of building industrialisation serves two primary functions. One as a means for ensuring social reproduction through the production of shelter, as an index in the qualitative improvement in life, and second as a vital sector in the general process of accumulation. The production of the built environment is both a source and consumer of surplus. Whether in the USSR, the USA or Western Europe, all talk of efficiency and productivity in relation to building production is thus predicated on the economic concept of how the built
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6 See Burawoy, Michael - *The politics of production* - Verso - 1985. This is the starting point for Burawoy's analysis of the labour process, which is one of the best written and comprehensive analyses that explores the wider political and ideological dimensions of the historical organisation of work in both capitalist and socialist societies.
environment either absorbs or produces surplus. In that the appropriation and distribution of surplus presupposes the division of a society into a class of producers and a class of owners and managers, the process of industrialisation, and by implication the development of technology is a directly political and social process.
As a summary, the central dialectic of industrialisation in the production of the built environment is expressed in the balancing act it must perform in meeting the twin needs of the reproduction and expansion of capital (the pursuit of value) and the reproduction and qualitative improvement in the life of labour (buildings and wages).
**technology and the wage relation**
Whilst we can entertain the idea that the fundamental characteristic of capitalist development has been the wage relation, it seems far more obvious to attribute historical change to what after all is one of the more demonstrably tangible aspects of modern history, that of technology. This is not in itself illusory. For every step in the development of the wage relation we have witnessed momentous transformations in the instruments with which labour transforms nature. The first revolution in the productive forces occurred with the transition from manufacture to machinofacture, the second phase begins with the scientific technological revolution that sees machine based production becoming semi automatic and organised on a production line, and the third revolution sees the introduction of fully automated systems and computers. Furthermore, each of these technological changes have tended to be accompanied by general changes in the formal possibilities of building construction. This leads us to closely identify the history of building form with that of the history of technology, to the point where we think of modern building very much as a technological system, a piece of technology, not unlike the construction of a big machine. However, we are concerned not only with technology, but with the productive forces, which include technology, but also embrace the objects of production, space and labour power. In addition we are concerned with the social relations within which the forces of production operate, and it is of course the analysis of the dialectic between the two that offers us a far more complete and comprehensive picture of the transformation of building.
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7 See Harvey, David - *The urbanisation of capital* - Blackwell-1985, for an introduction to how the built environment operates as a framework for the accumulation of capital.
productivity and the composition of capital
We have touched briefly on the transition from the production of 'absolute' to 'relative' surplus value, which corresponds to the arrival of machine based production. We need now to delve deeper into the transition that leaves the peasant crafts men and women as historical relics and commodities in the heritage industry. We begin with the concept of productivity, that seemingly ahistorical tendency for humankind to develop more and more productive ways of transforming the world. But what does 'productivity' actually refer to? For a clue to this riddle we turn to Marx:
"Generally speaking, the mode of producing relative surplus value consists in raising the productive power of the worker, so as to enable the worker to produce more in a given time with the same expenditure of labour. Labour time continues to transmit as before the same value to the total product, but this unchanged amount of exchange value is spread over more use-values; hence the value of each single commodity sinks" 8
In this passage Marx introduces us to two aspects of productivity. The first concerns physical productivity involving relative increases in the production of more things and objects. This is the difference in productivity between a building worker who by handicraft can produce two concrete lintels, but who with a new machine and with little or no additional effort can now produce ten. As if by magic the same amount of worker's labour time, social abstract labour, is now spread over more lintels than before. This suggests another notion of productivity, one which relates to the notion of 'value'.
Marx argues, that under capitalist conditions, the category of productivity, like that of labour power, and the commodity possesses a dual nature. Just as the notions of labour power and the commodity have both abstract and concrete qualities, so productivity. As such we can speak of physical and value productivity. 9
This is an important distinction because it immediately establishes the political character of the labour process in relation to the accumulation of capital. That is, the labour process is not 'aimless' and 'ahistorical', it has an intention beyond a mere increase in the quantity of goods. Its 'other intention' is to produce surplus value. It is a distinctly capitalist definition of labour productivity, where capital is understood as value in motion, and where value is understood as a historically specific social relation, embodied in the notion of abstract labour.
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8 Marx, Capital p408
9 Harvey, David - The Limits to Capital - Blackwell -London -1984 - p104
power. This emphasis on value productivity, enables Marx to "debunk the notion that capital is itself somehow productive."10
The concept of a specifically capitalist notion of productivity, enables us to describe capitalism as a system which operates "under the perpetual and relentless imperative to revolutionise the productive forces (understood in terms of the value productivity of labour power). This is, we have argued, an abstract proposition rendered concrete by reference to the specifics of technological change."11
But it is not just technology that renders such a proposition concrete, but the actual concrete aspects of labour power. Put quite simply, the tower block which is a symbol of a revolution in labour productivity has two aspects a physical concrete aspect, understood in terms of the production of steel frames, nuts, bolts, and the skill levels of building workers, and an abstract aspect understood in terms of value.
The concept of 'value productivity' draws us into three related and controversial debates within economic theory. The composition of capital12, the Law of the Rate of Profit to Fall13, and the theory of crisis14. Situated at the heart of all these debates are the methods
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10 ibid p104-105
11 ibid p116
12 For two recent discussions of all three issues see Fine and Harris - Rereading Capital - Macmillan 1983, and Harvey, David - The Limits to Capital - Blackwell 1984. The composition of capital it is suggested has three aspects. The first is what is called the technical composition. TCC This is associated with the physical productivity of labour and is simply the ratio between "the mass of means of production consumed per production period...to the mass of wage goods" (Fine and Harris p59) As such the technical composition of the capital employed in a concrete panel factory would be an expression over a period of time of the amount of energy, machinery, materials used up to produce a number of panels over the number of workers involved in their production. It is immediately apparent that any attempt to measure this ratio runs into an immediate problem in that we are dealing with different material quantities that are difficult to measure on the same basis. What is called the value composition of capital, is an expression of the same ratio but at their current changing values, a ratio of what is called constant to variable capital, C/V. This has been expressed elsewhere as the "general relationship between living and dead labour" (Harvey p135) However, the two ratios move in different ways. The increase in physical productivity "changes the values per unit of means of production and wage goods; it reduces them and may do so at differential rates". (Fine and Harris p59) The third ratio is called the Organic composition. This is the same ratio, that is C/V, but "where the elements of the means of production and wage goods are valued at their old values" Such propositions represent an attempt to theorise at an abstract level an important aspect of capitalist production, that steps beyond the concept of the measurement of economic development by a single quantitative index. What it is argued Marx is trying to indicate are two dialectically related processes. First, the way in which increases in the organic composition of capital are proportionate to and match step for step the technical composition of capital, "and second, the consequent reduction in values of commodities associated with that increase". (Fine and Harris p60)
13 Because of the empirical evidence that points to the historical resilience of capitalism, many have sought to argue against Marx's law. In contrast, Fine and Harris maintain that it is best conceived of as an abstract tendency rather than an as an empirical one, that is, it relates to the long term historical movement of capitalist society and is better thought of as "The Law of the Tendency of the Rate of Profit to Fall and its counteracting influences"
14 Fine and Harris point out that Marx specifies the Law of the rate of Profit to Fall as a consequence of a rising Organic composition of Capital, (Fine and Harris p62). Harvey adds that "The problem for capital in general is somehow to stabilise the value composition in the face of a perpetual tendency to increase the
by which capitalism can reproduce itself and avoid major crises that threaten to disrupt the balance of accumulation. Capital is inevitably driven to seek increases in the value productivity of labour. Technological innovation offers this possibility and understood in a purely economic sense, exists "as a prime lever for furthering the accumulation of capital through the perpetual increase in the value productivity of labour". The results of increasing the value productivity of labour has two aspects; the cheapening of labour, and an increase in the rate of surplus value".
However the long term success of transformations in the productive forces are far from guaranteed. One of the contradictions of technological innovation that require large investments in fixed capital is that it is initially extremely costly to install and once in place can act as a barrier to further innovation. At the worst extreme we can see this dilemma in contemporary Russia. The Soviet construction industry invested heavily over a period of thirty years in the formation of fixed capital necessary for the mass production of concrete. This left an industry overwhelmingly geared to the production of concrete building components that on social and aesthetic grounds alone have been severely criticised. However for the short term at least it is stuck with its several thousand concrete plants. To shift technologies would require the devaluation of virtually all of the fixed capital in an industry which remains dominated by pre fabricated concrete production. Even if this can be accomplished, the introduction of new technologies faces another barrier, labour. Historically, workers have opposed the introduction of machinery wherever it has threatened their economic position or their ability to control the labour process. Second, new technologies require new types of skill, a cost that has to be born either by the State or Capital. This begins to throw into ever sharper focus the real profundity of the problems that emerged with the wholesale transformation of the labour process in the Soviet Union. It also asks us to think about the consequences of technological innovation not just at an objective level but at a subjective level in terms of what happens to 'concrete' labour.
To summarise then, the single act of productivity has both a 'physical' and a 'value' aspect. To achieve a long term increase in productivity requires innovations in the productive forces. This is achieved through technological innovation and the transformation of the character of both concrete and abstract labour. The two principle forces behind the drive to raise productivity through technological innovation are the competition and mutual
organic composition through technological change within the enterprise. What Marx will ultimately show us is that there is only one way that this can be done: thorough crisis" (Harvey p135)
15 Harvey -Limits to Capital-op cit p 133-134
interdependence that exists between capitalists in the pursuit of surplus value, and the class struggle that exists between capital and labour. The latter takes two forms in particular; first, workplace struggles amongst workers for control over the labour process and its products. This motivates capital to introduce machinery which lessens labour's direct control over the immediate work and its products\textsuperscript{16}. Second, the historical confidence of workers to demand the mass availability of goods that forces States and capital to regulate technological innovation. It is to the actual character of labour and technology that we turn to next.
**technology and labour**
Despite technology's dominant position in our images of the modern world and in the contemporary labour process, it acquires its meaning only through the relations in which it exists and the purposes to which it is put. How then can we assess the social character of technology? Is technology essentially neutral and assumes a social character only when it is set in motion under particular social relations, or is technology by virtue of the fact that it always develops within the context of particular societies imbued from birth with a political and ideological character? Is there for instance such a thing as a capitalist machine? Is a concrete plant simply a neutral piece of technology that assumes a social character only when owned and managed by the state or a private company? If this is so, is the difference between capitalist and socialist industrialisation merely one of ownership? These questions have been the focus of works by Braverman, Marcuse, Habermas, Burawoy and a whole number of contemporary authors on the labour process. They almost invariably start with what Marx had to say, and this is indeed where we begin.\textsuperscript{17}
**machines and miracles**
As we have noted it is tempting faced with the miracles of technological innovation to depart into a metaphysics of the machine, and similar to the misconceptions about the productivity of capital, we find just as many in relation to the notion that technology is somehow intrinsically productive. (See fig 94) Many of the best discussions on the character of work and labour in the late capitalist era draw their inspiration from Marx's chapters in
\textsuperscript{16} Marx cites the example of how as soon as "the increased production of surplus value by the prolongation of the working day was once and for all put a stop to, from that moment capital threw itself with all its might into the production of relative surplus value, by hastening on the further improvement of machinery" \textit{Capital op,cit} 408
\textsuperscript{17} At this point a distinction should be made between the isolated tool and the mechanisation and multiple organisation of such tools into a whole system, that is a machine or a series of machines. This is a technology in the proper sense of the word. Seen for instance in isolation a drill or a lathe are creative tools which save us from heavy labour yet still give the carpenter creativity and imagination. When a whole series of them are combined in an assembly line process that implies a set of technical and social relations between workers and between management and labour we are dealing with a quite different situation that transforms the social significance of the drill or lathe.
THE MACHINE
The historical accumulation and objectification of human labour
Celebrating technology and science - Soviet textile design
Celebrating technology and engineering- Soviet exhibition from the 1920's
Capital on Machinery.\textsuperscript{18}. For all of his admiration for the productive potential unleashed by capitalism his comments are always either prefaced or concluded with warnings and demonstrations of the social contradictions that arise from the development of technology under capitalist conditions.\textsuperscript{19}
Marx begins by reminding us that "in manufacture the revolution in the mode of production begins with labour power", whereas "in modern industry it begins with the instruments of labour."\textsuperscript{20} For modern building industries, this refers to the machinery and assembly lines that were developed for the production of window frames, doors, concrete details and all other mass produced building components. These new pieces of machinery embody value but cannot in themselves \textit{create} surplus value. "Machinery, like every other component of constant capital creates no new value, but yields up its own value to the product it begets."\textsuperscript{21}
In two important respects however, machinery can \textit{produce} surplus value. In the first case this is simply because a machine has value by virtue of the fact that it is the product of labour, "a certain amount of labour in objectified form".\textsuperscript{22} Machinery as "the most adequate form of fixed capital, is simply the historical accumulation "of knowledge and of skill, of the general productive forces of the social brain", which are subsequently "absorbed into capital, as opposed to labour, and hence appears as an attribute of capital.."\textsuperscript{23} In the second case, it imparts value because "it increases the relation of surplus value to necessary labour, by enabling labour, through an increase of its productive power, to create a greater mass of the products required for the maintenance of living labour capacity in a shorter time."\textsuperscript{24}
Marx seems to be arguing that the problem lies not only in the capitalist ownership of the machine, but in the development of the machinery itself. That is a specific kind of \textit{capitalist} technology. But what if anything does this mean? First of all, a particular technological system can facilitate an increase in the production of surplus value by sweeping away "every
\textsuperscript{18} Marx - Capital - Machinery and Modern Industry op.cit
\textsuperscript{19} In the most obvious sense that classes own and manage particular technological systems we need look no further than the arms industry to indicate that technology can be a deeply ideological and political issue. That the Military Industrial complex is cited so often as the catalyst for the development of technologies for peaceful purposes must raise some doubts.
\textsuperscript{20} Marx, Karl - Capital p366
\textsuperscript{21} ibid p383
\textsuperscript{22} Marx, Karl - Grundrisse - Penguin - 1981 - p701
\textsuperscript{23} ibid p694. This has always seemed at an intuitive level one of the most convincing arguments for the social ownership of the means of production. It is incomprehensible how any one individual can lay claim to the private ownership of what represents the combined and historical accumulation of human labour and knowledge. By the nature of its origins such knowledge is collective.
\textsuperscript{24} ibid p701
moral and natural restriction on the length of the working day".25 This refers to that aspect of its social character that arises from the relations of ownership and management in which it operates. But for this to happen it must be designed in such a way that as far as possible all of the creative tasks that are dependent on human labour are incorporated into the machine. This is the other aspect of its social character, that Marx seems to be inferring is a property of the machine itself. Indeed much of the language with which Marx talks about the introduction of new machinery seems to confirm the dual aspects of technologies' social character.
All machinery to one extent or another alleviates the load of heavy labour. But there are clearly different ways of accomplishing this, that are not only determined by class and gender (see below) but relate to the actual creative content of work itself. Marx;
"The lightening of the labour, even becomes a sort of torture, since the machine does not free the labourer from work, but deprives the work of all interest. Every kind of capitalist production, in so far as it is not only a labour process, but also a process of creating surplus value, has this in common, that it is not the workman that employs the instruments of labour, but the instruments of labour that employ the worker."
Instruments of labour that confront the workers "in the shape of capital, of dead labour, that dominates, and pumps dry, living labour power"26. This polemic against the machine is taken up again in the *Grundrisse*:
"The worker's activity, reduced to a mere abstraction of activity, is determined and regulated on all sides by the movement of the machinery and not its opposite. The science which compels the inanimate limbs of the machinery, by their construction, to act purposefully, as an automaton, does not exist in the worker's consciousness, but rather acts upon him through the machine as an alien power......In machinery, objectified labour confronts living labour within the labour process itself as the power which rules it: a power which, as the appropriation of living labour, is the form of capital. .....In machinery, objectified labour materially confronts living labour as a ruling power and as an active subsumption of the latter under itself....".27
The logic of the argument seems to proceed as such. It is socially abstract labour that constitutes value, it is value and surplus value that a capitalist needs, thus capital requires machinery that belongs to a form of labour power that is increasingly homogenous and in which the concrete aspect of labour can be fulfilled by relatively unskilled labour. The latter
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25 Marx, Karl - *Capital* - op.cit p406
26 ibid p423
27 Marx, *Grundrisse* op.cit p693
theme in particular is taken up and extrapolated in Braverman's thesis on the *Degradation of Work in the Twentieth Century*. For Braverman, "The key innovation is not to be found in chemistry, electronics, automatic machinery, aeronautics, atomic physics, or any of the products of these science-technologies, but rather in the transformation of science into capital" 28. Whilst Burawoy argues that Braverman is ambiguous as to whether machines are innocent or not, there is no ambiguity in the consequences of the fusion of science and capital. With the full power of modern science, Taylorist and Fordist management techniques, capital is now able to ride roughshod over the labour process, slowly stripping away all that is left of the autonomy and independence of the craft worker, and slowly reducing labour to its simplest and most abstract form;
"Labour in the form of standardised motion patterns is labour used as an interchangeable part, and in this form comes closer to corresponding, in life, to the abstraction employed by Marx in the analysis of the capitalist mode of production" 29
The fear of the reduction of the human subject to the status of an automaton was of course widespread, and has been a pre-occupation not only of marxists but film makers and novelists throughout the course of the twentieth century. At about the same time as Fritz Lang makes Metropolis, the first and greatest dystopian film in which the masses are depicted as servants to the machine, Gramsci described Taylorism as an expression of the "brutal cynicism of American society" that was leading to the break up of "the old psycho-physical nexus of qualified professional work, which demands a certain active participation of intelligence, fantasy and initiative on behalf of the worker," a system that reduces "productive operations exclusively to the mechanical, physical aspect" 30 Braverman's book thus stands in a long tradition that includes Orwell and Huxley. That the nightmare has not come to pass should not blind us to the essential character of its critique.
The value of Braverman's work lay in turning attention precisely to the subject of labour, and his book acted as a benchmark for subsequent studies of the labour process. Somewhat predictably, and although apparently loyal to Marx, his central thesis concerning the absolute appropriation of labour, has been criticised for a number of reasons. For neglecting the ability of workers to resist capitalist domination, 31 for concentrating on the appearances
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28 Braverman, Harry - *Labour and Monopoly Capital* - MRP - New York - 1974 - p167
29 ibid p182
30 Gramsci, Antonio - *Selections from the Prison Notebooks* - Lawrence and Wishart - 1986 - p302
31 Harvey, David - *Limits to Capital* - Blackwell - 1984 - p111
of capitalist domination at the expense of its causes, for betraying a residual romanticism and nostalgia for the craft worker, and for paying too much attention on the methods of control as they arise in the workplace at the expense of other forms of political domination. 32 However, this 'narrow' focus on the labour process is also its strength.
For all the residual belief in the inevitability of workers fighting to gain control over the labour process, and in the face of the evidence concerning the emergence of new skills, there remains something very compelling about the 'degradation' thesis. If it is treated as an empirical observation, then clearly there are countless examples that we can find which contradict it. Rather we should treat it in the same way that we do the Law of the Rate of Profit to Fall, as an abstract idea that seeks to theorise the long term historical tendencies of capitalism. With the introduction of new technologies, it is undoubtedly true that old skills have been transformed and new skills have emerged in the building industry. There are three tendencies in particular at work here; the reduction in the skill content of traditional crafts - compare for instance the work of a plasterer before and after the introduction of plaster board; the emergence of multi-skilled flexible workers - the worker who can lay concrete, erect steel, and make a stud partition; and the rise of the general fitter - the assembler of kits. However, in each of these three tendencies there has been a long term drive towards increasingly abstract and simple labour, characterised by a marked reduction in job learning time and the ease with which labour can be replaced. If then with certain reservations we might uphold the long term tendency towards increasingly abstract social labour, can we reach any conclusion with regards to the machine itself?
To ask this question is to ask one of the most important questions of all; "Can socialism operate with capitalist machines?...Does the assembly line or the numerically controlled lathe require certain forms of hierarchy, alienation and so on, at odds with socialism?" 33 Such questions invite us to make sweeping and problematic generalisations of the type made by Marcuse with regards to the character of technology.
If however we seek to make distinctions between historical tendencies in the development of capitalist technology and individual examples then we encounter a far more contradictory situation in which as in all of the chapters in the history of capitalism we see technology presented first as a weapon in the process of liberation and emancipation as demonstrated in
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32 Burawoy, Michael - *The Politics of production* - Factory regimes under capitalism and socialism - Verso - 1985 - p62-63
33 ibid p50-54
the experience of Lucas aerospace, energy saving technologies, prosthetics, potential aspects of the PC revolution, and second as the means to deepen forms of oppression and repression - military and nuclear weaponry, the mechanised sweat shop, socially ecologically dangerous industries, and modern security and surveillance systems being just a few of the examples.
Marcuse adopted what has probably been the most radical position with regards to science and technology. Not only does the "liberating force of technology - the instrumentalisation of things - turns into a fetter of liberation; the instrumentalisation of man" but scientific thought itself is ideological. Inheriting the polemic of Adorno and Horkheimer, Marcuse whilst acknowledging the distinction between a value free pure science, and an applied science, maintains that even pure science retains a 'positive' character, a tendency to strip matter of all but its quantifiable qualities. Thus even the principles of modern science were a priori structured in such a way "that they could serve as conceptual instruments for a universe of self propelling, productive control; theoretical operationalism came to correspond to practical operationalism. The scientific method which led to the ever more effective domination of nature thus came to provide the pure concepts as well as the instrumentalities for the more effective domination of man by man through the domination of nature." In attempting to resolve the human subject's alienation from nature, Marcuse concludes that "technology has become the great vehicle of reification - reification in its most effective form." We have then another tale of the apocalypse not unrelated to Braverman's book which was published only ten years later. It is not difficult to predict the critique of such a thesis for neglecting amongst other things, the development of alternative technologies, and the historic struggles against such forms of total domination. Habermas resisted the temptation to characterise science and technology as inherently ideological, but acknowledged that this did not exclude the possibility despite their progressive character of
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34 Marcuse, Herbert - *One dimensional man*, Studies in the ideology of advanced capitalist society - Ark paperbacks - 1986 - p159
35 Abstract mathematics is exactly that, abstract. Applied mathematics is abstract maths put to some specific purpose. Thus Mathematics travels from a position of political neutrality to assume a deeply social significance. Similarly, the Laws of motion in physics are clearly abstract and neutral, and can be applied in the production of either a missile or a pinball machine. Technology is of course exactly this, the practical application of scientific knowledge towards some end. It seems important and justified then to retain the distinction between pure science and technology. Part of the confusion appears to lie in the fusion of pure science and applied science.
36 Marcuse, Herbert - *One dimensional man*, Studies in the ideology of advanced capitalist society - Ark paperbacks - 1986 -p158
37 ibid 169
38 One of the most sustained critiques against Marcuse comes from Kolakowski., L - *Main Currents in marxism. Volume III. The breakdown* -1978 -p415-420 Marcuse is characterised as a semi romantic anarchist, who offers a Marxism without history, science, the proletariat or work. Marcuse is condemned as a leader of middle class students who know nothing about material production or need.
becoming "the sources of the new ideological consciousness". Here Habermas has in mind the way in which science and technology took on ideological functions that help reproduce an image of society as a purely technical object, such that human social problems become projected as technological ones, with all the negative consequences that this has for the understanding of the political character of the human condition. But this in many ways is just a more sober version of Marcuse's arguments. Whilst it is possible to accuse Marcuse of having a "feudal contempt for technology, the exact sciences and democratic values" and of replacing the tyranny of logic and science with an equally tyrannical mythology based on deeper intuition, this should not blind us to the central thesis which concerns the character and application of the instruments of production as a new form of domination. In other words, we do not have to agree with the political conclusions of Marcuse's work in order to take on board the argument that technology, in itself and in its application is a political issue. The main problem is that the political character that Marcuse assigns to it is one sided and non dialectical.
In complete contrast, Kolakowski is insistent that "neither science nor technology...offers any basis for a hierarchy of aim and values." Their social character arises from the means to which they are put. The qualitative difference between a factory producing window frames in the east or the west has little to do with the machinery itself, and derives simply from the purposes to which it is given, State housing as opposed to private speculative housing. With such a thesis Marcuse's question of the possibility of a new science and a new technology appears as a romantic utopianism.
It is clear from the work of Marx, that it is precisely the human consequences of the development of capitalist machinery that is so contradictory. This has several aspects; the design of technologies that strip the concrete aspects of labour of interest and creativity, and the 'use value' of the objects and commodities produced (socially useful and socially harmful goods). Marx was as interested in the subjective consequences of capitalist development for the working class as he was in the process of accumulation.
The full and proper discussion of the relationship between science and ideology, forms the backdrop to these introductory remarks, and is dealt with at length in the arguments that
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39 Larrain, Jorge - *Marxism and ideology* - Macmillan - 1984 - p105
40 Kolakowski, Leszek - *Main Currents in marxism. Volume III. The breakdown* - Clarendon Press - 1978 - P387-395
41 ibid p418
surrounded Althusser's distinction between science and ideology.\textsuperscript{42} It is nevertheless possible to arrive at a tentative conclusion.
All technology has a directly political character, in the way in which it is designed, in the purposes to which it is put, and in the role which it plays in the depiction of a technological utopia, that functions as a non contradictory social world. There remains the implication drawn from this, that under different social relations, the productive forces, including the character and content of technology and labour could develop in qualitatively new ways.\textsuperscript{43} To speak of a 'socialist' technology is to replace the critique of the metaphysics of the capitalist machine with a new metaphysics that is equally utopian and problematic. We can however talk of qualitatively new types of technology and machinery that liberate the subject from heavy work but enable the worker to contribute creatively to the production process, that restore or rather create the conditions by which workers can gain control over the whole process of conception and execution. Forms of technology where the speed and organisational features of the work can be regulated directly by labour. Forms of technology that are socially useful rather than destructive, life enhancing rather than life threatening. This suggests aspirations that go beyond the job enrichment programmes that have come with the transition to what has been dubbed 'neo-fordism'.\textsuperscript{44} It implies and is indeed predicated on the wholesale transformation of social relations inside and beyond the workplace.
It is not only issues of class that throws the social character of technology into focus, but gender as well\textsuperscript{45}. It is quite conceivable that machine based technologies could be developed that accommodate the physiological differences of women and indeed the disabled. Technology at the very least offers the possibility to create production processes that are not dependent on human strength. Yet many of the instruments of labour in the "heavy" industries, that assist in the reproduction of gender stereotypes by marginalising women, have catastrophic consequences for many men as well.\textsuperscript{46} Women are left with the central contradiction between 'mutilation', doing it like a man, or 'marginalisation' that comes from
\begin{itemize}
\item[42] See Althusser, Louis and Balibar,E- Reading capital -New Left - 1970
\item[43] This returns us to the early speculations of the workers' opposition'
\item[44] Palloix, Christian - The labour process:from fordism to neo-fordism - In the Labour process and class strategies - CSE Pamphlet- 1978 - p62-65
\item[45] See here a useful collection of essays edited by MacKenzie,D and Wajcman, J - The social shaping of technology - OUP - 1988
\item[46] Nothing contradicts the macho stereotype of the building worker more than a labourer with a stooped back at the age of fifty. During the 1980's there was a campaign to get a bag of cement reduced from 50 to 25 kilos. Carrying such a weight is a matter of technique as much as it is strength. But regardless of who carries it, many backs, shoulders and necks have been permanently damaged, a fact that did not persuade materials suppliers to alter bag sizes, claiming that to have done so would have proved to costly.
\end{itemize}
refusing to engage with such work at all. A third way suggests the creation of labour processes and indeed technologies that are created on women's terms.\textsuperscript{47}
For our particular story, we face the contradiction that the technology used in the Soviet construction industry does not differ in any significant way from that which we would find in an industry organised along capitalist lines. To conclude that the layout and design of machinery in a factory producing concrete panels has no social significance beyond its ownership is clearly problematic. The truth of the matter is that the means and methods of extracting surplus in the Soviet labour process were closer in their similarities than in their differences to those in the west. Similar technological and management systems were employed in a supposedly 'socialist' labour process, the products of which were technologically and formally closely related to those found in many metropolises in the capitalist world, one of the main distinctions being the gigantic scale on which such developments took place in the USSR.
\textsuperscript{47} Cockburn, Cynthia - \textit{Caught in the wheels: the high cost of being a female cog in the male machinery of engineering} - In MacKenzie,D and Wajcman, J - \textit{The social shaping of technology} - OUP - 1988 - p62-63
At the end of the twentieth century the periodisation of architecture through transformations in form faces its greatest dilemma. The innovations in the technologies of building production like those in the production of music have made it possible to reproduce in an increasingly authentic manner almost any style from the history of form. Just as in the music industry we can sample and reproduce Bach, Bulgarian folk songs, medieval English music, rockabilly, rap and reggae, so in the field of architecture we can offer a consumer, a Scottish baronial castle, an English Tudor cottage, a gem of thirties modernism, all with a supermarket in the shape of an Egyptian ruin. Such a new development has of course been celebrated as an indication of a new pluralism, the beginnings of a new era in pluralist consumer democracy, a postmodern celebration of diversity and heterogeneity, and indeed it would be foolish to rehearse talk of the loss of 'aura' and authenticity. Many of the possibilities opened up by new forms of production and electronic media are to be welcomed. What is more important is to recognise such developments for what they are. One thing they most certainly are not are postindustrial. What we are seeing is in actual fact a new phase in the process of industrialisation, the response of capital to the crisis of the late 1960s and early 1970s.
Quite what we call the different phases in the organisation of the labour process in twentieth-century capitalist societies is a semantic problem. However, just as we have sought to periodise Russian architecture through the significant historical changes in the dialectic of the forces and relations of production, so the history of twentieth-century industrialisation can be periodised through the changes that take place in the manner in which surplus is produced. This acts as the basis for an alternative periodisation of twentieth-century architecture based not on the exclusion of questions of form, but on the changes in material production that open up the possibilities for significant formal transformation.
Phase One - This is the period between the wars when machinery is only just being introduced into building production. The labour process still remains at a 'manufacturing stage', is dominated by the traditional crafts and tends to be spatially fixed. The production of surplus is still dependent on 'absolute' methods, that is by rationalising, the management and movements of building workers along Taylorist lines. The formal possibilities of architecture at this stage are still limited and overwhelmingly dependent on the hand and head of the building worker. This is the era of some of the grand 'crafted' projects of Soviet Realism. (See fig 95). Industrialisation is however beginning to develop, not only in the production of bricks and other building components, but in a number of public housing schemes and prestigious
Fragment of housing block on Prospect Mira. Built in the early 1950s' on the eve of the full scale industrialisation of building production
FIG 95
public and private buildings that required the use of mass produced components. In both capitalist countries and the Soviet Union, this interwar period sees an intensification in the spatial division of society along class lines. This manifests itself in the form of buildings and in the organisation and control of territory. (See fig 96)
Phase Two - This is the period of post war reconstruction, when throughout Europe the nation State becomes involved in the direct regulation of building production on an extensive scale. Mandel has described the period between 1945 to 1965, as "late capitalism" a "long wave with an undertone of expansion", in which we arrive at the apogee of 'fordist' production, in which invention becomes a business, and science is seemingly completely integrated into capital. In the next thirty years building becomes increasingly dependent on the factory mass production of not only components but whole building systems. Many of the standards, rules and technological hardware, become global in their distribution and employment.
From an industry based on the production of absolute surplus, it now becomes dominated by the production of relative surplus. The widespread introduction of machinery alters the skill basis of the industry such that by the end of the century apart from in one off prestige projects, the traditional plasterer, mason and bricklayer of the pre war period have all but vanished. The process of industrialisation penetrates all areas of building and is defined as much by the transformation of 'traditional' brick and timber domestic construction as by the introduction of the concrete panel.
The twin aspects of productivity are exposed in all of their clarity. On the one hand the imperative in the post war situation of maintaining the rate of profit, of increasing the value productivity of labour, and at the same time of ensuring that physical productivity matches
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1 Within Europe experiments into the possibilities of pre fabrication had of course been conducted since the turn of the century. Ernst May had helped pioneer the widespread use of factory made components in the Praunheim and Hohenblick housing schemes built in the twenties, and as we know pre fabrication was a pre occupation of designers not only in the Bauhaus but in Vkhutemas. Some of the more impressive examples of the widespread use of factory pre fabrication that included the use of concrete panels were built in France, the Cite de la Muette (1932), and the Ville Urbane, Lyon (1934).
2 In Britain, with the unprecedented wholesale intervention of the state into building activity, construction output tripled between 1948 and 1964 and doubled between 1955 and 1970, and it is from this period that the giants Wimpeys, Laings and Taylor Woodrow consolidated their position at the forefront of the British Building Industry. This is a position that they still enjoy, not least because of their involvement in the speculative mass production of pre fabricated kit housing and new suburbs that emerged throughout Britain in the 1980s and 1990s.
3 Mandel, Ernest - Late capitalism - New Left Books - 1975 -p249 As a supplement to the work by Braverman and Aglietta, Mandel lists ten fundamental characteristics in the transformation of the labour process. These include an increase in the organic composition of capital, the increased predominance of preparatory and supervisory labour that accompanies a rapid acceleration in technological innovation, a shorter life span for fixed capital and so on. p195-198
4 Two of the most famous being the Bison, and Reema systems which were completely pre fabricated reinforced concrete systems.
The construction of privilege
Muscovite hotels
The Moscow Party Hotel - Shchusev, A, 1936
The Ukraine hotel - Mordinov, A, 1950-1956
the demands and needs of a militant working class. Despite differences in form, all housing types become dependent on mass production. This goes as much for the 'cottage paradigm' of the middle class suburb, (the mass production of roof tiles, bricks, doors, plasterboard, window frames, and the introduction of timber frame) as it does for working class housing schemes, (the mass production of concrete panel systems) and for office blocks (the mass production of steel frames, concrete frames and cladding systems). (See fig 97)
The consequences of the penetration of the commodity form at this stage in the process of industrialisation, imbues labour, building form and space with similar characteristics. First there is a process of rationalisation, which refers to the fragmentation and division of the object into many parts. Second is the process of homogenisation, whereby all of the parts have similar qualities and are bound back together as a whole. What we see happening is the process by which every part of labour, every part of space and every part of form is being turned into a commodity in its own right. This is a process that has global dimensions. Thus the Fordist regime of accumulation finds its perfect architectural expression in Frank Lloyd Wright's Broadacre City\(^5\), in Corbusier's Ville Radieuse, in the production of abstract speculative office space, in the concrete panel and in the formal repetition of the suburb and the tower block. (See fig 98)
Phase three - This is the period in which capital seeks to find its way out of the deepening crises that began to grip capitalist economies in the late sixties as the post war period of growth began to crumble culminating in the recession of 1973. However, it was far more than just a blip in the trade cycle, it was a crisis that had assumed a general social and economic character, and which promised not only to disrupt the reproduction of capital but to fracture the social fabric of advanced capitalist societies.\(^6\) Within the labour process, this has been described as a crisis of Fordism, at heart a "crisis of the reproduction of the wage relation".\(^7\) Three reasons in particular are offered for this breakdown. First; the tendency towards increasingly homogenised mass production systems had begun to induce imbalances and time delays that increased with the fragmentation of tasks. Second; disruptions were increasingly occurring due to the counter productive consequences of total work automation on the physiology of workers. Third, the contradictions that arose with the increasing ability
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\(^5\) See Gunn, Philip - *Frank Lloyd Wright and the passage to Fordism* - In the Proceedings of the BISS - Volume 11 - 1989 - p157-165
\(^6\) For discussions on the notion of crisis see Habermas, Jurgen - *Legitimation crisis* - Heinemann - 1976 and Harvey, David - *Limits to capital* - Blackwell - 1984, O'Connor, James - *The fiscal crisis of the State* - St Martins 1973, Clarke, Simon - *Marx and the theory of crisis* - 1994
\(^7\) Aglietta, Michael - *A theory of capitalist regulation. The US experience* - New Left Books - 1979 - p122
THE SPECULATIVE HOUSE OF THE 1990'S
New industrialised landscapes
FIG 97
of workers to collectively fight against work conditions, workers who had become unified as a result of their socialisation in large enterprises.\(^8\) Burawoy has pointed out that one of the ironies of Taylorism "lay precisely in its limited capacity to enhance capitalist control over the labour process, thus necessitating the transition to a new type of labour process inaugurated by the scientific technical revolution."\(^9\) Similarly, from being one of the most innovative ways of increasing productivity, Fordist style production processes had begun to produce counter acting tendencies in which the value productivity of labour and the profitability of enterprise were being undermined. As a way out of this crisis, capital embarks on a new round of industrialisation seeking to commodify new areas of social life.
Harvey uses the term 'flexible accumulation' as a way of describing the increasing flexibility of the labour process, labour markets, products, and patterns of consumption\(^{10}\), that seem to distinguish the new era from the monumental, homogenous rigidity of the Fordist stereotype. At first glance there seems to be a significant rupture between *fordist production* and *just in time production*\(^{11}\), a difference which is reinforced by the corresponding transformations of space, ideology and in state policies towards social and economic regulation. All of this is of course echoed in the 'post modernist' mania for new forms of representation. But in the midst of all the seemingly incontestable changes, there appear to be some strikingly familiar features of this big break in history. Capitalism has always been driven by the ideology of growth and progress.\(^{12}\) In relation to the notion of dynamic change, it has always been defined by three things; continual technological and organisational innovation, the continual reproduction of the capital - labour relation, and the contradiction that arises from competition and the imperative to territorially expand in the pursuit of new markets, and more often than not for new sources of cheap labour. This enables us to speak not only of the social and spatial divisions of labour, within home, workplace, region and nation state, but of an *international division of labour*, of which the former are sub-divisions.
Stripped of all its gloss, *flexible accumulation*, can be seen like *fordism* to be a technological and organisational putsch enriched by an ideology of mass deception that is frantic in its attempt to "safeguard the wage relation".\(^{13}\) Whilst some of the features as the increased
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8 ibid p119-121
9 Burawoy, Michael - *The Politics of production - Factory regimes under capitalism and socialism* - Verso - 1985 - p42
10 Harvey, David - *The condition of post modernity* - Blackwell - 1989 - p147
11 ibid p177-188. Here Harvey reviews the different ways in which the 'transition' from Fordism has been theorised
12 ibid p180
13 Aglietta p122
role of finance capital and the new forms of "spatial and temporal fix" are significant, there are strong arguments to suggest that just as Taylorism gave birth to Fordism, the latter gave birth to "flexible accumulation" in an historical development that can be seen "as a particular and perhaps new combination of mainly old elements within the overall logic of capital accumulation."14
With these cautionary comments in mind we can look at some of the changes that have taken place in the labour process where we find important changes in the concrete aspect of labour and in technology. We can summarise the main changes that take place as follows. The process begins with the introduction of sophisticated automatic, electronic and latterly digital technologies. These tend to be more adaptable and flexible in the range of operations that can be accomplished and in the variety of objects that can be produced. Compare for instance a pre-World War II lathe with recent universal woodworkers and moulding machines. In almost all industrial sectors, machines emerge that can control their own operations, thus liberating the production process from the idiosyncracies of human labour. This allows a more thorough automation of the whole production process avoiding time delays. In addition, with the replacement of electro mechanical systems with electronic ones, the value of constant capital is reduced thus off setting the tendency for the organic composition of capital to rise. These changes in technology have important consequences for the spatial organisation of production.
At the same time as a far more advanced centralisation of management occurs there is a decentralisation in production units. Massive concentrations of the working class are no longer needed either in the old or the new industries. Small batches can be produced by smaller units, but within an enterprise which if anything has increased its monopoly share of the market, and in many cases diversified out of its traditional areas.15 As the qualitative characteristics of labour become almost completely transferred to the machine and the worker is left as an operator, new management schemes of job enrichment and worker participation are introduced to ameliorate the negative consequences of what in some sectors becomes absolute deskilling.16 By a mixture of organisational, technological innovation and product diversification capital manages to ride the crisis. This discussion is important not only
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14 Harvey, David - *The condition of post modernity* - Blackwell - 1989 - p196-7
15 One of the ways in which British based construction firms rode the crisis was precisely by diversifying outside of the building sector.
16 For a discussion of such management strategies see Littler, Craig - *The development of the labour process in capitalist societies* - Gower - Aldershot - 1986
for understanding the changes that have taken place in the production of cars, domestic appliances and electronic goods, but within building.
All the signs indicate that the process of industrialisation is accelerating rather than slowing down. Whilst building remains dependent on 'on-site' human physical labour, it is prevented from the complete automation\(^{17}\). However, almost all contemporary buildings are completely reliant on factory pre-fabricated building components. In addition like other industrial sectors, construction is feeling the effects of the scientific and technological revolutions which have come from the application of more sophisticated electronic machines and computer based technologies. This has opened up new possibilities in the manipulation of form that contradicts the stereotyped image that we normally associate with industrialised building. The timber framed house, the populist Wimpey and Barratt home, the speculative office block, the MacDonalds, the Safeways stores, and the light industrial factory unit are all building types that are completely dependent on the factory pre-fabrication of components and are reliant on a site labour force that is mobile, and which has been largely retrained with 'fitter' type skills. This lethal combination means buildings and space can be produced and transformed with ever increasing speed in a situation where capital turns over with equal rapidity. (See fig 99)
As such the tower block as the most stereotypical image of the 'industrialised', homogenised, mass produced home from the factory, does not represent the end of industrialisation but rather its pre-history.\(^{18}\) Its evolution and its demise mirror precisely the rise and ultimate crisis of Fordism in advanced capitalist societies. The social and aesthetic critique of the tower block and of the housing schemes and blocks that punctuate the peripheries of all of the major metropolises, undoubtedly played a role in their downfall, but the underlying reasons are to be found in the crisis of profitability that hit the construction industry. The post modernist celebration of difference and playfulness is no more than capital becoming increasingly flexible in where it can reproduce itself and in what form. Thus the flexibility of production in the post modern building industry can be understood a response to a crisis and a new phase in the history of productivity, the same burning imperative to maintain the
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\(^{17}\) It could be argued that the difficulty of adapting on site building work to assembly line assembly line conditions, the random character of production, and the casualised market for building labour have been impediments to the total application of Fordist principles to the building process. It seems more consistent to argue that the building industry has its own peculiarities that confronts the crisis of Fordism in different ways.
\(^{18}\) Mandel comments that "late capitalism, far from representing a 'post industrial society'", thus appears as the period in which all branches of the economy are industrialised for the first time..." Mandel-Late Capitalism -op.cit p191
The mass production of the administrative fortresses of governing bureaucracies
Los Angeles 1989
FIG 99
value productivity of labour whilst increasing the range of commodities available. Here, the 'need' of labour has moved way beyond biological reproduction, and has entered into a new phase where the conferring of status and the meaning of housing assumes ever greater importance, something that has been described as "symbolic capital", a symbolic capital that has gone global.
When in the 1990s we find almost identical buildings in Kuala Lumpur, New York, and London, we are not surprised. Their formal and technological similarities are no more than an indication of the global mobility of capital, that carries with it not only an economic system but a set of values and meanings that are inscribed into the landscape. But there is an equal homogeneity to be found in the form of mass housing that decorate the environments of what were supposed to have been qualitatively different social formations, such that a twenty two storey tower block on the outskirts of Moscow, St Petesburg, is more or less indistinguishable from Paris, Sao Paulo, and Glasgow. (See fig 100) Such similarities are neither accidental nor superficial. 19 But whereas, within the advanced capitalist economies, industrialisation could change gear sufficiently fast enough to offer the tenant and home buyer an increased choice and flexibility, 20 the Soviet building industry with a few exceptions remained locked into the homogenous mass production of building right up until the crisis finally arrived in Moscow in the mid 1980s.
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19 As must be by now demonstrably obvious, despite our desire to believe that the essential contradictions associated with capitalist economic and industrial development had been overcome, we see direct parallels in the organisation and management of the labour process, the organisation of building form, and the organisation of space.
20 A quick circuit around the building sites of Britain in the 1990's confirm that in terms of offices, housing, and retail outlets, far from a celebration of choice we are being confronted with a new twist in the tale of conformity and uniformity.
St Petersburg
Glasgow
FIG 100
construction and crisis
We are dealing with an historical period that like the epoch of 'late capitalism' is sandwiched between two crises. We begin with the general social and economic crisis that followed the mass destruction of human life, nature and the built environment wrought by the second world war, and we end in the early 1990s with the general social and economic crisis that followed the 'long period of stagnation with undertones of rebellion'.
Following a period in the 'fifties and 'sixties of relative economic growth in which the quantitative indices of housing provision, foodstuffs, and commodities rose, the collapse of industrial productivity in the 1970s and early 'eighties, the so called years of stagnation, was drawn out and long.\(^1\) It was in many ways a crisis of accumulation, the inability of the Soviet system to accumulate enough surplus from workers to finance civilian social, economic and technological development at the same level of investment as in the defence industry. As the cold war gathered pace, the military-industrial complex became a bottomless drain on the Soviet system, such that it proved increasingly difficult on a generalised basis to improve the quantity or quality of consumer goods. This would imply that behind the statistics testifying to a massive increase in the square metres of housing, tons of steel and concrete, there was a crisis in the actual value productivity of labour, whereby not enough surplus could be generated to finance continued improvements in the quality of everyday life.
As an era it represents the most profound transformation of labour and space in Russian history and is arguably the most interesting and relevant to the history of the modern world and to the experience of everyday life. It is the least talked about because it is the most difficult to relate to through the superlatives and adjectives of aesthetic jargon. We are dealing with the wholesale transformation of working class life at home and at work, and this remains an unpopular subject for historians.\(^2\)
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1 In terms of industrial productivity and the consumer goods sector the crisis is only paralleled by the crises in 1945 and 1921. The years of stagnation under Brezhnev are not called that for nothing. During the three five year plans from 1971-1985 the rate of growth of national income fell nearly 2.5 times. Aganbegyan, A-The challenge. The economics of Perestroika.-Hutchinson.-1988-p2. Similarly, the rate of increase in capital investment fell from 42% in the plan from 1971-1975 to 17% in 1981-1985. Stroitelnie Kompleks- Novoe Kachestvo Razzvitiia.-Mockva.-1989.-p 10 This perhaps needs qualifying with respect to certain consumer durable such as televisions and fridges which had been acquired by many Soviet families in the course of these two decades. There nevertheless remains a much publicised surplus of money capital circulating in the economy.
2 At this point it is impossible to avoid the obvious polemical or vulgar sociological axiom, that this reveals more than ever the class character of history writing. For historians and indeed architects it remains an imperative in a purely programmatic sense that attention and study is devoted to the general and real changes that take place in social life, that is to the changes that practically affect the overwhelming majority of the population.
characterise such changes. Similar to the transitions between the Avant Garde and Realism, serf labour and wage labour, Taylorism and Fordism, the differences should not prevent us from seeing the latter as continuations of the former.
Nevertheless the transition from an economy based on the production of absolute surplus, to one dominated by the relative production of surplus and which seeks to operate on the 'totality of time and space' characterised by Aglietta as a predominantly 'intensive' regime of accumulation, leads to a complete departure in the character and content of social labour and in the temporal and spatial organisation of social life. This is one reason why the Soviet experience is a close relative of Fordism. Indeed, many of the features of this period in the development of capitalism we find replicated in the Soviet Union, with a far greater intensity than the corresponding experience of industrialisation in the USA or Western Europe. The Soviet economy embarks on a mass production programme in all three 'departments'. The mass production of the means of production, of consumer goods and housing, and of military hardware. All of the time zones in the vast territory of the Soviet bloc are integrated into an economic unit, such that the accumulation process quite literally operates on a totality of time and space\(^3\). It hardly needs adding that this was backed up by an ideological machinery that continued to export a revolutionary rhetoric of morality and sobriety, but in a language that had largely ceased to have any meaning and which had increasingly begun to live a life of its own.
The Soviet regime was faced with exactly the same problems as any other rapidly industrialising country. The shift to factory based mass production represents nothing more than a new stage in the development of the dialectic of the forces and relations of production. Like any capitalist regime the Soviet government was faced with the problem of how to balance physical productivity, the need for more housing and consumer goods, with value productivity, that is maintaining in the Soviet context a sufficiently high rate of the production of surplus so as to expand the basis of social production. This reveals itself in many guises, as the dialectic between quantity and quality, centralisation and decentralistion, concrete and abstract labour, necessary and surplus labour. In the next section we will look at the main characteristics of the Soviet labour process in this period and in the concluding section examine the spatial and formal consequences of these transformations.
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\(^3\) The colonial status of many of the former Soviet Republics has caused deep problems following the break up of the empire, not least because of the single crop and single commodity status of the regions i.e. cotton and silk in Uzbekistan, hazardous chemical industries in Kazakhstan, electronics in the Baltics and so on.
the structure and organisation of the construction industry
The central co-ordination of a construction industry that was to operate in eleven time zones and was to stretch from the Baltic to the borders of China, was a feat unmatched in its optimism and arrogance. The audacity of a plan to conquer time and space on such a monumental scale made the institutionalisation of centralised state property both a precondition and an inevitable consequence.
In the forty years that followed the second world war, the building industry continued to be organised along the lines of an administrative command system, in which the State ownership of land and the means of building production remained the predominant form of property. Officially labelled 'democratic centralism', the structure of the construction industry continued to be defined by a vertical division of labour, in which plans and 'commands' from the top were supposed to incorporate demands from below. (See fig 101)
Ever since the birth of the command system that had accompanied the creation of the State building industry in the 1920s, the task of co-ordinating construction activity across the Soviet Union was confronted with the contradiction that arose between the simultaneous tendencies towards centralisation and decentralisation. This related not only to general issues of democracy, the formation and fulfilment of norms and plans, but to the relations between the bureaucracy and labour, and between the different ethnic groups within the empire.
After the death of Stalin, the industry went through four main stages that reflect the changing relationship between core and periphery. Presented as an attempt at refining and improving the 'technical' efficiency of the planning process, these measures were concerned with how to make the system of state property responsive to the demands of workers and local soviets, without the bureaucracy renouncing its centralised control over the economy. The 'departmental system' of the 'fifties based on all-union ministries, was partially decentralised and reorganised on a territorial basis between 1957 and 1967. Between 1967 and 1986 an increasingly complicated system dual system emerged based on all union and republican based ministries. Despite the attempt between 1964 and 1967 to rationalize the industry and to devolve more responsibility to Republican based construction ministries, the reforms of 1967 effectively reinforced the centralised hierarchical structure of the industry. This was the organisational system that the reformers of the perestroika period inherited, and who were to subsequently embark on yet one more attempt to transfer rights to Republican
THE VERTICAL DIVISION OF LABOUR
The structure of the construction industry on the eve of perestroika
THE COUNCIL OF MINISTERS
The Soviet Council of Ministers is responsible for drawing up the five-year plans for social and economic development in all sectors of the national economy. Within the council exist special committees for each of the respective sectors sector.
GOSSTROI
The highest executive organ of the construction industry
The State Committee for Construction
GOSKOMTROOD
Responsible for labour questions
GOSBANK-STROIBANK CCCP
The State bank and special construction bank providing finance
The three sub-committees of Gosstroi
GOSGRASHDANSTROI
Housing, social, cultural buildings
GLAVPROMSTROIPROEKT
Heavy and light industry
GOSNAB
Building materials
At the next tier we have the construction ministries. These operate on either an All Union or Republican basis. In general all construction organisations operate on a sector and territorial basis. Not all Republics have their own ministries and some of the big cities like Moscow and Leningrad have their own administrative units.
ALL-UNION CONSTRUCTION COMMITTEES
There are three core ministries covering the whole of the Soviet Union that are represented in some cases at Republican level.
Mintashstroi - Heavy industrial construction for coal and metals.
Minpromstroi - Industrial construction for such as chemical industry.
Minstroi - Construction work for light industry, food and other sectors.
This is complicated by there existing four ministries that oversee construction activity in the four defined economic regions:
Minsevzapstroi - Minyugstroi - Minuralsibirstroi - Minvostokstroi
Northwest South Urals-Siberia East
It is complicated further still by other specialist All Union construction ministries including:
Minenergo - energy, Minugelprom - coal, Minneftgasstroi - oil and gas, Mintransstroi - transport.
Minmontashstroi - Special construction, and since 1969 in the Russian Republic a further two.
Minshlishgrashdanstroi - housing and civilian, and Minautodor - roads.
REPUBLICAN CONSTRUCTION MINISTRIES
TERRITORIAL CONSTRUCTION DEPARTMENTS (glavki) OR COMBINES
CONSTRUCTION TRUSTS
CONSTRUCTION AND INSTALLATION MANAGEMENT DIRECTORATES
MAIN ENGINEERS
SITE SUPERVISORS
MASTERS
BRIAGADIERS
LABOUR BRIGADES
and Regional Ministries. In no period however was the ultimate authority of the Executive State committees called into question. The industry's organisational history was a case of fine tuning rather than major surgery.
The command system of management had left its hallmarks on all aspects of the building industry, its size alone was a monument to bureaucratic centralised planning. By the 1980s the Soviet government was faced with a colossal sleeping dinosaur, the sheer scale of which raised serious doubts about the possibility and likelihood of achieving any rapid or profound transformation. As of 1987 the industry employed over twelve million workers, occupied in nearly two thousand design organisations, over three thousand 'construction-assembly trusts', and thirty four thousand construction-assembly subcontracting firms. The overwhelming majority of these organisations were not only state owned and run, but tied to a technological system devoted to the pre-fabrication and assembly of reinforced concrete. This in turn demanded the complete rationalisation of both design and construction labour, such that the homogeneity of building form throughout the territory of the former USSR was replicated in the homogenous and universal character of 'concrete' labour.
The pyramidal structure of the industry is a metaphor through which we can view all aspects of the industry's activities at all of its operational levels, a physical demonstration of the consequences of totalised state property in which the state ownership of land, buildings and other means of production was considered synonymous with the 'highest and most progressive category' of property under socialism. This tendency was to be reinforced by the transition to the "fordist" style organisation of the building labour process in the late 1950s. The rapid industrialisation of the building industry and the wholesale transfer of its technological base required massive amounts of investment into fixed capital for the creation of equally gigantic 'production and assembly' combines and trusts. Such a programme of investment and development could only be carried out by central state organs. Consequently the possibility of achieving greater local democratic control over the building process and of the emergence of a form of building production organised around property relations that differed from the dominance of a centralised, nationalisation of property, were in complete contradiction with the hierarchical and bureaucratic management apparatus required to carry out such a programme of industrialisation. Despite the ideological reproduction of the
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4 For a description of the organisation and structure of the Soviet building industry see Ovsianikov, O.A., Organisatsia upravleniia v stroitelstve - Moskva - 1987, (The organisation and management of construction), and Pedan, M.P., Ekonomika stroitelstvo - Moskva - 1987, (The economics of construction).
5 Stroitelnie Kompleks - Novoe kachestvo razvitiia. - Moskva - 1989. p3-4. (The building complex - A new quality of development)
language of workers rights, social ownership and socialism, a strictly vertical division of labour and responsibility dominated the working practices of all organisations within the industry from brigades of site workers to the management teams of an enterprise and Republican building organs. The vertical chain of command became the organising principle in the formulation of plans, for economic development, for technology, design, and wages policy. Like other aspects of Soviet history, the institutionalisation of planning through the command system was unique in that there is no other period in human history in which a regime has attempted to plan and regulate social production on such a comprehensive level.\(^6\)
Social life became increasingly regulated by a form of plan fetishism. In such a system, social contradictions could be portrayed as arising from technical weaknesses in the system of planning. Thus the plan and the norm became another form in which the origins of class power could be disguised. The five year plans for construction were drawn up in Moscow and distributed downwards to building and design organisations who were subsequently legally obliged to fulfil their requirements. Despite the continual declarations of the principles of democratic centralism, by which local social organisations, soviets, and labour collectives (who were in any case invariably duplications of local Party organisations), could assist in the creation of plans, their ability to do so in a manner that differed from the Party line was restricted. Whilst it was possible to dream about alternative or oppositional visions of the built environment, ones that would more fully correspond to real and actual needs, such visions inevitably became marginalised in a situation where the building industry was geared to meeting the legal and quantitative output norms of each plan, often irrespective of the qualitative social benefits of such output.
The practical problems of implementing five year plans for construction in such a bureaucratic jungle of ministries and departments is plain. The size of the industry caused serious problems not only in the managing of the exchange of information and goods, but in the relations of accountability and responsibility between different production units. This was of course not only a product of its complexity and size but of its hierarchical and centralised structure. It became openly recognised that amongst all the other contradictions that such an organisational system fosters, there had emerged one very practical problem. It frequently
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\(^6\) For details of recent construction plans see Brukov, A, T and Domoshirov, G, N - *Deciataya piati letki stroiteli* - Moskva - 1978, (1976-1980) Brukov, A, T and Domoshirov, G, N - *Stroitelstvo v Odinnatzatoye piati letki* - Moskva - 1983 (1981-1985), Brukov, A, T and Domoshirov, G, N - *Dvenadzataya piati letka stroiteli* - Moskva - 1987. (1986-1990). (The tenth, eleventh, and twelfth five year plans) The last plan for instance includes sections devoted to an analysis of the previous five year plan, (report backs on housing, industrial construction and other building types), economic methods of calculation, technical progress, mechanisation, labour, capital construction, scientific research, cooperation with foreign firms, social organisation and agitataional and propaganda.
occurred that in any one Republic, up to eight separate ministries could be simultaneously contracting out work, often duplicating functions, and competing for the same materials and labour. In a situation where construction organisations were legally obliged to fulfil plans, this inevitably led to corruption, and various types of 'competitive bureaucratic sabotage' such as enterprises falsifying output figures, hoarding materials, and delaying deliveries.
Whilst in theory each of the constituent republics of the Soviet Union had design and construction organisations responsible for the development of the built environment within the boundaries of their territory, all major decisions within the building industry concerning capital investment in the building materials sector, major housing, infrastructural developments and architectural design had over the course of seventy years been increasingly concentrated and centralised in Moscow. Despite the appearance of autonomy, in the field of policy towards the overall development of the built environment, local Republican design and construction departments remained ultimately subordinate to the All Union State Committees and Ministries\(^7\).
Design organisations were to develop in the same way as building organisations. During the 'sixties and 'seventies the state design offices were to become increasingly large and centralised. Architectural labour, like that of the building worker, undergoes a process of rationalisation that transforms the character of work, and results in a tendency towards an increasing homogeneity in the tasks an architect is required to perform within a structure defined by an increasingly extensive vertical and horizontal division of labour. In any republic it was possible to find the same workers involved in the same tasks at the same time. But whilst most republics possessed their own architectural schools, research facilities and construction organisations, resources and authority for large scale projects remained concentrated in the hands of the bureaucracy in Moscow.\(^8\)
The inability of the construction sector to meet local and regional needs was symptomatic of all the other contradictions in the political, economic and cultural life of the Soviet Union, and which were to contribute to the explosion of nationalist sentiment in the 1980s and early
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7 There are of course dangers with such generalisations. If we were to study in detail the history of the built environment in all of the Soviet Unions regions and republics, then we would find examples for instance in the Baltic Republics and Georgia, where there had been attempts to wrestle control away from Moscow. Nevertheless, even in situations where greater regional autonomy appeared to have been achieved, the internal mechanism of such local building organisations still displayed many of the features of the command system of management.
8 The situation is epitomised by the fact that until the early 1990s an aspiring student from Uzbekistan wishing to complete a doctorate in architecture was obliged to study in Moscow.
90s as Republics attempted to gain increased control and discretionary powers concerning building activity on their territories.\textsuperscript{9}
\textbf{technology, concrete labour and utopia}
The technocratic culture that dominated the unceasing drive to iron out deficiencies in the general system of state planning, was mirrored in post war Soviet attitudes to the transformation of the labour process. The notion that fundamental class contradictions had been resolved through the combination of state property and a system of centralised state planning, helped to further legitimise the concept of socialism as the development of the productive forces. This reinforced notions inherited from the 'thirties and 'fifties of the neutral character of scientific and technological innovation. Socialism was to be defined by progressive increases in the productivity of labour, in which the miracle of the machine left the realm of science fiction and stood as the key to universal liberation.
By the early 1960s the industrialisation of building production was accelerating rapidly. It seemed a real possibility that the housing crisis could be solved once and for all, and indeed many Soviet citizens for the first time in memory enjoyed a qualitative improvement in living conditions. However this undoubted achievement in increasing the quantity of housing had been accomplished by a transformation in the labour process which was to have lasting and damaging consequences. Not only were workers 'irrevocably retrained' but over ninety percent of them were being paid on piece rates, almost wholly divorced from the means of production, with no more than a 'juridical' right to use them. The building worker of the late sixties and seventies was left with nothing but his or her labour power that could be sold to any number of State owned enterprises. Under such conditions the transition to the machine production of buildings leads inevitably to the deeper alienation of labour, as the concrete aspects of labour undergo a profound transformation.\textsuperscript{10} Here the process of Soviet accumulation is not concerned with gender, it is as willing to appropriate
\textsuperscript{9} Just three examples amongst many illustrate this contradiction. The loss of life as a result of the earthquakes in Armenia and Tashkent in the 1960s, was largely due to the collapse of buildings constructed out of prefabricated concrete panels, an inappropriate "deck of cards" in a known earthquake zone. Many of the buildings constructed out of traditional materials, were not only far more successfull climatically but survived the earthquake. The notorious concentrated development of the chemical industry in Kazakstan, greatly exacerbated nationalist feeling as more and more children and adults began to show signs of poisoning. Chemical plants were not only badly built, but were constructed in close proximity to residential areas.
\textsuperscript{10} Throughout the period 1965-1985, building workers stay steady at approximately 10% of the total workforce. Between 1965 - 1985 the numbers of concrete workers, drivers, machine operators and metal workers more than doubles, the traditional trades like carpenters, brickies, joiners and plasterers remain stable, whereas the number of unqualified labourers declines by a factor of four. (Trud v CCCP-Statistichiski sbornik -Moskva - 1988 - p66) These statistics do not take into account the widespread use of conscripts and students for construction work
and use up female as much as it is male labour. The liberation of women is transformed into the permission to work in the same alienating way as men.
Exactly the same forms of technology were used in the Soviet construction industry as in the west, organised on a factory floor in exactly the same way, demanding exactly the same forms of obedience and attention. The wholesale transfer of all of the qualitative aspects of labour to the machine, did not lead to the establishment of new and creative forms of labour, in which the Soviet building worker was liberated to perform independent and intellectual tasks, its effects were exactly the same as anywhere else. Not only did the development of such technology reduce the Soviet building worker to a mere appendage of the machine, but in a situation where the increasing horizontal division of labour was accompanied by an increasingly hierarchical vertical division of labour, he or she had no control over the labour process or its products, apart from going on 'walkabout', slowing down the pace of work, deliberate sabotage or theft. In the drive to produce ever greater quantities of housing and ever greater quantities of surplus, the labour process and the form of buildings became subject to the same kind of instrumental reason, that defines quality by a steady increase in the indices of quantity, mass, volume, density. The qualitative aspects of liberated space, free form and creative labour cannot be reduced to a quantitative measure, any more than the pleasure that comes from good sex can be given a number.
It is no surprise that the orthodox response to the introduction of machinery and its effects on labour was that it was non contradictory, by virtue of the fact that it existed under state ownership. Thus, all of the negative consequences of industrialisation described by Marx were deemed inapplicable to the Soviet labour process. In fact the complete opposite was argued. The introduction of machinery into the labour process, would not only increase the material satisfaction of the masses, but would resolve the contradiction between manual and mental labour, thus leading to a new mature "communist notion of labour". If Braverman offers us the apocalypse, Soviet authors offer us heaven on earth. The hagiographic character of Soviet realism finds another resting place in the machinery of mass production. Here we find a de-politicised technology that will liberate us from need and from labour, a technology that will deliver us to the threshold of the new world. These Soviet technological dreams, form
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11 Women were common in the Soviet building industry not only as on site plasterers and decorators, but as factory workers and forewomen. The percentage of women working in the building industry in 1968 stood at just under 30%. There is not a statistical breakdown for the number of women working in the building industry in the late 1980s although it is estimated that 46% of workers throughout the industrial sector were women. (Trud v CCCP- Statistichiski sbornik -Moskva - 1968 -p76) It is not an insignificant detail that at the end of the fifties 10% of construction firms directors, 60% of laboratory heads, and 44% of technicians were women. (Dodge, Norton - Women in the Soviet Economy - John Hopkins - 1966 - p178-9, 204)
part of the history of naive optimism that has continued unabated from the first days of the enlightenment, and has followed every innovation up to the 'liberation theology' of the contemporary computer technocrat.
Whilst Braverman bemoaned the decline of crafts Soviet authors celebrate it. Whereas under Fordism it was argued that there was a negative tendency towards deskilling, in the context of Soviet industrialisation this deskilling is seen in a positive light as it gives rise to a new division of labour in the building industry, where increasing numbers of technical and managerial staff emerge and where the slow 'liquidation' of unskilled workers accelerates. It was argued the new technology of the machine production of buildings would lead to the further resolution of contradictions associated with a capitalist labour process, such that "Under socialism the contradictions between mental and manual, simple and complex labour are overcome and removed." In a situation where the lorry driver becomes a crane driver, the old carpenter a lathe operator, the plasterer a machinist, mechanisation it is argued would lead to a sophisticated reskilling of labour, such that "the most important index of technical progress under socialism is the growth in the level of qualified workers, which is defined by the increasing complexity of concrete labour and the influence on the whole level of productivity." Such utopian sentiments are echoed elsewhere.
The mechanisation of the building industry would inevitably lead to the replacement of unqualified labour, with complex labour, that demands physical expertise but a greater expenditure of mental energy, which when backed up by state policies that guaranteed freedom of choice of occupation, a budget for continued education, guaranteed wage levels and material needs, can lead only to "an increase in the cultural and technical level of workers", enabling any worker to transfer with ease from one branch of industry to another. In the midst of such a socialist revolution of the labour process a new worker is born, multi skilled, highly qualified, intellectual, liberated from heavy manual labour and in full control of a labour process in which his labour has assumed a directly social character. It comes as no surprise to find that these texts were written in the atmosphere of optimism that came with the Kruschev thaw and the scientific technological revolution in the 1960s. However, the
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12 Boroboev, I, I - Izmeneniya sostava i usloviya izpolzovania rabochik kadrov v cviazi s tekhnichsekom progessom. Na primer stroitelstva - Kazan - 1967-Avtoreferat dissertatzia-p12 (Changes in the composition and conditions of labour in connection with technical progress)
13 ibid p14
14 Nikonov, M, I, - Teknicheski progress v stroitelstve i tendentsia v izmenenia kharaktera i sodershanie truda rabochik - Avtoreferat - Mosckva - 1969 - p10-22 (Technical progress in construction and tendencies in the character and content of labour)
recourse to increasingly utopian dreams if anything accelerated during the 1980s with the prospect of automation.
It was declared that "the creative character of labour under socialism...is an objective necessity". To achieve this qualitatively new stage in the development of labour, not only was it necessary to ensure "the economic equality of freely associated producers in relation to the means of production", but to ensure rapid scientific technological innovation, that would lead to the automation of production and the liquidation of physical labour. This liberation from onerous labour would necessarily have three stages; multiskilling, the improvement of qualifications, and the eventual transfer to purely intellectual work, the point at which manual skills had been all but transferred to the machine. "Labour in such production becomes more creative, of an engineering-technical nature, assisting its intellectual development, the result of which is to smooth over the socio-economic differences between mental and manual labour". As a demonstration traditional industry was compared with a hypothetical 'automated' industry. If in the former the workers divide as follows, 35-37% non qualified, 33-60% qualified, 4-8% with middle education, 1-2% with higher education, in the latter situation it was predicted there would be no non qualified workers, 40% would be qualified, 40-60% with middle education, and 20 -40% with higher education.
All such technological utopias possess a common character. The further they elaborate on the possibilities of freedom the further they become removed from the political critique to which it must subject itself in order to escape from dreamworld. This dialectic is revealed in the physical transformation of Moscow in the 'sixties and 'seventies. A monument to the improvement of a populations' living conditions, but a built environment that was produced under a regime that defined quality by the statistical indices contained in the plan. Under such a system any notion of quality that cannot be quantified becomes suspect.
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15 Smirnov et al - Obshchestbennaya forma truda pri sotzialisma - Moskva Ekonomika - 1984 - p62-64 (The social form of labour under socialism)
16 Ivanova, R.K - Karpukhin, D, N, - Izmeneniya kharaktera i sodershaniya truda na sovremennom etape razvitia sotsialism - Nauka- Moskva - 1987 - p34 (Changes in the character and content of labour in the modern stage of the development of socialism)
17 The liberation from heavy manual work, the social ownership of the means of production, and the development of technology that is socially useful and with which labour can creatively interact and engage remains a possibility, but one that is entirely dependent on a broader social and political movement.
the city as a time clock
It is not difficult to find your way out of Moscow. Any one of the main boulevards will propel you away from the historic centre towards the micro regions that surround the city. A walk along one of these arteries is to travel through clearly demarcated time zones, a kind of economic and technological time clock, a permanent reminder of the historical transformation of labour and space that is a testament to seventy years of state regulated urban development\(^1\). (See fig 102)
The clear division of space along class lines that distinguishes many capitalist cities is not so immediately obvious in Moscow. In most capitalist cities working class residential areas, consumption centres and patterns of movement within the metropolis are clearly differentiated from middle class and bourgeois areas. In recent decades this spatial division has been further emphasised by the appearance of prestigious buildings that announce with utmost clarity the power of modern finance capital. Within Moscow, much of the class character of Soviet society is hidden or integrated into what at first glance seems to be an homogenous landscape. The exception is of course to be found in the city centre, which is dominated by the seats of power and the administrative headquarters of the bureaucracy, such as the Kremlin, the headquarters of the KGB, the Moscow Party Hotel, the White House, and the Ministry of Foreign Affairs. However, the residential areas that lead away from the city centre, can not be readily distinguished from each other with regards to class. Although there always existed housing blocks reserved for senior party officials, luxurious dachas in the countryside, there was little in the way of an *immediately visible* demarcation of territory between bureaucrat and worker. In other words the class division of space within the city on class lines occurs as a separate matrix that is overlaid on the physical structure of the city. (See fig 103) There existed a 'hidden' hierarchy of space and class, one that was integrated into the structure of the city - an 'invisible' network of individual blocks, special shops, dachas, clubs, and offices, to which the general public were denied access. In a society that denied the historical emergence of any new collective exploiting class, such a phenomena was to be expected of any ruling elite that is forced to hide its own existence and the sources of its power.
Unlike the fragmented market regulation of urban development characteristic of most capitalist cities, the usual mixture of order and chaos, the development of Moscow in the
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1 The routes that connect Ulitsa Gorkovo with Leningradskii Prospect and the micro region Strogino, or that which joins Prospect Kalinina with Kutozovski Prospect and the micro region Krilatskoe are good examples.
PROSPECT KALININA
Looking west from the Lenin library
Looking east from the Ukraine hotel
FIG 102
VISIBLE AND INVISIBLE HOMES OF THE RULING CLASS
Diplomatic compounds
The 'White House'
Soviet period, as a consciously planned city, possesses a physical and spatial form that appeared as far more ordered and directly regulated.\(^2\) As such, the transformations in the form of building provide a clearly identifiable record of changing State policy towards the labour process and space.
As we move away from the historic centre of Moscow these formal and accompanying spatial transformations can be clearly seen as a series of zones. Once past the Sadovoye Koltso, The Garden Ring, we enter into areas that are predominantly residential, and which apart from the edifices that flank the immediate edges of the main boulevards were built from the mid 1950s onwards. As the clock ticks we travel from the infamous *piatai etashnie* (five storey) *krupno-blochnie* (large concrete block) housing units of the late 'fifties and early 'sixties, through the first generation concrete panelled six to fourteen storey blocks of the late 'sixties and early s'eventies, until we arrive at the twenty storey blocks of the late seventies and eighties. (See fig 104 and 105)
In this journey we are witness to a quite extraordinary correspondence between plan targets and physical reality. As each new five year plan sets ever more ambitious quantitative targets for the amount of housing to be built, so the scale, height, mass, and density of building increases. This is accompanied by a similar shift in the spatial organisation of territory towards an economy of scale. Thus if in the first phase of industrialisation, the *piati etashnie* were planned in compact units with a high level of decentralised and dispersed collective social facilities, by the last phase, in the construction of *micro regions* like Strogino, housing has risen above twenty stories and social facilities are concentrated and centralised. (See fig 106)
The historic imperative of improving the living conditions of the working class, has coerced many twentieth century governments into a mass housing programme and programme of public works, and the post war Soviet government was no exception. On moral, ethical and broader social and economic grounds it was obliged to conduct a critique on the individualism and egoism of the thirties architects and to transform the technological foundations of the industry as fast as possible. In probably no other urban history has the technological transfer of the building industry been so complete and so rapid. By the late 1980s over ninety per cent of all new housing in Moscow was being constructed out of pre fabricated concrete panels.
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\(^2\) This is a characteristic of many Eastern European cities. Needless to say as the unified bureaucratic management of the city crumbles so inevitably does the unified character of the city as a market for land and buildings emerges.
The infamous "piati etasniye", first generation five storey pre-fabricated large concrete block housing in the 1960's
FIG 104
Twelve storey pre-fabricated concrete block housing. Late sixties early seventies
Sixteen storey pre-fabricated concrete panel housing. Late seventies early eighties
The imperative of constant quantitative expansion
The first generation of micro-regions. Left Noviy Cheremushki, 1957-1958
Right - Eyugo Zapadnaya region 1951-1960
Last generation of 'super' micro-regions. Plan for Krilatskoye area, Moscow, 1979-83
same can be said for all major urban centres throughout the USSR, irrespective of cultural and climatic differences.
from combines to micro-regions
By the beginning of 1955, the cult of Stalin and of the 'hero building' had all but disappeared from the journals. Instead there appeared articles calling for the "development of creative criticism and self criticism", and for the "development of a wide programme of industrialisation". A plan published at the beginning of the year had laid out the main objectives, that included the speed up of construction, the lowering of costs, the use of reinforced concrete, mechanisation, standardisation of details, the development of typologies of buildings, and the development of scientific and technological research. Following a period in which the volume of building work had increased but there had been no discernible rise in the productivity of labour, the Party instigated a series of resolutions that made the industrialisation of the building industry and the transfer to the mass production of prefabricated buildings a legal obligation. This in itself was a feat of considerable historical significance. From 1959 onwards enormous amounts of capital were poured into the construction sector. The consequences were immediate and widespread with the mushrooming of the 'piati etashnie' from Uzbekistan to Moscow. (See fig 107)
Builders and technicians were reorganised into giant "domo-stroitelnie kombinati", DSK, house building combines, which by the mid sixties had become the predominant form of labour organisation. They were an attempt to unify off site and on site construction activity, thus under one umbrella most DSK's would have had both factories preparing components and 'montash' (assembly) teams putting them all together on site. These units would be supported by teams of technicians, designers and engineers. Their objective was to produce and erect housing on a continual uninterrupted basis, to meet plan targets in record times. That there was a massive increase in labour productivity can not be questioned. There are many tales no less extraordinary than those from the 'thirties that tell of all known records being broken. DSK -1 in Moscow was reported to have built a five storey, eighty apartment block in 52 days. Other reports tell of combines completing five storey blocks in as little as 18 days.
3 See for instance Arkhitektura CCCP - Nos 5, 6, 1955
4 See editorial in Arkhitektura CCCP - No 1 - 1955
5 Kommunistickeskaya Partia Sovietskovo Soyuza - V rezolutsia i resheniak ciezdov, konferentsia i plenumov - Tom Sedmoi - 1955 - 1959 - p249, 279, 526. (Resolutions of Party conferences - Volume 7)
THE TECHNOLOGICAL DEVELOPMENT OF HOUSING
The piati-etashniye
Looking down on the Noviy Cheremushki region, Moscow
Building the piati-etashniye in the desert regions of Uzbekistan
However, although satisfying plan targets, the poor construction of many of these schemes was a time bomb that duly exploded in the 1980s with leaking roofs, poor sanitation, no lifts, and inadequate waste disposal.\(^6\) In addition the logic of industrialistion towards increasing the quantitative mass of product, meant that by the end of sixties they had been replaced by bigger, higher and better built blocks. These were part of a new round in the rationalisation of building production that culminated in two pieces of legislation.
The first was an astonishing thirty two point plan for "improving the quality of construction". Whilst advocating increased rights for the executive committees of local soviets to exercise overall control over building activity, more rights for architects and planners, the setting up of experimental construction units, the overwhelming emphasis was on the introduction of new machinery, new technologies, and the further standardisation of design procedures. This was accompanied by a new list of piece rates and bonus schemes\(^7\). In brief it was an attempt to convert the mass production of buildings, both construction and design processes into an exact science. Two years later in 1971, the plan for the further development of Moscow was published.\(^8\) This re-emphasised Moscow's role as the cultural and economic centre of the USSR. It placed a limit on the outward growth of the city, which became defined by the construction of an outer ring road, and the maintenance of a green belt. This in effect became a heavily policed border crossing, and a leisure-cum-'no-mans' land. There were now twelve principal routes into the city, all of which could be carefully controlled and supervised. It thus became virtually impossible to enter or leave the city by road without being watched. All twelve routes lead directly into the centre of power, the Kremlin which was now preserved as an historic centre. (See fig 108) The main boulevards were given another facelift, old neighbourhoods like Izmailovo, and Fili were reinforced and a programme for a decentralised structure of mini towns (micro-regions) within the city limits was put into motion. In the 'seventies, regions like Yasenovo, Orecho-borisovo, Biberovo, were built and in the 'eighties, Krilatskoe, Strogino, Tiopli Stan and others. All further urban development outside of the city limits would take the form of 'satellite' suburbs. Lastly the plan included a commitment to move beyond the sixteen storey limit. Whilst it seems uncontroversial to invest so heavily in a nation's capital, it is important to acknowledge the
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\(^6\) This started a fierce debate in the architectural magazines on the relative merits of rehabilitation or demolition. In the event the former won and a whole series of competitions were launched to come up with schemes for the their reconstruction.
\(^7\) Kommunistickeskaya Partia Sovietskovo Soyuza - V rezolutsia i resheniax ciezdov, konferentsia i plenumov- Tom deciatii - 1969 - 1971 - O merak po ulushenia kachestvo shilishno-grashdanskovo stroitelstva - p47 - 61 (Resolutions of Party conferences - Volume 10)
\(^8\) Kommunistickeskaya Partia Sovietskovo Soyuza - V rezolutsia i resheniax ciezdov, konferentsia i plenumov- Tom deciatii - 1969 - 1971- O generalnom plane razvitia Moskvi - p476 - 481 (On the general plan for the development of Moscow)
MOSCOW DEVELOPMENT PLAN 1971
Diagrammatic Plan of Moscow
This plan is illustrative of some of the more important features of the development of Moscow that indicate the general direction of its future growth.
- **Historic Centre**
- **Ring roads**
- **Green belt**
- **North**
- **Micro-regions 1960s-70s =**
- **Micro-regions 1970s-80s =**
FIG 108
DIAGRAMMATIC PLAN OF MOSCOW
Below is illustrated a generalised and approximate map of Moscow that indicates some of the more important structural features.
contradictions of this in a country where at least formally all regions were still guaranteed equal rights. The appearance of similar housing could not in itself mask the vast inequalities in the quality of life and built environment, that existed between centre and periphery, town and country, between towns and within the urban itself.
the fate of the architect
In the process of all this, the architect had been reduced from a position of pre-eminence in the building process to one of subordination. The architectural profession had in effect been proletarianised, with architects turned into wage workers. The architect's creative role in the building process became reduced to the 'imaginative' assembly of a limited range of components drawn from standardised catalogues. (See fig 109) Although the quality and range of options available for balconies, panel surface treatments, and plan shapes, slowly but steadily improved and became more diverse, all major design innovations were always subject to the axe of the construction economist. In any case although the detailing of blocks left room for innovation, there was no question of changing the overall direction of housing and urban design. With a series of notable exceptions such as the attempt to reinvent the housing commune in a scheme on Bolshoi Cheremushki designed by Osterman (1969), the design of a brick built integrated social, cultural and residential neighbourhood by Meerson on Leningradskoe Shosse (1978-81), and the attempt in the late 80s to develop a more flexible system of mass production, the industry remained overwhelmingly geared both socially and technologically to the 'point' tower block in space.9 (See fig 110)
Soviet 'fordism' reaches its conclusion in the micro regions, where tower is separated from tower by wasteland, in estates that are poorly serviced with all the attendant social, formal and technological problems that are commonly associated with such schemes. The resulting forests of towers are no more than the logical outcome of a process of urban development, where the quantitative index has conquered all other indices of human progress. Moscow becomes subordinate to the fetishism of the plan, where quality can only be measured by numbers, and where the architect becomes completely subordinate to the economist. (See fig 111) In the process of fragmentation and division, by which this occurs there is an obvious correspondence between the rationalisation of labour (its reduction to 'identical' fragments of simple labour), the rationalisation of form (the prefabrication and standardisation of building components) and the rationalisation of space (the formal regimentation of the micro region).
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9 For a comprehensive study of high rise towers including photographs and plans see Dichter, Ya, E., Mnogoetashnoe shilishiye stolitzi - Moskovski Rabochi - 1979 (Multi storey housing in the capital)
Inside the concrete panel factory
Twenty storey pre-fabricated large concrete panel housing blocks, Moscow
Design by Osterman, N for a contemporary version of the housing commune where residential and social facilities are integrated into one unit. Moscow, 1969
QUANTITY
The conquering index of human progress
It is generally acknowledged that the transformation of space into a commodity, and the production of atomised commodities, was the most important revolution revealed by the Industrial Revolution.
On the building site in 1994
This then is the epoch that accelerates the tendency towards *homogenous labour*, *homogenous housing*, and *homogenous space*. (See fig 112) Against the optimism of social renewal, a cold wind could be felt that threatened to reduce labour, form, space and indeed the whole of social life to their lowest common denominators. Fragmented, broken up into little pieces, packaged and then thrown back together again having been shorn of all quality.
It is generally acknowledged that the transformations in the labour process and in the production of mass consumption goods that followed the second scientific and technological revolution revealed the totalising imperatives of capitalist development. The same can be said for Soviet history. The universalisation of wage labour that makes the worker a consumer as well as a producer was far more than just an economic issue, it was overwhelmingly ideological and moral in character. If Ford was obsessed with the behaviour and general sobriety of his employees this was nothing but the prelude to the State organised production of the 'citizen stereotype' that reached its apogee in the McCarthy trials and 1968. Similarly, whilst the Soviet bureaucracy issued norms contained in the production targets of enterprises, these were always mirrored by the call to social conformity and moral order. Under this moral regime all social behaviour that did not conform to the stereotype of the good citizen could be branded 'anti soviet' deviancy and be criminalised. Thus the 'new Soviet man and woman' of the 1970s, was a rather sad descendent of the shock worker and a miserable and distant relative of the Novie Beat.
Within the global history of industrialisation and the mass production of buildings by machine processes, the Soviet experience occupies a premiere position, not just because of the almost incomprehensible scale of the change in the labour process, but also because of the totality of the transformation that occurred in the temporal and spatial organisation of social life. All attempts to resolve the crisis when it erupted in the nineteen eighties thus faced a major dilemma. The system of bureaucracy and with it the system of political and economic relations between classes and between geographical regions and Republics was as entrenched and fixed as the technological character of the construction industry.
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10 In Moscow tower cranes were first seen in the late thirties, and there is a famous example of a housing unit designed by Blokhin in 1941 that was constructed out of factory pre-fabricated components.
On the edge of St Petersburg, late 1980's
On the edge of Moscow, late 1980's
In the media circus that surrounded the ascension and disappearance of Gorbachev and the perestroika project, the real reasons for the crisis and thereby the significance of those events for the understanding of social development in different social formations, became obscured.
It had become clear that without a radical restructuring of social relations, social and economic life would continue to disintegrate. Not only was it impossible to generate sufficient amounts of surplus to continue funding the arms race, but the production of quality consumer goods and services, necessary to quell an increasingly volatile population could no longer be guaranteed. The whole process of accumulation was thus grinding to a halt, and with it the political credibility of the bureaucracy was called into question. Faced with impending collapse, the bureaucracy sought to 'adjust' social relations in order to encourage initiative within the economy, to accelerate the rate of accumulation, but to do this without relinquishing political power.
It was openly recognised that the crisis was very much to do with a crisis of State property, and just as this had repercussions at all levels of the social totality so the bureaucracy's reforms attempted to restructure social relations in a similarly comprehensive manner. One of the many objectives of perestroika was the creation of a new phase in Soviet society built on the 'strict observance of law'. During the course of the 1980s new laws were passed concerning almost every aspect of social life, from the rights of local Soviets, to the rights of workers. Indeed, it was generally agreed that the pre-condition for any long term reform programme was dependent first on changes in the law, to set up the legal mechanisms for transition. It is though, one of the greatest paradoxes of Soviet history that legal proclamations are no guarantee of the implementation of the objectives and goals of new laws. This in many ways was the tragic dialectic not only of perestroika but the whole of Soviet history.¹ Whilst formally within the constitution there existed democratic organisations, in reality they did not work.² Thus the historic rupture between what we might call the juridical representation of reality and the reality of the representation of law in social life is given a new lease, whereby the 'legal fetish' discussed by Pashukanis becomes transformed and elevated to a whole new level. Just as within capitalist society juridical forms of the commodity emerge and disguise their common social origins, so in the late Soviet era from a guarantor of social
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¹ Such a dialectic had become painfully obvious to many inside the Soviet Union. Laws could be passed and ignored, by those whose interests they threatened. In an interview in Moscow News, Leonid Abalkin a prominent reformer had commented that people were "living in the euphoria of law creation", with "a romantic belief in the strength of decrees on State power". Moskovski Novosti - No 44 - 29th Okt 1989
² Kagarlitsky. B - The thinking Reed. - Verso-1988 - p 78
liberty, the law becomes a mask that obscures the reproduction of the class rule of the bureaucracy, disguising its desperate attempt to cling to power through the statute book.\(^3\)
Whilst seeking to 'administrate' and 'legislate' a pathway out of the crisis, many of the majority of new laws passed bore a formal commitment to the democratisation of social relations. However, this could only be done through the existing structures of relations, that is through the command administrative system. For many observers, not only outside of the Soviet Union but inside it as well, it was considered impossible to democratise Soviet Society from the top down, and that any long term chance of achieving success was dependent whatever the consequences on the prior dismantling of the whole apparatus of the State.\(^4\)
**A dream of Sweden**
Predictably the Western representation of the struggle in the Soviet Union as that between 'old guard conservatives' and 'rampant free marketeers' disguised the real complexity of the situation and of the power struggle taking place within the bureaucracy.\(^5\)
At the heart of the debate, leaving aside those who advocated a direct transition to capitalism, was an attempt to clarify what kind of categories of ownership would develop and remain compatible with a vision or version of socialism as the state attempted to withdraw from the complete and direct regulation of the national economy. Bubbling away discretely since the 1960s, there were open attempts to rehabilitate the idea of the market.\(^6\)
There emerged a clear identification between the social-economic crisis, and the legacy of socialist state property and the 'administrative command' system of economic management,
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3 The obsession with law creation also has a rather uncomfortable historical precedent in the battle that occurred in the 19th century between the 'legal marxists' such as Struve and Ziber and the revolutionary marxists such as Lenin. Despite the supposed historical defeat of the legal marxists ideas, their influence can be seen on the development of Soviet marxism in the twentieth century.
4 In brief, the passing of laws does not guarantee the participation of the working people in planning social development. It certainly cannot guarantee the emergence of a situation whereby the ruling bureaucracy will give up its privileges and hegemonic position as political and economic masters. As Kagarlitsky comments; "For State property to be really 'property of the whole people', it is not enough to write fine words in a constitution. What is needed is democratic social control over the means of production and the administration, with wide participation by the masses in the discussion and implementing of decisions." *The thinking reed* op.cit p77
5 One need only have stood at the start of 1990 on the corner of Gorky Street (now renamed Tverskaya Ulitsa) under the burnt out offices of 'Moskovski Novosti', Moscow News, to witness the fragmentation of political life in the Soviet Union. Here a pedestrian could openly buy,' green' broadsheets, various nationalist and neo-fascist newspapers, anarchist papers, and a selection of papers representing all the colours of the democratic left and right.
6 An argument began to emerge that there has always been a market in the history of human society. This is perhaps questionable especially with respect to a market for labour - that is labour as a commodity, which as a category is specific to capitalism.
the beginnings of an explicit recognition of the real reasons for the crisis. But the question of the legal ownership of the means of production in relation to the construction industry revealed the considerable confusion that surrounded the question of property rights. It was stated that whilst the "state was giving the enterprises the right of possession, of the diffusion and use of the means of production", and whilst the means of production "lay at the disposal of the enterprise they would nevertheless remain State [social] property, the economic independence of the enterprise being relative".7
Leading economists such as Popov and Abalkin had become increasingly critical of the state sector. Popov advocated the recognition and necessity of different forms of property and socialism. He was particularly fond of the Swedish experiment in the creation of what he called a "social fund of consumption". Not so much the transfer to the market in its "elemental form" but a progressive kind of welfare state.8 Other authors perceived the necessity of the development of co-operative9, mixed and personal property, with the simultaneous diffusion of State property backed up in law to regional and local States.10
Others argued that whilst the democratic half of the principle of democratic centralism had historically failed to manifest itself, its principles should be maintained as the only way of ensuring the co-ordinated development of society. The problem lay primarily in the administrative methods of management, where the practice of 'mestinchestvo', that is giving priority to local interests had all but vanished, and where individual and collective needs had become completely subordinate to general state interests. The solution lay in the marriage of central economic planning with commodity money relations, in the development of workers' control of the means of production through the Council of Labour Collectives, and with the rapid development of co-operative and individual labour activity.11
Few would probably argue with Abalkin's claim that in many situations, under the banner of socialist state property, workers had seldom enjoyed democratic control over the production process, but rather new forms of exploitation and alienation. However, he argued for the retention of central organs of management or indeed state ownership. The latter in particular
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7 Novoe Kachestvo op.cit p158
8 See editorial in Voprosi Ekonomiki. - K nashi chitateli. - No 1.-1990 - p 3-13
9 It has become popular as a validation of Co-operatives, to recall Lenins comments on Socialism as being a "system of civilised co-operatives"
10 Sitnikov, B P. I. - Sotsialistichiski predpriatiya ot podchinenia k samostoatelnosti. - Moskovski Rabochi. - 1989 (Socialist enterprises from subordination to independence)
11 See Vid. L. B. e Ivanov. E. A. - Novaya filosofaya planirovania. - Moskva.-Ekonomika.-1990.-p37 -48. (New philosophy of planning)
circumstances he maintained could still offer the best service and the former should be transformed into organs for regulating the "socialist market".\textsuperscript{12}
In addition it was suggested that there was an immediate need to set up a centralised banking and financing system.\textsuperscript{13} It was proposed that Gosplan should become more of a database and resource centre, which rather than being the source of directives, collected and collated plans as they arrived from individual enterprises. Other central organs would have become responsible for the overall State strategy for economic, social, and scientific development.\textsuperscript{14}
But in none of this was there any question of the bureaucracy renouncing its hold on state power. What was being offered was not the dismantling of the state system but its transformation.
The most important set of laws were those passed concerning the economic restructuring of state enterprises and production organisations. These laws affected not only the relations between the State and the construction organisations, but also internally, that is between an enterprise's or combine's management and its workers.
The thrust of these proposals for economic reform were centred around a form of state deregulation of the national economy. The objective was to relinquish the State's direct control whilst retaining the formal ownership of enterprises. The intention was that they would operate on a cost accounting, self managing and self-financing basis - the three main principles of "khozraschot". There was in essence nothing mysterious about these reforms and they can be seen for what they were, a straightforward extension of commodity money relations mixed up with a self-justifying language about the "diffusion of rights".
\textbf{decentralisation}
The reform of architectural design and the building industry was intended to have taken place throughout all levels of management, from the ministry all the way down to the labour collective. But for reform to occur within the enterprise, it also had to take place at the higher executive levels of the industry, in the Ministries and State Committees. In line with
\begin{itemize}
\item \textsuperscript{12} Voprosi Ekonomiki - Radikalnaya reforma - ot konceptsia k praktikhim dayistviem. - No 1.-1990.-p14-16 (Radical reform from conception to practical action)
\item \textsuperscript{13} Voprosi Ekonomiki - Sozialno-ekonomichiski krizees kak krizees gosudarstvennovo sobstvennosti. - No.2-1990 -p62 (The socio-economic crisis as a crisis of State socialist property)
\item \textsuperscript{14} Figurnov. E - Centralised management and the market. - In a "Case for perestroika"-Progress -1989. p 86-87
\end{itemize}
general laws on economic development, decision making power over design and capital investment in construction was to have been decentralised away from Moscow to Republican and local social organisations. As if in recognition of this, the twelfth five year plan proposed to implement a plan for decentralisation\(^{15}\). It was openly admitted that the central management of construction activity particularly with regard to housing, cultural and industrial buildings, had given rise to "negative tendencies" whereby the control and responsibility of local organisations in the field of construction had been greatly weakened. As a result, fourteen construction ministries were created, one for each Republic with increased rights and powers on matters concerning construction activity. Alongside these new ministries specialist ministries responsible for gas and transport would have continued to operate. As before, however, the State Committee for Construction, 'Gosstroi' would retain its name and most of its previous functions with regard to party decisions on major issues of capital investment.\(^{16}\)
**reforming the enterprise**
Another set of laws passed in June 1987 created the general framework for the transfer of enterprises onto a system of 'full cost accounting', polnie khozrascot.\(^{17}\)
In the process of the transfer to *polnie khozraschot*, state architectural and building firms through self management and self-financing were to have gained greater economic independence. Under the conditions of khozraschot, enterprises, whilst having to respond to five year plans in respect to any state orders, economic norms and limits, could to a large extent work out their own individual plans independently.\(^{18}\)
What was intended to have emerged in the building industry (as in other sectors) was a market for design and construction services and products. Here the old state enterprises would compete with and forge direct commercial links with the co-operative sector, each other and potentially with foreign backed joint ventures. The state would still remain a major client, reaping a proportion of the surplus, whilst the enterprise would eventually be responsible for all its running costs and capital expenditure, operating independently of state subsidies.
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\(^{15}\) See Brukov, Domoshirov- *Dvenatsataya niatiletki stroiteli.* - Moskva, Stroizdat.- 1987
\(^{16}\) Stroitelnie Komplex-op.cit p64 - 66
\(^{17}\) Polnie khozraschot e samo-fiancirovania. Sbornik Dokumentov - Moskva-Izdatelstvo Pravda - 1988 -p5-37 - 1. O perevodie obyedinenie, predpriatiu u organizatziu otracli naradnovo khozaiство na polnie khozaistvennie raschet u samofinancirovania.-Postanovlenbia Centralnovo Komiteta KPSS -11. 6.1987 No 665 pp37 - 2. Zakon CCCP o gosudarstvennom predpriatiu. Priniat na sedmoi sessii Verxnovo Sovieta. 30.6.1987 (Both laws refer to the re-organisation of state enterprises)
\(^{18}\) Aganbegyan A - *The challenge; economics of perestroika.* - Hutchinson 1988 -*The radical reform of management*. pp 109 - 123.
the reform of labour
Perhaps the most important legal reforms were those relating to labour. Despite the monolithic blanket against all overt dissent, since the 1960s there had been a gentle thaw, as much to with the conscious recognition on the part of the bureaucracy that the continual repression of the masses had absolute limits. During the 1980s work in the field of political economy, and the social sciences had begun to find a critical space. In a system that celebrated 'labour' and elevated the concept of 'work' and the State to universal and mythical levels, the system of closure could never be complete.
The resurgence of interest in the character and content of labour was contemporaneous with the publication of Braverman's book and the labour process debate that followed. In the USSR as in the west, attention became focused not only on what labour was producing, but in what social form it was doing it.
The orthodox position as ever was defined by the identification of socialism with state property, and that was only through Statised forms of control and ownership that historical contradictions could be resolved. Thus a book prepared for translation in the 1980s declared in time honoured fashion that "once private ownership of the means of production is abolished, and the means of production are put at the disposal of the Socialist State, it becomes impossible for one group to appropriate surplus from another."¹⁹ But alongside the reaffirmation of the supremacy of State property, there occurred other texts in which contradictions were openly discussed.
To have even mentioned the "dialectical relationship between the technico-technological and socio-economic aspects of labour" twenty years earlier would have been tantamount to a criminal offence.²⁰ Up to the mid 1950s questions concerning abstract labour had simply not been discussed. Up to that point value relations were considered to have only a "formal character" in a society that had transcended all of the fundamental contradictions by which capitalism was defined.²¹
However from the mid 1950s, the Soviet economy became increasingly reliant on commodity-money forms of regulation as the methods associated with cost accounting, (khozraschot),
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¹⁹ Manevic, Efim - Labour in the USSR - Progress Publishers - 1985 - p174
²⁰ Ivanova, R,K - Karpukhin, D, N, - Izmeneniya kharaktera i sodershaniya truda na sovremennom etape razvitia sotsializmi - Nauka- Moskva - 1987 - p169
²¹ Smirnov et al - Obshestvennaya forma truda pri sotsializma - Moskva Eknomika - 1984 - p91 (The social form of labour under socialism)
were given a new lease of life. From a symptom of capitalist degeneration, by the early 'eighties value relations (stoimostnie otnoshenie) were claimed as an "integral element in the system of socialist production relations". In the face of glaring economic decline, economists and sociologists could no longer ignore what were called "contradictions arising from the character of labour", that were "hindering" economic development.
With a few exceptions, Soviet economic literature had been dominated by the notion that under socialism, abstract labour has the "form of direct social labour". Socialist labour came to be defined by the negation of the fetish character that distinguished the development of abstract social labour under capitalism. Accordingly, the "socialist social form of labour is characterised by the liquidation of the antagonistic character of the division of labor and product into the necessary and the surplus". In addition, socialist labour acquires a new non contradictory homogeneity that results from the liquidation of the contradiction between mental and manual labour and between labour in the town and in the country.
Thus, under socialism the "maturity" of social labour is expressed in its immediately visible and directly social character, as opposed to capitalism where the mechanisms for extracting surplus are buried and obscured in the wage relation. It was acknowledged that this sought-for maturity in the form of labour had not yet been attained. One contradiction it was suggested lay between the 'direct social aspect', and its simultaneous 'relative isolation' that arose from the divergent "isolated" interests of enterprises in the Soviet economy. The study of this contradiction between its effectively social and private characters was essential for the understanding of commodity money relations under socialism. As part of this theoretical programme, a new analysis was needed of the role and fate of the subjects of economic relations, in particular the labour collectives, and how and whether State property operated as social property. Soviet economists did not need western theorists, to point out that a juridical relationship that defines rights of ownership, does not guarantee access to the use of the means of production. By implication "social property is only realised as collective property through its solitary proprietership (obosoblenie vladenie)". In other words the point of general social property is quite simply to give the "production unit" the possibility of
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22 ibid 91
23 Ivanova, R.K - Karpukhin, D, N., - Izmeneniya kharaktera i sodershaniya truda na sovremennom etape razvitia sotsialism - Nauka- Moskva - 1987 - p167
24 ibid p173
25 Smirnov et al - Obshestvennaya forma truda pri sotsialisma - Moskva Eknomika - 1984 -p94-95
using it, and there can be "no other point for the functioning of general (obshenarodniye) property"26.
The deterioration in the productivity of labour lay at the centre of the economic crisis, and one of the reasons for this was precisely the alienation of the Soviet worker from state property. The motivation of workers and their allegiance to the reform movement was vital not only in regenerating the Soviet economy but in the reproduction of the bureaucracy as a ruling class. Inevitably then the new labour laws displayed a dual aspect. They were principally aimed at motivating productivity by the introduction of limited 'workers' rights' in relationship to state property, that is how to make it more fully socialised, and a series of economic reforms that made the wage almost entirely linked to the work output of the labour collective. By making the collectives directly responsible for the continuation of the crisis, the bureaucracy had found another way of deflecting attention away from its own activities. The next section looks at the details of the proposals for the political and economic restructuring of the labour process
"brigadniye podriad"
Within the enterprise, the production brigade was the primary cell of the labour collective. It was the brigades who actually carried out the building work, and the principles of "khozraschet" were supposed to have been extended to the operations of these brigades of workers. This became known as 'brigadnie podriad', and by the mid 1980s the number of brigades operating in the industry on this basis had reached a quarter of a million.27 By increasing the role that self-management and self-financing played throughout the enterprise, the objective had been to raise productivity, encourage motivation, improve quality and to instil in workers an interest in the end products of their work.
Under brigadniye podriad, brigades received whole packages of work from the management of the enterprise. As in any contractual relationship a price was agreed and the brigade became responsible for the completion of the task, for its own internal organisation and management. Their wages were directly linked to their output and they received what was effectively a collective piece rate, which was then divided according to skill and what was called the co-efficient of labour participation. The term, kollektivniye podriad, 'collective
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26 Aroio, J - Zakon stoimosti pri sotzialism - Moskva Ekonomika - 1988 - p29-31 - (The law of value under socialism)
27 Mansurov, N, C, i Kasumov, T, K, - Trudovoi kollektiv stroiteli. - Stroizdat - Moskva -1985 - p44 (The builders labour collective)
contracts', was when all the brigades in an enterprise were operating according to the principles of khozraschot.
But as we have seen "khozraschot" like "brigadnie podriad" was not new. Lenin first advocated cost accounting at the beginning of NEP. Similarly Boxan 28 points out that by the late eighties, the Soviet economy was entering into the fifth phase of 'brigade contracts' which were first seen on building sites in 1931. 29 By the end of the decade stimulated in particular by the initiatives of the famous 'hero building workers', Zlobin and Serikova, 'brigadniye podriad' had become the pre-dominant form of labour organisation in the industry, or seen from another angle, the predominant method of extracting surplus from workers. The main distinctions between the system in the late 1980s and previous phases, was first its generalisation throughout the industry. Second the idea of "ckvoznie brigadniye podriad", when all the departments within a combine from materials manufacture, to transport, and to site assembly are working together as a kind of production line. Third, and more importantly, were the legal rights given to workers as part of the reform package to actually determine the actual tasks themselves, as opposed to simply being delegated responsibilities by an often unaccountable management system. This was not unlike the 'job enrichment' programmes,' that accompanied the transition towards the regime of flexible accumulation in the west.
Its objectives were in many ways exactly the same, how to increase the 'value' productivity of labour whilst preserving the wage relation. Put another way it could be seen as the difference between a highly restricted and in many ways illusory form of workers self management, to one which seeks to introduce real workers power.
**workers' control and the STKs**
One of the principal innovations of the perestroika era, was the development of the Labour Collectives and in particular the Council of Labour Collectives, known as the STK's, 'Soviet Trudovik Kollektivov'. This organisation was introduced to assist in the transfer of enterprises and brigades onto the conditions of khozraschot, and to ensure the rights of workers' brigades within the enterprise. Whereas the construction brigade was the primary
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28 Bokhan B.F - Brigadnie podriad v stroitelestve. - Moskva - Stroizdat -1987-pp 4 -19 (Brigade contracts in construction)
29 By 1935, 26% of all construction brigades were operating according to the principles of 'brigadnie podriad'. Under this system, a foreman would give tasks to brigades in accordance with centrally determined norms concerning productivity, quality and quantity. The brigade would subsequently be responsible for the completion of the tasks set.
cell of organised labour on the construction site, the *labour collective* was considered to be the "fundamental cell of socialist society, uniting all the workers within an enterprise". The Council of Labour Collectives, the STK, was the executive body of the Labour Collective, the principal "organ of socialist self-management" to which were elected representatives from all of an enterprise's workers. As such they were intended to include not only rank and file workers from the brigades, but also brigadiers, masters and representatives from the administration, with the provision in law that the latter would represent no more than a quarter of the elected personell. It amounted in many ways to one more contradictory attempt by the bureaucracy to introduce workers' control without relinquishing the basis of their own power. It was only now after seventy years that the working class could apparently be trusted with the management of an enterprise.
**all power to the labour collectives**
One of the main rallying slogans of the reform movement, "All power to the Soviets" was now to be accompanied by "All power to the Labour Collectives". Here we are reminded of Trotsky's warning against organisational fetishism, when the discussion of the actual class character of organisations is replaced by empty slogans. However, to dismiss all of the reforms as bureaucratic tricks is to ignore the very real attempts, however flawed the arguments, to rescue socialism by rethinking many of its fundamental categories. As 'glasnost' gripped academia, authors became bolder, arguing that workers in the course of Soviet history had lost any real opportunity to participate in either the management of enterprises or in fundamental questions concerning economic and social development, as a direct consequence of all decision making power lying in the hands of the directors of administrative bodies.
The remedy for this alienation, for this feeling of powerlessness and for the absence of any real control over the means of production lay in the further democratisation of production relations and in strengthening of the role played by the STKs. For many, the possibility of
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30 Trud i zarabotnaya plata v SSSR - *Slovar e spravochnik* - Moskva. Ekonomika - 1989 - p366 (Labour and wages handbook)
31 ibid p 319
32 See for instance Oleg Yun - *Improvement of Soviet Economic Planning* - Moscow - Progress - 1988 - pp71-83.
33 This was articulated in a more long winded version; "the increasing level of maturity of the relations of general-peoples property, is expressed in the modern period by the diffusion of rights to primary production units, securing their economic independence on the basis of full Khozraschot, the creation of appropriate conditions for the expansion of economic 'emulation', for the satisfaction of the demands of consumers, and for the development of socialist self management, exerting direct influence on the character of social labour". In Ivanova, R, K, and Karpukhin, D, N, - *Izmeneniya khraclera i sodershaniya truda na sovremenom etapiye razvitia sotsializm* - Nauka - Moskva - 1985 - p175
34 Gershikov,V.I. - *Demokratizatsia upravlenie na promishlennom predpriatie*. In "Ekonomicheskaya Soziologia e peretsroika." Progress 1989 p122. (The democratisation of management in industrial enterprises)
building a new phase in the development of socialism was closely bound up with ensuring the representation of workers from the brigades in the STKs. It was further dependent on guaranteeing the rights of the Council of Labour Collectives to run an enterprise on the basis of self-management, to participate fully in all major decisions, to elect managers and directors and simultaneously dismantle the legacy of 'edinonachalia', one man management.\textsuperscript{35}
Again we cannot escape the 'constitutional contradiction' that laws granting the STK greater rights and powers in the management of the enterprise as part of the transition to full cost accounting were passed. But then most Soviet literature on labour questions is imbued with the rhetoric of democracy. Ever since the 1960s Party resolutions had consistently referred to the need to diffuse rights to workers, and in 1983 a law was passed granting to labour collectives rights in the management of an enterprise\textsuperscript{36}. Amongst other things were recommendations for the participation of the collectives in economic management, the planning of wages and labour organisation.\textsuperscript{37} Five years later with the advent of perestroika these rights were to be further extended;
"The management of the enterprise is to be realised on the basis of the principle of democratic centralism, uniting centralised direction and the socialist self management of the labour collective. Socialist self-mangement is to be realised in the conditions of the wide and open participation of the whole collective and its social organisations in the working out, control and implementation of important descisions, in the election of directors and managers and in the management of the enterprise", and further on; "The Union of Labour Collectives.... decides questions on the development of the management and organisational structure of the enterprise"\textsuperscript{38}
Coupled with another law passed on the 8th of February 1988, obliging Party and Trade Union organisations to assist fully in maintaining the authority and rights of the labour collectives in matters concerning production, social development and labour questions, it would appear at least formally, that workers were being given legal rights unheard of since the proclamation on workers' control in 1917.
\textsuperscript{35} ibid p125-126
\textsuperscript{36} "Zakon SSSR o trudovik kollektivov e povishenie ix rol v upravlenie predpriatiami, uchershdeniami, organizatiami." 1983- Verkhnovo Sovieta SSSR
\textsuperscript{37} Mansurov op.cit 30 - 35
\textsuperscript{38} Sbornik Documentov op.cit p13 and p127 -O poriadke izbrania sovietov trudovik kollektivov e provedenia viborot rukovodeeteli predpriatii.Postanovlenie centralnovo Komitea KPSS.
But this of course needs qualifying. Leaving aside momentarily the degree to which the labour collectives were able to exercise these rights in practice within the enterprise, the details of the laws were ambiguous, especially with regard to the Union of Labour Collectives ability to influence or elect the top managers and directors of enterprises 39. Whilst in the new language of democracy workers were supposed to have the right to determine all aspects of an enterprise's social and economic development, the law would imply that these rights were restricted to the lower levels of management and that ultimate power and responsibility remained in the hands of senior administrators and directors, the "higher organs of power".
In the absence of a democratic revolution of senior management, directors simply remained Party-State appointees. This placed obvious limits on the possibilities of achieving any real democratisation of the labour process.40 As with the passing of other laws, there was of course no guarantee that increasing the rights of labour collectives, of republican and local social organisations would ensure more control in practice. There remained an ambiguous relationship whilst the republican ministries stayed ultimately subordinate to the decisions made by Gosstroil, and the labour collectives to the higher organs of management. Like the issue of the economic independence of enterprises, the independence of the republics, and the issue of real workers democracy persisted in being at the best relative, and at the worst illusory.
talking to the workers -Trade Unions, STKs, and architects
After years of mythology about the high levels of training, health and safety and plan fulfilment, the 1987 Construction Workers' Trade Union Congress began to rediscover an element of self criticism and contradiction. Just as the Writers' Union, and subsequently the Architects' Union began to feel the pulse of openness so the building workers. The central committee duly called for the transfer of all construction trusts onto a full cost accounting basis, the "new economic conditions" of perestroika, polnie khozraschot.41
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39 On the one hand the labour collectives were being given the right to elect their own representatives to the Council of Labour Collectives, and subsequently on the workers behalf this Council was supposed to have the right for organising the election of directors. On the other hand, the law stated explicitly that both elections were to be carried out under the supervision of the Party. In addition whilst any workers in theory could propose their own candidate, both this and the actual procedural matters of the election had to be agreed with what are called "higher organs of power".
40 "Councils of labour collectives were established in the factories, but in most cases the administration laid down their powers and tasks and the method by which they were to be set up. Very often the directors headed the new "organs of self management" and turned them into an appendage of the administrative apparatus." Kagarlitsky - *The dialectic of change.* - Verso-1990 -p350
41 These notes and the following are taken from the tenth congress of the Union of Construction Workers "Materiali desiatovo ciezda profsoyuza rabochik stroitelestva" - Moskva - 1987
In line with the traditions of Soviet wage policy it sought the strengthening of the role that commodity-money relations, wages and material incentives played in stimulating labour productivity. In a slightly more optimistic note it argued in line with the new laws for the necessity of strengthening the power of work brigades, the increased diffusion of rights within the enterprise and reducing the management apparatus. Whilst at a rhetorical level such proclamations are like many of the general slogans of perestroika about mobilising the initiative of the masses and increasing democratic control over the labour process, it was already becoming clear in 1987 that real success was slow in materialising. Only half of the construction enterprises had commenced the transition to full khozraschot. Two of the reasons it would seem were associated with management opposition firstly because it made managers accountable for their activities and secondly because of the potential increase in workers' rights that the full implementation of khozraschot would bring. There were public admissions that the flow of trained building workers entering the industry was too slow, and that labour discipline was becoming steadily worse, such that in the construction materials sector it was estimated that one in every six workers was a truant. Whilst the Union continued to provide holiday and rest homes, life on the building site still displayed a high degree of accidents. The eleventh five year plan had seen seventy one million working days lost through sickness and illness, 274,000 per day due in the main to unsatisfactory working conditions particularly related to noise, dust and vibration.
A review of the development of the new economic conditions and of the STKs in the late 1980s revealed some alarming contradictions. A survey amongst the workers in the building materials sector of the Moscow region, had shown that only 9.4% of rank and file workers were participating in the STK. Furthermore, sixty per cent of workers were completely ignorant of how the STK worked. In general amongst the Moscow construction organisations three types of STK were emerging. In the first case the council was little more than a council of existing directors, the antithesis of the objectives of the STKs. The second case was where the council was concerned mainly with immediate production issues like the need to rebuild a factory. Again this council was predominantly made up of managers. The third case was where the council was operating as a transitional measure between the existing council of brigadiers and the introduction of "full blooded organs of self management". The success and transcendence of the third type was further hindered by the confusion as to the precise role of the labour collectives. Within any typical construction organisation there already existed the Council of Brigadiers, Party and trade union Committees, and the Economic Council.
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42 Shkurko, S, and Simakov A, G - Soviet trudovo kollektiva. - Moskovski Rabochi.-1989.-p38-70 (The Union of labour collectives)
emerged that over half of Trade Union activists within the industry, thought that the STK should be actively involved in an enterprises management, although only 14% had actually witnessed this in practice.\textsuperscript{43}
To complicate matters further only 17.5% of workers, and 38% of Trade Union activists had read the new laws and understood them. Once again Soviet Society was witnessing the paradox of the failure of laws to manifest themselves in practice. The reasons were clear and were connected with the difficulty in introducing new working methods into an industry dominated by a vertical system of commands.
"The traditions of the administrative command method of management, the authoritarian tendencies of many directors is unfortunately very alive"\textsuperscript{44}
From democratic organs of workers' self management the STKs were fast becoming just another subdivision of the bureaucracy. This in particular was borne out by another survey in 1988 of the social composition of the STKs in the construction industry in the Moscow region. This showed that on average only 21.9% of the 'elected' representatives in the STK's were rank and file workers. The remaining 78% of representatives were exclusively made up of senior directors and middle level managers.
Whilst the late 1980s most certainly saw the development of an aura of 'openess', the glasnost side of the leap forward, and the creation of an atmosphere where criticism and opposition could begin to be publicly articulated, in general it has to be said that real changes in working practices within the construction industry were very slow in materialising, and arguably remain so. A study trip to the Namangan region of Uzbekistan in May 1988 had shown that whilst some changes had occurred they were few and far between.
The Major of the local soviet reported that for the first time since coming to power, it was unnecessary for the local soviet to gain any higher authority on decisions concerning house construction, and that the individual and co-operative sector was beginning to develop, such that by the year 2000, it was estimated that 50% of new house construction would be being completed by individuals. Also, whilst there persisted a shortage in the availability of
\textsuperscript{43} \textit{ibid} p52
\textsuperscript{44} \textit{ibid} p65
building materials, new laws obliged state building materials suppliers to sell to members of the public.
At the other end of the scale the manager of a local DSK, a state house building combine, reported that all eight hundred of the concrete panel factory and site work-force were working on the basis of brigadnie podriad, with brigades varying in size from 18 to 50 workers. The most revealing information came from the results of a questionnaire distributed to forty construction workers, both to site workers such as concrete erectors and carpenters, and factory workers such as machine operators and formworkers. In response to the question of whether they considered the trade union's work to be adequate in the sphere of health and safety, special clothes and work conditions there was an emphatic 'no' from almost all of them. They were virtually unanimous in their view that the introduction of brigadnie podriad had seen an increase in productivity, but no equivalent increase in wages and no obvious improvement in the quality of work. In reply to another question as to whether as a result of perestroika they had more control as workers in the management and running of the combine, the majority not only commented that they were not being given access to the levers of power, but that generally speaking perestroika had yet to significantly manifest itself in their lives either inside or outside of work. To qualify this, two workers noted that whilst perestroika was very slow in getting off the ground, they had as workers theoretically been given more rights, the problem was that the majority of workers did not comprehend how to exploit these new powers and did not understand the objectives of the programme of economic restructuring.
In reply to a Soviet questionnaire asking a group of building workers, first "Whether you believe in perestroika?", and second, "what do you expect from perestroika?", three categories of answers appeared. The first attitude was "yes we believe and we are waiting for our independence", the second, "no we do not believe and we do not expect anything particularly good, how about, housing, clothes and food", and the third asked why "the question was couched in such a religious way, why should one blindly believe, and as for what to expect, it is simple, normal working conditions" in which work would be "intelligent, peaceful, creative and without conflict". The author of the questions concluded that what was needed was the transition from "unscientific, bureaucratic, destructive methods of management to democratic, constructive methods of self management and people's power".
45 Arkhitektura i stroitelstvo Rossii - Perestroika; provovaya ekonomika e upravlenie - No 7 - 1989 - p18-19. (Perestroika; economic law and management)
Similarly, N. Travkin one of the pioneers of brigade contracts and Labour Collectives in the construction industry comments that, "if we can combine the work of the labour collectives councils with the system of Soviets, we will have real democracy".46
**Architectural workers and Technology**
Beyond the restructuring of social relations throughout the industry, another precondition for a radical change in the qualitative aspects of the Soviet built environment implied a fundamental change in the construction industry's technological base. But as we have noted, such a transformation would have involved a massive devaluation of fixed capital as obsolete concrete production plants closed and new production processes were created. Attempts were being made to introduce a degree of flexibility into the mass production process, in order to produce curved components and different shaped panels, theoretically allowing greater room for creativity in the design stage. But this like the few experiments in cast in situ concrete work, "monolit", and brick construction was lacking in research funding and plagued by the poor quality of manufacture of materials. As of 1988 90% of all new housing construction in Moscow was still being built out of large prefabricated concrete panels, in up to 25 storey high blocks. (See fig 113)
The problem was exacerbated by the lack of suitably trained building workers who were able and available to cope with a planned diversification and change of direction in the development of building technology. This had become glaringly obvious when Soviet architects were faced with the problems of either restoring ancient monuments or rehabilitating old hotels to western European standards. Without new technology and newly trained labour the architect's task of providing Soviet society with a qualitative leap forward would remain impossible.
Nevertheless, the late 1980s saw the development of a body of work that gained international attention, entitled 'boomashnaya arkitektura', paper architecture.47 The content of this work was valuable because it acted as a catalyst for a sorely needed debate on the state of the profession which like the building industry was languishing in a sea of inertia. At one level through its range of metaphorical, bleak visions and apocalyptic images, it represented a satirical comment on the condition of Soviet society and its built
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46 Travkin, N - *Democratisation.* - In "Soviet scene 1989; One way ticket to democracy" - Progress- 1989 - p15
47 For a detailed analysis of this work and the power struggle within the Architects Union see Cooke C. - *A picnic by the roadside or work in hand for the future* ", in "Nostalgia of culture; Contemporary Soviet visionary architecture." - Architectural Association- London - 1988.
The attempt to introduce a greater flexibility and diversity into the mass pre-fabricated production of concrete panels and components. Moscow, 1988
FIG 113
environment. On another level it was criticised for not engaging with the very real problems that were being faced such as leaking roofs, what to do with the first generation of systems building, demolish or rehabilitate, collapsing infrastructure and so on. In truth like all such experiments in language it had the ability of being heroic or tragic, optimistic or despairing. (See fig 114)
For the majority of architects, the main problem was how to regain a position in the design process from where they could assist in the creation of new types of social relations so as to stimulate the future development of Soviet architecture in a direction that would make it more democratic and responsive to specific needs. On this front there have been several significant developments. Whilst hitherto unheard of mechanisms were being set up to involve users and members of the public in matters concerning town planning and design, the Architects Union saw a heated debate, a change in leadership and the election of an architectural lobby to the Supreme Soviet to campaign for changes in the law. Simultaneously, following the new laws on Co-operatives, a few bold groups have set up design co-operatives, and new and independent research departments have begun to emerge\(^{48}\). These changes are of course important, but there remained the problem of how to regenerate and invigorate the State design offices. By 1990 in a considerable number of the many enormous and unwieldy offices, the process of transfer to khozrascot had at least begun. This had seen the division of design teams into much smaller collectives headed by senior architects. Relative to the past these new collectives gained considerably more control over the creative process and the choice of work. In a discussion over the new forms of design activity it was proposed to create associations of design teams that would eventually be completely self managing, and be able to independently define their volume of work and wages. On whether this restructuring had seen a radical improvement in the quality of work, opinions were divided. In reply to the affirmative there was of course a negative response, which pointed out that such a qualitative transition was impossible without the transformation of the construction industry's material base and the creation of new clients and customers.\(^{49}\)
The crisis for which perestroika was supposed to have been the medicine, is often portrayed as a crisis of productivity, of bad management and the failure to achieve a qualitative technological leap forward in sectors outside of defence. In some ways of course this is exactly
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\(^{48}\) Whilst perestroika provided the pre-conditions for the development of cooperatives, they were on the whole restricted to the services sector and consumer items.
\(^{49}\) *Arkitektura i stroitelestvo* - *Krisha dliya svobodee* - No 4 -1990 - P6-7 (A roof for freedom)
Krupin, A, Miroshin, A and Tregubova, O - The intelligent market, 1987
what it is. But like NEP the real reasons are to be found in the contradictory relationship between the forces and relations of production.
Lenin had perceived that the continuation of the state ownership of the means of production, of nationalisation during the 1920s would inevitably hinder the development of the productive forces. Similarly the architects and builders of perestroika were dealing with the realisation that State ownership is not synonymous with social ownership, and that the character of state ownership in the Soviet Union rather than liberating the productive forces had distorted and hindered their development. Perestroika like the period of NEP saw a deepening of class and social contradictions. There was no guarantee despite the optimism of some, that the process of restructuring would lead to a new type of socialism.\(^{50}\)
Travkins' vision of socialism based on the union of local soviets and labour collectives was already in crisis in the late 1980s. Criticism and reports were mounting that the labour collectives elections were being rigged and fixed, and that there was very little willingness on the part of management to support the Collectives' right to manage. Furthermore, following Yeltsins proposal in 1990 to privatise and sell off considerable portions of Russian industry except defence and railways to foreign capital, it was difficult to imagine foreign firms buying into an industry where the managers were elected by workers. As if in recognition of this contradiction the Supreme Soviet in the middle of 1990 passed yet another law with regards to the rights of labour collectives. This new law, passed by a desperate and frightened bureaucracy reneged on the radical content of the laws passed in 1987 and 1988, and withdrew the right of labour collectives to elect managers, arguing that managers and workers should be represented equally within the STK.\(^{51}\) This apparent cynicism from the ruling bureaucracy was only matched by the efforts of the Moscow soviet to dilute the social crisis by agreeing to the construction of a McDonalds hamburger 'palace' and a Pizza Hut, which along with new business centres and hotels were the most noticeable of perestroika's achievements in architecture.
The realisation by some that the dialectic of the productive forces and relations of production needed a systematic re-elaboration,\(^{52}\) and others that Soviet marxism had become
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\(^{50}\) See for instance Voprosi Ekonomiki - No 4 1990 p21 article by Berliner.G
\(^{51}\) See Panitch.L and Gindin.S - Soviet workers; a new beginning? - in "Monthly Review" - vol 42.-No 11. April 1990. A report on a series of meetings with workers organisations in Togliatti and Yaroslavl to discuss the success of the laws concerning workers rights.
\(^{52}\) Oizerman T. I - The strategy of acceleration - In "Soviet society; philosophy of development" Progress 1988. p90-91. Amongst other things he argues that attention should turn to issues such as the distribution
vulgarised and corrupt, came too late to rescue marxism in the Soviet Union from the almost universal contempt held for it amongst the young. This was something that different wings of the bureaucracy could capitalise upon as a power struggle erupted in the early 1990's.
By this stage the USSR was hovering between what had become the 'fetishism of the plan', that is the subordination of human needs and values to the quantitative fulfilment of the plan, and the "fetishism of the commodity"- that is the subordination of human needs and values to the operations of the market. Both fetishisms reduce socio economic progress to numbers and surpluses, quality to quantity, labour power to an input co-efficient and tenants' rights to square metres. Thus the new Russia finds itself again in a situation that is historically unique. The conclusion speculates on the historical significance of this predicament.
53 Ambartsov. E. A. - "Soviet society; philosophy of development" - Progress-Moscow-1988 - p4-11.
Fragments of true stories from the last tourist
The lure of pointless speculation beckons all and sundry to pass meaningless judgement, and to affirm in a sweeping gesture the end of one historical epoch or the beginning of another. Not only was it the end of the USSR, but the end of socialism and all other 'modernist' conceits that revolved around some notion of a social totality in which universal emancipation and progress could be guaranteed.
But beneath the 'end of history' tourist din, a familiar army of cockroaches marches relentlessly through the humid walls of Muscovite flats. This drives the late twentieth century 'muzhik' to continue the hunt for the great Siberian mushroom, only to be confronted with bananas, for in the year 1994, everything began with a 'B'. Banks, BMW's, Bananas, Bullets, and Bandits.
Meanwhile the privatised paratroopers, employees of the new 'banana' Republic hustle the God ridden grandmothers from the streets. There is no place in the free market for one who is not 'protected', and protection like anything else has a price.
As old bandits become new bandits, apparatchiks become mercenaries and the squabble between them intensifies, we are left to applaud the continuity between old slogans and new. The joker censor has done no more than sprayed the white banners red, and substituted the phrase "invest your money in the Olga bank and we will guarantee you a 1000% profit", for "invest your labour in the State and we will guarantee you socialism".
It is plain for anyone who wishes to see, that "Obmen Valuta" (hard currency exchange), is a cynical quip on "Obman Valuta" (hard currency deceit). From this it is obvious that the authors of the guarded cynicism of old slogan engineering have been courted and incorporated into the new regime, and are continuing to rewrite history, one of the greatest traditions of the Soviet bureaucracy.
In the heat wave of the summer madness of 94 no one can distinguish any longer between Lenin's mausoleum, the macabre disembodiment of history and the new Mac Donald's on Gorky Street, the officially franchised dream of not only culinary but cultural catastrophe. Outside in the streets between the neo-fascists and the hare-Krishna's, stalk fundamentalist American Christians selling God to the thousand year old Orthodox church. The invasion of godly right wing management consultants became proof that civilisation and salvation lies forever in the west. The East, as we always suspected is inhabited by barbarians.
Pleasure is only a small part of the devil's agreement with daily life.
The central argument of this thesis has been that changes in the social production and representation of labour and space are always linked to changes in the character of social relations, and that the examination of the historical transformation of the class and ideological structure of production provides us with a key to unlocking the mysteries of the built environment. With the transition to a society in which capitalist relations predominate and which are released from their statised forms, we would fully expect to see profound changes within the labour process and within the organisation and division of space. The construction of shops, kiosks, and the appearance of Turkish and new bands of migrant construction labour dressed up in corporate suits building banks, would seem to provide evidence of the liberation of the commodity form and of the development of markets for labour and land. However many of the changes are superficial and others simply formalise the inequalities that existed under the old regime. For the poor workers and pensioners there is little difference between the specialist shops in the old Union where Party and state bureaucrats could buy imported goods, and the appearance of French supermarkets that are equally beyond the pocket of average wage earners. The notion of a 'trickle down effect' is derided as much in Moscow as it is in the poverty stricken regions of western Europe.
Faced with the gnawing memory of inconceivable millions of dead, it is inevitable that many should seek solace in fantasy shopping and fantastic space. The Park of Economic Achievements becomes a giant supermarket, Yuri Gagagrin plays host to a disco 'rave' scene, luxury apartments are available for sale in one of the wedding cakes and after years of prohibition the streets were awash with poisoned vodka and psychotic alcoholics. The grotesque kitsch of eating in the 'soho restaurant' in what was a workers club for a now defunct textile factory, is not lost on the dollar laden smiles of the nouveau riche who congregate and compete with each other in the new productivity challenge, to burn money faster than your neighbour. But for every one player in the casinos there are a thousand window shoppers. This is to be expected in a situation where class divisions are being intensified and mummified feudal relations, deep frozen socialist relations and embryonic capitalist relations are forged in a social formation that is spectacular and brutal.
In a fragment of time, social life spins in an historical circle that links together the years of 1989, 1936, 1917, 1905, 1861, and 1848. New NEP men, speculators, merchants, the old nomenclatura, and a new class of capitalists fill a landscape in which the appropriation of
surplus from labour takes on three distinctive forms. The first is not unlike a system of feudal bondage with parasitic speculators and entrepreneurs accumulating the surplus generated by labour with the sole purpose of hoarding it and spending it in ostentatious rituals of truly conspicuous consumption. The second is closer to the capitalist relation where a new group of industrialists hire labour but invest part of their profits back into production, and the last is similar to the old statised forms, where the state appropriates the surplus from workers, the proceeds from which are used to subsidise social and economic development and prop up the system of privilege.
What had started in the mid eighties as a power struggle within the bureaucracy had acted as a catalyst in the slow consolidation of a new ruling class. But the emergence of new forms of property such as private and co-operative building and architectural enterprises outside of the tourist and services sector has been limited. Large scale industrial production including building remains within the state sector however ragged and unstable it may be. For these reasons alone it is unlikely that capitalism in Russia will develop in familiar ways.
Capitalist utopias have always been attractive to those in power in capitalist societies precisely because they offer the opportunity to eulogise about democracy and freedom whilst promising to leave the institutional structures that support private property intact. Within Russia, such magical assurances have inaugurated a new chapter in the history of mythologies. The development of new class relations has sharply exacerbated the temporally and spatially uneven and unequal character of social development. But this time no attempt is made to dress these contradictions in the language of socialist emancipation. On the contrary, freedom is to be delivered through the categories of interest, profit, rent and wages, the formula in which the social character of capitalist relations was first mystified.
If in 1980 the dollar was the symbol of spiritual and material enslavement, the paradox of the transformation of the devil into god is clear to a population who despite years of mass propaganda and repression retain a commitment to certain notions of equality and collective solidarity. The protagonists of the dollar utopia thus meet some deeply instilled beliefs in social justice one of the contradictory inheritances of the old Soviet States employment of revolutionary slogans.
Russian society remains locked in the contradiction between the fetishism of the commodity and the fetishism of the plan. In this the Russian state can no more dispense with planning
than Sony, ICI, or the British State. Nowhere is this more painfully revealed than in the field of architecture and construction, where the responses to the crisis have oscillated between the completely absurd, such as building 'ideal home suburbs' all around Moscow, selling the construction industry to foreign capital, to the deeply pessimistic but predictable indulgence in paper architecture.
In the vacuum left by the collapse of the Soviet system, capitalism can be declared as the end and goal of human progress, to the point where being synonymous with nature and the natural way of doing things, as a word and concept, capitalism begins to vanish from the vocabulary. This has thrown into sharp relief all of the previously cherished notions of freedom and history. Even if the old contradictions that have afflicted capitalist development for the last three hundred years still pre-dominate, new arguments and methods of communication are required to both describe it and provide a critique. As differential rents, private land ownership, and commercial districts become formalised within Moscow, the spatialisation of class contradictions are accentuated, but in a situation where the political forces that may have offered a critique have been discredited or kept locked away. The mass of workers are not of course gullible and passive recipients of such free market ideologies, and beneath the official version of Soviet history there had always remained at an informal and underground level an opposition who challenged both left and right wing orthodoxy's. But in the absence of a sustained critique workers are just as likely to support the forces of reaction as those of progress. This process of progressive political disintegration and nihilism is mirrored in the west, the difference being that whereas in Russia it is a process that is visible to all spectators, in the advanced capitalist nations the system of acquiescence and assimilation is far more subtle and sophisticated.
Here we have come almost full circle. Freedom means nothing if we do not possess the means to transform the material world. But this in itself is contingent on our desire to know freedom. We are left contemplating Hegel's notion that "World history is the progress of the consciousness of freedom - a progress whose necessity it is our business to comprehend".
---
1 Hegel, Georg Wilhelm Friedrich - Realisation of spirit in history - Lectures on the philosophy of world history - CUP - 1988 - p54-55
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Architectural Design
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Capital and Class
Construction News
New Left Review
Soviet Studies
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8 A COMPARATIVE STUDY ON OUTCOME OF MIDLINE LAPAROTOMY WOUND CLOSURE
AUTHORS: Dr. Pratik H.Vyas\textsuperscript{[1]}, Dr Jaykumar B.Pandya\textsuperscript{[2]}, Dr Shruja D.Narola\textsuperscript{[3]},
1. Assistant Professor, 2 Second Year Resident, 3 Second Year Resident,
Department of General Surgery, Vadilal Sarabhai General Hospital,
Ahmedabad Pin 380006, Gujarat.
ABSTRACT
Background: Abdominal wound dehiscence is a common complication of emergency laparotomy in Indian setup. Factors related to burst abdomen and they recommended certain surgical measures. These measures included control of nausea and vomiting, decompression of distended abdomen, choice of appropriate sutures, control of infection and use abdominal drains. Wound dehiscence is related to the technique of closure of abdomen and the suture used. It is intended to study the closure of abdomen with non-absorbable (Polypropylene, Nylon) versus delayed-absorbable (Polydioxanone) in cases operated at V.S. Hospital, Ahmedabad with respect to the effectiveness of these different suture materials in our setup.
METHODS AND MATERIALS: The present clinical Prospective comparative study was carried out at the surgery department of V.S. hospital from June 2014 to Jan 2017. Patients underwent both elective and emergency laparotomy through midline vertical incisions. First 50 cases of midline laparotomy closure were studied with these three suture materials; Polydioxanone (PDS), Nylon and Polypropylene (PPL) with/without retention suture. The patients were followed regularly after surgery up to 6 months.
RESULT: Wound infection is the most important single factor in the development of burst abdomen and incisional hernia.\textsuperscript{6} The incidence of wound infection was in Polypropylene (Prolene)(12.5%), in Polydioxanone (PDS) (20%) and in Loop Nylon(12.5%). The incidence of wound infection was related to type of surgery. As in over study infections were higher in emergency surgery than planned surgery, it was 10% in PDS group, 12.5% in PPL group and 12.5% in loop nylon group. And in planned surgery only one case had wound infection, which was in nylon group.
CONCLUSION: Continuous suture technique using no.1 loop Polydioxanone (PDS) had comparatively higher incidence of wound infection, and also report a case of burst abdomen, but had low incidence of scar pain for closure of midline laparotomy incision. No.1 Polypropylene had high incidence of stitch granuloma and Loop nylon no.1 had a low incidence of infection and stitch granuloma but high incidence of scar pain. Burst abdomen had high
incidence in high risk patient irrespective of suture material used, however this incidence can be reduced by prophylactic retention suturing.
**KEY-WORDS**: Abdominal wound dehiscence, Burst abdomen, Incisional hernia, Stitch granuloma.
**INTRODUCTION:**
Whether inflicted by chance or sustained during a surgical procedure, every wound is simply a disruption of the normal continuity of tissue. When tissue has been disrupted so severely that it cannot heal naturally (without complications or possible disfigurement) it must be held in opposition until the healing process provides the wound with sufficient strength to withstand stress without mechanical support. Although the skill and technique of the surgeon is important, so is the choice of wound closure material\(^{[1,2]}\). Every surgeon's dream is to close the abdominal incisions securely, so as to prevent complications, such as wound infection, dehiscence, incisional hernia, suture sinuses\(^{[3]}\). Abdominal wound dehiscence is a common complication of emergency laparotomy in Indian setup. Wound dehiscence carries with it a substantial morbidity and mortality in addition to increase in cost of care. Its prevention is important to reduce postoperative morbidity and mortality. This however has not deterred continuing research in attempts to eliminate the problem\(^{[4]}\). Factors as relates to burst abdomen and they recommended certain surgical measures. These measures included control of nausea and vomiting, decompression of distended abdomen, choice of appropriate sutures, control of infection and use abdominal drains. In this study surgeon’s experience and use of more than two abdominal drains were factors significantly associated with wound dehiscence\(^{[8]}\). Many patients have a poor nutritional status and the presentation of patients is often delayed. This makes the problem of wound dehiscence more common and graver. Wound dehiscence is related to the technique of closure of abdomen and the suture used. While the choice may not be so important in elective patients who are nutritionally adequate, do not have any risk factor for dehiscence and are well prepared for surgery, however it may prove crucial in emergency patients who often have multiple risk factors for developing dehiscence and strangulation of sheath is the proverbial last straw in precipitating wound failure\(^{[9]}\). Since decades Polypropylene and loop nylon have been widely used for closure of laparotomy wound. Both are a monofilament, non-absorbable suture. Tensile strength of both lasts > 1 year\(^{[10]}\). A suture material Polydixanone (PDS) was introduced to reduce the complication rate of laparotomy by its newer properties. Polydixanone (PDS) is a monofilament, delayed absorbable
So it is interned to study the closure of abdomen with non-absorbable (Polypropylene, Nylon) versus delayed-absorbable (Polydixanone) in cases operated at V.S. Hospital, Ahmedabad with respect to the effectiveness of these different suture materials in our setup.
**METHODS AND MATERIALS:** The present clinical Prospective comparative study was carried out at the surgery department of V.S. hospital from June 2014 to Jan 2017. Patients underwent both elective and emergency laparotomy through midline vertical incisions. First 50 cases of midline laparotomy closure were studied with these three suture materials; Polydixanone (PDS), Nylon and Polypropylene (PPL) with/without retention suture. The patients were followed regularly after surgery up to 6 months. A predesigned proforma was used to collect the information for individual cases. Data was collected, based on post-operative wound complications including post-operative wound infection, wound dehiscence, stitch granuloma, scar pain and incisional hernia.
**Inclusion criteria:**
- Both male and female patients.
- Patients older than 15 years.
- Consent to participate in study.
- Study included both emergency and elective laparotomy.
- Only continuous suture technique was used.
- Only vertical midline abdominal incision closures were included.
**Exclusion criteria:**
- Age < 15 years
- Patients with Pre or Postoperative diagnosis of advanced stage malignancy
- Patients who have abdominal skin infection
- Patients who have previous history of laparotomy operation
- Patients who have HIV infection
**RESULTS:** A total of 50 patients randomly selected were included from June 2014 to Jan 2017. After midline incisions, closure was performed with PDS loop, Polypropylene and Loop Nylon in 50 cases. Preference to mass closure was given to all patients. Proper skin care was taken and pre-operative and intra-operative antibiotic was given in all laparotomy.
### Table 1: Distribution According to Age
| Age in Year | Number of Patients | Closure with PPL | Closure with PDS | Closure with Nylon |
|-------------|--------------------|------------------|------------------|-------------------|
| 16 – 25 | 14(28%) | 5 | 4 | 5 |
| 26 – 35 | 11(22%) | 3 | 3 | 5 |
| 36 – 45 | 12(24%) | 6 | 1 | 5 |
| 46 – 55 | 8(16%) | 1 | 2 | 5 |
| 56 – 65 | 4(8%) | 1 | 0 | 3 |
| 66 – 75 | 1(2%) | 0 | 0 | 1 |
| **TOTAL** | **50** | **16(32%)** | **10(20%)** | **24(48%)** |
PPL = Polypropelene, PDS = Polydixanone.
The mean age is 32 years and ranges from 16 to 75 years. Majority of the study participants are in the age group of 16 – 25 years constituting 28%.
### Table 2: Distribution According to Sex
| Sex | Patients | Percentage(%) |
|--------|----------|---------------|
| Female | 16 | 33 |
| Male | 34 | 67 |
| **Total** | **50** | **100** |
In our study, no. of male patients operated for laparotomy were more as compared to no. of females. Here Male to female ratio is 1.94: 1.
### TABLE 3: DISTRIBUTION ACCORDING TO NATURE OF OPERATION AND SUTURE MATERIAL
| | EMERGENCY | PLANNED | PERCENTAGE |
|------------------------|-----------|---------|------------|
| LOOP PDS (out of 10) | 4 | 6 | 20% |
| POLYPROPYLENE (out of 16) | 10 | 6 | 32% |
| LOOP NYLON (out of 24) | 20 | 4 | 48% |
| TOTAL (50) | 34 | 16 | 100% |
PPL was used in 6 planned & 10 emergency laparotomy. Loop PDS was used in 6 planned & 4 emergency laparotomy. Loop Nylon was used in 4 planned & 20 emergency laparotomies.
### TABLE - 4: INCIDENCE OF COMPLICATIONS
| | PDS LOOP Out of 10 | PROLENE Out of 16 | LOOP NYLON Out of 24 | TOTAL Out of 50 | % |
|------------------------|--------------------|--------------------|----------------------|-----------------|---|
| WOUND INFECTION | E=2 P=0 20% | E=2 P=0 12.5% | E=2 P=1 12.5% | 6 | 12% |
| | E=1 | P=0 | E=2 | E=3 | 2 | 4% |
|--------------------------|------|------|------|------|-----|-----|
| BURST ABDOMEN | 10% | 0% | 4% | | | |
| STITCH GRANULOMA | 10% | 25% | 12.5%| 8 | 16% | |
| SCAR PAIN | 0% | 12.5%| 16.66%| 6 | 12% | |
| INCISIONAL HERNIA | 0 | 0 | 0 | 0 | 0 | |
E=emergency operation, P= planned operation
The early and late wound complications encountered in all three suture materials used were as follows.
- Wound infection is the most important single factor in the development of burst abdomen and incisional hernia.\[6\] The incidence of wound infection was in Polypropylene (Prolene)(12.5%), in Polydixanone (PDS) (20%) and in Loop Nylon(12.5%). The incidence of wound infection was related to type of surgery. As in over study infections were higher in emergency surgery then planned surgery, it was 10% in PDS group, 12.5% in PPL group and 12.5% in loop nylon group. And in planned surgery only one case had wound infection, which was in nylon group.
- The incidence of stitch granuloma was 1 (10%) in Polydixanone (PDS loop), 4 in Polypropylene (Prolene) sutures (25%) and 3 in loop nylon (12.5%).
- The incidence of scar pain was 2 in Polypropylene (Prolene) sutures (12.5%) and 4 in loop nylon (16.6%). Incidence of scar pain was more in loop nylon group then polypropylene group, however no pain was observed in PDS group. Pain which occurred, was mild pain(2-3) according to VAS scoring system and relieved by analgesic medicine. Similar study demonstrated a statistically higher incidence of scar pain in the Nylon group.\[6\]
- There were 2 cases of burst abdomen in the present study, which was done on an emergency basis in Polydixanone (PDS) group and loop nylon group, both patients had high risk for burst abdomen.\[63\] There was no case reported with burst
abdomen in prolene group. One similarly study shows that there was high risk of burst abdomen with PDS group compare to other group.\[6\]
Incidence of burst abdomen was 10% in high risk group if prophylactic retension suture not taken. Total 20 high risk patients were operated in them 2 patients had burst abdomen in whom prophylactic retension suture not taken. Retension suture was beneficial in high risk patients for prevention of burst abdomen irrespective of suture material used. Our conclusion that prophylactic retention sutures can decrease the incidence of abdominal wound dehiscence without imposing remarkable postoperative complications.\[5,6\]
There was no incidence of incisional hernia in any group till 6 months follow up. The short follow up period (6 months) may be a possible reason for the absence of incisional hernias in this study since > 5% of incisional hernias have been reported to occur after 6–12 months\[64\]. So this study required more follow up period for any comment on incisional hernia.
**CONCLUSION:** Based on the observations made in this study, it has been concluded that continuous suture technique using no.1 loop Polydixanone (PDS) had comparatively higher incidence of wound infection, and also report a case of burst abdomen, but had low incidence of scar pain for closure of midline laparotomy incision. No.1 Polypropylene had high incidence of stitch granuloma and Loop nylon no.1 had a low incidence of infection and stitch granuloma but high incidence of scar pain. Burst abdomen had high incidence in high risk patient irrespective of suture material used, however this incidence can be reduced by prophylactic retention suturing.
**REFERENCES:**
1. Schwartz’s principles of surgery, 9th edition
2. Mastery of surgery, 6th edition, surgical anatomy of hernia rings and editor’s comment.
3. Eillis H. *Maingot’s Abdominal Operations*. New York, NT: McGraw-Hill; 1997:395
4. Smith J A R. Complications: -Prevention And Management. Clinical Surgery in General 3rd edition. Edinburgh: Churchill-Livingstone 1999; 350.
5. Gislason H, Viste A. Closure of burst abdomen after major gastrointestinal operations: *European Journal of Surgery* 1999 Oct; **165**: 958 – 61.
6. Fleischer G M, Rennet A, Rulmer M. infected abdominal wall and burst abdomen: *Chirugische (Germany)* July 2000; **71**: 754- 62.
7. Graham D J, Stevenson J T, McHenry C R. The association of intraabdominal infection and abdominal wound dehiscence. *American Journal of Surgery*, July 1998; **64**: 660 – 5.
8. Soran A, Col C, Col M. Can postoperative abdominal wound dehiscence be predicted? *Tokai Journal of Clinical Medicine (Japan)* June 1998; **23**:123-7.
9. Hodgson NC, Malthaner RA, Ostbye T. The search for an ideal method of abdominal fascial closure: a meta-analysis. Ann Surg. 2000;231:436–442.
10. Bedside clinics in surgery, 2nd edition, page – 943 . suture materials
11. Anthony G. Healing and management of Wounds. Bailey & Love’s Short practice of surgery, 21st edition, Chapman & Hall 1991; 1.
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“We zijn van plan om heel lang door te gaan met Undertaker.”
UNDERTAKER wordt de nieuwe BLUEBERRY. Daar, we hebben het gezegd! Dat we na het lezen van DE GOUDVRETER zo zeker zijn van ons stuk komt omdat het sympathieke duo Ralph Meyer (HARD TEGEN HARD, IAN) en Xavier Dorison (LONG JOHN Silver, HET DERDE TESTAMENT,...) met dat eerste deel een wel erg complete nieuwe westernserie lanceert. Actie, zwarte humor, sterke personages,... alles is aanwezig in deze regelrechte liefdesverklaring aan het genre. Dit is een knap getekende en goed geschreven strip die zo kan meespelen met de SCHORPIOENEN, MURENA’s en THORGALS van deze wereld. Na het eerste deel van XIII MYSTERY en ASGARD is dit hun derde samenwerking en als het van het auteursduo afhangt, wordt het er een van lange duur.
Ook de uitgever is er rotsvast van overtuigd dat het met UNDERTAKER goud in handen heeft en spaart kosten noch moeite om deze reeks te lanceren. En zo komt het dat de verzamelde Belgische strippers op een kille dinsdagmorgen samentrept voor het Brusselse stripmuseum. Daar worden ze opgewacht door een gitzwarte lijkkoets waar elke doodgraver een moord zou voor willen plegen. Plots komt een taxi de Zandstraat binnengereden. Twee mannen, netjes in het zwart gekleed, stappen uit, kijken naar elkaar en schieten in de slappe lach. Zo’n onthaal hadden Xavier Dorison en Ralph Meyer niet verwacht. Na enkele selfies met de opgetuigde paarden springen ze fluits op de bok van de koets en poseren er als volleerde filmsterren. Een mooi begin van de dag. Intussen maken we ons klaar om de spits van hun lange interviewdag af te bijten. Het leek ons nu eens geen slecht idee om uit te pakken met een welgemeend compliment.
Dank je wel! Dank je wel om ons te verrassen met deze uitztekende strip. Het is echt ons ding. Enerzijds bulkt het verhaal van de actie én de zwarte humor. Anderzijds heb je ook wel de zware symboliek van een despoot die zich zoals de farao’s laat begraven met zijn schat, terwijl zijn onderdanen sterven van de honger. Welke poot vinden jullie nu het belangrijkst?
XAVIER DORISON: “De sterkte van UNDERTAKER is net de combinatie van deze drie zaken. Zowel Ralph als ikzelf hebben ons tijdens de voorbereiding op deze strip verdiept in de klassieke avonturenstrip van de jaren 1970. Die striperverhalen waren nog bedoeld als pure ontspanning. Lekker spannend met een scheutje humor. Maar het is niet omdat het populaire strips waren dat ze onnozel waren. Het verhaal stond er steeds als een huis. Dat delicate evenwicht tussen humor, avontuur en een pakkende plot streven wij beiden na. ASGARD was een eerste aanzet, en met UNDERTAKER gaan we gewoon verder op dat pad.”
Het valt ons op dat u vaak toewerkt naar het laatste kaderje van een pagina. Ofwel met een actieshot, wat drama of een grappige pointe. Heeft u zich laten inspireren door gagstrips?
DORISON: “Neeen, belangrijk is het geheel. Het evenwicht moet er zijn. De grappen zijn misschien wel goed geplaatst, maar ze zijn niet geforceerd. Het is ook geen situatiehumor. Als er gelachen wordt, komt dit voort uit de karakters van de personages. Voor alle duidelijkheid: wij willen het westerngenre niet belachelijk maken. Voor ons is dit geen tweederangsthema. UNDERTAKER is geen parodie, het is een volbloedwestern.”
Toch zie je volop de clichés opduiken. De Chinese poetsvrouw, de tirannieke
Het is en blijft een western mét de nodige clichés. Je hebt dus de basisingrediënten van het genre nodig.
mijnbaas, de saloongevechten,... Dat neigt toch naar een parodie.
RALPH MEYER: “Je kan dit in twee richtingen zien. Het is en blijft een western mét de nodige clichés. Je hebt dus de basisingrediënten van het genre nodig. Paarden, geweren, saloons, doodgravers,... zijn nu eenmaal eigen aan een western. Anderzijds plukken wij nu die anonieme doodgraver weg uit de achtergrond, en zetten hem centraal in ons verhaal. Wij vermijden net het cliché door nog maar eens de eenzame cowboy, de dandy of de rechtvaardige sheriff op het voorplan te plaatsen. Onze doodgraver is nu op zijn eentje verantwoordelijk voor het doorbreken van alle clichés van het genre.”
Doodgravers in westernstrips zijn altijd al anonieme voorbijgangers geweest, maar Jonas Crow hebben jullie wel karakter gegeven. Het is allerminst een doetje. Toch kunnen we hem na dit eerste deel alleen beoordelen op zijn daden, en komen we nauwelijks iets te weten over zijn achtergrond of drijfveren. Ook de Chinese Lin blijft een enigma, om nog maar te zwijgen over miss Prairie. Is het nog de bedoeling om de personages uit te diepen?
DORISON: “Absoluut! Op de eerste pagina’s van het tweede deel kom je al te weten waarom Rose Prairie in dienst was van Joe Cusco. En stilletjes aan gaan we de sluiers rond hun bestaan optrekken. Zo zal je merken dat ze geen gewone huismeiden, boekhouders of doodgravers zijn. Je zal hun geschiedenis en karakters wel leren kennen door de avonturen die ze meemaken. Zo gaat het in het leven ook. We worden aan elkaar voorgesteld, en we krijgen onmiddellijk een eerste indruk van elkaar. Heel vaak zitten daar bepaalde vooroordelen bij. Maar hoe langer we met elkaar optrekken, hoe beter we elkaar leren kennen. Zo is het ook in Undertaker. Ieder personage bevestigt op het eerste zicht alle mogelijke clichés, maar we hebben jullie doelbewust op het verkeerde been gezet.”
Betekent dit dat de karakters al volledig zijn gedefinieerd?
DORISON: “Dat klopt. We hebben hen samen gevormd. We weten wie ze zijn, wat hen drijft, waar ze vandaan komen... Dat staat allemaal al vast. Dat is ook nodig om je verhalen consistent te houden.”
Undertaker wordt dus veel meer dan een tweeluik?
DORISON EN MEYER: “Ja, natuurlijk!”
MEYER: “We zijn van plan om heel lang door te gaan met Undertaker. De reeks begint met het Goudvietre-dip tiek. We hebben gekozen voor een tweeluik omdat we wat meer ruimte nodig hadden om de personages op een niet geforceerde manier voor te stellen. Maar het derde deel kan al gerust een losstaand verhaal zijn. Maar als een thema een tweeluik vraagt, dan krijgt het de ruimte die het verdient.”
Zijn er dan al veel verhaallijnen uitgeschreven?
DORISON: “Ja, toch wel. Het idee is om op het ritme van de lijkkoets door de Verenigde Staten te trekken, langsheen de bekende conflicten. Ik noem nu maar de katoenslaven, de boeren met hun prikkeldraad, de opkomst van de
Waarom zou je het moeilijk maken als alles, maar dan ook alles aan een pagina smeekt om een bekende opbouw te gebruiken?
sekten, de Chinese spoorwegarbeiders.... Overal hebben ze lijkend die begraven moeten worden. We hebben nu al een tiental verhalen die we willen vertellen."
U spreekt inderdaad over we. Het valt echt op dat deze strip volledig in evenwicht is. Verhaal en tekeningen zijn gelijkwaardig, en vullen elkaar perfect aan. Meneer Meyer, u als tekenaar krijgt bijvoorbeeld opvallend veel ruimte. Sommige pagina's zijn pure sfeerschepping. U kan volop uitpakken met paginabrede kaders die de strip een zalig ritme geven. Heeft u die ruimte gekregen, geëist of samen bepaald?
MEYER: "We werken echt samen. Xavier geeft me zijn verhaallijn door. Hierop reageer ik dan heel impulsief. Het moet echt af zijn. Zo heeft Xavier na flink doorpraten deel 2 helemaal herschreven. Uiteindelijk krijg ik de volledig uitgeschreven platen, en dan begin ik aan de bladindeling. Dan komen we opnieuw samen en overlopen dit heel kritisch. Heb ik bijvoorbeeld meer ruimte nodig, dan kijken we waar we die kunnen vinden. Of omgekeerd. We blijven niet steken in onze vastgelegde rol van tekenaar en scenarist. We zijn beiden tekenaar én scenarist."
Wie heeft dan die Sergio Leone-look met die close-ups in een wijds decor bepaald?
DORISON: "Het storyboard is de verdiende dienst van Ralph. Aan de andere kant zijn er bepaalde beelden die haast evident zijn. Als de doodgraver door het typische woestijnlandschap rijdt, is het logisch dat je een horizontaal kader gebruikt. Hoewel, logisch... Ik werk eigenlijk ook samen met tekenaars die net omdat je door zo'n wijds landschap rijdt, absoluut een verticaal kader willen gebruiken. (lacht) Ik houd er nochtans van om bepaalde evidenties voor zich te laten spreken. Dit is er een van. Onze Undertaker is een eerbetoon aan de klassieke avonturenstrip. Geef toe, waarom zou je het moeilijk maken als alles, maar dan ook alles aan een pagina smeekt om een bekende opbouw te gebruiken? Dergelijke emoties en definities moet je gewoon in zijn waarde laten. En eenmaal een pagina is ingedeeld, moet je er je verhaal verder naar schrijven. Ralph moderniseert dan vaak nog wat de opbouw door te spelen met verschillende gezichtspunten en perspectieven."
Op pagina 23 vinden we zo'n prachtig vogelperspectief van de kamer waar de dode Joe Cusco ligt. Die lijkt wel verdacht veel op deze iconische pagina van Blacksad.
MEYER: "Toon eens? Dat is echt puur toeval. Knappe pagina trouwens."
DORISON: "Inderdaad! Maar als je ervoor kiest om die scène vanuit die hoek te tekenen, dan kom je automatisch op iets vergelijkbaars uit. We waren er ons niet van bewust. Nochtans slagen we erin — door zo intens samen te werken — dat er steeds een van ons beiden de nodige afstand behoudt. Hierdoor kunnen we kritisch naar elkaars werk blijven kijken. Maar zo werken, kan alleen maar als je alle twee competent bent. Anders slaag je er niet om de nodige afstand te scheppen, en blijf je er met je neus bovenop zitten. Wij hebben elkaar gevonden. Alvorens we aan een verhaal beginnen, zitten we samen om
Pagina 23 uit UNDERTAKER 1 met een gelijkwaardig perspectief uit BLACKSAD 1: ERGENS TUSSEN DE SCHOUWEN. "Puur toeval", ziet Ralph Meyer.
De backcover van UNDERTAKER 1 naast een backcover van BLUEBEARX, een van de bewuste verwijzingen die de auteurs in het album stoppen.
Elk decennium heeft zijn westertekenaar gehad. Wij hopen dat wij de hedendaagse, moderne versie ervan kunnen maken.
de grote lijnen en de opbouw ervan te bepalen. We nemen daar onze tijd voor. Dat kan gerust enkele dagen duren.”
**UNDERTAKER wordt volop vergeleken met BLUEBERRY. Jullie verbergen dat ook niet. De backcover lijkt me een duidelijke verwijzing naar deze van Girauds held.**
**DORISON:** “Dat klopt. Als je goed zoekt, zal je nog meer verwijzingen vinden.”
Toch vind ik de strip ook schatplichtig aan Mœbius. De humor van Jonas Crow, de doodgraver, doet me denken aan John Difool, maar dan met een gier in plaats van een betonmeeuw.
**MEYER:** (lacht) “Zo had ik het nog niet bekeken.”
Is de bedoeling dat de gier een actievere rol zal spelen? Een beetje zoals Johns betonmeeuw, Spip of Bobbie?
**DORISON:** “Hij zal alleszins niet beginnen te praten. Dat is zeker. Maar toch willen we hem hier een eigen smoel geven en wat op het voorplan duwen. Maar dat is echt niet zo evident. Hoe betrek je een doofstom dier in je verhaal? Je kan het laten praten met zo’n mijmerende wolkjestekballon, maar dat vind ik maar niets. Of je kan een excuus uitvinden waardoor hij toch kan praten. En dat is wel te doen. Ik zie onze doodgraver nog hele discussies voeren met zijn gier.”
**Mœbius of Giraud, door wie zijn jullie nu het meest geïnspireerd?**
**MEYER:** “Door allebei natuurlijk. Het is ook een en dezelfde persoon, en ik ben opgegroeid met beide stijlen. Toch is de link met BLUEBERRY evidentser. Maar ook ijjé, Boucq en die andere realistische tekenaars van de klassieke school, hebben me beïnvloed. Zo heeft elk decennium zijn westertekenaar gehad. Wij hopen dat wij de hedendaagse, moderne versie ervan kunnen maken.”
**DORISON:** “Het blijft me verrassen dat Ralph zo bescheiden is. Maar als je zijn werk vergelijkt met zijn collega’s, merk je pas echt de rijkdom van zijn platen op. Hij voegt er zoveel aan toe. Enerzijds is er het verhalende aspect. Zijn strips zijn veel meer dan een op-eenvolging van kadertjes met wat tekst
wordt dan puur een extra troef die het verhalende element ondersteunt. Dubbele winst dus.”
Ik merk dat we al moeten afsluiten. Komt er nog een vervolg op ASGARD?
**MEYER:** “Voorlopig focussen we ons volledig op UNDERTAKER, maar zeg nooit nooit.”
Nog één uitsmijter. Meneer Dorison, u volgt Yves Sente op als scenarist van THORGAL. Wat gaat u doen met de pleide aan nevenfiguren die er momenteel rondlopen in de reeks?
**DORISON:** “Ik wil nog niet veel kwijt over het THORGAL-universum. Ik kan u alleen zeggen dat ik me focus op de hoofdreeks en de spin-off rond Kriss van Valnor (net de dag ervoor maakte Giulio De Vita bekend dat hij stopt als tekenaar van de spin-off, wp). Het slotdeel van THORGAL waar Gregorz Rosinski al mee bezig is, brengt al deze personages inderdaad samen. Mijn werk bestond er nu in om de huidige Oosterse cyclus met al zijn intriges netjes af te ronden. Pas daarna kan ik een nieuwe verhaallijn opstarten.”
Dank u wel voor dit interview!
WOUTER PORTEMAN — JANUARI 2015
The horses are adorned with black plumes and harnesses, symbolizing mourning and respect for the deceased. The carriage is pulled by two strong, dark brown horses, their manes flowing in the wind. The driver, dressed in a traditional black top hat and coat, sits at the reins, guiding the horses with a steady hand.
In the background, a large cross stands tall, its silver crucifix gleaming under the sunlight. The cross serves as a poignant reminder of the solemn occasion. The setting appears to be an urban environment, with buildings lining the street and a few other people visible in the distance.
The overall atmosphere is one of quiet reverence and respect, as the community comes together to honor the memory of the departed. The image captures a moment of shared grief and remembrance, with the horses, carriage, and cross all playing significant roles in this solemn procession.
The team behind the scenes, enjoying a horse-drawn carriage ride through the city.
8
The horse-drawn carriage is a symbol of tradition and elegance, often associated with luxury and sophistication. It has been a popular mode of transportation for centuries, particularly in Europe, where it was once used by royalty and nobility. Today, horse-drawn carriages are still used in various parts of the world for both practical and ceremonial purposes.
In recent years, there has been a resurgence of interest in horse-drawn carriages, with many cities and towns offering guided tours or rides for tourists. These carriages are typically pulled by one or more horses, and are often decorated with ribbons and other festive decorations. The drivers, known as coachmen, are skilled in handling the horses and ensuring the safety of their passengers.
One of the most famous horse-drawn carriage companies is the London Carriage Company, which offers tours of the city's historic landmarks and attractions. The company's fleet of carriages is made up of vintage models, including a 1907 Rolls-Royce Silver Ghost and a 1925 Rolls-Royce Phantom I. The drivers are all highly trained professionals, and the company takes great pride in providing a safe and enjoyable experience for its passengers.
Another popular destination for horse-drawn carriage rides is the town of Napa Valley in California. Here, visitors can take a leisurely ride through the vineyards and wineries, enjoying the beautiful scenery and the delicious wines on offer. The carriages are typically pulled by two or three horses, and are often decorated with flowers and ribbons to add to the festive atmosphere.
Overall, horse-drawn carriages remain a beloved part of many cultures around the world, offering a unique and memorable way to explore the sights and sounds of a city or town. Whether you're looking for a romantic ride through the countryside or a guided tour of a historic landmark, a horse-drawn carriage is sure to provide an unforgettable experience.
The coachman and his passengers.
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Covid recovery rate in dist improves to 93.8 per cent
2402 test +ve in state, 281 in city
PNS ■ LUCKNOW
The COVID-19 death toll in Uttar Pradesh rose to 6,790 on Thursday with 35 new fatalities while 2,402 fresh cases pushed up the infection tally to 4,63,858.
As per reports, there are 29,131 active cases in the state while 4,59,937 COVID-19 patients have recovered and are in hospitals in home isolation, according to the health bulletin issued here on Thursday.
Meanwhile, 281 persons tested positive for coronavirus in Lucknow on Thursday while 13 patients recovered. The new patients included 27 from Gorakhpur, 22 from Mirzapur, 11 from Bareli road, 18 from Chhunab, 17 from Chowk, 16 each from Banda, Barabanki, Almora, Alambagh, 12 from Talkatora, 11 from Madaan, and 10 each from Gomti Nagar and Vikram Nagar. There were eight deaths in Lucknow and four in the deceased belonged to Lucknow.
During the past 24 hours, 35 more people died of COVID-19, taking the death toll in the state to 6,790 while the total number of confirmed cases rose to 4,63,858, it said.
At present, the recovery rate is 93.5 percent, Additional Chief Secretary (Medical and Health) Amit Prasad told reporters.
On Thursday, 7,706 samples were tested for Covid-19, taking the total number of tests to 4,03,679 in the state.
Sanjeev Yadav said it was a part of the study which was conducted by the CDRI in Delhi. He said final results were still awaited and it was yet to be published.
The serological testing was conducted from at CDRI from September 10 to 11. Yadav said it was not a good indicator because community levels in the community were concerned, and it should be at least 10-15 per cent.
Varma said that treatment was in no way the reason for deaths. However, doctors were not able to save those who suffer from multi-organ failure and it becomes very difficult for them to lead Complications that set in lead to health issues with 5-10 days of onset of symptoms,” he pointed out.
He said that they were planning to have more Level 2 & Level-3 beds in hospitals. “Level 1 beds are now of lesser use because most of the patients are in home isolation and even if they will remain there in case of no complications,” he said.
However, the sero-survey which was carried out by the Central Drug Research Institute (CDRI) on its own staff and students have shown that the positivity rate was only 5 per cent of the 150 who had volunteered for the test. CDRI spokesperson
Woman attempts suicide over police ‘high-handedness’
PNS ■ LUCKNOW
A woman attempted to end her life by popping sleeping pills outside their house in Lucknow due to the high-handedness of Naka police and their bullying tactics. She said that the police were trying to frame her brothers in a fake case. She further alleged that she was given an audience by officials at the office of the Commissioner of Police.
However, the police spokesman said that the woman was trying to save her brothers who had a criminal history and said were the relatives of the accused — brother trio Salim, Rustam and Sohrab.
Shamim Babu Khan, of Vikram Nagar, said that he had approached the police station at 12:45 pm on Thursday breaking the security camera. She said that she had popped sleeping pills and started crying. Police personnel on arrival immediately rushed her to a hospital.
The woman told media persons that she had been made life difficult for her and entire family. She said the policemen would take money from her brothers, threatening to frame them in a fake case. She further claimed that her brothers were innocent and they work hard all day long. She tried petition her case to the CP but to no avail.
In contrary to her claims, police said several cases had been lodged against her brothers, including that of Bhikar and Chhotu. The police also said one of them had been arrested. “The police staged a drama by popping sleeping pills to exert pressure on us,” she said.
When asked why they did not arrest her brother, the search for whom is on, the police said. The police denied charges of high-handedness and said they were complying with the orders of senior officials.
“A drive is being carried out against the wanted criminals and their families are crying foul every now and then,” the police said.
The incident has come close on the heels of three self-immolations of women inside Vidhan Bhawan.
Earlier, a woman identified as Anjali Tiwari of Maujganj, had attempted self-immolation and suffered over 90 per cent burns on October 13.
Thieves strike at 5 houses in 24 hrs
PNS ■ LUCKNOW
Thieves broke into five houses in a village in Madanpur during the last 24 hours and decamped with cash and ornaments. Thieves who entered the house of Neeraj Yadav of Jawar village on the intervening night of Tuesday and Wednesday stole Rs 1 lakh along with Rs 30,000 in cash and ornaments worth lakhs of rupees. Neeraj Yadav said that he stored juice, milk and fruits kept in the fridge.
They also sneaked into the house of Shankar Yadav and decamped Rs 1 lakh and ornaments worth several lakhs. Houses of Rajaram and Chamunda Yadav were also robbed and the thieves made off with Rs 14,000 and Rs 5,000 respectively, apart from other ornaments. The thieves then tried to burgle the house of Vinay Singh, but his wife woke up and they had to flee the scene. Earlier, the thieves had stolen two houses in the Kothari village which is about 1 km away from Jawar village and had decamped with cash and ornaments.
ATTACKED
The police, including two women, allegedly stormed into the house of Chhota resident Nanda Maurya around 11:30 pm on Tuesday and thrashed her, ransacked her house and took away Rs 1 lakh and ornaments. According to the complainant, Arpit Yadav, he said that his mother, Kausalya Devi, her daughter-in-law, Neeraj Yadav and his other under-aged sons barged her house on Wednesday night. “They ransacked my house, broke my mobile phone and left while issuing threats,” the alleged Police said the complainant did not explain the reason for the attack, but the case registered nonetheless. The police said both the parties had a long-standing dispute.
Meanwhile, residents of Thakurganj flew in rage after a woman, reportedly known as a ‘tanka’, who was accused of indulging in indecent activities, was arrested. However, he was arrested later. Reports said a video showing the accused woman having sex with a man went viral on Wednesday after which she was booked by the police. However, the police did not find anything objectionable in the video. The woman alleged that the locals alleged that the accused indulged in indecent practices but the police were saving him.
Varsity classes to begin next week
Lucknow (PNS): Classes for first semester exams and courses will begin next week on flip classroom model, which is a combination of online and offline modes, as per the creation of head of departments and tables will be uploaded on SLATE by the beginning of next week.
The decision was taken at a meeting of all HoDs and deans of Lucknow University at the department of economics under the chairmanship of Vice-Chancellor AK Rai. Dean (Academics) Arvind Mohan and examination controller AM Saxena were also present in the meeting.
The meeting took up discussions regarding mid-semester & end-semester examinations and UG & PG classes. It was decided that internal exams in PC programmes would be of 80 marks and 15 marks would be allotted to test and 15 marks to subjective. Respective HoDs were given the liberty to decide the pattern of internal exams and submit the same and submit the marks by November 30. The marks for academic participation will have to be submitted by December 31.
It was also decided that the internal exam of UG programmes will be of 80 marks, 10 marks for presentation and 10 marks for academic participation.
SGPGI researchers discover novel way to lower cholesterol
PNS ■ LUCKNOW
Researchers at Sanjay Gandhi Post-Graduate Institute of Medical Sciences have discovered a new way to lower cholesterol. In a major discovery published by Dr Shishir Sinha and his team in the department of endocrinology in collaboration with Singapore and India, a gene known as ULK1, was shown to lower liver cholesterol production.
Dr Sinha and his assistant Samriddhi Raut showed that drug-based inhibition of ULK1 significantly reduces the expression of cholesterol producing enzymes, leading to a reduction in hepatic levels in human hepatic cells and mouse models. The role of the ULK1 gene as regulators of human cholesterol synthesis was made possible by using the latest next-generation sequencing technology which discovered that the gene encoding ULK1 protein has deficient cholesterol binding.
Additionally, Dr Sinha’s lab used molecular and cellular biology techniques to uncover the mechanism by which ULK1 regulates cholesterol synthesis.
In line with this remarkable discovery, further pre-clinical and human trials using ULK1 inhibitors could be the next treatment regimen for diseases such as hypercholesterolemia and cardiovascular complications. Cholesterol is well known to cause a major role in human health.
“Hypercholesterolemia or increased cholesterol levels is a major risk factor for development of several diseases such as heart disease, hypertension, stroke and even more recent Covid-19 pathogenesis. Cholesterol causes major killers in the most developed countries including India, where they result in around 30% of all adult deaths,” a senior doctor said.
The federal might
Punjab and Maharashtra have taken the Centre head on by contesting farm Acts and CBI’s rights. Will this be the new trend?
Two States are taking up the fight for federal rights against the unilateralism of the Centre — Punjab and Maharashtra, showing an emerging trend of a new Opposition strategy, that of politically countering the power of the Union States controlled by the BJP, to compel a discussion on constitutional politics. So Punjab has challenged the three farm Acts and brought its own amendment Bills while Maharashtra has withdrawn its consent to the Central Bureau of Investigation (CBI) to conduct probes in the State. Constitutionally speaking, the Punjab Government would have to wait for the Bills to be passed by the Lok Sabha and the President, who, acting as he does on the advice of the Union Government, is unlikely to give his assent. Then the State Government could take legal recourse in the Supreme Court. Similarly, while a State’s consent is needed in pursuing CBI investigations, it cannot deter those that are ordered by the Supreme Court. So other than political point-scoring, in real terms, the law would point resound. But it would be worth a fight. The Punjab Government is basing its legal argument on the fact that agriculture is one of the States’ subjects and the Centre has no authority over it. The fact remains that the three Acts deal with the transport and commerce of farmers’ produce. Its jurisdiction is valid under the Concurrent List. The Punjab Government’s amended Bills seek to address the fears of State farmers about being forced to sell their produce at less than the Minimum Support Price (MSP) in an open market. They seek to ensure that growers are not browbeaten by the heft of food corporations and that the older system continues to be maintained by a regulated market. The first amendment says that sale of wheat and soya (which is the State’s major crop) will only be valid only if the seller pays a price equal to or greater than the MSP announced by the Central Government and that any violation would be punishable. The second Bill reintroduces the market fees or licences for private players outside the Agricultural Produce Market Committee (APMC) mandis, which the Central Law has abolished. This, it says, will be used to create a distress fund for small and marginal farmers. The third Bill attacks the central Act on the ground that it is skewed towards commercialisation and reasserts that right back to Punjab, arguing that production, supply, and distribution of goods is a State subject. The State Government is also planning to use the amorphous definition of a “trade area”, where farmers, traders and e-transaction platforms are given the freedom to deal in farmers’ produce without any restrictions, to cover the whole State.
It is a given that the Centre rushes through the farm Acts, packaging them with good intentions but leaving over to the States the details of going over the mountain of implementation. And the farmers, who have far opened up to the cost of regulating capitalism and built trust within it, would indeed be vulnerable in the absence of guaranteed protections or an elaborate explainer, a fact that would but naturally be used by food majors to their advantage. The Agriculture Minister’s refusal to meet stakeholders or even assure them in person, considering that the BLP’s own farmers’ organisations have raised objections, has only made the Government look more bureaucratic and hurried. Why, instead of being vague about the continuity of MSP, did not say that “notwithstanding the Act’s provisions, the trade area should take place between the notified MSP”? This would have allayed the anxieties of farmers. Now, the patchy resistance across States would mean that there would not be a holistic understanding of reforms or their implementation. Had the Government followed the consultative and inclusive model that it used to get the Goods and Services Tax (GST) rolling and offered the Bills to parliamentary committees, things would have moved faster. The Centre would have said that the GST was implemented up for 16 years out of the 20 GDP and farmers make up a majority of every party’s vote bank and should deserve a listen. They are having it roughly anyway, battling high input costs, low productivity and falling pick-ups. A policy pushed without taking them into confidence will always run the risk of being hijacked by populism and politics.
With the Centre’s persistent needling, the Maharashtra Government is following other Opposition States in refusing permission to the CBI probe. Buvan Andhra Prasad, a Congress and Rajya Sabha member, had written a scathing letter calling such moves interventional and politically motivated. The Modi regime did follow some form of cooperative federalism, GST being a prime example, in its first run post-2014. But after the mammoth victory of 2019, it has begun appropriating federal space, be it under the guise of monitoring Centrally-sponsored schemes, using the rise of national security and interest and manipulating consensus by co-opting self-serving regional players, like the Bihar Janata Dal, to push through major policies designed to benefit the Centre. In the wake of COVID, the cooperative federalism has been replaced by consultative federalism again as health is a State subject. And now that most States have evolved after managing a public health crisis, they are becoming more confident about asserting themselves and carving out their own policy positions vis-à-vis the Centre. The spike of resolutions in Assemblies against the Citizenship (Amendment) Act was just the beginning. And if more States are to override Central laws with their own legislative framework, then the Opposition is hell-bent on proving why India is a Union of States.
Legalise marijuana
India can accelerate technology and innovate around a plant that is part of its botanical heritage
There are several logical arguments to be made about why marijuana and products derived from the plant, colloquially known as ganja, should be legalised in India. For one, the draconian Narcotic Drugs and Psychotropic Substances (NDPS) Act was only brought in 1985 by the Rajiv Gandhi government. In her First Lady of the United States, Nancy Reagan, was leading a “war on drugs” and India was trying to sidle up to the US. The inclusion of marijuana products was a surprise, given the plant’s long history of usage in India from ancient times but the NDPS was early enforced against the Indian people. Today, ganja and johar or easily ganja and resin-based products are available across the country. That all started with the Sushant Singh Rajput case when the Narcotics Control Board went after his girlfriend Rhea Chakraborty with what would be considered a comical use of the NDPS Act. However, as all this was going on, there appeared to be a growing clamour to change the NDPS by a whole host of organisations and think-tanks in India. Some, like the Vidi Centre for Legal Policy, issued a white paper on the subject. The points being raised usually centre under two headings: the criminalisation of users, along with stigma in itself, would be better directed in tackling hard-drug crimes rather than going after small-time peddlers and private marijuana smokers. However, it might be more radical to consider legalisation of marijuana for another reason, that of riding the major agricultural technology and product development wave. As more and more countries in the Western world legalise marijuana, including many large US states, there is not only demand for the active ingredients of the plant but also major opportunities in the product there. In the US, a big company like the Coca-Cola billionaire, James Gullion, is making products. Cultivation of the plant has led to major innovations in “Ag-tech” that are now being used for other commercial crops. The rapid development of hydroponics was mainly thanks to marijuana.
There are many reasons why India should legalise marijuana, not just because it will prevent the incarceration of innocent people but because we can accelerate technology and innovate around a plant that is part of our botanical heritage. Why should foreign companies be allowed to create “Big Weed” when India should have the first rights?
Politics of prohibition
In its enthusiasm to ban liquor, Nitish Kumar’s Government may have actually driven a fair few towards alcoholism. There are better ways to tackle addiction
AJOY KUMAR
In the US, the Volstead Act was passed in 1919 to ban alcohol. This prohibition stretched for nearly 14 years and led to the creation of illegal economy, which led to the emergence of the mafia and prostitution. It also protected the rich and powerful but came down heavily on the poor. It was not until time in the US noted that in a parallel economy, the police and the government, and has led to a diversion of resources that could have been used elsewhere.
Let us start with the appearance of the Volstead Act in the US. When initially, decided one fine day that Bihar would be a prohibition state, the Government would have done some research on the impact of such a ban prior to implementing it. It would have at least examined the adverse nature of the policy on the poor and the middle class. If it had made a mistake. However, the Government did not have the foresight to make deliberated decisions and the humility to admit when it had made a mistake.
Why do we say that Nitish’s prohibition is a banister of the poor? The answer is simple. It comes with the suddenness of the move. Reminiscent of the catastrophic decision of demonetisation taken by Prime Minister Narendra Modi, the ban was immediate. One would have thought that the Government had already checked whether products would have a substitute on the ground level. No due deliberation was, however, done. As a result, what the policy has led to, is a rise in what Gary Becker, Nobel prize-winning economist, calls “rational crimes.” These are crimes committed by rational people since they weigh the potential penalty for being caught against the chance of actually being caught. In Bihar, the gravity is severe, the consequences of being caught are maximally lethal. Me let me repeat, in Bihar, your chances of getting caught are nil if you can oil the palms of the police and the relevant autorities or if you are a VIP. But if you are a common citizen, your chances of getting caught are nil and you who made money off them suffered few ill consequences.
The same is true in the case of liquor. In reality, there is no real prohibition in Bihar. You can still buy as much as you want, but in practice, it is available when one wants to get it. As a travel writer, I have seen liquor stalls in every corner of a large national daily — “What prohibition? Dara bhar!” is available everywhere, even in local police stations. What Nitish’s prohibition has introduced is subversion between officials who supply liquor to their friends and the police who cannot take another distributor to court for supplying liquor, the only way to catch them is to catch them through violence. In the end, this violence was large and perpetrated by the officers, who profited heavily due to the ban. In Bihar, it is often the police and Government officials who help establish monopolies and earn a profit heavily from the sale. The police and the officer are not the suppliers of liquor but the consumers. According to the latest records of the police headquarters in Patna, a total of 2,12,323 arrests were made with respect to possession of liquor between April 2016 and January this year. Out of these arrests, only 19,500 were suppliers, the rest were poor alcoholics.
According to the latest records of the police headquarters in Patna, a total of 2,12,323 arrests were made with respect to possession of liquor between April 2016 and January this year. Out of these arrests, only 19,500 were suppliers, the rest were poor alcoholics.
When it comes to cricket and wine, a really big Kolkata fan never gives up and always gives his 110 per cent. I find him very inspiring.
Wrestler — Ritu Phogat
Unless the Government puts money in the hands of the bottom 70 per cent of the families and puts food on the plates of the poor, the economy will not recover.
Former Finance Minister — Chidambaram
Centre might drop plasma therapy
The Indian Council for Medical Research’s (ICMR) trial findings indicate that convalescent plasma therapy does not in any way benefit Corona patients. A trial involving 1,000 patients, conducted at 46 ICUs patients in 39 hospitals of 25 districts of 10 States, was conducted between July 22 to July 14. The off-table plasma therapy has been tried in the “experimental” hope that the antibodies derived from recovered patients from those of those who recovered from the virus, would neutralise triggering viruses and the growth of infection. But the trial found no evidence of benefit. According to this and it showed that plasma therapy neither reduces the symptoms nor improves the condition of the patient. What will happen to the silver bullet of Coronavirus treatment and a life-saver has turned out to be a disappointment.
It is clear from ICMR chief Dr Balram Bhargava’s statement that the removal of plasma therapy from the National Clinical Management Protocol is in the offing. This is not a decision of treatment, even in the absence of evidence, within a runaway pandemic. On the rampage is understandable, but the trial findings do not diminish the value of altruism shown by donors to do everything they could to aid the recovery of other Corona patients.
David Milton
firstname.lastname@example.org
The right call
Sir — India has invited Australia to the annual Malabar naval exercises, which include the cities for its Smart City Mission, launched in June 2015, but to take it further, it needs Australia for its defence and technology. The latter, on the other hand, seeks qualified engineers and doctors. Both countries augment their technological needs and nourish in healthcare system. Hence, India’s defence needs include Australia in the naval exercises much like the US has a Falcon point in the bilateral relations between the two countries.
Devendra Khurana
Bhopal
Caution and hope
Sir — The Calcutta High Court (HC) had earlier declared Durga puja pandals as non-entry zones. However, in its latest order, the HC has now said that entry of up to 45 people will be allowed. This is a step in the right direction, as it will regulate the number of people entering the pandals. However, we must also realise that we are still living in a pandemic-hit world and health needs to come first.
Bhagwan Thadani
Mumbai
Letters to the Editor
Action against hunger
Sir — India now ranks 34th among 107 countries in terms of hunger and malnutrition. This is in the “severe” category, according to the Global Hunger Index 2020. Additionally, 14 per cent of the country’s population suffers from stunting. On the other hand, the collective worth of half of India’s 10 richest billionaires is less than the 2020 Forbes India Rich List, saw a rise of 14 per cent. The wealth of the richest 1 per cent has actively trading on the Bombay Stock Exchange, which is used to finance the hunger. The development of particular industries, tips and down of the Indian economy. In 2019, it 38,673 points on March 31, 2020, a fall of 17.3 per cent from its closing value of 32,969 as on March 31, 2019. The stock market has fallen and more and more, along with the data released by the National Statistical Office, which shows that the economic growth rate has slowed down to 4.2 per cent in 2019-20. Our economy is in a critical situation. The Corona-inflicted downturn in economic and business activities was partly due to the cut in the corporate tax rate last year from 35 per cent to 25 per cent. The trickle-down effect has turned into a leakage as income generated by “those with the resources and skills to increase their income” has never risen to the level which could have eradicated poverty. The economic development of the poor. India needs to re-evaluate its economic reform strategy and consider course correction to feed the hungry and create opportunities for genuine employment.
Haridasan Rajan
Kurukshetra
The right call
Sir — India has invited Australia to the annual Malabar naval exercises, which include the
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LET FESTIVALS ADD SPICE TO YOUR LIFE
Nutrition expert KAVITA DEVGAN shares some easy tips and tricks which will help you avoid weight gain while you enjoy those calorie-rich feasts.
Food has always been an integral part of each and every celebration in India. And as the festive season kicks off, one problem that concerns most is the added pounds and extra weight gain over time. The festive delicacies, especially sweets, are so tempting that resisting these seems almost impossible. But it’s not harmful with our traditions. And that might be the reason why we have a tradition to add on extra a few kilos between Dusshera and New Year every year! However, don’t let this guilt stop you from enjoying. Instead, strive to find the right balance, where you manage to enjoy while keeping the guilty mind at bay. Here are some tips and tricks for taming the festive food devil.
EAT SMART
Sweets are the most difficult to resist. After all, it’s easy to pop a few in the mouth every time you see the mithai ka dafna. The idea is, should be to eat the sweets but not gorge. Far maijdi (sugar) is already Panchamrut, so control is the only key as saying no doesn’t work. It’s a good idea to make your own mithai at home such as fennel halwa. This traditional sweet holds multiple health benefits as it is high in fibre, which is essential for gut production and rapid growth of red and white blood cells in our body. It is a good old desi sweet that helps keep handy to satiate your cravings in between meals. Use a source good quality packaged jaggery made from 100 per cent pure chura dal and you are good to go. You can just add a pinch of salt to make jaggery haldiri ghee flaxseeds balls and pop one whenever you are craving for something sweet.
EXPERIMENT A LITTLE
Festive season is a great time to explore a bit by trying some interesting delicacies from regions other than those to which we are accustomed. These are local dishes that best suit and nourish our bodies. This somehow aligns with the spirit and also brings variety to the table. It may take a little trek of consuming. Instead of eating the regular rice and dal, try making a different variety. This rice and moong dal delivers a balanced mix of carbohydrates and proteins and the addition of cashew nuts gives it a nice crunch. Try it, it’s easy to make. Dry roast 50 gm of rice and 30 gm of moong dal (green gram) for 40-45 seconds over a medium flame until done. In the meantime, make a tadka (tempering) of cumin seeds, black pepper, coriander, curry leaves, ginger and garlic, with a few cashew nuts in a teaspoon of ghee. Add the roasted rice and dal to the tempering. This rice and moong dal delivers a balanced mix of carbohydrates and proteins and the addition of cashew nuts gives it a nice crunch. Try it, it’s easy to make. Dry roast 50 gm of rice and 30 gm of moong dal (green gram) for 40-45 seconds over a medium flame until done. In the meantime, make a tadka (tempering) of cumin seeds, black pepper, coriander, curry leaves, ginger and garlic, with a few cashew nuts in a teaspoon of ghee. Add the roasted rice and dal to the tempering.
AVOID GORGING FOOD
Sometimes the craving for food has increased considerably during this season. One, because there is more to eat and the other because the changing season whets the appetite a little. One big mistake people make is to think that you can leave the balance till later after the festivities are over. So learn how to eat smart. If heavy dinner is planned then through the day eat healthy snacks like fruits, nuts and seeds. Make it healthy with 50:50 ratio of veggies and protein or ready to cook chicken. Add lots of spices, garlic and ginger. Pair it with a glass of buttermilk. And if the lunch was heavy, and you’re indulgent, then opt for a balanced, easy-to-digest food like multi-grain khichdi from a trusted brand. Khichdi is a wholesome food for all time as it is rich in dietary fibre and very convenient to cook. You can maintain a conscious equilibrium on a daily basis and avoid the urge to binge on junk food.
Also, if you’re going to a big party in the evening, it’s a bad idea to deprive yourself of dal. Instead, have a low fat, nutritious snack before you head out, say a bowl of yoghurt with some nuts or even better, a spritz of chutney with unpolished dal. This will prevent you from overeating food and eating too much at the party.
Enjoy your meals drinking haldi milk with a pinch of pepper and turmeric. The curcumin in haldi will hold your immune up and help to get rid of the body’s inflammation after all what wants to fall sick during the festive season. Just make sure you source turmeric that has 3 per cent curcumin content. This will keep its natural oils intact to score sampoorn sehat all through the festive season.
(Prof. Devgan is the nutrition expert at Tata Sampann)
RECIPES
PLUM AND CINNAMON TART
WHAT YOU NEED
For pastry:
- Plain flour: 225 gm
- Butter: 125 gm
- Icing sugar: 2 tbsp
- Semi skimmed: 8 tsp
For pastry filling:
- Purple skinned, dessert plums: 400 gm
- Butter: 75 gm
- Castor sugar: 75 gm
- Semolina: 50 gm
- Plain flour: 125 gm
- Ground cinnamon: 1½ tsp
- Egg: 2
- Soured cream: 2 tbsp
- Plum or damson conserve or jam: 5 tbsp
METHOD
For pastry:
- Pre-heat the oven to 190°C/375°F. Put the flour and diced butter into a mixing bowl. Rub the butter lightly into the flour until the consistency resembles fine breadcrumbs.
- Stir in the icing sugar and mix to a firm dough with the milk. Knead on a floured surface for 10 seconds until the texture is smooth. Cover in cling wrap and let it rest for 15 minutes.
- On a floured surface, roll the pastry into a circle large enough to line the base and the sides of the dish. Using the rolling pin as a support, lower the pastry into the dish, pressing it gently over the base and into the flutes. Trim away excess pastry from the top edge and prick all over the base with a fork.
- Return to the refrigerator for 30 minutes or one hour. This will prevent shrinkage of the pastry when it goes into a hot oven.
- Line the pastry with a piece of aluminium foil or greaseproof paper and fill with baking beans or dried beans.
- Bake for 12 minutes at the higher temperature. Remove the foil or paper and beans and bake for two minutes more. Cool the pastry case for 15 minutes.
For pastry filling:
- Prepare the plums. Cut into halves and remove the stones. Cut each half in half again. Drain, skin side up, on kitchen paper whilst making the filling.
- Put all the ingredients for the filling, except the conserve, into a bowl. Beat until smooth (or use a food processor and process for 30 seconds).
- Spread the conserve evenly over the base of the pastry case. Top with the filling, spreading it right to the edges so that the conserve is sealed beneath it.
- Press the plum quarters, skin side up, gently into the filling, making a close circular pattern.
- Bake for 15 minutes at the higher oven temperature, then reduce the heat to the lower setting and continue baking for 15 more minutes.
- The filling should be just firm at the centre and the plums tender. The top can be dusted with a little caster or icing sugar before serving warm with vanilla ice cream or whipped double cream.
Courtesy: Le Cheeset
NAV RATA SPECIAL ALOO TIKKI
WHAT YOU NEED
For tikki:
- Boiled mashed potato: 200 gm
- Chopped green chilli: 1/2 tsp
- Chopped ginger: ½ tsp
- Kutta ka atta (for binding): 3 tbsp
- Chopped coriander: ½ tsp
- Sindha namak to taste
- Oil
For saunth:
- Amchoor powder: 50 gm
- Jaggery: 80 gm
- Fennel: ½ tsp
- Roasted cummin: 200 gm
- Black peppercorn crushed: ½ tsp
- A pinch of sindha namak
- Mint: 50 gm
- Coriander: 20 gm
- Green chilli: 1-2
- Lemon juice: ½ tsp
- Sindha namak to taste
For garnishing and plating:
- Beetroot julienne: 10 gm
- Pomegranate seeds: 20 gm
- Beaten yogurt: 100 ml
- Chopped coriander: ½ tsp
METHOD
● In a bowl, take mashed potatoes. Add chopped ginger, chillies, seasoning, kutta ka atta and mix them well to make a mixture.
● Divide the mixture into equal portions and mould.
● Made the medallion shape (tikki shape) out of the roundness.
● Deep fry them in kadhai till they turn golden brown.
● Spread some beaten yogurt on the plate and place the tikki on it.
● Top with saunth, mint chutney and beaten yogurt.
● Garnish with chop coriander, beetroot julienne and pomegranate seeds.
● Sindha namak to taste
Courtesy: Jr sous chef Rupal Pupeja at Samrat Hotel.
PANEER MAKHANI
WHAT YOU NEED
- Paneer: 250 gm
- Tomatoes: 4-5
- Cashews: 3-4 tbsp
- Fresh cream: 4 tbsp
- Unsalted white butter: 2 tbsp
- Oil: 2 tsp
- Cumin seeds: 1 tsp
- Cinnamon: 1 stick
- Cloves: 4
- Green cardamom: 2
- Black peppercorns: 5-6
- Turmeric powder: ½ tsp
- Kashmiri red chilli powder: 1 tsp
- Chopped green coriander and ginger: 2 tbsp
- Sugar: 2 tsp
- Sindha namak to taste
METHOD
● Boil water in a saucepan. Add cut tomatoes, ginger and cashew nuts for 10 minutes.
● Make paste of tomatoes using a blender.
● Heat oil, add the cumin seeds, cinnamon, cloves, green cardamom and black peppercorns.
● Make paste of the above spices. Add turmeric powder, kashmiri red chilli powder, sugar, salt and cook the sauce on medium-high flame for 10 to 12 minutes.
● Cut the paneer into cubes and add to the sauce.
● Garnish with fresh cream and chopped coriander leaves.
Courtesy: Executive chef Anind Rai at The Ashok Hotel.
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IMMUNOMODULATORY EFFECTS OF DIESEL EXHAUST PARTICLES
by
Ashley Kay Masterson
A thesis
submitted in partial fulfillment
of the requirements for the degree of
Master of Science in Biology
Boise State University
December 2009
© 2009
Ashley Kay Masterson
All Rights Reserved
DEFENSE COMMITTEE AND FINAL READING APPROVALS
of the thesis submitted by
Ashley Kay Masterson
Thesis Title: Immunomodulatory Effects of Diesel Exhaust Particles
Date of Final Oral Examination: 09 September 2009
The following individuals read and discussed the thesis submitted by student Ashley Kay Masterson, and they evaluated her presentation and response to questions during the final oral examination. They found that the student passed the final oral examination.
Denise Wingett, Ph.D. Chair, Supervisory Committee
Juliette Tinker, Ph.D. Member, Supervisory Committee
Kenneth Cornell, Ph.D. Member, Supervisory Committee
The final reading approval of the thesis was granted by Denise Wingett, Ph.D., Chair of the Supervisory Committee. The thesis was approved for the Graduate College by John R. Pelton, Ph.D., Dean of the Graduate College.
DEDICATION
To my family and friends, without whom I would be lost; thank you. Without your continual support and unfailing optimism, I could not have accomplished this incredible task. A special thank you to my fiancé, Dan, whose positive influence has kept me focused. Finally, to my advisor and mentor, Dr. Denise Wingett, who has continually guided and encouraged me throughout this process. Thank you!
AUTOBIOGRAPHY
A Treasure Valley native, I was born April 26, 1982 to David and Jolene Masterson in Boise, Idaho and raised in the nearby town of Ontario, Oregon. My childhood consisted of horses, 4-H, hunting, fishing, school, or anything outdoor related with my parents, Grandma and Grandpa Williams, and my sister Cassie, until graduating as Valedictorian from Ontario High School in 2000. Following high school, I pursued higher education at Eastern Oregon University in La Grande, Oregon, where I graduated in 2000 with a B.S. in Biology with a minor in Chemistry. After completion of my undergraduate degree, I worked as a food microbiologist and a research and development associate for Dickinson Frozen Foods, Inc. and Heinz Frozen Foods Inc, Ore-Ida Division, respectively. During this time, I became actively involved in the Oregon 4-H Horse Program as a leader and continue to work with this program today. Following my employment in the food industry, I began my Master’s thesis in August 2006 at Boise State University. During my graduate tenure, I met my fiancé, Daniel Armichardy. Following the completion of my degree, I will be accepting a position as a Research Associate in the Wingett Immunology Lab in addition to teaching general biology lab courses as an adjunct instructor.
EDUCATION
Boise State University, Boise, Idaho, M.S. Biology – December 2009
Eastern Oregon University, La Grande, Oregon, B.S. Biology – June 2004
POSTERS AND PRESENTATIONS
March, 2009: “Air Quality & You: The Role of Diesel Exhaust Particles in Immune System Activation.” National Science Foundation (NSF), GK-12 Annual National Meeting, Washington, D.C.
May, 2008: “Functional and Phenotypic Differences of Natural Killer Cells in Asthma.” American Association for the Advancement of Science (AAAS) Regional Conference, Nampa, Idaho.
June, 2007: “Molecular mechanisms controlling CD40L gene expression: Implications in asthma.” American Association for the Advancement of Science (AAAS), Pacific Division, 88th Annual Meeting, Boise, Idaho.
GRANTS
Title: Identification of Transcription Factors in the CD40L Promoter: Implications in Asthma
Agency: Graduate Research Grants in Biology, Biomedical Science, and Raptor Biology
Funding period: 01/01/2008 – 12/31/2008
TEACHING ASSISTANTSHIPS AND FELLOWSHIPS
2008 – 2009 National Science Foundation Graduate Students in K-12 Education Fellowship, Boise State University
2006 – 2008 Boise State University, Department of Biological Sciences Teaching Assistantship
Diesel exhaust particles (DEP) represent a key component of particulate matter pollution and a serious cardiopulmonary health risk, as these particles have been associated with increased morbidity and mortality following exposure. In this study, we investigated the immunomodulatory properties of DEP on helper T cells by measuring changes in activation, cytokine production, and viability. The expression of CD40L, a key regulatory protein, was increased by DEP in the absence of physiologic stimuli without parallel increases in the expression of CD25 and CD69 activation markers. Additional studies utilizing a variety of T cell stimuli, including T cell receptor signaling and CD28 costimulation, showed consistent and reproducible increases in the expression of CD40L with negligible effects on other activation markers. Further studies demonstrated that the ability of DEP to augment CD40L production was restricted to the induction of the membrane-bound form of this protein, as soluble CD40L (sCD40L) was generally decreased. However, an increase in both membrane and sCD40L was observed in the context of cAMP signaling, which may have implications for at-risk populations utilizing the therapeutic effects of this important second messenger, including beta ($\beta$)-adrenergic agonists bronchodilators for the treatment of respiratory disease. Additional studies were performed to evaluate changes in the production of IL-8 and IL-17.
cytokines. DEP produced no appreciable effect on IL-8 generation, but inhibited the production of IL-17. Evaluation of cytotoxicity indicated DEP had no measurable effect on T cell viability in resting cells. Collectively, these findings demonstrate an immunomodulatory capacity of DEP and may, in part, provide a mechanism explaining the contributions of DEP to the observed changes in morbidity and mortality. Given the importance of CD40L signaling in normal immune function, the findings that CD40L expression was increased regardless of the cellular activation status may be very relevant to diseases where the immune system contributes to pathogenic processes.
DEDICATION .................................................................................................................. v
AUTOBIOGRAPHY ........................................................................................................ vi
ABSTRACT ...................................................................................................................... viii
LIST OF TABLES ........................................................................................................... xiii
LIST OF FIGURES ......................................................................................................... xiv
LIST OF ABBREVIATIONS .......................................................................................... xvi
INTRODUCTION ............................................................................................................ 1
Air Pollution .................................................................................................................. 2
Diesel Exhaust ............................................................................................................... 5
The Immune System ..................................................................................................... 7
Helper T ($T_H$) Cells ..................................................................................................... 8
T Cell Receptor and T Cell Activation .......................................................................... 9
$T_H$ Cell Signal Transduction ....................................................................................... 10
Calcium ($\text{Ca}^{2+}$) Signaling .......................................................................................... 10
Protein Kinase C (PKC) Signaling .............................................................................. 11
T Cell Activation: Membrane Bound Markers ............................................................ 11
| Topic | Page |
|----------------------------------------------------------------------|------|
| CD40 Ligand | 12 |
| CD69 | 13 |
| CD25 | 14 |
| T Cell Activation: Soluble Markers | 14 |
| Soluble CD40 Ligand | 15 |
| Interleukin 8 | 16 |
| Interleukin 17 | 17 |
| Asthma | 18 |
| Beta (β)-Adrenergic Receptor Agonists and Adverse Effects in Asthma | 20 |
| Negative Health Effects of Diesel Exhaust Particles | 23 |
| Diesel Exhaust and Asthma | 23 |
| Diesel Exhaust, Immune Cells, and Inflammatory Cytokines | 25 |
| EXPERIMENTAL PROCEDURES | 28 |
| Diesel Particulate Matter | 28 |
| Human Subjects and Isolation of CD4⁺ T Cells | 28 |
| T Cell Activation and Culture Conditions | 29 |
| Antibodies and Flow Cytometry | 29 |
| Cell Viability Assay | 30 |
| Enzyme-Linked Immunosorbent Assay | 30 |
| In Vitro Cleavage of CD40 Ligand by Recombinant ADAM-10 | 32 |
| Data Analysis | 32 |
| RESULTS | 34 |
| Effects of DEP on Resting T Cells | 34 |
DEP Augments Physiological Activation of T Cells .......................................................... 35
DEP Plus PKC Signaling Results in Increased T Cell CD40L ........................................... 36
DEP Differentially Regulates the Expression of Membrane and Soluble CD40L ............... 39
Effects of DEP on ADAM-10 Mediated Proteolytic Cleavage of CD40L ...................... 40
IL-17, Not IL-8, Production Is Decreased Following DEP Exposure ............................. 42
T Cell Viability Is Not Altered Following DEP Exposure .................................................. 43
DEP Augments Cyclic AMP-Induced Membrane and Soluble CD40L Expression .......... 44
DISCUSSION ......................................................................................................................... 46
REFERENCES ..................................................................................................................... 60
APPENDIX A ......................................................................................................................... 76
Tables
APPENDIX B ......................................................................................................................... 78
Figures
LIST OF TABLES
Table 1. ADAM-10 Proposed Proteolytic Cleavage Sites .................................................73
LIST OF FIGURES
Figure 1. Diesel Exhaust Particles Increase CD40L Expression on Unactivated T Helper Cells .................................................................58
Figure 2. Concentration Dependent Increase in Membrane CD40L by DEP ............59
Figure 3. Effects of DEP on CD3 Activated T Cells ..............................................60
Figure 4. Effects of DEP on CD28 Costimulated T Cells .......................................61
Figure 5. DEP Augments PKC-Dependent CD40L Protein Expression ..................62
Figure 6. DEP Augments Calcium-Dependent CD40L Expression ..........................63
Figure 7. DEP Induces CD40L in PMA and Ionomycin Activated Cells...................64
Figure 8. Membrane and Soluble CD40L Expression are Differentially Regulated by DEP .........................................................................................65
Figure 9. T Cell Receptor Induced Soluble CD40L Expression is Inhibited by DEP .............................................................................................................66
Figure 10. Effects of DEP on ADAM-10 Mediated Proteolytic Cleavage of CD40L .............................................................................................................67
Figure 11. Production of IL-17 is Down Regulated Following DEP Exposure ..........68
| Figure | Description | Page |
|--------|-----------------------------------------------------------------------------|------|
| 12 | DEP Fails to Appreciably Affect T Cell Viability | 69 |
| 13 | Beta-Agonist Induced Membrane and Soluble CD40L Expression is Heightened After DEP Exposure | 70 |
| 14 | A Schematic Representation of the ADAM-10 Cleavage Sites Located in the Murine CD33-CD40L Fusion Protein | 71 |
| Abbreviation | Description |
|--------------|-------------|
| Ab | Antibody |
| ADAM | A Disintegrin and Metalloprotease |
| Ag | Antigen |
| AIDS | Acquired Immunodeficiency Disease |
| ANOVA | Analysis of Variance |
| APC | Antigen Presenting Cell |
| β-Adrenergic | Beta-Adrenergic |
| β-Agonist | Beta-Adrenergic Agonist |
| BLAST | Basic Local Alignment Search Tool |
| Ca$^{2+}$ | Calcium Ion |
| cAMP | Cyclic Adenosine Monophosphate, Cyclic AMP |
| CD4$^+$ | T cell expressing Cluster of Determination 4, $T_H$ cell, Helper T cell |
| CD40L | CD40 Ligand, CD154, Trap1, GP39 |
| CD8$^+$ | T cell expressing Cluster of Determination 8, $T_C$ cell, Cytotoxic T cell |
| DAG | Diacylglycerol |
| DEP | Diesel Exhaust Particles |
| Abbreviation | Description |
|--------------|-------------|
| EPA | Environmental Protection Agency |
| FCS | Fetal Calf Serum |
| FITC | Fluorescein Isothiocyanate |
| IL | Interleukin |
| IP₃ | Inositol 1,4,5-Triphosphate |
| kDa | Kilodalton |
| MFI | Mean Fluorescent Intensity |
| µg | Microgram |
| MHC II | Major Histocompatibility Complex |
| µl | Microliter |
| NFAT | Nuclear Factor of Activated T Cells |
| NK | Natural Killer |
| PBMC | Peripheral Blood Mononuclear Cell |
| PBS | Phosphate Buffered Saline |
| PE | Phycoerythrin |
| PIP₂ | Phosphoinositol Biphosphate |
| PKA | Protein Kinase A |
| PKC | Protein Kinase C |
| PM | Particulate Matter |
| PM₁₀ | Particulate Matter ≤ 0.1 µm |
| PM₁₀ | Particulate Matter 2.5 – 10 µm |
| PM₂.₅ | Particulate Matter ≤ 2.5 µm |
| PMA | Phorbol 12-Myristate 13-Acetate |
| Abbreviation | Description |
|--------------|-------------|
| RT | Room Temperature |
| sCD40L | Soluble CD40L |
| SDS-PAGE | Sodium Dodecyl Sulfate - Polyacrylamide Gel Electrophoresis |
| SE | Standard Error |
| SLE | Systemic Lupus Erythematosus |
| T<sub>C</sub> | Cytotoxic T cell |
| TCR | T Cell Receptor |
| T<sub>H</sub> | Helper T cell |
| T<sub>H1</sub> | Helper T cell Type 1 |
| T<sub>H2</sub> | Helper T cell Type 2 |
| TMB | 3,3',5,5'-Tetramethylbenzidine |
| TNF | Tumor Necrosis Factor |
| U.S. | United States |
| WBC | White Blood Cell |
| Zn | Zinc |
INTRODUCTION
As stated by the World Health Organization, unlimited and free access to clean air of acceptable quality is a fundamental human necessity and right (World Health Organization, 2004). In an attempt to achieve this for all Americans, the United States Department of Environmental Quality issued the first National Ambient Air Quality Standards in 1971 to address the major environmental and health challenges of particulate matter (PM) pollution facing our society. Since then, as scientific and epidemiologic data has accumulated, the initial standards set forth have been improved to address the serious effects of respirable particulates on human health with the latest version in final review as of December 2008 (United States Environmental Protection Agency, 2008). PM is a heterogeneous substance, composed of extremely small particles and liquid droplets, known to negatively affect overall health as measured by the observed increases in PM-related morbidity and mortality. The largest contributing source of PM pollution, diesel exhaust particles (DEP), represents a complex, anthropogenic pollutant produced during the process of diesel fuel combustion that has been directly linked to adverse cardiovascular, neurologic, and respiratory effects (Krivoshto, Richards, Albertson, & Derlet, 2008; Pope, III & Dockery, 2006; Ris, 2007). Extensive evidence exists that assigns a causal role for PM and DEP in the development and exacerbation of asthma and
other allergic diseases (Koren, 1995; Holguin, 2008; Pandya, Solomon, Kinner, & Balmes, 2002). Due to the fact that asthma involves an inflammatory immune response, many studies have implicated DEP as an adjuvant for allergic diseases by altering normal immune system activity potentially contributing to the increased prevalence and severity of this disease. Of the multitude of cells comprising the human immune system, helper T cells are central for proper immune function as this cell type communicates with other cells to mount a rapid and efficient immune response. However, improper function of helper T cells has been assigned a causal role in the development of certain allergic and autoimmune diseases. Therefore, it is important to understand how DEP exposure may affect the function of this cell and thereby contribute to the pathogenesis of diseases that are complicated by exposure to air pollution. The consequence of this line of research will hopefully achieve important short and long term goals: to properly diagnose and treat life threatening events, reduce PM-associated morbidity, and reinforce the need for higher emission standards, resulting in an improved quality of life for individuals living in industrialized societies.
**Air Pollution**
The linkage between air pollution and negative health effects is not a novel concept. Reports documenting the negative effects of air pollution exist from as early as the 1930’s in Belgium, where a dense fog of industrial pollutants covered the Meuse Valley and resulted in 60 deaths attributed to severe respiratory distress (Nemery, Hoet, & Nemmar, 2001). When the fog lifted, rapid improvement of respiratory symptoms was achieved. Similar events occurred in the next decades in Donora, PA and in London.
The London fog of 1952 has received notoriety as over 4000 individuals succumbed to combined cardiovascular and respiratory complications as a result of air pollution exposure (Logan, 1953). A subsequent fog event in London in 1956 reported 1000 deaths with a 94% increase in bronchitis-related deaths (Logan, 1956). Therefore, extensive research has been conducted to define air pollution, understand the mechanisms by which it alters human health, and implement stringent air quality standards.
Air pollution comes from a variety of sources, which results in a complex mixture of particle and gas phase pollutants. Most epidemiologic studies on air pollution have focused on understanding the health effects of six principal or criteria air pollutants, as defined by the Clean Air Act established in 1963, routinely monitored by the Environmental Protection Agency (EPA) and World Health Organization (Holguin, 2008). Guidelines for exposure to these pollutants; ozone, nitrogen dioxide, sulfur dioxide, lead, carbon monoxide, and particulate matter, has been established by the National Ambient Air Quality Standards. Each criteria pollutant is derived from different emission sources, which yield pollutants that exhibit variations in chemical composition. This results in different toxicity profiles and unfavorable health effects dependent on the circumstances surrounding the combustion process such as season, fuel source, and geographic location (McCleanor et al., 2007). Of these identified pollutants, the EPA identifies both ozone and particulate matter pollution to be the most concerning health threats (United States Environmental Protection Agency, 2009).
Particulate matter (PM) is currently classified based on size of the inhalable particles, with a direct relationship between particle size and detrimental health effects (Siegel et al., 2004). Coarse PM ($\text{PM}_{10}$) includes particles that range from $2.5 - 10$
micrometers ($\mu m$) in diameter with fine PM (PM$_{2.5}$) being 2.5 $\mu m$ in diameter and smaller. Another recognized category is ultrafine particles (PM$_{1.0}$), with diameters less than 1.0 $\mu m$, which rapidly aggregate to become components of PM$_{2.5}$ (Pope, III & Dockery, 2006). Coarse and fine particulates differ not only in their size and physical properties, but also in their chemical composition. PM$_{10}$ is largely composed of geological materials, in contrast to PM$_{2.5}$ and PM$_{1.0}$, which have larger fractions of elemental and organic carbon (Hetland et al., 2005). Coarse particulate matter is primarily derived from a suspension of dispersed ground dust in addition to soil, pollen, spores, and other materials (Pope, III & Dockery, 2006; Holgate et al., 2003). Fine and ultrafine particulate matter is produced as a result of different combustion processes such as wood burning, smelting, and cement processing. However, the major contributor to fine and ultrafine particulate matter is vehicle fuel exhaust (Wichmann, 2007). In general, all classes of PM pollution represent a major environmental health concern and epidemiological studies have identified a positive correlation between levels of PM and PM-related morbidity and mortality highlighted by increasing hospital emergency room visits and admissions (Hesterberg et al., 2009; Bunn, III et al., 2004; Laden, Schwartz, Speizer & Dockery, 2006). While all categories of inhalable PM are linked with negative health effects; the smaller, inhalable particles play a larger role in cardiovascular, neurologic, and respiratory disease as these particles easily pass through the nasal passage, into the lungs, and out into circulation allowing for penetration of these particles throughout the entire body. One specific pollutant that has garnered extensive attention for its association with negative health effects are DEP.
Diesel Exhaust
Diesel exhaust is a highly complex mixture formed during the combustion process resulting in the production of hundreds of different components, either in the gas or solid form with solid particulates in the fine and ultra-fine size PM categories (Krivoshto, Richards, Albertson, & Derlet, 2008; Wichmann, 2007). This vehicle emission source represents the largest single source of airborne PM with diesel engines emitting higher levels of gaseous emissions and up to 100 times more particles compared with modern gasoline engines (Riedl & Diaz-Sanchez, 2005). Despite the unfavorable impacts to our environment and human health, diesel is the primary source of fuel for mass transportation in the United States based on increased efficiency and endurance of diesel engines in comparison to gasoline engines (Krivoshto, Richards, Albertson, & Derlet, 2008). Other industrialized countries are even further dependent upon diesel fuel. In 1998, it was reported that 18% of Japanese motor vehicles relied upon diesel fuel with 98% of the nation’s buses running on diesel fuel. While 18% may not be viewed as a substantial value, the emissions resulting from these vehicles accounted for almost 100% of emission-related PM pollution (Kagawa, 2002).
Recognized as a heterogeneous compound; the components of diesel exhaust may include elemental carbon, polycyclic aromatic hydrocarbons, carbon monoxide, nitrogen and sulfur compounds. To date, over 450 different compounds have been identified in diesel exhaust with 40 recognized hazardous pollutants (Inadera, 2006; Annesi-Maesano et al., 2007). Based on the size of DEP, with 80-95% of the particles in diesel exhaust measuring less than 2.5 μm in diameter, these particles bypass the protective barriers of our lungs and penetrate deep into the respiratory system (Ris, 2007). The complexity of
diesel exhaust is further enhanced by its elemental carbon core, which has the ability to adsorb hundreds of chemicals and transition metals (Riedl & Diaz-Sanchez, 2005). The large surface area of the smaller particles allows for greater chemical adsorption of compounds from the surrounding environment, which translates into increased biological effect (United States Environmental Protection Agency, 2002). This idea is further supported by studies which have identified the adverse effects of DEP is not necessarily due to the carbon core but the chemical constituents found in DEP samples (Siegel et al., 2004). The inhalation of particles with adsorbed compounds transports novel or foreign materials deep into our circulation, which may be recognized by the organ system responsible for eliminating foreign invaders, the immune system.
As previously mentioned, the severe fog incidents occurring in Europe were linked to a substantial increase in cardiovascular and respiratory mortality (Pope, III & Dockery, 2006). In the context of DEP, the ability of the nanoparticle component to migrate through the lung and into the circulatory system has been directly linked to cardiovascular mortality as viewed by alterations in atherosclerosis and acute myocardial infarction and physical changes that occur in the heart and blood vessels following DEP exposure (Mills et al., 2007; Wichmann, 2007). As understanding of cardiovascular events grows, altered immune cell activity is now recognized as a contributor to disease progression. Respiratory mortality is also thought to involve the immune system as diseases such as chronic obstructive pulmonary disease and asthma are exacerbated by DEP exposure and clearly involve an inflammatory component (Inadera, 2006).
However, the exact mechanisms by which DEP alter immune system function has yet to be fully elucidated and are a goal of the present study.
The Immune System
The human immune system is a highly complex organ system which has evolved to prevent illness from a variety of pathogens and foreign invaders. This protection is achieved through the action of two distinct, yet intertwined branches: innate and adaptive immunity (Huston, 1997). Innate immunity provides rapid, yet non-specific, protection from foreign invaders, as the cell types of this branch are present prior to exposure to infectious agents. In contrast, the adaptive branch provides an antigen (Ag) specific response, where Ags are defined as molecules representing small fragments of a pathogen or foreign material, recognized by the immune system with immunological memory resulting following Ag encounter (Delves & Roitt, 2000). The ability to recognize self from non-self is a key feature of the adaptive immune system, which can be further divided into the cell-mediated and humoral systems, with white blood cells central to proper functioning. Humoral immunity involves the action of B cells to encounter, process, and produce Ag-specific antibodies following Ag encounter. The cell-mediated arm of the immune system provides a highly coordinated defense system through the action of T cells, which recognize the processed Ag and in turn direct the immune response by providing proper signals to multiple other immune cells (Delves & Roitt, 2000). Therefore, the crucial interactions occurring between B and T cells must be tightly regulated to provide adequate protection, and this high level of control is achieved through the activity of a specific T cell, the T helper lymphocyte.
Helper T ($T_H$) Cells
T lymphocytes exist as two subpopulations, helper T ($T_H$) cells and cytotoxic T ($T_C$) cells, and are identified based on the expression of distinct cell surface receptors. $T_H$ cells express a receptor known as CD4 (Cluster of Determination #4) and $T_C$ cells express the CD8 receptor. While $T_C$ cells are known for their ability to eliminate virally infected cells or cancer cell, $T_H$ cells are recognized as crucial immune system directors (Behrens et al., 2004). $T_H$ cells exert this level of regulation via involvement in multiple signaling pathways which control the action of other immune cells following Ag encounter. Helper T cells are able to recognize Ag through interactions with Ag in the context of the major histocompatibility complex II (MHC II), a protein expressed by antigen presenting cells (APC) such as B cells, dendritic cells, and macrophages (Davis & Bjorkman, 1988). The importance of $T_H$ cells is highlighted by the human immunodeficiency virus, which may develop into human acquired immunodeficiency syndrome (AIDS) as the virus invades and eliminates $T_H$ cells, resulting in an immunocomprised state with reduced ability to prevent infection as a result of foreign pathogens. The fatality of AIDS is directly related to secondary infections, where the immune system cannot respond properly due to the decreased number of circulating $T_H$ cells (Varbanov, Espert, & Biard-Piechaczyk, 2006). Based on the integral role of $T_H$ in proper immune function, the activity of this cell type must be tightly regulated as improper $T_H$ cell activation is a key hallmark of a multitude of disorders including asthma, multiple sclerosis, and cardiopulmonary disease.
Central to the function of $T_H$ cells is the presence of a T cell receptor (TCR), a multi subunit protein required to recognize Ag presented via MHCII (Rojo, Bello, & Portoles, 2008). The TCR is composed of two transmembrane polypeptides, $\alpha/\beta$ or $\gamma/\delta$, with one variable and one constant domain (Delves & Roitt, 2000). The $\alpha/\beta$ configuration is the most prominent TCR combination and is responsible for foreign Ag recognition. The ability to recognize Ag is accomplished by the TCR in conjunction with the CD3 signaling complex, composed of five transmembrane polypeptides ($\gamma, \varepsilon, \delta, \xi$, and $\eta$) that assemble to form three dimers ($\gamma\varepsilon$, $\delta\varepsilon$, and $\xi\xi$ or $\eta\eta$). CD3 derived signal transduction, which results in T cell activation, proliferation, and differentiation cannot occur unless the TCR-CD3 complex is accurately assembled (Feito et al., 2002; Davis & Bjorkman, 1988).
While the presence of the TCR-CD3 complex is essential for T cell function, additional cell surface proteins are stimulated during Ag encounter to provide costimulatory signals, which augment the TCR derived signal. The most prominent protein in this category, CD28, is displayed constitutively from all $T_H$ cells and interacts with B cells via the B7 family of proteins (Lenschow, Walunas, & Bluestone, 1996). Following TCR encounter with Ag, the CD28/B7 signaling pathway is activated, further inducing T cell activation via increased signal transduction and lowered T cell activation threshold.
Activation of $T_H$ cells is tightly regulated via interactions between the TCR and Ag-MHCII in addition to the role of costimulatory pathways. Upon TCR-Ag encounter, T cell activation is achieved via increased gene transcription. This transcription results in the production of numerous proteins responsible for foreign Ag recognition and removal. In order to achieve this activation state, signal transduction must occur within the $T_H$ cell involving two distinct signaling pathways: calcium and protein kinase C (PKC).
**Calcium ($\text{Ca}^{2+}$) Signaling**
Intracellular calcium signaling is achieved following TCR/CD3 stimulation, which results in the mobilization of internal calcium stores (Rao, Luo, & Hogan, 1997). This stepwise process begins with the phosphorylation of phospholipase C, which cleaves phosphoinositol biphosphate ($\text{PIP}_2$) into two important second messengers: inositol 1,4,5-triphosphate ($\text{IP}_3$) and diacylglyceral (DAG). Of these two second messengers, $\text{IP}_3$ binds to $\text{Ca}^{2+}$ receptors in the surface of the cell’s endoplasmic reticulum, which opens $\text{Ca}^{2+}$ channels resulting in an increase in cytoplasmic $\text{Ca}^{2+}$. Additionally, calcium channels in the plasma membrane are opened, allowing an influx of $\text{Ca}^{2+}$ further increasing intracellular $\text{Ca}^{2+}$ (Kindt, Goldsby, & Osborne, 2007). Once $\text{Ca}^{2+}$ has entered the cytoplasm, it acts upon a group of calcium-sensitive proteins including calmodulin, calcineurin, and the family of nuclear factor of activated T cells (NFAT) transcription factors. The increased intracellular $\text{Ca}^{2+}$ combined with the activity of calcium-sensitive proteins causes a synergistic increase in gene transcription, which results in the translation of key immunoregulatory proteins (Rao, Luo, & Hogan, 1997).
Protein Kinase C (PKC) Signaling
Following the phosphorylation of phospholipase C, cleavage of PIP$_2$ into second messengers IP$_3$ and DAG occurs with IP$_3$ influencing Ca$^{2+}$ signaling and DAG directly activating protein kinase C (PKC)-dependent signaling processes (Kindt, Goldsby, & Osborne, 2007). The PKC family is a large family of serine/threonine kinases with ten identified isoforms that are widely distributed in mammalian tissues and are categorized into three groups based on their mode of action (Tan & Parker, 2003). Upon activation, PKC moves from the cytosol to the cell membrane, where it phosphorylates serine and threonine amino acids on transcription factors important to T cell activation, such as the IκB/NFκB complex. Upon phosphorylation, NFκB is released from IκB and translocates to the nucleus, resulting in an increase in gene transcription and translation of additional immunoregulatory proteins (Kindt, Goldsby, & Osborne, 2007). The combined action of Ca$^{2+}$ and PKC signaling provides the proper stimuli required for T cell activation.
T Cell Activation: Membrane Bound Markers
Following ligation of the T cell receptor, T cell activation is achieved and key immunomodulatory proteins are produced, including both membrane-bound and secreted soluble proteins that are crucial for mounting an immune response (Kindt, Goldsby, & Osborne, 2007). Membrane-bound proteins are frequently classified as “activation markers” as these proteins are not constitutively expressed and their level of expression is frequently correlated with the degree of activation stimulus the T cell received. In addition, membrane-bound proteins can have profound effects on the immune system as
they can act as immune system activators themselves. Examples of such membrane-bound proteins are CD40 ligand (CD40L), CD69, and CD25.
**CD40 Ligand**
Helper T cells exert a high level of control over immune system function partially through the tightly regulated expression of a key protein, CD40 ligand (CD40L) (Schonbeck, Mach, & Libby, 2000). CD40L (CD154, gp39, TRAP) is a type II transmembrane protein, found on activated $T_H$ cells in addition to other immune and non-immune cells such as platelets, basophils, eosinophils, natural killer (NK) cells, B cells, mast cells, dendritic cells, smooth muscle, and epithelial cells, and belongs to the tumor necrosis family (TNF) superfamily (Schonbeck & Libby, 2001). This family of proteins is integral in the control of immune cellular functions such as regulation of proliferation, differentiation, and apoptosis (programmed cell death). Specifically, CD40L expression is essential for proper function of the adaptive immune system where this protein has the ability to regulate the humoral and cell-mediated branches via the aforementioned control of cellular functions (Banchereau et al., 1994). Additionally, the expression of CD40L is considered to be a rate-limiting step in immune system function as small changes in CD40L can have significant biological effects given that a 1.1 to 2.0 fold increase in CD40L can result in a 4- to 5 fold increase in B cell antibody (Ab) production and a similar increase in B cell proliferation and monocyte matrix metalloproteinase production (Perez-Melgosa, Hollenbaugh, & Wilson, 1999; Mach et al., 1999; Hermann, Van Kooten, Gaillard, Banchereau, & Blanchard, 1995). This key protein is involved in the regulation of both humoral and cell-mediated immunity via interactions with its receptor,
CD40 yielding enhanced B cell survival, growth, differentiation, Ab isotype switching, and IgE production in addition to providing signals to increase T cell cytotoxicity, macrophage tumoricidal activity, and enhanced expression of pro-inflammatory cytokines (Schonbeck, Mach, & Libby, 2000; Banchereau et al., 1994). CD40L is essential to proper immune function, as inappropriate expression of this protein has been linked to human diseases such as systemic lupus erythematosus (SLE), atherosclerosis, autoimmune diabetes, and multiple sclerosis (MS) (Schonbeck & Libby, 2001; Xu & Song, 2004). The importance of CD40L is further highlighted by X-linked Hyper IgM syndrome, an immunodeficiency where individuals experience repeated infections, possess defects in cell-mediated immunity and germinal center formation, and the inability of B cells to express IgG, IgA, and IgE Ab isoforms as a result of non-functional CD40L expression (Schneider, 2000).
**CD69**
The expression of CD69 appears to be the earliest inducible cell surface glycoprotein appearing after immune system activation begins (Cambiaggi et al., 1992). Also known as the activation-inducer molecule or very early activation marker, CD69 is rapidly and transiently expressed by a host of immune cells such as B cells, NK cells, neutrophils, and T cells (Kindt, Goldsby, & Osborne, 2007). The exact function of CD69 has yet to be determined as the ligand for CD69 has not been identified, however it is theorized that CD69 may be an immunomodulatory protein with activation and regulatory properties. CD69 expression is also associated with high levels of inflammation and RA, asthma, and acquired immunodeficiency syndrome disease states.
Although the precise biological function of CD69 has yet to be completely elucidated, it is very commonly used as a marker of immune cell activation as described in this study (Marzio, Mauel, & Betz-Corradin, 1999; Sancho, Gomez, & Sanchez-Madrid, 2005).
**CD25**
Also known as the low-affinity IL-2 receptor or T-cell activation antigen, CD25 is expressed by activated T cells, B cells, macrophages, and other immune cell types. Additionally, CD4⁺ T cells bearing CD25 surface proteins have recently been identified as a unique T cell subset known as the regulatory T cells, playing a large role in the development of immune system tolerance, although these cells represent a distinct cellular phenotype from stimulated T_H cells displaying CD25 (Nelson, 2004). Similar to CD40L and CD69, this protein is expressed at low levels in the absence of stimuli and is rapidly and transiently expressed following TCR signaling. This membrane-bound protein is a fundamental component of the IL-2/IL-2 receptor signaling cascade resulting in increased T cell activation and proliferation. Additionally, this receptor signaling complex is involved in the growth and differentiation of other immune cells such as B cells, NK cells, and macrophages (Kindt, Goldsby, & Osborne, 2007).
**T Cell Activation: Soluble Markers**
In addition to the production of membrane-bound proteins, soluble immunomodulatory factors may be produced and secreted by activated T cells. These soluble factors may be truncated versions of the membrane-bound protein produced by
cleavage events, i.e. soluble CD40L, or directly secreted proteins such as cytokines and chemokines, i.e. interleukins (IL). These factors utilize the circulatory system to exert a high level of control over immune system function at distant sites in the body, allowing for removal of pathogens with minimal delay (Delves & Roitt, 2000). $T_H$ cells are classified in two established categories in regards to the soluble cytokines in which they produce, type 1 ($T_{H1}$) or type 2 ($T_{H2}$) cytokines. Essential for cell-mediated functions, $T_{H1}$ cytokines are typically associated with inflammatory-based immune responses, focusing the immune system towards removal of viral and intracellular pathogens. In contrast, $T_{H2}$ cytokines function to remove extracellular pathogens by stimulating eosinophils and B cells, resulting in increased Ab production (Kindt, Goldsby, & Osborne, 2007; Zhu & Paul, 2008). The tightly controlled regulation of these cytokines is essential as they may be both pro-inflammatory and anti-inflammatory in nature and altered cytokine production may be associated with different disease states, including asthma where a $T_{H2}$ cytokine environment is favored and contributes to disease pathogenesis (Delves & Roitt, 2000; Holgate, 2008).
**Soluble CD40 Ligand**
As mentioned above, $T_H$ cells produce a key immunoregulatory membrane-bound protein called CD40L. However, a soluble form of this protein, soluble CD40L (sCD40L), also exists and represents a truncated version of the full length protein created by proteolytic cleavage of the transmembrane domain of membrane CD40L (Hirohata, 1999). Despite its truncated state, sCD40L possesses significant biological activity and can induce the CD40 signaling cascade at distant sites via circulatory system distribution,
albeit to a lesser extent than membrane CD40L (Ludewig, Henn, Schroder, Graf, & Krockezk, 1996). Additionally, our lab has shown that membrane CD40L and sCD40L are differentially regulated in response to the various TCR and costimulatory signaling pathways (Matthies, Newman, Hodzic, & Wingett, 2006). Similar to membrane CD40L, sCD40L expression must be tightly regulated as elevated serum levels are associated with diseases such as atherosclerosis, hypercholesterolemia, and SLE (Aukrust et al., 1999; Kato et al., 1999; Vishnevetsky, Kiyanista, & Gandhi, 2004).
While the exact proteolytic cleavage mechanisms responsible for sCD40L production are still being investigated, the process of ectodomain shedding is becoming recognized for its role in producing soluble factors. The process of ectodomain shedding is thought to involve a family of proteins, adamlysins, which include matrix metalloproteinases (Black & White, 1998). Specifically, ADAM (a disintegrin and metalloprotease domain) proteins have been implicated in ectodomain shedding and research conducted by our lab implicates ADAM-10 as a key proteinase involved in the production of sCD40L derived from T cells (Matthies, Newman, Hodzic, & Wingett, 2006; Schlondorff & Blobel, 1999).
**Interleukin 8**
Interleukin 8 (IL-8) is a prototypic member of the CXC family of chemokines produced by many different cell types, including T cells, in response to pro-inflammatory signals (Kindt, Goldsby, & Osborne, 2007). Also known as the neutrophil activating protein, IL-8 is a chemoattractant cytokine involved in the chemotaxis and activation of neutrophils, in addition to basophils and some lymphocytes (Rajarathnam et
IL-8 is produced in response to a wide variety of stimuli and is recognized as a pro-inflammatory cytokine that is linked with chronic inflammatory diseases such as inflammatory bowel disease and atherosclerosis, as increased IL-8 level expression is positively correlated with progression of these diseases (Grimm, Elsbury, Pavli, & Doe, 1996; Apostolakis, Vogiatzi, Amanatidou, & Spandidos, 2009). In terms of asthma and other chronic respiratory disorders, the activation and recruitment of neutrophils contributes to disease progression by inducing inflammation, which leads to oxidative stress and subsequent cell damage (Pease & Sabroe, 2002; Pease, 2006). Following acute exposure to DEP, bronchial epithelial cells produced more IL-8 than control providing a possible mechanism for the alteration of immune cell subsets in tissues exposed to environmental toxins (Salvi et al., 2000).
**Interleukin 17**
IL-17 is a pro-inflammatory cytokine, produced primarily from CD4\(^+\) T cells, recognized to participate in certain inflammatory diseases. Specifically, IL-17 is central to the initiation and pathogenesis of diseases such as asthma, psoriasis, RA, Crohn’s disease, and MS. This cytokine contributes to these disease both directly and indirectly, as IL-17 may induce the production of other pro-inflammatory cytokines such as IL-6, IL-8, and TNF-\(\alpha\) (Wang & Liu, 2008). Additionally, IL-17 may contribute in the process of angiogenesis, although through secondary mechanisms (Kindt, Goldsby, & Osborne, 2007). Despite the previously mentioned role as a pro-inflammatory mediator, IL-17 may have dual functions. Initial studies in IL-17 knockout mice showed that IL-17 was required for the development of asthma in a murine model. However, experiments where
IL-17 was neutralized during the effector phase of asthma, where an asthma model system was already established, resulted in increased disease progression (Schnyder-Candrian et al., 2006). Therefore the role of IL-17 in inflammatory diseases needs to be further investigated, especially in the context of asthma where this cytokine exhibits pleiotropic effects.
**Asthma**
Asthma is a multifaceted disorder, with a recognized immunopathogological component, represents a significant obstacle facing individuals, researchers, and healthcare professionals in our contemporary society. While current research has yielded an increased understanding of asthma with improved medicinal efficacy, the incidence and severity of asthma continues to rise in both adults and children worldwide at an alarming rate (Clement, Jones, & Cole, 2008; Dietert & Zelikoff, 2008). Despite this increased body of knowledge, the exact factors responsible for the observed increase in asthma prevalence, morbidity, and mortality remain unknown. According to the Center for Disease Control Asthma Surveillance Summary, the estimated number of U.S. citizens reporting an asthma episode in the previous 12 months increased from 6.8 million in 1980 (3.1%) to 14.9 million (5.6%) in 1995 (Martinez, 2008). It is estimated that more than 300 million individuals and greater than 20% of the developed world suffer from asthma-related symptoms with an estimated American 5,000 deaths per year (Takhar et al., 2007). Recent data analysis suggests that the rise in asthma may be stabilizing; however disparities are evident when looking at factors such as age, race, sex, and socio-economic class (Moorman et al., 2007). In the context of childhood diseases,
asthma is the most common chronic disease affecting children in the U.S. today (Center for Disease Control, 2003). In terms of economic burden, it is estimated that the annual cost of asthma is greater than 16 billion dollars, which factors in both cost of health care and loss in productivity (Gergen, 2001).
Asthma is a complex inflammatory disease characterized by physiological changes in the airway. These changes include an increase in smooth muscle mass, airway hyperresponsiveness, decreased air flow, and an increase in size and number of mucosal glands resulting in a thickened basement membrane (Ramos-Barbon, Presley, Hamid, Fixman, & Martin, 2005; Munakata, 2006). Key hallmarks of asthma include eosinophil infiltration, activation of T cells, inflammatory cytokine production, and local IgE synthesis in bronchial mucosa (Kay, 2006). Current understanding of disease pathophysiology recognizes that asthma is a chronic condition with activated helper T ($T_H$) cells facilitating disease progression. As allergens are inhaled and encountered in the airways, APCs process and present Ag to other immune cells (Smit & Lukacs, 2006). This process provides key signals that activate $T_H$ cells, which begin to produce cytokines that drive $T_H2$ type responses such as IL-3, IL-4, IL-5, and IL-13 (Kay, 2006). The increase in $T_H2$ cytokine production is paralleled by a decrease in $T_H1$ cytokines (Ngoc, Gold, Tzianabos, Weiss, & Celedon, 2005). Specifically, activated T cells are thought to be the prominent cell type in chronic asthma and disease severity is positively correlated with activated $T_H2$ cell count (Kay, 2006; Holgate, 2008). These cytokines affect other cells types such as B cells and eosinophils, which are integral in asthma pathogenesis by production of IgE antibody and release of granular proteins, respectively (Holgate, 2008).
Other cell types such as mast cells, monocytes, macrophages, and basophils are also affected by $T_{H2}$ cytokines further enhancing disease processes.
**Beta-Adrenergic Receptor Agonists and Adverse Effects in Asthma**
As the understanding of asthma pathogenesis continues to increase, so has the usage of beta ($\beta$)-adrenergic agonist medications. The mechanism of action of this very commonly used class of medication begins by binding to $\beta$-adrenergic receptors, a prototype member of the “seven pass membrane” family of proteins that is widely distributed in the respiratory tract and to a lesser extent in cardiac and adipose tissue (Johnson, 2006). This family of receptors, known as the G-protein-linked receptors, may exist in two conformational states; active and inactive. While in the inactive conformation, the $\beta$-adrenergic receptor is bound to the three subunits of the G protein ($\alpha$, $\beta$, and $\gamma$) in a complex bound to guanosine diphosphate (118). When $\beta$-adrenergic agonists ($\beta$-agonists), or associated ligands such as glucagon or epinephrine, bind to the receptor, a conformational change is induced producing an activated $\alpha$ subunit through the process of exchanging guanosine diphosphate for guanosine triphosphate (Benovic, 2002). This allows the activated $\alpha$ subunit to disassociate from the $\beta\gamma$ complex and initiate a signaling cascade, producing dramatic changes within the cell due to the action of second messengers (Benovic, 2002; Houslay & Kolch, 2000). While IP$_3$, Ca$^{2+}$, G proteins, and adenylyl cyclase are all activated through this pathway; the mechanism of $\beta$-agonist medications is thought to involve the conversion of adenosine triphosphate to cyclic adenosine monophosphate (cyclic AMP, cAMP) by adenylyl cyclase (Kindt, Goldsby, & Osborne, 2007; Rot & von Andrian, 2004). While the exact mechanism of
cAMP signaling has not been completely elucidated, it is thought to involve the action of protein kinase A (PKA), a tetramer consisting of two regulatory and two catalytic units (Tasken & Aandahl, 2004). The activated catalytic subunits act on target proteins distributed throughout almost all mammalian tissues. In the context of asthma, the end result is relaxation of airway musculature, alleviating asthma symptoms through airway muscle relaxation producing bronchodilation (Newhouse & Dolovich, 1986).
The utilization of β-adrenergic agonist therapeutic properties to alleviate airway constriction is not a new concept. Earliest historical record finds that these medications were used in ancient Chinese herbal medicines to relieve breathing difficulties as early as 3000 BC. The active material, known as Ma Huang, was a plant derived alkaloid now identified as ephedrine, which was not introduced into Western medicine until the 1920’s (Sakula, 1986; Sears & Lotvall, 2005). As an understanding of β-adrenergic agonists has advanced, improved second generation medications have been developed that are currently divided into short lasting (4 – 6 h) and long lasting (10 – 12 h) bronchodilators, which represent the most commonly prescribed types of asthma medication utilized today (Johnson, 2006; Salpeter, Buckley, Ormiston, & Salpeter, 2006). While these medications are popular among physicians and patients, the use of long acting β-agonists has been controversial for more than 50 years (Fahy & Boushey, 1995). As evidence accumulated on the potentially life-threatening and deadly β-agonist related events, it was concluded that while the initial result of β-agonist therapy is beneficial for relieving asthma symptoms, usage of these medications was possibly contributing to a worsening of disease and lack of disease control. Therefore, the FDA launched the Salmeterol® Multicenter Asthma Research Trial in order to delineate a direct relationship between
long-acting β-agonists and severe asthma exacerbations and death (Salpeter, Buckley, Ormiston, & Salpeter, 2006). This large scale study found a significant increase in the rate of asthma episodes requiring medical intervention and asthma-related deaths in the cohort receiving long acting β-agonist therapy, as compared to other asthma medications (Nelson, Weiss, Bleecker, Yancey, & Dorinsky, 2006). Based on these findings, a “black box” warning label has been implemented for this medication and is now recommended that β-agonists be restricted for individuals whose asthma is not controlled via other medicinal intervention (Salpeter, Buckley, Ormiston, & Salpeter, 2006). How β-agonists therapy contributes to asthma pathogenesis remains to be determined but several theories exist: tolerance of β-adrenergic agonist receptors to the medication, genetic variability, and that this class of medication may mask the underlying inflammatory processes (Wechsler et al., 2006; Salpeter, Buckley, Ormiston, & Salpeter, 2006). One finding from our lab indicates that the increase in asthma severity, morbidity, and mortality may involve the effect of cAMP modulating β-agonists on the expression of CD40L.
Specifically, increases in intracellular cAMP in T cell receptor (TCR) activated T cells can cause a further increase the level of CD40L expression in asthmatics while downregulating expression in similarly activated cells from control subjects, (Wingett & Nielson, 2002; Wingett & Nielson, 2003; Wingett, Forcier, & Nielson, 1999). As the mechanisms of long-acting β-agonists are elucidated, therapies are being developed to maximize the therapeutic effects while minimizing the associated side effects.
Negative Health Effects of Diesel Exhaust Particles
While the biological effects of DEP exposure on the respiratory system can be manifested by coughing, wheezing, and bronchitis, life-threatening respiratory events involving decreased lung function, chronic obstructive pulmonary disease, inflammation, and asthma attacks can occur resulting in an elevated rate of hospital admissions for respiratory distress (Eder, Ege, & von Mutius, 2006; Tatum & Shapiro, 2005; Pope, III & Dockery, 2006; Hesterberg et al., 2009; Maier et al., 2008). In addition to the respiratory system, DEP can affect a multitude of organ systems. Epidemiological, *in vitro*, and *in vivo* studies demonstrate DEP to be a potential carcinogen with lung cancer predominantly manifested, with bladder and lymphatic tissues cancers occurring less frequently following occupational exposure (Ris, 2007; Lewtas, 2007). Acute and chronic exposure to DEP has also been linked to increased cardiac-related morbidity and mortality with recent attention focused on the contribution of DEP in neurodegenerative and other neurologic pathologies (Pope, III & Dockery, 2006; Ris, 2007; Hartz, Bauer, Block, Hong, & Miller, 2008).
**Diesel Exhaust and Asthma**
Epidemiological studies demonstrate a positive relationship between decreasing air quality and the rate of asthma exacerbations, especially those requiring medical intervention (Holguin, 2008). In addition to the change in exacerbation rate, the severity of these events is increased, resulting in an amplified asthma related morbidity and mortality, especially in children (Pandya, Solomon, Kinner, & Balmes, 2002; Riedl & Diaz-Sanchez, 2005; Parker, Akinbami, & Woodruff, 2009; Kim et al., 2008; Samuelsen,
The underlying mechanism of these events is unknown but studies have shown associations between the proximity to high traffic roadways, especially mass transit routes such as freeways, and respiratory distress (Lwebugamukasa, Oyana, Thenappan, & Ayirookuzhi, 2004). Recent studies have linked traffic-related PM with negative health effects by utilizing geographic information systems technology to establish associations between major traffic ways and adverse health events (Samuelsen, Nygaard, & Lovik, 2008; Annesi-Maesano et al., 2007; McEntee & Ognevahimmelberger, 2008). Additionally, the increased medical intervention in children has been linked to living near major roadways versus suburban locations (Morgenstern et al., 2007). A recent large scale national study on respiratory stress in children confirmed this relationship as individuals living within 20 miles from EPA pollution monitoring stations that had increased levels of PM$_{2.5}$ were more likely to experience adverse respiratory events (Parker, Akinbami, & Woodruff, 2009).
In addition to the epidemiological studies, *in vivo* and *in vitro* analyses confirm a role for air pollution, specifically diesel exhaust, in asthma exacerbations. Some of these studies implicate that the deleterious effects observed for respiratory health may involve an inflammatory component as DEP exposure is linked to asthma exacerbations and increased asthma-related morbidity and mortality, known to be partially immune-related (Holgate, 2008; Mitschik, Schierl, Nowak, & Jorres, 2008). While the inhalation of PM can act as a direct respiratory irritant, the carbon core of DEP can bind allergens and toxins from the environment further enhancing DEP-related toxicity (Hesterberg et al., 2009). *In vitro* and *in vivo* studies have shown DEP exposure to contribute to asthma pathogenesis via increased allergen-specific IgE, production of asthma-associated
cytokines, and increased airway hyperresponsiveness (Inadera, 2006; Nel, Diaz-Sanchez, Ng, Hiura, & Saxon, 1998). Specifically, allergen sensitive individuals exposed to ragweed pollen plus DEP produced significantly more allergen-specific IgE (16-fold greater) in comparison to DEP alone, identifying DEP as a possible immune system adjuvant (Diaz-Sanchez, 1997). Animal studies further support the adjuvant capacity of DEP as allergen-associated inflammation was further heightened when DEP treatment was combined with model allergens such as ovalbumin or lipopolysaccharide (Ris, 2007; Inadera, 2006). Human controlled-exposure studies using short term exposures to DEP show that exposure can alter immune cell distribution in bronchialveolar lavage fluid and bronchial biopsies such as neutrophils, mast cells, CD4\(^+\) T cells, CD8\(^+\) T cells, B cells, and platelets, in addition to increasing neutrophils in sputum samples (Salvi et al., 1999). The alteration of immune cell subsets and the adjuvant role of DEP implicates this environmental pollutant as a key contributor to the pathogenesis of asthma and other allergic diseases. Despite these advances in knowledge, it is still unclear how DEP modulate T cell function by altering activation, distribution, and cytokine production in \(T_H\) cells. One of the goals of the present study is to further advance the field of DEP research by addressing this gap in knowledge.
**Diesel Exhaust, Immune Cells, & Inflammatory Cytokines**
While it is accepted that DEP are a health hazard, the exact mechanisms of action for these particles in the living organism remain unclear. Studies conducted on airway epithelial cells *in vitro* demonstrate many different affects. While these studies are hard to compare as experimental conditions vary, the main point of these studies is that
inhalation of diesel exhaust particles can alter normal epithelial cell function (Mitschik, Schierl, Nowak, & Jorres, 2008). Other studies have focused on the ability of DEP to alter cytokines, which contribute to asthma pathogenesis. Specifically, the $T_H2$ family of cytokines is of interest as these cytokines are associated with asthma pathogenesis. DEP exposure to both human and animal immune cells results in an increase in the expression of IL-4, IL-5, IL-13 and decrease the production of IL-2 and IFN-$\gamma$, which favors a $T_H2$ cytokine environment (Mamessier, Nieves, Vervloet, & Magnan, 2006; Riedl & Diaz-Sanchez, 2005; Ohtani et al., 2005; Pourazar et al., 2004; Takano, Yanagisawa, & Inoue, 2007; Samuelsen, Nygaard, & Lovik, 2008; Stevens, Cho, Linak, & Gilmour, 2009; Gowdy et al., 2008). *In vitro* studies further confirmed the role of $T_H2$ cells by polarizing peripheral blood mononuclear cells from healthy individuals towards either $T_H1$ or $T_H2$ phenotype and exposing the cells to DEP. Only the $T_H2$ polarized cells had the ability to undergo chemotaxis, allowing these cells to migrate to the site of DEP exposure (Chang et al., 2006). Considering the role of $T_H2$ cells in asthma pathogenesis and the ability of DEP to alter this balance, it is plausible that DEP can alter production of these cytokines to favor $T_H2$ type cell development and further promote asthma disease progression providing a possible link to the epidemiological studies that demonstrate an association between particulate matter levels and adverse respiratory events.
Based on the integral role of $T_H$ cells in the development and pathogenesis of allergic disease, it is surprising to find a lack of research on the direct effects of DEP exposure on $T_H$ cell activity. The research presented in this study contributes to the body of knowledge identifying DEP as a major health concern by showing *in vitro* evidence of an immunomodulatory effect of DEP on $T_H$ cells. Specifically, DEP exposure alters the
tightly regulated expression of CD40L with a consistent and preferential induction of the membrane-bound isoform versus the less biologically active soluble form of the CD40L protein. The ability of DEP to augment CD40L expression, both soluble and membrane forms, in the context of an *in vitro* asthma model is also reported, providing a mechanism for the negative effects of DEP on at-risk individuals. Additionally, DEP exposure alters production of an important immunomodulatory cytokine factor, IL-17, without having any appreciable effect on $T_H$ cell viability. Collectively, these findings elucidate a potential molecular mechanism for the deleterious effects of DEP exposure on $T_H$ cells, as measured by changes in key parameters of immune system function.
EXPERIMENTAL PROCEDURES
Diesel Particulate Matter
Diesel exhaust particles (DEP) SRM 2975 was purchased from the National Institute of Standards and Technology (Gaithersburg, MD). These particles were generated by a heavy-duty forklift diesel engine and collected using a filtering system designed for diesel forklifts under “hot” conditions, without a dilution tunnel (Singh et al., 2004). Certified analyses for SRM 2975 are accessible online (National Institute of Technology, 2000). DEP solutions were prepared in phosphate buffered saline (PBS) and sonicated in a water bath for 15 min. Particles were vortexed immediately prior to dispensing into each individual cell culture well.
Human Subjects and Isolation of CD4⁺ T Cells
Written, informed consent was obtained from all blood donors and the University Institutional Review Board approved this study. For isolation of CD4⁺ T cells, peripheral blood mononuclear cells (PBMC) were obtained via Ficoll-Hypaque (Histopaque-1077, Sigma, St Louis, MO) gradient centrifugation using heparinized phlebotomy samples as previously described (Coligan, 1995). After removal of the leukocyte layer, cells were washed three times with Hank’s buffer (Sigma, St. Louis, MO) and once in PBS. After
isolation of human PBMC, CD4\(^+\) T cells were purified using negative immunomagnetic selection per manufacturer’s instructions using a cocktail of antibodies against CD8, CD14, CD16, CD19, CD56, and glycophorin A (StemCell Technologies, Vancouver, BC) with collection of unlabeled T cells (typically >96% CD4\(^+\) and >98% viable as assessed by flow cytometry). Purified CD4\(^+\) cells were subsequently cultured in RPMI-1640 media (Sigma, St. Louis, MO) supplemented with 10% fetal calf serum (FCS), 100 U/ml penicillin, and 100 \(\mu\)g/ml streptomycin sulfate at 37\(^o\)C and 5% CO\(_2\).
**T Cell Activation and Culture Conditions**
Purified CD4\(^+\) cells were cultured in RPMI/10% FCS at \(1 \times 10^6\) cells/ml in 200 \(\mu\)l total volume and activated using immobilized anti-CD3 Ab (OKT3, ATCC, Rockville, MD) at 0.24 \(\mu\)g/well or anti-CD3/anti-CD28 beads (Dynabeads® CD3/CD28 T Cell Expander, Invitrogen, Oslo, Norway) at a 1:1 bead to cell ratio in 96-well tissue culture plates (Fisher Scientific, Pittsburg, PA). Alternate activation schemes involved treating purified CD4\(^+\) T cells with various combinations of ionomycin (Calbiochem, San Diego, CA), phorbol 12-myristate 13-Acetate (PMA, Sigma), and/or 100 \(\mu\)M dibutyryl adenosine monophosphate (dbcAMP, Sigma) was utilized in combination with ionomycin. Cultures were concurrently treated with varying concentrations of freshly prepared and sonicated DEP for 24 h of culture.
**Antibodies and Flow Cytometry**
Methods of immunofluorescent staining and flow cytometry were performed as previously described (Coligan, 1995). Briefly, cells were harvested from 96-well culture
plates into FACS buffer and pelleted by centrifuged at 2000 rpm for 7 min. The cell pellet was resuspended in FACS buffer and stained with fluorescently labeled antibodies for 30 min at 4°C, washed two times, fixed in 2% paraformaldehyde, and analyzed on a 4-color Epics flow cytometer (Beckman Coulter, Miami, FL). Ten thousand events gated on size and side scatter were analyzed and the expression of the percentage of positively staining cells or the mean fluorescence intensity (MFI) determined by comparisons to appropriate isotype controls. Phycoerythrin (PE) or fluorescein isothiocyanate (FITC)-conjugated anti-CD40L, anti-CD69, anti-CD25, or isotype control antibodies were purchased from Beckman Coulter or BD Biosciences (San Jose, CA). Appropriate concentrations of each Ab were determined by titration for optimal staining prior to experimental use.
**Cell Viability Assay**
To assess the effect of DEP on CD4⁺ T cell viability, propidium iodide (PI) staining was employed. Purified T cells were treated with increasing concentrations of DEP (0-800 μg/ml) for 24 h. Cell viability was determined by staining with 50 μg/ml of PI, a fluorogenic dye used to monitor losses in cell membrane integrity, for 10 min prior to flow cytometric analysis.
**Enzyme-Linked Immunosorbent Assay**
Levels of soluble CD40L (sCD40L) in culture supernatants was quantified using an enzyme-linked immunosorbent assay (ELISA). CD4⁺ T cells were treated with various cell specific stimuli, as described above, for 24 h. Following incubation, cell-free
supernatant was harvested via successive 10 min centrifugations (2,000 rpm, 7,000 rpm and 13,000 rpm) and cell supernatants stored at -80°C until analysis. A 96-well plate (Nunc-Immuno Module, Nunc, Rochester, NY) was coated with 50 µl of TRAP-1 monoclonal Ab (R & D Systems, Minneapolis, MN) at 12 µg/ml in 0.05 M carbonate buffer (pH 9.4) and incubated for 2 h at 37°C. Wells were blocked with 10% FCS/2% azide in PBS and incubated at room temperature (RT) for 2 h. Samples (50 µl/well) were added to the plate and incubated overnight at 4°C. Serial dilutions of recombinant human sCD40L protein standard (Bender Medsystems, Burlingame, CA) were used for standardization. Bound sCD40L was detected using 50 µl/well HRP-conjugated M90 mAb (ATCC, Manassas, VA) at 12 µg/ml in 10% FCS in PBS and incubated at RT for 2 h. The assay was developed with 3,3',5,5'-tetramethylbenzidine (TMB, Sigma) and incubated at RT protected from light for 30 min. The reaction was stopped with 0.5 M H₂SO₄ and optical density determined at 450 nm and reference wavelength at 630 nm, on a microplate reader (Bio-Rad, Hercules, CA).
ELISA assays were also used to investigate the effect of DEP treatment on IL-8 and IL-17 cytokine production using primary CD4⁺ T cells (5 x 10⁶ cells/ml) treated with anti-CD3/anti-CD28 Dynabeads® (200 beads/ml) for 24 h ± DEP. Following DEP treatment, cell-free supernatant was harvested via successive 10 min centrifugations (2,000 rpm, 7,000 rpm and 13,000 rpm) and cell supernatants stored at -80°C until analysis. ELISA assay was performed by the UMAB Cytokine Core Laboratory (Baltimore, MD) with all samples analyzed in triplicate and cytokine production expressed in pg/ml.
In Vitro Cleavage of CD40 Ligand by Recombinant ADAM-10
For in vitro CD40L cleavage assays, the murine CD40L/CD33 fusion protein was used (R&D) which contains amino acids 61-260 of the extracellular CD40L domain joined to the signal peptide of human CD33 followed by 10 histidine residues and a linker peptide. The cleavage of 0.5 μg of murine CD40L/CD33 fusion protein was accomplished using 20 μg/ml recombinant mouse ADAM-10 (R&D) for 5 h at 37°C in a total reaction volume of 25 μl. The cleavage products were separated by 10% sodium dodecyl sulfate-polyacrylamide electrophoresis (SDS-PAGE) under reducing conditions and transferred to a polyvinylidene difluoride membrane utilizing a wet transfer system (Bio-Rad Life Sciences Research, Hercules, CA). Detection was performed using an anti-CD154 C-20 polyclonal Ab (Santa Cruz Biotechnology, Santa Cruz, CA) followed by a secondary goat anti-rabbit horseradish peroxidase-conjugated Ab (Santa Cruz) using an enhanced chemiluminsence system (PerkinElmer Life Sciences, Boston, MA).
Data Analysis
Statistical significance was determined using either a two-way paired Student’s T-test or repeated measures analysis of variance (ANOVA) with post hoc comparisons. A Student’s T-test was utilized to determine the effect of DEP treatment between treatments in paired samples. A repeated measures ANOVA with post hoc comparisons was used when two or more measurements of the same type were made on the same subject to determine statistical differences between the means and to allow separation of within-subject variation from between subject variation. ANOVA analysis was performed using
SAS (Statistical Analysis Systems Incorporated) software (Cary, NC). Significance levels were defined as $p < 0.05$.
RESULTS
Effects of DEP on Resting T Cells
Although limited studies have demonstrated an immunomodulatory effect of diesel exhaust particles (DEP) on select cell types and biological systems, additional studies are needed to assess the role of DEP on normal $T_H$ cell function. To help address this gap in knowledge, experiments were conducted to assess the effects of DEP on the expression of T cell activation markers in the absence of external stimuli. Purified human peripheral blood CD4$^+$ T cells were treated with 800 $\mu g/ml$ DEP for 24 h and expression of CD40L, CD69, and CD25 membrane proteins evaluated using flow cytometry. As shown in Fig. 1, CD40L expression was markedly upregulated following treatment with DEP with a 3.5-fold increase observed compared to control samples ($p < 0.0001$). A slight yet significant increase (1.5-fold) in CD69 expression was also observed ($p = 0.037$), although to a considerably lesser extent than CD40L. In addition, an increasing trend for CD25 was also observed (1.1-fold), although this did not achieve statistical significance ($p = 0.068$). These results indicate that DEP can alter helper T cell activation in resting cells, with the most pronounced effects observed for CD40L expression.
Additional studies were performed to verify that DEP-induced CD40L expression occurred in a concentration-dependent manner. Purified T cells were treated with
increasing concentrations of DEP (200 – 800 μg/ml) for 24 h and evaluated using flow cytometry. As shown in Fig. 2, a reproducible 1.7-fold increase in membrane CD40L expression was observed at the lowest concentration of DEP (200 μg/ml), although statistical significance was not achieved in these samples ($p = 0.11$). In contrast, DEP induced significant increases in CD40L expression at both 400 μg/ml of DEP (2.5-fold increase, $p = 0.03$) and at 800 μg/ml (3.5-fold increase, $p = <0.0001$). Higher concentrations of DEP (i.e. 1600 μg/ml) induced similar levels of CD40L compared to that observed with 800 μg/ml DEP (data not shown).
**DEP Augments Physiological Activation of T Cells**
Additional studies were performed to evaluate the effects of DEP on activated T cells using a variety of physiologically relevant activation schemes. The first set of experiments were designed to assess the immunomodulatory effects of DEP on cells previously activated through the T cell receptor (TCR) signaling pathway using antibodies directed against the CD3 component of the TCR to mimic the potential effects of DEP exposure in patients with low-level immune cell activation that can accompany chronic inflammatory disease. Purified CD4⁺ T cells were pre-treated with immobilized anti-CD3 Ab for 6 h, removed from activation stimuli and subsequently treated with DEP for 18 h. Cells were then evaluated for changes in T cell activation markers using flow cytometry. Notably, a modest, yet reproducible and statistically significant increase in DEP-induced CD40L expression (1.5-fold, $p = 0.03$) was observed, Fig. 3A. In contrast, neither CD69 nor CD25 expression (Figs. 3B and 3C) was induced by DEP exposure using this activation scheme ($p = 0.81$ and 0.11, respectively).
The effects of DEP were next investigated using T cell stimuli consisting of combined activation through the TCR signaling pathway and CD28 costimulation. The CD28 costimulatory pathway plays a major role in T cell activation by lowering the activation threshold, or the number of bound TCRs required to achieve activation, by ~8-fold (Salomon & Bluestone, 2001; Lanzavecchia, Lezzi, & Viola, 1999). To simultaneously provide both signals important for T cell activation, polystyrene beads with covalently linked anti-CD3 and anti-CD28 antibodies (Dynabeads®) were used to optimally activate CD4⁺ T cells. This activation scenario utilizing beads of similar size to lymphocytes is recognized to better mimic the physiological conditions occurring during antigen presentation between T cells and APC than activation using plate-immobilized antibodies (Trickett & Kwan, 2003). Following 24 h of culture, T cell activation markers were evaluated using flow cytometry. DEP was found to significantly augment (1.2-fold, \( p = 0.03 \)) the expression of CD40L protein (Fig. 4). In contrast, a decreasing trend in CD69 expression was observed following DEP treatment (1.2-fold, \( p = 0.68 \)) and a slight, yet insignificant, increase in CD25 was observed (1.1-fold, \( p = 0.18 \)). Collectively, these findings suggest potentially unique actions of DEP to consistently enhance CD40L expression in both resting T cells, as well as in the presence of different activation stimuli.
**DEP Plus PKC Signaling Results in Increased T Cell CD40L**
Based on the observation that CD40L expression is increased in response to DEP exposure in TCR activated cells, experiments were performed to dissect TCR signal transduction events into the component calcium and protein kinase C (PKC) dependent
pathways. The PKC pathway was isolated using the phorbol ester, PMA, which is well recognized as a chemical initiator of PKC-dependent signal transduction in T cells (Ding, Green, Thompson, & Shevach, 1995). For these studies, primary CD4⁺ T cells were concurrently treated with PMA and DEP for 24 h, and changes in expression of CD40L, CD69, and CD25 measured using flow cytometry. As shown in Fig. 5A, DEP was found to induce CD40L expression (3.5-fold, \( p < 0.0001 \)). In contrast, no effects on CD25 or CD69 expression were observed at this particular concentration of PMA, which induced near maximal expression of these proteins (data not shown). In order to reveal any possible actions of DEP to modulate CD25 and CD69 expression, a lower concentration of PMA was used. As shown in Fig. 5B and 5C, DEP caused a modest reduction in CD25 expression (1.3-fold, \( p = 0.05 \)), while no effects on the percentage of CD69 positive cells were discernable, which could be related to the fact that the very low concentration of PMA used in these experiments still induced near maximal levels of CD69 expression. However, the mean fluorescence intensity (MFI) of CD69 was decreased by DEP (1.3-fold; \( p = 0.008 \); MFI values of 299.2 ± 1.7 vs. 230.2 ± 7.8). Therefore, the ability of DEP to augment PKC-dependent signaling may be relatively unique to CD40L as either the percentage of positively staining cells or the MFI of CD25 and CD69 was reduced by DEP.
Further dissection of the TCR signaling pathway was achieved using the calcium ionophore, ionomycin, to activate calcium-dependent signaling as commonly described (Nusslein et al., 1996; Chatila, Silverman, Miller, & Geha, 1989). Primary CD4⁺ T cells were treated with ionomycin in the presence of DEP for 24 h and changes in membrane expression of CD40L, CD69, and CD25 evaluated. As shown in Fig. 6A, DEP plus
calcium ionophore produced modest but consistent increases in CD40L expression (1.3-fold, $p = 0.03$), although not to the extent of PMA activated samples (Fig. 5A). In contrast, a slight, yet significant, DEP-induced decrease (1.1-fold, $p = 0.004$) in CD25 expression was observed (Fig. 6B). As shown in Fig. 6C, no effects of DEP on the percentage of CD69 positive cells were discernable, but again this could be related to the fact that near maximal expression of this protein was induced by ionomycin.
Nevertheless, a significant 2.1-fold decrease in the MFI of CD69 ($144.8 \pm 2.6$ to $70.7 \pm 7.3$) was again observed following treatment with DEP, $p = 0.011$, indicating yet another circumstance where CD40L expression appears to be preferentially induced by DEP relative to the other activation markers studied.
Additional studies were performed to evaluate the effects of DEP in cells activated by both calcium- and PKC-dependent signaling pathways. As the combined treatment of PMA and Ca$^{2+}$ can frequently result in the synergistic and maximal expression of CD40L (Chatila, Silverman, Miller, & Geha, 1989), lower concentrations of these physiological agents were utilized for these experiments. As shown in Fig. 7, at both of the lower concentrations of PMA and ionomycin tested, a slight yet significant induction of CD40L was observed following DEP exposure (1.5-fold in 0.125 $\mu$M ion/0.30 ng/ml PMA and a 1.1-fold in 0.25 $\mu$M ion/0.67 ng/ml PMA activated cells, $p < 0.0001$ and $p = 0.017$, respectively). No measurable induction of CD40L was noted at the highest concentrations of PMA/Ionomycin used, but this is not unexpected as these concentrations of mitogens induced near maximal levels of CD40L on their own. As both PKC and calcium pathways are involved in TCR signaling, the results obtained from
these studies are consistent with those presented in Fig. 3, where DEP also induced CD40L expression in CD3/TCR activated cells.
**DEP Differentially Regulates the Expression of Membrane and Soluble CD40L**
Based on the observation that membrane CD40L expression is induced by DEP, experiments were performed to evaluate the effects of DEP on the expression of the soluble form of the CD40L protein (sCD40L), which also has biological activity and can function in a cytokine-context by distribution throughout the body. As previously shown by our lab, the membrane and soluble forms of the CD40L protein can be differentially regulated by the PKC and Ca$^{2+}$ pathways, with sCD40L being preferentially produced following PKC signaling (Matthies, Newman, Hodzic, & Wingett, 2006). Following 24 h of DEP/PMA exposure, cells were concurrently evaluated for membrane CD40L and sCD40L by flow cytometry and ELISA as shown in Fig. 8A & B. In contrast to the DEP-induced increase in membrane CD40L (2.7-fold, $p = 0.005$), the production of sCD40L was not altered following DEP exposure in the absence of external stimuli ($p = 0.11$). In samples activated with PMA and DEP, and consistent with our previous experiments (Fig. 5), membrane CD40L expression was increased (3.5-fold, $p < 0.0001$) by DEP as shown in Fig. 8A. In marked contrast, sCD40L levels were reduced by 2.4-fold following DEP treatment, (Fig. 8B, $p = 0.04$).
In parallel experiments, the effects of DEP to alter sCD40L/membrane CD40L expression in ionomycin activated cells were evaluated. As shown in Fig. 8C, DEP induced the expected increase (1.3-fold, $p = 0.004$) in membrane CD40L expression in ionomycin activated cells. In contrast, DEP failed to appreciably affect sCD40L
expression in ionomycin-activated cultures (Fig. 8D, $p = 0.48$). Collectively, the results presented in Fig. 8 indicate that the membrane and soluble forms of the CD40L protein can be differentially regulated by DEP.
To further investigate the ability of DEP to polarize CD40L expression towards the membrane-bound form, experimental conditions combining ionomycin and PMA to mimic the calcium and PKC signaling pathways accompanying T cell receptor ligation (Chatila, Silverman, Miller, & Geha, 1989), as well as direct TCR activation using anti-CD3 and CD28 antibodies were used. As shown in Fig. 9A, following 24 h of PMA/ionomycin activation, sCD40L expression was decreased by an $\sim 1.3$-fold, $p = 0.018$. In parallel experiments involving CD3 (TCR)/CD28 antibodies linked to polystyrene Dynabeads®, DEP was also shown to produce a significant decrease (1.6-fold, $p = 0.04$) in sCD40L expression (Fig. 9B). The effects of DEP to enhance the production of membrane CD40L in both PMA/ionomycin and anti-CD3/CD28 activated cells was shown previously (see Fig. 4 and 7). These findings indicate the ability of DEP to preferentially induce the membrane form of the CD40L protein relative to the soluble protein.
**Effects of DEP on ADAM-10 Mediated Proteolytic Cleavage of CD40L**
Given that DEP has different regulatory effects on the production of membrane and soluble CD40L protein forms, experiments were performed to gain insights into the mechanisms of DEP action. It has been recently reported that stimuli leading to the differential production of membrane or soluble CD40L proteins can involve the action of matrix metalloproteinases, including ADAM-10 (Matthies, Newman, Hodzic, & Wingett,
This protease has been implicated in the process of ectodomain shedding, a process integral for the production of numerous soluble factors including Beta-amyloid precursor protein, Notch, CXCL13, and Type IV collagen (Parkin & Harris, 2009; Abel et al., 2004; Millichip, Dallas, Wu, Dale, & McKie, 1998; Tian et al., 2008). Most relevant to this study, ADAM-10 has been shown to contribute to the production of T cell-derived sCD40L by generating this smaller protein product via cleavage from the full-length membrane-bound CD40L precursor molecule (Matthies, Newman, Hodzic, & Wingett, 2006). In the present study, experiments were performed to determine whether the preferential production of membrane CD40L relative to sCD40L occurred by actions of DEP to inhibit ADAM-10-mediated cleavage of the full-length protein. Recombinant ADAM-10 enzyme was incubated with a murine CD40L fusion protein (32 kDa), the mixture fractionated by SDS–PAGE, and Western blotting performed to detect the sCD40L product. As shown in Fig. 10, in a control sample containing the purified CD40L fusion protein, only a single band of ~32 kDa corresponding to the full-length membrane form of CD40L was observed (Lane 1).
Likewise, in a control containing the murine CD40L fusion protein and DEP, only the 32 kDa band was detected (Lane 2). The addition of the ADAM-10 protease to the CD40L fusion protein resulted in the generation of an ~18 kDa fragment corresponding to sCD40L, and another band of ~ 9 kDa, as shown in Lane 3. The 18 kDa band has been previously described by multiple labs (Graf et al., 1995; Ludewig, Henn, Schroder, Graf, & Kroczek, 1996; Matthies, Newman, Hodzic, & Wingett, 2006; Mazzei et al., 1995), while the 9 kDa cleavage product likely represents an additional cleavage event by ADAM-10 that is detected by the polyclonal antibody used in our studies. Of interest,
DEP increased the abundance of the 18 kDa band, while markedly decreasing the intensity of 9 kDa band (Lane 4). Although somewhat contrary to the initial hypothesis, these results indicate that DEP can alter the activity of ADAM-10 to proteolytically process the CD40L protein. This is indicated by the ability of DEP to block the production of the 9 kDa fragment and concurrently increase the 18 kDa product, leading to a slight overall increase in the level of sCD40L in this cell-free system. It should also be noted that slightly lower levels of full-length 32 kDa CD40L protein appear in both samples containing DEP. This is likely due to the presence of very high molecular weight aggregates containing DEP-absorbed CD40L fusion protein, interfering with some of the loaded protein’s ability to migrate into the gel matrix. Nevertheless, our results indicate that the presence of DEP can alter the proteolytic activity of ADAM-10 cleavage of CD40L, leading to an increase in the 18 kDa product, known as sCD40L, while simultaneously preventing the formation of a smaller 9 kDa CD40L-derived fragment.
**IL-17, Not IL-8, Production Is Decreased Following DEP Exposure**
To further investigate the effects of DEP on T cell activation processes, changes in the expression of two T cell cytokines, IL-8 and IL-17, were evaluated. Both of these cytokines are considered to be proinflammatory factors, where their altered expression has been implicated in the pathogenesis of various inflammatory disease, including asthma (Hashimoto, Akiyama, Kobayashi, & Mori, 2005; Pease & Sabroe, 2002). CD4\(^+\) T cells were activated using soluble anti-CD3/CD28 Dynabeads® and concurrently treated with DEP. Following 24 h, cell free supernatants were harvested and evaluated by ELISA. As shown in Fig. 11, DEP was found to inhibit the production of IL-17 by
2.9-fold in comparison to control cells, $p = 0.04$. In contrast, DEP had no significant effect on IL-8 production following treatment with DEP ($p = 0.28$). The DEP-induced decrease in IL-17 generation may be relevant to allergic diseases, or other conditions involving an immune component as this cytokine, while considered a proinflammatory cytokine, exhibits pleiotropic effects and may actually be beneficial in the amelioration of certain diseases (Schnyder-Candrian et al., 2006; Miossec, 2009). Further research is needed to elucidate the implications of IL-17 inhibition in the context of asthma and other allergic diseases.
**T Cell Viability Is Not Altered Following DEP Exposure**
Based on our findings that DEP may have immunomodulatory effects capable of altering cytokine production and the expression of certain T cell activation markers, experiments were performed to evaluate the extent to which DEP potentially affects T cell viability. Resting purified CD4$^+$ cells were treated with increasing concentrations of DEP (0-800 $\mu g/ml$) for 24 h and effects on viability determined using propidium iodine (PI) staining and flow cytometry. PI is a red fluorescent nuclear stain that enters only cells with disrupted plasma membranes, a characteristic utilized as an indicator of cell death (Riccardi & Nicoletti, 2006). As shown in Fig. 12, no measurable effects of DEP on T cell viability were observed using identical experimental conditions in which significant enhancement of CD40L was detected.
DEP Augments Cyclic AMP-induced Membrane and Soluble CD40L Expression
As mentioned previously, the ability of DEP to augment immune cell function has been implicated in the increase in asthma prevalence in developed countries (Kagawa, 2002). Our observation that DEP can induce T cell CD40L expression under a variety of relevant activation stimuli (Figs. 1-7) led us to examine the contributions that alterations in cyclic AMP (cAMP) may exert, given that actions of the most commonly prescribed class of asthma medications, β-adrenergic agonists, function to increase intracellular cAMP. Despite its well recognized immunosuppressive role, cAMP has been recently recognized to have certain pro-inflammatory properties. For example, dbcAMP, a cell permeable analog of cAMP, has been shown to markedly increase T cell CD40L expression, especially in cells activated with calcium ionophore or costimulated to increase their intracellular calcium levels (Wingett, Forcier, & Nielson, 1999).
Therefore, we investigated whether the combined treatment of cAMP and DEP leads to a greater, or possibly even synergistic, induction of T cell CD40L expression. For these experiments, purified cells were treated with ionomycin or ionomycin and dbcAMP, and concurrently treated with DEP or vehicle control. After 24 h of culture, CD40L was measured using flow cytometry. As previously reported, treatment with dbcAMP in the absence of external physiological stimuli failed to appreciably affect CD40L expression (Nielson & Wingett, 2002). DEP in the absence of external stimuli resulted in a significant increase in membrane CD40L (3.1-fold, $p = 0.005$), further validating the immunomodulatory effect shown in Figs. 1A and 2. Also as expected (Wingett, Forcier, & Nielson, 1999), calcium ionophore alone was sufficient to induce moderate levels of CD40L, while the addition of dbcAMP resulted in even greater CD40L expression (1.7-
fold). Of interest, the combination of DEP plus dbcAMP plus ionomycin lead to the greatest induction of membrane CD40L that was 1.2-fold higher than cells treated with ionomycin and dbcAMP alone, $p = 0.002$.
With regards to sCD40L expression, treatment with DEP alone had no effect on sCD40L. However, the 3-way combination of DEP plus dbcAMP plus ionomycin lead to a marked increase (1.9-fold) in sCD40L compared to ionomycin plus dbcAMP controls (Fig. 13B, $p = 0.0004$). This finding is notable as only in this context has DEP been shown to increase sCD40L production, which could be very relevant to asthmatics who are commonly prescribed cAMP-inducing asthma medications. However, in contrast to membrane expression, DEP in the absence of stimuli was insufficient to induce sCD40L production. In the instance where β-agonists, DEP or other emission-based environmental pollutants, and low levels of chronically activated T cells exist (i.e. chronic asthmatics using beta-agonists in industrialized areas), this trifecta could lead to elevated circulating levels of membrane and biologically active sCD40L, which could mechanistically contribute towards asthma exacerbations associated with DEP exposure.
DISCUSSION
Diesel exhaust particles (DEP) represent a noteworthy and complex environmental health concern with extensive evidence accumulating to support a causal relationship between DEP and deleterious health impacts. Epidemiologic studies have linked high levels of ambient PM pollution to increased hospital admissions, morbidity and mortality for cardiovascular, neurological and pulmonary events (Pope, III & Dockery, 2006; Ris, 2007; Hesterberg et al., 2009; Maier et al., 2008). Current understanding of DEP suggests it possesses immunoregulatory properties altering immune system function, potentially contributing to the observed increase in life-threatening events following PM exposure. As activated T cells are important immune cells involved in the pathogenesis of the aforementioned conditions, experiments were performed to clarify the role of DEP on healthy T cell function, specifically the helper T cell subset.
Helper T ($T_H$) cells are integral regulators of immune system function and activation is tightly regulated. The data presented in this study provides evidence of an immunomodulatory effect of DEP as measured by the alteration of $T_H$ cell activation by increasing the expression of T cell activation marker, CD40L (Fig. 1). The ability of DEP to induce CD40L expression may be very relevant to allergic disorders as
expression of this protein, primarily from activated T cells, is transiently expressed with peak expression occurring 3-6 h after activation (Roy, Waldschmidt, Aruffo, Ledbetter, & Noelle, 1993). While a small enhancement of CD69 and CD25 expression was also observed, it was to a lesser extent (Fig. 1), accounting for a potential ability of DEP to exacerbate allergic and inflammatory-based diseases, especially those involving altered CD40L expression (Pandya, Solomon, Kinner, & Balmes, 2002). In addition, CD40L is essential to proper immune function, as inappropriate expression may contribute to the pathogenesis of disorders such as SLE, diabetes, and MS (Schonbeck & Libby, 2001; Xu & Song, 2004). To further validate the effects of DEP on CD40L expression, a scheme was utilized to mimic the effects of DEP exposure where individuals may be exposed to greater levels of DEP as a result of occupational exposure or housing location. A modest, yet dose-dependent induction of CD40L following DEP exposure was observed (Fig. 2), suggesting that individuals living in proximity to emission sources or those with an occupational exposure may be at higher risk for the deleterious effects of DEP (Samuelsen, Nygaard, & Lovik, 2008; Annesi-Maesano et al., 2007; McEntee & Ognev-Himmelberger, 2008). The ability of DEP to alter CD40L expression in the absence of T cell specific stimuli is concerning as even small changes can have significant biological effects given that a 1.1 to 2.0 fold increase in CD40L can result in a 4-5 fold increase in B cell antibody (Ab) production and a similar increase in B cell proliferation and monocyte matrix metalloproteinase production (Perez-Melgosa, Hollenbaugh, & Wilson, 1999; Mach et al., 1999; Hermann, Van Kooten, Gaillard, Banchereau, & Blanchard, 1995). Therefore, CD40L is recognized as a rate-limiting step in proper immune system function and overall human health.
Experiments were performed to assess the impact of DEP on activated cells, as individuals living with existing health conditions including asthma and other respiratory diseases, are considered to be at higher risk to the deleterious effects of DEP (Holguin, 2008). By delaying the introduction of DEP 6 h following TCR activation, the effect of DEP on previously activated cells was evaluated. Following DEP treatment, CD40L expression was significantly greater than in cells with TCR activation alone (Fig. 3). In comparison, DEP treatment elicited no effect on TCR-induced CD69 or CD25 expression further supporting CD40L as a novel target for negative effects of DEP exposure (Fig. 3). These findings have relevance to asthma and certain autoimmune disorders, as these diseases are characterized by the presence of underlying low level T cell activation (Schonbeck, Mach, & Libby, 2000). To further evaluate the effect of DEP on CD40L, cells were concurrently provided DEP in the context of optimal T cell activation involving TCR and CD28 costimulation, mimicking DEP exposure in the context of antigen-induced T cell activation. Consistent with previous findings, only CD40L expression was augmented in cells provided optimal activation (Fig. 4). Again, these results indicate that DEP may uniquely affect CD40L expression, and may provide further support for DEP as an adjuvant in immune system activation as described by others (Samuelsen, Nygaard, & Lovik, 2008; van Zijverden et al., 2000; Finkelman et al., 2004). Given that CD40L is an essential immune component and individuals with chronic low-level expression of this protein are considered to be an at-risk population, the ability of DEP to alter signaling pathways responsible for immune system activation needs to be further addressed as this may provide a pivotal piece of information as to how DEP elicits its effects on human health.
CD40L-mediated immune responses are not solely based upon the action of the membrane-bound protein but also via a soluble secreted factor. Soluble CD40L (sCD40L) exists as a truncated 18 kDa protein produced by the proteolytic cleavage of the full length 28-33 kDa membrane-bound form (Graf et al., 1995). Despite this truncation, sCD40L possesses appreciable biological activity, although to a lesser extent than membrane CD40L, and elevated sCD40L has been associated with a variety of human diseases including atherosclerosis, inflammatory bowel disease, and SLE (Aukrust et al., 1999; Kato et al., 1999; Ludewig, Henn, Schroder, Graf, & Kroczek, 1996). Based on the observation that expression of membrane and soluble CD40L appear to be differentially regulated (Matthies, Newman, Hodzic, & Wingett, 2006), experiments were conducted to evaluate the effects of DEP on both protein isoforms. Our experiments showed that in contrast to the increased expression of membrane CD40L (Figs. 1-2), DEP was insufficient to induce sCD40L in the absence of stimuli (Figs. 8-9). Studies combining DEP treatment with optimal T cell signaling further magnified this differential production of membrane CD40L. Specifically, evaluation of both isoforms showed a significant change in the expression of both protein forms, albeit in an inverse relationship, with an increase in membrane CD40L (Fig. 4) and a decrease in the production of sCD40L (Fig. 9). The preferential expression of membrane CD40L is significant as this isoform possesses superior biological activity in comparison to the soluble form and would be expected to elicit a stronger immune response (Ludewig, Henn, Schroder, Graf, & Kroczek, 1996). To further investigate this effect, experiments were performed to isolate the different signaling components of T cell activation to
determine if a specific pathway was affected by DEP, or if the effect was a global response.
Dissection of the TCR generated signals into the PKC and calcium pathways highlighted the larger contribution of DEP to induce PKC-dependent membrane CD40L induction. While PKC-induced membrane CD40L (Figs. 5 and 8) was markedly increased following DEP exposure, sCD40L levels were decreased (Fig. 8). Calcium signaling also clearly increased membrane CD40L expression (Fig. 6 and 8), although not to the extent of PKC, and had no appreciable effect on DEP regulated sCD40L expression (Fig. 8). Further studies to evaluate sCD40L regulation by DEP were employed to mimic physiological activation of T cells by TCR and CD28 costimulation. Membrane CD40L (Fig. 7) was augmented by DEP while sCD40L was again down-regulated (Fig. 9A) further suggesting a preferential production of membrane CD40L.
Interestingly, the only activation scenario that resulted in an induction of both membrane and soluble CD40L following DEP exposure was in experiments utilizing dbcAMP to mimic β-adrenergic agonists, medications commonly utilized in asthma treatment. In the context of asthma, aberrant CD40L expression may be one of many factors contributing to disease pathogenesis as supported by animal model studies (Mehlhop et al., 2000). Along these lines, research indicates that β-agonists can alter the expression of CD40L. Specifically, in a population of asthmatic patients following treatment with β-adrenergic agonist medications, and other agents that increase cAMP, an increase in CD40L expression was observed (Wingett, Forcier, & Nielson, 1999).
Acting as a second messenger, cAMP mediates the signals that regulate a host of T cell functions such as proliferation and cytokine production via both inhibitory and
stimulatory activities (Lacour et al., 1994; Desai-Mehta, Lu, Ramsey-Goldman, & Datta, 1996). As cAMP further amplifies Ca$^{2+}$-induced CD40L expression (Wingett, Forcier, & Nielson, 1999), we evaluated the effect of DEP exposure on cells costimulated with ionomycin and dbcAMP. The stimulatory property of cAMP to increase CD40L was enhanced in T cells exposed to DEP as measured by a modest, yet significant increase in the production of both membrane and soluble CD40L (Fig. 13). While the previously shown increase in membrane CD40L is a considerable finding, the increase in both isoforms of CD40L in cells treated with cAMP/$\beta$-agonists is noteworthy as individuals with chronic respiratory disease are far more susceptible to the injurious health effects of DEP. The ability of DEP to increase CD40L, when combined with cAMP-inducing agents, may in some way contribute to the increased severity of asthma symptoms occurring in recent years, and illustrates the importance of appropriate warning systems to alert at-risk individuals when environmental PM levels exceed acceptable ranges.
As the production of sCD40L is thought to involve the process of proteolytic cleavage, experiments were conducted to evaluate the effects of DEP on this mechanism, also known as shedding. While not completely elucidated, shedding is understood to be an important mechanism for regulating immune cell signaling by either reducing the amount of receptor proteins on the cell surface or by releasing soluble domains of proteins, which retain similar biological ability to their membrane-bound counterparts (Schlondorff & Blobel, 1999). The proteolytic cleavage mechanism implicated in the production of sCD40L, and other TNF family members, involves the action of the ADAM (a disintegrin and metalloproteinase) family proteins, including the ADAM-10 protease (Matthies, Newman, Hodzic, & Wingett, 2006). ADAM-10 mediated
proteolytic cleavage results in the production of a truncated, yet biologically active, CD40L protein with a molecular weight at $\sim 18$ kDa, in contrast to full length 28-33 kDa membrane-bound CD40L (Mazzei et al., 1995). As the production of sCD40L was down-regulated following DEP exposure in almost every activation scenario utilized in our studies, it was hypothesized that DEP was inhibiting the process of shedding by acting upon ADAM-10. Therefore, a recombinant chimeric fusion protein system was employed to assess whether ADAM-10 function was affected by DEP. Specifically, a murine recombinant protein was utilized that contained the putative cleavage site (methionine at position 113 in the extracellular region) that results in the production of the 18 kDa native sCD40L. A schematic representation of the murine CD40L-CD33 fusion protein, which contains the extracellular domain of CD40L, is shown in Fig. 14.
Consistent with previous reports (Matthies, Newman, Hodzic, & Wingett, 2006) and as shown in Fig. 10, a distinct 32 kDa band corresponding to the membrane CD40L protein was visualized with the cleaved 18 kDa band corresponding to sCD40L present only in ADAM-10 treated samples. Of interest, the appearance of a second, distinct cleavage product was observed in ADAM-10 samples ($\sim 9$ kDa) and may represent a secondary cleavage event. As expected, the appearance of the $\sim 9$ and 18 kDa cleavage products was also correlated with the decreasing intensity of the full length protein. In order to identify a potential amino acid sequence for the secondary cleavage event, the Biology WorkBench Pattern Match program was utilized. This program is provided by the University of California, San Diego Supercomputer Center. The fusion protein construct was analyzed for the presence of the putative ADAM-10 cleavage sequence responsible for the production of soluble tumor necrosis factor (TNF-$\alpha$) (Rosendahl et al., 1997) since
CD40L and TNF-α are structurally related and belong to the same super family of proteins (Bossen et al., 2006). While the exact sequence for TNF-α was not found, it is important to note that a detailed series of studies have been performed where amino acid substitutions in the putative TNF-α cleavage site were made and found to have varying effects on ADAM-10 proteolytic activity. Therefore, our analyses were extended to include these amino acid substitutions, especially given the increasingly recognized lack of ADAM-10 consensus cleavage sequences among characterized substrates to date (Rosendahl et al., 1997). Using this approach, a putative core cleavage sequence starting at amino acid 184 (SSQR) of the CD40L protein was identified, which may represent a second cleavage site. As described for various TNF-α amino acid substituted peptides, only the substitution of amino acid 77 from an alanine to serine was found to reduce the ability of ADAM-10 to cleave TNF-α (~39%), while the other three amino acids conferred 100% ADAM-10 mediated cleavage relative to the wild-type substrate (Rosendahl et al., 1997).
The known cleavage sites for ADAM-10 substrates are listed in Table 1, emphasizing the variability between amino acid sequences which makes the determination of a well-defined putative cleavage site difficult given the current state of knowledge regarding ADAM-10. Given that the amino acid sequences at substrate cleavage sites are highly variable, it is thought that structural and kinetic characteristics are more important than minimal amino acid sequence (Amour et al., 2000). In this regard, it is important to note that a region of significant homology (~86%) surrounds the putative second cleavage site between CD40L and TNF-α as determined using the Basic Local Alignment Search Tool (BLAST). This protein sequence analysis found an
alignment (12 out of 14 amino acids) between the two proteins from amino acids 165–180 in the CD40L extracellular domain. This TNF-like structural domain could potentially play a larger role in directing ADAM-10 to the second cleavage site in the CD40L protein than the individual amino acids themselves. The observation that DEP increased the abundance of the 18 kDa band, while markedly decreasing the intensity of 9 kDa band suggests that DEP can alter the activity of ADAM-10 to proteolytically process CD40L.
To fully understand the role of DEP on ADAM-10 function, further experiments are needed to investigate the cleavage events occurring within the CD40L fusion construct. Specifically, various antibodies directed against different regions of the CD40L extracellular domain could be utilized in Western blot experiments to conclusively demonstrate the occurrence of a secondary cleavage event, as the current polyclonal antibody detects both the ~18 kDa and 9 kDa protein cleavage products. Additional supporting experiments to evaluate the effects of ADAM-10 mediated cleavage on other known cleavage sites such as TNF-α or β-amyloid precursor protein (Table 1) are needed and would further elucidate the role of DEP on this matrix metalloproteinase.
An alternative explanation of the ADAM-10 Western blot results may be considered based on observations that the intensity of the ~32 kDa band corresponding to membrane CD40L appeared to decrease in samples containing DEP, without the appearance of the cleaved sCD40L product. In this cell-free system, the carbon core could bind to the CD40L fusion protein, resulting in the formation of high molecular weight aggregates. The presence of its carbonaceous core, an instrumental component of
DEP, can bind indiscriminately to various proteins and could lead to the formation of these aggregates, which would subsequently interfere with protein migration as the large molecular weight aggregates would fail to enter the acrylamide matrix. While it is possible that the 9 kDa product could be preferentially adsorbed to the carbon core relative to the 18 kDa product, the basis for this preferential adherence remains presently unclear. Nevertheless, ADAM-10 function may be altered by DEP and additional studies are needed to further address the impact of DEP exposure on ADAM-10 function.
While the results of our cell-free recombinant protein assay indicate that DEP may alter the function of ADAM-10 with respect to proteolytic cleavage of CD40L, these results are not readily resolvable with our cell-based sCD40L studies, which demonstrate a DEP-induced inhibition of sCD40L. We believe that the results of our cell-based assay represents a more physiological, and consequently more meaningful result as this system allows for evaluation of sCD40L as a combination of multiple mechanisms. Our cell-free system suggests that the down-regulation of sCD40L is not mediated by extracellular ADAM-10 but does not allow for the evaluation of other potential mechanisms responsible for the production of sCD40L. Recent observations do suggest that ADAM-10 proteolysis can also occur within intracellular compartments. A close link was reported between the transport of TNF-α to the cell surface and its cleavage (Arribas et al., 1996) and ADAM-10 appears responsible for the shedding of at least two proteins, CD44 and L1, in vesicles (Stoeck et al., 2006). Alternatively, sCD40L may be generated via an intracellular proteolytic event directly following protein synthesis since low levels have been detected in microsomes (Pietravalle et al., 1996). Alternate mechanisms for the production of sCD40L have been suggested such as alternative splicing to eliminate
transmembrane regions or the usage of alternate transcription initiation start sites, although no direct evidence has implicated these mechanisms in the production of sCD40L (Graf et al., 1995). Additionally, no Kozak consensus sequence in the corresponding nucleotide sequence is present allowing for alternative translation initiation. Another form of the soluble CD40L protein has been reported and begins at a slightly different amino acid position (Gln-114 instead of Met-113) and transfectants lacking nucleotides corresponding to the first 12 amino acids of full-length CD40L fail to express either membrane or soluble protein (Hsu et al., 1997). It is probably most likely that sCD40L production relies on a combination of intracellular processing and membrane cleavage events and further studies are needed to resolve the effect of DEP on these processes as the recombinant cell free system utilized in the ADAM-10 studies is unable to evaluate the contributions of different cleavage mechanisms to the *in vitro* production of sCD40L.
As DEP was found to alter the expression of membrane and soluble $T_H$ cell activation markers, evaluation of other soluble immune mediators was conducted. These factors in general, known as cytokines, exert immune system control at distant sites in the body via the circulatory system. Specifically, the expression of IL-8 and IL-17 were evaluated following DEP exposure. Both IL-8 and IL-17 are considered to be pro-inflammatory cytokines as these factors have been linked with allergic and autoimmune diseases such as asthma, atherosclerosis, MS, and Crohn’s disease (Grimm, Elsbury, Pavli, & Doe, 1996; Apostolakis, Vogiatzi, Amanatidou, & Spandidos, 2009; Miossec, 2009; Hashimoto, Akiyama, Kobayashi, & Mori, 2005). Samples from individuals with asthma showed an increase in IL-8 and IL-17 expression with animal models.
demonstrating the importance of these two cytokines in asthma pathogenesis (Hashimoto, Akiyama, Kobayashi, & Mori, 2005; Pease & Sabroe, 2002; Wang & Liu, 2008). $T_H$ cells are known to produce both IL-8 and IL-17 with IL-17 being a $T_H$ cell specific cytokine. While no appreciable effect on IL-8 was observed following DEP exposure, a 3-fold decrease in IL-17 production occurred (Fig. 11). While it is accepted that environmental toxins such as DEP can suppress immune system function (Siegel et al., 2004), IL-8 expression was not affected suggesting that the immunosuppressant capacity of DEP is not widespread to all cytokines. The biological relevance of decreased IL-17 may have multiple, and even complex consequences, as the effect of this cytokine varies according to disease state and the context of other cytokines present. For example, IL-17 appears to be important for initiating asthma pathogenesis, but later can act as a negative regulator of asthma as blocking of IL-17 function in a mouse model exacerbates disease state (Schnyder-Candrian et al., 2006; Wang & Liu, 2008). Therefore, further investigation into the effects of DEP on IL-17 production, in the context of healthy and at-risk populations, needs to be addressed to evaluate whether or not a decrease in this cytokine in IL-17 contributes to or alleviates the impacts of DEP.
Based on the observed immunoregulatory properties, the effect of DEP on T cell cytotoxicity was evaluated. As shown in Fig. 12, no evidence of cytotoxicity was observed as measured by propidium iodide (PI) staining, which measures changes in cell membrane permeability and is a classical indicator of cell death (Riccardi & Nicoletti, 2006). The failure of DEP to affect cytotoxicity in resting cells is interesting given that *in vitro* studies demonstrate death in other cell types, including bronchial epithelial cells, lung cells, and alveolar macrophages as a result of DEP (Nel, Diaz-Sanchez, & Li, 2001;
Wan & Diaz-Sanchez, 2007). Further studies are needed to assess the affect of DEP on viability in activated cells as they exhibit greater metabolic activity and may respond differently than resting cells.
In conclusion, the results presented here provide evidence for an immunomodulatory effect of DEP on $T_H$ cell with changes in the expression of key activation markers and cytokines. Of the activation markers evaluated, the expression of CD40L appeared to be differentially affected by DEP exposure with an increase in the expression of membrane CD40L in the context of every *in vitro* activation model utilized, without parallel increases in the other membrane-bound activation markers. Concurrent evaluation of the effects of DEP on both naturally occurring forms of CD40L highlighted the preferential induction of membrane CD40L expression, with a parallel decrease in the soluble version of this protein, with cAMP induction being the only exception. Therefore, the increased expression of the membrane-bound CD40L isoforms, which possesses greater inherent biological activity, is significant as the deleterious effects would be proportionally larger in individuals with allergic disorders including asthma. An alteration in the processes responsible for the production of sCD40L was also reported. In the context of cAMP signaling, the increased expression of both membrane and soluble CD40L following DEP would be expected to have more biological significance for the individual as both isoforms can induce the same down-stream signaling events. Also, as many medications act through the important cAMP second messenger, the impact of DEP would be very relevant to individuals with existing health conditions, who are predisposed to the harmful health effects of this common pollutant. DEP exposure also suppressed the production of IL-17, an important cytokine with
pleiotropic effects involved in the pathogenesis of asthma and other allergic diseases. Importantly, all of these immunomodulatory effects occurred in the absence of cytotoxicity. As diesel fuel continues to be a vital component of daily activity for all individuals living in industrialized nations, further research is needed to understand the molecular mechanisms occurring after DEP inhalation. Based on the research presented, which further supports an already existing body of knowledge, it is clear that steps need to be taken to minimize these effects and improve overall air quality. Future directions need to focus on understanding the mechanisms by which DEP affect immune cells, in addition to other cell types, to fully understand the implications of exposure. As standards and filtration systems improve, research will need to evaluate whether or not these improvements result in an increased quality of life. In addition, as alternative fuel usage increases, studies will need to be conducted to verify that the combustion by-products of these fuels lack the same risks as current fuels. The end result of this research will hopefully result in the creation and implementation of more stringent air quality standards to protect individuals exposed to common air particulate matter pollutants such as diesel exhaust particles.
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APPENDIX A
Tables
| Protein | Sequence | Reference |
|-------------------------------|--------------|------------------------------------------------|
| CD40L | SFEM*QRGD | (Ludewig, Henn, Schroder, Graf, & Kroczek, 1996) |
| Pro-TNF | LAQA*VRSS | (Rosendahl et al., 1997; Black et al., 1997) |
| IL-6 Receptor | LPVQ*DSSS | (Mullberg et al., 1995) |
| TNFR-55 | QIEN*VKGT | (Mullberg et al., 1995) |
| TNFR-75 | APGA*VHLP | (Crowe et al., 1995) |
| Pro-TFG-α | DLLA*VVAA | (Black et al., 1997) |
| c-kit ligand-1 | PVAA*SSLR | (Pandiella, Bosenberg, Huang, Besmer, & Massague, 1992) |
| β-Amyloid precursor protein | HHQK*LVFF | (Allinson et al., 2004; Asai et al., 2003) |
| | DSGY*EVHH | |
| Angiotensin-converting enzyme | AGQR*LATA | (Oppong, Turner, & Hooper, 1993) |
| L-selectin | KLDK*SFSM | (Rosendahl et al., 1997) |
| Myelin Basic Protein-1 | GSLP*QKSQ | (Naus et al., 2006) |
| Delta-Like 1 | SERH*MESQ | (Six et al., 2003; Dyczynska et al., 2007) |
| Heparin-binding EGF-like growth factor | PSKE*RNGK | (Hinkle et al., 2004) |
| Transforming growth factor α | VAAA*VVSH | (Hinkle et al., 2003) |
| Prion protein preproprotein | NMKH*MAGA | (Laffont-Proust et al., 2005) |
| Fc fragment of IgE, CD23A low affinity II | RAEQ*QRLK | (Lemieux et al., 2007) |
| | DQMA*QKSQ | |
| Eph receptor B2 | EYQT*SIKE | (Litterst et al., 2007) |
**Table 1.** ADAM-10 proposed proteolytic cleavage sites. The experimentally determined cleavage sites for known ADAM-10 substrates. Cleavage sites are indicated by an * in the given amino acid sequence.
APPENDIX B
Figures
Figure 1. Diesel exhaust particles increase CD40L expression on unactivated T helper cells. Purified CD4⁺ T cells were incubated for 24 h in the presence of DEP, stained with anti-CD40L, CD69, and CD25 Abs, and subsequently analyzed via flow cytometry. Results depict the percentage of positively staining cells and error bars depict standard error (SE). A) CD40L expression, n=6. B) CD69 expression, n=6. C) CD25 expression, n=6. Statistical significance was determined using a paired T test, * = p < 0.05 and *** = p < 0.0001.
Figure 2. Concentration dependent increase in membrane CD40L by DEP. Freshly purified CD4⁺ T cells were treated with different concentrations of DEP and CD40L expression was analyzed via flow cytometry. Results depict the percentage of CD40L positive cells and error bars depict SE, n=6. Statistical significance was determined using a repeated measures ANOVA, * = p < 0.05, and *** = p < 0.0001.
Figure 3. Effects of DEP on CD3 activated T cells. CD4⁺ T cells were cultured with anti-CD3 mAb for 6 h and transferred to fresh culture wells. Cells were then treated with DEP (800 μg/ml) for an additional 18 h and CD40L expression evaluated using flow cytometry. Data is presented as percentage of CD40L positive cells, and error bars depict SE. A) CD40L expression, n=4 B) CD69 expression, n=3 C) CD25 expression, n=3. Significance was determined using a paired T test, * = p < 0.05.
Figure 4. Effects of DEP on CD28 costimulated T cells. CD4⁺ T cells were stimulated with Dynabeads® ± DEP (800 μg/ml) for 24 h. Surface expression of each respective T cell activation marker was analyzed using flow cytometry, n=3, with error bars depicting SE. Panel A) CD40L expression, B) CD69 expression, and C) CD25 expression. Significance was determined using a repeated measures ANOVA, * = p < 0.05.
Figure 5. DEP augments PKC-dependent CD40L protein expression. CD4⁺ T cells were stimulated with PMA ± DEP (800 μg/ml) for 24 h and expression of activation markers evaluated by flow cytometry. A) CD40L expression in PMA (2 ng/ml) ± DEP treated cells, n=7. B) CD25 expression in PMA (0.5 ng/ml) ± DEP treated cells, n=3. C) CD69 expression in PMA (0.5 ng/ml) ± DEP treated cells, n=3. Error bars depict SE with asterisks indicating statistical significance, * = p < 0.05 and *** = p < 0.0001.
Figure 6. DEP augments calcium-dependent CD40L expression. CD4⁺ T cells were stimulated with ionomycin 0.75 μM ± DEP (800 μg/ml) for 24 h and changes in protein expression evaluated using flow cytometry. Panel A) CD40L expression, panel B) CD69 expression triplicate, and panel C) CD25 expression. CD40L data, n=5, and CD25 and CD69 data presented are from a representative experiment performed in triplicate. Error bars depict SE with asterisks indicating statistical significance, * = p < 0.05 and ** = p < 0.001.
Figure 7. DEP induces CD40L in PMA and ionomycin activated cells. CD4⁺ T cells were stimulated with varying amounts of ionomycin and PMA ± DEP (800 μg/ml) for 24 h and changes in CD40L expression evaluated using flow cytometry. The percentage of CD40L positive staining cells from a representative experiment performed in triplicate is shown. Error bars depict SE with asterisks indicating statistical significance, * = p < 0.05 and *** = p < 0.0001.
Figure 8. Membrane and soluble CD40L expression are differentially regulated by DEP. CD4+ T cells were stimulated with ionomycin (0.75 µM) or PMA (2.0 ng/ml) for 24 h. Cells were dual harvested and concurrently analyzed for soluble and membrane CD40L expression by ELISA and flow cytometry, respectively. Panel A) PMA-induced membrane CD40L B) PMA-induced soluble CD40L C) Ionomycin-induced membrane CD40L D) Ionomycin-induced soluble CD40L. Data above represents n=4 and error bars depict SE. Significance was determined using a repeated measures ANOVA, * = p< 0.05 and *** = p< 0.0001.
Figure 9. T cell receptor induced soluble CD40L expression is inhibited by DEP. CD4+ T cells were stimulated through the TCR via ionomycin (0.75 µM) + PMA (2.0 ng/ml) or CD3/CD28 Dynabeads® for 24 h. Cells were dual harvested and concurrently analyzed for soluble and membrane CD40L expression by ELISA and flow cytometry, respectively. Panel A) Ion/PMA induced sCD40L n=3 B) CD3/CD28 induced sCD40L n=4. Error bars depict SE and significance was determined by paired T test, * = p< 0.05.
Figure 10. Effects of DEP on ADAM-10 mediated proteolytic cleavage of CD40L.
Murine CD40L/CD33 fusion protein (0.5 μg) was incubated with 20 μg/ml recombinant human ADAM-10, with (lane 4) or without 800 μg DEP (lane 3), for 5 h at 37 °C in 25 μl of total reaction mixture. The mixture was then fractionated by 10% SDS – polyacrylamide gel electrophoresis under reducing conditions. Processed and full-length CD40L fusion proteins were detected by Western blotting using a goat-polyclonal antibody for the extracellular domain of CD40L. Lane 1, CD40L fusion protein; lane 2, CD40L fusion protein and DEP; lane 3, CD40L fusion protein and rADAM-10; lane 4, CD40L fusion protein, rADAM-10, and DEP.
Figure 11. Production of IL-17 is down regulated following DEP exposure. CD4⁺ T cells were stimulated with CD3/CD28 Dynabeads® ± DEP (800 μg/ml) for 24 h and cell free supernatants were analyzed for IL-8 and IL-17 cytokine production. Panel A) IL-17 n=6 B) IL-8 n=5. Error bars depict SE and significance was determined using a paired T test, * = p <0.05.
Figure 12. DEP fails to appreciably affect T cell viability. Purified CD4⁺ T cells (>95%) were treated with increasing concentrations of DEP for 24 h and cell viability evaluated using propidium iodide staining and flow cytometry. Results are depicted in percent viability from three independent experiments and error bars depict SE.
Figure 13. β-agonist induced membrane and soluble CD40L expression is heightened after DEP exposure. CD4⁺ T cells were stimulated with ionomycin (0.75 μM) ± dbcAMP (100μM) ± DEP for 24 h. Cells were harvested and analyzed concurrently for membrane and soluble CD40L expression by ELISA. Panel A) Membrane CD40L, n=4; B) Soluble CD40L one representative experiment performed in triplicate. Error bars depict SE. * = p < 0.05 and *** = p < 0.0001.
Figure 14. A schematic representation of the ADAM-10 cleavage sites located in the murine CD33-CD40L fusion protein. The proposed cleavage site at position 112-116, (*, EMQR) results in the production of an ~18 kDa band, representing sCD40L. A second cleavage site was identified using the Biology WorkBench Pattern Recognition Program created by the University of California, San Diego Supercomputer Center. The site at position 184-188 (**, SSQR), related to the known TNF-α cleavage sequence, may result in the production of the secondary cleavage product of 9 kDa.
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I’m Emily P. Freeman and welcome to The Next Right Thing. You’re listening to Episode 36.
If you’re new to the podcast, I’m so glad you’re here. I hope our time together will become a habit you look forward to every Tuesday like a welcome speed bump in your week reminding you to slow down and simply do the next right thing.
A welcome speed bump…is that a thing? We are going to make it a thing.
I heard from a lot of you after last week’s episode - episode 35 - where I had a conversation with actor and author Candace Cameron Bure. I wanted to quickly say thank you for the encouragement I received from many of you in messages and emails. It was my first time trying an interview format here. While it won’t be a regular practice, I super appreciate your willingness to go with me as I tried something new.
I realize we’ve developed some trust between us and I always want to do my best to honor that trust by delivering what I promise: space for your soul to breathe so that you can discern your next right thing.
Everything I do here will be to that end. This week, I feel compelled to take us back to the basics, the phrase our podcast is built upon: *let’s practice doing the next right thing.*
I’ve mentioned before it’s difficult to find an original source for this phrase because so many have said it, from Mother Teresa to Theodore Roosevelt, Anne Lamott and Martin Luther King, Jr. It sounds like such an obvious statement, after all, that’s what we do every day is just the next thing, right? What’s so inspiring about that?
Well, I don’t know about you, but no one needs to tell me to make things complicated.
No one is tapping me on the shoulder and saying, Whatever you do today, Emily make sure it’s harder than it has to be, okay?
No one has to tell me that because I do that all on my own. I am pretty much a professional at making things complicated and then trying to do them all at once.
Instead, what I need to be reminded of is to keep things simple, to stay in this day, and to simply do the next right thing now.
If you need that reminder too, listen in.
***
Sometimes our minds need time to process our realities, even when our reality is obvious to everyone else. No amount of lecture or explanation will ever help us to see something until we’re ready to see it for ourselves.
That’s why it’s possible to be the last one to know that you’re in love with that guy you’ve been hanging out with. And when you finally admit it, everyone in your life is like, *Duh we’ve known that for months.*
It’s why when you finally admit it’s time for you to quit your job or change majors or start something new, often times the people in your life who know you best will just nod their head knowingly, relieved you’ve finally realized what they’ve known for months.
Several years ago, I was that person who didn’t realize something that was obvious to everybody else.
I still remember the moment it happened.
I was walking home from taking my girls to the neighborhood school and as I walked up the hill to our house, I started going over in my mind all there was to do.
Several things were normal house-y things: I had to go to the grocery store, do the laundry, finish the dishes, call the tree guy, price stuff for a yard sale we were having that weekend.
Other things were work-type things: I had to finish some photo edits, and turn in something my publisher asked for, I had an article to write, and I needed to prepare a blog post.
As I approached my front door I could feel my heartbeat start to speed up. My breathing got a little bit more shallow than it had been, my craving for coffee shot through the roof.
In short, I was stretched too thin and but I didn’t fully know why.
And so there was a moment when I was loading the dishwasher while I was also planning out an email response in my head that I heard this phrase kind of ping in my head, and everything came together. *Emily, it said, you have a job.*
I know it sounds crazy to not know that, but when you work from home and you’re also a mom, it’s easy to believe the illusion for a pretty long time that you are a stay-at-home mom.
It was especially tricky because when I agreed to write a book and partner with a publisher, it didn’t feel like a job in the way my past jobs felt like jobs because I didn’t go into an office, meet with HR, or have to clock in or out.
I didn’t have workmates or a cubicle or paid time off. I didn’t even have a boss, not really.
These aren’t complaints, they’re just to point out how gradual the change was. The lines between home and work were hard to see and I was the one who had to draw them. At that time, I wasn’t drawing them well simply because I didn’t realize I needed to.
The result for me was frustration, overwhelm, and that feeling that I was trying to do everything but not doing any of it very well.
On a good day, I could only do most of it by half.
Admitting I had a job required a bit of grieving for me personally. Looking back, I never planned to start working at the time that I did. But I did just do the next right thing and each of those next-right-things ended up leading to several book contracts.
Those book contracts were a gift and the income I’ve been able to generate mostly from home has blessed our family.
But even good things come with shadows, and I’m learning to hold both the gifts as well as the burdens at the same time. For me, admitting I had a job was an obvious important first step. And it was that first step that led to some much needed freedom for me.
After that, my conversations with John started to change. The way I looked at our schedule started to change. And most importantly, I became kinder toward myself, realizing the only person who expected me to do “it all” was me.
No matter your life stage or your circumstance, when things begin to change, it’s important to be vigilant about the expectations you might be carrying around.
This is an example of a time in my life where my situation changed but it was slowly and over time but my expectations of myself didn’t shift along with it.
If I haven’t admitted or am unaware of my current life situation, I am going to continue to expect things of myself and other people as if things are as they’ve always been when, in fact, they are not. The result? Stress, overwhelm, and trying to do too much at once.
This leads to an inability to discern my next right thing.
Another thing I do?
I move into the future predicting outcomes, and these outcomes generally don’t turn out okay in my mind. I feel guilty about missing days with my kids in a summer that hasn’t happened yet. I lose sleep over a conversation that I *might* have to have with an acquaintance. I imagine how someone might perceive me, and then I defend myself in my mind against that pretend perception.
I allow my emotions to walk into the future without my rational mind, like a gang of toddlers without a parent.
I can’t possibly do the next right thing because I’ve traveled so far into the future, that my next right thing is far back in my imaginary past.
So essentially first, I underestimate my current situation and then I overestimate my future ability to handle things.
So where do we go from here? Well, the only place we can go, the only place accessible to us. We go to now. So, let’s practice doing that together.
***
First, look at your life and see what’s there. Name it. Recognize it.
I’m going to ask you a series of questions and I want you to answer them without judgment, condemnation, anger, blame, or shame.
Now, I say that because sometimes we need someone to remind us to simply be with what’s true without trying to change it, fix it, or put a spin on it to make it sound better or worse.
So here we go:
Is there something in your life that has changed that may be causing some extra overwhelm?
Have you had an injury or a sickness that has changed your energy level or ability in some way?
Are you having work done in your house for renovation or upkeep and this has brought extra people in your home at odd times?
Does someone close to you need you more now than they have in the past?
Is a child or a loved one struggling with anxiety? Sickness? Heartbreak? Or pain?
Are you waiting for results that are out of your control? How long have you been waiting for those results?
In general, have you added something new to your schedule without taking anything away?
Or, have you taken away something from your schedule that was life-giving to you but you had to take it away in order to make room for something necessary but maybe not as life-giving?
If these are hard to answer, consider asking someone close to you to answer them on your behalf. Maybe they will see something you’re unable to see for yourself.
Now, take all of these things you’ve named, or you’ve asked someone else to name for you and sit with them for a moment.
Let what is true today be true for now.
Here’s one simple practice I’m doing that sounds so elementary I’m almost embarrassed to share it, but I will because number 1. You’re my people and number 2. I know my tendency to make things more difficult than they need to be and maybe simple is just what we are all looking for today. And this one is pretty simple.
First, take one thing on your mind that feels overwhelming.
State what it is. And then, turn it into a question and add *today* on the end.
For example, my twin girls start high school in the fall and, while I’m not exactly worried about it, it is something weighing on me in the back of my mind. I think about that time that’s coming, I wonder if I’m prepared, if I’ve gotten them prepared, if there are things I haven’t thought of that we need to do.
For this simple exercise, I would say: “I’m thinking about my girls starting high school in the fall.”
Turn it into a question and add today: “Are my girls starting high school in the fall today?”
If the answer is no, I can set it aside.
If the answer is yes, ask yourself what is the next right thing I can do right now as it relates to this concern? If that feels confusing or maybe it’s so simple it’s confusing, I’ll give you another example.
Later this week, I’m traveling for a short overnight trip. It’s kind of hanging over my head and I’m feeling a bit scattered about it.
So, to state my concern, I’m thinking about my trip to Raleigh.
Turn it into a question, is my trip to Raleigh happening today?
No, but it is happening this week and I do need to prepare for it.
Okay, so what is one next right step I can take today to prepare for this trip?
I can’t do it all, but I can do one thing. And then I can do one more thing after that.
What about you? What is something on your mind?
Turn it into a question and add today.
Sometimes the thing on your mind is happening today. The answer is still the same — what is one next right thing you can do today?
Because that’s all you can do anyway. You can only do one thing at a time. Even better, you have permission to only do one thing at a time.
Let’s ask our Father to remind us of what’s true.
We come to You as our insides shake with constant activity.
We are distracted and we’re making things harder than they need to be.
We aren’t sure what big task to tackle next.
Instead of carrying shame because we can’t figure out how to calm this hustle, we rejoice with confidence that we don’t have to undo ourselves.
We don’t have to figure our way back to the light and easy way of Jesus.
Because You have already made Your way to us.
We have Your Spirit living within us, which means there’s hope for us after all.
You give us what we need to stay in today.
Like a Good Shepherd, you have prepared the green grass so we can lay right down on it.
You lead us beside still and quiet waters
And you always restore our soul.
You are the patience we need to finish each task, one step at a time.
You invite us with love into each moment and enable us to simply do the next right thing in love.
***
Thanks for listening to Episode 36 of The Next Right Thing.
If you would like to connect beyond the podcast, I post almost daily to Instagram where you can find me @emilypfreeman and you can also find me over at emilypfreeman.com.
We provide a transcript for each episode, so if you know someone who either can’t hear or prefers reading to listening, you can download those transcripts at thenextrightthingpodcast.com.
You already know on Tuesdays I bring you *The Next Right Thing*, but you might not know that on Saturdays, I send out *One Last Thing*.
This is a mercifully short list I send to the email inbox to subscribers of good things to read, watch, and listen to kind of like your benediction to end the week before you start your weekend. I’m a big believer in sharing things that are meaningful to me and those Saturday morning emails are where I tend to do it.
If your soul subscribed to a newspaper, this would be it. I’ve been curating content for the weekend for years now and I just realized if you only know me from this podcast, you might not know about that.
If you’d like to get that short email there’s a link in the show notes to sign up for it.
As always, everything I point to will always help create space for your soul to breathe.
If our short time here together on Tuesdays has been helpful to you, I would love to ask a favor? Would you be willing to leave a short review in iTunes? It doesn’t have to be long, but those reviews help other people find the show and any words you could offer there, well, it would be super encouraging.
Now some final words from Psalm 118:24, a simple reminder to stay right here without rushing into the future
“This is the day that the Lord has made; let us rejoice and be glad in it.”
This is the word of the Lord. Thanks be to God.
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EDITOR'S MEMO
An Early Reminder: Take A NATESA And/Or NESDA Tax-Deductible Vacation This Summer
The annual conventions of the National Alliance Of Television & Electronic Service Associations (NATESA) and the National Electronic Service Dealers Association (NESDA) are scheduled for August.
Why plug a couple of events three months in advance—even worthwhile events such as the NATESA and NESDA annual conventions?
Well, last year I reminded ET/D readers of the scheduled dates of these two important electronic service industry events about one month in advance—which, according to the many letters I received, was too late for many of you to alter your vacation travel plans to include one or both of the conventions.
So, to prove that I learn from my mistakes—usually—this year I'm reminding you three months in advance:
**NATESA ANNUAL CONVENTION**
Dates: Aug. 25-28
Place: Carson's Nordic Hills Resort, Itasca, Illinois (Between Chicago's O'Hare International Airport and downtown Chicago)
For Registration Info: Write Frank Moch, NATESA, 5908 S. Troy St., Chicago, IL 60629, or call Mr. Moch at 312-476-6363
**NESDA ANNUAL CONVENTION**
Dates: Aug. 16-20
Place: Sheraton Twin Towers, Orlando, Florida
For Registration Info: Write Dick Glass, NESDA, 1715 Expo Lane, Indianapolis, IN 46222 or phone Mr. Glass at 317-241-8160
And remember, you don't have to be a NATESA or NESDA member to attend either convention, and your transportation costs to and from the conventions and most of your other convention expenses probably will qualify as tax-deductible business expenditures.
J. W. Phipps
THE COVER: We "borrowed" a few items from the parts inventory of one of our neighbors in Duluth—Master Radio & TV—to produce our cover photo. It is symbolic of our two-part "TV OEM Replacement Parts Source Directory", which begins on page 33.
10 Beta Overview
What is "beta"—how is it related to "alpha"—what does it mean to the electronic servicer—and how do you measure it? This overview gives you the answers. By J.W. Phipps
18 Electronics Self-Test: Capacitor Replacement Selection
Time to put your thinking cap on and answer sixteen carefully chosen questions involved in the selection of a replacement capacitor.
22 Professional Auto Tests & Measurements Using An LF Spectrum Analyzer—Part Two
This is the conclusion to our series on how a low frequency spectrum analyzer can provide a quick, direct measurement of stereo amplifier performance.
28 Understanding & Servicing IC-Equipped AGC Systems
We take a look at several of the new IC-equipped AGC circuits to see how they operate—and how they can be serviced. By Paul Shih
33 TV OEM Replacement Parts Source Directory—Part I
You'll probably want to save this two-part feature for future reference. It is a complete listing of the major TV manufacturers and their authorized Parts Replacement Depots.
DEPARTMENTS
1 EDITOR'S MEMO
4 NEWS OF THE INDUSTRY
8 TECHNICAL LITERATURE
42 DEALER SHOWCASE
44 TEST INSTRUMENT REPORT
46 NEW PRODUCTS
54 CLASSIFIED ADS
56 ADVERTISERS INDEX
57 READER SERVICE
59 TEKFAX
HARCOURT BRACE JOVANOVICH PUBLICATIONS Robert L. Edgell, President. Lars Fladmark, Senior Vice President. Richard Moeller, Vice President Treasurer. Thomas Greney, Vice President. Ezra Pincus, Vice President. James Gherna, Vice President. Lois Sanders, Vice President. George Glenn, Editorial Director.
ELECTRONIC TECHNICIAN/DEALER is published monthly by Harcourt Brace Jovanovich Publications. Corporate offices: 757 Third Avenue, New York, New York 10017. Advertising offices: 43 East Ohio Street, Chicago, Illinois 60611 and 757 Third Avenue, New York, New York 10017. Editorial, Accounting, Circulation, Advertising Production and Circulation offices: 1 East First Street, Duluth, Minnesota 55802. Subscription rate: one year, $8; two years, $14; three years, $20. Single copies: $1.00 in U.S. and Canada. Other countries: one year, $15; two years, $24; three years, $30. Single copies: 75¢ e.a. in U.S. and Canada; all other countries, $2. Second Class postage paid at Duluth, Minnesota 55806 and at additional mailing offices. Copyright © 1977 by Harcourt Brace Jovanovich, Inc. All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or any information storage and retrieval system, without permission in writing from the publisher.
POSTMASTER Send Form 3579 to ELECTRONIC TECHNICIAN/DEALER, P.O. Box 6016. Duluth, Minnesota 55806.
Nobody can replace all our replacements.
When it comes to replacement tubes, nobody has as many types as Sylvania—from power amplifiers to Nuvistors.
We’ve got them for domestic and foreign TVs, radios and stereos, plus a full line for industrial applications.
So, when you need replacement tubes come to the place that has everything—your Sylvania distributor.
You’ll find he’s irreplaceable.
GTE SYLVANIA
MAY 1977, ELECTRONIC TECHNICIAN/DEALER / 3
Summer Consumer Electronics Show To Be Biggest Ever
Predictions are now that the Summer Consumer Electronics Show (CES) to be held at McCormick Place in Chicago, June 5-8, will surpass all previous shows by the number of exhibitors and space used. Jack Wayman, senior vice president, Consumer Electronics Group, Electronic Industries Association, the sponsor, says that 90% of exhibit space is sold, for a total of 400,000 square feet, making it one of the five largest trade shows in the country.
Show manager, Bill Glasgow, says the Summer CES is "the largest trade show in the world devoted exclusively to consumer electronic products."
For the first time, said Wayman, "the summer CES will use the entire facilities of McCormick Place, which includes the Mall, lobby, and concourse levels. In addition, 150 public rooms and suites in adjacent McCormick Inn will be used by audio component exhibits.
The 1977 Summer CES will follow its custom of generally arranging exhibits by category, namely, audio compacts, audio components, television, video games, calculators and watches, and CB radios.
New Home Entertainment Industry Organization Planned For California
Efforts are being generated to launch a new organization in California to represent the interests of the consumer appliance and home entertainment industries. The idea is to provide a voice for the industry in their dealings in the areas of government active in the regulation of business.
Electronic Industry Sales in 1977 Expected To Rise Ten Per Cent
According to the 1977 Industrial Outlook, a report prepared by the U.S. Department of Commerce, sales of electronic products should reach $58.39 billion—a 10 percent increase over shipments in 1976 of $52.98 billion. New markets and an expected business upturn are the reasons for the expected increase.
The report forecasts a 27% increase in 1977 in the sales of CB radios for a total of $1.4 billion, of which 75% will be imports, mostly from Japan.
The sales of electronic components will increase this year 8 per cent over 1976, with a total expected of $12.17 billion.
RCA Launches Third New TV Chassis In Three Years
Another new color TV chassis has been introduced by RCA—the third in as many years. The new chassis weighs 8½ pounds less than the old chassis and with 8 modules draws only 86 watts. It is designed for the low-end 19-inch and 25-inch color models, but so far is available only in 19-inch sets. RCA officials say that the new chassis operates 24% cooler with higher performance and will be easier to service than any previous RCA models.
Television Imports Increased By Almost 71% In 1976
According to the import/export figures for consumer electronic products compiled by the Electronic Industries Association (EIA), a total of 7,160,760 television units, or 70.9% more than 1975, were imported in 1976. Color TV imports increased 133.3% in 1976 over 1975, while B & W TV imports increased by 45.5%.
Total radio imports of 41,364,156 units were 29.5% over the 31,941,044 units imported in 1975. Phonograph imports increased by 89% over 1975, and other consumer electronic imports showed similar gains.
Dollar value, at customs level, also increased in all consumer electronic categories. Meanwhile, exports of consumer electronic products also increased in all categories, except with home radios and audio tape equipment.
Some CB Manufacturers Decide To Diversify
Two of the most active CB radio manufacturers, Hy-Gain and Pathcom (Pace), have decided to put their producing and marketing eggs in more than one basket. Both firms have announced diversification into other lines but CB.
Hy-Gain Electronics plans to purchase Darco, Inc, a firm in Omaha, Nebraska, that produces automatic meter-reading equipment that works in conjunction with communications products. In addition, Hy-Gain says they will also produce a broader line of marine radios and automotive audio products.
Pathcom, meanwhile has reorganized its operation into two groups—one for consumer products and the other for land mobile and marine products. They also will introduce a
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To top that off, the complete CB42 is hundreds of dollars below the nearest competition, and thousands below most. We’ve got our competition beat, and you’ll beat your competition, too, by saving these six ways with this CB42 Profit Center.
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One simplified tester in a single case saves time on every test on any CB that comes in your door, including Single Sideband sets; you won’t even need a scope.
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One direct-reading digital readout saves interpretation time and reading errors. You’ll know the CB’s frequency, generator frequency, Percent Off-Channel, positive/negative modulation and distortion, RF output, and audio output with a simple flick of a switch. Only the CB42 is this simple and complete.
$AVE ON CHANNEL CHECKING:
Simply rotate the CB42 and CB selectors through all 40 channels and read “percent off center frequency” on the direct-reading digital meter (.005% FCC maximum deviation) in less than two minutes for all 40 channels.
$AVE ON TIME CONSUMING CONNECTIONS:
Three cables, provided with your CB42, do the entire job; audio cable, transmitter cable, and receiver cable.
$AVE ON ANNOYING HOWL:
Why get a screwdriver in the back from the guy next to you, when you can substitute for that annoying speaker howl? Just plug the built-in, non-grounded speaker sub cable into the transceiver and quietly monitor the audio output on the meter.
$AVE ON BENCH SPACE:
The CB42 takes less than one-third the bench space of other equipment. You can even take it to the field with you, for on-the-spot mobile checks, since it is also 12 Volt battery powered.
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Phone (605)339-0100
VALUE LEADERS IN RADIO-TV, 2 WAY AND MRO INSTRUMENTS
...for more details circle 129 on Reader Service Card
MAY 1977, ELECTRONIC TECHNICIAN/DEALER / 5
line of pagers for common carriers and industrial/institutional users.
Both Hy-Gain and Pathcom will remain strong in CB but price, supply and the transition problems from 23-channels to 40-channels and the resulting losses in revenue reportedly caused them to diversify as insurance against the instability of the CB market.
**Three-year Warranty On TV Parts & Labor Offered Now By Canadian Firm**
Canada's only independent color TV manufacturer—Electrohome—is now offering through retailers a three-year warranty on parts & labor for their products. John Pollock, Electrohome president, according to *TV Digest*, feels that extended warranties "seem to be the coming thing in Canada's sluggish market."
Electrohome's 3-year TV service labor warranty is the longest in North America.
**Matsushita To Supply RCA With Their VHS Video Cassette Recorder/Players**
It's been announced that the Matsushita Electric Co. will supply the RCA Corporation with the VHS (Video Home System) video cassette recorder/players built to RCA's specifications.
The Matsushita system was chosen after a thorough analysis of the alternatives, according to Roy H. Pollack, vice president & general manager, RCA Consumer Electronics.
"The VHS format offers the best balance of all the essential needs of the consumer—value, playtime, performance, quality and reliability," according to Pollack.
The Matsushita system, said Pollack, can record and play up to four full hours of material on a single cassette, which is double the playtime capacity of other systems. Pollack emphasized that Matsushita's four-hour playtime does not require any mechanical changer mechanism. The new product will appear in the U.S. in late summer of this year.
In a later announcement, the Panasonic Company, which is a division of Matsushita, revealed that it will also introduce and market the VHS type video recorder/player later this year.
**Infrared Remote Tuning To Be 1978 Feature of GE Color TV**
Digital remote varactor tuning using infrared light instead of ultrasonics will be introduced in some General Electric color TV sets for 1978. This is an addition to the VIR feature—or "broadcast-controlled" color—introduced by GE last year. To be included on 6 consoles and two 19-inch models, the new remote tuning system will add around $140 to price of sets.
GE also will introduce a non-VIR type of automatic color control to most of its other non-VIR models in 1978—a move which is thought to be competitive with other manufacturer's color control systems, such as "Color Track" and "Color Sentry."
**PTS Electronics Adds Two New Service Centers**
The total number of company-owned tuner/module rebuilding service centers for PTS Electronics has now expanded to 46 with the purchase of two existing tuner companies.
The firm has purchased and consolidated the Tune-Rite TV Tuner Co. of Wauwatosa, Wisconsin, with the PTS operation in Milwaukee, and after purchase of the Tuner Service Co. of Baltimore, has opened a PTS operation at 5505 Reisterstown Road in Baltimore.
**1977 Consumer Electronics Annual Review Now Available**
The 1977 Consumer Electronics Annual Review containing the 1976 statistics, current status and history of all consumer electronic products is now available free of charge from the Electronic Industries Association's Consumer Electronics Group.
The 34-page booklet provides a unique overview of a multi-billion dollar industry that is one of the largest and most important in the world. The book contains statistical charts that compare the annual sales growth of the industry's products, and a report on the current status and analysis of consumer electronics at all marketing levels and distribution. For a free copy, write to EIA, Consumer Electronics Group, 2001 Eye Street, N.W., Washington, D.C. 20006.
**Introduction of New TV Lines To Occur Later Than Before**
According to a survey conducted by *TV Digest*, the first trade exposure of the new TV lines will occur later than in 1976 for 10 brands, 3 earlier and 3 about the same date. The favorite site for the unveilings will be Las Vegas, site of 4 meetings, followed by Chicago with 3. The earliest was JVC, introduced in April, and the latest will be Magnavox, set for July 25.
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Astatic's Buckeye Low Impedance Dynamic CB Microphone is only $11.95.*
Astatic's Buckeye... The hand held dynamic mobile model that's high in performance but low in price. Offers low impedance with controlled response.
The Buckeye has a rugged plastic housing for high impact protection. Convenient because the press-to-talk lever can be controlled with either hand. Designed for universal hook-up, the Buckeye has a six-wire cable. It's factory wired with an open audio line on receive.
For economy and performance, it's Astatic's Buckeye Low Impedance Dynamic CB Microphone. Only $11.95, Good Buddy!
Write for more information today or see your Astatic dealer. Ask for the Buckeye Model 400.
* List Price $11.95
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THE ASTATIC CORPORATION
CONNEAUT, OHIO 44030 (216) 593-1111
IN CANADA:
1820 Ellesmere Road, Scarborough, Ontario M1H 2V5, (416) 438-6384
...for more details circle 106 on Reader Service Card
MAY 1977, ELECTRONIC TECHNICIAN/DEALER / 7
A Semiconductor Cross Reference Guide & Catalog of all of Motorola's HEP products is now available. The new 184-page book lists and describes replacements for over 60,000 different discrete devices and ICs. Included are discrete silicon and germanium power transistors, thyristors, small-signal FETs and bipolar transistors, C.B. RF power transistors, zeners, rectifiers and opto-electronic devices. One hundred and ninety-eight new products have been added to the catalog; 104 are newly offered TTL functions. Industry-popular TO-220 packaged components are also included. And a single chip, 3½ digit DVM IC, that utilizes CMOS technology to provide both linear and digital circuit functions, is also described. The new catalog is available for $2.00 from HEP distributors, or write to Technical Information Center, Motorola Semiconductor Products, Inc., P.O. Box 20294, Phoenix, Arizona, 85036.
A Manual On CB Transceiver Servicing, the manual for B&K-Precision's Model 1040 CB Servicemaster, is now available as a reference guide. The manual contains individual chapters on CB performance testing, CB receiver adjustments and troubleshooting CB transceivers. In the CB Performance Testing chapter, 22 different test procedures are detailed with explanations of each specification. Troubleshooting information describes how to locate a CB transceiver fault in the shortest time possible and even synthesizer troubleshooting data is included. Both AM and SSB transceiver types are covered. The manual is available for $5 (postpaid) from B&K-Precision, Sales Department, 6460 W. Cortland Avenue, Chicago, IL 60635.
A New Loudspeaker Catalog, "Quam '77, The Sound Decision," is now available from Quam-Nichols Company. The 12-page catalog lists 127 different loudspeakers available off-the-shelf to cover virtually any loudspeaker application. As a new feature, the catalog includes listings for a recently introduced group of mobile 2-way radio replacement speakers. In addition, the catalog includes updated listings of general purpose, automotive, high fidelity, music instrument and sound system loudspeakers and matching line transformers. To aid in speaker selection, the catalog provides drawings of loudspeaker shapes and mounting configurations and complete descriptions of the properties and usages of the various magnetic materials used in the speakers. Available free from Quam-Nichols Company, 234 East Marquette Road, Chicago, IL 60637.
Two Test Instrument Catalogs are now available from Leader Instruments. The first is their full-line catalog of oscilloscopes, vectorscopes, multimeters, color bar and pattern generators, DVM's, millivolt meters, signal generators, wattmeters, sweep/marker generators and accessories. Photographs, specifications and prices are included. The second catalog is a descriptive, illustrated listing of the test instruments included in the Leader Communication Instruments Performance Test Center. Included are antenna couplers, an SWR wattmeter, and RF power meter, dip meter, antenna impedance meter, a CB harmonic meter and 3 inch oscilloscope. Both catalogs are available free to the industry from Leaders Instruments Corp., 151 Dupont Street, Plainview, N.Y. 11803.
Electronic Test Instruments are displayed and described in full color in the latest catalog from Sencore. Included are descriptions of the Sencore family of Cricket transistor tester/analyzers, the Big Henry multimeters, the Mighty Mite tube tester, the Big Mack and Super Mack CRT testers and restorers, and the Little Huey digital color bar generator, plus the full line of other test equipment, including the CB Analyzer. Prices are included. Available free from Sencore Instruments, 3200 Sencore Drive, Sioux Falls, S.D. 57107.
Color Video Products, Systems and Accessories are fully described in the latest illustrated catalog from JVC Industries. The catalog provides information about videocassette equipment such as color players and player-recorders, electronic editing VCRS and a new remote control unit. Portable color systems incorporating the firm's lightweight two-tube color camera, VCRs and VTRs. Available free from JVC Industries, Inc., 58-75 Queens Midtown Expressway, Massapeth, N.Y. 11378.
Electrical And Electronic Tools and Safety Equipment are described fully in the new catalog, No. 120, from Klein Tools. For anyone working outdoors on antennas, electrical and electronic equipment, this is the complete catalog of tools and equipment needed for the job. Everything from pliers to safety harnesses. Fully illustrated in 76 pages. Available free from Klein Tools, 7200 McCormick Road, Chicago, Illinois 60645.
CB Antennas and Accessories are described and illustrated in the first catalog issued by the newly formed Winegard Industries, Inc. The new literature, Catalog 770, is designed to acquaint the CB dealer and consumer with the company's 40-channel mobile antennas. Technical information and illustrations are provided for each of the firm's base load, center load and top load models. Included is a listing of antenna replacement parts and accessories, such as coaxial cables, mounts, whips, connectors and coils with springs. Available free to both distributors and dealers from John Von Harz, Winegard Industries, Inc., 3002A Winegard Drive, Burlington, Iowa 52601.
Antenna Tuning Systems For CB are described and illustrated in the latest brochure from Norcom Electronics. Titled "The Ultimate in Antenna Systems," the brochure describes Isolated Circuit Tuners, which are tuning instruments for mobiles, co-phased systems, and single or multiple antenna base station operations. Included are descriptions of the firm's line of Iso-Tune, Ultra-tune, and Back Talk antenna tuners, which are claimed to increase talk power for CB radios. Available free from Norcom Electronics, Inc., Box 332, Northfield, Ohio 44067.
TV Test Rigs, Brighteners, and Substitute Tuners are some of the items included in the latest catalog from TeleMatic. The new literature lists a universal TV test rig, yoke & convergence adaptors, extension tools, brighteners cross-referenced to tubes, crystal checkers, CRT testers, high voltage probes, curve tracers and power supplies. Also included are TV high voltage repair parts and kits. Available free from TeleMatic, 2245 Pitkin Avenue, Brooklyn, N.Y. 11207.
Exact Replacement Products for CB and TV Equipment are cross-referenced in a new replacement guide from Thordarson Meissner, Inc. The guide lists 44 flame-retardant flybacks and 14 yokes for the TV replacement market, of which 7 yokes and 19 flybacks are designed for imported TV sets. Also included is information on CB replacement parts, including 19 chokes, 16 driver transformers and 34 output/modulation transformers. The cross reference guides—for TV, TVPG 9, and for CB, CBRG 2—are available free at Thordarson distributors.
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DRIFT METER
● 3KHz ±0.1% test freq. source.
● 0.3Vrms signal output.
WOW/FLUTTER METER
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AUDIO FREQUENCY OSCILLATOR
● Frequency, 10Hz-1MHz, 5 ranges.
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AC MILLIVOLT METER
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151 Dupont Street, Plainview, N.Y. 11803 (516) 822-9300
West Coast: 7733 Densmore Ave., Van Nuys, Calif. 91406 (213) 989-2760 - In Canada: Omnitronics Ltd., Montreal, Quebec
...for more details circle 120 on Reader Service Card
MAY 1977, ELECTRONIC TECHNICIAN/DEALER / 9
A bipolar transistor's ability to provide current—and therefore voltage and/or power—amplification is dependent on how much current it can produce in its output circuit for given levels of current in its input circuit when its junctions are properly biased (emitter-base junction forward biased and base-collector junction reverse biased).
This characteristic of current 'transfer' from input to output is aptly titled *forward current transfer ratio* and is referred to as *alpha* if measured with the transistor connected in a common-base configuration (Fig. 1) and *beta* if measured with the transistor connected in a common-emitter configuration (Fig. 2).
**THE RELATIONSHIP OF ALPHA & BETA**
Alpha and beta are mathematically related. If the alpha of a transistor is known, the corresponding current gain in terms of beta can be computed, and vice versa. The principal difference between the two terms is the input element used in computing the ratio of input to output current.
As shown in Fig. 1, alpha is determined with the transistor connected in the common-base configuration. The *input* element in this configuration is the *emitter* and the output element is the *collector*. The formula for computing DC alpha is $I_c/I_e$. The DC alpha for the transistor in Fig. 1 therefore is .98mA divided by 1mA, or .98. (In the common-base circuit, current gain is always less than unity, or less than 1.)
The same transistor is shown connected in the common-emitter configuration in Fig. 2, for beta measurement. In this circuit configuration, the *input* element is the *base* and the output element, again, is the collector. The formula for computing DC beta is $I_c/I_b$. The beta of the transistor is therefore .98mA divided by .02mA, or 49.
The following formula is used to convert alpha to beta: $\text{beta} = \frac{\text{alpha}}{1 - \text{alpha}}$. Consequently, the beta of the transistor in Fig. 1 is: $.98/1 - .98 = 49$ (or the same as that in Fig. 2).
The formula for converting beta to alpha is: $\text{alpha} = \frac{\text{beta}}{1 + \text{beta}}$. Thus, the alpha of the transistor in Fig. 2 is: $49/1 + 49 = .98$ (or the same as that in Fig. 1).
A look at the inherent division of currents in a bipolar transistor provides a more revealing explanation of the relationship between alpha and beta and why alpha is always less than 1 while beta is always greater than 1. In any circuit equipped with a bipolar transistor, the current flowing in the emitter circuit always divides between the base circuit (.5 to 5%) and the collector circuit (95 to 99.5%). Consequently, collector current is always equal to emitter current minus base current, or $I_c = I_e - I_b$.
Therefore, alpha, which is the ratio of collector current ($I_c$) to emitter current ($I_e$), also can be expressed as $(I_e - I_b)$ divided by $I_e$. Applying this expression to the conditions in the common-base circuit of Fig. 1 we find that alpha equals $(1.00A - .02A)$ divided by $1.00A$, or .98.
And, beta, which is the ratio of collector current ($I_c$) to base current ($I_b$), can be expressed as
---
**Fig. 1—Common-base circuit configuration. Base is common to both the input (emitter-base) and the output (collector-base) circuit.**
**Fig. 2—Common-emitter circuit configuration. Emitter is common to both the input (base-emitter) and the output (collector-emitter) circuit.**
**Fig. 3—Common-emitter circuit which, along with chart in Fig. 4, is used to illustrate how collector current level affects beta measurement.**
**Fig. 4—Chart which illustrates how the DC beta of a bipolar power transistor depends on the collector current at which it is measured.**
**Fig. 5—Three general classes of bipolar transistors and the corresponding collector current range typically associated with each.**
Tuner Service Corporation
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TSC has been repairing private brand TV modules for over 3 years.
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For free Price List and complete information write or phone:
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PROVIDES YOU WITH A COMPLETE SERVICE FOR ALL YOUR TELEVISION TUNER REQUIREMENTS.
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- All shafts have a maximum length of 10½" which can be cut to 1½".
- Specify heater type parallel and series 450mA or 600mA.
NOW AVAILABLE—TUNER SERVICE PARTS CATALOG OF ALL SARKES TARZIAN VHF AND UHF TUNERS, INCLUDING EXPLODED VIEW DRAWINGS. OVER 200 PAGES. ORDER YOUR COPY TODAY. SEND $2.50 WITH ORDER TO BLOOMINGTON HEAD OFFICE.
HEADQUARTERS BLOOMINGTON, INDIANA 47401 537 South Walnut Street Tel. 812-334-0411
ALABAMA BIRMINGHAM, ALABAMA 35212 5623 1st Ave., N. Tel. 205-592-9150
CALIFORNIA NORTH HOLLYWOOD, CALIF. 91601 10650 Magnolia Boulevard Tel. 213-777-2720
MODESTO, CALIF. 95351 121 Phoenix Avenue Tel. 209-461-8851
SAN DIEGO, CALIF. 92102 1000 S. Amherst Blvd. Tel. 715-348-1292
TAMPA, FLORIDA 33606 1505 Cypress Street Tel. 813-253-0324
FT. LAUDERDALE, FLA. 33309 3516 N.W. 10th Avenue Tel. 305-566-4882
GEORGIA ATLANTA, GEORGIA 30310 744 Evans Road Tel. 404-261-2322
ILLINOIS SPRINKLERS, ILLINOIS 60202 510 West Brown Street Tel. 312-675-0230
URBANA, ILLINOIS 61801 908 E. Main St. Tel. 217-384-2052
INDIANA INDIANAPOLIS, INDIANA 46204 112 West St. Clair Street Tel. 317-632-3493
KENTUCKY LOUISVILLE, KENTUCKY 40205 1914 Taylorsville Rd. Tel. 502-581-1171
LOUISIANA BATON ROUGE, LOUISIANA 70804 2423 South 10th Avenue Tel. 504-821-3027
MASSACHUSETTS SPRINGFIELD, MASSACHUSETTS 01103 405 Dickinson Street Tel. 413-788-8206
MISSOURI ST. LOUIS, MISSOURI 63132 9577 Page Avenue Tel. 314-429-0433
NEVADA LAS VEGAS, NEVADA 89102 412 Western Avenue Tel. 702-384-4235
NEW JERSEY PHELPS, NEW JERSEY 07438 1179 Pennsylvania Avenue Tel. 201-872-0999
HOBOKEN, NEW JERSEY 07030 454 Central Avenue Tel. 201-792-3730
NEW YORK ROCHESTER, NEW YORK 14615 37 Fullman Ave. Tel. 716-647-9180
GREENSBORO, NO. CAROLINA 27405 1914 E. Main St. Tel. 919-272-6276
CHICAGO CHICAGO, ILLINOIS 60648 215 Pearl Road Tel. 213-741-2214
OREGON PORTLAND, OREGON 97210 1732 N.W. 35th Ave., P.O. Box 1014 Tel. 503-222-9059
PENNSYLVANIA PITTSBURGH, PA. 15209 515 Grant Avenue Tel. 412-821-4004
TENNESSEE MEMPHIS, TENNESSEE 38111 3150 Barron Avenue Tel. 901-455-2355
TEXAS DALLAS, TEXAS 75218 11540 Garland Road Tel. 214-748-8413
ST. LAURENCE, QUEBEC H4N-2L7 300 Decarie Boulevard Tel. 414-748-8003
CALGARY, ALBERTA T2H-1Y3 P.O. Box 5873, SW
WATCH US GROW
IF YOU WANT TO BRANCH OUT INTO THE TV TUNER REPAIR BUSINESS WRITE TO THE BLOOMINGTON HEADQUARTERS ABOUT A FRANCHISE...
...for more details circle 133 on Reader Service Card
(IE - IB) divided by IB. Applying this expression to the conditions in the common-emitter circuit in Fig. 2 we find that (1.00A - .02A) divided by .02A, or 49.
WHY BETA IS PREFERRED OVER ALPHA
Beta is the transistor gain characteristic measured by most service-type transistor testers principally because changes in transistor characteristics (such as junction leakages) which affect the DC operating point of a transistor-equipped circuit, and therefore its gain, produce larger (and therefore more easily measured) variances of beta than they do alpha, even though such changes produce the same effect on the current gain of the circuit.
TWO TYPES OF BETA
Actually, there are two 'types' of beta. The type we have discussed up to this point is called the DC, or large-signal, beta and is commonly labeled HFE.
RCA's SK line—Top of the Line in quality—is getting bigger, and bigger, and bigger!
The quality line keeps growing—RCA's comprehensive line of replacement transistors, rectifiers, thyristors and integrated circuits is now growing at the rate of 20 new SKs every month. That means there will be around 580 RCA types available by the end of the year — bringing the total of domestic or foreign semiconductors that can be replaced by a high quality RCA SK to over 130,000.
Get your 1977 Replacement Guide Supplements— As the new SKs become available, we'll issue monthly supplements to your Replacement Guide. New applications will cover consumer, TV, Hi-Fi, CB and industrial (power control). RCA Distributors will be able to offer you more selective performance and price choice. Call-backs are all but eliminated because every RCA SK is manufactured to the original OEM quality.
Stay up-to-date. See your RCA Distributor about the new SKs and Supplements. If you don't have the 1977 SK Replacement Guide, ask him for a copy, or write, enclosing $1.50 (check or money order) to: RCA Distributor and Special Products Division, PO Box 85, Runnemede, NJ 08078.
The other type is called AC, or small-signal, beta and is commonly labeled $h_{fe}$. Small-signal beta is measured by superimposing a small AC signal on the DC beta of Fig. 2 and measuring the resultant change in the collector current. In other words, AC beta is the ratio of a small change in collector current produced by a small change in base current.
Service-type transistor testers typically measure only DC beta.
**HOW BETA IS AFFECTED BY COLLECTOR CURRENT**
An accurate evaluation of the current gain characteristics of a transistor in relation to its type and application require that the beta test *should* be made with the transistor collector current as near as possible to the level it is in the application in which the transistor is used.
Assume that R1 in Fig. 3 is decreased until a current of 1 ampere (1000 mA) is produced in the collector circuit. If the current in the base circuit is 100 MA at this setting of R1, the beta of the transistor is 1000 MA divided by 100 MA, or 10.
The value of beta just computed applies only when 1000 MA of current is produced in the collector circuit. Other levels of collector current will produce different values of beta. This is illustrated by...
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Fig. 4, which is the gain-vs.-collector current curve of a typical power transistor. Note that beta decreases as collector current approaches zero and also as the collector current approaches the maximum current level which the transistor can safely handle.
Fig. 5 shows the three general classes of bipolar transistors and the ranges of collector current at which they typically are operated.
**MEASUREMENT OF BETA WITH A SERVICE-TYPE TRANSISTOR TESTER**
As an example of how DC beta is measured with a direct-reading service-type transistor tester, let's use Heath's Model IT-121, shown in Fig. 6.
The collector current levels provided by the Model IT-121, shown in the chart in Fig. 7, cover the range from .1mA to 1A. The appropriate current range is selected by pushing in one of five RANGE pushbuttons.
For in-circuit testing, the transistor elements are connected via test leads to corresponding jacks on the top center of the front panel. For out-of-circuit testing, the transistor is plugged into a socket on the top right of the front panel.
To set up the Model IT-121 for beta measurement, the TRANS pushbutton of the MODE selector and the BETA = INFINITY pushbutton of the Function selector are pushed in and the NPN/PNP pushbutton of the MODE selector is either pushed in (for PNP) or released (for NPN). This establishes the circuit in Fig. 8, which actually is a bridge configuration, as shown in Fig. 8B. Rt in Fig. 8B represents load resistor RS and any in-circuit shunt resistances (indicated by Rx in Fig. 8A). The principal purpose of this circuit is to balance out shunt resistances and leakage currents when the transistor is tested in-circuit, and to balance out leakage currents during out-of-circuit testing. This is accomplished by adjusting R11, the SET BETA INFINITY control, so that the meter needle is placed over the BETA INFINITY mark on the Beta scale (Fig. 9). With the meter needle at this point, the opposing currents in the two legs of the bridge are equal and cancel out each other. Consequently, no current flows through the expensive color picture tube. And when replacement time does come around, that smiling customer will remember that you saved her money...so you'll get the profit on the sale of a new CRT!
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**SpaceSaver: New RCA Flameproof Film Resistor Kit**
Introducing RCA's convenient, preloaded and prelabeled Flameproof Resistor Kit containing a wide range of the most-needed, standard value resistors in ½, 1 and 2 watt ratings. Two of each rating for a total of 330 resistors; all ±2% tolerance. Packed in a sturdy metal-frame cabinet for easy availability.
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RCA Flameproof Film Resistors
through the meter. Any subsequent unbalancing of the bridge, as indicated by movement of the meter needle, will be related only to actual collector current. If during this setup procedure the meter needle cannot be placed over the BETA INFINITY meter mark, either the transistor is defective, the NPN/PNP pushbutton is in the wrong position or, if the transistor is being tested in-circuit, a circuit defect exists.
Resistors R1 through R4 in Fig. 8A are meter-shunt resistors which change the sensitivity of the meter to correspond to the collector current range selected.
After the bridge has been balanced to cancel out the effects of in-circuit resistances and any leakage inherent in the transistor, the BETA CAL pushbutton of the FUNCTION SELECTOR is pressed in, connecting the base of the transistor into the test circuit, as shown in Fig. 10. Variable resistor R12, the BETA CAL control on the front panel, adjusts the emitter-base current of the transistor and, consequently, the transistor collector current. R12 is adjusted to produce sufficient current flow through the meter to place the meter needle over the X10, X5 or X5 meter calibration mark, depending on which collector current range and level have been selected. (Refer again to the chart in Fig. 7.) For example, if a collector current level of 10mA is desired, the 10mA pushbutton of the RANGE selector will have been pushed in and the BETA CAL control will be adjusted to place the meter needle on the CAL X10 mark. The level of current flowing in the collector at this meter indication is 10mA.
Next, the BETA pushbutton of the Function selector is pushed in, establishing the circuit shown in Fig. 11. It is identical to that in Fig. 10 except that R10 and the meter are interchanged. This does not affect the transistor operating conditions established previously, because the resistances of the meter and R10 are identical (1500 ohms). However, note that the shunt resistance across the meter when it is in the base circuit is ten times larger than the shunt for the corresponding current range when the meter was in the collector circuit. This increases the meter sensitivity by a factor of 10, so that the current required for full-scale deflection of the meter in the base circuit is only 1/10th of what it was in the collector circuit. One reason for this consistent difference of meter sensitivity between collector and base is that the base current of a transistor is inherently much smaller than the collector current and therefore requires a more sensitive meter for readable indications. And, if the meter is to be calibrated to read beta directly, as is the meter of the IT-121, the factor by which the meter sensitivity differs between base and collector readings must be consistent for each current range and must relate to the multiplication factor of the current ranges, which for the IT-121 is 10. (Note that the current ranges of the IT-121 shown in Fig. 7 differ by a factor of 10).
As an example of how the IT-121 meter scale reads out beta directly, suppose that the beta of a small-signal audio transistor is being measured at a collector current level of 1mA. The 1mA pushbutton of the RANGE selector is pushed in and the BETA CAL control is adjusted to place the meter needle over the CAL X10 mark (Fig. 9). The current now flowing in the collector circuit is 1mA. The meter is then switched to the base circuit by pressing in the BETA button of the
Function selector. Suppose the meter needle swings to the 1 (full-scale) position on the beta scale (Fig. 9). Because the meter sensitivity is now 10 times greater than it was in the collector circuit, the indication represents .1mA of current flowing in the base circuit. Since beta equals Ic/Ib, the beta of the transistor is 1mA/.1mA, or 10. The beta scale reading verifies this (meter reading of 1 multiplied by the calibration factor of 10 = 10).
EVALUATING THE RESULTS
The principal purpose of measuring the beta of a transistor during troubleshooting is to determine whether or not the transistor is capable of producing the current gain (and therefore power and/or voltage gain) required for the application in which it is used.
The beta of a number of properly operating transistors of the same type can vary over a relatively wide range. During the design of a circuit, the "design center" beta of the type of transistor to be used is selected as the beta around which the circuit will be designed. The 'normal' spread of beta values above and below the design center are compensated for by building in additional components which stabilize the operating point of the circuit throughout the wide range of beta values of transistor of the type that will be installed in the circuit during manufacturing.
From the preceding it can be seen that the "normal" beta of properly operating transistors of the same type is usually a relatively wide range instead of a specific value and that, consequently, beta usually should be evaluated in terms of the minimum value specified for that type in transistor manuals. (One exception to this rule is when transistors of the same type must be matched for use in complementary symmetry circuits, etc.) If the beta of a transistor at least meets the "minimum beta" specification for its type, it usually can be considered to be capable of performing its intended circuit function, if its other characteristics, such as junction leakages, are within normal specified limits.
If the transistor does not produce at least the minimum specified beta, or if the tester being used to measure its beta cannot be calibrated while it is connected to the tester, the transistor probably is defective. However, if the transistor has been tested only in-circuit, remove it and test it out-of-circuit before discarding it. A defect in the circuit might be causing the abnormal indication.
BETA APPLIED TO REPLACEMENT SELECTION
When selecting replacement transistors you probably will encounter (if you haven't already) the fact that so-called 'first-grade' lines of transistors offered by most major transistor manufacturers typically have betas which range over a three-to-one spread for a given type. For example, a particular type might be specified 'B 50 Min., 150 Max' and, often, with 'Typical B75' tossed in to help 'narrow' things down. The reason for such a seemingly large range of beta for a given type is that the manufacturer simply can not sort quantities of the type any closer without increasing the unit price. For reasons explained earlier, this 'wide-range' approach to beta specifying usually does not present a problem in most replacement applications.
However, to keep tolerance-sensitive circuits within required parameters without resorting to more complex, and usually more expensive, circuit designs, some consumer electronic manufacturers order and use transistors with betas sorted closer than previously described. These 'original equipment replacement' transistors frequently are assigned nonstandard 'house numbers' by the equipment manufacturer. Such close-tolerance transistors usually should be replaced only with OEM-approved types.
Generally, the beta of capacitor- and transformer-coupled audio stages are not particularly critical. However, the beta of most DC-coupled, IF, RF and matched-pair stages are critical.
Transistors with 2N-- numbers are supposed to be directly interchangeable, and typically are. Transistors with 'Foreign' and 'House' numbers frequently are not interchangeable with so-called 'replacement' types.
Electronics Self-Test: Capacitor Replacement Selection
Sixteen carefully chosen multiple-choice questions which test a technician’s knowledge of the various factors involved in the selection of a replacement capacitor. (Answers are on page 20.)
1) Which one of the combinations of capacitors in Fig. 1 is the most suitable replacement for a single capacitor with a rating of .01 mfd, 50VDCW?
a) 1
b) 2
c) 3
d) 4
2) What is the maximum DC voltage which can be applied across the two capacitors in Fig. 2 without exceeding the DC voltage rating of either capacitor?
a) 100VDC
b) 200VDC
c) 50VDC
d) 150VDC
3) What is the total capacitance of the two series-connected capacitors in Fig. 2?
a) .15mfd
b) .033mfd
4) What is the maximum DC voltage which can be applied across the two parallel-connected capacitors in Fig. 3?
a) 50VDC
b) 25VDC
c) 12.5VDC
d) 100VDC
5) What is the total capacitance of the two parallel-connected capacitors in Fig. 3?
a) .005mfd
b) .02mfd
c) .01mfd
d) .025mfd
6) Fig. 4 is a simplified representation of a series-resonant 41.25MHz (sound) trap in the input of the video IF section of a color TV receiver. What does the designation ‘NPO’ mean?
a) The value of the capacitor will either decrease or increase as the ambient temperature changes
b) The capacitor can be replaced with either a positive- or a negative-temperature coefficient type
c) The value of the capacitor will remain within the specified design value throughout a relatively wide range of ambient temperatures
d) None of the above
7) Which of the following is the most suitable replacement for the caWhy Dodge is the number one maker of compact van-type vehicles.
1. Value for the money.
Every Dodge Tradesman is designed to give you what you want for your money. That's why Tradesman offers you two wheelbases, three overall lengths, and a variety of power plants. Not to mention standard equipment like front disc brakes and Electronic Ignition. Plus options like overdrive transmission, power steering, and automatic transmission with a new low-slip torque converter. And we didn't leave out comfort, either. Tradesman gives you a good-looking interior. You can even equip it with optional high-back Command seats for on-the-job comfort.
2. Large cargo capacity.
Tradesman's trim compact size with an engine that is far forward. So you can carry king-sized loads. Even our 109-inch-wheelbase model, the shortest in the business, has more than nine feet of loadspace behind the engine.
3. Better maneuverability.
Curb to curb, Tradesman's turning circle is tighter than either Chevy's or Ford's. And since Tradesman is shorter overall than
4. Maxivan: Biggest van there is.
For extra-big jobs, there's Maxivan, the biggest van in the business...with 18 extra inches of load length over the standard Tradesman.
5. Good gas mileage.
In EPA estimates, Dodge B100 Tradesman with a standard 225 Six and manual transmission* got 24 MPG highway; 18 MPG city. Your actual mileage may differ depending on your driving habits, condition of your van, and optional equipment. But Tradesman offers a Fuel Pacer option that can help you get maximum mileage.
Dodge Tradesman:
A whole lot more.
The reasons for buying a Dodge Tradesman van don't stop there.
96 out of every 100 Dodge trucks registered in the last ten years are still in use.
Source: R. L. Polk & Company, Trucks in Operation, 1975.)
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7) Which of the following is the most accurate description of the value of the capacitor in Fig. 4?
a) An 8.2pf, GmV, ceramic
b) An 8.2pF, polystyrene
c) An 8.2 pf, NPO, ceramic
d) An 8.2pf, oil-impregnated paper
8) Coupling capacitor C1 in Fig. 5 is described in the service literature as a '.01mfd, GMV, 500V, disc.' What does 'GMV' mean?
a) General applications, medium voltage capacitor
b) Guaranteed minimum voltage at which capacitor is rated
c) Guaranteed minimum value of capacitance at room temperature (+25°C)
d) Value of capacitor will not exceed that specified by manufacturer
9) Which of the following is the most accurate description of the value of the capacitor in Fig. 6 at the time of manufacture?
a) Its value will never deviate from .1mfd by more than ±10% regardless of the ambient temperature
b) Its value should be within ±10% of .1mfd at +25°C (+77°F)
c) Its value at +25°C will always be .1mfd so long as the DC voltage across it is within ±10% of 200 volts
d) Its value will not decrease more than 10% below .1mfd so long as the voltage across it does not exceed 200VDC
10) The capacitor in the tuned-tank circuit of Fig. 7 is described in the service literature as a '47pf, 5%, 500V, N750 disc.' What does 'N750' mean?
a) Capacitance will decrease 750 parts per million for each 1°C the temperature increases below +25°C
b) Capacitance decreases above voltage levels of 750 volts
c) Capacitance remains unchanged at temperatures no lower than 750 parts per million of +25°C
11) Which one of the following types of capacitors is most often suitable for replacing comparable values of the other listed types?
a) Paper
b) Mica
c) Ceramic
d) Polyester
12) What is the total capacitance of the two series connected electrolytic capacitors in Fig. 8?
a) 40mfd
b) 20mfd
c) 10mfd
d) 15mfd
13) What is the maximum DC voltage which can be applied across the two capacitors in Fig. 8 without exceeding the voltage rating of either capacitor?
a) 300VDC
b) 150 VDC
c) 75VDC
d) 175VDC
14) Which of the following best describes the principal purpose of the two resistors in Fig. 8?
a) Equalization of the internal resistance of the two capacitors
b) Equalization of the capacitance
c) Equalization of the voltage drop across the two capacitors
d) Bleed off the charge when the equipment is turned off
15) Which of the following statements about modern electrolytic capacitors is not true?
a) Electrolytics inherently have a higher characteristic leakage current than electrostatic capacitors
b) Operation of an electrolytic capacitor at DC voltage levels below its VDCW rating will not destroy it
c) Tantalum-foil electrolytic capacitors have a relatively short shelf-life because of oxide deformation
d) An electrolytic rated at 100mfd, 250VDCW typically might actually have a capacitance of between 90 and 150mfd
16) Which of the following statements is not true about the two parallel-connected electrolytic capacitors in Fig. 9?
a) Their total combined capacitance is greater than 20mfd
b) The DC voltage applied across them does not exceed their individual voltage ratings
c) Because their total combined internal resistance is less than that of either capacitor used separately, their total combined leakage current is also greater
d) If one of the capacitors opens, the total capacitance will increase
ANSWERS: 1) a—2) d—3) b—4) b—5) b—6) c—7) c—8) c—9) b—10) a—11) c—12) c—13) a—14) c—15) c—16) a
WINEGARD WORKS... For Us!
In its little more than two years existence, the Davis Antenna Company of Waldorf, Maryland has shown phenomenal growth. Brothers Buddy and Raymond Davis expect to put up more than 2,500 Winegard antenna installations in 1977, over half of them with Winegard’s new low noise preamps. Having tested many different manufacturer’s products in the tough reception areas surrounding Washington, D.C., the Davis brothers now use Winegard products exclusively.
“It seems we get a lot of the reception problems other people can’t solve,” Buddy said, “and we know from experience that if it is at all possible to get a decent picture, Winegard equipment will do it. We use a wide variety of Winegard models in both the Chromstar and Gold Star antenna and preamplifier lines.”
The Davis Antenna Company also has branched out into MATV installations and here again, use Winegard electronic products exclusively. “We have attended several Winegard MATV seminars and they have really helped us in a professional way,” president Buddy Davis said. “We give a one-year guarantee of satisfaction to both our MATV and antenna customers because Winegard products have proven very reliable. In addition, we don’t cut corners on our installations.”
You, too, can enjoy greater success in the television reception business by going first-class with Winegard.
Winegard works...for professional installers all over the country. Let us work for you. Just call your Winegard distributor or write to us.
Buddy Davis (l.), Raymond Davis (r.), Davis Antenna Co. Waldorf, Md.
WINEGARD
The Winegard Company • 3000 Kirkwood Street • Burlington, Iowa 52601
...for more details circle 136 on Reader Service Card
MAY 1977, ELECTRONIC TECHNICIAN/DEALER / 21
Professional Audio Tests & Measurements Using An LF Spectrum Analyzer—Part Two
The conclusion of our two-part series which describes how an LF spectrum analyzer can provide a quick, direct measurement of stereo amplifier performance (Part 1 appeared in the January 1977 issue of ET/D)
One of the more fascinating and informative features of the spectrum analyzer is its ability to display frequency response. Of special importance is the visual demonstration it provides of the function of the loudness and tone controls.
A spectrum analyzer is well worth its cost for any servicer dealing with owners of quality stereo equipment. In addition to providing visual demonstration of the performance of the customer's equipment, the presence of an analyzer in your shop lets the customer know that you are properly equipped for quality service.
Frequency Response Measurements
Modern stereo equipment involves more than just one frequency response. The loudness control, for example, changes frequency response as its setting is varied. The tone controls also change the response in a wide variety of ways, according to the settings of the bass and treble knobs, each of which can be set independently, between maximum roll-off and maximum boost.
With the spectrum analyzer, you can run response tests for all of these variations in a matter of seconds. The result is visual, and you can make a permanent record, if you wish, with an inexpensive camera attachment. Of you can view the change comparatively, by using a storage oscilloscope.
After establishing output loading and input matching the level, as described in Part 1 (Jan., 1977,
A message from RCA Consumer Electronics
"About thirteen years ago I called in a management consultant... that was a turning point for my business."
"With solid state technology cutting into the frequency of TV service, you must explore every avenue of diversification."
"Good employee relations is just as important as good customer relations. Ignore either, and you're guaranteed to fail!"
"Emphasis on service is more than just technology. It's procedure and organization as well."
C. J. Rucker, Rucker TV, Fort Worth, Texas 76107.
"I believe in the exchange of management and technical ideas. Some of the concepts that I've picked up at association meetings and seminars have led Mike and me to take a hard look at my business.
New Operating Procedures Increased Profits
Mike Webber is Rucker's General Manager. Together Mike and C. J. have implemented new operating procedures with re-emphasis on service and specialization. Through these organizational changes, net profit has more than doubled with less volume. Mike points out that about 75% of their profit stems from service and the remainder from sales.
"Open Door" Policy in Management/Employee Relations
One major reason for Rucker's success is the maintenance of good management/employee relations. Weekly meetings keep six technicians informed about the company's business condition and what is expected of them, and company management, to maintain profit momentum. A targeted profit level may make profit sharing possible in the near future. Mike keeps an open door policy so technicians can check their performance status or discuss any problem that may come up.
Tod McAllister and Russel Lack, Rucker's top "outside men", especially appreciate air conditioned trucks. "In our area of the country, it's a must," C. J. states. "We heartily recommend it for consideration by other dealers.
Diversification and Training
Technicians are encouraged to take full advantage of all training provided by the six manufacturers for which Rucker carries parts. However, there's one exception among the six technicians. Due to Rucker's diversification, Gary Brignac mans one of the four radio-equipped trucks providing maintenance on nine Xerox mammography machines at hospitals and clinics. These machines aid in the early detection of breast cancer. Rucker's service contract with Xerox resulted from the acquisition of Gary from a local college. He had been Xerox-trained and now serves full time on his assignment.
Another area of diversification involves the servicing and sales of video playback units and microwave ovens.
Customer Goodwill Program
The other major factor in Rucker's success is the dedication of the entire organization to creating good relationships with both existing customers and potential clientele. New residents to Fort Worth receive a postcard depicting Rucker's, offering a $5.00 discount on their first service call, and welcoming them to the community. A similar card is sent to each customer after a service call, often by longhand for the personal touch, thanking them for doing business with Rucker. Purchasers of new products receive a thank you note emphasizing service after the sale.
When making in-home service calls Rucker technicians leave brightly colored pot holders imprinted with a sales message.
Service contracts are available with the purchase of a new set, as well as a credit payment plan. All bookkeeping is handled by a full time clerk, and only about 2% of the credit business has been "bad". Also, on any major repair, like a new picture tube, the customer is given a full rebate on a new set purchase within a 90-day period if he decides that the "new set" route would have been better.
The entire service area is paneled and tiled, a showplace of functional, attractive working conditions. In the customer service area attractive displays and appearance are all important. Each customer is greeted with "Welcome to Rucker's..."
Two-Way Radio System Aids Efficiency
The two-way radio system is a productivity tool. Each technician radios in when one service call is completed, and Rucker's customer service people telephone the next customer on the list to make sure someone is home before the truck heads out. This ensures a steady sequence of service call completions. Each field tech maintains "work performed" reports showing time in the home, parts changed, service contract parts involved, "demand" labor, in-warranty labor, new set delivery data and additional information to help improve overall operation.
The shop itself contains a dozen work bench "islands", with readily-available scopes and tools, manned by senior technicians Paul Ashour and Jack Hilton. Small parts in plastic bags are easy to reach and store in a specially designed sliding pegboard cabinet. A perpetual inventory system reduces parts ordering problems.
Service Manager Jerry Daniel selects small parts from specially-designed storage unit with eight sliding peg-board panels. Parts are in small plastic bags.
Good Service Spells Success
"Giving the best service possible is why we're here. It's what keeps people coming back." That's why C. J. Rucker has been successful. "It's all a matter of being able to place yourself on the other side of the counter... how would you want to be treated?"
RCA
Consumer Electronics Division
600 N. Sherman Drive
Indianapolis, IN 46201
Better Service Through Better Communications.
...for more details circle 127 on Reader Service Card
MAY 1977, ELECTRONIC TECHNICIAN/DEALER / 23
ET/D), follow the procedure below for measuring frequency response:
- Set the spectrum analyzer and audio generator for the sweep mode, so they will cover 20 Hz to 20 KHz.
- Adjust the input level by means of the calibrated attenuator, to suit the rated input used for the test (see Sensitivity Measurements, later in article).
- If you are checking the loudness control to show the different contours it produces, you will use several different output levels, keeping the input level constant, changing output level by means of the loudness control setting.
- Observe, and record on film if you wish, the responses at different settings on the controls you are testing.
In Fig. 1 you see straight frequency responses recorded at different power levels. EIA standards recommend that frequency response be measured not higher than 10 dB below the rated power output, which is approximately one-third the output voltage for maximum power. EIA standards also recommend that response be measured not lower than 20 dB above the noise level, to be covered later in this article.
In Fig. 2, we see frequency responses recorded at different tone control settings, illustrating the range of control that can be achieved. Remember that when checking the treble and bass controls, the opposite control (treble or bass) should be set to "flat". In fact, it may be advisable to check for interaction of these controls by trying both of them at maximum roll-off and at maximum boost. (This is not shown in Fig. 2).
The effect of various settings of the loudness control is shown in Fig. 3. Remember, the initial set-up for loudness control measurement, the input level is kept constant. Thus, when you put the control through various settings the analyzer will display the different output level responses. Note that near the top of the control settings, the response is flat. Lower down, the response shows progressively more bass and treble boost.
In Fig. 4, you see the response action of a Dolby "B" encoder. Because the Dolby encoder is a dynamic device, full measurement of its capabilities requires much more sophisticated equipment, including real time analyzers. The different responses shown demonstrate the frequency compensation built in for a change of level.
**Intermodulation Distortion (IMD)**
All of the different "standard" methods for measuring intermodulation distortion (IMD) require the use of more than just one audio signal generator. With an LF spectrum analyzer, however, you not only eliminate the need for extra equipment but the analyzer also provides more information than any of the other instruments can individually or collectively provide.
There are two standardized IMD tests that can be performed with a spectrum analyzer. The SMPTE method, using two tones, was developed by the Society of Motion Picture and Television Engineers, and the CCIF difference method was created by the International Telephone Consultative Committee. The setup for both tests is as follows:
- First, you need a mixing network. Fig. 6 shows how this can be rigged for the SMPTE test, using a line filament transformer to get the 60 Hz signal. For the CCIF test, the output of a second audio generator will have to be substituted for the 60 Hz input.
- For the SMPTE test, a 60 Hz signal and a 6 KHz signal are used in a voltage ratio of 4:1. This means that the 6 kHz tone will be down 12 dB from the 60 Hz tone, as in Fig. 7. The CCIF Difference method requires a setup that uses two equal amplitude input signals, as shown in Fig. 9.
- Now by tuning the 6 kHz signal to center screen with the FREQUENCY control—in other words, by expanding the frequency base—you can measure the levels of distortion produced by the equipment under test. This distortion appears as sidebands around the base of the 6 kHz tone in Fig. 9. These sidebands are modulation components of 60 and 120 Hz, generated by the 60 Hz tone. The distortion components revealed by the CCIF difference method are shown in Fig. 8.
Note that the highest distortion component shown in Fig. 9 is 52 dB below the higher frequency test signal. Any distortion component more than 6 db below that will not contribute significantly to the overall measured distortion.
A distinct advantage of the LF spectrum analyzer method is that, with both methods, the analyzer shows distortions that regular "meters" miss. In the case of the SMPTE measurement, some of the components seen on the spectrum display may be due to phase-shift modulation, rather than simple amplitude modulation, which was prevalent in the early motion picture days when the SMPTE measurement method was devised. The spectrum analyzer is capable of measuring both phase-shift and amplitude modulation, while standard audio equipment will miss phase-shift modulation completely.
In the case of the CCIF Differ-
---
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Fig. 10—Table of distortion products due to different forms of distortion curvature, when input frequencies are 2,000 and 2,100 Hz. (All figures shown are Hz. (Courtesy TAB Books)
| Test Frequencies (all in Hz) | 2nd Harmonic Group | 3rd Harmonic Group | 4th Harmonic Group | 5th Harmonic Group |
|-----------------------------|---------------------|--------------------|--------------------|--------------------|
| | Difference | Harmonic | Sum | Difference | Harmonic | Sum | Difference | Harmonic | Sum | Difference | Harmonic | Sum |
| 2000 | 100 | 4000 | 4100 | 1900 | 6000 | 6100 | 200 | 8000 | 8100 | 1600 | 10000 | 10100 |
| 2100 | | 4200 | | 2200 | 6300 | 6200 | 3900 | 8400 | 8200 | 2300 | 10500 | 10200 |
| | | | | | | | | | | | | |
Fig. 11—A table of distortion products, with test frequencies adjusted so that a specific distortion product will appear at 100 Hz. All figures shown are Hz. (Courtesy, TAB Books)
| Test Frequencies (all in Hz) | 2nd Harmonic Group | 3rd Harmonic Group | 4th Harmonic Group | 5th Harmonic Group |
|-----------------------------|---------------------|--------------------|--------------------|--------------------|
| | Difference | Harmonic | Sum | Difference | Harmonic | Sum | Difference | Harmonic | Sum | Difference | Harmonic | Sum |
| 2000 | 1900 | 4000 | 5900 | 100 | 6000 | 7900 | 2100 | 8000 | 9900 | 1800 | 10000 | 11900 |
| 3900 | | 7800 | | 5800 | 11700 | 9800 | 3800 | 15600 | 11800 | 4100 | 19500 | 13800 |
| | | | | | | | | | | | | |
| 2000 | 50 | 4000 | 4050 | 1950 | 6000 | 6050 | 100 | 8000 | 8050 | 1900 | 10000 | 10050 |
| 2050 | | 4100 | | 2100 | 8850 | 6100 | 3950 | 8200 | 8100 | 2150 | 10250 | 10100 |
| | | | | | | | | | | | | |
| 2000 | 950 | 4000 | 4950 | 1050 | 6000 | 6950 | 1900 | 8000 | 8950 | 100 | 10000 | 10950 |
| 2950 | | 5900 | | 3900 | 8850 | 7900 | 3050 | 11800 | 9900 | 4850 | 14750 | 11900 |
| | | | | | | | | | | | | |
Fig. 12—A Transient Intermodulation Distortion (TIM) display on a spectrum analyzer using dual trace with a regular time base, adjusted for steady waveform.
Fig. 13—A spectrum analyzer display of the waveform seen at the top of the TIM display shown in Fig. 12.
Fig. 14—A spectrum analyzer display of the distorted waveform seen at the bottom of the TIM display shown in Fig. 12.
The distortion products that could be produced by different forms of distortion curvature at input frequencies of 2,000 and 2,100 Hz are shown on the chart in Fig. 10. A table of distortion products produced when test frequencies are adjusted so that a specific distortion product will appear at 100 Hz is shown in Fig. 11.
Transient Intermodulation Distortion (TIM)
The test for Transient Intermodulation Distortion (TIM) is a search for kinds of distortion, not revealed in previous tests, that occur in music. It is a limited test involving terms not yet standardized.
The TIM test uses a low frequency square wave at 500 Hz, for example, with a higher frequency sine wave at 6000 Hz, for example. Fig. 12 shows the test waveform products, as long as the sum and difference of the frequencies and their harmonics remain within the audio frequency range of 20 Hz to 20,000 Hz.
The distortion products that could be produced by different forms of distortion curvature at input frequencies of 2,000 and 2,100 Hz are shown on the chart in Fig. 10. A table of distortion products produced when test frequencies are adjusted so that a specific distortion product will appear at 100 Hz is shown in Fig. 11.
Fig. 15—A dual trace displayed when noise is used as an input to the spectrum display, with the sync selector switch at the 'line' position.
Fig. 16—In the Signal To Noise Ratio measurement, the voltage offset of the spectrum analyzer is adjusted until the dark area between the two traces shown in Fig. 15 just disappears.
Fig. 17—In the last step of the Signal To Noise Ratio measurement, using the spectrum analyzer, the noise inputs are disconnected, two separated lines appear, and the separation between the lines is measured in volts. This measurement is the $V_n$.
Fig. 18—This is the spectrum analyzer setup for measuring amplifier sensitivity.
Fig. 19—A chart showing a typical tabulation of input sensitivity results.
(upper trace), as well as a distorted output (lower trace), produced during this type of test.
The frequencies of the two signal generators should be set so that the trace in the time domain (as in Fig. 12) is steady. This way, the upper frequency will be an exact multiple of the lower frequency. Once this is set, you can switch to the spectrum analyzer mode, and check the effect for distortion.
Fig. 13 shows the frequency spectrum for the test input. Fig. 14 shows the change produced in the spectral display by TIM distortion in the amplifier.
**Signal To Noise Ratio**
The measurement of the ratio of the rated output of an amplifier to noise is called the Signal to Noise Ratio (S/N). The main difficulty with the procedure is getting a precise measurement of the *noise* level, or voltage. When displayed in the time domain, noise looks like "dancing grass" on the oscilloscope screen.
To be able to accurately measure this "dancing grass", a dual trace time base is needed, and the amplifier noise must be applied to both inputs of the scope, on the same range setting. Remember that the amplifier input must also be correctly terminated and shielded for this measurement. By setting the sync selector switch at the 'line' position, the jumping, which is caused by hum, will stop—and the traces will exhibit a jiggling action, as in Fig. 15.
Now, by using the position controls for the separate traces, you'll be able to bring the traces together, until the dark space between them just disappears (Fig. 16). Now switch each input to ground, leaving a pair of lines spaced apart, as in Fig. 17. The calibration of the scope, on the ranges to which the inputs are set, will indicate the noise voltage, or level.
With the noise level established, the signal to noise ratio can be calculated by combining this information.
*continued on page 52*
Understanding and Servicing IC-Equipped AGC systems
By Paul Shih
The function hasn't changed—but components and troubleshooting techniques for the new IC-equipped AGC systems are different. Here are descriptions of several IC AGCs and how they can be serviced.
Because of changes in atmospheric conditions affecting radio wave propagation, television signal strength tends to vary at the receiving antenna. In fact, signal strength may also vary from channel to channel. To compensate for these variations in signal strengths, television engineers developed the Automatic Gain Control circuit (AGC).
Though revolutionary changes have occurred in television circuitry in recent years, the basic function of the AGC circuit remains the same. That function is to automatically increase the receiver gain when the signal strength decreases, and to decrease the receiver gain when the signal strength increases. And, although AGC function hasn't changed, the components that perform the function have changed—from the days of tubes to solid-state discrete AGC systems to today's IC AGC.
A previous issue of ET/D, in December, 1976, covered the fundamental principals of operation of keyed and non-keyed discrete AGC systems. The article was titled "Discrete AGC In Solid-State Color TV". This month's article is devoted to the newer IC AGC system.
IC-Equipped AGC Systems
Since 1972, major manufacturers have been using integrated circuits (ICs) in many sections of the TV receiver, including the AGC section. Both keyed and non-keyed IC AGC systems are in use presently. For examples, the RCA CA3068, GE IC201, and Zenith IC401 are keyed types, and Quasar IC301 (AN331) and Sony CX-100B are non-keyed types.
The GE IC 201
General Electric, in the video-IF panel on the MC-2 chassis, uses one discrete transistor AGC DC amplifier and part of one IC (IC201) to perform the AGC function.
As a keyed AGC system, GE IC201 (Fig. 1) requires a horizontal keying pulse on its pin 5 in addition to a sample of video signal supplied to pin 6. The variable DC voltage developed by the AGC gate is amplified by the IF AGC amplifier inside the IC and then filtered by an external capacitor C209. The derived IF AGC voltage is coupled to the first IF amplifier inside the IC to control the IF gain. This IF AGC voltage is also coupled to the RF AGC relay stage, and a positive RF relayed AGC voltage is developed at pin 12. After voltage inversion by an NPN discrete AGC inverter, a negative RF relayed AGC voltage is available for controlling the RF gain in the tuner.
The RCA CA 3068
Without any noise immunity system, noise in the video circuit can develop a false AGC voltage which would produce "wash-out", "blank raster" and/or a momentary "loss of sync". RCA CA3068, an IC for the video-AGC-sound sub-system, is designed with a noise-immunity circuit which mainly consists of noise peak detector Q26 and noise clamp Q15 (Fig. 2, colored portion). Video output from the emitter of Q25 (pin 19) is coupled internally to the keyed AGC amplifier Q13 and the noise detector Q26. The voltage developed across C4 is proportional to the strength of noise pulses. During the period
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of high noise input, the voltage across C4 is high enough to turn on Q15, which then clamps the keying pulse from the flyback to ground. Thus, the noise pulse can not turn on the AGC amplifiers Q13 and Q14, and there will be no false AGC voltage build-up.
Without a noise pulse in the video signal, the flyback keying pulse is allowed to arrive at the collector of Q13. At the same time, the horizontal sync pulse of the composite signal also arrives at the base of Q13. Under this condition, Q13 conducts, which then turns on the AGC output transistor Q14. The conduction of Q14 discharges an external 10 mfd capacitor, and the integrating action of the capacitor produces the IF AGC voltage.
The IF AGC voltage available at pin 4 is routed externally through the secondary of the IF take-off transformer to the IF input at pin 6 for controlling the IF gain.
The output from the keyed AGC amplifier Q13 is also coupled to an RF delay stage (Q21 and Q5) inside the IC. The conduction of Q5 produces a negative-going RF delay AGC voltage at pin 7.
**Quasar's IC301**
Figure 3 illustrates IC301 which performs as a video-sync-noise immunity-non-keyed AGC sub-system in Quasar's TS-951 chassis. The AGC stage receives the video signal from the first video amplifier inside the IC. By sensing sync amplitude which represents a given signal level, the AGC peak detector develops an AGC voltage. After amplification in the AGC stage, the IF AGC voltage appearing at pin 6 is filtered and coupled to the first and second IF amplifier stages. This same voltage at pin 6 is applied to a delay stage within the IC, and the resulting delay RF AGC voltage at pin 4 is then coupled to the tuner.
IC 301 has a built-in cancellation stage. Any noise present with the video signal that exceeds sync level turns on the noise gate, and the inverted noise pulse output from the gate is coupled to the AGC and sync stages to cancel out the noise pulse. The net effect of this noise cancellation system is that the noise pulse can not build up any false AGC voltage in AGC system and, thus, produce momentary "wash-out" or "blank raster."
**Zenith's IC401**
Many Zenith color receivers use IC401, as shown in Fig. 4. It is a rather unique and sophisticated sync/AGC system which incorporates some 60 transistors and two zener diodes to provide forward IF AGC, both forward and reverse RF delay AGC, and ver-
---
**Fig. 5**—A schematic diagram of the keyed AGC system used in Zenith's chassis 25GC50.
**Fig. 6**—The waveform produced when an open AGC filter capacitor causes pulses at the horizontal rate to appear on the AGC bus line.
**Fig. 7**—Line flashing and picture shading effect on TV picture tube caused by spurious pulses on the AGC bus line.
tical and horizontal sync outputs.
The heart of this sync/AGC system is an AGC comparator which produces the initial AGC voltage by comparing the input sync tip level with a reference voltage generated internally by a pair of Zener diodes and associated circuitry. As a result of this internal reference system, the need for an external IF AGC level control is eliminated.
Two other unique features of the system are an "AND" gate and a noise gate, which eliminate or reduce noise-and horizontal sync-related AGC problems. When a noise pulse is present, the noise gate disables the comparator, holding the AGC voltage at the level produced by the amplitude of the last sync tip level. When the horizontal sync pulse does not coincide with the flyback pulse, the "AND" gate is opened, stopping the normal function of the comparator. The AGC voltage under this condition is held at the level established just before the horizontal flyback pulse dropped out of sync. This arrangement prevents AGC "lockout" or "hand-up" problems, to which conventional AGC systems are not immune.
The AGC voltage generated by the comparator is then amplified, delayed, or inverted before becoming available at the pin terminals. A simplified schematic of Zenith's AGC system in which IC401 is used, is shown in Fig. 5.
Troubleshooting IC-Equipped AGC Systems
Troubles developed in the IC-equipped AGC system exhibit the same symptoms as troubles developed in a discrete AGC system. The most common symptoms are: picture bending or overloading caused by no or low AGC voltage; faded or no picture caused by excessive AGC voltage; and picture flashing or shading caused by spurious AC signals appearing on the AGC bus line (see Figs. 6 and 7).
Operation Check
The preliminary step in troubleshooting an expected AGC defect is to perform the operation check. Look for the change in the quality of the picture as the IF or RF AGC control is rotated. The picture should be snowy or washed-out at one end of the control rotation and bended or overloaded at the other end of the rotation. In addition, the DC voltages at the tuner AGC input and the IF AGC test points should vary when any of the controls is turned or when the antenna is connected to or removed from the receiver. The rotation of the noise gate control, if one is provided, should also produce DC voltage variations in the AGC system. The change in the AGC voltage can also be observed by switching to another channel or to between channels.
Localizing and Isolating the Trouble
If little or no change in picture quality or DC voltages is noticed during the operation check, or if the change is erratic or abrupt, a defective AGC system is indicated.
The procedures used in troubleshooting IC AGC systems are similar to those used for discrete AGC circuitry. However, certain unique characteristics of the IC from the servicing viewpoint must be recognized. First, inaccessibility for continued on page 51
TV OEM Replacement Parts Source Directory
An alphabetical, geographical listing of the major TV set manufacturers headquarters and all of their authorized OEM replacement parts distributors
Manufacturer
ADMIRAL—Division of Rockwell International
Director of Marketing, Parts & Accessories
1701 East Woodfield Road
Schaumburg, Illinois 60196
(312) 884-2891
Factory Depots (Alphabetically by state)
Los Angeles Sales & Service
P.O. Box 20292 - Terminal Annex
Los Angeles, California (90054)
(213) 685-9360
Los Angeles Sales & Service
6565 E. Washington Blvd.
Los Angeles, California (90040)
(213) 685-9360
San Francisco Sales & Service
280 Valley Drive
Brisbane, California (94005)
(415) 467-0200
Denver Division
400 Quivas
Denver, Colorado (80204)
(303) 893-1313
Miami Sales & Service
P.O. Box 693650
50 N.E. 181st St.
Miami, Florida (33169) (305) 652-3591
Chicago Sales Office
5530 N. Milton Parkway
Rosemount, Illinois (60018)
(312) 625-0530
Boston Division
27 Dartmouth Street
Westwood, Mass. (02090) (617) 329-3560
Detroit Sales & Service
11111 Lappin Avenue
Detroit, Mich. (48234) (313) 371-8300
St. Louis Sales & Service
4807 N. Lindberg Road
Bridgeton, Mo. (63042) (314) 731-4250
Metro Division
200 Murray Hill Parkway
East Rutherford, N.J. (07073)
(201) 933-9000
Buffalo Sales & Service
475 Ludwig Avenue
Cheektowaga, N.Y. (14225)
(716) 897-0503
Oklahoma Sales Office
700 N. Pennsylvania
Oklahoma City, Okla. (73107)
(405) 235-6317
Philadelphia Sales Office
One Fairway Plaza - Suite 315
Huntingdon Valley, Pa. (19006)
(215) 947-2400
Pittsburgh Sales & Service
Royal Drive & Graham St.
McKees Rocks, Pa. (15136)
(412) 771-4104
San Antonio Sales & Service
1905 Shipman
San Antonio, Tx. (78219)
(512) 224-4201
Independent Product & Parts Distributors
Chas. S. Martin Dist. Co.
P.O. Box 2041
621 N. 31st Street
Birmingham, Alabama (35201)
(205) 328-9154
Cunningham Dist. Co., Inc.
4525 N. 43rd Ave.
Phoenix, Arizona (85031)
(602) 931-3738
Cunningham Dist. Co., Inc.
555 East 18th St.
Tucson, Arizona (85701)
(602) 882-9934
Orgill Bros. Ark. Co.
6200 Sears Drive
Little Rock, Arkansas (72209)
(501) 562-6534
Horne-Wilson, Inc.
745 W. Forsyth Street
Jacksonville, Florida (32201)
(904) 356-1391
The Lewis Bear Co., Inc.
4150 W. Blount St.
Pensacola Florida (32502)
(904) 438-9651
Chas. S. Martin Distr. Co.
1000 Marietta St., N.W.
Atlanta, Georgia (30318)
(404) 876-3392
Admor Distributors Corp.
825 Kapiolani Blvd.
Honolulu, Hawaii (96813)
(808) 521-4961
Appliance Distributors, Inc.
8320 N. University
Peoria, Illinois (61614)
(309) 692-2430
Capital Appliance Dist.
3333 N. Franklin Road
Indianapolis, Indiana (46226)
(317) 898-2320
Hennigh’s, Inc.
233 S. St. Francis
Wichita, Kansas (67201)
(316) 267-3273
S & T Industries, Inc.
1531 W. Main St.
Louisville, Kentucky (40201)
(502) 584-5311
Solar Distributors, Inc.
14 Bates Street
Lewiston, Maine (04240)
(207) 784-0171
Legum Distributing Co.
7247 National Drive
Baltimore, Maryland (21240)
(301) 796-5500
Independent Distributors, Inc.
20 Market Street
Grand Rapids, Mich. (49502)
(616) 459-8243
J.H. Dockendorf Co.
5333 Cedar Lake Road
Minneapolis, Minn. (55416)
(612) 545-0223
Orgill Bros. Hdwe. Co.
301 W. Pearl St.
Jackson, Miss. (39201)
(601) 353-3879
T & K Distributing Co., Inc.
301 S. Market St.
Springfield, Missouri (65804)
(417) 862-1989
Treasure State Gas & Electric Co.
1025 S. Montana St.
Butte, Montana (59701)
(406) 723-3269
Cunningham Distributing, Inc.
615 Haines, N.W.
Albuquerque, New Mexico (87107)
(505) 247-8838
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TUBE PRODUCTS DEPARTMENT
OWENSBORO, KENTUCKY 42301
GENERAL ELECTRIC
General Electric Company Replacement Parts Center
P.O. Box 50117
Atlanta, Georgia 30302
(404) 351-0220
General Electric Company Replacement Parts Center
6735 South Harlem
Chicago, Illinois 60638
(312) 496-6298
General Electric Company Replacement Parts Center
3333 Pennsy Drive
Landover, Maryland 20785
(301) 772-6444
General Electric Company Replacement Parts Center
1235 Saline St.
North Kansas City, Mo. 64116
(913) 371-6600
General Electric Company Replacement Parts Center
P.O. Box 2308
Zanesville, Ohio 43701
(614) 826-7614
General Electric Company Replacement Parts Center
1420 Upfield Drive
P.O. Box 5001
Carrollton, Texas 75006
(214) 245-7591
General Electric Company Replacement Parts Center
401 Tukwila Parkway
Seattle, Washington 98188
(206) 575-2700
Manufacturer
MAGNAVOX—
Magnavox Consumer Electronics Company
Director of Service
Fort Wayne, Indiana 46804
Factory Parts Centers (All telephone numbers marked with asterisk (*) are toll-free lines. Customers in Maine should telephone Collect - (201) 935-1212)
Atlanta Center
The Magnavox Company
1898 Leland Drive
Marietta, Georgia 30062
*800-241-3266
Chicago Center
The Magnavox Company
7500 Frontage Road
Skokie, Illinois 60076
*800-942-9633 (Illinois only)
*800-323-7566 (All others)
Cleveland Center
The Magnavox Company
24094 Detroit Road
Westlake, Ohio 44145
*800-321-2594 (Other than Ohio)
*800-362-2935 (Ohio only)
Los Angeles Center
The Magnavox Company
2649 Maricopa Street
Torrance, California 90503
*800-421-1221 (Other than California)
*800-262-1317 (California only)
New York Center
The Magnavox Company
159 East Union Avenue
East Rutherford, N.J. 07073
*800-631-4134 (Other than New Jersey)
*800-562-3797 (New Jersey only)
Manufacturer
MGA—
U.S. Sales & Distribution,
Products & Parts
Melco Sales
3030 E. Victoria
Compton, CA 90221
Phone: 800-421-1132 (toll free number)
(213) 537-7132 (call collect)
Manufacturer
PANASONIC—
National Headquarters,
Consumer Parts Division
General Manager, Service Group
50 Meadowland Parkway
Secaucus, New Jersey 07094
(201) 348-7510
Regional Parts Depots
Northeast
Panasonic Parts Depot
50 Meadowland Parkway
Secaucus, New Jersey 07094
(201) 348-7500
Midwest
Panasonic Parts Depot
3201 Tollview Drive
Rolling Meadows, Illinois 60008
(312) 394-8012
South Central
Panasonic Parts Depot
2945 Congressman Lane
Dallas, Texas 75220
(214) 350-2436
West
Panasonic Parts Depot
2121 Yates Avenue
City of Commerce, California 90040
(213) 723-6271
Southeast
Panasonic Parts Depot
2 Meca Way
Duluth, Georgia 30136
(404) 448-2456
Authorized Parts Distributors (Alphabetically by states)
Westside Electronic Supply
632 Tuscaloosa Avenue
Birmingham, Alabama
(205) 780-8380
Electronic Parts Company
4021 N. 31st Ave.
Phoenix, Arizona
(602) 277-7281
Andrews Electronics
1500 W. Burbank Blvd.
Burbank, California
(213) 845-3536
Audio Parts Company
1601 So. Orange Drive
Los Angeles, California
(213) 933-2141
Radio Equipment Distributors
972 No. Vermont Ave.
Los Angeles, California
(213) 664-1948
Cass Electronics
801 7th Avenue
Oakland, California
(415) 834-4225
Hurley Electronics, Inc.
318 15th Street
San Diego, California
(714) 235-6245
Chuck Hurley Electronics
1391 N. 10th St.
San Jose, California
(408) 295-6818
Hurley Electronics, Inc.
2101 No. Fairview
Santa Ana, California
(714) 638-7220
Sceli Electronics
78 Maple Avenue
Hartford, Conn.
(203) 249-8415
Denver Walker Electronics
299 Bryant St.
Denver, Colorado
(303) 935-2401
Walker Electronics
1528 8th Ave.
Greeley, Colorado
| Company Name | Address | City, State, Zip Code | Phone Number |
|------------------------------------|----------------------------------------------|--------------------------------|--------------|
| Pueblo Walker Electronics | 400 S. Union | Pueblo, Colorado | (303) 542-1924 |
| Herman Electronics | 1365 N.W. 23rd St. | Miami, Florida | (305) 634-6591 |
| Electronics Supply Co. | 1068 Arlington Ave. S.W. 230 | Atlanta, Georgia | (404) 753-6127 |
| B-B & W. Inc. | 2137 S. Euclid Ave. | Berwyn, Illinois | (312) 749-1710 |
| Howard Electronics Sales, Inc. | 4573 S. Archer Ave. | Chicago, Illinois | (312) 254-1777 |
| Joseph Electronics | 8830 N. Milwaukee | Niles, Illinois | (312) 297-4200 |
| York Radio & Television Corp. | 650 North Broadway | Decatur, Illinois | (217) 423-3484 |
| Associated Distributors, Inc. | 8399 Zionville Road | Indianapolis, Indiana | (317) 299-8000 |
| Union Supply Company, Inc. | 231 South Third St. | Burlington, Iowa | (319) 754-5745 |
| Holub Distributing Co. | 217 East 10th St. | Newport, Kentucky | (606) 431-4211 |
| Shuler Supply Co. | 2504 Tulane Ave. | New Orleans, La. | (504) 822-2251 |
| Northern Electronics, Inc. | 93 Ocean Street | Portland, Maine | (207) 767-3247 |
| Essex Electronics Co. | 705 S. Marlyn Ave. | Baltimore, Maryland | (301) 686-8080 |
| Fairway of Maryland, Inc. | 178 Alco Place | Baltimore, Maryland | (301) 247-8383 |
| Modern Electronics Distributors, Inc. | 3419 Dundalk Avenue | Dundalk, Maryland | (301) 282-5300 |
| Fairway Electronics, Inc. | 4210 Howard Avenue | Kensington, Maryland | (301) 933-4420 |
| Almo Electronics Corp. | 317 Park Heights Ave. | Salisbury, Maryland | (301) 742-1393 |
| Mil Electronics | 971 Main St. | Waltham, Mass. | (617) 891-6730 |
| RM Electronics | 315 Grove Street | Worcester, Mass. | (617) 756-8311 |
| Eric Electronics | 10861 W. 10 Miles | Oak Park, Michigan | (313) 541-7474 |
| Morley Brothers | 525 Morley Drive | Saginaw, Michigan | (517) 755-5301 |
| Team Electronics | 2640 Hennepin Ave. | Minneapolis, Minn. | (612) 377-9840 |
| Radonics Electronics, Inc. | 4445 Gustine Ave. | St. Louis, Missouri | (314) 481-2222 |
| Radio Equipment Co. | 625 No. 18th Street | Omaha, Nebraska | (402) 341-7700 |
| Berger Electronics Supply | 241 Bloomfield Avenue | Bloomfield, New Jersey | (201) 743-7900 |
| Almo Electronics Corp. | 301 No. Black Horse Pike | Mt. Ephraim, N.J. | (609) 933-3800 |
| Aaron Lippman & Co. | 99-107 Newark St. | Union City, N.J. | (201) 621-9300 |
| Nidisco Electronics | 28-12 Kennedy Blvd. | Union City, N.J. | (201) 863-2111 |
| Almo Electronics Corp. | 1800 Verona Drive | West Atlantic City, N.J. | (609) 646-1300 |
| H.L. Dalis, Inc. | 1550 Route 9 | Woodbridge, N.J. | (201) 636-7500 |
| Southwest Electronics Inc. | 2910 B. Fourth Street N.W. | Albuquerque, New Mexico | (505) 345-8611 |
| W.L.C. Industries | 991 Broadway | Albany, N.Y. | (518) 463-3251 |
| Panson Electronics | 28-14 Steinway St. | Astoria, N.Y. | (212) 545-8888 |
| Mill Electronic Supply Co. | 2480 65th St. | Brooklyn, N.Y. | (212) 336-4575 |
| Emerald Electronics Corp. | 6 Tulip Avenue | Floral Park, N.Y. | (516) 354-4990 |
| Holbrook Electronics Corp. | 449 St. James Street | Holbrook, N.Y. | (516) 585-5556 |
| Cardinal Parts Distribution, Inc. | 3685 Harlem Road | Cheektowaga, N.Y. | (716) 838-3050 |
| Greylock Electronics | 763 Ullster Avenue Mall | Kingston, N.Y. | (914) 338-5300 |
| H.L. Dalis, Inc. | 35-35 24th St. | Long Island City, N.Y. | (212) 361-1100 |
| Dale Electronics | 244 West 14th St. | New York, N.Y. | (212) 255-3660 |
| United Teletronic Parts Corp. | 3860 10th Avenue | New York, N.Y. | (212) 569-2330 |
| Goldcrest Electronics | 482 St. Paul Street | Rochester, N.Y. | (716) 546-8464 |
| Company Name | Address | City, State | Phone |
|--------------|---------|-------------|-------|
| LNL Distributing Corp. | 235 Robbins Lane | Syosset, N.Y. | (516) 681-7270 |
| Yonkers Electronic Supply Co. | 129 Lake Avenue | Yonkers, N.Y. | (914) 969-6044 |
| Southeastern Radio Supply Co. | 414 Hillsborough St. | Raleigh, North Carolina | (919) 828-3211 |
| S/S Electronics, Inc. | 503 No. 7th St. | Fargo, N.D. | (701) 237-5003 |
| Fox Radio | 4314 Lee Road | Cleveland, Ohio | (216) 991-7777 |
| Larrick Tube Testing Co. | 23 Mackoil Street | Dayton, Ohio | (513) 258-1211 |
| Central Distributors | 1035 Conger | Eugene, Oregon | (503) 342-1101 |
| Central Distributors | 955 N.E. Union | Portland, Oregon | (502) 234-0711 |
| Central Distributors | 605 N. Fir St. | Medford, Oregon | (503) 773-6677 |
| Steinberg Electronics, Inc. | 2520 No. Broad St. | Philadelphia, Pennsylvania | (215) 223-9400 |
| Almo Electronics Corp. | 2119 West Main Street | Jeffersonville, Pennsylvania | (215) 529-7580 |
| Triangle Electronics | 6580 Frankstown Ave. | Pittsburgh, Pennsylvania | (412) 441-9659 |
| Jabbour Electronics | 1744 Cranston St. | Cranston, Rhode Island | (401) 944-2570 |
| Wholesale Radio Supply Co. | 515 E. Bay Street | Charleston, So. Carolina | (803) 722-2634 |
| Bluff City Distributor | 234 East Street | Memphis, Tenn. | (901) 523-9500 |
| Currey's, Inc. | 923 8th Ave. So. | Nashville, Tenn. | (615) 242-4223 |
| Wholesale Electronic Supply | Ross Avenue at Central | Dallas, Texas | (214) 824-3001 |
| Angie Electronics | 2300 Chenevert | Houston, Texas | (713) 222-6386 |
| R & R Electronic Supply Co. | 1607 Avenue G | Lubbock, Texas | (806) 765-5737 |
| McAllen Radio | 413 So. Broadway | McAllen, Texas | (512) 682-2412 |
| Ballard Supply Corp. | 2430 South 900 West | Salt Lake City, Utah | (801) 972-2430 |
| Avec Electronics | 2002 Staples Mill Road | Richmond, Virginia | (804) 359-6071 |
| Pearl Electronics | 1300 First Avenue | Seattle, Washington | (206) 622-6200 |
| Superior Radio Parts Company | 1433 East Main Street | Madison, Wisconsin | (608) 257-1477 |
**Manufacturer**
PHILCO TV—Division of GTE Sylvania
National Parts Manager
GTE Sylvania
700 Ellicott Street
Batavia, New York 14020
(716) 343-3470
**Regional Parts Depots**
West
GTE Sylvania, Inc.
608 Dubuque Avenue
South San Francisco, California 94080
(415) 583-0787
South
GTE Sylvania
2508 Hickory Avenue
Metairie, Louisiana 70003
(504) 737-1770
East
GTE Sylvania
815 Second Avenue
New Hyde Park, N.Y. 11040
(516) 437-0100
Central
GTE Sylvania
3306 West Bloomingdale Ave.
Melrose Park, Illinois 60160
(312) 344-5200
Philco Franchised Distributors (alphabetically by states)
South Alabama Distributors, Inc.
4552 Baldwin Avenue
P.O. Box 2766
Montgomery, Alabama 36105
(205) 288-5100
Bill Edwards Distributing Company, Inc.
815 East 18th Street
Tucson, Arizona 85719
(602) 624-2596
Carlton-Bates Company
Scott Hamilton Drive at 69th Street
Little Rock, Arkansas 72209
(501) 562-9100
Ransom Distributing Company
4570 Ironton
Denver, Colorado 80239
(303) 371-5350
Pensacola Appliance Company, Inc.
1810 Barrancas Avenue
P.O. Box 266
Pensacola, Florida 32592
(904) 438-4688
Hopkins Equipment Company
801 Great Southwest Parkway
Atlanta, Georgia 30326
(404) 349-1674
Hardware Products Company
201 Locust Street
Sterling, Illinois 61081
(815) 625-1331
Gray-Breese Company, Inc.
3750 West 16th Street
Indianapolis, Indiana 46222
(317) 637-5341
The Ridge Company, Inc.
1535 South Main Street
South Bend, Indiana 46613
(219) 234-3143
Woodlawn Distributing Company
242 East Woodlawn Avenue
Louisville, Kentucky 40214
PULSATING...VIBRATING..."CLEANING MACHINE"
You have never seen anything like Vibra-Jet, our new patent pending aerosol pulsating device. Just plug it into a can of Tun-O-Wash and you get strong vibrational solvent impacts that instantly penetrate heavy grease, gunk and baked-on contaminants. Vibra-Jet action even washes away dirt on horizontal surfaces... makes Tun-O-Wash more effective, leaving tuner parts and controls "vibrantly clean."
Vibra-Jet is made of strong durable polyurethane construction. Works in all positions and comes complete with 26 in. hose and 12 in. probe for hard-to-reach parts.
FREE! FREE! FREE!
FOR A LIMITED TIME ONLY, Vibra-Jet will be offered free with the purchase of 2 cans of Tun-O-Wash or Super Tun-O-Wash.
Pick up our "Cleaning Machine"... it will be the best time saving investment you've ever made.
Available at participating Chemtronics distributors.
CHEMTRONICS
INCORPORATED
45 HOFFMAN AVE., HAUPPAUGE, N.Y. 11787 • (516) 232-3327
...for more details circle 110 on Reader Service Card
| Company Name | Address | City, State, Zip Code | Phone Number |
|--------------|---------|-----------------------|--------------|
| Syracuse, New York 13201 | (315) 475-1681 |
| Brown-Rogers-Dixson Co. | 675 North Main Street | Winston-Salem, North Carolina 27102 | (919) 722-1112 |
| C and L Supply, Inc. | 335 South Wilson | Vinita, Oklahoma 74301 | (918) 256-6411 |
| Luckenbach and Johnson, Inc. | 1828 Tilghman Street | Allentown, Pennsylvania 18105 | (215) 434-6235 |
| Good Industries, Inc. | P.O. Box 471 | Altoona, Pennsylvania 16603 | (814) 944-7178 |
| Young Brothers Electronics, Inc. | 1901-15 Peach Street | Erie, Pennsylvania 16512 | (814) 454-5297 |
| General Distributors, Inc. | 456 Steubenville Pike | Pittsburgh, Pennsylvania 15205 | (412) 922-1300 |
| Max Pasley, Inc. | 506 South Cliff Avenue | Sioux Falls, South Dakota 57103 | (605) 336-3760 |
| Southern Furniture Sales Company | 2213 Polymer Drive | Chattanooga, Tennessee 37421 | (615) 899-2510 |
| Shobe, Inc. | 2449 Scaper Street | Memphis, Tennessee 38114 | (901) 743-9821 |
| Gorman Engineering Company, Inc. | 1701 Texas Avenue | El Paso, Texas 79901 | (915) 532-5483 |
| Kimball Electronics | 350 Pierpont Avenue | Salt Lake City, Utah 84101 | (801) 328-2075 |
| Bluefield Hardware Company, Inc. | 302 Campbell Avenue Southeast | Roanoke, Virginia 24013 | (703) 343-7521 |
| Bluefield Hardware Company, Inc. | P.O. Box 209 | | |
| 400 Bluefield Avenue | Bluefield, West Virginia 24701 | (304) 327-5131 |
| Dixie Appliance Company | 232 Bluefield Avenue | Bluefield, West Virginia 24701 | (304) 327-7191 |
| Mason-Dixon Distributors | 820 Bluefield Avenue | Bluefield, West Virginia 24701 | (304) 325-8106 |
| J.H. Fagan Company | 2450 South 170th Street | New Berlin, Wisconsin 53151 | (414) 786-9610 |
| Manufacturer |
| QUASAR—Director of Service & Parts | Quasar Electronics Corp. | 9401 West Grand Avenue | Franklin Park, IL 60131 | (312) 451-1200 |
| OEM Replacement Parts Distributors |
| Quasar | 1616 Second Av. S. | Birmingham, Al. 35233 | (205) 252-4195 |
| The Carroll Co., Inc. | 615 Telegraph Rd. | Mobile, Al. 36603 | (205) 433-1621 |
| Frank Lyon Co. | 65th & Scott Hamilton | Little Rock, Ar. 72204 | (501) 562-7600 |
| 555 Inc. | 1601 E. Washington | No. Little Rock, Ar. 72114 | (501) 376-3471 |
| Quasar | 733 W. 22nd St. | Tempe, Az. 85282 | (602) 968-8645 |
| Quasar | 104 Fulton St. | Fresno, Ca. 93708 | (209) 486-5700 |
| Quasar | 2041 Saybrook Av. | Los Angeles, Ca. 90040 | (213) 726-2900 |
| Quasar | 501 Forbes Avenue | South San Francisco, Ca. 94080 | |
| (415) 871-4120 |
| L & H Dist., Inc. | 4330 E. 48th Ave. | Denver, Co. 80216 | (303) 321-7333 |
| Quasar | 111 Prestige Rd. | East Hartford, Ct. 06108 | (203) 528-4468 |
| Quasar | 2170 Emerson St. | Jacksonville, Fl. 32207 | (904) 396-2888 |
| Quasar | 13148 W. Dixie H'way. | North Miami, Fl. 33160 | (305) 891-6442 |
| Quasar | 4115 W. Kennedy Blvd. | Tampa, Fl. 33609 | (813) 872-2686 |
| Brown Dist. Co. | 1003 Donnelly Av. S.W. | Atlanta, Ga. 30310 | (404) 753-6136 |
| Electrical Dist., Ltd. | 1440 Kapiolani Blvd. | Honolulu, Ha. 96805 | (808) 946-4811 |
| The Timmermann Co. | 108 E. Fourth St. | Des Moines, Ia. 50309 | (515) 243-0133 |
| Jones Dist. Co. | 2650 Bridgeport | Sioux City, Ia. 51111 | (712) 277-8600 |
| R. Cooper Jr., Inc. | 25 E. Howard St. | Des Plaines, Il 60018 | (312) 297-5100 |
| Lofgren Dist. Co. | 1202 Fourth Av. | Moline, Il 61265 | (309) 764-7436 |
| Yeomans Dist. Co. | 1503 W. Altorfer Dr. | Peoria, Il 61614 | (309) 691-3282 |
| Gerlinger-Schuler, Inc. | 2131 Fairfield Av. | Fort Wayne, In. 46804 | (219) 745-0562 |
| Company | Address | City, State, Zip Code | Phone Number |
|-------------------------------|----------------------------------------------|--------------------------------|--------------------|
| Quasar | 1341 Sadlier Circle W. Dr. | Indianapolis, In 46239 | (317) 359-8214 |
| Vanderheyden Dist. | 1743 N. Commerce Dr. | South Bend, In 46624 | (219) 232-8291 |
| Barton Dist., Inc. | 635 Hydraulic St. | Wichita, Ka. 67214 | (316) 262-3707 |
| Falls City Supply Co., Inc. | 1021-23 Floyd St. | Louisville, Ky. 40203 | (502) 587-7444 |
| Major Dist. Co. | 449 S. 16th St. | Paducah, Ky. 42001 | (502) 443-5345 |
| Bramblett Sales Corp. | 4129 Euphrosine St. | New Orleans, La. 70185 | (504) 822-1190 |
| Frank Lyon Co., Inc. | 62nd & Mansfield Rd. | Shreveport, La. 71108 | (318) 861-7621 |
| RSL Dist., Inc. | 14 Perry Rd. | Bangor, Me. 04401 | (207) 947-7396 |
| RSL Dist., Inc. | 117 Anderson St. | Portland, Me. 04102 | (207) 773-0297 |
| Washington Appliance Whsle., Inc | 10501 Ewing Rd. | Beltsville, Md. 20705 | (301) 937-4500 |
| Quasar | 25 Dartmouth | Westwood, Ma 02090 | (616) 534-8601 |
| Potter Dist., Inc. | 4037 Roger Chaffee Dr. SE | Grand Rapids, Mi. 49508 | (616) 534-8601 |
| Quasar | Troy Trade Center | Troy, Mi. 48084 | (313) 588-3683 (3680) |
| The Forster Co. | | | |
| | 1000 Turners Cross Rd. | Minneapolis, Mn. 55416 | (612) 542-2411 or 2422 |
| Appliance Dist of Miss. | 1019 Wholesale Row | Jackson, Miss. 39207 | (601) 352-7787 |
| Superior Dist. Co. | 1601 Baltimore St. | Kansas City, Mo. 64108 | (816) 842-0151 |
| Disco Dist. Co. | 11649 Adie Rd. | Maryland Heights, Mo. 63043 | (314) 567-5820 |
| Ozark Motor & Supply Co. | 440 E. Tampa St. | Springfield, Mo. 65805 | (417) 862-2771 |
| Taylor Dist., Co. Inc. | 4148 First Av. S. | Billings, Mt. 59102 | (406) 245-3055 |
| American Dist. Inc. | 824 Howard St. | Omaha, NB 68102 | (402) 341-6433 |
| RSL Dist., Inc. | 670 Chestnut St. | Manchester, NH 03105 | (603) 625-5444 |
| M & W Appliance Dist. | 1900 Seventh St. NW | Albuquerque, NM 87107 | (505) 247-0249 |
| Quasar | 15 W. Elizabeth Ave. Rear | Linden, NJ 07035 | (201) 862-4660 |
| Henzel-Powers, Inc. | Southern Blvd. Ext. Mt. Hope Dr. | Albany, NY 12201 | (518) 465-2351 |
| Lee Dist., Inc. | 845 Washington St. | Buffalo, NY 14203 | (716) 856-7921 |
| Quasar | 13506 Lefferts Blvd. | Ozone Pk., NY 11420 | (212) 835-8984 |
| GTP Leisure Prod. | 420 Marcellus St. | Syracuse, NY 13204 | (315) 471-8416 |
| Thermo Industries, Inc. | 4300 Golf Acres Dr. | Charlotte, NC 28208 | (704) 394-7311 |
| Bristol Dist. Co. | 4501 W. Main St. | Fargo, ND 58102 | (701) 282-5330 |
| Modern Dist., Inc. | 200 E. Hill St. | Oklahoma City, Ok. 73105 | (405) 528-4537 |
| Quasar | 494 Highland Rd. | Cincinnati, Oh 45240 | (513) 851-4180 |
| Frankelite Co. | 1425 Rockwell Ave. | Cleveland, Oh. 44114 | (216) 696-0400 |
| Gerlinger Equipment Co. | 1001 Adams St. | Toledo, Oh. 43697 | (419) 248-4681 |
| The Moore Co. | 800 12th N.W. | Portland, Or. 97209 | (503) 221-1600 |
| Charles L. Bell Co., Inc. | 834 N. 12th St. | Allentown, Pa. 18105 | (215) 820-6450 |
| Penn Appliance Distributors, Inc. | 1650 Bobali Dr. | Harrisburg, Pa. 17105 | (717) 939-0451 |
| Philadelphia Dist., Inc. | 630 Clark Ave. | King of Prussia, Pa. 19406 | (215) 265-4700 |
| Three Rivers, Inc. | 10 Sheridan Rd. | Pittsburgh, Pa. 15209 | (412) 821-4880 |
| Frank Lyon of Puerto Rico, Inc.| Carlyn Industrial Park | Carr. Sabana Abajo | Caroline, PR 00630 |
MAY 1977, ELECTRONIC TECHNICIAN/DEALER / 41
Shepard-Jenkin Inc.
335 Harborside Blvd.
Providence, RI 02905
(401) 467-9494
The Climatic Corp.
715 Bluff Rd.
Columbia, SC 29202
(803) 799-8510
Braid Electric Company
727 E. 11th St.
Chattanooga, Tn. 37403
(615) 266-4707
E.B. Copeland & Co.
503 W. Jackson Av.
Knoxville, Tn. 37917
(615) 525-6296
Mills-Morris Co.
677 Phelan St.
Memphia, Tn. 38101
(901) 774-9810
Braid Electric Co.
1100 Demonbreun Viaduct
Nashville, Tn. 37203
(615) 242-6511
Consolidated Dist. Co., Inc.
1010-20 NE 3rd Av.
Amarillo, Tx. 79105
(806) 372-1246
Porter Burgess Co.
1233 Levee St.
Dallas, Tx. 75207
(214) 741-5161
M & W Appliance Dist.
1830 Mills St.
El Paso, Tx. 79901
(915) 533-4464
Mischer Southwestern
2801 N. Loop W.
Houston, Tx. 77008
(713) 869-6966
Central Dist. Co.
1201 E. Houston St.
San Antonio, Tx. 78201
(512) 225-1541
Western Supply Co., Inc.
1901 S. 300 West
Salt Lake City, Ut. 84115
(801) 487-9941
RSL Dist., Inc.
16 Commerce St.
Williston, Vt. 05495
(802) 862-5771
E.A. Holsten, Inc.
1400 Overbrook Rd.
Richmond, Va. 23261
(804) 359-3511
E.A. Holsten, Inc.
122 Pennsylvania Av.
Virginia Beach, Va. 23230
Taylor Dist. Co., Inc.
East 124 Sinto
Spokane, Wa. 99202
(509) 328-8110
Quasar
626 Industry Drive
Tukwila, Wa. 98188
(206) 575-0382 or 4183
Midwest Corp.
307 Sandy Blvd.
Clarksburg, WV 26303
(304) 623-3781
Midwest Corp.
1403 Washington Av.
Huntington, WV 25711
(304) 529-6214
Midwest Corp.
300 First Av. S.
Nitro, WV 25143
(304) 722-2921
Dykro, Inc.
N90 W14401 Commerce Dr.
Menomonee Falls, Wi. 53051
(414) 255-1900
IN PART 2...
The remainder of our OEM TV Replacement Parts Source Directory, including distributor listings for RCA, Sharp, Sony and GTE Sylvania, will appear in the June issue of ET/D.
Performance where it counts
for CB... and beyond
These two new wattmeters from VIZ not only let you take advantage of the current CB boom, but also provide exceptional testing capabilities for ham, fm, vhf... even uhf.
Dummy-load rf wattmeter
- Broadband (1.9 MHz to 512 MHz)
- Easy to operate and read
- VSWR less than 1.15 at 500 MHz
Thru-line rf wattmeter
- Frequency range 20 MHz to 230 MHz
- Power range 100W or 20W (reflected power 20W or 5W)
- VSWR less than 1.15
See them at your VIZ distributor
VIZ Test Instruments Group
of VIZ Mfg. Co.
335 E. Price St.
Phila. PA. 19144
Model WV-551A $60.00
Model WV-552A $150.00
...for more details circle 134 on Reader Service Card
May we send you your choice of these 3 practical, time-and-money-saving books as part of an unusual offer of a Trial Membership in Electronics Book Club?
Here are quality hardbound volumes, each especially designed to help you increase your know-how, earning power, and enjoyment of electronics. Whatever your interest in electronics, you'll find Electronics Book Club offers practical, quality books that you can put to immediate use and benefit from.
This extraordinary offer is intended to prove to you, through your own experience, that these very real advantages can be yours...that it is possible to keep up with the literature published in your areas of interest, and to save substantially while so doing. As part of your Trial Membership, you need purchase as few as four books during the next 12 months. You would probably buy at least this many anyway...without the substantial savings offered through Club Membership.
To start your Membership on these attractive terms, simply fill out and mail the coupon today. You will receive the 3 books of your choice for 10-day examination. YOU NEED SEND NO MONEY! If you are not delighted, return the books within 10 days and your Trial Membership will be cancelled without cost or obligation.
An Extraordinary Offer to introduce you to the benefits of Membership in
ELECTRONICS BOOK CLUB
take any 3 of these unique electronics books (value to $627.0) for only 99¢ each
with a Trial Membership in the Book Club that guarantees to save you 25% to 75% on a wide selection of electronics books
Facts About Club Membership
- The 3 introductory books of your choice carry publishers' retail prices ranging up to $62.70. They are yours for only 99¢ each (plus postage/handling) with your Trial Membership.
- You will receive the Club News, describing the current Selection, Alternates and other offerings, every 4 weeks (13 times a year).
- If you want the Selection, do nothing; it will be sent to you automatically. If you do not wish to receive the Selection, or if you want to order one of the many Alternates offered, you should fill out the "Selection Form" (enclosed in the envelope) provided, and return it to us by the date specified. This date allows you at least 10 days in which to return the form. If, because of late mail delivery, you do not have 10 days to make your selection so as to receive an unwanted Selection, you may return it at Club expense.
- Personal service for your account—no computers used!
- To complete your Trial Membership, you need buy only four additional books, or select two or alternates during the next 12 months. You may cancel your Membership any time after you purchase these four books.
- All books—including the Introductory Offer—are fully refundable within 10 days if you are not completely satisfied.
- All books are delivered at the Member's prices, plus small postage and handling charge.
- Continuing Bonus: If you continue after your Trial Membership, you will earn a Dividend Certificate for every book you purchase. Three Certificates, plus payment of the nominal sum of $1.99, will entitle you to a valuable Book Dividend of your choice which you may choose from a list provided Members.
ELECTRONICS BOOK CLUB
P.O. Box 10
Blue Ridge Summit, Pa. 17214
Please open my Trial Membership in ELECTRONICS BOOK CLUB and send me the 3 books circled below. I understand that all of the books I have selected is only 99¢ each, plus a small shipping charge. If not delighted, I may return the books within 10 days and owe nothing, and have my Trial Membership cancelled. I agree to purchase at least four additional books during the next 12 months, after which I may cancel my membership at any time.
| 101 | 132/62/672 | 563/336 | 628/637 |
|-----|------------|---------|---------|
| 652 | 714 | 743 | 748/749 |
| 754 | 785 | 800 | 836 |
| 841 | 855/885 | 891 | 970 |
Name ___________________________ Phone ________________
Address _____________________________________________
City _______________________________________________
State ______________________ Zip _______________________
(This offer valid for new Members only. Foreign and Canada add 10%) T-57
MAY 1977, ELECTRONIC TECHNICIAN/DEALER / 43
Hickok recently introduced a series of seven compatible test instruments especially designed to function together as a complete rack-mounted CB Service System, as shown in Fig. 1, or, alternatively, each of the seven instruments may be purchased and used independently.
**THE 'BASIC' SYSTEM**
The 'Basic' version of the Hickok CB Service System consists of the following instruments and related accessories:
- **The Model 388 CB In-Line Tester (Fig. 2)**, which measures and provides a .3-inch-high LED display of the following four transmitter performance parameters: SWR from 1.00:1 to greater than 10:1 via a four-digit readout; RF power from .1 watt to 100 watts in two ranges (.1-10 watts and 1-100 watts) via a three-digit readout, percentage of modulation from 1% to 110% via a three-digit readout; and frequency from 10Hz to 55MHz (10ppm accuracy) via a seven-digit readout.
- **The Model 245 RF Generator (Fig. 3)**, which provides modulated or unmodulated RF signals throughout two frequency spectrums: from 100KHz to 16MHz (all CB IF frequencies) and from 26.9MHz to 27.6MHz (all 40 CB channels).
- **The Model 244 Mobil/Comm Power Supply (Fig. 4)**, which provides adjustable, regulated DC operating voltages throughout the range from 10.5 to 14.5 VDC.
- **The CL-2 CommLine Accessory Kit**, which includes: 1) a 5-watt RF dummy load; 2) a two-position coaxial switch, for switching the receiver under test to either the CB In-Line Tester or to the RF Generator; 3) an acoustic coupler, for through-the-mike modulation of the transceiver under test; 4) a Model VP-8 RF probe; and 5) the four cables and two leads required for interconnection of the three 'basic' CommLine test instruments and the transceiver under test.
The total price of the previously described 'basic' version of the CommLine CB Test System is $752.
**THE COMPLETE SYSTEM**
The 'complete' version of the Hickok CommLine CB Service System consists of the Model 244 Mobil/Comm Power Supply, the Model 256 RF Generator, the CL-2 Accessory Kit and an "X" version of the Model 388 CB In-Line Tester (which is equipped with a temperature compensated crystal oscillator that provides lppm accuracy and an aging rate of + lppm/year) plus the following three additional test instruments:
- **The Model 334 Digital Multimeter**, which provides measurement and 3½ digit readout of DC voltages from .1mV to 1200 volts, AC voltages from .1mV to 1000 volts (RMS), DC and AC (RMS) current from .1µA to 2000MA, and resistances from 1Ω to 20 megohms, with automatic polarity indication and decimal positioning.
- **The Model 217 Semiconductor Analyzers**, which provides in- and out-of-circuit testing of bipolar,
unijunction, and junction field-effect transistors, conventional and zener diodes, SCRs and triacs.
- The Model 270 Function Generator, which provides sine, square and triangle waveforms at frequencies from 1Hz to 1MHz in six pushbutton-selected decade ranges.
The total price of this complement of six compatible test instruments, the CL-2 Accessory Kit, and the rack-mounting hardware required to mount the system as shown in Fig. 1 is $1559.80. (An additional Hickok test instrument, the Model 385X 500-MHz Autoranging Frequency Counter, is shown in the system setup in Fig. 1. This instrument is not required for CB service, but is available to expand the capability of the CommLine system to include two-way communications equipment operating at frequencies up to 500MHz.)
---
**SUBBER®**
**MARK IV-CUVB**
A TIMESAVING INSTRUMENT BY CASTLE
UHF-VHF TV tuner and i-f signal analyst Incorporates these important features:
- Tunes all UHF & VHF Channels
- Electronic Fine Tuning
- Dual 40 MHZ IF Output Jacks
- Battery Condition Indicator
**MARK IV-CUVB**
(BATTERY POWERED ONLY)
Net $64.95
CASTLE ELECTRONICS
5233 Old South Highway 37
Bloomington, Indiana 47401
For More Details and Specifications Contact Your Nearest Distributor
In Canada: Len Finkler Ltd; Ontario
...for more details circle 108 on Reader Service Card
---
**QUICK CHARGE IRON-QUICK CHANGE TIPS**
ISOATIP Quick Charge Cordless Soldering Iron recharges in 3-4½ hours. Uses any of Wahl’s 16 snap-in tips.
Low voltage, battery powered, ground free isolated tip design.
- #7571 - BEVELED TIP #2
- #7572 - TINNING TIP #5
- #7569 - "V" TIP #5
- #7572 - BLUNT TIP #5
- #7577 - CHISEL TIP #5
- #7545 - FINE TIP #2
- #7596 - KNIFE TIP
- #7576 - CONCAVE CENTERING TIP #5
- #7550 - EXTENSION TIP
- #7541 - CIRCUIT BREAKER TIP
WAHL CLIPPER CORPORATION
ORIGINALORS OF PRACTICAL CORDLESS SOLDERING.
Sterling, Illinois 61081 (815) 625-6525
"Manufacturing Excellence Since 1919"
...for more details circle 135 on Reader Service Card
CORDLESS SOLDERING STATION 145
Ungar Division of Eldon Industries recently introduced a new cordless soldering station, Model 200, which consists of a holder/battery charger unit and a battery powered soldering iron.
Designed for bench or field use, the iron of the Model 200 is powered by a Ni-Cad battery pack which can be completely recharged by the holder/battery charger unit in four hours.
Other features of the iron include: a rigid coaxial tip which can be rotated to any desired working position; a touch-to-use switch which conserves battery power; and a narrow-beam light which provides illumination of the area being soldered.
Price of the Model 200 Quick-Charge Cordless Soldering Station is $19.95.
ANTENNA HOLE SAW KIT 146
A new device that speeds the cutting of holes in car and truck bodies for permanent mount mobile antennas has been introduced by the Utility Tool Corp. Called the Cablematic HSK Hole Saw Kit, the product features a special guide on the drill bit that limits the depth of the hole to 3/8-inch to prevent damage to underlying headliners, and also scores the paint for better grounding of the antenna. The new saw bit also incorporates a special guide on the drill bit that restricts "walking" of the saw. The kits are available in 3/4-inch and 1 and 5/16 inch sizes, and are designed for use with 3/8 inch or larger electric drills.
TUNER CLEANER 147
A new high density, low surface tension, ultrasonic-type cleaner containing a high temperature silicone grease is now available from the Rawn Company. Designated the Super Line Heavy Tuner Cleaner, the new product is said to fill the need where extreme temperatures, both high and low, and high moisture are factors. The cleaner, which is said to be safe for plastics, has good water washout resistance and lubrication abilities from -65°F to 300°F, and will maintain viscosity through this temperature range without solidifying or melting.
TV INTERFERENCE FILTER 148
A new low pass filter for use with CB transceivers and Amateur Radio systems operating below 30 MHz has been introduced by HME. The new filter is inserted between the antenna and the transceiver (or amplifier) to suppress undesired radiation by at least 60 dB's. Insertion loss at the operating frequency is less than 0.25 dB. The new filter, which handles up to 500 watts, may be used with AM, SSB, CW, or FM systems. It is said to pass all frequencies up to 30 MHz, but passes no signal beyond 32 MHz. Screwdriver adjustment allows for transceiver/filter match.
NEW INTEGRATED CIRCUITS 149
Fifteen new integrated circuits have been added to the General Electric replacement line for the repair of TV and other consumer electronic products. Added for FM stereo are: a multiplex decoder with lamp driver, a demodulator with phase locked loop, a multiplex demodulator/two-channel amplifier, and a demodulator to drive head phones. Other additions are: an AM/FM IF amplifier/detector/AF amplifier, general purpose transistor array, a pre-amp for stereo tape recorders, plus eight devices for color TV. The ICs for TV include: a color bandpass amplifier; two vertical osc., ARC/vertical drivers; video amplifier; AGC gate/amplifier color takeoff; vertical deflection and pin cushion; chroma demodulator and amplifier; and sound IF amplifier/limiter/detector/audio pre amp. List prices range from $6.95 to $18.48.
INSULATION SLITTER & STRIPPER 150
A new tool designed to easily remove insulation from wire and cable up to 1 inch in diameter has been developed by Lumia Products. It is actually a 'guide' for a single edge cutting blade. The V-notch guides the blade lengthwise along the centerline of the cable, and the semicircular notch in the holder guides the blade around the wire or cable. It is especially useful for coaxial cable, multiconductor cable, Romex cable and high voltage wire with thick-walled insulation. The blade is a standard single edge type and the body is made of ABS plastic. The blade is adjustable for various insulation thicknesses. A tab with a hole in it is included for handling the guide on a tool board or chain. It lists for $1.25.
DUAL CB ANTENNA SYSTEM 151
A new co-phased dual antenna systems for mobile CB installation is now available from Avanti Research. Named the AV-535, the new system consists of two 48 inch stainless steel, top-loaded antennas with chrome
FORDHAM BEST BUYS
SENCORE TEST EQUIPMENT
Sencore TF40 Pocket Cricket Portable Transistor & FET Tester
One simplified, safe test for all transistors and FETs. 99.9% reliable with complete leakage test on meter. And the Pocket Portable is the only one that has it. No set-up information is needed. Total test takes seconds. Identifies transistor polarity, FET or bipolar transistor. Identifies all 3 leads everytime. Includes test tone indicator.
CB41 Portable CB Performance Tester
Tests SWR, RF power and % modulation. Tells if a CB rig is getting out as far as possible...if it needs servicing.
CB42 Total CB Automatic Analyzer
The complete CB service bench, simplified for quick troubleshooting and performance testing. Performs 12 receiver tests; 12 transmitter tests. Single digital readout for all tests. Combines five units in one: 1) Frequency Counter; 2) RF-IF Generator; 3) Audio Generator; 4) Digital RF Wattmeter; and 5) special CB Tester.
PS43 Port-A-Pak Power Supply/Battery Eliminator
Combines advantages of rechargeable batteries with an AC operated supply for any 12 volt service need.
FOR PRICING AND TO PLACE YOUR ORDER:
Call collect for Mr. Louis (516) 752-0050
Master Charge, BankAmericard and C.O.D.'s accepted
FORDHAM RADIO SUPPLY CO., INC.
855R Conklin St.
Farmingdale, N.Y. 11735
FREE 148 page catalog of over 3000 items test equipment, CB, tools, tubes, components and a full line of electronic supplies
...for more details circle 117 on Reader Service Card
MAY 1977, ELECTRONIC TECHNICIAN/DEALER / 47
DUAL TRACE TRIGGERED-SWEEP SCOPE 152
A new dual-trace scope for the design, development and service of digital circuitry, as well as general communications, audio and TV equipment, has been introduced by Simpson Electric. Designated the model 452, the new scope features a triggered sweep and a 15 MHz bandwidth plus all solid-state and IC components. Differential vertical amplifier stages give the scope wide bandwidth (DC coupled, DC to 15 MHz; AC coupled, 2 Hz to 15 MHz) with smooth roll-off through 27 MHz. Triggering is internal or external with sync positions for TVV, TVH and VITS. Sensitivity is 5 mV/cm and rise time is 24 nsec. The new scope automatically shifts from "chop" to alternate on faster sweeps. It is able to display Channel A, Channel B, and Channel C.
Plated steel gutter clip mounts and a 24 foot co-phasing harness. The new system is said to increase performance approximately 25% over a single antenna, and to minimize the problem of a skewed or shifted radiation pattern. The system is removable for easy transfer from one vehicle to another.
GO DIGITAL, GO DANAMETER®
(The New VOM For Today's Needs.)
- 0.25% Accuracy
- Full Overload Protection
- Really Drop-Proof
- Full One Year Battery Life
DANA Laboratories, Inc.
2401 Campus Dr., Irvine, Ca 92715, (714) 833-1234
SUPER LINE IS THE BEST!
The Rawn Company would like to prove it to you. We'll give you a FREE 10-oz. can of Rawn SUPER LINE CIRCUIT COOLER with the purchase of an 8-oz. can of SUPER LINE HEAVY TUNER CLEANER.
RAWN Company, Inc.
Box 9, Spooner, WI 54801
This coupon good for 1 free 10-ounce can of 100% refrigerant - 12 CIRCUIT COOLER when presented at the time of purchase of 1 can of 8-ounce HEAVY TUNER CLEANER at the regular price from a RAWN CHEMICAL DISTRIBUTOR. Offer expires August 1, 1977. Offer good only in continental U.S.
NAME:
ADDRESS:
CITY: STATE ZIP
DISTRIBUTOR: CITY
Mr. Distributor: Full credit will be issued on your next order for all free circuit cooler dispersed.
If your distributor does not yet stock SUPER LINE CHEMICALS, send coupon and $2.49, along with your distributor's name and address, and your order will be sent directly from the factory. (Wisconsin residents add 4% sales tax.)
B, A & B, A+B (add) or A-B (subtract). The scope is 6½ inches high by 12 inches wide by 16 inches deep, weighs 20 lbs., and is priced at $635.
**TVI FILTER CABLE FOR CB**
A new filter cable that reduces or eliminates the 2nd and 3rd harmonic interference to TV channels 2, 5 and 6, from CB transmissions has been introduced by Vitek Electronics. This new cable for CB transceivers looks like an ordinary piece of 50 ohm coaxial cable but built inside the cable are multiple distributed resonators to trap 54MHz and 81MHz. The cable is designed to be connected in line between the CB transceiver and the CB antenna. It does not require the use of a jumper cable to make connection with the transceiver. The cable comes in two lengths; a 6-foot size, designed to be connected to an existing CB system, and an 18-foot length, designed to replace the RG coaxial cable commonly used in mobile CB.
**DELAYED TIMEBASE OSCILLOSCOPE**
A new 25 MHz dual timebase portable oscilloscope, the PM 3214, has been announced by Philips Instruments. The new scope features alternate timebase display, allowing full screen display of both main and delayed timebases for both channels simultaneously, resulting in four traces. The 18.5 lb. portable scope has fully calibrated delay, as well as full trigger facilities for both timebases. Main timebase triggering modes are auto, AC, DC, TV line or frame and source selection from Channel A or B, composite, external and from the line. Delayed timebase triggering is also AC or DC coupled with full level control and source selection is main timebase with calibrated delay, Channel A, Channel B, composite and external source. PM3214 is priced at $1,395.
**SOLID-STATE U/V CONVERTER**
A new series of solid state UHF to VHF TV channel converters for use in MATV systems has been developed by Jerrold Electronics. Designated UVC, the new converter series can be used to distribute UHF channels on unused VHF channel frequencies. For example, UHF Channel 48 can be converted to VHF Channel 10 and distributed on that frequency throughout the MATV system. TV sets connected to the MATV system can then view Channel 48 by setting their VHF Channel selector to Channel 10. Converting UHF channels to VHF frequencies makes large MATV distribution systems more economical, since cable losses are much lower at VHF than at UHF. The new converters exhibit highly stable tuned L-C oscillator operation over a wide temperature range. The noise figure is low (10.5 dB) and output capability is high (+40 dBmV). UVC converters are designed for indoor use. Available at list price of $175.85.
**DRY RF COAXIAL LOAD**
A new 200 watt, dry RF coaxial load that is designed to dissipate up to 200 watts of R.F. energy in a small space has been introduced by Coaxial Dynamics. Designed as a "dummy load" for the adjustment, testing and alignment of transmitters from DC through 512 MHz, the new unit is a 'dry' load, thus it can operate at full rating in any position and cannot leak messy oil. Designated Model 4260, the
PORTABLE DMM
A 3 1/2 digit portable DMM costing only $99.95 has been announced by B&K-Precision. The new DMM, Model 2800, is a full-feature instrument that provides a wide range of voltage, current and resistance measurements. Twenty-two ranges are featured, measuring as high as 1000 VDC or VAC, or up to 40,000 VDC with an optional PR-28 probe. Resolution is to 1mV, 1µA, or 0.1 ohm. Typical DC accuracy is 1% with an input impedance of 10 megohm. The 2800 also features auto-zeroing and 100% overrange reading on all ranges. Overrange reading capability allows the user to read to 1999 on a scale normally limited to a maximum reading of 1000, reducing frequency range changes. Out-of-range indication is clearly indicated when the overrange is exceeded. The 2800 comes complete with test leads, detailed operating manual and spare fuse.
FREQUENCY COUNTER FOR AUDIO THRU VHF
A new frequency counter with continuous frequency checking capability from audio through VHF and UHF bands is now available from Senecore. Designated the FC45, the new counter features a direct-reading, eight-digit display with pushbutton action. The FC45 is said to be highly sensitive.
with 25 milliVolts average throughout the band, with a pick-up loop that won't upset the circuit during frequency tests. Accuracy is one part in one million tolerance. A crystal checker is an integral part of the FC45, plus all test leads. The new counter is priced at $395. An optional PR47 prescaler is also available for $125.
RESISTANCE SUBSTITUTION UNIT 159
A new pocket-sized, slide-switch, resistance substitution unit with a range of over 11 million resistance steps is now available from Phipps & Bird. The new hand-held unit has been designed for use in circuit design, development, instrument repair and troubleshooting. It is housed in aluminum and features three binding posts, one to ground case. The slide-switch uses one-half watt resistors with 1% tolerance with an accurate range from 1 to 11, 111, 110 ohms, in one-ohm steps. The unit is priced at $58.
FREQUENCY COUNTER 160
A new digital frequency counter, priced at $99 is available now from Telco Products. Called the Count-40, the new counter features large half-inch-high LED, 7-digit displays with polarizing lens. It is crystal controlled with accuracy up to 40 MHz, and 1 MV sensitivity provides pick-up and display of low power transmission without the need for coax connection. The Count-40 is designed for portable use and may be used for either base or mobile on-the-air frequency verification. It will operate on 12 VDC or 117 VAC, and comes with a 117 volt power adapter.
PORTABLE DIGITAL MULTIMETER 161
A new portable, 3½ digit multimeter that operates for 200 hours on one set of batteries has been introduced by Data Tech. Designated the Model 22, the new instrument measures DC volts from 100 µV to 1KV; AC volts from 100µV to 750V; DC and AC current from 100nA to 20A; and resistance from 100µΩ to 20 MΩ. Basic accuracy of readings on DCV is 0.1%±1 digit. Model 22 features a large .5 inch LCD display, uses standard size disposable batteries and provides overload protection. It will also operate with rechargeable batteries or on AC. Priced at $234.
AGC SYSTEMS
continued from page 33
a test probe to many circuits encapsulated inside the chip necessitates treating the IC as a complete functional unit instead of discrete stages, and secondly, the electric delicacy of the microcircuitry requires extra care in testing or fixing.
The best technique for troubleshooting the IC and its associated module is probably a combination of signal tracing and DC voltage measurements. With correct DC voltages and proper input signals applied to the IC, if there is no expected output, or if the output is distorted, the IC is probably defective. Of course, the components connected to the IC on the module should be checked out before replacing the IC since a defective component sometimes makes the IC look bad, and at times it may actually damage the IC. Replacing a socket-mounted IC is no problem, but changing a soldered IC requires time and patience. An alternative to the defective soldered IC is to replace the whole module.
To illustrate what possible steps may be taken in trouble-shooting an IC AGC circuit, the circuit shown in Fig. 5 is chosen for an example. The troubleshooting chart shown in Fig. 8 is by no means to be used rigidly step-by-step for all circuits. The conceptual framework of the chart and the circuit shown in Fig. 5, however, can be adopted to deal with other similar situations with just a little modification.
In Conclusion
The AGC is a feedback, regulator closed-loop control system that maintains constant picture and sound quality for the TV receiver under varying signal conditions. Advances in solid state electronics have revolutionized many aspects of the AGC system. It is important that the principle and the purpose of the circuit be thoroughly understood before undertaking any troubleshooting task.
AUDIO TEST
continued from page 27
mation with the maximum signal (or power) level. The ratio of the voltages across the output load is converted to a Signal to Noise Ratio (S/N) with the following equation: \( S/N = 20 \log_{10} V_p/V_n \). (\( V_p \) is the maximum power voltage and \( V_n \) is the noise voltage.)
Sensitivity
Measurements for sensitivity determine how much signal, or voltage you must apply to each amplifier input terminal to drive the amplifier to its rated output. The setup for sensitivity measurements, using a LF spectrum analyzer, is shown in Fig. 18. The DPDT switch is convenient but not absolutely necessary.
Now, with the gain or loudness control set at maximum, and starting with any amplifier input, a 1000 Hz tone from the audio generator is applied to drive the amplifier to its rated power output. When rated power output is reached, you bypass the amplifier by switching to the analyzer input. The input signal level displayed is the sensitivity of the amplifier for that input. The figure shown will be given in either millivolts or microvolts for each input. The measurement for sensitivity is then tabulated with the chart shown in Fig. 19.
Crosstalk
Crosstalk is the measurement of how much signal from one channel in a stereo amplifier breaks through, or spreads, into the other channel. In a quadriphonic system, it is a measure of how much signal breaks into a channel from all other channels combined. The setup for crosstalk measurement, using a spectrum analyzer, is shown in Fig. 20.
First, each channel is driven to its rated power output, and its response is displayed as a reference level (shown in Fig. 21). Then, the channel being tested has its input disconnected, while its output is displayed.
The input of a channel being tested for crosstalk should be terminated with a resistor with a value that is the rated input impedance of that channel input. The resistor should be carefully shielded, and that shielding should be grounded.
A typical spectrum analyzer display showing crosstalk indication is shown in Fig. 21. Maximum crosstalk separation will be somewhere in the mid-range, or as shown in Fig. 21, at 500 Hz. At both lower and higher frequencies, particularly the latter, the separation is reduced.
Finally—Some Useful Hints
In this series, we have described ways of using the spectrum analyzer to provide professional audio tests and measurements in terms of EIA standards, or FTC regulations. We should caution you that such legal test results do not always agree with your customer's listening desires or requirements.
To make a "legal" measurement, an amplifier must be tested with an accurate resistance load. But your customer does not listen to a resistance. He listens to his loudspeakers.
Although a spectrum analyzer will also measure the damping factor, which shows an amplifier's capability of feeding a loudspeaker rather than a resistor, you may get more informative results by repeating some of the tests we have described with the loudspeaker connected, in place of the prescribed resistance load.
The reason a resistance load is specified is that, only by using it, can power output be accurately measured. This applies especially to IMD and frequency response measurements. However, you never listen to that kind of power, so it is useful to acquire some proficiency in at least estimating what happens in the real world of customer sound.
DEALER SHOWCASE
Descriptions and specifications of the products included in this department are provided by the manufacturers. For additional information, circle the corresponding numbers on the Reader Service Card in this issue.
RECHARGEABLE NINE-VOLT BATTERY 139
A new nickel-cadmium 9-volt size battery, capable of being recharged up to 1000 times has been added to the General Electric line of rechargeable batteries. The new battery can be charged on the same miniature charger used with the firm's AA, C and D size rechargeable batteries. A snap-on module connects the 9-volt size battery to the Model BC3 miniature charger. The battery and snap-on module is blister-carded for dealer display and carries a suggested retail of $9.49. Extra blister-carded batteries alone have a suggested retail of $8.99 each.
SHOPLIFTING ALARM 140
A new alarm device to protect high value display merchandise from shoplifting is being introduced by Mountain West Alarm. Called the Ell Label Alarm, the new device can be used on all types of merchandise. An adhesive tag attaches directly to the back or bottom of an item. When tag is removed, torn or cut, a loud alarm in the control box sounds. The label contains a concealed printed electric circuit. One side of the label has a removable protective covering that exposes an adhesive that is applied to the merchandise. Cutting or tampering with the wires also sounds the alarm.
RECHARGEABLE BATTERIES FOR CB 141
A new 12-volt rechargeable battery for portable CB use has been introduced by Globe Union. Rectangular in shape and small in size, the high capacity (4.5 ampere hours) unit gives good operating time with SSB and AM CB equipment. Under proper conditions, it is said that the new battery, GC-1245, will power a CB transceiver for a full day before charging becomes necessary. Up to 300 days of such use is said to be possible if done within a five-year period of time. In combination with a small charger, the GC-1245 could be used as a main power supply for a base station or as a stand-by power source. The battery is of compact rectangular configuration for easy fit into portable briefcase CB units.
INDOOR TV/FM ANTENNAS 142
A new line of antennas for TV and FM reception has been introduced by Antennacraft. The line includes four UHF-VHF-FM consoles, an FM stereo consolette and a specialty UHF antenna for channels 14 through 83. The new line is called Color King.
GIANT SCREEN TELEVISION 143
A new giant screen television system that utilizes RCA XL-100 color television units and the Kodak Ektalite screen is being introduced by Projecta-Vision, Inc. The new system, which is portable and suitable for home use, is said to be available for little more than the cost of a color console. It is also compatible with all makes and models of video tape cassette players and recorders, plus remote control units and electronic TV games. Giant screen sizes are 4 foot, 5½ foot and 8½ foot. A distributor network now being developed has possible openings.
**Business Opportunities**
**BUILD ELECTRONIC DEVICES IN YOUR HOME. GET STARTED IN YOUR SPARE TIME. BIG PROFITS—EXPERIENCE NOT NECESSARY. WRITE FOR LITERATURE TELLING HOW. ELECTRONIC DEVELOP LAB. DEPT. B, BOX 1535, PINELLAS PARK, FL 33585.**
**TV REPAIR business, shop, van, equipment, and furnished home. Shop in drive-in basement of home. Everything for $68,000. Home five years old and appraised at $42,000. Thirty miles north of Pittsburgh, PA. Write % Electronic Technician/Dealer, Box 106, 1 East First St., Duluth, MN 55802.**
**TV Picture tube rebuilding operation, includes four position, automatic oven. Only one going in area. $12,000. Building available. Details: 2333 Compton, St. Louis, MO 63104.**
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**Electronics/Avionics Employment Opportunities.** Report on jobs now open. Details FREE. Aviation Employment Information Service, Box 240 Y, Northport, New York 11768.
**MAKE BIG MONEY! Rent, lease or sale. New and reconditioned TVs! Anyone can do it. Easy to start and operate. Part or full time; even operate from your home. Send $4.00 for details, Perry's TV Leasing, 308 N. McClelland, Santa Maria, CA 93454.**
**T.V. Business For Sale. South Florida. Zenith-RCA. Unlimited Potential For Right Party. Write Sam, 142 N. E. 122 Street, N. Miami, Florida 33161.**
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**Construction Plans**
**REPAIR TV TUNERS—High earnings, Complete Course Details, 12 Repair Tricks, Many Plans, Two Lessons, all for $2. Refundable. Frank Bocek, Box 3236, Ent., Redding, CA 96001.**
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**Alarm Systems**
**CALL THE POLICE (or anyone else) AUTOMATICALLY. Model 672 dialing unit $29.95. Send today for your free catalog of high quality burglar and fire alarm equipment at low prices. S&S Systems, 5619 E St. John, Kansas City, MO 64123.**
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**For Sale**
**SONY PARTS—Tuners, Cabinets, Antennas, Knobs, Speakers, Earphones, Switches, Pots, Components and Cheater Cords available at 50%-75% savings. All parts have been removed from new Trinitron color sets. Parts available for every Trinitron ever produced. Price list available. World Video, Inc., Box 117 Boyertown, Pa. 19512.**
**LINEAR AMPLIFIER for C.B., 2-meter, walkie-talkie. Tiny Solid-State Portable Unit produces 100 Watt PEP from Milliwatts and can be inserted inside existing unit. Build for about $20. Send $5.00 for plans to: J. Martin Peter, P.O. Box 07071, Milwaukee, WI 53207.**
**TV & RADIO TUBES .36¢ EA!! Send for free color parts catalog. Your order free if not shipped in 24 hours. Cornell Electronics 4215-17 University San Diego California 92105.**
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**send a message... write here.**
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**ELECTRONIC TECHNICIAN/DEALER CLASSIFIED**
REPLACEMENT COLOR YOKES—DEALERS ONLY. Zenith 95-2501-2532-2638-2667-S89633 etc. $16.95. Magnavox 361380-1 $18.95 etc. Sylvania, G.E. etc. $14.95 to $19.95. Request for price list on your letterhead. David Sims Enterprises, Inc., 665 Jericho Turnpike, Huntington Station, N.Y. 11746.
For Sale: Hewlett Packard Model 606B Signal Generator complete—used four times—cost me $3744.00—make offer. John DeGroot, 3900 Erie St., Racine, Wisc. 53401. 1-414-639-4850.
RADAR DETECTORS are Big Business! Dealers can buy the LONG RANGER RADAR RECEIVER with light & buzzer & cigarette lighter connector for $62.50 each. Retails for $89.95 to $99.95. Distributor by Ronkel, Inc., P.O. Box 13151, Arlington, Texas 76013.
FOR SALE: UHF TUNERS. Complete line of solid state plus some RCA KRK66AM and Philco UT-51. $10.00 plus postage and handling. Metropolitan TV, 3341 Kensington Ave., Philadelphia, PA 19134. Phone 215 423-2502.
C.R.E.I. home study course in electronics and broadcasting. Covers solid state and microtechnology. Includes scope, breadboard design module, VOM, hundreds of parts for experiments and design projects. Original cost $1500.00, asking $800.00. Steve Walker, 916 Owen St., N.W., Cedar Rapids, Iowa 52405 (319) 396-3069.
Look no further for CB transistors. Delivery from stock. Write or telephone for lowest prices possible. American Microsemiconductor Inc., 145 Main St., Madison, NJ 07940, (201) 377-9566.
TUNER SUBSTITUTION UNIT complete with batteries and ready to use but without cabinet or knobs, only $13.95 PREPAID. This is not a gimmick. Try it for 10 days and if not COMPLETELY satisfied, return for full refund. TEXAS TUNER SERVICE, 4210 N. E. 28th Street, Fort Worth, Texas 76117.
Latest FCC questions, answers, "explanations" compiled from technical schools, colleges, avionics companies across the country. $11.00. S. Mager, Box 26151, Los Angeles, California 90026.
For Sale: TV Test equipment and parts over $15,000.00 worth—make offer. Phone 503 842-7848, or write J. W. Smith, 518 Elm Ave., Tillamook, Oregon 97141.
QUITTING BUSINESS. Selling 1,000 SAMS, 400 tubes, large stock of test equipment, B & K 747 tube tester, 1076 TV Analyst, 415 Sweep Marker Generator, RCA Scope, much more. Asking $3,500. For complete list write Bob King, Desert Aire, Othello, Wash. 99344 or call 509-932-4631.
ONE MAN TV CART. YES now one man can pick up a 6 foot tv stereo consul or any other standard tv from the customer's home into the truck and to the work bench BY HIMSELF. Professional TV, Box 296, Mt Pleasant, Utah 84647, 810 462-2553.
Wanted
Wanted: Battery operated radios, horn speakers, tubes, parts, radio magazines and books, all before 1930. G. Schneider, 6848 Commonwealth Blvd., Parma Hgts., Ohio 44130 216-845-4358.
WANTED—USED REPAIRABLE TVs, TRADE INS. East Coast—NY, NJ, PA, DEL, MD—25 to 100. Want steady supplier. Charles Kirby, Kirby TV, Route 3, Box 176. Chestertown, MD 21620.
SEEKING ORIGINAL JAPANESE TRANSISTORS, IC, FET AND DIODES FOR CB REPAIR USE? Write or call for our list and compare prices. Fuji-Svea Enterprise, Dept. ET, P.O. Box 40325, Cincinnati, OH 45240. (513) 874-0220.
Wanted to buy: Sams Photofacts, from 800 up to date. Miler, 5177 Somerton, Troy, Mich. 48098. 313-689-5019.
American Business, you answered our "Help Wanted" ad loud and clear.
The response was overwhelming. Corporate gifts. Payroll deduction plans. Your executives using their business know-how to insure accountability and efficiency that makes it possible for 93 cents of every United Way dollar raised to go into direct services. To help the forgotten. The aged. The sick. The poor. To help the helpless help themselves. That's the United Way.
Thanks to you it works... FOR ALL OF US
United Way
A Public Service of This Magazine & The Advertising Council
**Trouble Shooter**
New Slide-Switch Resistance Substitution device from Phipps & Bird. Ideal for design and trouble-shooting applications. Half-watt 1% tolerance resistors give an accurate range of 1 to 11, 111, 110 Ohms in one ohm steps. On-Off switches provide almost limitless combinations. Over 11 million step range. Has three binding posts, one to ground case. Rugged aluminum construction. Convenient pocket size. Complete with leads. Send check purchase order payable to Jensen Tools, or charge BankAmericard or MasterCharge.
Catalog No. 225B236 $58.00
**FREE CATALOG!**
136 pages of hard-to-find precision tools. Also contains 10 pages of useful "Tool Tips" to aid in tool selection. Send for your free copy today!
JENSEN TOOLS AND ALLOYS
4117 N. 44TH ST. PHOENIX, AZ 85018
...for more details circle 119 on Reader Service Card
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**Repair Microwave Ovens For Profit!**
Microwave ovens are the wave of the future. Millions are in use today in homes, restaurants, institutions. By 1987 every home will have one. Who will service these microwave ovens in your area? YOU CAN! If you are in a community under one million, and looking for a part or full-time income opportunity, subscribe to Micro-Ovens Technical Services — the nation's largest microwave oven repair organization. We offer you assistance with parts, technical assistance and service call leads. Check the reply card number below and mail today!
MICRO-OVENS TECHNICAL SERVICES
3383 E. Layton Avenue
Cudahy, Wisconsin 53110
...for more details circle 121 on Reader Service Card
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**READER SERVICE INDEX**
**ADVERTISER'S INDEX**
| No. | Company/Division | Page |
|-----|------------------|------|
| 106 | Astatic Corp. | 7 |
| 107 | B & K Div., Dynascan Corp. | 17 |
| 108 | Castle Electronics | 45 |
| 109 | Charous & Niebergall, Inc. | 48 |
| 110 | Chemtronics, Inc. | 39 |
| 111 | Chrysler Corp. | 19 |
| 112 | Dana Labs, Inc. (for demo) | 48 |
| 113 | Dana Labs, Inc. (for info) | 48 |
| 114 | Electronic Book Club | 43 |
| 115 | Enterprise Development Corp. | 56 |
| 103 | Fluke Mfg., John | Cover 3 |
| 116 | Ford Motor Co. | 29 |
| 117 | Fordham Radio Supply Co., Inc. | 47 |
| | GTE Sylvania, EGC Consumer Renewal | 3 |
| | General Electric—Tube Div. | 35 |
| 118 | Hewlett Packard/Loveland Instr. | 33 |
| 119 | Jensen Tools & Alloys | 56 |
| 120 | Leader Instruments Corp. | 9 |
| 121 | Micro Ovens, Inc. | 56 |
| 122 | Mountain West Alarm Supply Co. | 50 |
| 123 | NESDA | 52 |
| 102 | PTS Electronics, Inc. | Cover 2, 1 |
| 124 | Perma-Power Co. | 15 |
| 125 | Platt Luggage | 50 |
| 126 | Projector-Recorder Belt Corp. | 56 |
| 127 | RCA Corporation, Consumer Electronics Div. | 23 |
| | RCA—General | 30, 31 |
| | RCA—Resistors | 15 |
| | RCA—Semiconductors | 12, 13 |
| 128 | Rawn Co., Inc. | 48 |
| 129 | Sencore, Inc. | 5 |
| 130 | Simpson Electric Co. | 14 |
| 131 | T & T Sales Co. | 49 |
| 132 | Triad/Utrad | 25 |
| 104 | Triplett Corp. (for info) | Cover 4 |
| 105 | Triplett Corp. (for demo) | Cover 4 |
| 133 | Tuner Service Corp. | 11 |
| 134 | VIZ Mfg. Co. | 42 |
| 135 | Wahl Clipper Corp.| 45 |
| 137 | Weller-Xcelite Electronics Div. | 51 |
| 136 | Winegard Co. | 21 |
| 138 | Workman Electronic Products, Inc. | 50 |
This Index is furnished for the readers' convenience. However, the publisher can not guarantee its accuracy due to circumstances beyond our control.
---
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ELECTRONIC TECHNICIAN/DEALER
TEKFAX
COMPLETE MANUFACTURER'S CIRCUIT DIAGRAMS AND TECHNICAL INFORMATION FOR 5 NEW SETS
Schematic No. 1691
AIRLINE
B/W TV Chassis T3N3
Schematic No. 1692
GENERAL ELECTRIC
Color TV Chassis 19QB
Schematic No. 1693
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Schematic No. 1694
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Color TV Chassis 19HC55
Schematic No. 1695
MAGNAVOX
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VHF TUNER (94A611-1)
AIRLINE
B/W TV Chassis T3N3
MAY • 1977
Copyright 1977 by Electronic Technician/Dealer • 1 East First Street, Duluth, Minnesota 55802
G.E. Color TV Chassis 19QB
MAY • 1977
Complete Manufacturers' Circuit Diagrams and Technical Information for 5 New Sets
Frequency Safety Notice is considered valid only when the receiver is in use. The use of this receiver is not permitted in any area where the use of such equipment may cause interference with other equipment.
It is particularly recommended that general electrical safety precautions be observed, including those concerning the following areas of the parts list and schematic diagram:
Use of batteries: Replace only with same type and rating. Improper replacement may create shock, fire or other hazards, or excessive radiation.
Do not install any set in this receiver which does not carry both funnel and face panel X-ray certification labels. See X-ray warning on CRT shield.
1695
MAGNAVOX
B/W TV Chassis
T993-01
MAY • 1977
ELECTRONIC TECHNICIAN/DEALER TEKFAX
COMPLETE MANUFACTURERS' CIRCUIT DIAGRAMS AND TECHNICAL INFORMATION FOR 5 NEW SETS
NOTE:
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COPYRIGHT 1977 BY ELECTRONIC TECHNICIAN/DEALER • 1 EAST FIRST STREET, DULUTH, MINNESOTA 55802
ZENITH
Color TV Chassis
19HC55
1. 1.7V P-P 80 Hz
2. 1.3V P-P 15.75 KHz
3. 4V P-P 60 Hz
4. 4.2V P-P 60 Hz
5. 0.8V P-P 15.750 KHz
6. 24V P-P 15.75 KHz
7. 3V P-P 15.75 KHz
8. 2.8V P-P 15.750 KHz
9. 0.8V P-P 15.750 KHz
10. 7.6V P-P 15.750 KHz
11. 1.3V P-P 15.750 KHz
12. 0.2V P-P 60 Hz
13. 2.0V P-P 60 Hz
14. 8.0V P-P 15.750 KHz
15. 200V P-P 15.75 KHz
16. 12V P-P 15.750 KHz
18. 60V P-P 15.75 KHz
19. 200V P-P 15.750 KHz
21. 21V P-P 60 Hz
22. 1000V P-P 15.75 KHz
26. 50V P-P 15.75 KHz
29. 20V P-P 60 Hz
30. 5V P-P 60 Hz
32. 4.6V P-P 60 Hz
33. 27V P-P 15.750 KHz
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35. 4.8V P-P 15.75 KHz
36. 0.14V P-P 60 Hz
37. 1.6V P-P 15.750 KHz
41. 1.1V P-P 15.750 KHz
42. 1.3V P-P 15.750 KHz
43. 2V P-P 15.75 KHz
44. 1.0V P-P 15.75 KHz
45. 2V P-P 15.75 KHz
46. 0.7V P-P 15.75 KHz
47. 50V P-P 15.75 KHz
48. 20V P-P 15.75 KHz
49. 54V P-P 15.75 KHz
COPYRIGHT 1977 BY ELECTRONIC TECHNICIAN DEALER • 1 EAST FIRST STREET, DULUTH, MINNESOTA 55802
Zenith Color TV Chassis 19HC55
Complete Manufacturers' Circuit Diagrams and Technical Information for 5 New Sets
May • 1977
Copyright 1977 by Electronic Technician/Dealer • 1 East First Street, Duluth, Minnesota 55802
1693
SYLVANIA
Color TV Chassis
E20-7
ELECTRONIC TECHNICIAN/DEALER TEKFAX
MAY • 1977
COMPLETE MANUFACTURERS' CIRCUIT DIAGRAMS AND TECHNICAL INFORMATION FOR 5 NEW SETS
1. 2VPP Horiz.
2. * 1.8 VPP Vert.
3. * 6 VPP Vert.
4. 2.3 VPP Horiz.
5. * 5.6 VPP Horiz.
6. * 5.6 VPP Vert.
7. 5.6 VPP Horiz.
8. 10 VPP Horiz.
9. 2VPP Horiz.
10. .1 VPP 3.58MHz
11. 52 VPP Horiz.
12. 1.2 VPP 3.58MHz
13. 1.2 VPP 3.58MHz
14. 8.2 VPP Horiz.
15. 1.8 VPP Horiz.
16. 10 VPP Horiz.
17. 100 VPP Horiz.
18. 50 VPP Horiz.
19. 70 VPP Horiz.
20. 20 VPP Horiz.
21. 7.6 VPP Horiz.
22. 7.6 VPP Vert.
23. 5.3 VPP Horiz.
24. 5.3 VPP Vert.
25. 55 VPP Horiz.
26. 2.6 VPP Horiz.
27. 8 VPP Horiz.
28. 2 VPP Horiz.
29. .44 VPP Vert.
30. 16.5 VPP Horiz.
31. 16 SVPP Vert.
32. 4.8 VPP Vert.
33. 23 VPP Vert.
34. 2.5 VPP Vert.
35. 1.7 VPP Vert.
36. * 1.7 VPP Vert.
37. 4.2 VPP Horiz.
38. 10.5 VPP Vert.
39. 4 VPP Vert.
40. 2.5 VPP Vert.
41. 20 VPP Horiz.
A
B
C
D
E
F
G
H
I
J
K
L
M
COPYRIGHT 1977 BY ELECTRONIC TECHNICIAN/DEALER • 1 EAST FIRST STREET, DULUTH, MINNESOTA 55802
GENERAL ELECTRIC
Color TV Chassis
19QB
DEVICE CHART
OR SDM 2MC
OR2 G16-2519/28.3
OR3 GFS 440
RF PARTITION
+22V
UHF TUNER
CHASSIS LAYOUT
COPYRIGHT 1977 BY ELECTRONIC TECHNICIAN/DEALER • 1 EAST FIRST STREET DULUTH, MINNESOTA 55802
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We give you a choice of 3½ or 4½ digits, manual or autorange.
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Electrochemical reduction and reoxidation accompanied by reversible geometric isomerization. Electrochemistry of bis(dicarbonyl-μ-di-tert-butylphosphidohodium). Isolation and x-ray crystal structure of bis(tetra-n-butylammonium) bis(dicarbonyl-μ-di-tert-butylphosphidohodate)
John G. Gaudiello, Thomas C. Wright, Richard A. Jones, and Allen J. Bard
*J. Am. Chem. Soc.*, **1985**, 107 (4), 888-897• DOI: 10.1021/ja00290a026 • Publication Date (Web): 01 May 2002
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Electrochemical Reduction and Reoxidation Accompanied by Reversible Geometric Isomerization.
Electrochemistry of [Rh(\mu-t-Bu\textsubscript{2}P)(CO)\textsubscript{2}]_2. Isolation and X-ray Crystal Structure of [N(n-Bu)\textsubscript{4}]_2^+ [Rh(\mu-t-Bu\textsubscript{2}P)(CO)\textsubscript{2}]_2^{2-}
John G. Gaudiello, Thomas C. Wright, Richard A. Jones,* and Allen J. Bard*
Contribution from the Department of Chemistry, The University of Texas at Austin, Austin, Texas 78712. Received May 9, 1984
Abstract: Electrochemical studies on [Rh(\mu-t-Bu\textsubscript{2}P)(CO)\textsubscript{2}]_2 have shown that upon reduction in THF it undergoes an ECE-type mechanism, a chemical reaction coupled between two electron-transfer reactions, to form a dianion. The chemical step is a geometric isomerization, producing an isomer which is more easily reduced than the parent compound. Oxidation of the dianion back to the neutral compound occurs by two one-electron oxidations followed by the reverse isomerization. Spectroscopic and crystallographic data, as well as digital simulations of the voltammetric responses, are presented to support the proposed mechanism. The dianion, [Rh(\mu-t-Bu\textsubscript{2}P)(CO)\textsubscript{2}]_2^{2-}, was isolated as the N(n-Bu)\textsubscript{4} salt, and its structure in the solid state has been determined by a single-crystal X-ray diffraction study. The two Rh atoms of the dianion have pseudotetrahedral geometries and a Rh-Rh distance of 2.840 (1) Å which is consistent with a metal-metal bond of order one. Crystal data: \( \text{C}_{25}\text{H}_{36}\text{N}_4\text{O}_4\text{P}_2\text{Rh}_2 \), \( M = 1099.23 \), monoclinic, \( P2_1/c \), \( a = 14.138 \) (1) Å, \( b = 14.370 \) (4) Å, \( c = 21.127 \) (1) Å, \( \beta = 107.367 \) (3)°, \( U = 4096.8 \) (1) Å\(^3\), \( D_m = 1.688 \) g cm\(^{-3}\), \( Z = 2 \), \( \lambda (\text{Mo K}\alpha) = 0.71069 \) Å, \( \mu (\text{Mo K}\alpha) = 9.27 \) cm\(^{-1}\), final \( R = 0.0688 \), \( R_w = 0.0945 \) from 2729 observed reflections (\( I > 2\sigma(I) \)), 4463 measured.
Geometric rearrangement or isomerization upon either oxidation or reduction has been observed for a number of organic and inorganic systems. Previous studies from this laboratory and others have shown that organic molecules containing either steric strain or activated functionalities may rearrange following electron transfer.\(^1\) Bond, Geiger, and others have observed similar effects with organometallic complexes, especially those containing diphenylphosphido ligands.\(^2\)
There is currently considerable interest in the chemistry of phosphido- and arsenido-bridged complexes of the transition metals.\(^3\) As part of a broad program designed to study the steric and electronic effects of phosphido complexes, we have investigated the use of sterically demanding (bulky) alkyl groups attached to phosphorus\(^4–11\) or arsenic.\(^14\) Our initial studies have focused on the use of the di-tert-butylphosphido group (\( t-\text{Bu}_2\text{P} \)).
For rhodium a number of phosphido-bridged complexes have been reported.\(^15\) We recently described the unusual dinuclear Rh(I) system based on two isomers of the di-tert-butylphosphido-bridged complex [Rh(\( t-\text{Bu}_2\text{P})(\text{CO})\text{L}\)]\(_2\) (see Scheme I). The interesting feature of this system is a facile reversible metal-metal bond cleavage accompanied only by a geometric isomerization. We have noted that for dinuclear phosphido-bridged complexes of the Co group with roughly planar MP\(_2\) central cores, three geometric isomers have been observed—A, B, and C (see Scheme II).\(^8,9,11\) On the basis of bond length considerations, the geometry about each metal atom (either tetrahedral or planar) may be correlated with metal-metal bonds of order 0, 1, and 2 in A, B, and C, respectively. By reaction with PMe\(_3\), isomers 1 and 2 may be converted into complex 3, con-
---
(1) (a) Yeh, L.-S. R.; Bard, A. J. J. Electrochem. Soc. 1973, 120, 189–195. (b) Bard, A. J.; Yeh, L.-S. V.; Jankel, J. V.; Lomax, D. Discov. Faraday Soc. 1973, 45, 356–366. (c) Yeh, L.-S. R.; Bard, A. J. J. Electroanal. Chem. 1976, 70, 177–169. (d) Phelps, J.; Bard, A. J. J. Electroanal. Chem. 1976, 68, 313–335. (e) Yeh, L.-S. R.; Bard, A. J. Ibid. 1977, 81, 333–338. (f) Chien, C. K.; Wang, H. C.; Schwarz, M.; Bard, A. J. J. Electroanal. Chem. 1980, 108, 102–3100. (g) O’Brien, B. A.; Evans, D. H. Ibid. 1981, 118, 839–843. (h) Ahlberg, E.; Hammerich, O.; Parker, V. D. Ibid. 1981, 103, 844–849. (i) Neta, P.; Evans, D. H. Ibid. 1981, 103, 7041–7045. (j) Evans, D. H.; Busch, R. W. Ibid. 1982, 121, 192–198. (k) Olsen, S. E.; Evans, D. H.; Busch, R. J. J. Electroanal. Chem. 1982, 136, 192–198. (l) Evans, D. H.; Xie, N. J. Am. Chem. Soc. 1983, 105, 315–326.
(2) (a) Bond, A. M.; Colton, R.; Keeney, S.; Bond, A. M. Inorg. Chem. 1974, 13, 161–167. (b) Bond, A. M.; Colton, R.; Jackowski, J. J. J. Ibid. 1974, 13, 274–278. (c) Bond, A. M.; Colton, R.; McCormick, M. J. Ibid. 1977, 16, 155–159. (d) Bond, A. M.; Grabarski, B. S.; Grabarski, Z. J. Ibid. 1978, 17, 1013–1017. (e) Bond, A. M.; Colton, R.; McCormick, M. J. Ibid. 1978, 17, 2153–2160. (f) Bond, A. M.; Colton, R.; McDonald, M. E. Ibid. 1978, 17, 2842–2847. (g) Bond, A. M.; Keene, F. R.; Rumble, N. S.; Seare, G. H.; Snow, M. R. Ibid. 1979, 18, 1533–1535. (h) Bond, A. M.; Diemersburg, D. J.; McKeown, S.; Steiner, B. J. Ibid. 1980, 19, 237–240. (i) Takahashi, S.; Katovic, V.; Lovechio, F. L.; Gore, E. S.; Anderson, L. B.; Busch, D. H. J. Am. Chem. Soc. 1974, 96, 731–742. (j) Holloway, J. B.; Bowler, M. J.; Geiger, W. E. Ibid. 1975, 97, 99–104. (k) Geiger, W. E. Ibid. 1976, 98, 1011–1018. (l) Morawetzke, J.; Geiger, W. E. Ibid. 1979, 101, 3407–3409. (m) Niyathan, B.; Geiger, W. E. Ibid. 1980, 109, 325–331. (n) Morawetzke, J.; Geiger, W. E. J. Organomet. Chem. 1981, 210, 117–127. (o) Albright, T. A.; Geiger, W. E.; Morawetzke, J.; Tulyathan, B. Ibid. 1981, 103, 4787–4794. (p) Arewogba, C. M.; Robinson, B. H.; Simpson, J. J. Chem. Soc., Chem. Commun. 1982, 92, 284–285.
(3) (a) Christensen, J. N.; Gierer, J. J.; Breen, M. J.; Geoffroy, G. L.; Rheingold, A. L. J. Am. Chem. Soc. 1983, 105, 1069–1070. (b) Fueltz, W. C.; Rheingold, A. L.; Kreter, P. E.; Meek, D. W. Inorg. Chem. 1983, 22, 860–863. (c) Christensen, J. N.; Gierer, J. J.; Breen, M. J.; Noyce, D. W.; Christensen, J. P.; Mott, D.; Fars, O.; Louer, M.; Grandjean, D.; Fischer, J.; Mitschler, A. J. Organomet. Chem. 1981, 213, 79–92. (d) Yu, Y.-F.; Gallucci, J.; Wojciecki, A. J. Am. Chem. Soc. 1982, 104, 4826–4828. (e) Zolk, R.; Werner, H. J. Organomet. Chem. 1982, 232, C53–C56. (f) Müller, M.; Vahrenkamp, H. Chem. Ber. 1983, 116, 2322–2336.
Electrochemical Reduction and Reoxidation
Scheme I
\[
\begin{align*}
\text{Rh(CO)}_2\text{Cl}_2 & \xrightarrow{2 + t-\text{Bu}_2\text{PLi}} \\
& \quad \text{THF, } -78^\circ\text{C} \\
\text{I-Bu}_2 & \quad \text{I-Bu}_2 \\
\text{OC} & \quad \text{OC} \\
\text{Rh} & \quad \text{Rh} \\
\text{I-Bu}_2 & \quad \text{I-Bu}_2 \\
1 & \quad 2 (\text{PPN}) \\
\end{align*}
\]
Scheme II
\[
\begin{align*}
\text{M} & \quad \text{M} & \quad \text{M} \\
\text{L} & \quad \text{L} & \quad \text{L} \\
\text{R}_2 & \quad \text{R}_2 & \quad \text{R}_2 \\
\Delta & \quad B & \quad C \\
\end{align*}
\]
\( M = \text{Co, Rh, Ir} \)
\( L = 2 \text{ electron donor (CO, PR}_3, \text{ N}_2 \text{ etc.)} \)
This paper describes our electrochemical studies including digital simulations of the voltammetric responses in support of the proposed mechanism, as well as the spectroscopic characterization and X-ray crystal structure of the dianion \([\text{Rh}(\mu-t-\text{Bu}_2\text{P})(\text{CO})_2]_2^{2-}\) as its \(n-\text{Bu}_4\text{N}^+\) salt.
Experimental Section
Chemicals. \([\text{Rh}(\mu-t-\text{Bu}_2\text{P})(\text{CO})_2]_2\) was prepared as previously described.\(^6\) Tetra-n-butylammonium fluoroborate ((TBA)\(^\text{+}\)(BF\(_4\)^{-}\)) used as supporting electrolyte, was obtained from Southwestern Analytical Chemicals (Austin, TX) and recrystallized three times from acetone/ether. THF (MCB) was dried and degassed by distillation from potassium benzyllithium and kept under nitrogen and then vacuum-pumped twice. The solvent was stored under helium in a drybox (Vacuum Atmospheres, Hawthorne, CA).
Measurements. Electrochemical measurements were performed with a Princeton Applied Research (PAR) Model 175 universal programmer, a PAR Model 170 potentiostat, and a Model 170 digital coulometer (Princeton Applied Research Corp., Princeton, NJ). Positive feedback was used to compensate for IR drop. A Model 2000 X-Y recorder (Houston Instruments, Inc., Austin, TX) was used to record the cyclic voltammograms for scan rates less than 500 mV s\(^{-1}\). Scan rates greater than 500 mV s\(^{-1}\) were recorded with a Model 3001 Princeton Oscilloscope (Newport Corp., Fort Atkinson, WI). Measurements were made in the three-electrode configuration with a platinum disk working electrode (area, 0.030 cm\(^2\)), a platinum gauze auxiliary electrode, and a silver wire quasi-reference electrode. The potential of the reference electrode was determined to be 0.36 V vs SCE by using the ferrocene/ferrocenium couple as an internal standard.\(^{19}\) A small amount of ferrocene was added at the end of each experiment.
Electrochemical studies were carried out in one- and three-compartment cells with all connections made through ground glass joints.\(^{19}\) The solution in the cells were prepared and sealed inside the drybox prior to removal for use.
Samples for NMR and IR analysis were prepared electrochemically in THF (0.5 M (TBA)\(^\text{+}\)(BF\(_4\)^{-}\)) and then transferred by standard Schlenk-line techniques.\(^{19}\) \(^1\text{H}\) NMR spectra were obtained on a Varian FT-80 (300 MHz) instrument and are referenced to internal \(t-\text{Bu}_4\text{N}^+\text{BF}_4^{-}\) (δ 0.0). \(^{13}\text{C}\) NMR spectra (\(^{13}\text{CO}\) enriched) were obtained on a Bruker WH-90 (22.615 MHz) instrument and are referenced to external Me\(_2\)Si (δ 0.0). IR spectra were recorded on a Perkin-Elmer 1330 spectrometer with matched KBr cells for transmission.
Characterization. (n-\text{Bu}_4\text{N})[\text{Rh}(\mu-t-\text{Bu}_2\text{P})(\text{CO})_2]_2 (4). The complex, prepared electrochemically, can be crystallized from THF solutions (−40 °C): IR 1760 (s), 1733 cm\(^{-1}\) (s); \(^1\text{H}\) NMR δ 377.1 (t, \(J_{\text{Rb-P}} = 117 \text{ Hz}\)); \(^{13}\text{C}\) \(^1\text{H}\) NMR δ 218.0 (d, \(J_{\text{Rb-CO}} = 83.9 \text{ Hz}\)).
(16) Dessy, R. E.; Kormann, R.; Smith, C.; Hayter, R. J. Am. Chem. Soc. 1968, 90, 2001–2004.
(17) Dessy, R. E.; Rheingold, A. L.; Howard, G. D. J. Am. Chem. Soc. 1972, 94, 6000–6001.
(18) Collman, J. P.; Rothrock, R. K.; Finke, R. G.; Moore, E. J.; Rosenmunch, F. Inorg. Chem. 1982, 21, 146–156.
(19) Smith, W. H.; Bard, A. J. J. Am. Chem. Soc. 1975, 97, 5203–5210.
Table I. Crystal Data and Summary of Intensity Data Collection and Structure Refinement of [Rh(μ-t-Bu₂P)(CO)₃]₂
| formula | C₁₄H₂₆N₂O₄P₂Rh₂ |
|---------|------------------|
| mol wt | 1093.2 |
| space group | P2₁/c |
| cell constants | |
| a, Å | 14.138 (1) |
| b, Å | 14.707 (4) |
| c, Å | 21.127 (1) |
| β, deg | 107.367 (3) |
| cell vol., ų | 4096.8 (1) |
| formula units/unit cell | 2 |
| Dₐₐₐₐ, g cm⁻³ | 1.688 |
| μₐₐₐₐ, cm⁻¹ | 2.7 |
| radiation, Å | Mo Kα, 0.71069 |
| max crystal dimensions, mm | 0.15 × 0.19 × 0.20 |
| scan width, deg | 0.8 ± 0.35 tan θ |
| standard reflections | 0 6 5, 5 3 5 |
| check reflections | <20 |
| reflections measured | 4463 |
| 2θ range, deg | 2–50 |
| reflections obsd | 2729 (I > 2σ (I)) |
| no. of parameters varied | 280 |
| data/parameter ratio | 9.746 |
| R₁ | 0.0688 |
| Rₐ | 0.0945 |
Figure 1. Cyclic voltammogram of 3.71 mM [Rh(μ-t-Bu₂P)(CO)₃]₂ in THF/0.5 M (TBA)BF₄ scanned between 0.00 and −2.25 V. Scan rate 200 mV s⁻¹.
Digital Simulations. The simulated cyclic voltammograms are based on the explicit-finite-difference method. The surface boundary conditions used for the E,E case were the same as those employed by Feldberg for multiple electron-transfer reactions. The equations for the surface conditions used in the ECE simulations are derived in the Appendix. Since the rearrangement following the second oxidation is believed to be extremely fast, the anion was taken to be oxidized directly to the starting material in the simulations.
X-ray Data Collection and Structure Determination
Crystals of the diastereoisomer suitable for X-ray studies were grown from THF solution at −80 °C (ca. 13 days) in 0.5 M (TBA)BF₄ by electrochemical generation). They were mounted in thin-walled glass capillaries under nitrogen. Final lattice parameters were determined from 25 high-angle reflections (26.0 > 2θ > 30.0) carefully centered on an Enraf-Nonius CAD-4 diffractometer. Data were collected by ω/2θ scan technique at 23 ± 1 °C. Details of the crystal data and summary of intensity data collection parameters are given in Table I. Details of data collection procedures were similar to those outline in ref 11. The space group was determined uniquely by systematic absences as P2₁/c.
Data were corrected for Lorentz and polarization effects; no absorption correction was applied. The structure was solved by direct methods and successive difference Fourier maps with use of the Enraf-
Nonius software package "SDP-PLUS" (B. A. Frenz and Associates, College Station, TX 77840, 4th ed., 1981) on a PDP 11/44 computer. Scattering factors were taken from ref 22, and a non-Poisson weighting scheme was used. Hydrogen atoms were not located. The final full-matrix least-squares refinement with anisotropic thermal parameters gave final values of R = 0.0688 and Rₐ = 0.0945 (R = ∑[F₀ − Fc]/∑Fc and Rₐ = [Σ(F₀² − Fc²)/Σ(F₀²)]½). The final difference Fourier map showed no chemically significant peaks with the highest peak being 0.5 e/ų associated with the Rh atom.
Results and Discussion
Electrochemical Studies. A typical cyclic voltammogram for the reduction of [Rh(μ-t-Bu₂P)(CO)₃]₂ in THF at a Pt-disk electrode is shown in Figure 1. As will be shown in analysis of these voltammograms, the large reduction wave observed on the forward scan involves two one-electron reductions separated by a chemical step (i.e., an ECE mechanism). The chemical step
---
(20) (a) Feldberg, S. W. "Electroanalytical Chemistry"; Bard, A. J., Ed.; Dekker: New York, 1969; Vol. 3, p 199. (b) Bard, A. J.; Faulkner, L. R. "Electrochemical Methods"; John Wiley and Sons, Inc.: New York, 1980; Appendix B.
(21) Feldberg, S. W. "Computer Applications in Analytical Chemistry"; Mark, H. B., Ed.; Dekker: New York, 1972; Chapter 7.
(22) "International Tables of Crystallography"; Kynoch Press: Birmingham, England, 1974; Vol. 4.
is believed to be a geometric isomerization producing an isomer which is more easily reduced than the parent compound. The reverse scan shows two smaller waves corresponding to two successive one-electron oxidations. The resulting neutral compound undergoes the reverse isomerization to regenerate the starting material.
Shown in Figure 2a are a series of successive cyclic voltammograms observed when the potential is scanned between -1.29 and -2.15 V. The first cathodic scan shows only a single large reduction wave (I), with a cathodic peak potential, $E_{pc}$, of -1.83 V. Upon scan reversal, a smaller oxidation wave (II) with an anodic peak potential ($E_{pa}$) of -1.56 V is observed. The second scan shows a new reduction wave, $E_{pc} = -1.66$ V, with the original wave (I, $E_{pc} = -1.83$ V) decreased in height. On the return scan, the oxidation wave at $E_{pa} = -1.56$ V is again observed. In subsequent scans the peak currents for waves II and III increased while the peak current for wave I decreased. In the steady-state voltammetric response observed after ca. 10 scans, wave I has almost disappeared (Figure 2b).
This type of behavior is characteristic of an ECE mechanism, a chemical reaction coupled between two electron-transfer reactions, given schematically as
$$\text{“E”} \quad A + e^- \rightarrow B \quad E_1^\circ \quad (1)$$
$$\text{“C”} \quad B \xrightarrow{k_b} C \quad (2)$$
$$\text{“E”} \quad C + e^- \rightarrow D \quad E_2^\circ \quad (3)$$
where the reduction of C is thermodynamically more favorable than that of A ($E_2^\circ < E_1^\circ > 180$ mV). Wave I involves the reduction of A and C, producing D. Wave II corresponds to the oxidation of D to C and wave III to the reduction of C to D. Wave I as expected decreases in height with each successive scan since the surface concentration of A is decreasing. Simulations, described below, demonstrate that this mechanism is consistent with the observed voltammograms for the reduction of the Rh dimer.
Further evidence for this reaction path was obtained by bulk electrolysis controlled potential coulometry (CPC) experiments. CPC carried out at -2.20 V gave a dark red solution and an $n_{app}$ value (Faradays per mole of reactant consumed) of 2.05. A voltammogram self-fulfills on the first scan starting at -2.2 V and sweeping toward positive potentials showed two oxidation waves and on scan reversal a reduction wave in a voltammogram essentially the same as Figure 1 was shown. Oxidation of this solution at 0.0 V regenerated a solution which showed the identical cyclic voltammetric behavior as the original one. Oxidation of the solution prepared at -2.2 and -1.2 V with the passage of an amount of charge equivalent to $n_{app} = 1$ yielded a green solution. Examination of this solution by electron spin resonance showed a single peak with only slightly resolved splitting.
Wave II in Figure 2a is due to the initial one-electron reduction of the neutral tetrahedral/planar parent (TPN) followed by a fast chemical reaction to form a new electroactive species with an $E^\circ$ value less negative than that of TPN. Since the dianion (TTD) has a tetrahedral/tetrahedral geometry, both in the solid state and also in solution (see later), it seems reasonable to propose that the fast chemical reaction is a geometric isomerization of the tetrahedral/planar form of the anion (TPA) to a tetrahedral/tetrahedral dianion (TTD). This is consistent with the isomerization is at least 600 s$^{-1}$, since the peak corresponding to the dianion of TPA back to TPN was observed in the cyclic voltammograms upon potential scan reversal at scan rates as high as 200 V s$^{-1}$. The proposed transformations are outlined in Scheme III.
Since $E_{pc}^{\text{TA/TDD}} \gg E_{pc}^{\text{TPN/TPA}}$, waves II and III in Figure 2a involve the anion/dianion couple (reaction 6). Both forms of the couple are stable on a voltammetric time scale, since no decay in the steady-state current was observed after ca. 10 min of continuous cycling. The steady-state voltammogram for the anion/dianion couple is characteristic of a reversible one-electron process. The anodic and cathodic peak currents, $i_{pa}$ and $i_{pc}$, are equal, and the peak potentials, $E_{pa}$ and $E_{pc}$, are essentially invariant for scan rates between 50 and 500 mV s$^{-1}$. Over this range of scan rates, the difference in the peak potentials ($\Delta E_p = E_{pc} - E_{pa}$) is 80 mV, which is slightly larger than the expected 58 mV for the one-electron Nernstian process. This can be attributed to some uncompensated solution resistance in the THF medium. The ferrocene/ferrocinium couple, which shows rapid heterogeneous electron transfers in most solvents, also gave a $\Delta E_p$ of 80 mV. At higher scan rates, $\Delta E_p$ increases and is $\sim 500$ mV (reflecting increased uncompensated resistance effects as well as kinetic contributions) at 200 V s$^{-1}$.
The initial peak current for the reduction of the neutral compound (wave I, scan 1, Figure 2a) is approximately twice as large as the steady-state current for the TTA/TTD couple when measuring from the decaying base line (Figure 2b). This behavior is expected for an ECE mechanism only when (a) $E_1^\circ < E_2^\circ$; (b) the rate of the chemical reaction (reaction 4) on the time scale of the experiment and at the same number of electrons are transferred in each step. Wave I on the first scan is also more drawn out than the steady-state wave for the TTA/TTD couple. This behavior is characteristic of a totally irreversible electron-transfer reaction. For the reaction scheme shown above, two factors could lead to such behavior. First, the chemical reaction could be extremely fast. This would remove TPA before the back electron transfer could occur and shift the wave to less negative potentials. This shift causes a decrease in the area of the first heterogeneous charge transfer reaction (reaction 4), causing the wave to look irreversible, even though the standard heterogeneous rate constant ($k^h$) is large. Alternatively, $k^h$ for the TPN/TPA couple could be small. We believe that the apparent irreversibility can be attributed to the following reaction being extremely fast, since $k_b$ is at least 600 s$^{-1}$.
Additional evidence supporting an ECE mechanism is the occurrence of an isopotential point at -1.71 V (Figure 2a). An isopotential point (IPP), the electrochemical equivalent of an isosbestic point in spectroscopy, arises in voltammetry when one electroactive species undergoes a transformation to form another. As will be discussed in more detail elsewhere, the existence of an IPP implies that the transformation is quantitative and the sum of the reactants and products remain constant. If there are any side reactions involving either set of species, an IPP will not occur. IPP's have been observed for materials confined to an electrode surface, polymer films, and adsorbed and electrodeposited species but to our knowledge never for a system where both the reactants and products are dissolved in solution. As will be shown via simulations, the voltammograms in Figure 2a can be traced to the isomerization of TPA to TTA, reaction 5.
When the potential is scanned between 0.00 and -2.25 V (Figure 1), the large reduction wave at $E_{pc} = -1.83$ V (TPN $\rightarrow$ TTD) and the first oxidation wave upon potential reversal, $E_{pa} = -1.56$ V (TTD $\rightarrow$ TTA), are again observed. (This behavior is identical with that observed when the potential was scanned between -1.29 and -2.15 V.) The second oxidation wave, $E_{pc} = -0.93$ V, is also worked out in the first. The peak current, when measured from the decaying base line, is much smaller than the first. Like the large reduction wave in Figure 2a, this behavior is characteristic of a totally irreversible electron-transfer reaction. We believe that this irreversibility is again due to a fast following
(24) Nicholson, R. S.; Shain, L. *Anal. Chem.* **1964**, *36*, 706–723.
(25) The chemical rate constant, $k_b$, is usually normalized to the time scale of the experiment by defining a dimensionless homogeneous kinetic parameter $\lambda$. In cyclic voltammetry, for an ECE mechanism, $\lambda = k_b E_{pc}/nFv$ where $T$, $n$, and $F$ have their usual significance and $v$ is the scan rate in V s$^{-1}$. For $\lambda > 5$, the chemical reaction is fast on the time scale of the experiment and the peak current limits at a value controlled by $i = nFv$ independent of $A$.
(26) (a) Unterkircher, D.; Bruckenstein, S. *J. Electroanal. Chem.* **1972**, *42*, 1009–1020. (b) Cadle, S. H.; Bruckenstein, S. *Ibid.* **1973**, *44*, 1993–2001.
(27) Unterkircher, D.; Bruckenstein, S. *J. Electroanal. Chem.* **1974**, *50*, 77–87.
(28) Cadle, S. H. *Electrochem.* **1975**, *1*, 101–108.
(29) (a) Abramson, H. D.; Walsh, J. L.; Meyer T. J.; Murray, R. W. *Inorg. Chem.* **1981**, *20*, 1418–1486. (b) Day, R. W.; Inzelt, G.; Kinsle, J. L.; Chambers, J. Q. *J. Am. Chem. Soc.* **1982**, *104*, 6804–6805.
Scheme III. Proposed Geometrical Isomerization Accompanying Electrochemical Reduction
\[
\begin{align*}
\text{TPN} & \quad \xrightarrow{\text{e}^-} \quad \text{TPA} \\
\text{TPA} & \quad \xrightarrow{k_C} \quad \text{TTA} \\
\text{TTA} & \quad \xrightarrow{\text{e}^-} \quad \text{TTD}
\end{align*}
\]
a The abbreviations for each species describe the approximate geometry of the metals (i.e., T = tetrahedral, P = planar) and the charge on the complex (N = neutral, A = anion, D = dianion).
Scheme IV. Proposed Geometrical Isomerization Accompanying Electrochemical Oxidation
\[
\begin{align*}
\text{TTD} & \quad \xrightleftharpoons{\text{e}^-} \quad \text{TTA} \\
\text{TTA} & \quad \xrightarrow{k'_C} \quad \text{TTN} \\
\text{TTN} & \quad \xrightarrow{\text{e}^-} \quad \text{TPN}
\end{align*}
\]
chemical reaction (TTN → TPN) and not to a small value for \(k^o\); i.e., the second oxidation wave is thus a one-electron oxidation of TTA to a tetrahedral/tetrahedral form of the neutral compound (TTN) which isomerizes rapidly to the starting material (TPN). The rate constant for the reaction is at least 600 s\(^{-1}\), since no reduction peak is observed upon potential reversal at scan rates as high as 200 V s\(^{-1}\). The reverse scan can be represented by the set of reactions outlined in Scheme IV.
After ca. five scans, the cyclic voltammograms achieved a steady-state response, indicating that the starting material is regenerated by the second oxidation. This supports the EEC-type mechanism shown in Scheme IV. A steady-state response would not be obtained if any of the above species were involved in a reaction to form a compound not included in the above reaction scheme (reactions 4–9). However, inclusion of a disproportionation step, for example, a reaction between TPN and TTD to give TPA and TTA, in the above scheme would also give a steady-state response. We show that this disproportionation reaction probably occurs. Similar cyclic voltammetric behavior has been observed by Evans and co-workers\(^{14}\) for bis-iron and substituted biantennary, which show ECE/EEC-type mechanisms.
Digital simulations of the voltammograms were used to test the validity of the ECE model. To simulate these, the \(E^\circ\) values, the standard heterogeneous rate constants (\(k_1^\circ\) and \(k_2^\circ\)), the chemical rate constant (\(k_c\)), and the diffusion coefficients must be assumed. \(E_1^\circ\) was taken as the average of \(E_{pc}\) and \(E_{pa}\) for the
TTA/TTD couple, $-1.61$ V. Values for $k^0$ for both electron transfers were chosen to give a $\Delta E_p$ of 80 mV at 200 mV s$^{-1}$. This value was chosen to allow a close correspondence between the simulated and experimental voltammograms; as stated earlier, we believe the actual $k^0$ values are much larger and the peak splittings observed are mainly caused by uncompensated resistance. The chemical rate constant was made sufficiently large (77.8 s$^{-1}$, $\lambda = 10$) that the peak current for the initial two-electron reduction wave was independent of $k_c$. $E^0$ was set at $-1.84$ V, the value needed to make the peak potential for wave I occur at $-1.83$ V when $\lambda = 10$. The diffusion coefficient was assumed equal for all species, and set at $1.5 \times 10^{-5}$ cm$^2$ s$^{-1}$, the value obtained experimentally by chronoamperometry for TPN. Note that the various parameter values chosen for the simulation represent a representative, but not necessarily unique, set of values. For example, if $k_c$ were larger, a different (more negative) value for $E^0$ would be appropriate.
Figure 3a shows the simulated cyclic voltammograms for an ECE system with use of the parameters listed above. The scan rate and initial and switching potentials were the same as in Figure 2. The simulated results are similar to the experimental ones. As expected, the peak current for the initial reduction is approximately twice that of the C/D couple. The isopotential point at $-1.74$ V corresponds closely to the experimental value of $-1.71$ V. There are, however, a number of differences between the simulated and experimental results that could not be made smaller simply by variation of the input parameters. The peak current for the two-electron reduction (wave I) decays faster for each successive scan in the experimental voltammograms than in the simulated ones. The reduction wave for the C/D couple (wave III) is sharper and reaches a steady state faster in the experimental results. This suggests that a reaction other than the ones outlined in Schemes III and IV is also occurring. This reaction consumes A, causing wave I to decrease faster, and generates C, causing wave III to increase and reach a steady state sooner. A disproportionation reaction between A and D producing B and C would cause these effects.\textsuperscript{27}
\[
A + D \rightleftharpoons B + C \tag{10}
\]
Since B reacts quickly to form C, reaction 10 can be simplified to
\[
A + D \rightleftharpoons 2C \tag{11}
\]
The equilibrium must lie to the right to account for the consumption of A and the generation of C. For the [Ru(t-BuP)(CO)$_2$]$_2$ system, the disproportionation is between TPN and TTD giving two TTA (reaction 12).
\[
TPN + TTD \xrightarrow{k_1} 2TTA \tag{12}
\]
When this reaction is included in the digital simulation, Figure 3b, excellent agreement with the experimental results is obtained. Values of 150 and 14.2 M$^{-1}$ s$^{-1}$ for $k_1$ and $k_{sp}$ respectively, gave the best fit.
Note that while the standard potentials for reactions 1 and 3 ($E^0_A$ and $E^0_C$) used in the simulations might seem to imply that the disproportionation reaction (reaction 10) would lie to the left, the fast following reaction (reaction 2) effectively drives the reaction in a direction shown. More specifically, if reaction 2 is considered to be a reversible one with a very large equilibrium constant ($K$), the $E^0$ for the overall reaction $A + e^- \rightleftharpoons C$ would be much less negative than $E^0_A$, $(E^0_{A/C} = E^0_A + 0.059 \log K$ at 25 °C), and this would cause reactions 11 and 12 to occur as shown.
The inclusion of the disproportionation reaction also accounts for the experimental observation that the first scan does not pass through the IPP (compare the simulations in Figure 3, a and b).
\textsuperscript{(27)} (a) Hawley, M. D.; Feldberg, S. W. J. Phys. Chem. 1966, 70, 3459-3463. (b) Amatore, C.; Gareil, M.; Sauvage, J. M. J. Electroanal. Chem. 1983, 147, 1-38 and references therein.
Figure 3. Simulated cyclic voltammograms based on $C^* = 3.71$ mM, $D_0 = 1.7 \times 10^{-6}$ cm$^2$ s$^{-1}$, $E^0_A = -1.83$ V, $E^0_C = -1.61$ V, $k^0 = 3.2 \times 10^{-3}$ cm s$^{-1}$, $k^0 = 3.2 \times 10^{-3}$ cm s$^{-1}$, $\alpha_1 = 0.5$, $\alpha_2 = 0.5$, $k_c = 77.8$ s$^{-1}$ ($\lambda = 10$), $k_1 = 150$ M$^{-1}$ s$^{-1}$, $k_{sp} = 14.2$ M$^{-1}$ s$^{-1}$. Scan rate and initial and switching potentials are the same as in Figure 2: (a) ECE mechanism; (b) ECE-Disp mechanism.
Digital simulations covering the entire potential range, 0.00 to $-2.25$ V, were also run. Since the fast following chemical reaction (isomerization) makes the second oxidation electrochemically irreversible, TTA can be taken as oxidized directly to TPN.
\[
TTA \rightarrow TPN + e^- \tag{13}
\]
Figure 4 is a simulated cyclic voltammogram over the entire potential range for a ECE/EEC-Disp scheme (reactions 4-7, 13,
Figure 4. Simulated cyclic voltammograms for an ECE/EEC-Disp mechanism based on $E^0_1 = -1.24$ V, $k^0_2 = 1.6 \times 10^{-3}$ cm s$^{-1}$, $\alpha_1 = 0.65$, and the parameters listed for Figure 3. Scan rate and initial and switching potentials are the same as those listed for Figure 1.
and 12). This agrees well with the experimental voltammogram in Figure 1.
Table II. Positional Parameters and Their Estimated Standard Deviations*
| atom | x | y | z | $B$, Å$^2$ |
|------|-------|-------|-------|------------|
| Rh | 0.46759 (7) | 0.04849 (6) | 0.04801 (1) | 5.34 (2) |
| Pd(1)| 0.3784 (2) | −0.0570 (2) | −0.0306 (4) | 5.64 (8) |
| OO(1)| 0.4904 (8) | −0.0091 (6) | 0.1895 (4) | 9.1 (3) |
| OO(2)| 0.3684 (8) | 0.2362 (6) | 0.0240 (5) | 10.3 (3) |
| CO(1)| 0.487 (1) | 0.0047 (9) | 0.1353 (7) | 7.1 (4) |
| CO(2)| 0.408 (1) | 0.161 (8) | 0.0777 (7) | 7.2 (4) |
| Cl(1)| 0.291 (1) | −0.0132 (9) | −0.0944 (6) | 7.1 (4) |
| Cl(2)| 0.341 (1) | −0.1732 (9) | −0.0009 (6) | 7.5 (4) |
*Anisotropically refined atoms are given in the form of the isotropic equivalent thermal parameter defined as $^{1/2}(a^2B(1,1) + b^2B(2,2) + c^2B(3,3) + ab(\cos \gamma)B(1,2) + c(\cos \beta)B(1,3) + bc(\cos \alpha)B(2,3))$.
Although the ECE-Disp mechanism fits the experimental results very well, an alternative model, involving slow heterogeneous electron transfers, is also possible. In this case the first electron transfer (TPN $\rightarrow$ TTA in one step) is slow and the second, which occurs at more negative potentials (TTA $\rightleftharpoons$ TTD), is taken as rapid. Under these conditions the E$_1$C$_1$E$_2$ sequence becomes indistinguishable from an E$_1$E$_2$ mechanism (an irreversible electron transfer followed by a reversible one). Simulated voltammograms,
Figure 5. Simulated cyclic voltammograms for an E$_1$E$_2$-Disp mechanism based on $C^* = 3.71$ mM, $D_0 = 1.7 \times 10^{-6}$, $E^0_1 = -1.34$ V, $E^0_2 = -1.61$ V, $k^0_1 = 9.61 \times 10^{-7}$ cm s$^{-1}$, $k^0_2 = 3.2 \times 10^{-3}$ cm s$^{-1}$, $\alpha_1 = 0.45$, $\alpha_2 = 0.50$, $k_r = 150$ M$^{-1}$ s$^{-1}$, $k_s = 14.2$ M$^{-1}$ s$^{-1}$. Scan rate 200 mV s$^{-1}$. (a) Scanned between −1.29 and −2.15 V; (b) scanned between 0.00 and −2.25 V.
Figure 6. Summary of peak potentials and $E^o$ values for the ECE/EEC-Disp and E,E-Disp mechanisms. Peak potentials are those observed at 200 mV s$^{-1}$.
with $E^o_{pa2} = E^o'_{TTN/TTA} = -1.34$ V and $E^o_{pa} = E^o'_{TTA/TTD} = -1.61$ V are given in Figure 5. The value of $E^o_{pa2}$ was taken from $E_{pa2}$ and $E_{pa}$, and an $\alpha_1$ value of 0.45. Because the two models are indistinguishable, the possibility of an E,E mechanism cannot be ruled out on the basis of the observed voltammograms (compare Figures 3b, 4, and 5 with Figures 1 and 2b). However, the extremely small value needed for $k^2_p$ in the simulations ($9.6 \times 10^{-7}$ cm s$^{-1}$) makes an E,E-Disp mechanism unlikely and the ECE/EEC-Disp model is preferred. Although it may at first appear that a large number of different combinations of $k^2_p$ and $E^o_{pa2}$ will yield the observed voltammogram, the fact that $E^o_{pa2}$ once a value is chosen for $\alpha_1$, only one combination of $k^2_p$ and $E^o_{pa2}$ will place the large reduction wave and the second oxidation wave at the correct potentials. The value of $\alpha_1$ used in these simulations was chosen to give the best fit to the experimental voltammograms, since this parameter affects the current magnitude and wave shape. The experimental and simulated potentials for these models are summarized in Figure 6.
X-ray Crystal Structure and Spectroscopic Characterization of the Dianion $[\mu-t-Bu_2P_2(CO)_2]^{2-}$ ($[Rh_2P_2]$ (TTD) as Its n-Bu$_4$N$^+$ Salt. The electrochemically generated dianion $[Rh_2P_2(\mu-t-Bu_2P)(CO)_2]^{2-}$ (TTD) may be isolated as its n-Bu$_4$N$^+$ salt by crystallization from THF. It is a bright red crystalline material which is air stable for short periods. Spectroscopic data for the dianion are consistent with the solid-state structure as determined by a single-crystal X-ray diffraction study. Thus, the IR spectrum (THF solution) shows two terminal v$_{CO}$ bands at 1760 (s) and 1733 cm$^{-1}$ (s), consistent with $D_{3h}$ symmetry. As expected the bands come to lower frequency than those observed for the neutral
(23) (a) Petersen, J. L.; Steward, R. P. Inorg. Chem. 1980, 19, 186–191. (b) Curtis, A. J. Adv. Chem. Ser. 1982, No. 196, 163. (c) Garrou, F. E. Chem. Rev. 1981, 81, 229–266.
Table III. Bond Distances in Angstroms*
| atom 1 | atom 2 | distance |
|--------|--------|----------|
| Rh(1) | Rh(1') | 2.840 (1) |
| Rh(1) | P(1) | 2.328 (2) |
| Rh(1) | P(1') | 2.316 (3) |
| Rh(1) | CO(1) | 1.894 (2) |
| Rh(1) | CO(2) | 1.875 (11) |
| P(1) | C(1) | 1.880 (10) |
| P(1) | C(2) | 1.918 (10) |
| OO(1) | CO(1) | 1.132 (11) |
| OO(2) | CO(2) | 1.146 (10) |
*Numbers in parentheses are estimated standard deviations in the least significant digit.
isomers (2038 (s), 1987 (s), 1952 cm$^{-1}$ (s)). The $^{31}$P{H} NMR spectrum shows a triplet to low field ($\delta$ 377.1, $J_{Rh-P} = 117$ Hz) consistent with the phosphido ligand bridging a metal–metal bond and indicating that both rhodium atoms have the same geometry on the NMR time scale. The $^{13}$C{H} NMR spectrum strongly indicates that the Rh atoms retain their pseudo-tetrahedral geometry in solution. The carbonyl carbon atoms ($^{13}$CO enriched) appear as a single doublet to low field $\delta$ 202.5 (d, $J_{Rh-C} = 83.9$ Hz). The significant point about the data is that there is no coupling, or virtually zero coupling, to phosphorus. This is consistent with the carbonyl groups lying in a plane which is perpendicular to that which contains the central Rh$_2$P$_2$ core. A similar doublet signal with a remarkably similar $J_{Rh-C}$ coupling constant was observed in the low-temperature spectrum of $[Rh(\mu-t-Bu_2P)(CO)_2]_2$ ($\delta$ 202.5 (d, $J_{Rh-C} = 83.8$ Hz)) and was also assigned to the carbonyls of the equatorial plane of the molecule. The lack of $J_{Rh-P}$ coupling is no doubt due to different sets of metal orbitals being used to bond to the $\mu-t$-Bu$_2$P and CO groups. A similar lack of (or very small) coupling between phosphorus has been
Table IV. Bond Angles in Degrees*
| atom 1 | atom 2 | atom 3 | angle |
|--------|--------|--------|-------|
| Rh(1) | Rh(1') | P(1) | 52.11 (6) |
| Rh(1) | Rh(1') | P(1') | 52.48 (6) |
| Rh(1) | Rh(1') | CO(1) | 122.8 (3) |
| Rh(1) | Rh(1') | CO(2) | 119.7 (3) |
| P(1) | Rh(1) | P(1') | 104.59 (8) |
| P(1) | Rh(1) | CO(1) | 111.0 (3) |
| P(1) | Rh(1) | CO(2) | 107.7 (3) |
| P(1) | Rh(1) | CO(1) | 107.7 (3) |
| P(1) | Rh(1) | CO(2) | 107.5 (3) |
| CO(1) | Rh(1) | CO(2) | 117.5 (3) |
| Rh(1) | P(1) | Rh(1') | 75.41 (8) |
| Rh(1) | P(1) | C(1) | 117.1 (3) |
| Rh(1) | P(1) | C(2) | 118.8 (3) |
| Rh(1) | P(1) | C(1') | 121.1 (4) |
| Rh(1) | P(1) | C(2') | 117.4 (4) |
| C(1) | P(1) | C(2) | 105.5 (5) |
| Rh(1) | CO(1) | OO(1) | 168.9 (8) |
| Rh(1) | CO(2) | OO(2) | 168 (1) |
*Numbers in parentheses are estimated standard deviations in the least significant digit.
Figure 7. View of [Rh(μ-t-Bu₂P)(CO)₂]²⁻. Methyl groups on the teri-butyls have been reduced to sticks for clarity.
observed in the ³¹P{¹H} spectra of phosphido-bridged complexes of the type [M(μ-R₂P)CO(PR₃)]₂ (M = Co, Rh, Ir) in which the metals have pseudo-tetrahedral geometries and metal–metal bonds of order two.¹¹,¹³,²⁹
X-ray Crystal Structure. Details of intensity data collection and structure refinement are given in Table I and the Experimental Section. Atomic positional parameters are given in Table II and bond lengths and bond angles are given in Tables III and IV, respectively. A view of the dianion is shown in Figure 7. The anion/cation packing in the unit cell is typical for complexes of this sort. Tables of anisotropic thermal parameters and structure factors are available as supplementary material.³⁰
Molecules of the dianion possess a crystallographically imposed inversion center at the midpoint of the Rh–Rh vector. Thus, the central Rh₂P₂ core is rigorously planar. The Rh–Rh distance of 2.840 (1) Å falls within the range reported for a stable Rh–Rh bond.³¹ It is slightly longer than that found for the neutral tetrahedral/planar isomer, TPN (2.7609 (9) Å). The structural parameters for the rest of the dianion are similar to those of the tetrahedral end of the TPN isomer. Thus, the Rh(1)–P(1) and Rh(1)–CO(1) distances are 2.238 (2) and 1.894 (12) Å, respectively, compared to the analogous distances of 2.244 (2) and 1.88 (1) Å. The Rh(1)–P(1)–Rh(1') and CO(1)–Rh(1)–CO(2) angles for the dianion are 75.41 (8)° and 117.5 (4)° vs. analogous angles of 72.02 (7)° and 111.6 (4)° in the TPN isomer.
Conclusion
From our other studies of neutral Rh(I) dimers of type A, B, and C it is possible that relatively weak steric factors are finely balanced with electronic factors in determining the observed geometries. Thus, steric congestion around the metal results in pseudo-tetrahedral coordination for each formally 18-electron metal and a metal–metal double bond. When there is no steric strain in the system, the now formally 16-electron metals adopt a planar coordination geometry, presumably for electronic reasons, and metal–metal interactions are reduced and not observed.
Calculations have indicated that the three isomers A, B, and C are all extremely close in energy, and these results will be described separately.³³ For the [Rh(μ-t-Bu₂P)(CO)₂]₂ system the square-planar/tetrahedral and square-planar/square-planar isomers are the ones which are actually observed, although the tetrahedral/tetrahedral form is no doubt very close in energy to them both. We assume that in the doubly bonded form (TTN) the metal–metal double bond consists of one σ and one π bond.
Why does the dinuclear system undergo geometric changes upon reduction and reoxidation? In the reduction process it seems reasonable to assume that the geometry of the system rearranges to place electrons in a molecular orbital of the lowest possible energy. Our observations, as well as theoretical calculations, suggest that this is a π* antibonding orbital of the metal–metal doubly bonded isomer. In order to accommodate the two electrons upon reduction, the system is forced to rearrange to the tetrahedral/tetrahedral configuration. This, for the dianion, would result in a net Rh–Rh bond order of one, and this is consistent with the experimentally observed distance of 2.840 (1) Å. On reoxidation the system is permitted to rearrange to the more stable form involving a planar Rh(I) geometry.
Further studies are in progress.
Acknowledgements. We thank the Robert A. Welch Foundation and the National Science Foundation (CHE 82-11883 and CHE 7903729) for support. The X-ray diffractometer was purchased with funds from NSF (CHE 82-05871) and the University of Texas at Austin. We also thank Dr. John N. Ramdien for assistance in the preliminary stages of these investigations and Johnson-Matthey, Inc., for a generous loan of RhCl₃·xH₂O.
Appendix
The general reaction scheme (A, B, etc.) for the [Rh(μ-t-Bu₂P)(CO)₂]₂ complex is
\[ A + e^- \xrightarrow{k_{a1}} B \quad (A.1) \]
\[ B \xrightarrow{k_b} C \quad (A.2) \]
\[ C + e^- \xrightarrow{k_{b2}} D \quad (A.3) \]
\[ C \xrightarrow{k_{a2}} A + e^- \quad (A.4) \]
The pertinent equations for the simulations are those that define the surface boundary conditions. The flux at the electrode surface \((x = 0)\) is related to the current by
\[ -\frac{i}{nFA} = f_{s=0} = D \left( \frac{\partial C}{\partial x} \right)_{x=0} \quad (A.5) \]
where \(f\) is the flux, \(D\) is the diffusion coefficient, and \(C\) is the concentration. From the equations for the heterogeneous electron-transfer rate, the following surface boundary conditions are derived for the different species.
---
(29) Harley, A. D.; Whittle, R. R.; Geoffroy, G. L. *Organometallics* **1983**, 2, 60–63.
(30) See paragraph at end of paper regarding supplementary material.
(31) Cowie, M.; Dwight, S. K. *Inorg. Chem.* **1980**, 19, 209–216.
(32) Cotton, F. A.; Wilkinson, G. “Advanced Inorganic Chemistry”; John Wiley and Sons, Inc.: New York, 1980; p 934.
(33) Kang, S. K.; Albright, T. A.; Wright, T. C.; Jones, R. A.; *Organometallics*, accepted for publication.
Electrochemical Reduction and Reoxidation
\[
(f_A)_{x=0} = D_A \left( \frac{dC_A}{dx} \right)_{x=0} = k_{f1} C_A(x = 0) - k_{b1} C_B(x = 0) - k_{b3} C_C(x = 0)
\] (A.6)
\[
(f_B)_{x=0} = D_B \left( \frac{dC_B}{dx} \right)_{x=0} = k_{b1} C_B(x = 0) - k_{f1} C_A(x = 0)
\] (A.7)
\[
(f_C)_{x=0} = D_C \left( \frac{dC_C}{dx} \right)_{x=0} = f_{f2} C_C(x = 0) - k_{b2} C_D(x = 0) + k_{b3} C_C(x = 0)
\] (A.8)
\[
(f_D)_{x=0} = D_D \left( \frac{dC_D}{dx} \right)_{x=0} = k_{b2} C_D(x = 0) - k_{f2} C_C(x = 0)
\] (A.9)
The flux that defines the current, the faradaic flux, is given by
\[
f_{far} = k_{f1} C_A(x = 0) - k_{b1} C_B(x = 0) - k_{b3} C_C(x = 0) - k_{b2} C_D(x = 0) + k_{f2} C_C(x = 0)
\] (A.10)
\[
f_{far} = (f_A)_{x=0} - (f_B)_{x=0}
\] (A.11)
In the notation for the finite-difference method of digital simulations, eq A.6–A.10 become
\[
(f_A)_{x=0} = \frac{2D_A[C_A(1) - C_A(0)]}{\Delta x} = k_{f1} C_A(0) - k_{b1} C_B(0) - k_{b3} C_C(0)
\] (A.12)
\[
(f_B)_{x=0} = \frac{2D_B[C_B(1) - C_B(0)]}{\Delta x} = k_{b1} C_B(0) - k_{f1} C_A(0)
\] (A.13)
\[
(f_C)_{x=0} = \frac{2D_C[C_C(1) - C_C(0)]}{\Delta x} = k_{f2} C_C(0) - k_{b2} C_D(0) + k_{b3} C_C(0)
\] (A.14)
\[
(f_D)_{x=0} = \frac{2D_D[C_D(1) - C_D(0)]}{\Delta x} = k_{b2} C_D(0) - k_{f2} C_C(0)
\] (A.15)
\[
f_{far} = k_{f1} C_A(0) - k_{b1} C_B(0) - k_{b3} C_C(0) - k_{b2} C_D(0) + k_{f2} C_C(0)
\] (A.16)
where for any species \( j \), \( C_j(1) \) and \( C_j(0) \) are the concentrations of species \( j \) in the first box and at the electrode surface, respectively. \( \Delta x \) is the width of a solution box. Solving for \( C_j(0) \)
\[
C_j(0) = C_j(1) - \frac{\Delta x (f_j)_{x=0}}{2D_j}
\] (A.17)
eliminating \( C_j(0) \) in the rate equations (eq A.12–A.15) and letting
\[
\varepsilon_0 = k_{f1} C_A(1) \quad \xi_0 = k_{b3} C_C(1)
\]
\[
\varepsilon_1 = k_{f1} \Delta x / 2D_A \quad \xi_1 = k_{b3} \Delta x / 2D_C
\]
\[
\chi_0 = k_{b3} C_B(1) \quad \tau_0 = k_{b2} C_D(1)
\]
\[
\chi_1 = k_{b1} \Delta x / 2D_B \quad \tau_1 = k_{f2} \Delta x / 2D_D
\]
\[
\eta_0 = k_{b2} C_C(1)
\]
\[
\eta_1 = k_{f2} \Delta x / 2D_C
\]
gives the following equations.
\[
(f_A)_{x=0} = (\varepsilon_0 - \chi_0 - \xi_0) - \varepsilon_1 (f_A)_{x=0} + \chi_1 (f_B)_{x=0} + \xi_1 (f_C)_{x=0}
\] (A.18)
\[
(f_B)_{x=0} = (\chi_0 - \varepsilon_0) - \chi_1 (f_B)_{x=0} + \varepsilon_1 (f_A)_{x=0}
\] (A.19)
\[
(f_C)_{x=0} = (\eta_0 - \tau_0 + \xi_0) - \eta_1 (f_C)_{x=0} + \tau_1 (f_D)_{x=0} - \xi_1 (f_C)_{x=0}
\] (A.20)
\[
(f_D)_{x=0} = (\tau_0 - \eta_0) - \tau_1 (f_D)_{x=0} + \eta_1 (f_C)_{x=0}
\] (A.21)
The flux eq A.18–A.21 are now in a form where the only unknown parameters are \( f_j \) and \( C_j(1) \) since \( k_{fj} \) and \( k_{bj} \) are potential-dependent rate constants calculated from the Butler–Volmer equations. Introducing eq A.21 into eq A.20 and solving for \( (f_C)_{x=0} \) yields
\[
(f_C)_{x=0} = \frac{\eta_0 + \xi_0 - \tau_0 + \tau_1 \xi_0}{1 + \eta_1 + \xi_1 + \tau_1 + \tau_1 \xi_1}
\] (A.22)
Placing eq A.19 into eq A.18 and solving for \( (f_B)_{x=0} \) yields
\[
(f_B)_{x=0} = \frac{\chi_0 - \varepsilon_0 - \xi_0 \varepsilon_1}{\chi_1 + \varepsilon_1 + 1} + \frac{\varepsilon_1 \xi_1}{\chi_1 + \varepsilon_1 + 1} (f_C)_{x=0}
\] (A.23)
By use of eq A.22 and A.23, eq A.19 and A.21 can be expressed as
\[
(f_A)_{x=0} = \frac{\varepsilon_0 - \chi_0}{\varepsilon_1} + \frac{1 + \chi_1}{\varepsilon_1} (f_B)_{x=0}
\] (A.24)
\[
(f_D)_{x=0} = \frac{\tau_0 - \alpha_0}{1 + \tau_1} + \frac{\eta_1}{1 + \tau_1} (f_C)_{x=0}
\] (A.25)
By use of A.16, A.24, and A.25 the faradaic flux, and thus the current, can be calculated.
Registry No. TTN, 84454-21-7; [Rh(\(\mu\)-t-Bu\(_2\)P)(CO)\(_2\)]\(_2\)([N(t-Bu)\(_2\)])\(_2\), 94042-35-0; [Rh(\(\mu\)-t-Bu\(_2\)P)(CO)\(_2\)]\(_2\), 94042-36-1; [Rh(\(\mu\)-t-Bu\(_2\)P)(CO)\(_2\)]\(_2\), 84623-35-8; Rh, 7440-16-6.
Supplementary Material Available: Tables of atomic thermal parameters and structure factors for 4 (31 pages). Ordering information is given on any current masthead page.
|
Statistics in Action
UNDERSTANDING A WORLD OF DATA
Ann E. Watkins
Richard L. Scheaffer
George W. Cobb
Key Curriculum Press
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©2004 by Key Curriculum Press. All rights reserved.
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®Key Curriculum Press is a registered trademark of Key Curriculum Press. ™Fathom Dynamic Statistics is a trademark of KCP Technologies. All other registered trademarks and trademarks in this book are the property of their respective holders.
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Ann E. Watkins is Professor of Mathematics at California State University, Northridge. She received her Ph.D. in education from the University of California, Los Angeles. She is a former president of the Mathematical Association of America and a Fellow of the American Statistical Association. Dr. Watkins has served as co-editor of the *College Mathematics Journal*, as a member of the Board of Editors of the *American Mathematical Monthly*, and as Chair of the Advanced Placement Statistics Development Committee. She was selected as the 1994–1995 CSUN Outstanding Professor and won the 1997 CSUN Award for the Advancement of Teaching Effectiveness. Before moving to CSUN in 1990, she taught for the Los Angeles Unified School District and at Pierce College in Los Angeles. In addition to numerous journal articles, she is the co-author of books based on work produced by the Activity-Based Statistics Project (co-authored by Watkins and Scheaffer and now published by Key College Publishing), the Quantitative Literacy Project, and the Core-Plus Mathematics Project.
Richard L. Scheaffer is Professor Emeritus of Statistics at the University of Florida. He received his Ph.D. in statistics from Florida State University. He then joined the faculty of the University of Florida and served as chairman of the Department of Statistics for 12 years. Dr. Scheaffer’s research interests are in the areas of sampling and applied probability, especially in their applications to industrial processes. He has published numerous papers and is co-author of four college-level textbooks. In recent years, much of his effort has been directed toward statistics education throughout the school and college curriculum. He was one of the developers of the Quantitative Literacy Project in the United States. As a developer on this project, Dr. Scheaffer helped form the basis of the data analysis emphasis in mathematics curriculum standards recommended by the National Council of Teachers of Mathematics. Dr. Scheaffer also directed the task force that developed the Advanced Placement Statistics Program and served as its first Chief Faculty Consultant. He continues to work on educational projects at the elementary, secondary, and college levels. Dr. Scheaffer is Fellow and past president of the American Statistical Association, from whom he received a Founders Award.
George W. Cobb is the Robert L. Rooke Professor of Statistics at Mt. Holyoke College, where he served a three-year term as Dean of Studies. He received his Ph.D. in statistics from Harvard University. In addition to his fundamental contributions to the emerging science of confectionery ballistics (the statistics of firing gummy bears from a launcher), he is an expert in statistics education with a significant publication record in this field. He chaired the joint committee on undergraduate statistics of the Mathematical Association of America and the American Statistical Association. He also led the STATS project of the Mathematical Association of America, which helped professors of mathematics learn to teach statistics. He is the author of *Introduction to Design and Analysis of Experiments*, published by Key College Publishing. Dr. Cobb served on the National Research Council’s Committee on Applied and Theoretical Statistics. Over the past two decades, he has frequently served as an expert witness in lawsuits involving alleged employment discrimination. Dr. Cobb is a Fellow of the American Statistical Association.
## Contents
**A Note to Students from the Authors** vii
1 **A Case Study of Statistics in Action** 2
1.1 Discrimination in the Workplace: Data Exploration 4
1.2 Discrimination in the Workplace: Inference 11
2 **Exploring Distributions** 22
2.1 The Shapes of Things: Visualizing Distributions 24
2.2 Graphical Displays for Distributions 38
2.3 Measures of Center and Spread 53
2.4 The Normal Distribution 79
3 **Relationships Between Two Quantitative Variables** 100
3.1 Scatterplots 102
3.2 Getting a Line on the Pattern 113
3.3 Correlation: The Strength of a Linear Trend 135
3.4 Diagnostics: Looking for Features That the Summaries Miss 154
3.5 Shape-Changing Transformations 171
4 **Sample Surveys and Experiments** 208
4.1 Why Take Samples, and How Not To 211
4.2 Randomizing: Playing It Safe by Taking Chances 223
4.3 Experiments and Inference About Cause 234
4.4 Designing Experiments to Reduce Variability 249
5 **Sampling Distributions** 266
5.1 Sampling from a Population 268
5.2 Generating Sampling Distributions 274
5.3 Sampling Distribution of the Sample Mean 284
5.4 Sampling Distribution of the Sample Proportion 300
5.5 Sampling Distribution of the Sum and Difference 311
6 **Probability Models** 326
6.1 Sample Spaces with Equally Likely Outcomes 328
6.2 The Addition Rule and Disjoint Events 339
6.3 Conditional Probability 348
6.4 Independent Events 364
7 **Probability Distributions** 378
7.1 Random Variables and Expected Value 380
7.2 The Binomial Distribution 391
7.3 The Geometric Distribution 400
8 Inference for Proportions 412
8.1 Estimating a Proportion with Confidence 414
8.2 Testing a Proportion 432
8.3 A Confidence Interval for the Difference of Two Proportions 453
8.4 A Significance Test for the Difference of Two Proportions 463
9 Inference for Means 478
9.1 Toward a Confidence Interval for a Mean 480
9.2 Toward a Significance Test for a Mean 492
9.3 When You Estimate $\sigma$: The $t$-Distribution 503
9.4 The Effect of Long Tails and Outliers 517
9.5 Inference for the Difference Between Two Means 528
9.6 Paired Comparisons 547
10 Chi-Square Tests 576
10.1 Testing a Probability Model: The Chi-Square Goodness-of-Fit Test 578
10.2 The Chi-Square Test of Homogeneity 592
10.3 The Chi-Square Test of Independence 607
11 Inference for Regression 628
11.1 Variation in the Estimated Slope 631
11.2 Making Inferences About Slopes 643
11.3 Transforming for a Better Fit 658
12 Statistics in Action: Case Studies 678
12.1 Mum’s the Word! 680
12.2 Baseball: Does Money Buy Success? 683
12.3 *Martin v. Westvaco* Revisited: Testing for Possible Employment Discrimination 690
Appendix: Statistical Tables 699
Table A: Standard Normal Probabilities 699
Table B: $t$-Distribution Critical Values 701
Table C: Chi-Square Distribution Critical Values 702
Table D: Random Digits 703
Glossary 704
Brief Answers to Selected Problems 712
Index 743
Photo Credits 752
Whether you talk about income, prices of goods and services, sports, health, politics, or the weather, data enter the conversation. In fact, in this age of information technology, data come at you at such a rapid rate that you can catch only a glimpse of the masses of numbers. The only way to cope intelligently with this quantitative world and make informed decisions is to gain an understanding of the basic concepts of statistics and practice what you have learned with real data.
**What’s in This Book**
This book is designed for an introductory statistics course—either an introductory college course or its high school equivalent, Advanced Placement Statistics—and includes all of the standard topics for that course. Beginning in Chapter 1 with a court case about age discrimination, you will be immersed in real problems that can be solved only with statistical methods. You will learn to
- explore, summarize, and display data
- design surveys and experiments
- use probability to understand random behavior
- make inferences about populations by looking at samples from those populations
- make inferences about the effect of treatments from designed experiments
**How This Book Is Different**
Statistical work is more active than it was a generation ago. Computers and graphing calculators have automated the graphical exploration of data, and in the process have made the practice of statistics a more visual enterprise. Statistical techniques are also changing as simulations allow statisticians (and you) to shift the emphasis from following recipes for calculations to paying more attention to statistical concepts. Your instructor has selected this book for you because he or she
- wants you to learn this modern, data-analytic approach to statistics
- encourages you to be an active participant in the classroom
- wants you to see real data (If you have only pretend data, you can only pretend to analyze it.)
- believes that statistical analyses must be tailored to the data
- uses graphing calculators or statistical software for data analysis and for simulations
Throughout this textbook you will see many graphical displays, lots of real data, activities that introduce each major topic, computer printouts, questions for you to discuss with your class, and practice problems so you can be sure you understand the basics before you move on. These features grow out of the vigorous changes that
have been reshaping the practice of statistics and the teaching of statistics over the last quarter century.
The most basic question to ask about any data set is, “Where did the data come from?” Good data for statistical analysis must come from a good plan for data collection. Thus, *Statistics in Action* gives an honest and thorough treatment to the design and analysis of both experiments and surveys.
**What You Should Know Before You Start**
You will be using this book in an introductory statistics course; thus, you aren’t required to know anything yet about statistics. You may find that your perseverance in trying to understand what you read will contribute more to your success in statistics than your skill with algebra. However, basic topics from algebra, such as the equation for a line, slope, exponential equations, and the idea of a logarithm, will come up throughout the book. Be prepared to review those as you go along, if the need arises.
**Acknowledgments**
This book is a product of what we have learned from the statisticians and teachers who have been actively involved in helping the introductory statistics course evolve into one that emphasizes activity-based learning of statistical concepts while reflecting modern statistical practice. This book is written in the spirit of the recommendations from the MAA’s STATS project and Focus Group on Statistics, the ASA’s Quantitative Literacy projects, and the College Board’s AP Statistics course. We hope that it adequately reflects the wisdom and experience of those with whom we have worked and who have inspired and taught us.
It has been an awesome experience to work with the Key Curriculum staff and field-test teachers, who always put the interests of students and teachers first. Their commitment to excellence has motivated us to do better than we ever could have done on our own. Steve, Casey, Mary Jo, Anna, Dudley, Bill, and the rest of the staff have been professional and astute throughout. Our deepest gratitude goes to Cindy Clements, our editor, who has been a joy to work with. (Not all authors say that—and mean it—about their editors.) Cindy was an outstanding statistics and calculus teacher before coming to Key. She brings an extraordinary intellectual curiosity and talent for teaching and for statistics to her current position. Her organizational skills, experience in the classroom, and insight have improved every chapter of this text.
*Ann Watkins*
*Dick Scheaffer*
*George Cobb*
|
NOTIFICATION
No. E&WRD/2465/2022. In exercise of the powers conferred by section 3 and section 37 of Electricity Act 1910, the President of Azad Jammu & Kashmir is pleased to make following Regulations to establish a framework for Distributed Generation by using Alternative and Renewable Energy and Net Metering, namely: -
1. **Short title, commencement and application.** — (1) These Regulations may be called the AJ&K Distributed Generation (Alternative & Renewable Energy) and Net Metering Regulations, 2022.
(2) They shall come into force at once.
(3) These Regulation shall apply to the whole of Azad Jammu & Kashmir.
2. **Definitions.** - (1) In these Regulations unless there is anything repugnant in the subject or context,
(a) "Act" means AJ&K Electricity Act 1910.
(b) "Government" means Azad Government of the State of Jammu & Kashmir
(c) "Agreement" means the agreement between the Azad Jammu & Kashmir Electricity Department (AJKED) and the Distributed Generator on the approved format as per Schedule I;
(d) "Applicable Documents" means the rules and regulations issued in pursuance of the Electricity Act 1910, from time to time, the generation, distribution and transmission licenses, the Grid and Distribution Codes and any documents, instruments, approvals, directions or authorizations issued or granted by the Government in exercise of its powers under the Electricity Act 1910, and any document in each case of a binding nature applicable to the licensee;
(e) "Applicable Tariff" means tariff determined by Government and duly notified from time to time.
(f) "Applicant" means a 3 phase 400V or 11kV domestic, commercial, industrial, agricultural and general services or single point bulk supply consumer of AJKED, which submits an application to interconnect its proposed Distributed Generation Facility to the Distribution System of AJKED and who applies for grant of the license to operate a Distributed Generation Facility as a Distributed Generator;
(g) "Application" means the application submitted by an Applicant to AJKED, for interconnection of a Distributed Generation Facility to the Distribution System of a AJKED including application for grant of license;
(h) "AJKED" means the Azad Jammu & Kashmir Electricity Department headed by the Chief Engineer Electricity;
(i) "Billing Cycle" means energy recorded by the meters in a period of one month;
(j) "Distributed Generation Facility" means a facility set up by a Distributed Generator using Solar or Wind energy resource for generation of electricity up to 1 Mega Watt (MW);
(k) "Distributed Generation" means electrical power generation by solar or wind that is interconnected to the Distribution System of the AJKED at Interconnection Point;
(l) "Distributed Generator" means an applicant approved/licensed by the Net Metering Wing of AJKED under these Regulations to undertake Distributed Generation;
(m) "Distribution System" means the distribution facilities situated within the Service Territory owned or operated by the licensee for distribution of electric power including, without limitation, electric lines or circuits, electric plant, meters, interconnection facilities or other facilities operating at the distribution voltage, and shall also include any other electric lines, circuits, transformers, sub-stations, electric plant, interconnection facilities or other facilities determined by AJKED as forming part of the distribution system, whether or not operating at the distribution voltage;
(n) "Fault" means an equipment failure, conductor failure, short circuit, or other condition resulting from abnormally high or low amounts of current from the power system;
(o) "Grid Code" means the guidelines, standards and procedures of technical and commercial aspects for the access, use and operation of transmission system and transmission facilities of Distribution Companies of GoP., AJ&K PDO and /or AJKED as modified and issued from time to time;
(p) "Interconnection Facilities" means the equipment, including, without limitation, electrical lines or circuits, transformers, switch gear, safety and protective devices, meters or electrical plant, used for interconnection services;
(q) "Interconnection Point" means the point where the metering, installation and protection apparatus of the Distributed Generator is connected to the Distribution System of the AJKED;
(r) "kWh" means kilowatt hour;
(s) "MW" means megawatt;
(t) "Net Energy Billing" means a billing and metering practice under which a Distributed Generator is billed on the basis of net energy over the billing cycle;
(u) "Net Energy" means a balance (positive or negative) of the kWh generated by Distributed Generator against the kWh supplied by AJKED at the end of Billing Cycle;
(v) "Net Metering Facility" means a facility comprising of one or two meters for measuring the kWh generated by Distributed Generator and supplied by AJKED for determining the net energy;
(w) "Net Metering Wing" means offices of AJKED, headed by Deputy Directors (BPS-18) under the Directorate of Planning & Monitoring, to register and record the receipt of communications, applications and petitions filed with the AJKED, the issuance of generation license(s) and to perform such other duties under these Regulations as may from time to time be assigned by AJKED; and
(x) "Tariff" means the rates, charges, terms and conditions for sale of electric power to consumers as approved and duly notified by Government from time to time.
(2) The words and expressions used but not defined in these Regulations shall have the same meaning as assigned to them in the Electricity Act 1910.
APPLICATION AND INTERCONNECTION PROCESS
3. Application Process for Interconnecting Distributed Generation Facility:-
(1) Any person who meets the requirements of a Distributed Generator as defined under the regulations 2(4) is eligible for submitting application as specified in Schedule-II to the concerning Electricity Operation Division.
(2) The capacity of a proposed distributed generation facility shall not exceed one and a half of the sanctioned load of the applicant’s premises.
Provided that AJKED may revise the capacity of proposed distributed generation facilities under the sub regulation (2) after one year from the date of its notification.
(3) Application to AJKED along with necessary documents shall be submitted by applicant to concerning Electricity Operation Division.
(4) Within five working days of receiving an application, the concerning Electricity Operation Division shall acknowledge its receipt and inform the applicant whether the application is complete in all respect.
Provided that in case of any missing information or documents the applicant shall provide the same to concerning Electricity Operation Division within seven working days.
(5) Upon being satisfied that the application is complete in all respect, the concerning Electricity Operation Division shall perform an initial review to determine whether the applicant qualifies for Interconnection Facility, or may qualify subject to additional requirements.
Provided that the initial review shall be completed within fourteen (14) working days.
(6) In case the initial review reveals that the proposed facility is not technically feasible, the concerning Electricity Operation Division shall return the application and communicate the reasons to the applicant within three working days after the completion of initial review.
(7) If the concerning Electricity Operation Division is satisfied that the applicant qualifies as Distributed Generator, then the AJKED and the applicant shall enter into an Agreement within seven (7) working days.
a) For Distributed Generator facility up to 25KW, the concerned Electricity Operation Division shall be the final approving authority and will not send the case to "Net Metering Wing" for issuance of Generation License, the concerned Electricity Operation Division will issue the "Net Metering Approval" letter (Schedule IX) within three days and will send the copy of the same to all concerning offices including Net Metering Wing through proper channel.
b) For a Distributed Generator facility over 25KW, the concerning Electricity Operation Division will send the copy of the Agreement to the "Net Metering Wing" of AJKED (through proper channel) along with the application for issuance of Generation License as described in section “4” of these regulations.
(8) Within seven working days of the approval of the application (up to 25KW) or issuance of Distributed Generation License for over 25KW, the concerning Electricity Operation Division shall issue the Connection Charge Estimate to the applicant for the proposed interconnection facility up to the Interconnection Point including the metering installation.
(9) The applicant shall make the payment of Connection Charge Estimate within fourteen (14) days of its issuance.
(10) The concerning Electricity Operation Division shall install and commission the proposed interconnection facility within thirty days of the payment of demand notice by the Applicant. The Alternate Energy Development Board (AEDB) of GoPak, and AJKED certified vendors/installers/service providers will only be eligible to install the Distributed Generator facility.
4. **Licensing:**
(1) Notwithstanding anything contained in the AJ&K Electricity Act 1910, any consumer (over 25KW) who enters into an Agreement with the AJKED under net metering arrangement qualifies for grant of a Distributed Generator License.
(2) Concerning Electricity Operation Division shall forward the Application for grant of License as specified in Schedule -III to the "Net Metering Wing" through proper channel, along with following;
(a) Agreement
(b) Application as specified in Schedule-IV,
(c) Evidence of deposit of fee as may be specified by the Authority as specified in Schedule-V.
(d) Affidavit by Distributed Generator as specified in Schedule-VI.
(3) The "Net Metering Wing" of AJKED may, on receipt of the Application and the documents specified in sub-regulation (2), grant a license as specified in Schedule VII to the Applicant.
(4) Distributed Generation License shall stand revoked in case the licensee fails to commence distributed generation within six months of grant of distributed generation license.
5. General Powers, Rights and Obligations of the AJKED
(1) AJKED shall,
(a) allow any of its consumers to establish Distributed Generating facilities to be interconnected with its Distribution System using either (a) a standard meter capable of registering the flow of electricity in two directions, or (b) two separate meters one for selling electricity to the AJKED and other for purchasing electricity from the AJKED.
(b) enter into an Agreement with the Distributed Generator, and shall grant interconnection approval under Regulation 3 (6) after following due process Provided that the approval of interconnection facility shall not be unreasonably withheld.
(c) have the right to review the design of a Distributed Generation Facility and Interconnection Facilities and to inspect the same prior to the commencement of parallel operation with its Distribution System and may require the Distributed Generator to make modifications as necessary to comply with the requirements of these Regulations.
(2) AJKED may limit the operation and/or disconnect or require the disconnection of a Distributed Generation Facility from its Distribution System at any time, with or without notice, in the event of Fault.
(3) AJKED may also limit the operation and/or disconnect or require the disconnection of Distributed Generation Facility from its Distribution System upon the provision of thirty days written notice for the conditions which include as follows:
1. To allow for routine maintenance, repairs or modifications to the Distribution System of the AJKED;
2. Upon AJKED’s determination that Distributed Generation Facility is not in compliance with these Regulations;
b) Upon termination of the Agreement.
6. **Rights and Obligations of the Distributed Generator:**
(1) A Distributed Generator shall operate and maintain its Distributed Generation Facility and Interconnection Facilities in accordance with prudent electrical practices.
(2) The Distributed Generator shall not have any right to utilize AJKED’s Interconnection Facilities for the sale of electricity to any other person.
**Terms of Agreement, Termination of Agreement and Dispute Resolution**
7. **Term of Agreement.** — (1) The term of the Agreement between Distributed Generator and AJKED shall be Seven years with effect from commissioning of Distributed Generator Facility.
(2) At the expiry of initial term, the Agreement may be automatically renewed between the Distributed Generator and AJKED for another term of Seven years and so on unless the Distributed Generator or AJKED terminated the agreement in accordance with the regulations.
8. **Termination of Agreement.**—(1) The Distributed Generator may terminate the Agreement upon thirty days written notice if the Distributed Generator decides to discontinue the sale of electricity to the AJKED.
(2) The Electricity Operation Division shall not terminate the Agreement in any event without prior approval of the “Net Metering Wing”.
(3) All rights and obligations accrued up to termination shall continue in force upon termination.
**DISTRIBUTED GENERATION FACILITY DESIGN AND OPERATING REQUIREMENTS**
9. **Protection Requirements.** —(1) The protection and control diagrams for the interconnection of the Distributed Generator shall be in accordance with the provisions of the Grid and Distribution Codes and approved by the AJKED prior to commissioning of the proposed Interconnection Facilities and a typical single line diagram as specified in Schedule-VIII.
(2) The Distributed Generator shall be responsible for the installation of equipment, including, without limitation, electrical lines or circuits, transformers, switch gear, safety and protective devices, meters or electrical plant, to be used for interconnection.
Provided that, if the Distributed Generator is unable to install equipment, including, without limitation, electrical lines or circuits, transformers, switch gear, safety and protective devices, meters or electrical plant, used for interconnection, the AJKED may execute the requisite work in case the Distributed Generator offers to deposit the cost to be incurred on the requisite work at mutually agreed terms.
(3) The protective functions shall be equipped with automatic means to prevent reconnection of the Distributed Generation Facility with the Distribution facilities of the AJKED;
Provided that the service voltage and frequency is of specified setting and is stable and mutually agreed between the AJKED and the Distributed Generator.
(4) The Distributed Generator will furnish and install a manual disconnect device that has a visual break to isolate the Distributed Generation Facility from the Distribution facilities.
(5) The grid connected inverters and generators shall comply with Underwriter Laboratories UL 1741 standard (Inverters, Converters, Controllers and Interconnection System Equipment for Use with Distributed Energy Resources) which addresses the electrical interconnection design of various forms of generating equipment, IEEE 1547 2003, IEC 61215, EN or other international standards.
10. **Prevention of Interference.** —(1) The Distributed Generator shall not operate such equipment that superimposes upon the Distribution System a voltage or current that interferes with AJKED’s operations, service to its consumers, or communication facilities.
(2) In the event of such interference, the Distributed Generator must diligently pursue and take corrective action at its own expense after being given notice and reasonable time to do so by the AJKED.
(3) On account of any failure on part of the Distributed Generator to take timely corrective action, the AJKED may, without liability, disconnect the Distribution Generation facility from the Distribution System, in accordance with these Regulations.
11. **Voltage and Frequency Range.** - A variation of ±5% and ±1% is permissible to the nominal voltage and frequency respectively.
**INTERCONNECTION FACILITY FINANCING**
12. **Responsibility for Costs of Interconnecting a Distributed Generation Facility.**—(1) A Distributed Generator shall be responsible for all costs associated with Interconnection Facilities up to the Interconnection Point including metering installation.
(2) The Distributed Generator shall also be responsible for any costs reasonably incurred by AJKED in providing, operating, or maintaining Interconnection Facilities and Distribution System improvements required solely for the interconnection of the Distributed Generation Facility with AJKED’s Distribution System.
(3) In case of non-availability of meter(s) with AJKED, the Distributed Generator may procure such meter(s) directly subject to testing by AJKED, before installation.
**NET ENERGY METERING SERVICES**
13. **Metering Requirements.**—(1) The equipment installed for net metering shall be capable of accurately measuring the flow of electricity in two directions;
Provided that in case two separate meters are installed, the net energy metering calculation shall yield the same result as when a single meter is used.
(2) The Net Energy Metering Facility shall meet all safety and protection requirements that are necessary to assure safe and reliable operation of the Distributed Generation Facility when connected to the Distribution System of the AJKED and that have been approved by the AJKED.
14. **Billing for Net Metering.** —(1) At the end of each Billing Cycle following the date of final interconnection of Distributed Generation Facility to the Distribution System of the AJKED, the AJKED shall net off the kWh supplied by Distributed Generator against the kWh supplied by it;
Provided that the meter readings shall be carried out preferably through Hand Held Units (HHU) and through automated means as directed by the AJKED from time to time.
(2) In case the kWh supplied by AJKED exceed the kWh supplied by Distributed Generator, the Distributed Generator shall be billed for the net kWh in accordance with the Applicable Tariff.
(3) In case the kWh supplied by Distributed Generator exceed the kWh supplied by AJKED, the net kWh shall be credited against Distributed Generator’s next billing cycle for future consumption, or shall be paid by the AJKED to the Distributed Generator quarterly;
Provided that where the Distributed Generator is to be paid, the kWh in a month will be charged at the tariff of that respective month.
(4) The Tariff payable by AJKED to the Distributed Generator shall be the same tariff at which the energy is purchased by AJKED from DISCOs / PDO AJK as determined by GoAJK from time to time;
15. **Power of the AJKED to give directions, instructions and guidelines.** —(1) For carrying out the purposes of these Regulations, the AJKED may issue directions, instructions and guidelines to the Distributed Generator and the concerning Electricity Operation Division/Net Metering Wing in the form and manner determined by the AJKED, which shall be complied with by the Distributed Generator and the he concerning Electricity Operation Division/Net Metering Wing.
(2) The AJKED may, on representation made to it or on its own motion modify or cancel any direction, instruction or guidelines issued under sub-rule (1), and in so modifying or cancelling any direction, instruction or guidelines may impose such conditions as it thinks fit.
16. **Power to require information.** —The AJKED may, at any time, by notice in writing require any director, officer and member of the AJKED and/or the Distributed Generator, generally or in particular to furnish it within the time specified therein or such further time as AJKED may allow, with any statement or information and without prejudice to the generality of the foregoing power, may call for information, at such intervals as AJKED may deem necessary.
17. **Resolution of disputes.** —Any dispute or disagreement between Distributed Generator and concerning Electricity Operation Division/Net Metering Wing relating to any matter arising out of, or in connection with, the activities covered under the Regulations shall be submitted for decision to the AJKED.
18. **Penalty for failure, refusal to comply with, or contravention with any provision of the Regulations.** —If any person fails or refuses to comply with, or contravenes any of the provisions of these Regulations or any direction or order passed by the AJKED under these Regulations or knowingly or will fully authorizes or permit such failure, refusal or contravention, he shall, be punishable with a fine which may extend to 100 million rupees.
Section Officer
Energy & Water Resources
Department
The Distributed Generation Interconnection Agreement (the “Agreement”), is made and entered in to this _____________ (day) of ___________________ (month), ________ (year) by and between ______________________________ hereinafter called “AJKED” and ______________________ hereinafter called the “Applicant”. Applicant shall be 3 phase 400V or 11kV consumer of AJKED. Applicant and the AJKED are hereinafter collectively referred to as the “Parties” and individually as a “Party”.
**Recitals**
A. AJKED is the owner of the electric distribution system in the state of Azad Jammu & Kashmir (AJ&K).
B. Applicant desires to install a Distributed Generator (DG) facility or energy storage device using solar or wind energy resources with a capacity greater than 1 KW but no more than 1 MW, including related interconnection equipment (the “DG Facility”) and to interconnect the DG Facility to the AJKED’s distribution system.
C. AJKED has previously reviewed and approved Applicant’s DG Interconnection Application Form dated ____________, and supporting materials (the Application”). The completed Application is attached as Exhibit 1 and incorporated into this Agreement.
D. Applicant wishes to interconnect the DG Facility to AJKED’s distribution system and AJKED is willing to permit such interconnection subject to the terms and conditions set forth:
(1) the completed Application approved by AJKED;
(2) this Agreement.
E. No agency or partnership is created with the interconnection of the applicants DG Facility.
**Agreement**
NOW THEREFORE, in consideration of the foregoing Recitals and for good and valuable consideration, the AJKED and Applicant agree as follows:
**1. Design Requirement**
The Distributed Generation Facility shall be installed in compliance with AJ&K Distributed Generation (Alternative & Renewable Energy) and Net Metering Regulations, 2022. Applicant represents and warrants that:
**2. Applicant’s Representations and Warranties**
a. The DG Facility is fully and accurately described in the Application;
b. All information in the Application is true and correct;
c. The DG Facility has been installed to Applicant’s satisfaction;
d. Application has been given warranty information and an operation manual for the DG Facility;
e. Applicant has been adequately instructed in the operation and maintenance of the DG Facility.
3. Interconnection Disconnect Switch
The AJKED may require that the Applicant furnish and install an interconnection disconnect switch that opens, with a visual break, all underground poles of the interconnection circuit. The interconnection disconnect switch shall be rated for the voltage and fault current requirements of the DG Facility, and shall meet all applicable IEC, IEEE Standards, as well as applicable requirements of the NEPRA Grid Code. The switch enclosure shall be properly grounded. The interconnection disconnect switch shall be accessible at all times, located for ease of access of AJKED personnel, and shall be capable of being locked in the open position. The Applicant shall follow the AJKED’s recommended switching, clearance, tagging, and locking procedures.
4. Modifications to the DG Facility
Applicant shall notify AJKED of plans for any material modification to the DG Facility by providing at least forty working days of advance notice. “Material Modification” is defined as any modification that changes the maximum electrical output of the DG Facility or changes the interconnection equipment. The notification shall consist of a completed, revised Application and such supporting materials as may be reasonably requested by AJKED. Applicant agrees not to commence installation of any material modification to the DG Facility until AJKED has approved the revised Application.
5. Insurance, Indemnification, Liability
5.1 Distributed Generator shall obtain and maintain appropriate insurance for third party personal injury and general commercial liability.
5.2 Each party as indemnitor shall defend, hold harmless, and indemnify the other party and the directors, officers, employees, and agents of the other party against and from any and all loss, liability, damage, claim, cost, charge, demand, or expense (including any direct, indirect or consequential loss, liability, damage, claim, cost, charge, demand, or expense, including attorneys’ fees) for injury or death to persons, including employees of either party, and damage to property, including property of either party, arising out of or in connection with (a) the engineering, design, construction, maintenance, repair, operation, supervision, inspection, testing, protection or ownership of the indemnitor’s facilities, or (b) the making of replacements, additions, betterments to, or reconstruction of the indemnitor’s facilities. This indemnity shall apply notwithstanding the active or passive negligence of the indemnitee. However, neither party shall be indemnified hereunder for its loss, liability, damage, claim, cost, charge, demand, or expense resulting from its sole negligence or willful misconduct.
10. Amendments; NonWaiver
Any amendment or modification to this Agreement must be in writing and executed by Applicant and AJKED. The failure of Applicant or AJKED to insist on performance by the other Party of any provision of this Agreement shall not waive the right of the Party who failed to insist on performance to enforce the same provision at a later time.
11. Term and Termination of Agreement
The term of Agreement between Distributed Generator and AJKED shall be three years with effect from the date of commissioning of DG facility. At the expiry of initial term, the Agreement may be automatically renewed by the mutual understanding between Distributed Generator and AJKED for another term of three years and so on.
a) AJKED may limit the operation and/or disconnect or require the disconnection of a DG facility from AJKED’s Distribution System at any time, with or without notice, in the event of fault. AJKED may also limit the operation and/or disconnect or require the disconnection of DG facility from AJKED’s Distribution System upon the provision of 30 days written notice for the conditions which including as follows:
- To allow for routine maintenance, repairs or modifications to AJKED’s Distribution System;
- Upon AJKED’s determination that DG facility is not in compliance with these Rules;
- Upon termination of the Agreement.
b) This Agreement may be terminated in accordance with the sub rule (7) of Rule 4 of these Rules.
c) The Distributed Generator may terminate the agreement upon thirty days written notice if the Distributed Generator determines to discontinue the sale of electricity to the AJKED.
d) The AJKED shall not terminate the Agreement in any event without prior approval of the Authority.
e) All rights and obligations accrued up to termination shall continue in force upon termination.
12. Successors and Assigns
a) Assignment by Applicant: Applicant shall not assign its rights and obligations under this Agreement in whole or in part without the prior written consent of AJKED, which consent shall not be unreasonably withheld or unduly delayed. AJKED may withhold its consent to any proposed assignment if the proposed assignee fails to assume the obligations of Applicant under this Agreement in writing.
b) Assignment by AJKED: The AJKED shall have the right to assign this agreement in whole upon written notification to the Applicant.
c) Successors. This Agreement shall be binding upon the personal representatives, heirs, successors, and permitted assigns of the respective Parties.
13. Applicant and DISCO Signature and Seal
IN WITNESS WHEREOF, Applicant and AJKED have executed this Agreement as of the year and date first set forth above.
Applicant Signature & Date On behalf of AJKED Signature, Seal & Date
Title
Witness No.1 (Name & Signature)
Witness No. 2 (Name & Signature)
1. **Contact Information**: The applicant is the person that is legally responsible for the generating system.
| Applicant’s Name | Applicant’s Father Name |
|------------------|-------------------------|
| | |
CNIC of Applicant/CUIN in case of Company (Copy to be attached)
**Applicant’s Mailing Address:**
| Applicant’s Phone Number & Email Address |
|------------------------------------------|
| |
| Office: | Fax: |
|---------|------|
| | |
| Cell: | Email: |
|-------|--------|
| | |
**Emergency Contact Numbers**
2. **Location of Generation System**
Address at which the DG Facility is located
Latitude-Longitude (i.e. 49° 32’ 06” N-91° 64’ 18”)
3. **Applicant / consumer electricity account reference number**
4. **Applicant’s Ownership Interest in the Generation System**
Owner __________ Co-Owner __________ Lease __________ Other __________
5. **Primary Intent of the generation system**
6. **Consumer Energy Consumption Information**
(a) Anticipated annual electricity consumption of the facility or site: (kWh)/yr.
(b) Anticipated annual electricity production of the generation system: (kWh)/yr.
(c) Anticipated annual electricity purchase (i.e. (a) minus (b)) (kWh)/yr.
7. Installing Contractor Information
Contractor’s Name
Name of Firm
Contractor’s Phone Number | E-Mail Address
Mailing Address
8. Requested In-Service Date
9. Provide One-Line Schematic Diagram of the System
Schematic is Attached | Number of pages
10. Generator / Inverter Information
Manufacturer | Model No.
Version No. | Serial No.
Generation Type (Check One) | Generation Type (Check One)
Single Phase | Three Phase | Inverter | Other __________
Name Plate AC Ratings (Check One)
________ kW _________ kVA __________ volts
Primary Energy Source
Note: if there is more than one inverters, attach an additional sheet describing each
11. Site Plan showing location of the External Disconnect Switch (attach additional sheets as needed)
12. Design Requirements
(a) Has the proposed distributed generation paralleling equipment been certified by Electrical Inspector? Y_____ N_____
13. Other Comments, Specification and Exceptions (attach additional sheets if needed)
14. Application and Installer Signature
To the best of my knowledge, all the information provided in this application form is completed and correct.
| Applicant Signature | Date |
|---------------------|------|
| | |
| Installer Signature (If Applicable) | Date |
|------------------------------------|------|
| | |
| 1. Name of Applicant: | |
|-----------------------|---|
| 1(a) CNIC of Applicant/CUIN in case of Company (Copy to be attached) | |
| 1(b) Address: | |
| 1(c) Contact Nos: | Office: ____________
Fax: ____________
Cell: ____________ |
| 1(d) Email Address: | |
| 2. Location of DG Facility: | |
| 3. Name of Operation Division with which the DG facility is proposed to be interconnected | |
| 4. Size of DG Facility: | |
| 5. Approximate monthly energy proposed to be supplied to AJKED (kWh): | |
| 6. Fee to be deposited: (Non-Refundable) | |
Applicant’s Signature
Date
Application for Exemption from Section 24 of the Companies Ordinance 1984
As Adapted in AJ&K
I/we (Name of the Distributed Generator) for the purpose of grant of License of Distributed Generator under AJKED (Alternative & Renewable Energy) Distributed Generation/Net Metering Regulations AJK 2022, hereby request the AJKED for grant of exemption from the requirement of being registered as a company under the Companies Ordinance, 1984 (XLVII of 1984) under section 24 of the Act.
Name & Address of Distributed Generator
Stamp
A Distributed Generator shall be bound to pay onetime fee through pay order in favor of AJK Electricity Department (AJKED) as per following fee schedule.
| Sr.# | Size of DG Facility | Amount |
|------|-----------------------|---------|
| 1. | 0-25 KW | Rs. 1000/- |
| 2. | >25-250 KW | Rs. 2000/- |
| 3. | Above 250 KW | Rs. 5000/- |
I/we (Name of the Distributed Generator) hereby confirm that I/we have read the AJK Distributed Generation (Alternative & Renewable Energy) and Net Metering Regulations, 2022, AJKED License Agreement and agree to abide by its Terms and Conditions and the content of the Application are true and correct to the best of my knowledge and belief and nothing has been concealed thereof.
Deponent
Oath Commissioner
1. AJKED hereby grants Generation license to (______________________________) under Regulation 4 of the AJK Distributed Generation (Alternative & Renewable Energy) and Net Metering Regulations, 2022, for a period of __________ Years. This License is valid up to 202__.
2. The License shall abide by the provision under AJK Distributed Generation (Alternative & Renewable) and Net Metering Regulation 2022, during the currency of the License.
3. The technical parameters of the net metering arrangement are shown hereunder;
i. Primary Energy Source Solar/Wind
ii. Size of DG Facility ___________ KW
iii. Generator/Inverter information
Manufacturer ___________ Model No. ___________
iv. Generation Type Inverter/Other
4. This License may be renewed subject to AJK Distributed Generation (Alternative & Renewable Energy) and Net Metering Regulations, 2022.
For AJKED
Name & Address of Distributed Generator
SCHEDULE VIII
(As specified in Rule 9)
FIGURE
Generator Interconnection Example
Distribution System
Transformer
Billing Meter (A)
UTILITY / DISCO
CUSTOMER
52 kV Main Breaker
Point of Interconnection
Consumer Load
Inverter Interconnection Example
Distribution System
Transformer
Billing Meter (B)
52 kV Main Breaker
Local Sub
Consumer Load
Inverter
Notes:
A) Type of meter to be used is negotiable
B) Compliance with IEEE 1147 and UL 1741 required
Relay Key:
27 / S8 undervoltage relay
81 over current relay
82 circuit breaker
81 and over/under frequency relay
Insulin grounding configuration of generator or inverter transformer, if present, e.g.
3
No. ___________ Dated__________
To,
Applicant Name______________
Applicant Address_____________
Contact No.___________________
Subject: NET METERING APPROVAL
1. The Executive Engineer Operation Division _____ AJK Electricity Department hereby grants Net Metering approval to **write applicant name**, for ____ KW photovoltaic solar based Distributed Generation facility, having reference number_____, located at **write applicant address, under** the AJ&K Distributed Generation (Alternative & Renewable Energy) and Net Metering Regulations, 2022, for a period of seven (7) Years. This approval is valid up to **write expiry date**.
2. The Net Metering approved Distributed Generator shall abide by the provisions under the AJK Distributed Generation (Alternative & Renewable Energy) and Net Metering Regulations, 2022, during the currency of Net Metering connection.
3. The Technical parameters of Net-Metering arrangement are as under:
| | Primary Energy Source | Solar |
|---|-----------------------|-------|
| 2. | Size of Distributed Generation Facility | _____ kW |
| 3. | Generator/Inverter Information |
| | Manufacture |
| | Mode No. |
| 4. | Vendor/Installer |
| 5. | Generation Type | Inverter |
4. This approval may be renewed subject to AJK Distributed Generation (Alternative & Renewable Energy) and Net Metering Regulations, 2022
Executive Engineer
Operation Division_______
AJK Electricity Department
Copy to:
1. Superintending Engineer (E), Circle ___________
2. Deputy Director (Net Metering Wing), Directorate P&M AJKED Muzaffarabad.
3. Sub Divisional Officer Operation Sub Division______________.
4. Revenue Officer (E), Operation Division______________.
|
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There's more of W. E. Anderton, continuing his article on PROFESSIONAL SOUND RECORDING. In part 2, Mr. Anderton goes into the pros and cons of such matters as the four-band compressor-expander, noise-reduction for discs, decoders, the application of noise-reduction to optical sound tracks, mobile recording units, pulse code modulation, quad, and digital systems.
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PROFESSIONAL SOUND RECORDING
A BRITISH VIEW—PART 1
William E. Anderton
RECREATING COLONIAL SOUND
Richard B. Tisdale
A UNIQUE RECORDING AND REPRODUCING SYSTEM
Richard S. Burwen
LETTERS
THE SYNC TRACK
John Woram
THEORY AND PRACTICE
Norman H. Crowhurst
SOUND WITH IMAGES
Martin Dickstein
NEW PRODUCTS AND SERVICES
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California 93405 805/544-9020
The Editor:
Mr. Rienstra has presented some interesting comments on the historical background of the Haas effect. It should be noted, however, that many researchers have contributed significantly to various aspects of this phenomenon. For example, the blending or fusion of a spatially separated sound source into an apparent single image had generally been known for many years prior to the Haas study.
At the 14th meeting of the Acoustical Society of America in 1935, Fay\(^1\) and Hall\(^2\) reported and demonstrated the directional effects on the auditory illusion of varying the time difference and relative intensity levels of speech sounds from two loudspeakers widely displaced in a horizontal plane. The reports emphasized that a suitable time delay in the amplified sound produced the illusion that the reinforced sound (as well as the direct sound) appeared to originate at the mouth of the talker.
In subsequent years, other investigators applied their own descriptive terms to the effect: e.g., the *Rotation of Sound Image* described by de Boer\(^3\) (1940), the *First Arrival Effect* by Langmuir\(^4\) et al. (1944), the *Law of the First Wavefront* by Cremer\(^5\) (1948), etc. However, the appearance of the Wallach et al. study at Harvard (1949) and the Haas dissertation at Göttingen (a few months later) pro-
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**Fig. 1. Constant percentage disturbance contours for the transient acoustic response of rooms. (after Bolt & Doak)**
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provided the most commonly used designations for this phenomenon, possible because both of these independent works included a detailed analysis of their respective experimental data. At any rate, the terms *precedence effect* and *Haas effect*, derived from these studies, are now being used interchangeably. Reference is sometimes made in the literature to the *Haas-Meyer effect*, in recognition of the eminent Professor Erwin Meyer, who initiated and directed the Haas study.
Mention should also be made of the data produced by Bolt and Douk, who have extended the work of Haas on the intelligibility of speech signals. Using Haas' data on the percentage of listeners disturbed by time delay effects, the original curves were modified and extrapolated to allow for the difference between the average German speech rate of 5.3 syllables per second, and the speech rate of 4.5 syllables per second considered to be average for English. The replotted curves (Figure 1) indicate the constant percentage disturbance as a function of echo intensity level and echo delay time relative to the direct sound. Applying these results to speech reinforcement systems, the 10 percent disturbance contour is considered as the reference in determining whether time delay interference calls for the insertion of a time delay unit. Thus, for delayed signal levels and time differences falling above the reference curve, time delay correction is required, whereas for the range of levels and delays below the curve, no such mechanism is needed.
SIDNEY L. SILVER
REFERENCES
1. R. D. Fay, "A Method for Obtaining Natural Directional Effects in a Public Address System," *Journal of the Acoustical Society of America*, vol. 7, Jan. 1936, p. 239(A). (Abstract of 1935 Report).
2. W. M. Hall, "A Method for Obtaining in a Public Address System the Illusion that the Sound Comes From the Speaker's Mouth," *Journal of the Acoustical Society of America*, vol. 7, Jan. 1936, p. 239(A). (Abstract of 1935 Report).
3. K. deBoer, "Stereophonic Sound Reproduction," *Philo's Technical Review*, vol. 5, April 1940, pp. 107-114.
4. I. Langmuir, V. J. Schaefer, C. V. Ferguson, E. F. Hennelly, "A Study of Binaural Perception of the Direction of a Sound Source," OSRD Rep. 4079, PB No. 31014, 1944. (Available from the Library of Congress).
5. L. Cremer, "Geometrische Raumakustik" (Geometrical Room Acoustics), Die Wissenschaftlichen Grundlagen der Raumakustik, vol. 1, 1949, p. 126.
6. R. H. Bolt & P. E. Douk, "A Tentative Criterion for the Short-Term Transient Response of Auditoriums," *Journal of the Acoustical Society of America*, vol. 22, July 1950, pp. 507-509.
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StopClock
A Digital Timing Instrument for Recording Studios and Broadcasters
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The accessory plug on the rear panel may be used for all remote operations or accessory units such as slave units, etc.
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TIMEKEEPER
P.O. Box 35, Great Neck, N.Y. 11021
Please send me ___Model T-1 Timekeeper Electronic StopClock(s) at $198.00. N.Y.S. residents add 7% sales tax. I enclose______.
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Due to some last minute schedule changes, the convention report is being put off till next month, and next month's column is now going to be this month's column. So who cares?
Me. You see, I haven't written next month's column, since I was going to finish this month's column first. But now, this month is next month, or something like that. Anyway, I've got to do next month's column fast, or get left out of this month's issue.
How about something nice and controversial for a change? Like microphone placement, naming names and everything! Specifically,
MIKING THE DRUMS
Every once in a while, someone will turn up in class with a record containing the latest example of the greatest drum sound ever, and there'll be all sorts of guesses about what mics were used, and how they were placed. Nine times out of ten, I have no idea how the drums were miked, and I'll say something to suggest that the sound is not being created by the microphone—it's what's up front that counts, that is, the drummer.
This sort of comment rarely pleases anyone, so I'll drag out my personal collection of records (both of them) and compare drum sounds. Some actually aren't bad, if I do say so myself. Others are not so hot.
So, how come? Same microphones, same drums, same engineer—yet the sound varies from record to record. And that's because each record represents a different drummer. Certainly, my "standard" drum setup gets rearranged a bit to fit the needs of the particular session, but by far the greatest influence on the drum sound is you-know-who.
When working with a pro studio drummer, there's not much to do. The secret is to set up the mics, do a take, and play it back. The drummer will listen, and depending on what he hears, alter his playing somewhat. Or perhaps you will bring up the snare drum mic, or back off on the floor toms, or whatever. But you leave the playing to him, and keep the knob-jockeying to a minimum.
Presumably, he knows more about drumming than you do. That's why he was hired to play the drums, and you were hired to stay in the control room. If that prospect bothers you, perhaps you've missed your calling.
Anyway, by now you're getting the ultimate drum sound; that perfect combination of a pro musician and good engineering. Your adoring fans tell you what a great engineer you are, and you modestly agree.
But, if you're so damn good, how do you explain those infrequent recordings where your drum sound is, to put it politely, gross? It's easy—you blame it on the drummer! But as you do so, remember that all those great drum sounds are also the "fault" of the drummer. This does not minimize your importance as an engineer—it just puts your job in perspective.
About those occasional lousy drum sounds: I remember a particularly awful session all too well. Our drummer was damn mad about the drum sound I was getting. He demanded that I do something. Why wasn't I getting that same sound he heard on all of Elton John's records? Why was I so stupid that I couldn't figure out what those British engineers were doing?
I dutifully went out into the studio to absorb the full essence of his artistry. I think he could have done better by beating a pillow with a couple of damp rags. I suggested he consider a wrist transplant, but he didn't seem to care much for that. So it was going to be up to me to transform him into Buddy Rich. Needless to say, I failed. (If I had succeeded, I wouldn't be writing this crummy column, would I?)
Well, it wasn't a total disaster. Allison came to the rescue with a couple of her Kepexes and some of the slush was eliminated. So, it was a little better, but still a long way from great. I don't suppose I've been forgiven to this day.
Speaking of Kepex, if the bass drum lacks the apparent tone you're looking for, you can do wonders with a Kepex. Set an oscillator to the desired pitch, and feed it through the Kepex. Gate the Kepex with the bass drum mike, so that the oscillator takes on the attack and decay characteristics of the bass drum. Then mix the Kepexed oscillator in with the sound from the bass drum mike itself. It can be very effective. It can also be overdone, so listen carefully.
PLACING THE MICS
Getting back to the microphones, the question comes up—how many are necessary?—and, where should they be placed? How many depends in great measure on the type of recording you're doing. I sat in on a jazz session recently in which one mic was used and that was placed somewhere over the drummer's right shoulder, facing the drum set. The microphone heard pretty much what the drummer himself heard. And the effect was rather good. The drums sounded like drums, and not like a set of tuned mouse traps exploding on the ear lobes.
Of course, if you want that "up tight" sound, one mic, or two, will not do much good. A good rock record needs a larger-than-life drum sound, (usually) and multi-miking becomes a necessity.
So, you'll often find a separate mic for snare drum, floor tom tom, and bass drum, with others on the various cymbals. And then there's the question of how many tracks to use. Of course, a skillful engineer can mix a collection of drum mikes together onto one track and come up with a well balanced sound. However, the drums are, after all, a fairly large sound source, and a one track mix—no matter how well balanced internally—will probably sound comparatively small. One might want a larger sonic spread.
TRACKING THE DRUMS
If so, one track is not enough. Sometimes, the engineer will put the bass drum on its own track, with all the other mics on another track. This allows for good control during the mix-down of the bass drum but doesn't do much for creating a stereo spread. After all, the bass drum is in the center of the set, with the rest of the set spread out on both sides. During the mix, if the bass drum is panned to one side with everything else on the other side, it can sound a little strange.
So, if two tracks are available, it might be better to divide the collection of drum mikes more or less evenly between the two. Later on, one of the tracks will be panned left of center, the other right of center. Or all the way to the sides for maximum spread. To keep the bass drum in the center, it is simply fed to both tracks while recording.
Some might put the bass drum on a third track, but this may not really be necessary. If the drums have been well-recorded, with the bass drum in the center of the two track pick-up, a little equalization to both tracks will raise or lower it as required. (This is where the good engineering comes in.)
As for the other microphones, since the snare and tom tom are on opposite sides of the bass drum, their respective mics will probably go to the separate tracks, thus keeping them apart in the mix. And if there are overhead mics, the same will apply. With this type of setup, sometimes the snare and tom tom mics might be panned in a bit so that in the stereo mix they lie closer to the center, with the overhead mics remaining at the extreme left and right.
A basic setup that has worked well for me uses five microphones: two overhead (left and right), one on the floor tom tom (left), one on the snare drum (right), and one for the bass drum (center). Of course, if this approach is used, then even more mics may be needed for more involved drum sets. Which brings up an interesting point.
All too often, those super-sets, with two bass drums, and half a dozen tom toms, just don't make it in the studio, no matter what they do for the drummer on-stage. And that brings up yet another point.
One of the most difficult tasks facing the engineer may be to convince the group that the recording studio is not the concert stage. What works on
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stage may not work in the studio, and vice-versa. Approach these super-sets with caution: you may be better off—for recording—with a smaller setup.
NAMING NAMES
As for the microphones for that basic setup, I've been using a pair of good omnis overhead—usually Electro-Voice RE-55's, spread a few feet apart. They're quite flat, and give a good overall sound to the drums. There's no leakage problem here: the drums are making plenty of noise, and the mics are mixed in at rather low level—just enough to catch the upper cymbals, and create some "space."
For snare drum, I've been using the AKG 452. The 452 is the same as the better known 451, except that it's wired for 48 volts, making it electrically compatible with the Neumann phantom power supply. And, with all the accessory gadgets that are readily available for this microphone (right angle swivels, extension tubes between capsule and preamp, etc.) it's great for reaching into tight spots without getting in the musician's way. I've used the omni capsule, due to the close working distances, and for all-around uniform response.
To mic the floor tom tom, I've used the Electro-Voice RE-15. It's got a good low end, and the off-axis response is excellent, so the rest of the drums do not sound muddy. Good off-axis response is an important consideration for any drum mic. No matter where the mic is pointed, it will certainly pick up other parts of the drum set too. A poor off-axis response will degrade the total drum sound—I guess that's why I use so many omnis.
For the bass drum, I'm now using a Shure SM-57. Here, the proximity effect can be used to advantage, and the fall-off in high end response off axis may help to minimize some of the leakage from cymbals and snare.
Now that I've mentioned the unmentionables, I should say that anyone who runs out and buys these microphones does so at his peril. These mics work well for me, under the conditions I usually find prevailing. Of course, you would have to know a lot about the studios in which I work, the musicians, the arrangers, and the type of music being recorded. In short, it would take a book to fully explain all the conditions that dictate the use of the microphones I've just mentioned. And every other engineer in town could write a book explaining why that choice was just about the dumbest collection of mis-used mics in the history of the recording industry. So, do your own experimenting, whenever and wherever possible.
The same perfectionist attitude that's in our most expensive microphones sets the pace for all AKG mikes. Some of them are so unique they're patented. Like the special AKG "two-way" dynamic microphones. They combine two microphone elements in one housing. You get improved highs and lows without the "booming" proximity effect. And virtually no feedback.
Another is the C-451 condenser microphone system. It is the only interchangeable component microphone system in the world. You can attach six different microphone modules for different recording functions on one compact preamplifier. You save on costs. You get versatility and high performance.
AKG even makes a condenser microphone—the C-24.
This single microphone can record an entire symphony orchestra in stereo.
Rock mikes? We have a range and variety that every artist will find palatable. Home recording, P.A., country and folk music, special purposes—there's even an AKG guitar pickup ... and they all capture the exact sound any given situation generates.
Expect a lot from AKG microphones. They have the family reputation to live up to. See your professional equipment supplier. Or write to us directly for details.
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As every reader of this magazine knows, audio reproduction involves every link in a chain. And like any chain, it is no stronger than its weakest link. That is an overworn cliche—and I dislike cliches—but it happens to apply here. For several decades now, I have watched audio people spend fortunes to make amplifiers, and every other electronic link in the chain, as efficient as possible.
For a long while, not too much seemed to be done about microphones and loudspeakers, but in recent years many innovations have been made, so that there is no longer any reason why either of them should be the weak link. However, they sometimes are, for reasons we discussed at some length during the workshop at Brigham Young University. But there is an even stronger claimant for the position of weakest link: the acoustics of the room itself, or the rooms themselves, where more than one is involved.
It seems that most people are looking for simplistic (where did that word come from—I did not know it till I worked in educational circles—what's wrong with just plain "simple") answers. Frequency response is usually regarded as the most important parameter of everything from the microphone through all the electronic equipment to the loudspeaker, and most people at least realize, by now, that what happens before the direct microphone input or after the loudspeaker output can make a difference.
This is usually addressed, to parody one of our simplistic, blank-faced comedians such as Jackie Vernon, by asking, "Has anyone thought about the frequency response of the room?" The implication seems to be that a room has a simple frequency response, just like any electronic part of the system. That kind of comment reminds me of the story of the accountants who had nicely balanced the books when the boss came in and asked if they had added in the date! The frequency response of a room is about as relevant to the rest of the system as the date is to dollars and cents.
Of course, you don't add the date into a column of financial figures, but you could not say that the date is not relevant to finance, either, could you? If you disagree, please tell me where I can still get a 10¢ hamburger. Or for that matter, a silver dime for 10¢? The frequency response of the room, while not part of the reproduction system, is significant.
How do you take the frequency response of a room? To simplify things a little, let us suppose that we have loudspeaker, and flawless electronics to a perfect microphone and perfect loudspeaker, and flawless electronics go with them. The microphone and speaker were checked out in a perfect anechoic chamber and were presented...
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WHITE NOISE VS. PINK NOISE
Now we hear whisperings about "white noise," and "pink noise," and "real time analyzers," with references to a name we seem to have heard before. Don Davis. One fellow, after finding that he is not alone in not knowing the difference between white and pink noise, asks. Surprisingly almost everyone seems hazy about that and, even after considerable discussion, we find people using the terms differently. So I can only tell you how I understand those terms: someone else may define them differently!
Noise is due to random events, usually the random movement of charges at a microscopic level, that are amplified to form a sound source. In white noise, the random content averages the same energy content in the same number of cycles bandwidth, at any frequency in the spectrum. Thus the hundred cycles from 10,000 Hz to 10,100 Hz will contain 10 times as much energy as the hundred cycles from 1,000 Hz to 1,100 Hz, if it is white noise.
To disappoint some of our conservative friends, pink noise is not white noise, after bouncing it off the Kremlin! If it were, the outside paintwork of the Kremlin would be priceless. Pink noise is formed by passing white noise through an electronic weighting network that de-emphasizes the higher
What 'GENUINE' Swiss Performance really is...
The current STUDER A80.
WOW and FLUTTER—0.06% peak wtd. measured per DIN 45507, ANSI S4.3-1972 (approx. 0.04% RMS) @ 15"/sec.
DISTORTION—< 1% total harmonic @ 200 nWb/m tape fluxivity, NAB-15"/sec (note: this is mainly 3rd harmonic and is a function of the tape itself; 2nd harmonic distortion typically 0.1% at 10 dB ABOVE operating level)
STARTING TIME—< 0.5 sec to 0.1% FLUTTER for all tape widths (note: start time considerably less if start is made from EDIT mode.)
ERASURE—approx. 85 dB @ 1 kHz
HEAD LIFE—extremely long due to use of "VACODUR" an alloy so hard it must be cast and ground but is magnetically soft and without the disadvantages normally associated with ferrite heads.
Want to know more? Contact...
WILLI STUDER AMERICA, INC., 3916 Broadway, Buffalo, New York 14227—phone 716 681-5450
(In Canada: WILLI STUDER CANADA LIMITED, Toronto—416 423-2831) for the name of our representative nearest you.
WILLI STUDER AMERICA
frequency content. To be truly pink, the energy distribution should be such that, for example, the band from 100 to 110 Hz, that from 1,000 to 1,100 Hz, and that from 10,000 and 11,000 Hz, each contain the same amount of noise energy.
White noise contains so much energy per cycle. Pink noise contains so much energy per octave. White noise, passed through a network that has a downward slope of 3 dB/octave through the whole audio spectrum comes out as pink noise.
The reason that noise is used to measure acoustic properties is that it contains all audible frequencies, randomly assorted. Over time, the frequency content is such that all frequencies within the audio range issue from the loudspeaker at a uniformly average level, but none of them is steadily maintained so as to excite standing waves.
To measure frequency response then, we just put in noise, white or pink, according to what you want to measure, and then analyze the output to see what is still the noise, and in what relative intensity. Thus, if we use pink noise because a flat frequency response with uniform energy per octave is what we want, we analyze what comes out in appropriate bandwidths, which could be octave, half-octave, third-octave, tenth-octave, or whatever.
**NO BANDWIDTH, NO NOISE!**
There, for a start, is a difference: noise does not have a specific frequency. If you allow only one frequency, zero cycles bandwidth, you can have no noise energy at all because the noise energy, of either type, is measured per cycle or per octave, something that designates a bandwidth. Thus it should be fairly obvious, no bandwidth, no noise!
The only thing that can get through a theoretical zero width filter is just that frequency, at steady level, like a sine wave. If the level fluctuates at all, as it inherently does with noise, then more than one frequency is present, because fluctuating amplitude is amplitude modulation, which is made up of the main frequency, called a carrier in radio, and side-bands, determined by the rate of amplitude fluctuation.
From there, we find different ways that the measurement can be made, in regard to just the electronic part. You can feed complete pink noise into the loudspeaker, pick up whatever reaches the microphone, and analyze it with, say, third octave filters. There are $3\frac{1}{3}$ octaves to a decade, which means there will be 10 third octave bands in a decade: 10 from 20 to 200 hertz, 10 from 200 to 2,000 hertz, and 10 from 2,000 to 20,000 hertz.
So that divides the audio spectrum, from 20 hertz to 20 kilohertz, into 30 tenth octave bands. You feed the amplified output from the microphone to a set of these filters and then scan the filters to see how the energy is distributed among the 30 bands as it comes back to the microphone.
Such an analyzer is called a *real time analyzer*, because time is involved in making such a measurement. When your signal is a sine wave of single frequency, the wave has an instantaneous and continuous amplitude. If the sine wave has, say, 1 volt peak, then every cycle will have an amplitude of 1 volt, quite regularly. All you need, to measure it, is to have enough of a cycle to be able to identify a peak.
But when you use noise, you are faced with an energy/bandwidth situation. In zero time, or in zero bandwidth, as we have already pointed out, there can be zero noise. To measure any noise present, we must have a finite bandwidth, such as a third of an octave, and we must take some time to pick up energy within that bandwidth.
So a real time analyzer takes the signal and separates it by bandwidths, storing elements of noise that fall in the slot provided by each filter. Then a sampling circuit scans each filter output to see how much it has picked up in the time between samplings.
**TWO WAYS TO SCAN FILTER OUTPUTS**
There are two ways this can be done. One way is to feed the whole noise spectrum into the room, all of the time amplifying and analyzing the whole noise spectrum reaching the microphone. Or else, the noise may be separated into bands at the outset and each band given so much time, in succession, into the loudspeaker, while what comes back is measured.
With the first way, all the frequencies are in the room at the same time: a complete pink noise. These frequencies are separated, by their hands after they have negotiated the room's acoustics and come back to the microphone. With the other way, only noise within one band comes from the loudspeaker at any given instant, for whatever duration is needed to sample that band.
There is some discussion about which is the better way. The proponents of the second way argue that if the original components emitted by the speaker produce byproducts different from those radiated, such as by intermodulation, then those byproducts will be classified according to the frequencies at which they come back, not according to the frequencies that stimulated them.
On the other hand, if the speaker is emitting only noise in one narrow band at any instant, the sound in one band will still be traveling round the room, from loudspeaker to microphone, when the next band starts out from the loudspeaker. Thus there is inevitably a time spill-over from each band to the next. Unless steps are taken to reject "late returns," this can invalidate readings probably to as great an extent as the first method.
As time is involved in measuring, or collecting the contents of each band, we favor the use of full band from the loudspeakers, receiving full band at the microphone, and only then submitting it to the real time analyzer. This means that all bands are being monitored, virtually all the time, although they are sampled in sequence, as a rule.
This discussion turned out to be longer than I expected when I started, although the time spent discussing it in the workshop should have warned me. So we will have to continue this another month.
PROFESSIONAL MIXERS FROM INTERFACE ELECTRONICS
Model 8X4-100 Series 100 portable eight-input four track mixer shown at left includes track switching, echo send, equalizing, pan pot, conductive plastic sliders, VU meters, and options including interchangeable modules (see right), internal reverb. Used for remote or small studio recording on up to four tracks; mixdowns of up to eight tracks, small sound systems (with up to four speakers), stage monitoring, production work. The Series 100 also comes in 16 and 24 input mainframes.
Shown below: the Model 24X8 Series 300 mixer in 24C8 console, a 24 input eight track mixer with pushbutton track switching, multifrequency equalizing, echo send, pan pot, cue/solo, 6" conductive plastic sliders, monitor mixdowns, masters, VU's, talk/slate, module outputs fully wired and ready to operate. Also available in 16 and 30 input mainframes. Used for studio recording up to eight tracks (more using module outputs,) mixdown of up to 24 tracks, also suitable for large sound systems, wherein the track masters may be used for submasters and the mixdowns used to give one or two grand masters.
SERIES 100 four track mainframes are fully wired with input and output connectors, power supply, VU meters, and masters, for Series 100 plug-in modules ased below, in the Model 8X4 shown at left, also in the 16X4 and 24X4, which are folded aluminum or steel console or trunk mounting. Modules include:
**Model 100D**—Basic module with track switching, pan pot, echo send, high and low equalizers, high and low rolloffs, solo switch, six attenuation gain set switch with input pad, line/mike switch.
**Module 100B**—Similar to the model 100D but with three equalizers with a choice of three frequencies on each.
**Model 100C**—Basic module with 40 db compressor with high to low compression ratio to ride gain on varying signal to "hold constant record level, includes equalizers, track switching, gain set pot, slider, echo send.
**Models 100CQ and 100CG**—Single input modules with cue/solo pad between the four tracks, CO also has compression as above.
**Model 100R**—Combination sound-system and stage monitor module feeds stereo sound system through pan pots plus independent monitor feed to monitor busses plus echo send, equalizer.
**Model 100J**—Stage monitor module provides eight monitor sends from each input plus three equalizers with a choice of frequency on each, rolloffs, gain set switch with input pad position, line/mike switch, mute.
**Model 100Q**—high-level four-input module with level, cue switch, four-way pan, for feeding stage or back inputs.
SERIES 200 two track stereo mixers come in standard 8 x 2 portable two track pan pot mixer with Baxendall equalizers, echo send, conductive plastic sliders, setup oscillator, master and VU meters; can be slaved to give 16 or more inputs, also nicad battery option. 16 or 24 input versions on special order.
SERIES 300 offers eight track 16 and 24 input fully wired mainframes with power and XLR type input and output connectors, plug-in input modules (not exclusive) pushbutton track selection, pan pot, echo send, cue (which doubles as solo, only solo), three octave-wide peaking boost or cut equalizers with a choice of three frequencies on each, adjustable input gain and attenuation, line/mike switch, and a six inch conductive plastic slider. Each module is provided with balanced 200 ohm mike input and bridging single ended line input, as well as module output. Using module outputs, more than eight tracks can be fed. The full range of modules also includes masters and setup oscillator on the output module, and up to three mix-down-monitor modules with automatic transfer from cue to monitor if desired, and mix down-mute switch. A talk-slate module includes slate track select and talkback/slate microphone.
ALL INTERFACE ELECTRONICS mixers are capable of performance comparable to the finest professional equipment, and insure reliability through use of plug-in integrated circuits, plug-in modules, conductive plastic sliders, gold plated card and IC connectors, tantalum or computer-grade condensers.
COMMON SPECIFICATIONS FREQUENCY RESPONSE:
± 1 db @ 20-20,000 Hz
EQUALIZING:
± 12 db at specified frequencies
DISTORTION:
less than 0.1% THD @ 400 Hz. + 3 VU
NOISE:
less than 0.6 microvolts equiv. input
INPUTS:
MIKE: 200 ohms balanced, XLR type connector max. level 0.5 volts RMS max. level 5 volts with int. pad
LINE: 1K unbalanced phone plug
OUTPUTS:
TRACK: Approx. 1 volt RMS at zero VU unbalanced, to not less than 600 ohms, XLR connector
ECHO: same as track, but phone plug
ECHO RETURNS:
1 volt RMS into 5K required, phone plug
Circle 32 on Reader Service Card
Since we started discussing the 16mm film projector, back in August of last year when we mentioned how to take care of the projector, we have received a tremendous amount of mail related to this subject. In March of this year we printed a letter from a reader who shared his experience and knowledge of the subject. In June, 1974, we mentioned a projector which was a double system unit. In August of this year we again printed a letter from a reader who shared knowledge with the rest of us. In this column we are again going to quote some of the correspondence we received on the same subject.
This letter is from Kay Kibby, Advertising Manager of W. A. Palmer Films, Inc., San Francisco.
The German-made Siemens projector described by Mr. Dickstein is a unit which was first marketed some fifteen years ago and has not been manufactured for about three years. At that time, Siemens turned over their projector manufacturing rights for this machine to the Bauer Co. Bauer, in turn, rather than continue to manufacture the somewhat antiquated design of sound transport, redesigned the unit and now markets an improved machine under two different labels, their own brand, Bauer, and Sonorex, represented by the Arriflex Company.
We would like to call your attention to the American-made Palmer Interlock Projector which performs essentially the same functions as the Siemens and has been on the market for some nine years. We think the Palmer projector is easier to thread and less likely to damage film or sound track during running than its German rivals. It also has excellent recording and playback performance: 50 to 15,000 Hz plus or minus 2 dB and Peak Flutter (ANSI S 4.3-1972) plus or minus .1 percent.
The Palmer Interlock Projector also is powered by a synchronous motor, a vital feature for transferring sound from ¼-inch tape recorders with sync tone to full coated magnetic film.
We are enclosing a new product release and specifications describing our latest models, which should be of interest to your readers. They feature an innovation, Dynamic Sync Control, a Palmer exclusive which permits picture and sound track relationship to be adjusted while the projector is running.
Our sincere thanks to Kay Kibby. What follows is the release on the Palmer Projector:
PALMER SYNC CONTROL FOR DOUBLE SYSTEM PROJECTORS
A new line of interlock projectors makes film editing and previewing easier according to the manufacturer. W. A. Palmer Films, Inc. of San Francisco. Designed for double system running of picture and separate 16mm magnetic track, the projectors combine the Palmer magnetic film transport with a Singer Model 1020 projector.
The new models feature Dynamic Sync Control—an innovation which permits picture and sound track relationship to be shifted in either direction while the projector is running. This is particularly valuable when editing "lip sync" film, according to the company. Other standard projector features include synchronous motor, single lever forward and reverse operation, horizontal tilt control, 2-level projection lamp, and Kodak Ektarlan projection lens for bright, sharp pictures. Made in the United States, the projectors are portable, easy to operate, and gentle on all kinds of film.
Four models provide various playback and recording combinations. A special solid state record amplifier comes with recording models. The amplifier unit is built into a compact base cabinet—and turns the interlock projector into a professional-quality 16mm recorder. The amplifier unit is also available as a separate item.
Palmer Interlock Projectors were first introduced in 1965, and are now in use throughout the world. Prices for the new models range from $2,730 for Model PGPS-2 Magnetic/Optical Interlock for playback to $4,120 for Model PGSS-3 Dual/Magnetic/Optical Interlock for recording, transfers and playback.
A PREAMP POSSIBILITY
As long as we're on the subject, here's a letter from a reader who would like to get some help in improving his projection sound system. Our thanks to Bob Baer. Following the letter, we'll remind you of some upcoming events.
I own an RCA model 400 16mm sound projector. It's the junior model, which means the amplifier is only seven watts.
I only use the preamp section and then go into my own equalization circuit which is followed by a line amp section and then finally followed by a Heathkit W4-M power amplifier. The final result is a nice sound, but it's somewhat noisy. I know 16mm optical film has a poor frequency response, but then again so does cassette tape.
I was wondering if you could supply me with a schematic of what
would be in your opinion a satisfactory preamp for reproducing 16mm sound. If this is not possible, could you refer me to a publication that would have such an item?
The preamp circuit I'm using now I got out of the Audio Encyclopedia, page 267. It's the cathode equalizer circuit which, as I said before, is crude but adequate.
We should like to hear from all readers who can help Mr. Baer; we will publish letters and diagrams as they arrive. It's a great chance to get some ideas exchanged, and perhaps we will, in a near future issue, include specs and information on some models which come with factory incorporated preamp outputs for this purpose as well as presenting some ideas for outboard preamps which some of you may have already used successfully. We'll also listen to you if you took the preamp output of the projector amplifier (which did not come with a provided plug or receptacle) and matched it to another mixer input for feeding through a sound system. All ideas are welcome and will be reviewed and read. Once again, thanks to Mr. Bob Baer for asking.
Two upcoming conventions we suggest you make plans for are the 116th SMPTE Technical Conference and Equipment Exhibit, November 10-15, 1974 at the Four Seasons Sheraton, Toronto, Canada, and the 36th Annual National Audio Visual Convention and Exhibit, January 9-13, 1975 at the Las Vegas Convention Center. Nothing like being forewarned, we always say. For further details, the SMPTE is in Scarsdale, N.Y., and the NAVA can be found in Fairfax, Va. Please tell them you saw it here.
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**ENERGY MANAGEMENT:**
We would like to tell you how Energy Management can help maintain your company's profitability. Send for your "How to" booklet and we will send you something else: "33 Money-Saving Ways to Conserve Energy in Your Business."
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**LONDON PACKAGE DEAL**
Getting back to that missing A.E.S. convention report, there's another convention coming up. March 4, 5, 6, in LONDON. A package trip is in the works, and it will include round-trip air fare from New York City, a room at the convention hotel, and continental breakfasts. Departure will be on Saturday evening, March 1, with the return to New York on Sunday, March 8. The price will be about $430, give or take a few bucks. Complete details will be in the next issue, but it's not too early to start drooling about it right now. As an added benefit, the editors of db will be on board, so it offers an unprecedented opportunity to tell them exactly what's wrong with the magazine for as long as it takes to get to London. Think about that, boys and girls!
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**Reel-to-reel...for real**
Exciting things are happening in the reel-to-reel market. And it's all caused by a new machine called the ITC 850 Series. Here is the result of a long series of consultations with broadcasters to determine what they most desired in a reel-to-reel machine. Then we added a few innovations of our own. Truly, the 850 Series is equipment designed specifically with the professional broadcaster in mind. Some 850 features: motion sensing, multi-function edit mode, super quiet operation, automatic tape lifters, TTL logic circuitry, capability of handling dissimilar size reels. . .and more too numerous to mention here. If you're in the market for something new and vastly improved in reel-to-reel, a collect call to us will reveal an interesting story that you may have been waiting to hear. Make the real move to reel-to-reel. . .ITC. Collect number 309-828-1381.
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**INTERNATIONAL TAPETRONICS CORPORATION**
2425 South Main Street • Bloomington, Illinois 61701
Marketed exclusively in Canada by McCurdy Radio Industries Ltd., Toronto
Circle 30 on Reader Service Card
Economic Future for the Professional Audio Industry
With economic pundits making dire predictions for the future of general business conditions, it might be a good time for the audio industry to think ahead and try to see what the future holds for us.
A recent seminar held by the Owen-Corning Fiberglas Corporation, while focused on the homefurnishings industry, shed light on some interesting figures which also bear significantly on our particular segment of the economy since so much of our ultimate product is basically consumer oriented.
It is projected that during the nineteen-seventies the nation’s population would grow only 13 percent, but that the number of people between the ages of 20 and 34 would increase nearly 40 percent. Reflecting the fact that this span is the prime period for marriages, it follows that the next few years will see a burgeoning of new households: it is estimated that in 1980, 2.5 million marriages will occur, an increase of .5 million over this year. Added to that is the trend for young single people to establish their own homes.
Not only will the number of homes increase, but the spending power of the young householders will also rise. One factor is the decrease in the birth rate; smaller families have a larger share of income available to spend on discretionary purchases, such as home entertainment units. Many of these families will have two incomes; the proportion of married women who work is now 40 percent, with the number growing. The resultant income has lifted the number of families with incomes in excess of $15,000, the amount necessary under present conditions to provide leeway for luxuries, to 22 percent of all families, or about 12 million. It is estimated that discretionary income, above $15,000 per family, will top $200 billion, or 23 percent of total income.
Among the items that will be vying for this surplus money are the components for home entertainment: t.v. sets and more sophisticated sound equipment, tapes, and recordings. In fact, budget-harried families now are forming stay-at-home habits because they cannot afford expensive outside entertainment; this trend may well lead to the purchase of the equipment which increases their enjoyment of evenings at home.
All of this forms a rather bright prognosis for the consumer audio field. And it follows that professional audio, feeding into consumer products, will also feel an intensification of demand. So, although the economic atmosphere seems uncertain right now, it is likely that as the inflationary spiral, hopefully, eases in the second half of 1975, newly released discretionary funds in the hands of these young families will commence to flow into those consumer products which ultimately receive professional services and thence to the benefit of the entire professional audio industry.
AUXILIARY HIGH FREQUENCY SPEAKER
- The frequency range of the Vocal Master sound system, (VA300-S or VA 301-S) from the same manufacturer, may be extended by high frequency speaker model VA305-HF to 18,000 Hz, providing true high fidelity response for vocal and high frequency instrumental reproduction. It is also suitable for the reinforcement of full-range musical material. The accessory speaker, designed to be placed on top of the Vocal Master column, uses twin horn-loaded, high-frequency dome drivers and an integral 5 kHz crossover network intended to be connected in parallel with the Vocal Master speaker column; up to three VA305-HF speakers may be used in combination with the speaker column with each main amplifier.
Mfr: Shure Brothers, Inc.
Price: $119.50
Circle 40 on Reader Service Card
MODULAR CONTROL CONSOLE
- Designed to be used for either fixed or remote recording as a production or on-the-air console, model 1604 will accommodate 16 inputs, 4 echo channels, 2 foldback circuits, 4 output channels, 4 submasters, 4 speaker monitoring, slate, tone, and intercom circuits, and audition and cue facilities. These include the necessary foldback, audition, intercom and program interlock features for broadcast application. Model 1604 may be equipped with factory pre-wired options at any time, adding remote control of tape machines and turntables, or remote input pre-selection. Tabletop mounted or free standing, with plug-in external connections. A variety of interchangeable modular equalizers is available.
Mfr: Automated Processes, Inc.
Circle 42 on Reader Service Card
DIGITAL DELAY SYSTEM
- Featuring a 90 dB dynamic range, Delta T model 102 series digital delay system has up to five delay outputs, each independently adjustable on the front panel. Additional slave units (up to 50 outputs) may be cascaded for long delay requirements with no degradation of audio output. The system offers up to 320 ms. of total delay per main frame in 5 ms. increments in 40 ms. modules (or up to 128 ms. delay per main frame in 2 ms. increments in 16 ms. modules). A five-position l.e.d. headroom indicator verifies correct operating settings. Transformer coupled inputs and outputs are standard. Modular options are available for expansion.
Mfr: Lexicon, Inc.
Circle 44 on Reader Service Card
VERSATILE LIMITER
- A wide range of limiting or compression needs can be filled by model 201 average and peak responding limiter, including applications in studio recording, mastering, broadcast, film, and sound reinforcement. The average level and peak limiting functions operate simultaneously and independently. Front-panel controls are provided for all functions, including variable attack/release time and response action. The limiter features an open-loop control approach and distortion-reducing circuitry.
Mfr: Inovonics, Inc.
Price: $480.
Circle 41 on Reader Service Card
DUPLICATOR WORK MASTER RECORDER
- A shifting head assembly on model 511 eight-track, one-inch recorder eliminates the need to use a conventional eight-track studio recorder for duplicator work master production. In addition to the eight-track two channel shifting head assembly, the unit is comprised of two single channel reproduce/record amplifiers, and a 7½-15 i.p.s. transport. Circuitry is solid-state. The recorder is available either as a cabinet top model or as a floor console unit.
Mfr: Audio/Tek Inc.
Price: Table top: $4,850.
Floor console: $4,950.
Circle 43 on Reader Service Card
OPERATIONAL POWER AMPLIFIER
- Repairable d.c. operational power amplifier model 433 may be used as a medium audio power (16 watts peak continuous program) amplifier as well as an earphone monitor or servo. Capable of 4 watts rms at a total harmonic distortion of 0.5 percent, it features a plug-in semiconductor and i.c. repairability. The device measures 1 x 3 x 2 inches on a ¼ inch anodized aluminum heat sink.
Mfr: Opamp Labs, Inc.
Price: $35.00 (1-99)
$30.00 (110-999)
Circle 45 on Reader Service Card
SERIES SEQUENCER
- The ability to quantize-digitize pitch, permutate, retrograde, and initiate multiple envelopes within a single note is claimed for model 400 modular series sequencer, which features voltage controlled envelope generators. Simultaneous independent control of pitch, timbre and loudness is also possible on every note of a sequence; envelope accents can be produced at any stage of a sequence. The basic sequencer is a 16 stage by 3 control voltages per stage unit, equipped with a voltage control clock, logizers, gated trigger, power supply, input and output jacks, and the quantizer unit. Any number of 16 x 3 program panels, (the manufacturer's model 416) may be added to the basic sequencer unit to increase its length and/or depth. An additional module, model 401, with further capability including two voltage controlled audio oscillators, can be added to basic model 400.
Mfr: Electronic Music Laboratories, Inc.
Circle 46 on Reader Service Card
DIGITAL LOCK SYSTEM
- Designed as an integral part of the manufacturer's 742 cartridge winder, the Digital Lock System avoids false cuts by discriminating as close as ½ Hz from the designated cue tone frequency, regardless of recorded levels. The principle behind digital lock is the matching of "signature keys," the cue tone and a pre-set tone; the meeting of these two unlocks and activates the stop-cut-eject sequence of the winder. It can be optionally equipped to react to pure silence, the absence of program material. In addition, it can be modified to permit the detection of encoded information as well as the basic cue tone. Controls on the 742 winder allow for independent setting of high pass and low pass cue frequencies from 3 Hz to 50 Hz. Adjustment is also provided to select the length of cue tone and the immunity to distorted wave forms. The system has a built-in safety feature which automatically stops the winder if a cue tone is missing or distorted beyond recognition.
Mfr: Technicals, Inc.
(Audimation, Inc.)
Circle 47 on Reader Service Card
TELEVISION AUDIO CONSOLE
- Built to the specifications of television engineers, state-of-the-art model 1632 is also adaptable for use in a.m. and f.m. monaural broadcasting. Four inputs per mixing channel provide a total of 64 inputs. There are two monitor output channels for separate studio and control room monitoring with muting relays, a headphone output from the control room monitor, a cue channel with built-in speaker, talkback facilities for two studios with built-in mic, and slide-wire attenuators and illuminated pushbutton switching. Model 1632 also features equalized reverb send and return facilities. The unit uses all solid-state i.c.-op amp electronics on plug-in p.c. boards. It has an aluminum cabinet. A number of optional features are available, which can be easily added to the basic unit.
Mfr: Robins/Fairchild
Price: $9,995.
Circle 48 on Reader Service Card
TURNTABLE PRE-AMP
- A phase reversal switch on one channel that allows five modes of operation—mono in/mono out, stereo in/mono out, stereo in/stereo out, dual channel mono in/dual channel mono out, and single channel mono in/dual channel mono out is a notable feature on Spotmaster model BE TMS turntable pre-amplifier. The BE TMS has an output level switchable between -10.0, and +8 dBm into a nominal 600 ohm load. Transformer coupled output is available as an option. Gain of the pre-amp is 54 dB at 1 kHz and frequency response is ±2 dB, 30 Hz to 15 kHz (RIAA) NAB. Also featured are channel separation better than 50 dB and distortion less than 0.5 percent at +8 dBm. Controls monitor power, left and right channel gain, mono/stereo selection and right channel phase reversal.
Mfr: Broadcast Electronics, Inc.
Circle 49 on Reader Service Card
AUTOMATIC ONE-HAND SOLDERING
- Jigging and clamping, necessary for precision soldering, can be eliminated, with the components hand-held, with the use of the Freehand Industrial Solder Feeder, a one-handed device which features automatic, motor-driven feeding of solder through a universally adjustable feed tube directly to the iron's tip. Actuated by a floor pedal, the unit feeds from as much as a five-pound spool of solder mounted on the motor housing. Interchangeable drive units allow use of all sizes of solder with the same basic feeding unit. Pre-soldering of terminals and repetitive parts handling is also eliminated because leads can be tinned and soldered in one operation. It is claimed that the device permits quicker, individual positioning of additional solder for desoldering. Constructed of 16-gauge aluminum, the unit includes an off-on power switch, a pilot light, and grounded receptacle.
Mfr: Schurman Products, Inc.
Price: $140.00.
Circle 50 on Reader Service Card
SOUND LEVEL RECORDER
- Continuous monitoring and permanent recording of sound pressure levels as a function of time is accomplished with the db-402 sound level meter-strip chart recorder system. This is achieved, without constant operator surveillance, over a 50 dB dynamic range, with data presented in a linear wide four inch chart format. Selection of six amplitude ranges, each 50 dB wide, over the input range of 35 to 130 dB allows continuous recording of most signals without adjusting the range switch. The device, which weighs eight pounds, is completely portable.
Mfr: Metrosonics, Inc.
Circle 51 on Reader Service Card
UNIVERSAL ELECTRONIC COUNTER
- Model 7026 electronic counter, with a bright .55-inch planar readout visible at a distance of several feet, offers a total display range of 1 to 1999999, a frequency range of 5Hz to 50 mHz, and is guaranteed accurate to ±1 count. It's engineered for line voltage operation with a power requirement of 117/234VAC, ± 10 percent, 50-60 Hz, approximately 25 watts, and has an operating temperature range from -40 degrees C. to +70 degrees C. The sample rate is continuously adjustable from five readings per second to hold. Hold input on an optional rear panel connector provides sampling by either contact closure or external potentiometer with display storage being selectable by rear panel switch.
Mfr: Simpson Electric Company
Circle 52 on Reader Service Card
RECORD/PLAYBACK EQUALIZER
- Model RP2212 equalizer may be plugged into any receiver or preamp providing tape monitor inputs and outputs or it can function through its own tape monitor inputs and outputs with front panel pushbutton selection. Four l.c.d.s provide a visual front panel display for balancing input to output signal ratios. Front panel pushbutton selection also provides either an equalized or unequalized output for speaker/room equalization or equalized tape recording; separate outputs are provided for tape recorder and amplifier hook-up. The unit incorporates two completely separate ten-octave equalization panels, with plus or minus 12 dB boost and cut provided individually for each octave. Separate equalized signal zero-gain controls are used for each channel, enabling exact balancing of input to output with a +6 dB and -12 dB range.
Mfr: Soundcraftsmen
Price: $349.50
Circle 53 on Reader Service Card
IT'S COMPACT
IT'S VERSATILE
...It's priced under $2470
...It's the MICROMIXER
(MONO OR STEREO)
GATELY ELECTRONICS, Inc.
57 West Hillcrest Ave.
Havertown, Penna. 19083
Nashville, Tenn. 37203
215 - 449-2400
615-227-1746
Circle 18 on Reader Service Card
www.americanradiohistory.com
A very rugged tape recorder for a very delicate business
Ampex designed the MM-1100 multi-channel tape recorder with your business in mind. We've been building professional recorders longer than anyone else, and we've learned that producers, engineers, and studio operators have a lot to worry about. So we build the one piece of equipment you can plug in and forget.
Coddle your talent, if you must, but shove around your MM-1100. That's right, shove it around. That's why we put wheels on the MM-1100. Dolly it from studio to studio, or truck it across town. The heavy cast frame and solid steel cabinetwork will keep all the little parts and things where they belong, and the only "installation" routine you'll go through is to plug in the power and input lines.
Pinch your pennies, hoard your dollars, but squander your discrete channels. One MM-1100 can give you 24 tracks. Two of them hooked up together with a synchronizer will give you 46 channels. That's enough to mike your setup for left-and-right running water, if you want it that way. And with all that channel capacity, you can save plenty of channels for sweetening, later additions, and a last-minute background by a hundred voice choir.
Three heads are better than one when you can change them yourself. Ampex makes 24-channel, 16-channel, and 8-channel head assemblies for the MM-1100, and changing them is as easy as turning one thumb screw and swapping units. Touch up the equalization and get on with the session. No need to worry about tape tension adjustments because that's all done automatically by the MM-1100 transport mechanism.
Never enough time, never enough tape. But we handle a 16" reel of two-inch easily. The tape transport in the MM-1100 is a real grizzly bear. It has plenty of control power, even when the reel is a sixteen-incher loaded with 2" tape. And even with all that mass to control, the capstan servo zeroes in on synchronizer commands fast enough to use two MM-1100s in parallel for the 46-channel stuff you always wanted to try.
Your maintenance guy can work banker's hours because our "doctor" makes house calls. Ampex field service sells a lot of equipment for us. We build a fantastic machine, and it almost never develops a problem. If it does, however, you'll appreciate our policy of having service engineers who know both our product and your industry. They're available to keep your group together and working.
The business gives you a headache; Ampex gives you a tape you can sell. Full technical specifications are in our MM-1100 brochure, which we'll be glad to send you free. Working models are in studios all around you, and if you don't have a friend who'll let you inspect his MM-1100, we'll arrange a demonstration. In fact, we'll do anything we can to get you rolling in the multi-track business, if you'll just tell us how we can help.
In a delicate business like production recording, there just isn't any substitute for the Ampex MM-1100—a very rugged tape recorder.
Professional Sound Recording
A British View – part 1
The present and future of the commercial recording industry, as seen by the Assistant Editor of Wireless World magazine.
No doubt that music and commercialism go hand in hand, but this commercialism has led to the vast industry involved with sound recording. The growth of pop music over the last two decades has made more resources available to development engineers. And, there have been new demands made on equipment from discerning recording engineers and artists. The result has been more money, better performance and more facilities.
Recording complexities have been built up at such an incredible rate that it has become necessary to reconsider the industry as a whole, to ask why or if complexity is necessary and how simplification is possible. My purpose here is to provide a unified view of the developing recording industry, to show how demands from engineers and artists have led to changes in recording techniques, and to reveal the influence this has had and will have on equipment performance and the facilities deemed necessary to produce a sound recording of the highest quality.
An idea of the resources necessary to equip a large sound studio is provided by a contract recently received by Rupert Neve and Company to supply six recording consoles to the world-wide operations of EMI. The consoles have a total value of over $625,000!
WHY EQUIPMENT COSTS RISE
The main reason for the growth in equipment cost has been the development of multi-track recording from 2 tracks to 4 to 16 and now 24 tracks, with 32 forthcoming. The pop world has been the chief cause because the final product is more dependent on intermediate electronic processing than the original sound. So that this processing can be performed with the most flexible control over the finished product, it is necessary to separate the information to be recorded as much as possible. Close miking techniques can provide a multi-track tape with one instrument or sound source per track with good separation and all easily accessible for processing.
Commercialism again plays a major part in this type of facility being commonplace. If a recording artist appears at a studio and asks for 24-track facilities—necessary or not—and they are not available, he will take his money elsewhere. Fortunately, this type of demand and supply has not lowered equipment performance. Specifications of professional equipment are not questioned; it's the use of this equipment and the reasons for its development which must be examined.
Future possibilities are staggering. As the cost of mini-digital computers falls to around one-fifteenth the cost of a comprehensive mixing desk alone, nothing will prevent the use of on-line computers in studios capable of being programmed to accept input from a control potentiometer and converting it to any desired control instruction. Digital equipment will become more and more a part of the recording process and in fact is already appearing in the form of automatic mixing facilities and digital delay lines.
Capabilities offered by many new devices almost point to the redundancy of the recording artist. One such device works out the fundamental frequency of an input signal and converts this to a related d.c. voltage of the particular input. You can feed this with another output voltage proportional to the input waveform average amplitude into a voltage-controlled synthesizer that's pro## CHARACTERISTICS OF TOTAL RECORDING SYSTEMS
| | Condenser pressure gradient microphone | Multi-channel sound mixing console | Channel control amplifier | Noise reduction unit | Multi-channel tape recorder (15 ips) | Disc cutter and associated amplifiers |
|--------------------------|----------------------------------------|-----------------------------------|---------------------------|----------------------|--------------------------------------|---------------------------------------|
| **Frequency response** | 30Hz - 16kHz ± 2dB | 20Hz - 20kHz ± 1dB | 15Hz - 20kHz ± 0.5dB | 30Hz - 20kHz ± 1dB (record/replay) | 60Hz - 15kHz ± 1dB | 40Hz - 16kHz ± 1dB |
| **Sensitivity** | 2mV/dyne/cm² | Adjusted between -80dBm and +10dBm | OdBm line in and out | Max input +22dBm | Recorded level settable in steps up to +8dB |
| **Distortion** | 0.5% at 128dB SPL | T.H.D. at 20dBm into 600 from any output 0.075% | mic. input +20dBm and 1kHz is 0.01% | 0.2% from 40Hz - 20kHz at +8dBm | 1% max (NAB) | 0.3% at 1kHz (cutter drive) |
| **Noise reduction** | | | 10dB from 30Hz to 5kHz rising to 15dB at 15kHz | | | |
| **Noise level** | Self-noise -17dB ref. 2 × 10⁻⁴ dyne/cm² | -80dBm residual output noise | -125dBm equiv. input noise | 62dB (s/n) (NAB) | Better than 70dB (signal to rumble) |
This table compares some of the common characteristics of a total recording system from microphone to disc. These are only intended to provide the order of magnitude of specifications of a typical professional system. The parameters shown are not necessarily the most important for the assessment of an individual piece of equipment.
---
grammed to produce the waveform characteristic of *any* predetermined instrument. The result is whatever instrument the producer cares to record, not what was played originally. Rather a far-fetched idea but indicative of the control now offered by instrumentation over signal processing.
Again, the point is that this type of facility is well within the capabilities of circuit design—it's the use of the final product which is questionable.
### MULTICHANNEL RECORDING
The essence of recording 16, 24, or even 32 tracks simultaneously is to treat the recording stage as simply an information-gathering process, concentrating purely on achieving a good signal-to-noise ratio on each tape track and not considering balance at all. If 32 microphone signals are to be condensed to a 16-track tape, some mixing will be involved, but the extent of such mixing will be minimal. Certain economic and practical advantages then follow.
Since obtaining an effective sound balance may be time consuming, deferring this process to separate mixdown (final mixing of the multitrack tape to the stereo or quad master) sessions is more economical. Reason: the musicians do not have to be paid for repeated replays. Overdubbing is now also possible in which some parts of the music are recorded separately, while musicians are fed with the already recorded sound via headphones.
This recording system demands the monitoring of sound during recording to provide an estimate of how the final stereo or quadraphonic mix will sound. An independent mixer must be provided having as many inputs as there are tracks and as many outputs as there are monitoring loudspeakers. During the recording, a trial balance may be achieved on the monitor. For this reason, stepped-level controls are often provided to facilitate logging. Where the overdub technique is employed, the input to the monitor mixing matrix consists partly of pre-recorded signal and partly of console output.
Since the multitrack technique presupposes a substantial degree of separation between musicians, a further essential provision is the "foldback" mixer, or cue mixer, to provide performers with a headphone signal enabling them to keep in time.
### MIXING AND WHAT IT ENTAILS
Mixing the signals from the master multitrack tape is performed either with the same console or, in studios, in a tape-mixing room having a console adapted specifically to this purpose.
The work of building up a good mix is lengthy and tedious, being a process of trial and error, dependent to a large extent on the engineer's memory and endurance. For this reason, attempts are being made to provide the tools for time saving, ease, and greater accuracy of operation.
The automated mixdown process is simply one in which the controls on the console are linked with voltage-controlled devices. Provision is made for logging the settings of these controls in digitally coded form. The digital code may be recorded on one of the tracks of the multitrack master tape, thus insuring an accurate synchronized store of information relating control operations to the program. By re-running the recording, individual operations may be modified by means of an updating facility.
The type of facilities available from a 16-track mixing desk would be as follows: 24 input channels, each having line and microphone inputs with comprehensive equalization and faders on each channel; eight output mixing groups (each group provides a combination of sub mixes) with remix facilities plus eight output tie lines for 16-track recording; four limiter/compressors with linking of control lines for stereo or quadraphonic operation; four equalizer units terminated on a patch panel; four reverberation groups (send and return) with pan pots and group selectors on the return lines; four foldback or cue...
groups: a four-speaker monitor system with 16-track playback to the monitor matrix; four studio playback outputs, up to 21 vu meters and pre-fade listen available on all input channels (this facility allows the operator to monitor a particular input or group prior to feeding it to the main output) plus patching and talkback facilities with pan potentiometers on all input channels and monitor tracks.
If this list were extended for 24-track recording, it's obvious that the amount of control required when all input channels are in use calls for the automation facility—not to replace or devalue the status of the recording engineer but to provide a useful memory store of all level settings and their position in time.
**AUTOMATION**
An automatic mixing facility will encompass the simultaneous recording on spare tracks of the master tape of digital control data derived from the analog signals being handled by the mixing desk. On replay, the control data resets the desk levels to produce the previously achieved audio mix. The system must be capable of being easily updated if necessary.
Control of faders can be achieved by one of two systems' (although it is believed that a completely different system will shortly appear, of which no details are available at present). The first is a servo-controlled conventional fader operated either manually, or positioned by a motor powered by a small servo amplifier. Two inputs to the servo amplifier would be a control voltage and the other a feedback control voltage to stabilize the servo system. The main advantages of this system are low noise and obvious operation, the fader knobs physically move in sympathy with the data input to the servo amplifier. Mechanical complexity and the need for a power amplifier requiring relatively high current tend to offset the advantages.
A second system uses voltage-controlled amplifiers as the faders themselves. Frowned upon in the past for their poor stability and noise performance, v.c.a.'s are now available with low inherent noise, low distortion, and high gain. An indicating system must be provided if the v.c.a. is to be used as a practical fader so that the effective position of the fader can be easily read at any time. Light-emitting diodes can be included to indicate the control voltage and hence the effective slider position. The advantages of the v.c.a. are low cost, low current requirements, a high level of stability, and a low level of complexity.
The v.c.a. circuit may not itself be complex, but the control unit must be. The fader control voltages are multiplexed and converted into a digital signal for recording on spare tracks. The control unit must then decode replayed signals, convert them back to analog form by sample and hold circuits and provide adequate timing facilities. Some form of error correcting code must also be supplied because sound recorders use tape that is inferior compared with computer tape, in that a higher level of dropout can usually be tolerated.
It will be some time before automatic mixing facilities become a common sight in recording studios. One possible problem may be the use of different methods for coding and decoding the control signals on different desks. This would mean that a tape recorder using one facility must have its final mix prepared using the same facility, and cannot be taken to another studio for the final mixdown, as sometimes occurs.
**MULTITRACK AUDIO IN VIDEO RECORDING**
Recording a video program and the associated audio signal on separate machines has this advantage: The audio tape can be handled by sound engineers using multitrack facilities until it is ready to be dubbed back on the edited video tape. The television industry has been slow to adopt this technique, although the film industry has used it for a number of years.
Problems of synchronizing separate video and audio recorders have only recently been solved by the use of an 80-bit digital code generated 30 times a second (for a 60 Hz field rate) known as the SMPTE code. The main concern of the code is to provide a means of gaining some increase in quality and flexibility of the audio portion of the program by standardization of synchronizing codes and allowing electronic editing to be applied to the audio tape.
It was necessary to develop the facility for audio tape recorders to use the code in a manner similar to that handled on vtrs. The audio machines could also be used in conjunction with the automated editing systems for post-production work. As a result, a synchronizer code-reader is necessary to compare code signals on a frame-by-frame basis and then generate an error signal to the d.c. capstan servo that is a function of the difference between any source of master code (vtr) and the audio tape recorder.
The code-reader has two functions, the first being to demodulate and decode the slave (audio recorder) serial time code, the second to display the slave or master codes for manual parking of the slave and master machines. The reader's ability to read code from 1/5 to 40 times play speed makes it a useful tool in the "search" mode. The synchronizer contains the necessary circuitry for providing a control voltage to the audio tape recorder capstan servo circuitry.
**References**
1. Curtis, M. S., "Designing an automated mixing console." *Studio Sound*, July 1973, Aug. 1973, p. 36, p. 24.
2. Nothhaft, E. M. and Irby, T. W., "Multitrack audio in video production." *JAES*, April 1973, pp. 172-176.
3. Blakely, L., "Using Noise Reduction to Reduce Disc Surface Noise." *Recording Engineer Producer*, Dec. 1973, Vol. 4, No. 6.
4. Swettenham, R. W., "Vehicles for Multitrack Sound Recording," paper presented to 47th AES Convention, Copenhagen 1974.
5. Jones, A. H. and Bellis, F. A., "Digital Stereo Sound Recorder." *Wireless World*, Sept. 1972, Vol. 78, No. 1443, pp. 432-435.
6. "Sound Recorder uses P.C.M." *Wireless World*, Nov. 1973, Vol. 79, No. 1457.
7. Sato, N., "A new type of audio magnetic tape recorder." *JAES*, Sept. 1973, Vol. 21, No. 7, pp. 542-547.
8. "It is important that everyone in your studio should read this." *APRS* publication, 1972.
"Freedom, Control & Economy."
The Orban/Parasound Parametric Equalizer, Model 621 costs just $299/channel in the two-channel format. Yet it offers important features which its more expensive competitors lack. Up to 16dB boost is available, and the cut goes all the way to minus infinity. This, in addition to the availability of four totally non-interacting bands, means that the same equalizer can be used for simultaneous broadband equalization and notch filtering in recording, cinema, broadcast, or sound reinforcement. We have chosen to make our equalization curves "constant Q," rather than reciprocal. This way, extremes of equalization stay musically useful instead of becoming intolerably peaky and ringy.
Like the competition, we provide continuously variable tuning and equalization controls for each band. But unlike some others, we also provide continuously variable bandwidth control. And each band's tuning range of 4-3 octaves with constant bandwidth yields broad overlap between bands to further increase versatility.
Add low noise and distortion front panel gain control, click-free in/out switching, peak-stretching overload light, and extensive human engineering, and you've got the most cost-effective professional equalizer available today—one that offers almost limitless freedom and control over sonic timbre. The Orban/Parasound 621 Parametric gives you the power to get things really right.
Also inquire about our Spring Reverb, Dynamic Sibilance Controller, and Stereo Synthesizer.
For further information, contact
Orban/Parasound
680 Beach St., San Francisco,
Ca. 94109. (415) 776-2808 or your local
Orban/Parasound distributor.
Circle 21 on Reader Service Card
Look For The Winning Sound
Everyone knows the sound you produce is the most important criteria of your product. Until now you've had to rely on a subjective listening evaluation of sound. Now you can see the characteristics of your sound on an objective, calibrated basis, make changes and see the effects of these changes.
Whether you're a studio mixer looking for a particular guitar sound or a certain type of mix or you're a broadcaster looking for a particular on air sound the Amber 4550 Audio Spectrum Display can help.
Check the results of equalization or compression or different microphone placement. Or compare monitor system and listening environment acoustics. The 4550 will show you the spectral content of an audio signal on a real time basis. And it incorporates two digital memories to let you store "before" and "after" information. The 4550 has numerous uses—from equipment maintenance to general production tool. Ask for a demo today.
Amber model 4550 Audio Spectrum Display
$1,800 US List
In stock at:
Audiotekniques, Stamford, Connecticut (203) 359 2312
Chromacord, Montreal, Canada (514) 636 8163
Harvey Radio, New York (212) 575 5000
Milam Audio, South Pekin, Illinois (309) 348 3112
Studio Supply, Nashville, Tennessee (615) 327 3075
Westlake Audio, Los Angeles, California (213) 655 0303
Amber Electro Design Ltd.
613-100 Francois
Montréal Canada H3E 1G2
(514) 769 2739
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Complete Audio Distortion and Frequency Response ...Automatically
Comprehensive distortion and frequency response measurements are easily performed with the BKF10 Automatic Distortion Analyzer. This unique instrument combines a distortion meter, a low distortion audio sweep oscillator (<0.01% t.h.d.) and an input/output ratio meter. Operation is totally automatic... No balancing, nulling or level setting is required. Addition of a recorder provides complete distortion and frequency response curves. Send for complete information.
THE LONDON COMPANY / 811 SHARON DRIVE / CLEVELAND, OHIO 44145 / (216) 871-8900
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MODULAR AUDIO PRESENTS
A NEW GENERATION OF 'IMPAC' PC CARD AMPLIFIERS
AM-27 MICROPHONE PREAMPLIFIER
The Model AM-27 is a general purpose audio amplification module suitable for low level microphone preamplification. Its key features are:
- Transformer coupled input and output
- Adjustable gain, 25dB to 65dB
- High output level, +27dBm
- Low noise, -125dBm
- Low distortion, typically 0.05%
ABL-27 BRIDGING LINE AMPLIFIER
The Model ABL-27 is a general purpose audio amplification module suitable for amplifying line level signals at high level (+20dBm) signals or wherever it is necessary to bridge a floating or balanced source. Its key features are:
- Bridging (10K ohm) Transformer coupled input
- Transformer coupled output
- Adjustable gain/loss, -7dB to +33dB
- High output level, +27dBm
- Low noise, -117dBm
- Low distortion, typically 0.05%
- Frequency response, ±0.5dB max., 30Hz to 20KHz
- Small size, 4½" x 2¾" x 1¾".
- PC card plug-in
AL-27A LINE AMPLIFIER
The Model AL-27A is a general-purpose audio amplification module suitable for Line, Bridge, Differential, or Combining amplifier configuration. Its key features are:
- Transformer coupled output
- Adjustable gain/loss, any loss or any gain from 7dB to 47dB
- High output level, +27dBm
- Low noise, -125dBm
- Low distortion, typically 0.05%
- Frequency response, ±0.25dB max., 20Hz to 20KHz
- Small size, 4½" x 2¾" x 1¾".
- PC card plug-in
PM-40A POWER AMPLIFIER
The PM-40A is a 15 watt RMS continuous power amplification module suitable for loudspeaker or telephone systems. In a compact PC card configuration. Its key features are:
- Balanced, transformerless, bridging (40K ohm) input
- Adjustable gain/loss, any loss or any gain from -12dB to +12dB
- High output power, 15 watts RMS continuous into a 4 ohm load
- Short circuit proof
- Low distortion, typically .05%, max. 0.3%
- Frequency response, ±0.3dB max., 20Hz to 20KHz
- Small size, 4¾" x 2¾" x 1¾".
- PC card plug-in
Modular Audio Products
The Company with Designs on your Audio Requirements
Write for our product literature or Consult your MAP
MODULAR AUDIO PRODUCTS, INC.
A Unit of Modular Devices, Inc.
1385 Lakeland Ave.
Airport International Plaza
Bohemia, New York 11716
516-567-9620
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Recreating Colonial Sound
Recording eighteenth century music in authentic surroundings is a special challenge in Williamsburg
You want to make a recording of a recital on an eighteenth century organ installed in the chapel of the Wren Building at the Colonial Williamsburg restoration in Virginia. This is a logical inspiration, as part of the program of producing phonograph records embarked upon by the restoration’s Foundation in 1967 in order to enhance the sense of history evoked by Williamsburg with the sounds, as well as the sights, of the past.
The idea is pretty simple, a recording of an organ recital. However, there are certain criteria which have been imposed by the Williamsburg recording program in order to achieve the main objective, authenticity.
The road to authenticity when making a recording of an eighteenth century organ in a seventeenth century building has several turnings and obstacles as modern technology mingles with colonial music. First of all, it had been determined when the project was embarked upon that all recordings must be made in the original buildings, which, while pleasing to the eye, were not exactly designed with twentieth century acoustical needs in mind. Then, the very fact that these buildings were being used as museums for a lively tourist trade created a practical condition, the need to use the building when it was cleared of camera-toting visitors with their attendant cacophony of footsteps, Junior yelling for souvenirs and Father pedantically and stridently instructing his young in American history. Therefore, the recordings were often made late at night, during those snatched intervals when the schedules of the musicians and the availability of the building merged.
The original instruments, of which the eighteenth century organ was one, also presented a challenge, as did the original musical scores, which could not be changed. Designed for eighteenth century ears and not for reproduction, the resultant sound cried for the usual electronic embellishments, such as echo, limiting or compression, etc. But that would interfere with the passion for authenticity. The only concession to such tampering was some minimum equalization permitted during mixdown or sweetening sessions.
The Wren Building, in which this particular recording was made, is the oldest original college structure in America (1697) and is exhibited by Colonial Williamsburg in
Strange juxtaposition . . . modern electronic equipment placed near an eighteenth century chandelier. E-V RE-15s mounted on a speaker stand.
Richard B. Tisdale, Jr. is an audio engineer with the Audiovisual Department of the Colonial Williamsburg Foundation.
"...to bring it up and hang it there."
That's what one Chief Engineer said about his modulation and talk power when describing why he installed the SPOTMASTER® Sound Britener.
He had a typical problem — periods of low modulation due to several programming sources including live telephone reporting. His original solution was the costly, slow and inaccurate method of watching a meter and continuously adjusting the level. He then tried the common two unit compression/limiting system — one unit at each end of the lines to his remote 50 kW transmitter. He still had problems — and many, many adjustments to fool with.
Now he has the SPOTMASTER® CLE-500 Sound Britener. It has only three adjustments — all behind the front panel — and it's operating unattended at the studio. A single meter shows at a glance what it's doing. His average common point current at the transmitter is up — and hanging right there — with full protection against over modulation. His talk power and fringe area coverage are increased. And it's all automatic with the Sound Britener.
Why not try it yourself on our 30 day free trial?
BROADCAST ELECTRONICS, INC.
A FILMWAYS COMPANY
8810 BROOKVILLE ROAD
SILVER SPRING, MARYLAND 20910
PHONE: 301-588-4983
Angles of pickup.
cooperation with the College of William and Mary. My only previous experience with the Wren Chapel was recording motion picture dialog. The room has a three-to-four-second decay time. During the movie experience, the director wanted a long wide shot with sync dialog and no radio mics!
Fortunately, long decay time is acceptable in recording classical organ music. My goal during the organ recording became one of simply controlling the level of the decaying sound. At first I was tempted to use two omni-directional condenser microphones placed close to the organ case. But this would have created an undesirable ping pong effect, hardly in keeping with our aim of achieving a sound as close as possible to that which would be heard by someone in an 18th century congregation.
Since I had never tried crossed cardioids on a stereo pickup, J. S. Darling, the organist and Colonial Williamsburg's music consultant, my assistant, Bill McAllister, and I went to the chapel one evening prior to the actual recording date to experiment with microphone positions and types. I was equipped with two E-V RE15 cardioids, two cardioid dynamics of another manufacture, and my trusty omni condensers. First, I tried the RE15s about ten feet in the air and about twenty-five feet back from the organ. The sound we heard was amazing, very lifelike, with good tone and feeling, nice stereo with depth, no ping pong. There was just a little too much overhang muddying up the sound and I felt we needed a bit more presence. The mics were moved in closer, to about fifteen feet from the organ pipes and at the same height. Everyone liked the results, so a thirty-minute demo tape was made to play for interested parties. Incidentally, we were so pleased, the other mics never came out of their cases.
The recording was done on an Ampex AG440-B, using their plug-in preamps rather than hauling in a mixer for just two mics. We monitored with Ampex 620 speakers. (I don't usually use these, but their portability was desirable during the tests and they gave us enough information to make decisions.)
When it came time to do the final recording, I decided to use the same setup—a quarter-inch two-track Ampex AG440-B with its own preamps and the 620 speaker/amps, but adding quality 15-inch coaxial speakers. The monitoring room was a classroom in the Wren Building which is still used today as a modern classroom. This room gave a bad flutter echo and a longer decay time than desirable, but we had no other options.
After getting everything set up, I played the demo tape and adjusted the 620 EQ control and the speaker positions for the best reproduction, as judged by Messers Darling, McAllister and myself. The monitor level was set as high as possible but nowhere as high as rock monitor levels.
The E-V RE15s were placed fifteen feet from the organ pipes and raised to about twenty feet above the floor, which put them about on a level with the throats of the pipes. This added some presence and helped reduce mechanical noise from the tracker system. Other than that, no changes were made. The complete album was recorded in about four hours.
The sweetening session was minimal. About the only thing I did was to dub the masters, adding two dB at 100 cps and two dB at 10kc (my apologies to the Hertz people but you can't teach an old dog too many new tricks) and putting everything in the correct order with leader tape.
By now I know many readers may be asking why didn't I use one of those condenser mics with the stacked cardioid capsules, one over the other? I hope you will agree that the following reasons are valid.
1. Our department doesn't have one (although, I could have borrowed one). We do have RE15s.
2. The stacked condenser mics are large and unwieldy and require an a.c. power supply.
3. Most important of all, they have no low frequency roll-off switch. Years ago when I was doing radio remotes I quickly learned that it is better to limit the low frequency energy picked up by the mic and not risk overloads and resulting muddy sound. If you want more bass, you can add some with EQ as long as you don't go overboard. Some people may take exception with me, but I happen to agree with Lou Burroughs, that sometimes you simply don't need all that bottom end. The RE15s seemed to fit the bill; I had previously used them for some music and quite a bit of motion picture dialog recording. That, coupled with the published curves, persuaded me to take a chance with them and it paid off. Incidentally, the backup mics I carried with me for the first test are pretty flat from one end of the spectrum to the other, although the omni condensers have three positions of low roll-off.
In mastering for pressing, I gave the studio no specific instructions other than to send me a test lacquer before pressing. We were very pleased with the results and ordered the plant to press our initial order.
I considered myself extremely lucky in that I was fortunate enough to have a room, the Wren Chapel, that matched the quality of the instrument—this is not always the case in restoration recordings—and microphones that achieved the quality for which we were aiming. But whether matters go smoothly, as in this case, or are beset with situations with their particular Colonial headaches, it is always a genuine pleasure to participate in the recreation of long-ago sounds, adding to the education and entertainment offered by our town-size museum—Williamsburg, Virginia.
A Unique Recording and Reproducing System
The author describes a truly unique and quite effective room that has been built for both recording and reproducing sound of the highest possible quality.
UNDER CONSTRUCTION for the past 11 years and now nearing completion is what I have intended to be the ultimate home-recording and reproducing system. This system which is built into a 48-ft. horn-shaped room, includes wide dynamic range recording and playback electronics now approaching 2,000 transistors and 2,000 operational amplifiers, an 8-kilowatt automatic color lighting system, and a 70-channel recording mixer. The sound emanates from five 13-ft. horns incorporating a total of 169 speakers driven by the equivalent of 20,000 watts.
My own objective with regard to the quality of the reproduced sound is to achieve maximum entertainment value. Judging from comments of musicians who have listened to their own recorded sound here, it seems possible to improve upon the original. Nevertheless, as a point of departure, the system should be capable of making small groups of instruments sound as though they were actually playing in the same room.
In regard to stereo, I have always felt that the appropriate number of channels is not two or four but either three or four. Accordingly, the system has been built with three speaker systems for the front channels to avoid a hole at the center while the two rear-channel speaker systems are designed to produce primarily reflected sound. All five speaker systems are utilized to various degrees whether reproducing one, two, three, four, or five channels.
ROOM ACOUSTICS AND LIGHTING
The room has been designed primarily for listening but is also used for recording without changing the acoustics. The shape of the listening area is essentially a horn with the listener positioned at the throat. At the front and along the sides are five conical speaker horns each 13 ft. long with a 64-sq. ft. mouth. Diagrammatically, the horn arrangement is shown in Figure 1. Three front horns are
Figure 1. The basic room plan as described.
Richard S. Burwen is president of Burwen Laboratories of Burlington, Massachusetts.
shown in the photo, Figure 2. This room and a well-equipped electronic laboratory is built into the basement of my home in Lexington, Mass., and the house was designed and built around it. Because of the 10 ft. 6 in. limitation on ceiling height, the ceiling has been made wavy to diffuse the sound. There are no parallel surfaces and the room is unusually live, having a reverberation time at mid frequencies of approximately 0.8 sec. Because of the excellent high-frequency response of the system, the overall shape of the room, and the focusing and reflective effects of the horns on the middle and high frequencies, it is possible to utilize a somewhat longer reverberation time than in more conventional shapes.
The room is constructed entirely of concrete and cinder blocks for the walls and horns with extra heavy plaster on the ceiling. The only sound absorption is provided by records, tapes, books, equipment, three pieces of upholstered furniture, and two special 4 ft. x 20 ft. panels. These panels consist of a sandwich of hard plastic and acoustic tile mounted on concrete and are designed to absorb middle frequencies while reflecting high and low frequencies.
**SPEAKER SYSTEMS**
At the end of each of the five horns is an array of speakers consisting of two 16-in. woofers, a midrange horn with two drivers having 4-in. diaphragms, and 30 tweeters. In addition, the left front and right front horns have a pair of 24-in. woofers with feedback windings mounted on their side doors. The location of all speakers at the
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**Figure 2.** A recording session in progress. The East Bay City Jazz Band is situated in the three front horns.
**Figure 3.** A rear view showing the equipment racks. The author at the equipment rack.
**Figure 4.** Racks with special peak vu meters.
end of the horn permits the horn walls to provide reflected sound well into the high frequencies, and this contributes strongly to the blending of the music. The side horns do not face the listener but direct their sound to the slanted rear walls which reflect the sound to the listening area. Considering the reflection, the acoustic path length for each side horn is about the same as from the front horns to the listener. Therefore, no electronic time delay is needed when reproducing two or three channels through all five horns.
In addition to housing the speakers, the left side horn contains an electronic theatre organ console which plays and records directly through the electronic system, and the right side horn contains a 10-ft. grand piano.
The speaker systems are driven from a total of 34 200-watt amplifier channels utilizing an electronic crossover system. Crossover frequencies are 50, 400, and 6,000 Hz. Besides high- and low-pass filtering from 6 to 36 db/octave, the crossover network also provides equalization for the speakers. As a result of the electronic crossover, the system is capable of producing a sound level without clipping equivalent to that which would be produced by a single 20,000-watt amplifier.
The reason for all the power is to reproduce a live drum set at its original acoustic level from any one of the five speaker systems. Experiments indicate the system has 3 to 6 dB to spare before clipping. Most of the peak power goes into the tweeters which are driven by three 200-watt channels having a power gain at 20 kHz. 15 dB above the signal driving the midrange horn. Acoustical measurements using one-third octave noise bands and summing microphones indicate overall systems response flat within 2 dB from 16 Hz to 16 kHz. Fine adjustment of the system equalization was made in direct A-B comparison against the live drum set.
To prevent a 169-speaker disaster resulting from an inadvertent overload, the entire speaker system is designed to handle the maximum peaks at the clipping levels of the amplifiers. An elaborate protection circuit computes voice coil temperatures and disconnects the speakers from the amplifiers before reaching the point of damage. In addition, the cone excursion of the 16-in. woofers is limited electronically at 0.75 in. peak to peak and at 1 in. for the 24-in. woofers.
**LISTENING EQUIPMENT**
Specially designed and constructed, all the signal processing and automatic lighting equipment is built into 3½ ft. x 7 ft. high racks as shown in Figure 3 and 4. Signal amplifying functions are all performed by operational amplifiers using both modular and integrated circuit types. The development of several of these operational amplifier modules for this system resulted in the formation of Analog Devices, Inc. Similarly, the solutions to the systems' noise problems brought about the Burwen Laboratories Dynamic Noise Filter and the Audio Processor.
Signal flow through the playback system is shown in Figure 6. Sources for front and rear channels are selected by means of a set of 24-position three-channel selector switches. Although the signal sources utilize some purchased equipment, all of it has been at least partially redesigned. These sources include four channels on ½-in. tape, four channels on ¼-in. tape, two channels on ¼-in. tape, two quarter-track stereo machines, f-m, a-m and short-wave, cassette, tv sound, and electronic organ.
Most important in maximizing the entertainment value is the overall acoustic frequency response of the system and its fine adjustment for each individual signal source. As mentioned earlier, compensation for speaker response is part of the active crossover system. Equalization for stereo signal sources is provided by two separate sets of three-gang-tone controls for the front and rear channels,
each operating on the lows, bass, middles, treble, and highs. In addition, 22 more three-gang controls operate at half octaves from 16 cps to 23 kc.
Disc record signals are generally processed through a stereo decoder which has 150 screwdriver and digital potentiometers on the front panel. This unit produces a five-channel output having any desired amplitude and phase from any of the matrix sources available as well as mono and stereo records. The signals are cleaned up using a Burwen Dynamic Noise Filter and its developmental predecessor. Occasionally, the dynamic range is expanded using a three-channel-wide, dynamic range volume expander-compressor.
**RECORDING SYSTEM**
Although this system has been used to make Burwen Laboratories' records, my main objective for the recording capability of this system is to make single generation tapes to be reproduced over the five speaker systems in this room. Mixing is, therefore, done live and, since there is no separate control room, monitoring is via headphones and peak vu meters.
The liveness of the room and the lack of acoustic isolation between instruments makes it necessary to operate all microphone channels at nearly the same gains. Recording convenience and efficiency have thus been sacrificed for fidelity and for the ability to immediately play back a recording in the acoustic environment intended for listening. Nevertheless, it is possible to make well-balanced recordings and to achieve upon playback through the entire system more than a 100-dB dynamic range.
As noted earlier, the system is designed for five-channel stereo, although my largest machines have only four tracks. Built into the recording mixer is a matrix encoder which makes four channels out of five with crosstalk between channels down 12 dB. The stereo decoder in the playback system for records also includes a five-channel decoder. Decoding is extremely simple since the four corner channels are the same as the tape signal while the front center channel is derived from addition and subtraction of these four signals. At this writing, the system records and decodes successfully but has not yet been tested with live musical instruments.
The 70-input recording mixer uses about 250 Burwen UM201 Universal Mixing Amplifier modules. Each channel provides master gain plus five more potentiometers for directing any microphone signal to any of the five speaker horns. The microphones can be turned on and off in groups and monitored individually as well as in various combinations. Twenty of the capacitor microphones used are of special design and deliver a 20-dBm line-level output for sound pressure inputs switchable to 140, 125, or 115 dB. Mixer noise, when using 12 or so microphones, is slightly below the microphone noise which amounts to 15 dB SPL A-weighted for each microphone. Seven other capacitor microphones have had their vacuum tubes replaced by transformerless f.c.t. amplifiers.
At the heart of the tape-recording system is a set of five Burwen Model 2000 Audio Processors (formerly Noise Eliminators) which make it possible to record and play back the 105-dB dynamic range of the mixer and microphones. In addition, I am equipped with a portable Model 2000 and a ten-input to two-output mixer for remote uses.
**STILL UNDER CONSTRUCTION**
At this point, the basic recording and playback functions have been completed. Still under construction is a set of 28 equalizer channels involving six tone controls each to be used on the various microphones during live recording. Also under construction is an analog-type electronic reverb-beration unit involving no springs, moving parts, or digital sampling. The electronic organ is being coupled to the sound system using an electronic modulation device to replace the rotating speakers in the organ console. To date, the system has taken about ten man years to design, construct, and test. Although the number of knobs and switches is approaching 1,100, playback of program material which has been completely equalized and processed for five-channel reproduction can be accomplished with one knob control.
Closing date is the fifteenth of the second month preceding the date of issue. Send copy to: Classified Ad Dept.
db THE SOUND ENGINEERING MAGAZINE
1120 Old Country Road, Plainview, New York 11803
Rates are 50¢ a word for commercial advertisements. Employment offered or wanted ads are accepted at 25¢ per word. Frequency discounts: 3 times, 10%; 6 times, 20%; 12 times, 33%.
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**FOR SALE**
**ONE WAY NOISE REDUCTION** for cutting rooms/tape copies; retains highs, rids hiss/surface noise & pops by a full 10-14 dB and costs $125 up per channel! Music & Sound, Ltd., 11½ Old York Rd., Willow Grove, Pa. 19090. (215) 659-9251.
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**TARZAC PROFESSIONAL CASSETTES**
—Custom Cassette Labels. Complimentary samples. TARZAC, 638 Muskogee Avenue, Norfolk, Virginia 23509.
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**FOR SALE: AUDITRONICS CONSOLE;** 24-in/24-out; full quad; quad reverb with two API joy sticks; built-in stereo radio speakers; two producers' desks; used nine months; will include 16 ITI parametric equalizers (brand new). Total original cost of this package: $37,720—your price: $27,000! (If you want only 18 inputs, the total cost will be $24,000.) Will separate and will finance. Contact Paul (312) 225-2110, Chicago.
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**MONITOR EQUALIZERS** for your Altecs & J.B.Ls are a steal at $75/channel
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**FREE ROOM EQUALIZATION** with purchase of ¼ octave filters. This is not a misprint. Music & Sound, Ltd., 11½ Old York Rd., Willow Grove, Pa. 19090. (215) 659-9251.
→ S.M.E. Damping Mods—$30.00 ←
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**NEW YORK'S LEADING PRO AUDIO/VIDEO DISTRIBUTOR** for audio, video, broadcast, public address, and hi-fi systems; representing over 130 audio/video manufacturers, featuring such names as Ampex, Scully, Tascam, Sony, J. B. Lansing, Neumann, Altec, McIntosh, AKG, Dynair, T.V. Microtime, UREI, 3M, and other major brands; the largest "in stock" inventory of equipment, accessories, and parts; competitive discount prices; factory authorized sales, service, parts, systems design, installation. Write for free catalog! Martin Audio/Video Corporation, 320 W. 46th St., New York, N.Y. 10036. (212) 541-5900.
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**ONE STOP FOR ALL YOUR PROFESSIONAL AUDIO REQUIREMENTS**
BOTTOM LINE ORIENTED
F. T. C. BREWER CO.
P.O. Box 8057, Pensacola, Fla. 32505
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**SPICE FASTER, BETTER, BY SHEARING;** replaces razor; attached splicing tape dispenser; quality workmanship; reasonably priced; endorsed by professionals. $24.95 prepaid. Guaranteed. Distributors wanted. NRP, Box 289, McLean, Virginia 22101.
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**SOLID-STATE AUDIO MODULES.** Console kits, power amplifier kits, power supplies. Octal plug-ins—mic, eq, line, disc, tape play, tape record, amplifiers. Audio and tape bias oscillators. Over 50 audio products; send for free catalog and applications. Opamp Labs, Inc., 1033 N. Sycamore Ave., Los Angeles, Ca. 90038.
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**CUSTOM TAPE DUPLICATION,** 8-track and cassettes. We specialize in small runs. Dick Walen, Custom Audio Sound Service, 4226 Robert St., Red Wing, Minn. 55066.
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**THE LIBRARY...** Sound effects recorded in STEREO using Dolby™ throughout. Over 350 effects on ten discs. $150.00. Write, The Library, P.O. Box 18145, Denver, Colorado 80218.
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**TWO AMPEX PD-10 duplicator systems;** used very little; no longer needed; sell at fraction of cost. Bob Lilley, Box 2090, Raleigh, N. C. (919) 832-3901.
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**FOR SALE:** AMPEX AG-500-2 7½/15 ips 2-track stereo recorder with 4-track playback head in portable case in immaculate condition complete with remote control and manual, price $1,100; Ampex MX-10 stereo mixers, price $250 each; Ampex AG-440B-4 7½/15 ips portable recorder, 4 months old with 2-track head assembly and many extras, price $4,500. Jim Stemke, 3749 N. Sayre Ave., Chicago, Ill. 60634. (312) 545-0393.
→ All Shipped Prepaid + Insured ←
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**TWO LCIA SPEAKERS** in studio enclosures. $125 each. RCA 70D 16-inch turntable with Ortofon pickup. Shure V15-2 cartridge, Shure equalizer. $175. Miscellaneous preamps etc. (201) 549-8078. 6-10 PM.
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**BODE FREQUENCY SHIFTERS** since 1963 . . . Advanced designs for electronic music studios and high performance P.A. systems. Carrier injection type, $795.00. Anti-feedback model: audio range 35 Hz-16 kHz for speakers, entertainers, bands, $575.00. Prices f.o.b. North Tonawanda. Delivery: stock to 6 weeks. For details and information on other models, write to: Bode Sound Co., Harald Bode, 1344 Abington Place, North Tonawanda, N.Y. 14120. (716) 692-1670.
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**CRYSTAL SYNC OSCILLATOR** . . . $165.00. Accuracy: .0005% from —22 degrees to +140 degrees F. Fits internally in Nagra III and IV and other tape recorders. Use of state-of-the-art technology makes this kind of accuracy at this price possible. Audio Scientific, Inc. (212) 258-1687.
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**AMPEX, SCULLY, TASCAM,** all major professional audio lines. Top dollar trade-ins. 15 minutes George Washington Bridge. PROFESSIONAL AUDIO VIDEO CORPORATION, 342 Main St., Paterson, N.J. 07505. (201) 523-3333.
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**B.B.C. REFERENCE MONITORS.** pre-equalized J.B.L./Altec monitors; Dahlquist phased arrays; I.M.F. transmission lines; Infinity electrostatics; Crown/McIntosh 161/bridged bi-amps; Scully/Revox A-700 recorders; Micmix reverbs, Eventide phasors/omnipressors; Lexicon digital delays; dbx/Burwen N.R. companders; Little Dipper hum/buzz notch filters; Cooper Time Cube echo send, moving coil Supex/Ortofon; B & O straight line arms/cartridges; Schoeps/AKG/Sennheiser condensers; Beyer ribbons. U.R.E.I. comp/limiers/crossovers; Gately pro-kits; Q.R.K. t.l., 1,000s more. Music & Sound, Ltd., 11½ Old York Rd., Willow Grove, Pa. 19090. (215) 659-9251.
CUSTOM CROSSOVER NETWORKS to your specifications: 1 or 1000. Power capacities to 1,000 watts. Networks duplicated. High tolerance air and iron core inductors. Outline your needs for rapid quotation. TSR ENGINEERING, 3673 W. 113th St., Inglewood, Ca. 90303. (213) 678-1799.
DYMA builds custom studio consoles, desks, enclosures, studio furniture. Dyma Engineering, Route 1, Box 51, Taos, New Mexico 87571.
AMPX PR10-2; Sony EM-2T portable. GR1554-A analyzer, 1390-B noise generator, Scott 412 sound level meter. MBM6 vibration meter, TP-670 wave analyzer, HP205AG oscillator, Ballantine 317 ACVTVM. (415) 282-7747.
STUDIO SOUND—Europe's leading professional magazine. Back issues available from October '72. $1 each, postpaid. 3P Recording, P.O. Box 99569, San Francisco, Ca. 94109.
ONE AMPEX 440-4; includes two-track stereo head block IN CONSOLE; 7½-15 ips. $2,950.00. One Ampex 300—top plate MCI electronics; two-track; IN CONSOLE; 7½-15 ips. $1,950. Ampex 351—top plate MCI electronics; two-track; IN CONSOLE; 7½-15 ips. $1,850.00. Ampex 351—top plate MCI electronics in Scully portable cases; two-track stereo; 7½-15 ips. $1,750.00. MCI 16-track tape machine with matching 8-track heads and guides; autolocator; IN CONSOLE; 15-30 ips. $12,500.00. Criteria Recording Studios, 1755 N.E. 149th St., Miami, Florida 33161. (305) 947-5611.
TASCAM REVERBS—$500: Tascam mixing consoles—$2,350; Tascam ½-inch recorders—$2,750; Tascam 8-track recorders—$4,600. All shipped prepaid/insured, including free alignment/equalization/bias/calibration. Music & Sound, Ltd., 11½ Old York Rd., Willow Grove, Pa. 19090. (215) 659-9251.
$1 MILLION IN USED RECORDING-PABROADCAST EQUIPMENT. Send $1.00 for list, refundable on first order, to The Equipment Locator, P.O. Box 99569, San Francisco, Ca. 94109.
CASSETTE DUPLICATION: 25 or more pieces—C-60 or shorter; monaural. TARZAC, 638 Muskogee Avenue, Norfolk, Virginia 23509.
NEW MODELS: Ampex AG440C 2-track; servo capstan motor; Scully 280B. Immediate delivery from stock. Used AG440Bs. Malaco Recording, Jackson, Miss. (601) 982-4522.
REEL SPECIALISTS: 14-inch new NAB Ampex metal flanges, in original box of 10, $8.75. 10½-inch x ¼" NAB and Precision reels bought and sold. New Precision 10½ x ¼", $6.00 each (add $.60 for new box) plus 10% postage. Sound Investment Co., P.O. Box 338, Dunwoody, Ga. 30338.
WHATEVER YOUR EQUIPMENT NEEDS —new or used—check us first. We specialize in broadcast equipment. Write for our complete listings. Broadcast Equipment & Supply Co., Box 3141, Bristol, Tenn. 37620.
ORTOFON
DYNAMIC MOTIONAL FEEDBACK mono disc cutting system. Complete amplifier system: drive, feedback, and feedback-playback monitor preamp; rebuilt, original factory parts. Guaranteed. Albert B. Grundy, 64 University Place, New York, N.Y. 10003 (212) 929-8364.
AMPEX 300, 352, 400, 450 USERS—for greater S/N ratio, replace first playback stage 12SJ7 with our plug-in transistor preamp. For specifications write VIF International, Box 1555, Mountain View, Ca., 94042. (408) 739-9740.
DYMA builds roll-around consoles for any reel-to-reel tape recorder. Dyma Engineering, Route 1, Box 51, Taos, New Mexico 87571.
SINGLE EDGE RAZOR BLADES. Tape editing. $20/M. Flyer. RALTEC, 25884 Highland, Cleveland, Ohio 44143.
LOWEST PRICES, fastest delivery on Scotch recording tapes. all widths. We will not be undersold. Amboy Audio Associates, 236 Walnut St., South Amboy, N.J. 08879. (201) 721-5121.
BROADCAST AND RECORDING EQUIPMENT: Scully; Metrotech; Langevine; Electrodyne; Q.R.K.; Micro-Trak; M.R.L.; Nortronics; McMartin; U.R.E.L.; Revox; Crown; Byer; Lamb; Master Room; Stella-vox; E.V.; A.K.G.; Sennheiser; Atlas; Ferrograph; HAECO; Stevenson; Gately; dbx; Advent; Altec; Fairchild; Audio Designs; 3M; Magnacord; Telex; Inovonics. Disc recording systems; package deals; installations; service. Wiegand Audio, Middleburg, Pennsylvania 17842 (717) 837-1444.
GO 24-TRACK! Buy this 24-16-8-track machine and don't spend the big bucks. With one machine, you can offer all three configurations for what you'd expect to pay for a 16-track alone. This is the original MCI with individual meter modules. Complete with auto-locator, digital timer, and Kendun modifications to eliminate punch in/out clicks and reduce hum. Reason for sale: going to a machine with film lock. Price: $22,000. Many extra cards, motors, other spares, available. A real bargain for a one-machine studio; maintained in A-1 condition by Kendun Recorders/Kent Duncan. (213) 843-8096.
TUNED ROCK P.A.s. Customized high intensity touring/permanent installation sound systems. including narrow band (5 Hz) feedback suppression, detailed regenerative response Acousta-Voicing/environmental equalization (+ 1 dB at your ears), room design/measurement/treatment, ≤ 15% articulation loss of consonants; 1000s of customized professional products, including... fiber-glass horns, consoles, comp/rms/peak limiters. 18 dB continuously variable electronic crossovers, digital/acoustic delays, omnipressors, phasors, reverb, echo, doubling/tripling effects. P.A. noise reduction; piezo transducers; frequency shifters from... J.B.L./Altec pro.. Tascam, U.R.E.L., Eventide, Gately, Schoeps, Beyer, Crown, Community Light/Sound, Mom's Audio, McIntosh, Bozak Allen & Heath, etc. etc. All shipped prepaid/insured. Music & Sound, Ltd., 11½ Old York Rd., Willow Grove, Pa. 19090. (215) 659-9251. Inventors/Engineers
WANTED
SECONDIHAND DISC CUTTING EQUIPMENT WANTED suitable for Neumann AM32 lathe. Disc cutting amp: Neumann VG2 mono or V61 stereo or similar stereo amp. Cutterhead: Neumann Sx68 or Sx74, HAECO Sc2. Westrex 3D or 3DII. Ortofon Dss661 or Dss732 or similar. Also wanted, any suitable suspension. Decibel Recording Studios, Katarinavagen 20, Stockholm, Sweden. Phone 08/233435.
EMPLOYMENT
PROFESSIONAL RECORDING PERSONNEL SPECIALISTS. A service for employers and job seekers. Call today! Smith's Personnel Service, 1457 Broadway, N.Y.C. 10036. Alayne Spertell. (212) WI 7-3806
EXPERIENCED RECORDING ENGINEER, with excellent credits in Nashville and the East Coast, seeks to relocate. Resume on request. Call (615) 889-3294 or write Box 111, db Magazine, 1120 Old Country Rd., Plainview, N.Y. 11803.
Matthew J. Mulvihill has been appointed vice president and general sales manager of North American Philips Electronic Component Corporation. Up to the time of his new appointment, Mr. Mulvihill was the company's western regional sales manager. Mr. Mulvihill succeeds Allan L. Merken, who recently moved to North American Philips Lighting Corporation as vice president, marketing.
Several new executive appointments have been made at Audio Magnetics Corp., Gardena, California. John J. Kane has been elected to the office of president and chief operating officer. Peter Hughes joins Audio Magnetics, coming from Admiral International Corp., as senior vice president. Mort Jacobson has been promoted to senior vice president, engineering. William De Mucci has been named senior vice president, manufacturing. Dale Humphries has been appointed general manager, video project. Stewart Scholsberg has been promoted to vice president, sales, industrial products. Dan Fine has been named vice president, sales, consumer and a/v-educational products. Mr. Kane and a New York investment banking firm, Gibbons, Green & Rice, with a group of private investors, recently acquired Audio Magnetics from Mattel, Inc.
Gerald Landau, formerly vice president, marketing for Acoustic Research of Norwood, Massachusetts, has formed his own marketing consultant firm, Hi Fi Marketing Consultants, located at 65 Turning Mill Rd., Lexington, Mass. 02173. Mr. Landau will continue to advise Acoustic Research on its marketing and advertising programs. Jason Farrow has recently been appointed director of public relations at Acoustic Research. Peter Dyke continues as national sales manager for the company.
The ninth MIDEM, the International Record and Music Publishing Market, will take place in Cannes, France at the Palais des Festivals, from January 18-24, 1975. In addition to the customary exhibitions, entertainment is being planned, to be held in a 5,000 seat tent set up on an esplanade near Palm Beach. Information may be obtained from: Midem Information, 3 rue Garnier. 92200 Neuilly, France. Tel. 747-84 00.
Leon A. Wortman, author of Closed Circuit Television Handbook, has been named manager, distributor product sales, for the audio-video systems division of the Ampex Corporation, of Redwood City, California. Mr. Wortman is western vice president of the Audio Engineering Society and a member of the board of governors.
William R. Krehbiel has been appointed vice president and general manager of the Scully/Metrotech division at Mountain View, California of the Dictaphone Corporation. Mr. Krehbiel was most recently executive vice president of Bactomactic, Inc. Earlier, he had been with the General Electric Company.
U.S. marketing of a number of products, most notably Audax speakers from France will be handled by the Neosonic Corporation of America, of Westbury, N.Y. Principals in the new company are Joseph Longin and Joseph N. Benjamin. Jules Rubin will serve as sales consultant for the Metropolitan area. Sales representatives covering most major U.S. areas have also been appointed.
Capitol Magnetic Products is the new operating title for Audio Devices, Inc., a division of Capitol Records, of Los Angeles. The division is responsible for the manufacture, distribution and sale of open reel, cassette, and 8-track cartridge tapes. Anthony P. Cunha has recently been elected executive vice president and chief operating officer for Capitol Magnetic Products.
Altec Sound Products Division of Anaheim, California, has relocated its eastern warehouse in Elizabeth, New Jersey. The new warehouse is conveniently situated near Newark airport, facilitating shipments by air freight. The company has also recently enlarged its manufacturing facilities.
In order to intensify CD-4 promotion in cooperation with JMF Associates, the president of the cutting center of JVC America of Maspeth, N.Y., Katsuya (Vic) Goh, has relocated his office to Hollywood. His new address is: JVC Cutting Center, Inc., 6363 Sunset Blvd., Hollywood, California 90028. Assistant engineer Gene Yamamoto will remain at the present New York office.
The manufacturers of the FRAP transducer have set up a new laboratory at 759 Harrison St., San Francisco. Their mailing address, P.O. Box 40097, San Francisco 94190 remains the same. Other activities at FRAP include a guitar clinic and a paper given by Arnie Lazarus for the Audio Engineering Society.
First to last
When the Revox A77 MK1 first appeared in November 1967 it was acclaimed “The Magnetic recording masterpiece of our time”.
To-day—more than 6 years and hundreds of thousands of A77’s later the current MKIV version continues to outperform and outlast its contemporaries in every role—from home recording to digital data acquisition and 24 hours-a-day automated broadcast applications.
Now save yourself the cost of experimentation in tape recording – select the Revox A77 the recorder that will neither add to nor detract from the original.
Contact your nearest Revox Dealer for a demonstration.
The illustration contains optional extras.
The Revox A77 MKIV
buy it first
it’s built to last
Revox Corporation 155 Michael Drive, Syosset N.Y. 11791 U.S.A.
Revox Corporation 3637 Cahuenga Boulevard West, Hollywood, California 90068.
Revox C. E. Hammond & Co Ltd., Lamb House, Church Street, London W4 2PB.
Revox International Regensdorf 8105 ZH, Althardstrasse 146, Switzerland.
Circle 11 on Reader Service Card
www.americanradiohistory.com
3300S. The refined Teac.
No TEAC is perfect, but this one is getting damn close. We've been refining it for 20 years now, continually keeping it up to the current state-of-the-art in performance.
And it's becoming legendary in reliability. There's a special tactile delight, a sensuous pleasure, in operating a machine that was intended not to break.
How good is it? Good enough to master records with. As a matter of fact, to prove it — we've done it. The album is called "HomeMade" and it's available at your local TEAC dealer. So is specific performance data and a demonstration of the 3300S.
You can find out where he is by calling (800) 447-4700, in illinois call (800) 322-4400. We'll pay for the call!
Enjoy.
3300S. Another Magic Music Machine from TEAC.
TEAC
The leader. Always has been.
TEAC Corporation of America. 7733 Telegraph Road, Montebello, California 90640.
Circle 12 on Reader Service Card
|
Pseudocode
The pseudo-code for depth limited minimax with alpha-beta pruning is as follows:
```plaintext
function alphabeta(node, depth, α, β, maximizingPlayer) is
if depth = 0 or node is a terminal node then
return the heuristic value of node
if maximizingPlayer then
value := −∞
for each child of node do
value := max(value, alphabeta(child, depth − 1, α, β, FALSE))
α := max(α, value)
if α ≥ β then
break (* β cut-off *)
return value
else
value := +∞
for each child of node do
value := min(value, alphabeta(child, depth − 1, α, β, TRUE))
β := min(β, value)
if β ≤ α then
break (* α cut-off *)
return value
```
(* Initial call *)
alphabeta(origin, depth, −∞, +∞, TRUE)
Q1. MedianMiniMax
You’re living in utopia! Despite living in utopia, you still believe that you need to maximize your utility in life, other people want to minimize your utility, and the world is a 0 sum game. But because you live in utopia, a benevolent social planner occasionally steps in and chooses an option that is a compromise. Essentially, the social planner (represented as the pentagon) is a median node that chooses the successor with median utility. Your struggle with your fellow citizens can be modelled as follows:
There are some nodes that we are sometimes able to prune. In each part, mark all of the terminal nodes such that there exists a possible situation for which the node can be pruned. In other words, you must consider all possible pruning situations. Assume that evaluation order is left to right and all $V_i$’s are distinct.
Note that as long as there exists ANY pruning situation (does not have to be the same situation for every node), you should mark the node as prunable. Also, alpha-beta pruning does not apply here, simply prune a sub-tree when you can reason that its value will not affect your final utility.
(a) \[ V_1 \]
\[ V_2 \]
\[ V_3 \]
\[ V_4 \]
\[ \text{None} \]
(b) \[ V_5 \]
\[ V_6 \]
\[ V_7 \]
\[ V_8 \]
\[ \text{None} \]
(c) \[ V_9 \]
\[ V_{10} \]
\[ V_{11} \]
\[ V_{12} \]
\[ \text{None} \]
(d) \[ V_{13} \]
\[ V_{14} \]
\[ V_{15} \]
\[ V_{16} \]
\[ \text{None} \]
**Part a:**
For the left median node with three children, at least two of the children’s values must be known since one of them will be guaranteed to be the value of the median node passed up to the final maximizer. For this reason, none of the nodes in part a can be pruned.
The value of this subtree will only get smaller.
The median node will NOT choose the value of this subtree. 6 is the median.
---
**Part b (pruning $V_7, V_8$):**
Let $min_1, min_2, min_3$ be the values of the three minimizer nodes in this subtree.
In this case, we may not need to know the final value $min_3$. The reason for this is that we may be able to put a bound on its value after exploring only partially, and determine the value of the median node as either $min_1$ or $min_2$ if $min_3 \leq \min(min_1, min_2)$ or $min_3 \geq \max(min_1, min_2)$.
We can put an upper bound on $min_3$ by exploring the left subtree $V_5, V_6$ and if $\max(V_5, V_6)$ is lower than both $min_1$ and $min_2$, the median node’s value is set as the smaller of $min_1, min_2$ and we don’t have to explore $V_7, V_8$ in Figure 1.
---
**Part b (pruning $V_6$):**
It’s possible for us to put a lower bound on $min_3$. If $V_5$ is larger than both $min_1$ and $min_2$, we do not need to explore $V_6$.
The reason for this is subtle, but if the minimizer chooses the left subtree, we know that $min_3 \geq V_5 \geq \max(min_1, min_2)$ and we don’t need $V_6$ to get the correct value for the median node which will be the larger of $min_1, min_2$.
If the minimizer chooses the value of the right subtree, the value at $V_6$ is unnecessary again since the minimizer never chose its subtree.
Part c (pruning $V_{11}, V_{12}$):
Assume the highest maximizer node has a current value $max_1 \geq Z$ set by the left subtree and the three minimizers on this right subtree have value $min_1, min_2, min_3$.
In this part, if $min_1 \leq \max(V_9, V_{10}) \leq Z$, we do not have to explore $V_{11}, V_{12}$. Once again, the reasoning is subtle, but we can now realize if either $min_2 \leq Z$ or $min_3 \leq Z$ then the value of the right median node is for sure $\leq Z$ and is useless.
Only if both $min_2, min_3 \geq Z$ will the whole right subtree have an effect on the highest maximizer, but in this case the exact value of $min_1$ is not needed, just the information that it is $\leq Z$. Clearly in both cases, $V_{11}, V_{12}$ are not needed since an exact value of $min_1$ is not needed.
We will also take the time to note that if $V_9 \geq Z$ we do have to continue the exploring as $V_{10}$ could be even greater and the final value of the top maximizer, so $V_{10}$ can’t really be pruned.
Part d (pruning $V_{14}, V_{15}, V_{16}$):
Continuing from part c, if we find that $min_1 \leq Z$ and $min_2 \leq Z$ we can stop.
We can realize this as soon we explore $V_{13}$. Once we figure this out, we know that our median node’s value must be one of these two values, and neither will replace $Z$ so we can stop.
Alice is playing a two-player game with Bob, in which they move alternately. Alice is a maximizer. Although Bob is also a maximizer, Alice believes Bob is a minimizer with probability 0.5, and a maximizer with probability 0.5. Bob is aware of Alice’s assumption.
In the game tree below, square nodes are the outcomes, triangular nodes are Alice’s moves, and round nodes are Bob’s moves. Each node for Alice/Bob contains a tuple, the left value being Alice’s expectation of the outcome, and the right value being Bob’s expectation of the outcome.
Tie-breaking: choose the left branch.
The left values are Alice’s expectations, and are the only thing Alice can refer to when making decisions.
The right values are Bob’s expectations, and they also accurately track the expected outcome of the game according to each choice of branching (regardless of it is Alice’s or Bob’s decision, since Bob has all the information). Hence the right values are accurate information about the game, and would be what Bob looks at when making his decisions. However, when it is Alice’s turn to make decisions, Bob will think about how Alice would maximize the outcome w.r.t to what she believes, and he will update his expectations accordingly.
(a) In the blanks below, fill in the tuple values for tuples \((B_a, B_b)\) and \((E_a, E_b)\) from the above game tree.
\[
(B_a, B_b) = (\quad 5 \quad , \quad 9 \quad )
\]
\[
(E_a, E_b) = (\quad 7 \quad , \quad 13 \quad )
\]
For a square node, its value \(v\) means the same to Alice and Bob, i.e., we can think of it as a tuple \((v,v)\).
The left value of Alice’s nodes is the maximum of the left values of it’s children nodes, since Alice believes that the values of the nodes are given by left values, and it’s her turn of action, so she will choose the largest value.
The right value of Alice’s nodes is the right value from the child node that attains the maximum left value since Bob’s expectation is consistent with how Alice will act.
So for a triangular node, its tuple is the same as its child that has the maximum left value.
The left value of Bob’s nodes is the average of the maximum and minimum of the left values of it’s children nodes since Alice believes Bob is 50% possible to be adversarial and 50% possible to be friendly.
The right value of Bob’s nodes is the maximum of the right values of the immediate children nodes since Bob would choose the branch that gives the maximum outcome during his turn.
So for a round node, left = 0.5(max(children.left) + min(children.left)), and right = max(children.right).
(b) In this part, we will determine the values for tuple \((D_a, D_b)\).
(i) \(D_a = \quad \bigcirc \quad 8 \quad \bigcirc \quad X \quad \bigcirc \quad 8+X \quad \bigcirc \quad 4+0.5X \quad \bigcirc \quad \min(8,X) \quad \bigcirc \quad \max(8,X)\)
(ii) \(D_b = \quad \bigcirc \quad 8 \quad \bigcirc \quad X \quad \bigcirc \quad 8+X \quad \bigcirc \quad 4+0.5X \quad \bigcirc \quad \min(8,X) \quad \bigcirc \quad \max(8,X)\)
It’s a round node, so left = 0.5(max(children.left) + min(children.left)), and right = max(children.right).
Its children: \((8,8)\) and \((X,X)\). So left = 0.5\((8+X) = 4+0.5X\), and right = max\((8, X)\).
(c) Fill in the values for tuple \((C_a, C_b)\) below. For the bounds of X, you may write scalars, \(+\infty\) or \(-\infty\).
If your answer contains a fraction, please write down the corresponding simplified decimal value in its place. (i.e., 4 instead of \(\frac{8}{2}\), and 0.5 instead of \(\frac{1}{2}\)).
1. If \(-\infty < X < \boxed{6}\), \((C_a, C_b) = (\boxed{7}, \boxed{13})\)
2. Else, \((C_a, C_b) = (\boxed{4+0.5X}, \max(\boxed{8}, \boxed{X}))\)
It’s a triangular node, so its tuple is the same as its child that has the maximum left value.
Its children: \((4+0.5X, \max(8,X))\) and \((7, 13)\).
So if \(4+0.5X < 7\), i.e. \(-\infty < X < 6\), it’s the same as child node \((7, 13)\), and otherwise it’s \((4+0.5X, \max(8,X))\).
(d) Fill in the values for tuple \((A_a, A_b)\) below. For the bounds of X, you may write scalars, \(+\infty\) or \(-\infty\).
If your answer contains a fraction, please write down the corresponding simplified decimal value in its place. (i.e., 4 instead of \(\frac{8}{2}\), and 0.5 instead of \(\frac{1}{2}\)).
1. If \(-\infty < X < \boxed{6}\), \((A_a, A_b) = (\boxed{6}, \boxed{13})\)
2. Else, \((A_a, A_b) = (\boxed{4.5+0.25X}, \max(\boxed{9}, \boxed{X}))\)
It’s a round node, so left = 0.5(max(children.left) + min(children.left)), and right = max(children.right).
Its children: \((5,9)\) and node “Part (c)”.
If \(-\infty < X < 6\), these children are \((5,9)\) and \((7, 13)\).
left = 0.5(max(children.left) + min(children.left)) = 0.5(5+7) = 6
right = max(children.right) = max(9, 13) = 13.
Otherwise \((6 < X < +\infty)\), these children are \((5,9)\) and \((4+0.5X, \max(8,X))\).
left = 0.5(max(children.left) + min(children.left)) = 0.5(5+4+0.5X) = 4.5 + 0.25X
right = max(children.right) = max(9, \max(8,X)) = \max(9,X).
(e) When Alice computes the left values in the tree, some branches can be pruned and do not need to be explored. In the game tree graph on this page, put an ‘X’ on these branches. If no branches can be pruned, mark the “Not possible” choice below.
Assume that the children of a node are visited in left-to-right order and that you should not prune on equality.
- Not possible
It’s impossible to determine the average of min and max until all children nodes are seen, so no pruning can be done for Alice. Leaving “Not possible” unmarked and no ‘X’ found in the graph is interpreted as ‘no conclusion’ and will not be given credit.
|
SAAB GUIDE
KEITH AYLING
MODERN SPORTS CAR SERIES
The Fastest Selling Line of Sports Car Books Ever Published
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Care and Repair of Your Sports Car by Ritch
Fiat Guide by Sloniger
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Triumph Guide by Dave Allen and Dick Strome
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Corvette Guide by Dick Thompson
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Your Sports Car Engine by Karl Ludvigsen
Women in Sports Car Competition by Evelyn Mull
Sports Clothes For Your Sports Car by John Weitz
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MG Guide—Christy & Ludvigsen
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Moments That Made Racing History—Walkerley
Larry Reid’s Rally Tables
Sports Car Events (Gymkhanas, Hill Climbs, etc.) by Robert Clarke
Buying a Used Car by John Christy
Jaguar Guide by John Bentley
Sports Cars of The World by Bob Halmi
Guide to Rallying by Larry Reid
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Guide to Competition Driving by Paul O’Shea
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SPORTS CAR PRESS
Distributed by CROWN PUBLISHERS
419 Fourth Avenue, New York, N. Y.
1961 SAAB 96
SAABs delivery to sunny Florida are marshalled at facility at Jacksonville. SAABs have made big hit in the south.
SAAB GUIDE
By
KEITH AYLING
New York
SPORTS CAR PRESS
© 1961 by Sports Car Press, Ltd.
Published in New York by Sports Car Press, Ltd., and simultaneously in Toronto, Canada, by Ambassador Books, Ltd.
All rights reserved under International and Pan American Copyright Conventions.
Library of Congress Catalog Card Number: 61-10706
Manufactured in the United States of America
## Contents
1. Birth of a “Wingless Airplane” ........................................ 7
2. Two Little White SAABs .................................................. 23
3. Roadability and Solid Comfort ......................................... 33
4. Why Front Wheel Drive? .................................................. 49
5. SAAB 95: A “Different” Station Wagon ............................. 65
6. SAAB Granturismo 750 ................................................... 71
7. Your Versatile SAAB ...................................................... 79
8. Maintenance ................................................................. 86
9. “The Little Sedan That Became a Racer” .......................... 111
10. Formula Junior ............................................................ 125
1. Birth of a "Wingless Airplane"
One of the most exciting small cars on the road today, the SAAB was literally born in the air, being designed and developed by Sweden's leading manufacturers of aircraft, Svenska Aeroplan Aktiebolaget.
With all the aeronautical know-how that has been built into the car, you might almost describe the SAAB as a wingless aircraft. For instance, it has a wind-tunnel-proven aerodynamic profile that contributes substantially to its speed, safety and comfort.
If you doubt the value of this application of aeronautical knowledge, a glance at the pages in this volume which list the fabulous number of competition records piled up by this Swedish small car will convince you. These wins don't stem from accident or coincidence.
I use the term "small car" after considerable deliberation. The SAAB is definitely not a small "big car," like many of the so-called compacts which are being offered today. The designers set out to build a small car, and they are still building one—even if they are progressively integrating big car features within the perimeters of performance and passenger comfort.
As a motor car, the SAAB is unique. Although it has, of course, many features common to other automobiles, no existing marque is so different from the crowd in original conception and construction.
Notably, the SAAB lacks the conventional chassis. The body, which serves simultaneously as the framework, is virtually a closed shell combining the tasks of supporting the passengers, protecting them, and, at the same time, providing the necessary stiffening and load-supporting connection between the four wheels.
When you ride in a SAAB you are, in effect, encased in an uncrushable steel airfoil on wheels. The aerodynamic characteristics of the SAAB are not merely confined to the top of the car but are continued over the entire contour, which undoubtedly accounts for at least some of its speediness and stability.
**The First Priority — Safety**
When the management of SAAB decided to go into the automobile business back in 1946, they laid down the basic principle that the car was not only to be an ultra-safe car for the occupants, but also for the pedestrian. It had to have the best possible braking system, it had to be skid-proof, sure-footed enough for safe cornering on icy and gritty roads, simple enough for the owner-driver to maintain. In addition, the interior was to be roomy enough to provide comfortable seating for four average-sized people who were to ride protected by the highest possible factor of safety. In other words, the shell of the SAAB had to be practically uncrushable.
The design of the little car was placed in the hands of Gunnar Ljungstrom, the SAAB chief designer, who dedicated himself to these safety principles. That is why your SAAB has a foam rubber padded dash, a collapsible steering wheel and safety sun visors, together with a number of ingenious safety devices which we shall detail later. Prior to 1961, SAAB fitted a thin metal collapsible dash.
The SAAB design engineers started from scratch. First they made a clay model of what they wanted their automobile to look like, and then they went to work on the many complicated problems of bringing their conception to reality.
Most serious among their problems was the necessity for maintaining absolute rigidity in the steel welded shell, and at the same time providing adequate doors and windows. After all, a sightless or “over-blind-spotted” car would present a more serious safety hazard than any weakening of the structure due to windows.
Tryggve O. A. Holm, President of SAAB, tried out the 96 on the air-strip at Linkoping. A prominent banker and industrialist, Holm is motivating spirit behind SAAB enterprise which builds jet planes and automobiles, and imports American Chrysler car for Sweden.
This designer's drawing of SAAB reinforced body shell illustrates all steel construction methods employed by Swedish engineers to ensure highest possible rigidity.
After reinforcing the side windows to their satisfaction with steel stiffening frames, there was still the problem of the rear window—which in the early SAAB was on the small side. This was finally surrounded by a steel frame welded to the shell, which itself is a continuous unit from the rear of the car up to the doors.
This part of the body resembles an eggshell from which a large part of one end has been streamlined. This shell form is prevented from deformation by inserting a bulkhead or bottom a short distance inside the shell, to produce a considerable stiffening effect. This bulkhead consists of the sloping wall which serves simultaneously as the back support of the rear seats. Although there is a large aperture in this wall to allow access to the luggage compartment, the wide surface of the plates on three sides enables the wall to function stress-wise as if it were solid.
The roof is rigidly fixed at the top, the floor at the bottom, and the outer panelling of the body at the sides. The sides of the floor are strengthened with straight closed-plate sections. Thus the roof and flooring extend towards the front, forming two strong beams which are fixed at the back of the shell. The fire wall is located between the front end of these beams, where the frame for the windshield is mounted.
The fire wall has extra strong lateral side members to allow it to take vertical loads, the fire wall itself forming a channel girder across the entire car over two feet in height. The wheel housings which are located near this “massively” strong channel girder form the side walls of the engine compartment and constitute a supporting member for the front of the car, with the flooring connecting them.
The main part of the spring-suspended weight of the car (body plus passengers) is transmitted to the springs through the shortest possible path; the front and rear spring suspension consists of arms mounted in housings directly bolted in front of the fire wall and behind the sloping wall referred to above.
Exploded view of SAAB engine.
The dimensions and layout have been chosen so that all parts cooperate in taking the maximum permissible stress at maximum loads. Loading tests carried out under realistic conditions verified this, the strain gauges showing that minimum deformation was experienced despite the openings for windows and doors which worried the SAAB aeronautical designers considerably.
When he settled down to design the SAAB 92, which was the first car put out by SAAB after three years of research and development, Gunnar Ljungstrom also had to shoot for the highest possible economy combined with satisfactory performance.
As far as is known, few limitations were placed on the design department. SAAB wanted to build a car, and it had to meet certain definite specifications, just as would a new aircraft. Choice of engine, transmission and general layout was left to Ljungstrom.
One can well imagine that the aircraft designers had a lot of fun, combined with a tremendous amount of painstaking research. A great many factors had to be considered. First, of course, the car had to be able to perform well in Sweden’s winter climate. An engine that
started poorly in cold and damp weather was out of question, as was a car that tended to go into a skid at the first sign of ice. Also, the body of the car had to provide adequate protection for its riders against extreme cold and heat.
SAAB selected a 2-cycle engine because of its inherent simplicity, its starting ability under all weather conditions and its beneficial quality of being self-lubricating. The early SAABs (Series 92) were equipped with a 2-cylinder, 2-cycle water cooled engine employing the Schnurle principle.
In the SAAB 93, which made its appearance in 1955, this engine was replaced by a 3-cylinder model. This small power unit is in itself a tribute to engineering ingenuity, achieving a considerably higher output by increasing the number of cylinder to three without increasing the total cubic capacity.
No one being better qualified to describe an engine than its designer, let’s hear from Gunnar Ljungstrom by means of extracts from a technical paper he wrote in 1955 prior to the introduction of the SAAB 93 in Sweden and the U.S.
“The cylinder block and the upper part of the crankcase with half the bearing seats for the crankshaft are cast in one piece. The lower half of the crankcase contains the main bearing caps. These two parts are of cast iron. The cylinder head is an aluminum alloy.
“The crankshaft is straightforward and rugged in design. It consists of six identical disks interconnected by main and big-end bearing pins. All constituent parts are case-or-induction-hardened. The crankshaft is carried in four similar SKF single-row ball bearings, which all satisfy stringent requirements on radial play and tolerances on outside and inside diameters. All main bearing seats are made to tolerances as close as .0006 in.—another example of the high precision built into this engine.
“The use of crankcase compression to scavenge the engine requires efficient sealing between the crankcases of the three cylinders. This is ensured by labyrinth seals consisting of ordinary piston rings fitted in their grooves with small clearance and pressing outwards. The distributor drive is sealed off by spring-loaded rubber seals. The three big-end bearings are designed as double-row cylindrical roller bearings, with the rollers directly contacting the hardened surface of the big-end pins and connecting rods. The roller cages are die cast in one piece. The simple construction of the crankshaft, the direct journalling of the main bearings in the cast-iron seats and the direct contact of the big-end bearing rollers with the big-end pins and connecting rods have kept the number of tolerances to a minimum. This in turn has made it possible to keep all bearing play within the narrow limits required for quiet running without having to resort to a comprehensive selection system.
“The ignition system is of conventional automobile type with 12-volt primary voltage, differing only in that distributor r.p.m. is the same as crankshaft r.p.m., which is not the case in 4-stroke engines.
“The cooling system includes fan, thermostat and a circulating pump with rotor attached to the extended generator shaft. Generator and fan are driven by a common V-belt. The radiator is positioned immediately behind and higher than the engine so that the fan forces air through it. Cooling-system capacity is sufficient for continuous city driving in the hottest weather and has also proved satisfactory for driving over the steepest alpine passes. Our decision to use water cooling instead of air cooling was greatly influenced by the wish to provide a really effective heating system for the car; with water cooling the heat can be carried in small size hoses from the heat-producing engine to the most suitable point for warming up the ventilation air. In direct air-cooling system, the air has to flow over engine parts which are often dirty, oily, etc.; the ventilation air is also liable to pollution from defective gaskets and similar. Quick heating-up of the coolant is assisted by a thermostat which shuts off the flow of water to the radiator during the warming up period and directs the entire quantity through the heat exchanger for ventilation air. The heat exchanger is situated forward of the instrument panel and immediately in front of and under the fresh-air intake at the lower edge of the windshield. Fresh air thus has only a short distance to pass through the heat exchanger and into the car.
"The fuel system consists of fuel tank (situated a little behind the rear seat) fuel line with electromagnetic fuel pump, electric fuel gauge with optical warning when tank content has fallen to approximately two gallons and carburetor of down-draught type. (See page 13).
"The inlet and exhaust systems play an important part in the output of a two-stroke engine and its function in general. They have been developed in extensive and intimate cooperation with firms specializing in the field. The induction silencer contains an air filter. A pre-heater for the induction air prevents the formation of ice in the carburetor in damp weather and at temperatures below $60^\circ$ F. This may be removed in summertime to achieve a slight increase in engine output.
**Power Transmission**
"The engine is mounted longitudinally forward of the front axle. Power is transmitted through a single dry
disk clutch and via a free wheel to the gearbox behind the front axle. A pinion shaft from the gearbox drives the ring gear, and articulated shafts from each side of the differential drive the front wheels.
“The construction of a gearbox sufficiently short for the available space was a major design problem. The space behind the front axle is not substantially greater than in the SAAB 92 where, however, the gearbox is forward of the front axle. A short gearbox has been obtained by transmitting the power to the pinion shaft by gears direct from the drive shaft from the engine (2nd and 3rd speeds) and via a third shaft, which is used for 1st speed and reverse. Length has been kept to a minimum in all cases by transferring power to only two gears on the pinion shaft: the forward gear being used for driving on both 1st and 3rd, the rear for both 2nd and reverse. It is now easy to change down from 3rd to 2nd and from 2nd to 1st without declutching, a great help when driving in heavy traffic. First is engaged by a dog clutch with large clearance. Only reverse is sliding-gear engaged.
“The power unit is mounted on two rubber cushions on the front end of the engine and one behind the gearbox. The front pair are of block type and the rear cushion is circular. This mounting allows the unit to oscillate around the very axis it would choose if it were suspended infinitely unrestricted while the engine was idling. The front silencer is included in the weight of the unit and this helps lower the frequency and the front end of the above-mentioned axis of oscillation. All this ensures smooth idling.
**Performance**
“The remarkable capacity of this type of engine for high r.p.m. and high loading without greater over-heating or wear of parts than are occasioned by low r.p.m. and loading permits continuous driving on open roads at speeds approaching the car’s maximum. Under favorable conditions, such as slight down gradients or following winds, the endurance of the engine can be utilized to drive at speeds considerably in excess of the car’s maximum levelground, still-air speed without danger of damage to the engine.
"When overtaking, 2nd gear can be used up to approximately 45 m.p.h., and 3rd provides excellent acceleration around the 50-55 m.p.h. mark because the engine develops its maximum torque at a relatively high r.p.m. At speeds below 35-40 m.p.h., use the gears appropriately to obtain fullest available power." With the larger 96 (42 hp) model, the necessity for such frequent shifting is substantially reduced.
Stability Through Ingenious Suspension
The road stability for an automobile derives from a complicated geometry of layout in which weight distribution, suspension, and rear axle design play major parts.
You have to drive a SAAB to appreciate the carefully calculated suspension geometry, which gives the smoothest ride you can expect from such a relatively small car.
Suspension is by means of coil springs, transverse links
mounted in rubber, telescopic shock absorbers and a stabilizer bar. (See page 12).
The rubber bearings are designed to allow angular movements without any sliding motion. All the relative movement is absorbed elastically by shear in the rubber. The roll center lies somewhat above the ground level. The coil spring is mounted on top of the upper suspension arm. An anti-roll bar stabilizer connects the two lower suspension arms. The outer ends of these arms are connected to the steering knuckle housing by ball and socket joints.
Front wheel suspension is achieved by carrying the stub axle in a single angular contact ball bearing. Extensive tests have proved this configuration provides both efficient functioning and long service life.
The rear suspension system is ingenious, consisting of a "U" sectioned rigid axle attached to the body by a rubber bearing and by two longitudinal links at the sides. The central bearing takes up lateral forces and, aided by the springs, absorbs braking torque. The side links keep the rear axle at right angles to the car's longitudinal axis, and absorb the braking forces from the rear wheels. The coil springs are positioned close to the wheels on the inside. When operating without roll, they compress an amount equal to the vertical movement of the wheel relative to the body. When roll does occur, as in cornering,
shock absorber movement is approximately 80% of wheel movement; without roll, it amounts to about half.
The SAAB people justly claim that their rear axle design offers the following advantages:
(1) No rear-end lift when braking; brake torque produces spring compression which compensates for the rear-end lift that usually accompanies violent braking.
(2) No swaying in S-bends; the shock absorbers react to abrupt swerves, cutting down on sway and greatly aiding the car’s steering ability.
(3) Small space requirements; since the central portion of the axle does not move vertically, a maximum of space is available for luggage, etc.
The use of a rigid rear axle also offers the advantage of keeping the rear wheels always at right angles to the ground, even if the car does lean. Wheels so positioned have less tendency to sideslip than those which incline outwards when cornering.
Weight distribution is approximately 58% on the front and 42% on the rear wheels with two people in the car. This weight distribution ensures good driving wheel grip, and keeps the greater load on the front wheels except when the gradient exceeds 25%. Contrary to popular fallacy, a front heavy car is not susceptible to side winds.
The SAAB 35A Draken armed with U. S. “Sidewinder” air-to-air guided missiles is high flying brother of the SAAB automobile.
Test Procedures
In view of the fact that SAAB was shooting for both safety and ruggedness, the early models were subjected to the same type of rigorous component and assembled testing as the SAAB aircraft. Before being put into production, each SAAB model is put through tests specially designed to reveal any weakness in construction, wear phenomena, and torsional fatigue, to name just a few.
Test cars are put through routine road tests of considerable severity. Then come special tests which include the car being driven at full speed in both directions round a circular track with an uneven planked surface. Runs are also made over a special track about 100 yards long studded with four-inch blocks in a pattern contrived to test wheel suspension, springing, shock absorbers, steering gear and body-to-load stresses which would only normally occur if the car ran off the road or was driven over deep pot holes. An example of the thoroughness of this test is seen in the fact that no part of the SAAB 93 was approved before it had survived 1,000 runs over the blocks and 200 jumps from a test jumping board.
A Little History
The SAAB Aircraft Company was founded in 1937, and since that time it has consistently worked for Sweden’s national defense. After manufacturing several foreign aircraft under license, the company began to design all-Swedish types of military aircraft. Among these was the SAAB-21 Fighter and Attack Aircraft, which was not only an unconventional plane in general design but was one of the first aircraft to be fitted with an ejection seat. In 1944, SAAB began partial re-conversion for peacetime aviation, and after modifying a number of American B-17’s for airliner use, began building civilian and commercial transport types.
Today SAAB, which produces the new jet fighter Draken, is a major supplier to the Swedish Air Force, one of the most modern and most powerful in the world. The Draken flies at 36,000 feet at supersonic speed and climbs at approximately 50,000 feet per minute. Top speed in the latest version is more than twice the speed of sound.
SAAB employs some 8,000 people in aircraft production and operates a modern subterranean factory, space for which was blasted out of granite rock several hundred feet below the green fields surrounding SAAB’s handsome plant.
In 1949 the company produced its first automobile, the elegant little SAAB 92. This was followed in 1955 by the SAAB 93, a modified version of the 92, which in its turn was modified to the current SAAB 96. Both the SAAB 96 and its companion, the 95 station wagon, are illustrations of the result of considerable engineering thought applied to the task of meeting consumer needs without sacrificing established principles.
Having driven both the early model SAABs and these latter offerings, I can report that great progress has been made without losing any of the good features of the original car. The major improvements are improved acceleration, increased flexibility, and more power without any increase in gas mileage.
The series of figures throw a light on some of the facts and problems that have to be studied in the work of design: clearance, driving position, visibility, position of the center of gravity in a vertical direction, overall dimensions, wheel-base weight, seating of passengers relatively to the axles, springing, driving aggregate, air resistance.
2. Two Little White SAABS
One of the strangest aspects of the invasion of the North American continent by SAAB is the manner in which the sales beachhead was established. The first two SAAB 93's arrived in Brooklyn in the spring of 1956. The two little white cars attracted little notice, but they had been landed on what might be described as a serious and vitally important mission.
First they were used as conversation pieces and demonstrators with various carefully selected dealers. Then they made their debut at the International Automobile Show at New York's Coliseum. The excitement they created was fabulous. The novel configuration of the engine and transmission and the car's functional streamlining set people talking. Even if they shook their heads, they talked.
At that time, however, you couldn't buy a SAAB in the United States. They were just cars that were being talked about whenever men talk about cars. Only a few automobile editors, writers, and selected drivers were allowed to try them out. Their enthusiastic reports fanned the flashes of interest spreading across the country.
Meanwhile, the SAAB sales brain trust was considering the most sufficient way to cash in on the furor caused by the unveiling of their novel product, which had already established a reputation throughout Europe.
It might have been easy at that stage to import a few thousand SAABs and sell them like proverbial hot cakes, but SAAB was not interested in obtaining mass sales unless it could service its product.
It sounds wonderful to be able to announce that you have a coast-to-coast dealer network, but multi-dealer organizations without service facilities had already proved
The reinforced steel shell of the SAAB offers a high degree of rigidity. Aircraft type stress disposal is used throughout. Note corrugated steel panels.
to be the worst advertisement for some-imported marques. No matter how much he likes his car, once he is held up because of the lack of spare parts or service information the average American throws up his hands in despair and makes plans to trade his car in for another product. Worse still, he’s going to talk about his troubles and give the marque a bad name.
The SAAB people decided to avoid taking any such risk. They knew their product was good, and they wanted to launch it soundly, ethically, and profitably. No SAAB would ever to be sold anywhere in the U.S. where SAAB-trained service was not immediately available.
The North Atlantic states were selected as the trial area for sales. A depot was established at Hingham, Massachusetts, some 14 miles south of Boston. Here, the newly-arrived cars would be stored and prepared for sales. With each car came an abundant supply of spare parts, which were stored and catalogued.
A Key Rally
Some of the new cars were used for demonstration purposes, but it was important to establish a reputation on
the American scene. In November 1956, SAAB Motors, Inc., now under the direction of Ralph T. Millett—who had represented the SAAB Aircraft Company in the United States since 1947—entered a team of three stock SAABs in the Great American Mountain Rally. Under the direction of Rolf Mellde, head of SAAB’s competition department in Sweden, the venture paid off. The SAAB driving team headed by Bob Wehman, now SAAB Service Manager, partnered by Lou Braun, won the over-all, class and team awards in what was undoubtedly one of the world’s toughest events, perhaps second only to the Round Australia Rally in punishment handed out to competing cars.
The surprising victory shot SAAB into the headlines. The little white cars became a hot subject for discussion wherever sports car fans gathered. SAAB was being talked about from coast to coast; and the most exciting and exasperating factor about the new car was that it was “rare.” Everybody wanted a SAAB; but where were they?
A few weeks after the announcement of the SAAB’s first big victory on American soil, the Viking automobile invasion began. Two hundred and fifty SAAB 93’s were landed in Boston Harbor.
As the cars were unloaded, SAAB’s Rolf Mellde was hurriedly organizing and operating the first SAAB service
SAAB Motors, Inc. President Ralph Millet with Bob Wehman, SAAB serviceman, extreme left, and Lou Braun, extreme right, pose with winning cars in Great American Mountain Rallye.
school at Hingham. The men who attended it were learning how to service the car by means of the latest instructional aids, including special films and sectionalized mock-ups of the car and its unique engine.
Here again the company displayed what proved to be superb merchandising generalship. Each prospective SAAB dealer had to sign an agreement stating that he would put his service personnel through the SAAB service school, and also would stock a minimum number of spare parts.
It was further decided to restrict dealership to areas where SAABs could be readily supplied with spares. At all costs, supply lines were not to be spread too thin. Those dealerships were handed out in strict proportion to the number of cars that Sweden could export, and in proportion to the available spares.
By the end of 1957, SAAB had some 60 dealers who
International commerce is seen in action at Edgewater, New Jersey, where Chrysler Valiants are loaded for shipment to Sweden, as SAAB automobiles are brought in for sale in the United States. This two-way exchange of merchandise between Sweden and the United States plays an important part in maintaining economic balance between two countries.
sold 1,500 automobiles. Each had a backlog of orders. The SAAB was literally selling itself.
Quite naturally, the Great American Mountain Rally victory attracted widespread attention among crack American drivers. People literally stood in line to get SAABs. The car became a hot favorite as SAAB’s astonishing list of competition victories began to build up. Rarely has any car caused such a sensation.
By the end of 1958, SAAB dealers were among the ten top importers in relation to the sales-per-dealer factor. More than 3,500 new SAAB cars were registered in 1958, twice the 1957 total.
The increasing U.S. demand for the car was responsible for the accelerated completion of a new automobile factory in Sweden. Instead of selling 3,600 SAABs in the U.S. in 1959, the quota was raised to 5,000. Florida was invaded after a new preparation and factory depot had been set up in Jacksonville. Next, dealers were appointed in the Middle West. To ease the load at Hingham, a SAAB storage and preparation depot was opened at Cartaret, New Jersey. More spare parts were imported and stockpiled, and additional service schools put into operation.
By the end of 1959 40 new dealerships had been added,
New cars are received and prepared for dispatch to dealers at SAAB's vast facility at Hingham, Massachusetts.
giving SAAB a total of 160. In spite of this glittering success, the SAAB management still refused to “go national.” They remained as conservative and determined in their conception of sales promotion as in their engineering, rigidly sticking to their policy of selling only in areas where they had established supply lines.
Despite the arrival of the domestic compacts, the SAAB passed its U.S. sales goal of 5,000 units. Today, SAAB has spare parts valued at over one and a half million dollars strategically stockpiled in the U.S.
“The emphasis in our program,” says SAAB’s president Ralph Millet, “is to provide our customers with the best in service and immediate availability of spare parts. That emphasis will remain.”
SAAB dealers are largely responsible for the various improvements that have been put into the SAAB since it has been on sale in these United States. SAAB Motors president Ralph Millet regularly sends out questionnaires to his dealers asking them to report customer suggestions and complaints, and to add their own ideas for improving the product.
Since the first SAAB was sold in America, no fewer than 31 improvements have been embodied in the design without extra cost to the buyer. These are listed below:
1. Heater and defroster
2. Key starter
3. Full instrumentation
4. Larger fuel tank
5. Safety-padded dashboard
6. Windshield washers
7. Self-cancelling turn signals
8. Adjustable lounge seats
9. Safety sun visors
10. Vinyl upholstery
11. Foam rubber upholstery
12. Undercoating
13. Safety belt fittings
14. Safety glass all around
15. More powerful engine
16. Wrap-around rear window
17. Wider 3-passenger rear seat
18. Air circulation vents
19. Opening side rear windows
20. Double size locking glove compartment
21. Larger radiator
22. Larger brakes
23. Theft-proof ignition lock
24. Double acting shock absorbers
25. Front arm rests
26. Adjustable rear seat
27. Dome light
28. Front hinged doors
29. Larger air scoop
30. Improved door locks
31. 23% more luggage space
It is interesting to note that Sweden maintains an ideal balance of import-exports with the U.S. SAAB, for instance, imports a considerable amount of aircraft and electronic components and pays for them in cash, and SAAB dealers in Sweden import and distribute Chryster Corp. automobiles and parts. This results in a healthy and harmonious international commerce, entirely devoid of any menace to either nation’s industrial economy or currency.
Phantom view of the SAAB 3-cylinder 42 hp two-cycle engine with gear box and differential.
SAAB 93B comes out on top in hill climb event.
3. Roadability and Solid Comfort
Roadability in a car is as important as wifeability in a woman. Within the confines of this book, we shall only concern ourselves with the former. No matter how attractive its line, no matter how colorful and luxuriously comfortable its seating, without an acceptable function performance and good road manners an automobile amounts to little more than an expensive oddity.
The SAAB ranks high in roadability. This can be summed up by saying that it is a highly efficient medium of transportation which embodies maximum safety and passenger comfort under an infinite variety of surface and climatic conditions.
The moment you get behind the wheel and sense the SAAB’s big car feeling, consequent on its low center of gravity and longish wheelbase, it is comforting to reflect on the sturdiness of its construction. The unobtrusive windshield pillars, for instance, actually contain within them rectangular steel tubes which amount to “built in” roll bars similar to those used on racing cars to protect the drivers in case their cars flip.
Similarly, driver and passengers sit inside the strengthening members or bulkheads of the steel shell, and the heavy steel cross members run under the delightfully padded front seats, the strength of these cross members offering a superlative degree of protection in the event of a sideswipe or a sideways crash. Additional safety is provided by those corrugated steel panels in the engine and trunk compartments.
If ever a manufacturer came up with an answer to the generally accepted fallacy that the driver of a small car must inevitably come off the worst in a road crash, the
SAAB people have it. I have seen a SAAB which turned two terrific end-to-end somersaults on a track, and after peeling off into a series of six barrel rolls, ended up on its side. The driver simply released his safety belt and stepped out uninjured. And there was no damage to the engine, even though the hood and the grille were smashed.
The SAAB experts who examined the car were not at all surprised. In fact, if the main structure of this particular SAAB—which was doing 75 m.p.h. when the accident happened—had been damaged, they would have felt that they had failed in their object of creating a safe automobile.
Because the dimensions and layout of the spot welded body were so designed in the early models that every part of the structure bore the maximum permissible stress, the SAAB engineers resolutely refused to increase the size of the rear window, and worried somewhat when their aeronautical strain gages showed minimal deformation due to the window framing. This was eliminated by a rearrangement of the rear passenger seating.
The designers figured a view of the road is not so important for the passengers in the rear seats as for the driver, so they are placed unusually low down. This allows ample headroom, and also enables the outer roof to be shaped more favorably from the aspect of reduced air resistance. The rear window is set so low that the correct position for the rear window driving mirror is at the lower edge of the windshield.
However, in response to the wails of the small fry, who are usually consigned to the back seat, the new model now has three height settings. The highest still allows the driver an unobstructed view of what’s behind.
**An Unexpected Plus: Roominess**
Another argument you often get when discussing small cars is that they’re cramped. Even if there is leg room, say their detractors, the fellow who’s broad on the beam is going to feel like a sardine.
When I took over the SAAB 96, which represents the greatest change the SAAB has undergone since the 93, my
first passenger was a fellow who liked to boast he wouldn’t be seen dead in one of those little jobs. Weighing a shadow over 220 pounds, and being some six feet tall, he might well be excused on the score of bulk, but I was merciless, and so he capitulated after sundry semi-serious objections.
We had only driven a few miles when he burst out, “Jeeze, there’s plenty of room here.” I pretended to be concentrating on the driving. Presently he exclaimed, “And it’s darned comfortable too. Didn’t expect they’d have seats like this.”
The temperature outside was under ten degrees. The semi-melted snow of a previous thaw had been frozen to solid undulations of gleaming ice. The suburban roads were dotted with stalled cars, and here and there you heard the tortured screaming of tires as they spun in icy valleys, in vain attempts to get traction.
Inspired partly by a natural perversity, and partly by a sincere desire to test the SAAB’s surefootedness, I headed straight across an icy wilderness of uncleaned slope. It was about as tough a test as you could inflict on a car, particularly when we were brought to a sudden involuntary halt within a few yards by a station wagon which had shot out of its garage and stopped dead ahead across our path.
I could almost hear the cynical giant beside me saying under his breath, “Now what are you going to do?” as I slipped into first, and steered round the obstruction. In less time than it takes to write this, we were crossing the ice, in a series of admittedly noticeable plunges, but without loss of traction or the vestige of a skid.
As we gained the smooth cleaned main road ahead, my friend whistled; a whistle of undeniable approval.
The following day, my road tests had to be done in driving snow. The roads were already covered with frozen snow and treacherous patches of flash ice. It was the kind of weather in which only the experienced and the uninitiated go out in automobiles. At least in conventional cars.
As I opened the door of the 96, which I had left out all
night, I remembered that in some of the company’s literature I had read that the little car was designed to operate within the Arctic Circle, which covers a large part of its native Sweden.
Having previously swept the snow off the front and rear windows, I pulled out the choke (cold start lever), and activated the starter. As the engine sprang to life, the quotation “The North wind made the Vikings” came into my mind. Startwise, anyhow, the Arctic Circle made the SAAB.
One of the advantages of a 2-cycle engine is that you do not have to warm it up. You just start and go. Warming up actually is inadvisable; when the SAAB engine is running slowly the power required to operate the moving parts generates very little heat, and so you are only taking juice out of your battery. Reflecting on this easy starting as I backed out of the driveway through driving snow, I felt that these advantages amply compensated for the hard time the average gas station man gave you when you told him that you put oil in your gas tank and that he should put it in first.
You also have the advantage of knowing that in the coldest ambient temperature every one of the moving parts of your engine is getting fresh oil.
Then I drove an uneventful 20 miles to work. The uneventfulness was reflected in the total absence of the skids, swings and stalls that might be expected on such unfavorable road surfaces.
When the engine warmed, the defroster did an efficient job on front and rear windows, and the hot air/ventilation system quickly provided fog-free and frost-free vision.
That evening, the take-off over a good five-inches of snow and the drive home over frozen roads were accomplished with neither incident nor discomfort. Winterwise, at least, the SAAB was doing everything expected of it in an extremely graceful manner.
There was something uncanny in the behavior of the 96 under these really perilous conditions. Coming up with other cars stalled and slithering, I at first succumbed to a feeling
of compassion, but later this purely personal emotion changed to one of content tinged with a streak of pride at being behind the wheel of such a competent vehicle. Other SAAB drivers have told me of experiencing the same feeling.
That was all there was to my winter road testing. You set out with a minimum of fuss or precaution and you arrived in comfort. What more could you ask of transportation?
Summing up, you might almost say that SAAB’s the car that gets you there without a care, which happens to be the company’s sales slogan.
**Solid Comfort**
Driver and passenger comfort are essential qualities of a car’s roadability. The SAAB’s hot water heater is efficient and odorless. The three controls are prominently placed on the left-hand side of the dashboard. The air control damper allows air to circulate through the heater unit. While the engine is cold you naturally get cold air, but it warms up rapidly as the temperature rises. On cold days, it’s a good idea to keep the air flow shut off until the engine warms up.
The lever marked “Cold-Hot” is pressed down to start the hot water circulating through the heater element.
The control marked “Floor-Defr.” directs the air either upwards through the defrosting ducts or down to the floor. Leave it in the middle and you get an equal flow in both outlets. When the air control “Closed-Open” is operated, the air stream can be reduced or completely shut off. The heater fan control has two speeds.
There is also an intriguing chain to the left of these controls. This is one of those refinements you usually find only on ultra-expensive European cars. It controls a blind behind the front grille which allows fast warm-up and, when closed, protects the engine from moisture in the event of a heavy rain storm.
How About Hot Weather?
With so much attention being paid to winter driving, one is almost tempted to forget the extreme heat which prevails over some areas of these United States.
Did the SAAB designers visualize the needs of a driver crossing the Mojave Desert, or sweating it out in a Washington summer? They did. With a little thought and a few simple jigglings of levers, your SAAB can be practically air-conditioned.
The first thing you do when the robins arrive is to uncover the little ventilation holes in the engine compartment and, of course, open your blind. Then the fresh air intake control is opened wide. The SAAB, incidentally, has air openings high enough to escape sucking in the fumes from the exhaust from the cars in front of you. Then with your windows open, and with the cunning no-draft device on the side windows, you should be as cool as you need.
When a car stands for a long time in the heat, it can get really warm. The SAAB fresh air heater can take care of this condition. If the engine is cold, move up the heater control to the “COLD” position. Then pull out the fan button and cool air will come pouring out of the ducts which supply warm air when the control is on “HOT.” This cool air can be directed in the same way as warm air, thus providing you with a degree of air-conditioning which can be very acceptable.
THE SAAB 96—100 Improvements
The SAAB 96 is said to have approximately one hundred improvements on the older 93 model which made its appearance in 1956, but most of these are scarcely evident except to the owner. Your SAAB 93 hasn’t been outdated even by what the manufacturers hail as radical changes in the new model—a bigger, wrap-around rear window, a remodelled rear end, and a wider rear seating arrangement. The 93 and the 96 have a close resemblance to each other, which is advantageous when trade-in time comes round.
There is also more power from the larger engine, and greater acceleration. If you have never been exposed to the silky power drive of the SAAB 3-cylinder engine, you have missed a worthwhile motoring experience. In fact, having been removed from such experience for several years, the writer found it even more enjoyable than before. After a few hundred miles of being driven in city traffic, on highways, and on a turnpike, the SAAB engine had gone a long way along the road to selling the idea that a 3-cylinder, 2-cycle engine is eminently more suitable for small car use than the conventional 4-cycle “four.”
Incidentally, your SAAB has a distinctive note when idling, which some drivers might find disturbing at first,
but which familiarity blends into the personality of the car.
One important point to remember is: don’t fiddle around with your carburetor without expert advice. A little knowledge can be dangerous and costly when dealing with the fuel supply, as anyone who has handled a 2-cycle engine well knows.
**Brakes**
The SAAB hydraulic foot brake operates on all four wheels. The rear wheels have one double action cylinder and the front wheels have two single action cylinders. The brake fluid container is conveniently located in the engine compartment, left of the radiator. The mechanical parking brake works on the rear wheels only. Its position between the two front bucket seats is conventional to many European sports cars, and although it may seem unfamiliar to new drivers, its position and power will be appreciated as one gets acquainted with it.
The manufacturers claim their brakes have exceptional heat resistant qualities, which enable them to withstand excessive temperatures without fading. In view of this, they urge owners to fit nothing but original SAAB linings or linings recommended by the company. In driving I found that the braking effect on top gear is powerful and anything but abrupt.
**Free Wheel**
Two-cycle engines do not decelerate as quickly as 4-cycle because of their friction-free design, and this is probably the reason why most 2-cycle powered cars, including the SAAB, are fitted with a free wheeling device. This is somewhat of a novelty in America, although it is widely used on all kinds of cars in Europe, mainly as a gas saver.
When you get used to it, the free wheel provides you with a delightful sensation of gliding. At the same time it saves gas and reduces engine wear. Let’s say you are cruising at 40 m.p.h. When you lift your foot off the pedal, the car will continue even if engine speed drops to “idle.” The free wheel also allows you to shift down from third to second and up from second to third without the
use of the clutch. If you have to push the car for starting, you must disengage the free wheel by operating the handle under the dash.
**Driving Hints**
Every *marque* of car has a distinctive personality and, as can well be expected, the SAAB is no exception. Frankly, it has one of those personalities which endears itself to you with closer acquaintance.
Through the medium of a number of succinctly written manuals and pamphlets, the SAAB people play the mother hen to their customers in a delightfully friendly and informative manner. They obviously want you to know their car and to like it. Here is how they put it in one of their
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**Engine and component configuration of SAAB models permit complete accessibility. Considerable work can be done without removing engine. Hood is easily detachable.**
little books: “If you buy a car with unique features, why not know what they are.” They also remind us that a lot of people buy a car and do not discover, until they are ready to trade it in, that it has a number of features which would have been just what they wanted if they had known of their existence.
If you own a SAAB—and if you can read—the Swedish boys are not going to let this happen to you. For this friendly service, they deserve top marks.
As a SAAB owner, you will learn that you should drive harder than you normally would in a domestic car, which means that you should not change up until you have really reached a “good speed” in your present gear. In other words, have a hard foot and use it right and your SAAB will love you.
And here’s good news when your battery goes dead, which has been known to happen to the most careful motorist. All you do is depress the clutch and pull out the free wheel lever, put the car in gear, and get another car to push. You won’t have to be pushed far. The 2-cycle engine will start in about a tenth of the time that it takes a 4-cycle to respond under this type of treatment. A few trips round the block will re-charge your battery.
The SAAB dealer service program is one of the best in the United States. However, there are always spots where a foreign car of any kind is as rare as a Ubangi on Broadway. And there are always people who regard such a vehicle with awe and suspicion, their attitude being “I wouldn’t like to touch the darned thing!”
If you are likely to be driving in such parts, and even if you are sticking to civilized areas, you don’t have to get ulcers if some small difficulty manifests itself. Your SAAB dealer can supply you with a travel kit at a nominal cost which contains:
1 complete gasket set
1 fan belt
1 distributor cap
3 spark plugs
1 distributor rotor
1 set ignition points
1 condenser
1 fuel pump diaphragm
1 set fuel pump points
1 carburetor needle valve
All electric bulbs not easily obtainable elsewhere.
If you have not looked underneath the hood of a SAAB, we might as well tell you that the engine and the battery and other vital parts are exceedingly accessible. The hood is readily removed from the car for detailed work, and most repairs can be done without removing the engine.
**Random Observations**
A second look under the hood reveals further examples of the manufacturers’ concern for their product, and for your driving comfort. Even the direction of the flow of coolant in the radiator is indicated. The type of spark plugs that should be used, and the appropriate gapping, are plainly printed on the air cleaner. There is a handy rattle-free clamp for carrying a quart of SAAB oil where it can be kept warm by the engine heat. The distributor, directly behind the grille, is protected against driving rain by a metal shield. Even the fan in front of the rear positioned radiator is protected by a wire cage.
A cowling or pan beneath the engine compartment protects your engine from mud and road splashes. Years ago some conscientious manufacturers provided these, but this valuable courtesy to engine and owner vanished with the age of mass production. SAAB thoughtfully include it, in addition to efficiently undercoating the entire bottom surfaces of their cars.
As you become acquainted with the SAAB, you become aware of various little extra comfort items not usually found in small cars; conveniently placed rear ashtrays, foam rubber arm rests, and pull straps for the rear seat passengers.
Air circulation within the car is particularly good. The rear side windows open in the 96, and the front side windows are fitted with an entirely novel system of top venting.
which keeps the rear seat passengers from being disturbed by in-rushing air. The two-speed blower does an excellent job of both defrosting and heating. Outlets are provided beneath the side windows.
The dash is well padded and has a non-reflective finish, essential because of the SAAB’s sloping windshield. Actually, our only anxious moment experienced while driving the 96 came when setting sun hit the glass at an oblique angle and a careless pedestrian ignored the traffic lights and stepped right in front of the car at a city crossing, suddenly appearing as a black shape. The brakes, however, were completely adequate.
Upholstery of individual front seats is solid and comfortable, giving adequate body support. These seats are easily adjustable. When slid back, they allow ample accommodation for an extra-tall driver or passenger.
The back of the driver’s seat has a convenience worth its weight in gold in bad weather. It can be adjusted so that you can sit bolt upright in perfect comfort and see everything possible in front of you.
One thing we liked was the combination of the windshield wipers and the window washers. What’s more, the water really hits the target.
Luggage deck is square and roomy, with spare wheel located underneath.
Gearbox is quiet and effective, the sturdy gate shift a delight. No fooling or fiddling for gears; and a clutch as sweet as you could hope to find. Having handled a few shifts, and appreciated the advantages of free wheeling, you realize that some of the big car feeling you experience undoubtedly comes from the behavior of the gearbox that never allows you to forget it is a solid engineering job, capable of performing its function at any speed.
Seven Keen Critics
The SAAB 96 on which we made our tests had just completed its run in. It was not subjected to any particular test in which its paces were checked by instrumentation, but was called upon to undertake the average daily comEvery SAAB dealer sends his mechanics to a SAAB service school like this one at Hingham, Massachusetts.
muter and household transportation chores that are imposed on a family car. It carried various types of passengers; a heavy six-footer, a long-legged female, and five children who are markedly candid critics. Their verdict: “It’s a cool car. Let’s get one.” From the other riders, general agreement.
To prove our theory that the SAAB 96 and its youthful ancestor the 93 are easy to drive, we tested this on the first fine day by putting a new driver behind the wheel; a gal who’s inclined to turn green at the very suggestion of having to shift a gear. This suggested impending cruelty to SAABs, so we held our breath a trifle at the start. After a preliminary stall, however, the driver got off in fine style and slicked through into third without mishap. When told that one could shift down without declutching, our fair pilot uttered a little squeal of delight, and did just that. From then on, plain sailing. Verdict: “The first
gearshift car I feel I could drive, and not make horrible noises. I like it.”
In view of the fact that the weather was vile most of the time, with seven inches of snow, temperatures slightly above zero, unexpected thaws and subsequent sharp freezes which brought about the most perilous icing conditions imaginable, the SAAB 96 turned in a perfect performance; it completely ignored the weather, and did everything that was asked of it.
SAAB production methods combine production line with custom finish procedures. Bodies are pressed out of heavy gauge sheet metal. After assembly by welding and soldering, the steel is sanded down by hand and then submitted to quality control, after which it is conveyed to the phosphating plant where the final effective shield against rust is applied. Here, after priming, it goes through a series of ovens in which the enamel is baked on. This is followed by wet sanding, a rubbing down, and quality control inspection. Then the entire underside of the body, including the fenders and inside of the boxlike members along the floor, is undercoated.
Meanwhile, engines and transmissions are manufactured at Gothenburg where they are test run before forwarding for installation in the assembly line at Trollhatten.
Driving the car, one is impressed with the complete absence of rattles and noises. This is achieved by frequent inspection and by careful insulation of the body against engine and road noises.
Finally, it would be churlish to leave the car without paying tribute to the attractive and comfortable upholstery. The foam rubber seats are covered in a woven plastic that breathes, thus eliminating that clammy feeling often associated with synthetic fabrics. The colors are attractive, matching the color scheme of the car.
Contents of this SAAB "carbarn" at Carteret, are constantly changing.
Getting to work on time during the Swedish winter is no problem with SAAB front wheel drive.
4. Why Front Wheel Drive?
Asked what he considered the most outstanding feature of the SAAB, Bob Wehman, SAAB’s Service Manager, answered without hesitation: “Its front wheel drive, which allows you literally to aim the car where you want to go.”
In contemplating a car with so many different features, Wehman’s statement could appear to be favorably prejudiced to his company’s product; but, on reflection, without front wheel drive the SAAB wouldn’t be the car it is. Its steering geometry, springing, road stability, transmission, seating design—the entire car, in fact—are built around front wheel drive to enable the automobile to fulfill a very special function for an established purpose.
It is obvious that front wheel drive has numerous advantages over the conventional layout, even though conservative automobile designers have scrupulously ignored it in mass production models. But then we find a parallel in aviation’s neglect of the helicopter, which made successful flights as long ago as 1913, and the reaction principle which is now powering our jet airliners.
Similarly, it was left to the SAAB aeronautical designers to use a nose wheel for landing aircraft, and thus eliminate ground looping which was a frequent occurrence with the conventionally accepted tail wheel. After the Swedes had proved that this configuration definitely ended ground loops, it was adopted by aircraft manufacturers throughout the world.
Without running the risk of star-gazing, it is interesting to note that a new front wheel drive miniature (not compact) car is planned to go into production in Detroit, and no fewer than three prototypes have been running around the Michigan blocks for several months. A recent
arrival from England was B.M.C.’s 4-cylinder Mini-Minor with front wheel drive. Italy’s Lancia followed the crowd.
Front wheel drive is not new. An experience in winning my first hill climb with a front-wheel-drive Alvis more than 30 years ago convinced me that we really had something, but we had to wait a long time before the knowledge spread and was accepted by automotive designers. Oddly enough, in those days as today, f.w.d. detractors were everywhere. F.w.d. impaired your steering, they said. You were liable to flip head-over-heels. You lost traction on steep hills, and when you got into a skid, you never lived to tell the tale. And when you encountered a crosswind on an open road, why you just couldn’t hold the beast.
These were the arguments you heard in Europe—at Le Mans, in Berlin, at Monte Carlo, in Northern Ireland, Brooklands, England, and in London’s Royal Automobile Club. F.w.d. was a freak. The fact that four-wheel-drive trucks conquered the Flanders mud in World War I, they said, didn’t prove that front wheel drive was either needed or practical.
History and prejudice inevitably repeat themselves. Recently I drove into a parking lot in a 1961 f.w.d car. Up came a bright young man, obviously an automobile buff. Certainly my load was a smart looking job, he said, but f.w.d. was definitely not an advantage. It was, in fact, a shocking handicap. So he went through everything—faulty weight distribution, side winds, under-steering, etc., and ended up with the shuddering horror: “And what do you do in winter? You can’t use snow tires or chains, so you’re licked from the start.”
His final shot: “If front wheel drive was practical, Detroit would use it.”
In laying out the design of his car, Gunnar Ljungstrom decided to try and satisfy the following broad automobile requirements:
Operation on firm surfaces as well as soft
On level roads and steep gradients
On open fast roads, narrow lanes, etc.
In summer and winter
Driver alone or with full load
Calm and windy weather
Seating comfort and interior roominess
Safety at all speeds and while braking
Driving on slippery roads, in snow, in strong winds.
In view of the generally accepted principle that passengers should be carried between the two axles, and that a low center of gravity provides excellent ride characteristics, it will be understood that mechanical components and passengers should be located as close to the road as possible. This condition is best obtained by having the floor of the automobile at the minimum acceptable ground clearance, with no integral component lower.
This configuration naturally allows maximum interior space. The full advantage of this space can be maintained by the elimination of the transmission tunnel, a condition that can be achieved by placing the engine with the transmission by the use of either front or rear wheel drive.
Where rear drive involves certain design difficulties and inherent undesirable cornering conditions, front wheel drive offers no such problems.
On the matter of load carrying potential, Designer Ljungstrom has this to say: "The space available between the front wheels is limited by the suspension and steering linkages, as well as the steering deflections of those wheels. In addition, the height of the front end is limited by requirements in respect to range of vision. Thus, there is substantially more space available for luggage at the rear than at the front, while the space at the front is, nevertheless, ample for all commonly employed types of engines; the actual layout of the transmission-engine unit can be varied to satisfy individual requirements of different installations. Good examples of layouts of f.w.d. cars are Dyna Panhard, SAAB, DKW and B.M.C. ADO 15 model. From the foregoing discussion, the conclusions to be drawn are that the installation of the engine at the front, with f.w.d., is beneficial in respect to the following:
Space utilization
Efficiency of rear suspension geometry
Height of the center of gravity
Comfort of the ride.”
Steering Advantages
How about front wheel drive behavior at speed? Like other front wheel drive cars, the SAAB has a notable characteristic of understeer, meaning that the front wheels are self-centering, with a tendency to align themselves toward a straight course during a turn. For high-speed driving, front steered wheels not only help the driver to return to the neutral position after a bend, but they allow him to get a “feel” of the amount of grip he has on traction surface.
Many sports car manufacturers endeavor to give their cars understeer characteristics by modifying the weight distribution, it being well known that a tail-heavy car lacks these.
The following average weight distribution figures will be of interest:
For rear engined cars:
Two at the front: 43% on front wheels
Five occupants: 40% on front wheels
For f.w.d. cars:
Two at the front: 60% on front wheels
Five occupants: 52% on front wheels
With a nose-heavy f.w.d. car, understeer is readily obtainable, as is the case with the conventional front-engined car. But should wheel spin occur with its naturally light rear axle, the car will obey its tendency to follow its front wheels and will straighten out: without rear end breakaway.
But don’t let us forget that a skid is a skid in any language and on any surface, and the quicker you master it, the better. With front wheel drive, all that’s necessary is to ease up the throttle and, bingo, you are in control. With f.w.d. you can forget all about steering into the arc of the skid. Just take your foot off and follow your front wheels.
Two SAABs lead the field at Lime Rock and take first and second place.
Some Magnificent Skids
As a devotee of f.w.d., I deliberately drove the SAAB across an ice-capped parking lot to test its behavior. I tried three types of skid. First I drove straight at fairly high speed and jammed on the brakes, locking the wheels. The skid was straight forward, without the slightest signs of a breakaway which can bring disaster to a heavy-footed jack rabbit driver on an icy road.
The next test was sheer brutality. Driving at 35-40 mph, I went into a sharp turn that one would not normally attempt on any surface. The resulting skid was a beaut. As the front wheels lost their grip, the car left the perimeter of the turn circle with a crabbing sideways movement—that followed a straight line. The moment I took my foot off the pedal, the thrill was over and the front wheels gave me back control. Elated, I jumped out with my camera and took a picture of the skid tracks.
The temperature was ten above, the wind beat against my face like solid ice. I was in a hurry, so I forgot to remove the camera lens cap. No picture!
The next experiment was a goof skid. I braked while turning and let nature do its worst. The SAAB slipped gently forward in a straight line, front wheels turned to the left and locked, and came out with the precision of a
West Pointer when the man at the wheel started to behave himself again.
**Hill Climbing**
As for hill climbing, don’t believe what they say about the deficiency of front wheel drive on steep slopes. Carrying only the driver, on upgrades of about 20%, f.w.d. is superior to the conventional front-heavy, rear-drive car. For exceptionally steep gradients, a rear drive car with full load puts up a superior performance.
However, if your front wheel drive car balks at a steep, badly surfaced hill, you can always go up in reverse. (Not advised on the highway, of course.)
Nevertheless, in speed hill climbing, your front wheel drive car has it over all the others. A conventional rigid axle car with limited-slip differential has a tendency to lift one wheel on a fast climbing turn, to the right, for instance. This lift of the right rear wheel may cause the other wheel to spin, thus depriving the driver of his rear end directional control.
“The fact that the driving wheels of a f.w.d car travel a longer distance than those of a rear-driven car leads to more advantageous utilization of the available torque,” says Mr. Ljungstrom. “With a car having, for example, a
**SAABs are renowned performers on ice.**
(A) front wheel drive; (B) orthodox rear wheel drive with engine at the front; (C) rear engine, rear wheel drive.
Typical weight distribution values for different types of car on the level and when climbing gradients in the forward and reverse directions. The top three in each row are those with the driver and one passenger, while the lower one is with all of the seats occupied.
wheelbase of 100 in., a track of 50 in., and a turning circle of 400 in., the front wheels, on full lock, travel a 20% longer distance than the rear ones. This is true for both forward and reverse motions, and the good traction of a f.w.d. vehicle when reversing up a slope can be most useful.”
Dr. Dick Thompson, the well known Washington dentist and racing driver, is a firm believer in front-wheel drive.
Thompson set a record for fastest lap of the day and a new course record for sedans at Little LeMans in 1960. Dr. Thompson, who has been a competition driver for about 9 years, started in 1952 with an M.G. at Sebring. He was S.C.A.A. National Champion in 1953-54 in a Porsche, in 1956-57 in a Corvette, in 1959 in an Austin-Healey, and in 1960 in the Stingray, which is a modified Corvette.
Dr. Thompson has driven a SAAB in the Little LeMans
race at Lime Rock for the last three years. The only mechanical failure in the complete twenty-four hours of racing, he says, was a wheel bearing—in a rear wheel. "Front wheel drive is unbeatable in competition," he says. "Pulling the car around the turn has certain fundamental advantages that were proven beyond a doubt as the SAABs out-handled any other car on the course as well as being faster down the straight."
After the Little LeMans, Bob Wehman and Dick Thompson took their cars down to Marlboro Raceway and
actually licked Alfas, Sunbeams and Fiat-Abarths. This with an automobile that is designated as a touring car. All of which demonstrates the stamina and durability of the SAAB.
In the area of braking, a front wheel drive car must
be given such brake torque distribution as to prevent the rear wheels locking before the front ones, even when only the driver is in the car. For all other loads, the margin of safety against the rear wheels locking will be wider, which means that when you really have to grind down on your brakes, the car keeps in a straight line as my own SAAB-on-ice experiment showed.
Ljungstrom actually recommends that SAAB owners spin their front wheels purposely, and swing their steering wheel when driving on icy roads. This he describes as “useful and educational” because it proves three facts: that front wheel spin does not mean loss of directional stability; that the road is slippery; that the car will not respond if the steering wheel is turned while too much throttle is being applied.
As for the bogey of f.w.d. cars being more susceptible to high winds, wind tunnel tests have proved that a car with more weight on its front wheels will tend to yaw less than one with the reverse weight distribution.
Here’s how the SAAB designer sums up his feeling about front wheel drive. “If f.w.d. is employed in suitable combination with other elements, the result is a motor car equal or superior to other types in respect to the following essential characteristics: comfort, weight economy, space economy, directional stability and handling under all conditions. Indeed, the only significant disadvantage seems to be the inferior traction in climbing very steep gradients with a full load. Although this is admittedly an important case, it is far from being a decisive one.”
To which the author of this volume humbly adds, “Proven,” basing his own conclusion on first hand experience over many years in many countries, on alpine roads, across desert sands, on suburban streets, country lanes, highways and turnpikes.
**SAAB 96**
**TECHNICAL DATA**
**General**
| Specification | Value |
|-------------------------------|----------------|
| Overall length, including bumpers | 13 ft. 2 in. |
| Overall width | 5 ft. 2 in. |
| Overall height, empty | 4 ft. 10 in. |
| Road clearance (2 passengers) | 7.5 in. |
| Track, front and rear | 4 ft. |
| Wheelbase | 8 ft. 2 in. |
| Turning radius | 18 ft. |
**Hill climbing performance**
| Speed | Percentage |
|-------|------------|
| 1st | 37% |
| 2nd | 17% |
| 3rd | 9% |
| Reverse| 42% |
**Empty weight, excl. fuel and water** 1710 lbs.
**Empty weight, incl. fuel, water, tools and spare wheel** 1800 lbs.
**Weight distribution**
- Empty: front 58%
- Fully loaded, incl. 5 pass. and 165 lbs. luggage = 2700 lbs.: front 48%
**Engine**
- **Type**: two-stroke, three cylinders in line
- **Power**
- SAE at 5000 rpm: 42 bhp
Max. torque at 3000 rpm ........................................... 59 ft. lbs.
Cylinder volume, total ............................................. 51.9 cu. in.
Bore of cylinders .................................................. 2.76 in.
Stroke ............................................................... 2.87 in.
Compression ratio, nominal ......................................... 7.3:1
Fuel System
Fuel tank capacity .................................................. 10.5 U.S. gal.
Carburetor, down-draft type ........................................ Solex, type 40 AI
Fuel pump, electric .................................................. SU, type AUA 79
Cooling System
Capacity, incl. heater ............................................... 2 U.S. gal.
Temperature, normal .................................................. 195° F.
Thermostat, opens at .................................................. 185° F.
Transmission
Oil capacity, gearbox with differential ............................ 2 U.S. qts.
Clutch ............................................................... single dry plate with cushioning device
Plate diameter, outer .................................................. 7 in.
Gear ratios, total
1st speed ......................................................... 17.2:1
2nd speed ......................................................... 8.5:1
3rd speed ......................................................... 5.3:1
Reverse .......................................................... 21.0:1
Differential gear ratio .............................................. 5.43:1
Road speed at 1000 rpm engine speed
1st speed ......................................................... 4.1 mph
2nd speed ......................................................... 8.4 mph
3rd speed ......................................................... 13.6 mph
Reverse .......................................................... 3.4 mph
Suspension
Maximum spring movement:
Front wheels ...................................................... 5.5 in.
Rear wheels ....................................................... 6.7 in.
Shock absorbers, type ................................................ hydraulic-telescopic
Maximum stroke, front wheels ................................. 3.2 in.
rear wheels ....................................................... 4.4 in.
Brake System
Foot brake, four-wheel .............................................. Lockheed, hydraulic
Parking brake, rear wheels .......................................... mechanical
Brake lining sizes:
Front ............................................................. 9" x 1 3/4"
Rear ............................................................. 8" x 1 1/2"
Total area ....................................................... 105 sq. in.
Steering Mechanism
Steering gear ratio, steering wheel/road wheels ................ average 14:1
Number of turns, lock to lock ..................................... 2 1/4
Wheels and Tires
Type ............................................................... wide base, disc wheels
Rim dimensions ..................................................... 4J x 15"
Tire dimensions .................................................... 5.00/5.20 x 15"
Tire pressure: Front ................................................ 24-26 lbs/sq. in
Rear ............................................................. 20-24 lbs/sq. in
FRONT WHEEL ALIGNMENT
Toe-in, measured on rim 0.08 in. ± 0.04
Camber 3/4°
Caster 2°
"King pin" inclination 7°
Electrical System
Voltage 12 volts
Battery, capacity 33 amp.h
Starter 0.5 hp
Generator 160 watts
Spark plugs:
Thread 18 mm
Thread length 0.5 in.
Electrode gap 0.028 in.
Recommendations
Consistent Slow Driving Bosch M 145 T1
(Hot Plug)
Normal and Fast Driving Champion U.K. 10
Static Timing, advance weights retracted 10 - 12° before T.D.C.
Breaker point gap, distributor 0.012-0.016 in.
Firing sequence (No. 1 is the rear cyl.) 1 - 2 - 3
BULBS and FUSES
Sealed Beam (U.S.A.) _______ 50/40
Headlights (R.H.D.) 12620 45/40
License plate lights, 2 12844 5
Turn and parking lights, front, 2 1034 20/5
Parking lights, rear, 2 12821 5
Turn and stop lights, rear, 2 1073 18
Instrument light and control lights, 5 12913 2
Courtesy light 12844 5
10 + 2 fuses (1 in.) _______ 8 amp.
*Tools
Jack and ratchet wrench in bag
Tool bag, containing:
1 Spark plug/wheel bolt wrench (socket and pin)
1 Adjustable wrench
2 Fixed wrenches
1 Combination pliers
2 Screwdrivers (1 Standard, 1 Phillips)
1 Square key for transmission filler, drain and inspection plugs
* All models
SAAB 93 F
TECHNICAL DATA
General
Overall length, including bumpers 13 ft. 2 in.
Overall width 5 ft. 2 in.
Overall height, empty 4 ft. 10 in.
Road clearance (2 passengers) 7.5 in.
Track, front and rear 4 ft.
Wheelbase 8 ft. 2 in.
Turning radius 18 ft.
Hill climbing performance
1st speed 32%
| Specification | Value |
|-------------------------------|------------------------------|
| 2nd speed | 15% |
| 3rd speed | 8% |
| Reverse | 40% |
| Empty weight, excl. fuel and water | 1710 lbs. |
| Empty weight, incl. fuel, water, tools and spare wheel | 1775 lbs. |
| Weight distribution | |
| Empty | front 58% rear 42% |
| Fully loaded, incl. 4 pass. and 176 lbs. luggage = 2600 lbs. | front 49% rear 51% |
| Engine | |
| Type | three cylinders in line, two-stroke |
| Power | |
| SAE at 5000 rpm | 38 hp |
| Max. torque at 3000 rpm | 52 ft. lbs. |
| Cylinder volume, total | 46 cu. in. |
| Bore of cylinders | 2.59 in. |
| Stroke | 2.87 in. |
| Compression ratio, nominal | 7.3 |
| Lubrication | |
| Engine | oil mixed-in fuel |
| Mixing ratio (oil/gasoline) | 1.33 * |
| Oil quality | Two-stroke, SAE 40 or 30 |
| Fuel System | |
| Fuel tank capacity | 9.5 U.S. gal. |
| Carburetor, down-draft type | Solex, type 40 AI |
| Fuel pump, electric | SU, type L |
| Cooling System | |
| Capacity, incl. heater | 2 U.S. gal. |
| Temperature, normal | 195° F. |
| Thermostat, opens at | 185° F. |
| Transmission | |
| Gear ratios, total | |
| 1st speed | 17.19:1 |
| 2nd speed | 8.53:1 |
| 3rd speed | 5.23:1 |
| Reverse | 20.01:1 |
| Differential gear ratio, pinion/ring gear | 5.43:1 |
| Oil capacity, gearbox with differential | 2 U.S. qts. |
| Clutch | single dry plate with cushioning device |
| Plate diameter, outer | 7 in. |
| Road speed at 1000 rpm engine speed | Wheel radius 12 in. |
| 1st speed | 4.1 mph |
| 2nd speed | 8.4 mph |
| 3rd speed | 13.6 mph |
| Reverse | 3.4 mph |
| Suspension | |
| Maximum spring movement: | |
| Front wheels | 5.5 in. |
| Rear wheels | 6.7 in. |
Shock absorbers, type hydraulic-telescopic
Maximum stroke, front wheels 3.2 in.
rear wheels 4.4 in.
Brake System
Foot brake, four-wheel hydraulic
Manufacturer Lockheed
Brake shoe linings, sizes:
Front 9" x 1 3/4"
Rear 8" x 1 1/2"
Total area 105 sq. in.
Parking brake, rear wheels mechanical
Steering Mechanism
Steering gear ratio, steering wheel/road wheels average 14:1
Number of turns, lock to lock 2 1/4
Wheels and Tires
Type wide base, disc wheels
Rim dimensions 4J x 15"
Tires:
Type tubeless
Dimensions 5.00 x 15"
Tire pressures:
Front 26 lbs./sq. in.
Rear (according to load) 20-24 lbs./sq. in.
FRONT WHEEL ALIGNMENT
Toe-in, measured on rim 0.08 in. ± 0.04
Camber 3/4°
Caster 2°
"King pin" inclination 7°
Electrical System
Voltage 12 volts
Battery, capacity 33 amp.h
Starter 0.5 hp
Generator 160 watts
Spark plugs:
Thread M 18
Thread length 0.5 in.
Electrode gap 0.028 in.
Recommendations
Consistent Slow Driving Bosch M 145 T1
(Hot Plug')
Normal and Fast Driving Champion U.K. 10
Timing, advance weights retracted 8° before T.D.C.
Breaker point gap, distributor 0.012-0.016 in.
Automatic spark advance unit centrifugal
Firing sequence (No. 1 is the rear cyl.) 1 - 2 - 3
BULBS, 12 volts Philips No. Watts
Headlights (R.H.D.) 12620 45/40
Sealed Beam (U.S.A.) —— 50/40
License plate lights, 2 12844 5
Turn indicators, stop and parking lights, 4 1034 23/7
Instrument light and control lights for turn indicators, headlights and fuel, 6 12829 2
Courtesy light 12844 5
FUSES
12 (1 in.) —— 8 amp.
5. SAAB 95: A "Different" Station Wagon
Having earned such a terrific popularity with their stock sedans, it can be easily understood that SAAB couldn't get away without offering a station wagon; and being a SAAB, the vehicle just had to be different, with something extra to offer.
The SAAB 95 made its bow in 1960, billed as an "elegant roomy family car." It was designed by Sixten Sason, one of Sweden's leading industrial designers.
Set on the unchanging 98-inch SAAB wheelbase and powered by the 42 hp engine, the 95 has an overall length of 162 inches, just a bare four inches longer than the bumper to bumper length of the SAAB 96.
With what seems—to the layman, anyway—the limited space at his disposal, Sason has done what our British cousins would term a wizard job. The frontal contours of the station wagon closely resemble those of the sedan. The rear end of the welded steel body is extended and is fitted with a balanced body-wide door which ingeniously swings upwards at finger tip pressure, giving ample access to the interior.
What is surprising is that the SAAB 95 is built to carry five full-sized adults—and remember, our Swedish cousins are big people. In addition, there is a backward facing rear seat for two children. Without the kids, the wagon will carry five adults and 310 pounds of luggage. If there are only two of you making the trip, you can tote 770 pounds of luggage in the freight space—which has a floor of plastic covered steel.
Seating of driver and passengers is identical with the
SAAB 95 Station Wagon seats seven, sleeps two, and carries 950 lb. load.
sedan’s high comfort standard.
Visibility is good. Unimpeded forward vision is achieved by the use of the same gracefully sloped slender steel pillars as in the sedan. Another excellent feature is the large rear window, giving the driver an unobstructed view.
As for the rear bench seat which folds out from the floor and faces aft, this sacrifices nothing in the way of comfort, and there is ample room for knees and heads, even for average-sized adults, although a grown-up doesn’t have a hope if there are children to be transported. With the juniors it’s a case of “Just love that seat.”
One is naturally suspicious of manufacturers’ claims concerning small station wagons, particularly as to load capacities. With a curb weight of 50 pounds over one ton, it seems a tall order to load in 770 pounds of freight, plus at least 300 pounds of adults, and expect to get a smooth, unswaying ride. You might be excused for feeling that
adding 900-plus pounds to the SAAB 95 comes under the heading of cruelty to small cars.
However, even with such a load, the wagon retains its unloaded appearance with no semblance of rear drag. Neither was there any jounce or bounce, the rear springs cushioning the load efficiently, and no swing on "S" curves. Steering and cornering and average speed maintenance were on a par with the sedan, with the inevitable SAAB sure-footedness unimpaired. One member of the team which tested this particular model observed the absence of the usual "hollow-box" sound often found on station wagons. Another commented on the excellence of the 95's cornering capabilities, which yield nothing to the sedan.
One feature which must undoubtedly appeal to young marrieds, to campers, and to families with small children, is that the interior can be converted to a 37-inch wide bed even when the car is being driven. If you happen to be a
Large trunk space in 1961 models is result of U.S. customer suggestions.
“longie,” the front seat can be set to its most forward setting and you have a bed length of 80 inches.
Quite naturally, when you add 200 pounds to your chassis and use the same engine as on the higher sedan, performance has to suffer. You wouldn’t expect the SAAB 95 to have that same joyful nippiness that is characteristic of the 96.
The designers have compensated for the increased weight by using slightly lower gear ratios with synchro-mesh on low, and by offering a 4-speed box as an option. If you use your gears properly, the 95 is a honey to drive. Cruising speed is a healthy 65 m.p.h., loaded no less, with an attainable top speed of 75 m.p.h. on a good highway.
Add such little conveniences as well placed interior lights in the wagon well for unloading or loading after dark, and seven different seat positions for the front seat backs, quite a favorable gas consumption, and the SAAB 95 shapes up as an unusually interesting job.
Instrument board of GT 750 is generously equipped with tachometer and Haldex Speed Pilot (right). Note also grab handle on extreme right.
SAAB air pre-heater. (1) Cold (2) Warm.
Rear side windows open as part of comfortable air ventilation system.
SAAB 95
TECHNICAL DATA
Engine, type ........................................... 2-stroke, gasoline
No. of cylinders ....................................... 3
Bore X stroke .......................................... 2.76 in. x 2.87 in.
Displacement ........................................... 51.3 cu. in.
Power .................................................. 42 SAE b.h.p. at 5,000 r.p.m.
Compression ratio ..................................... 7.3:1
Torque .................................................. 60 ft. lb. at 3,000 r.p.m.
Gears ................................................... 3 or 4 forward + reverse
Steering ............................................... All forward gears synchronized
Brake lining area ...................................... Rack and pinion, ratio 14:1
Tires, tubeless ........................................ 105 sq. in.
Fuel tank .............................................. 5.60 x 15
Cooling system capacity .............................. 11.4 U.S. gal.
Driving wheels ......................................... approx. 8 quarts
Suspension ............................................. (incl. heater)
Battery .................................................. front wheels
DIMENSIONS
Wheel base .............................................. Coil springs and hydraulic
Track, front and rear ................................ shock absorbers on all four
Overall length ......................................... wheels
Overall width .......................................... 12 volts
Height empty ........................................... 98 in.
Ground clearance ....................................... 48 in.
(2 occupants) .......................................... 162 in.
Curb weight ............................................ 62 in.
Rated carrying capacity .............................. approx. 58 in.
Freight space floor ................................... approx. 7½ in.
Freight space volume ................................ 2050 lb.
Turning circle diameter .............................. 5 persons + 310 lb. luggage
.......................................................... or 2 persons + 770 lb. freight
.......................................................... or 7 persons
Freight space floor ................................... 2 persons 63 x 37 in.
Freight space volume ................................ 5 persons 39 x 37 in.
Turning circle diameter .............................. approx. 39 cu. ft.
36 ft.
6. SAAB Granturismo 750
The Granturismo is a hotter version of the 93 and 96 series which the SAAB people modestly state "may readily be tuned up for competition purposes."
Its principal differences are a specially tuned engine with an increased compression ratio and super accurate timing. In its primary form it doubles in brass as a smart family sport car with that little extra zip over the other members of its family, but no sacrifice of any of the customary SAAB safety and comfort. The front seats—which, incidentally, are equipped with safety belts—are adjustable to 14 positions, right down to providing sleeping accommodation for the passenger. The arm rests of the rear seats have roomy built-in pockets for thermos flasks and sandwiches.
Standard equipment includes tachometer, extra large brakes, competition tires, racing type wood-rimmed steering wheel, and a fascinating device known as the Halda Speed.
The SAAB Grand Turismo 750, a luxurious sports version of the standard SAAB 96.
Pilot which literally takes the worry out of rally driving and can be slated to fill the rumpus room with trophies.
The 750 has a 4-speed gearbox, and a special type of clutch lining designed for rugged going. An appropriate touch which adds a note of distinction is the red painted 750 engine.
**Competition Tuning**
If you have a yen to convert your 750 to a “Super” Gran-turismo, you can avail yourself of a special tuning kit at any SAAB dealer. But your car must be carefully run in before the engine is tuned.
The “Super” tuning kit comprises:
- Carburetor, twin throated Solex 44 PII
- Extra fuel pump with hose and pipe connections
- Intake manifold
- Modified front muffler
- Exhaust pipe of larger diameter
- Throttle shaft extension
- Air filter
Engine performance will be increased approximately 20% by fitting these components.
Before going to the start of a racing event, your SAAB should be thoroughly checked over. To assist owners in overseeing this all-important job, the SAAB people supply the following check list that is useful for owners of all models, remembering that good maintenance is vital to the life of your car, and to your life as well.
**Pattern for a Suitable Check List**
| Chassis no. | Registration no. |
|-------------|------------------|
| Owner | Mileage |
| | Date |
*Work Carried out & Remarks*
| TEST RUN | 0—30 mph | 0—50 mph | 0—70 mph | ¼ mile |
|----------|----------|----------|----------|--------|
| Acceleration: | sec. | sec. | sec. | sec. |
Engine:
Charging:
Steering:
Shock Absorbers:
Brakes:
Chassis:
Miscellaneous:
POWER UNIT
Inspection Engine Comp.
Carburetor, Throttle Housing
Inlet Manifold
Cylinder Head Bolts
Vibration Damper
Generator
Radiator, Thermostat and Hoses
Electric Cables in Engine Comp.
Electric Cables, Instr. Panel
Ignition Cables
Spark Plugs
Distributor Cap
Breaker Points, Ignition
Rotor, Spring Washer
Ignition Coil
Fuel Pump, Filter
Breaker Points, Fuel pump
Carburetor Fuel Filter
Cleaning (Oiling) Air Filter
Throttle Linkage, Ball Joints
Drive Shaft Joints
Gear Shift Lever Play
Muffler, Exhaust Pipe
Exhaust Pipe Suspension
CHASSIS
Suspension, Spring Arms
Pivots
Rubber Bushings
Spring Bumpers
Screwed Joints, Steering Mechanism
Steering Gear, Hardy Disk
Tie Rod Ends, Lock Nuts
Brake Linings
Brake Drums
Wheel Bearings
Sealing Rings
Brake Hoses & Nipples
Side Links, Rear Axle
Side Links, Body
Center Bearing
Stop Straps
Shock Absorbers
Shock Absorber Rubbers
Wheel Housings
Rims (to be changed after 5 Competitions)
Tires and Tire Pressure
Wheel Alignment
MISCELLANEOUS
Battery, Electrolyte Level
Coolant
Brake Fluid
Gearbox Oil
Place for Agent, Workshop, Signatures, etc.:
The passenger seat of the GT 750 is fitted with a head-rest for added comfort.
When doing your own tuning, remember to use the spark plug types recommended by the makers—in this case Bosch 225 T1 or Champion UK 10 for all but competition driving. Never use a “hotter” type plug.
A car with such a high speed potential as the Granturismo 750 naturally calls for careful running in. One important recommendation which SAAB engineers pass on to owners is:
Don’t open the throttle fully during the running in, and never at low engine speeds: i.e. under 2,800–3,000 r.p.m.
Another, equally important: never let the engine speed exceed 5,500 except for short intervals. Only when accelerating in 2nd or 3rd gear is 6,500 r.p.m. allowed.
While on the subject of running in, you literally can’t take too much time on this. I had another marque which was carefully run in for 4,000 miles and raced on several occasions. When the engine was stripped down at 21,000 miles, some of them as rough as any that you could inflict on a car, the power unit showed almost no effects of wear. This condition, coupled with the mileage on the odometer, prompted the fellow who bought the car to write a letter asking if the mileage was correct. He simply couldn’t believe such a thing could happen.
**Competition Driving**
*When the 750 is used for competition:*
1. The fuel mixture should always contain 5% of oil on models prior to 1960.
2. Use only the clutch linings available as GT spare parts. A heavy duty pressure plate may also be fitted.
3. Use only the GT brake linings recommended by SAAB.
4. Increase tire pressure up to 30-35 lbs/sq. in. depending upon the condition of the track.
5. The ignition must be timed to $0^\circ$, (T.D.C.)
*When “Super” tuning kit is fitted:*
1. The ignition must be timed to $0^\circ$, (T.D.C.)
2. Use only Bosch M 240 T1 spark plugs, or M 250 T1.
3. Always use reinforced wheels; available as spare parts. When fitting a new wheel, paint should be removed from the countersunk recesses for the wheel bolts.
4. The dual carburetor has no preheater connection. If there are risks of icing in the carburetor, add 5% pure alcohol to fuel. Before pouring the alcohol into the tank, be sure to clean entire fuel system.
5. Fuel mixture should contain 5% SAAB oil.
THE SPEED PILOT
1. Knob for setting of average speed hand and (pulled out) the pilot hand.
2. Hand indicating the determined average speed.
3. Pilot hand.
4. Knob for zeroing the trip meter.
5. Trip meter.
6. Clock with hour and minute hands.
7. Knob for winding up clock and (pulled out) setting of its hands.
Fine adjustment of the Speed Pilot is easily carried out as per the manufacturer's instructions.
Haldia Speed Pilot
To make use of the speed pilot:
Determine the average speed necessary for arrival at the correct time.
Set the speed hand to this average speed.
Zero trip meter.
Set pilot hand to coincide with the minute hand of the clock on departure.
As long as you maintain the average speed, pilot hand will follow minute hand of clock. Should the pilot hand diverge from the minute hand, you will be able to tell exactly how many minutes you are ahead or behind your time schedule.
SAAB GRANTURISMO 750
TECHNICAL DATA
GENERAL
Hill climbing performance:
1st speed ........................................... 42%
2nd speed ........................................... 24%
3rd speed ........................................... 13%
4th speed ........................................... 8%
Reverse ............................................. 34%
Empty weight, excl. fuel and water ............... 1820 lbs.
Empty weight, incl. fuel, water, tools
and spare wheel .................................... 1895 lbs.
Weight distribution
Empty .............................................. front 57.5%
Fully loaded, 5,835 lbs.
(5 passengers and 165 lbs. luggage) .............. front 48%
ENGINE
Power
I SAE at 5000 rpm .................................. 50 bhp
*II SAE at 5000 rpm ................................. 57 bhp
Maximum torque
I At 3500 rpm ....................................... 61 ft.-lbs.
*II At 4000 rpm ..................................... 68 ft.-lbs.
Compression ratio, nominal ......................... 9.8
* “Super” 750
LUBRICATION
Mixing ratio (oil/gasoline) ......................... 5% competition
3% touring
Gasoline (premium) .................................. min. 90-100 octane
Oil ..................................................... SAAB OIL, two-stroke
or SAE 30 oil
Gearbox oil ........................................... SAE 80 EP (4 Speed Box)
SAE 90 EP (3 Speed Box)
FUEL SYSTEM
I Single carburetor, down-draft ..................... Solex 40 AI
II Dual carburetor, down-draft ...................... Solex 44 PII
TIRES
Type .................................................. Sports car, competition
155 x 15”
Tire pressure: Front .................................. 22-24 lbs/sq. in.
(Touring) Rear ........................................ 21-23 lbs/sq. in.
ELECTRICAL SYSTEM
Type of spark plugs: for competition .............. Bosch M 240 T1
for normal use ....................................... Champion U.K. 10
Timing, advance weights retracted .................. degrees B.T.D.C. O
The driver of 8T-4546 confidently aims his car at worst hill surface he can find.
7. Your Versatile SAAB
There surely isn’t another car on the market, with the same basic design, that offers as much flexibility of function.
As already stated, you can turn your Granturismo 750 into a “Super” by using the competition tuning kit, and you can modify your carburetor for extra speed at very little cost.
In addition, you can turn your car into a beedroom—very handy if you are on a hunting or camping trip, or even if you have an overnight guest.
If you want to carry some cargo with the sedan models, all you have to do is to slide the passenger seat off its tracks, remove the back seat, and you have a surprising amount of cargo space. One SAAB owner reports bringing home a lawn mower; another a wheel barrow. Other SAABists tell of transporting a 17-foot Christmas tree, not to mention ladders and lumber.
Incidentally, the SAAB’s trunk can be reached from inside, so that you don’t have to get out to find that all-important item that the woman of the family inadvertently packed. It is always the women, of course, who do these crazy things, but the SAAB designers out-thought them on this score.
While it may not be a complete solution to the housing problem, or our population explosion, the SAAB’s bedding device is mighty convenient. The bed outfit is optional. It consists of a number of interlocking pieces of plywood which are used in conjunction with the seats. To convert the car into sleeping quarters, the back of the front seat is placed in the front of the car, right up to the clutch pedal. The back seat comes next, and finally the front seats,
which make the headboard and the top of the mattress. These are all arranged level on the flat deck of the interior. (This is possible only because, being front wheel drive, there is no transmission tunnel.)
For ultra comfortable sleeping, the manufacturers advise parking the car on a slightly downhill slope before making the bed. As a precaution, gearshift should be placed in reverse and the front wheels should be chocked up, aircraft style. The reason for this is that the parking brake cannot be used when the car is made sleepable. When not in use, the bed outfit is stored under the rear seat.
The sun roof, which gives you the convenience of a convertible, is also available.
**Safety Belt**
Because more fatalities occur to passengers than to drivers in most automobile accidents, the front passenger position is often called the “death seat.” In a head-on collision, chances are that the unfortunate passenger will go through the windshield—followed by the driver, unless the conventional steering column gets him first. Following their policy of overall safety, therefore, SAAB offers safety belt shoulder harness kits (standard on GT) as spares. These are very easily installed, the design of the car including a reinforced panel to hold the outside ends of the belt, the inside being attached to the floor between the front seats. If you are driving with children in any car, safety belts are a must.
The design of the SAAB safety belt provides protective retention not only for the top of the body, but for the lower part as well. When not in use, its unique design holds it off the floor as a protection against soiling.
The SAAB people deserve great credit for forward thinking in designing a car where such worthwhile devices can so easily be fitted. If other manufacturers did the same thing, the sale of safety belts would be greatly increased and the toll of road fatalities would be correspondingly decreased.
Apropos of discussing the safety belt question, one man
Bob Wehman and Lou Braun, winning team in Great American Mountain Rallye, SAAB's first important American victory.
we know who drives a popular model sports car bought a pair of safety belts. He still has them in his trunk. Why? "I'm still looking for someone to install them without boring holes in the floor," he says.
**Fresh Air Heater**
Heating being such an important item for driving comfort in the eight-month-long Swedish winter, SAAB offers a fresh air heater as standard equipment.
The fresh air heater comprises a heater element placed in the radiator by-pass conduit, an electrically driven fan and controls. This equipment is mounted behind the radiator on cowl. With the controls, cold or heated air can be admitted without unpleasant draft.
The control market "Floor-Defr." distributes the incoming air. In the intermediate position, the air flow is equally divided between the outlets.
The heat control "Cold-Hot" closes or opens the valve which regulates the coolant flow through the heater element.
With the air control "Closed-Open," the air stream can be reduced or completely shut off.
The fan motor has two different speeds, half or full capacity, operated by pulling out the fan switch to the first or second position respectively.
The fan is only required when driving in traffic or at speeds under 30 m.p.h. Over this speed, the air velocity seems to be sufficient to provide a flow of warm air.
The ideal temperature for the engine coolant is in the neighborhood of $195^\circ$ F., which is high on the green part of the thermometer scale range. With this high temperature, it is best to use ethylene glycol as an anti-freeze solution, inasmuch as its boiling point is considerably higher than that of water.
It is well to remember that the SAAB has two holes in the wheel housing walls behind the radiator. These are
provided with covers. They should be closed in winter and removed in summer. By doing this, the cooling system is readily adapted to the weather outside.
As with any water-cooled engine, you should always be careful when taking off the radiator filler cap when the engine is hot. If the coolant is boiling, unscrew the radiator cap slowly and cautiously to allow the steam to escape. Ethylene glycol is nasty stuff to handle when it boils, and it can damage the exterior of the car.
**Automatic Clutch**
The "Sax-O-Mat" automatic clutch is available as an optional extra on the SAAB 96, but you have to order it when you buy the car because its installation calls for some modification in the engine configuration.
The "Sax-O-Mat" consists mainly of two independent systems, the centrifugal clutch and the servo clutch. The
---
*The SAAB crew at the Little Le Mans take a pride in quick pit service for the little cars.*
clutch is disengaged automatically whenever the accelerator is released or the gear shift lever is touched. You can even drive with slipping clutch by operating the accelerator very gently, but this is not recommended.
The centrifugal clutch is installed in the flywheel. Its function is entirely dependent upon engine speed. At an r.p.m. lower than 1,000 the clutch is released. As the engine speed increases, the flyweights are thrown out and the clutch begins to take hold. At engine speeds above 1,800 r.p.m., maximum clutch pressure is obtained.
The Servo clutch is operated by the vacuum generated in the intake manifold when the accelerator is released. The hose connection between the servomotor and inlet manifold passes through the electromagnetic control valve, which is controlled by the gear shift lever.
When you touch the gear shift lever, the control valve opens and the servo cylinder immediately starts to work if the accelerator is released. The motion of the servo cylinder diaphragm is transmitted through the servo cylinder rod and the clutch lever to the release bearing. The clutch is disengaged so quickly that no resistance at all is noticeSAAB fresh air heater.
1. Fresh air brake 8. Hose to defroster 15. Windshield
2. Air distributor 9. Defroster box 16. Instrument panel
3. Two-way cock 10. Hose 17. Distributor box
4. Damper 11. Collector box 18. Thermometer bulb
5. Fan motor 12. Radiator 19. Pump
6. Fan housing 13. Thermostat 20. Drain cock
7. Heater element 14. Cowl
able in the gear shift lever. As soon as the lever is released, the control valve closes and the clutch pressure increases as the vacuum in the servo cylinder gradually becomes less. Pressing down the accelerator immediately after releasing the gear shift lever produces maximum clutch pressure almost instantly.
8. Maintenance
Maintenance of the SAAB is best undertaken by qualified SAAB mechanics, but certain jobs can readily be done by the owner-driver. If you’re the type who honestly likes to work on your own car, a visit to your dealer to watch the process of servicing SAAB automobiles will prove fruitful. This is particularly true because the SAAB’s vitals are so easily accessible, literally offering themselves for loving care under a hood that comes off as easily as a “loafer” shoe.
But don’t get over-ambitious. Leave the big jobs to SAAB and don’t even start a small one without the right tools. Bobby pins really don’t make good screw drivers, any more than pliers can double as wrenches. The SAAB use standard size nuts and bolts and assembly components, which means that American standard sized tools work on them. Because some jobs require special tools, however, it’s best to talk over your service problem with your dealer. He’s there to help you.
One part of the maintenance job is definitely yours: regular inspection, and seeing that adjustments, lubrication and replacements are carried out when recommended. And that doesn’t mean six months later, after the damage may have been done.
The importance attached to this by SAAB Motors Inc. can be evaluated by the fact that when you buy a SAAB, the owners service booklet describes factory service recommendations through to 72,000 miles. At this point it is suggested that thirty items be attended to, ranging from chassis lubrication through brakes, front end, and clutch, to inspecting generator and engine mountings.
After this, repeat what might be termed a major “insurance” inspection every 10,000 miles. It’s your car and your life you’re protecting.
After running in, during which you get free service checks and adjustments at 2,000 and 4,000 miles, SAAB
Motors suggests regular service inspections every 2,000 miles. And be a real nut about these checks. Either do them yourself or watch them being done, and check off each item as it comes up. No one ever decreased in size by being thorough.
The 8,000-mile check is reproduced herewith to give you an idea of the thoroughness of SAAB Motors and their concern for your car and your safety.
Lubricate chassis.
Oil Distributor shaft oil cup.
Drain, flush and refill transmission (SAE 90).
Lubricate inner drive shaft universal splines (SAE 40).
Lubricate throttle linkage and throttle shaft (SAE 40).
Lubricate door hinges and striker plates.
Lubricate pedal pivots.
Lubricate the speedometer cable (SAE 10 oil).
Check coolant level in radiator (check specific gravity of anti-freeze).
Check electrolite level in battery.
Check for the proper seasonal use of the pre-heater and air ducts in the inner fenders.
Check tire pressures (standard model 26 lbs. front—20-24 lbs. rear) (GT model 22-24 lbs. front—21-23 lbs, rear).
Check for proper operation of all headlights, tail lights and directional light, license plate lights and stop lights.
Check for proper operation of the windshield wipers, heater motor, horn, etc.
Check the tightness of all electric connections under the dashboard, on all fuse and terminal blocks.
Check, and if necessary adjust, the clutch free pedal play. If Saxomat equipped, check as per Saxomat Service Bulletin.
Check, and if necessary adjust, the toe-in adjustment.
Check, and if necessary adjust, the fuel pump breaker points.
Rotate wheels as per owners manual.
Tighten to require torque where specified:
a. Cylinder head bolts (50 ft. lbs. cold)
Clean and lightly grease both battery terminals.
Clean and lightly oil the air filter.
NOTE: On those cars fitted with paper element filter inserts, the filter element must not be washed or cleaned but should be replaced every 20,000 miles or two years, whichever occurs first. Care should be used when changing the paper element filter so that no impurities fall into the carburetor.
Carefully clean the bakelite tower of the ignition coil, the inside and outside of the distributor cap, all the spark plug wires and spark plug insulators.
Remove, clean, file and gap the spark plugs.
Remove distributor cap and rotor, check distributor points, clean and adjust, replace if necessary. Lightly lubricate felts and breaker arm pivot. (When replacing rotor be sure lock washer under locking set screw is replaced.)
Adjust the ignition timing to $8^\circ$ BTDC on 93, 93B models.
Adjust the ignition timing to $12^\circ$ BTDC for all 850 c.c. Std. series.
Adjust the ignition timing to $6^\circ$ BTDC on GT 750 models.
Adjust the ignition timing to $0^\circ$ BTDC on GT 750 when fitted with tuning kit.
Adjust the carburetor to obtain the proper idle mixture and idling speed.
Inspect the condition of the rubber boots on all ball joints, steering gear tie rod ends, axle shaft outer universal joints.
Remove and clean the fuel filters of the fuel pump and carburetor.
Inspect, tighten and if necessary adjust the steering mechanism upper and lower ball joints and all suspension bolts and tie rod ends.
Inspect and tighten: generator bracket bolts, engine mounts, carburetor and intake manifold bolts.
Roa test car.
The same philosophy is evident when we get to Service Inspection #39 for 72,000 mile veterans:
Lubricate chassis (Note—lubricate emergency brake cable fittings sparingly).
Oil distributor shaft oil cup.
Drain, flush and refill transmission (SAE 90).
Lubricate inner drive shaft universal splines (SAE 40).
Lubricate throttle linkage and throttle shaft (SAE 40).
Lubricate door hinges and striker plates.
Lubricate pedal pivots.
Lubricate speedometer cable (SAE 10 oil).
Check for proper operation of all headlights, tail lights,
and directional lights, license plate lights and stop lights.
Check for proper operation of the windshield wipers,
heater motor, horn, etc.
Check for tightness of all electric connections under the
dashboard, on all fuse and terminal blocks.
Check and if necessary adjust . . the clutch free pedal
play. If Saxomat equipped check as per Saxomat Service
Bulletin.
Check and if necessary adjust . . the front alignment.
Check and if necessary adjust . . the fan belt tension.
Check and if necessary adjust . . the foot brake operation.
Check and if necessary adjust . . the hand brake operation
(this should be checked only after the foot brakes have
been adjusted).
Check and if necessary adjust the fuel pump breaker
points.
Rotate wheels as per owners manual.
Tighten the following to the required torque where speci-
fied:
a. Cylinder head bolts (50 ft. lbs. cold).
Clean and lightly grease both battery terminals.
Clean and lightly oil the air filter.
NOTE: On those cars fitted with paper element filter in-
serts, the filter element must not be washed or cleaned but
should be replaced every 20,000 miles or two years, which-
ever occurs first. Care should be used when changing the
paper element filter so that no impurities fall into the car-
buretor.
Carefully clean the bakelite tower of the ignition coil,
the inside and outside of the distributor cap, all the spark
plug wires and spark plug insulators.
Remove, clean, file and gap the spark plugs.
Remove distributor cap and rotor, check distributor
points, clean and adjust, replace if necessary. Lightly lubricate felts and breaker arm pivot. (When replacing rotor be sure lock washer under locking set screw is replaced.)
Adjust the ignition timing to $8^\circ$ BTDC on 93, 93B models.
Adjust the ignition timing to $12^\circ$ BTDC for all 850 c.c. Std. series.
Adjust the ignition timing to $6^\circ$ on GT 750 models.
Adjust the ignition timing to $0^\circ$ BTDC on GT 750 when fitted with tuning kit.
Inspect the condition of the rubber boots on all ball joints, steering gear tie rod ends, and axle shaft outer universal joints.
Remove and clean the fuel filters of the fuel pump and carburetor.
Inspect, tighten and if necessary adjust the steering mechanism, upper and lower ball joints, and all suspension bolts and tie rod ends.
Inspect and tighten: generator bracket bolts, engine mounts, carburetor and intake manifold bolts.
Road test car.
After such a face lifting, your SAAB will probably be as sprightly as the youngest member of the local Golden Age Club. Which reminds me of a man who thought he’d save a buck by scouring the local junk yard for a SAAB part. He couldn’t find one. Seems that old SAABs don’t die; they just go on running.
Here is another piece of SAAB lore, which you may take as a complimentary tribute to your own character. I was talking to one of those sinister individuals who cruise around with a tiny towing bar in their pockets, repossessing cars when the owners can’t keep up with the good old American institution of “time.” “You know,” he said almost ruefully, “I never got a chance to ride in one of these cars. The fellows who own them always seem to get under the line just in time. They must like their cars. Kind of serious guys, most of them, I’d say.”
Now back to servicing and you. Running in is an essential part of servicing. Golden rule is: don’t give full throttle during first 2,000 miles, and see that your engine gets the
proper oil-gas mixture during this vital period. Use regular gas unless you have a competition tuned engine or a GT. Always use a high-grade oil. Better still, use SAAB’s own lubricant, readily available through your dealer.
Suggested maximum running in speeds are:
| Gear | Speed (mph) |
|--------|-------------|
| 1st | 0-15 |
| 2nd | 5-30 |
| 3rd | 15-45 |
Such jobs as caring for the braking and electrical systems can be done in the home garage.
**Brakes**
Check brake fluid level every 2,000 miles and add fluid, if required. Also see that reservoir vent holes are not clogged to stop air being sucked into system by creation of vacuum.
If this happens, after filling reservoir and cleaning vent holes, proceed as follows:
Connect hose to bleeder screw inside left rear wheel and put free end of hose in a glass jar full of brake fluid.
Open bleeder screw \( \frac{1}{2} - 1 \) turn.
Have brake pedal pumped with long even strokes until the discharged fluid is free from air bubbles. Keep end of hose immersed during bleeding.
Tighten bleeder screw during a downward stroke.
Bleed also at front wheels in this manner, first right front, then left front. Make sure that fluid level in reservoir does not get too low.
Check that all bleeder screws are properly tightened and replenish brake fluid. Never use the fluid collected in the jar.
After bleeding, you will have to adjust brakes. Here’s how:
**Foot Brake**
Jack up the car until wheels are off the ground.
Remove one wheel bolt and turn wheel until bolt hole faces one of adjusting screws (two at each front wheel, one at each rear wheel).
Turn adjusting screw with screwdriver until wheel locks. Then unscrew one or more notches until wheel rotates freely.
When all four wheels have been adjusted, check that brake pedal play is \( \frac{1}{2}-\frac{3}{4} \) in., otherwise brakes will drag when pedal is released.
If wheel cannot be locked with the adjusting screw, brake linings are badly worn and should be replaced without delay. To assure even brake power, relining should be carried out on both front wheels or both rear wheels and never on one wheel only. When relining, use only SAAB original linings, and have your SAAB service man do the job.
**Parking Brake**
The play in parking brake lever is adjusted by the nuts at end of brake cables accessible from the driver’s seat. Brake lever should be able to be pulled two notches before the brakes drag. This adjustment must not be carried out unless foot brake has been adjusted first.
**Electrical**
The 12-volt electrical system is protected by twelve fuses. The fuse box cover clearly indicates which circuit each fuse protects. If fuse is sound, check contacts. If trouble persists, take car to SAAB for service check.
In winter check battery water level once a month; in summer every 14 days. Distilled water only is recommended. Check specific gravity readings with table in your owners manual. Prevent corrosion by coating terminals liberally with vaseline. Check that fan belt is tight.
Check distributor point gaps every 8,000 miles. Check even oftener if you are driving in competition or rally events, or under extreme climatic conditions. Lubricate contact breaker pivot arm when replacing.
Use feeler gauge to check point gap. Correct gap is .012-.016 in. measured when breaker arm peg is on highest point of cam. To adjust gap, loosen lock screw on the stationary point. Turn adjusting screw until correct gap is obtained, and tighten lock screw. Re-check and fit rotor,
being sure to replace rotor lock washer. After adjusting gap, check timing (see page 88).
**Carburetor**
Don’t monkey with the vitals of your carb unless you know what you are doing. It is best to let your SAAB or a Solex man do any major adjustment.
Idling adjustment should be done when engine is warm in $70^\circ$ ambient temperature.
Set idling speed higher than needed by turning adjusting screw.
Adjust engine to run evenly with adjusting screw. Usually this is when screw is open $1\frac{1}{2}$ to 2 turns.
Then use screw to modulate engine revolution speed to 700-800 r.p.m. This is proper idle speed.
**Fuel Pump**
More sports car drivers than you’d think blanch at the thought of fuel pump trouble. As a sincere SAABist, you’ll have gone over your SAAB from hood to tail spotting the location of the components. Among them—actually it’s right under your nose when you lift the hood, an aristocratic refinement, compared with some front end geography we’ve seen—you’ll find the electro-magnetic S.U. fuel pump. Sensitive operative spot in this highly efficient and hard working component is the filter whose function it is to stop filth from going into both pump and carburetor. It should be cleaned every 8,000 miles, and more frequently if you suspect dirty fuel. When replacing filter plug after cleaning, be sure not to forget washer.
Check contact points for cleanliness and adjust every 8,000 miles. If you want to do the job yourself, here’s how:
Switch off ignition so that the cable to fuel pump is dead.
Remove terminal nut which holds electric cable.
Remove cable and nut after which the cover can be removed.
See that grease or impurities don’t get into breaker mechanism.
Contact points can be cleaned by pulling strip of stiff paper or very fine emery cloth between their faces. Should points be burnt, or otherwise in poor condition, run to your SAAB service dealer.
Assemble cover, nut, cable and nut to original positions. Tighten terminal nut firmly to make satisfactory contact.
**Lubrication**
Regular lubrication lengthens the life of any car by preventing premature mechanical or electro-mechanical failure.
*Engine*
The engine is lubricated by adding oil to the gas. The proportion is one quart of oil to eight gallons of gas (1.33 to 3%). The oil must be put in first. Insist on this. For some reason, completely without tangible motivation, service station attendants will put in the gas first, even if you have told them distinctly that the oil has preference. If this happens—and it will—take a gallon of gas, mix it with a quart of oil, and put it in the tank. Raw gas and 2-cycle engines don’t go well together, and certainly not for long, seeing the engine depends on its fuel for lubrication. Use SAAB oil or SAE 30 or 40 weight H.D. oil.
*Components*
SAAB recommends the following components be lubricated every 1,000 miles:
- Clutch cable
- Ball joints—spring arms
- Outer universal joints
- Steering gear and drag rod ends
*Every 2,000 miles:*
- Distributor gear
- Air cleaner
- Accelerator linkage
- Brake system (check container level)
- Brake and clutch pedals
- All hinges and locks
- Hand brake pivots
*Every 8,000 miles:*
- Drain, flush and refill transmission
Distributor shaft and breaker arms
Speedometer cable
Every 32,000 miles:
Fan shaft bearings
Front and rear wheel bearings
Seat rails should be lubricated with chassis grease if they get stiff. Go easy with this for the sake of your clothes.
**Engine**
To insure long trouble-free engine life, use only high quality oil of either 30 or 40 weight viscosity. When refueling at temperature below freezing, oil should be pre-mixed with an equal quantity of gasoline before adding to the tank.
To meet these requirements, SAAB OIL has been made available through all authorized SAAB agencies in single quarts or handy six-pack containers. Pre-mixing is not required with the use of SAAB OIL, owing to its special formulation.
*Break-in* (First 2000 miles). Whenever refueling pour one quart of oil into gas tank, followed by SIX gallons of “regular” gasoline.
*After Break-in*. Pour one quart of oil into gas tank, then add approximately SEVEN to EIGHT gallons of “regular” gasoline. During the next few thousand miles, avoid application of full throttle for extended periods of time. By all means use a high grade oil. Many people think you can use a cheap oil in a 2-cycle engine, but this is not true. If SAAB oil is not available, use a premium H.D. oil of at least 30 SAE viscosity.
**Choke**
When the engine is cold, start the engine with the choke in the half open position. Don’t depress accelerator pedal when starting car with choke operating. During excessively cold weather it may be necessary to open choke fully. Be sure to return choke to the half open position as soon as engine starts. Drive off slowly, and cut out choke entirely as soon as practical.
Lubrication Points. The numbers refer to the Lubrication Chart
1000 km (1000 miles)
3000 km (2000 miles)
12000 km (8000 miles)
Seasonal Maintenance
Summer
*Preheater* — Disconnect pre-heater during summer months so that the engine air intake doesn’t get too hot. This pre-heater should be stored on left radiator wall on the bracket provided.
*Air ducts inner fender*—Remove air duct covers on the inner fenders during hot weather and store in spare tire compartment. Also remove all plastic vent covers that may have been installed during the winter.
*Grille Shade*—The shade behind the grille opening should normally be left in the open position. However, the shade should be raised during heavy rain storms to prevent water from entering engine compartment and shorting the ignition system.
*Cooling System Hoses*—Should overheating be experienced, check insides of the cooling system hoses for decomposition. They can be inspected easily by removing one end of each hose. Replace all hoses in questionable condition.
All SAAB’s should have anti-freeze removed for the summer under their normal service program.
*Caution:* When draining, flushing and refilling cooling system, make sure that hot water control knob is in the “HOT” position.
The above flushing procedure is important during hot weather because all types of permanent anti-freeze have a tendency to reduce the maximum possible cooling effect of the cooling system. Also, anti-foaming agents and rust inhibitors included in permanent anti-freeze become ineffective with age. *Important:* If cleaning or flushing agents are used, be sure they are labeled “FOR USE WITH ALUMINUM HEADS.”
*Fan Belt*—Inspect and replace fan belt if necessary. Adjust fan belt tension.
Winter
*Pre-Heater*—Carburetor pre-heaters should be installed during early fall to prevent carburetor icing occurring on
cool, damp days. Once pre-heater is installed, it should remain connected until late spring. Carburetor icing causes excessive fuel consumption and contributes greatly toward fouling spark plugs.
*Coolant*—For proper winter protection, drain cooling system, flush and refill with a permanent type anti-freeze. Capacity of cooling system and heater is seven quarts on the 93A Series, nine quarts for all later Series cars.
*Note:* Inspect for worn or defective hoses and torque the cylinder head. Should head gasket seepage be apparent shortly after permanent type anti-freeze has been added, add a small quantity of radiator sealer to cooling system.
*Fan Belt*—Inspect and replace fan belt if necessary. Adjust fan tension.
*Caution:* Do not overtighten fan belt, as fan shaft bearing failure may result.
*Grille Shade*—When there is a possibility of rain or snow entering the engine compartment, keep Grille Shade in the closed position. Use Grille Shade to decrease engine warm-up time during cold weather. During warm, dry weather, leave Grille Shade fully open.
*Air Ducts*—During the *fall and spring* season, keep air ducts fitted to inner fenders of the SAAB in the half open position. During winter time, air ducts should be closed. Remove the air ducts during summer.
**Interior Heater Performance**
In winter, close air ducts completely.
*Heater*—If the coolant temperature gauge does not indicate normal temperature during continuous driving, the thermostat is either defective or a low temperature thermostat (167° F.) is installed. Replace with an 185° F. thermostat. Temperature of thermostat is marked on inside of thermostat on the top of valve. Should poor heater performance be experienced in spite of normal temperatures, the cause may be any of the following:
A) Decomposed heater hoses, reducing the flow of coolant to a point where improper heater operation may result.
B) Malfunction of heater valve. This will prevent full flow of water to heater, and consequently reduce interior heat available.
**Ignition**
SAAB timing cannot be undertaken with a conventional timing light. It is a precise mechanical process, and should be undertaken by a SAAB serviceman who will use a depth gauge to correlate piston position to crankshaft rotation in degrees.
However, the standard SAAB engine can be timed as follows:
1. Check condition of distributor points and adjust if necessary.
2. Remove spark plugs, service, and set aside.
3. Remove the high tension coil lead from the center of the distributor cap and place this lead under one of the clips of the air filter so that exposed end of wire is approximately 3/16 of an inch away from the air filter body.
4. Turn on ignition key.
5. Rotate the engine clockwise so that indent mark on crankshaft pulley is 4/10 (6/10 inch for 850 Standard Engine) of an inch before timing mark on the engine block. This mark is located at the base of distributor, and is a long line inscribed on engine block casting in line with the distributor drive shaft.
6. After crankshaft has been rotated clockwise to above position, engine is now set at $8^\circ$ before top dead center (850 cc engine ignition timing requires $12^\circ$ advance. This equals 6/10 of an inch on the pulley.) Loosen distributor housing by unscrewing hex head bolt that locks the metal clamp underneath the distributor body. Retard ignition by turning distributor body clockwise.
7. Rotate distributor body slowly counter-clockwise until a spark occurs between end of high tension lead and air filter body.
8. Secure distributor by tightening the hex head bolt of the locking clamp.
9. Recheck adjustment by rotating engine clockwise until the mark on front pulley is about one inch away from the mark on engine block. Then very slowly rotate engine clockwise until a spark occurs between end of high tension lead and air filter body. The mark on the pulley should be located 4/10 of an inch before mark on block. The ignition is now set to $8^\circ$ BTDC (850 cc engine ignition timing requires $12^\circ$ advance. This equals 6/10 of an inch on the pulley.)
10. Replace spark plugs, wires, distributor caps, etc.
750 cc Std. Engine=$8^\circ$ BTDC=$4/10''$ pulley mark spacing
850 cc Std. Engine=$12^\circ$ BTDC=$6/10''$ pulley mark spacing
GT 750 Engine=zero$^\circ$ (TDC)=No spacing
**Spark Plugs—General**
Spark plug trouble is usually caused by:
a) Oil film on the spark plug electrodes (oil or carbon coated electrodes).
b) Overheated spark plugs (burnt electrodes).
c) Dirty electrical system, fouled distributor cap, etc.
To hold spark plug problems to a minimum, conform to following:
a) Use correct spark plug type. The choice of spark plug heat range is vital. Using wrong spark plug heat range for your type of driving means trouble.
b) *Pre-Heater Tube*
Since carburetor icing causes an excessively rich mixture, spark plug fouling will result. To prevent this, pre-heater tube must be connected between the exhaust manifold and the air cleaner during the fall, winter and spring season.
c) *Electrode Gap*
When the electrodes of a spark plug have burned to a greater gap than .030, the voltage required to fire
the spark plug becomes excessive. It is extremely important to maintain proper electrode gap. Distributor cap and insulated end of coil must be kept clean to prevent short circuiting. This type of short circuiting usually appears as a black crack in plug insulating material. Greater than normal electrode gap aggravates this condition. Spark plug wires and porcelain insulators of spark plugs should be kept clean. All above components should be cleaned whenever a SAB is in for routine service or lubrication.
d) *Grille Shade Ignition Trouble*
To prevent ignition trouble, the grille shade should be raised while driving through a rain storm, or after a rain storm when water can be splashed in by other cars.
e) *Ignition Timing*
Maintain ignition timing of $8^\circ$ B.T.D.C. for all 93 Series cars, and $0^\circ$ B.T.D.C. for all GT Series cars. $12^\circ$ B.T.D.C. for all 850 cc Std. Series.
f) *Spark Plug Installation*
Spark plugs should be installed with a torque of 28 ft.-lbs. to insure proper heat dissipation into cylinder head.
Spark plug fouling is often caused by defective ignition suppressors, which were installed to reduce radio interference. Replace these if their condition is at all doubtful.
**GT 750—Electrical System**
The GT electrical system includes additional instruments, which require additional cables and a second fuse box containing four fuses. The wiring diagram of the GT is shown in the GT supplement to Owner’s Manual. Additional units are as follows:
- Tachometer (6500 rpm Max.)
- Back-up lights
- Windshield washer pump
Cigarette lighter
Halda Speed Pilot
Instead of an amp meter, the GT 750 is equipped with a generator indicator lamp showing a blue light when the generator is not charging.
**GENERAL COMPETITION RECOMMENDATIONS**
**Recommended Spark Plugs**
| Spark Plugs | Used In | Required Gap |
|-------------------|----------------------------------------------|--------------|
| Bosch M225T1 | Standard Engine (all models) | .020 |
| Bosch M240T1 | GT 750 with single barrel carburetor | .020 |
| Bosch DM250T1 | GT 750 with tuning kit | .016 |
**Lubrication**
The following may be used:
- 5% SAAB OIL Pre-mixed highly recommended.
- 5% High quality SAE #50 (thoroughly pre-mixed).
- 5% High quality SAE #40 (thoroughly pre-mixed).
*NOTE: USE SUPER PREMIUM GASOLINE*
**Tires**
Tube type tires with tube
Competition type:
- Michelin X 155 x 380 with tubes
- Pirelli 155 x 15 Cinturato with tubes
**Wheels**
All reinforced wheels—available through SAAB dealers.
**Ignition Timing**
Standard Engine—8-12° B.T.D.C. (set by best performance of individual car)
GT 750 —Zero degrees B.T.D.C. (T.D.C.)
VJ3BR7 Distributor
**Cooling System**
Install low temperature thermostat.
Be sure all anti-freeze has been drained. Flush and fill with water.
PREPARATION OF THE GRANTURISMO "750"
FOR COMPETITION
General
In preparing the GT 750 SAAB for competitive events, it is extremely important that the car be carefully checked. Use check list (on page 72) as a guide. All points on this check list should be inspected and any necessary adjustments made.
Engine
The engine can be tuned for competition by installing the tuning kit, spare parts number 713224. (See page 72).
Also available are Cerametalix brake linings (optional). The dual choke carburetor, Solex 44 P11 as supplied in the tuning kit, has the following settings:
| Component | Setting |
|--------------------|---------|
| Venturi | 32 mm. (1.26 in.) |
| Main System: | |
| Main jets | 135 |
| Emulsion pipes | 119 |
| Emulsion jets | 300 |
| Idling System: | |
| Fuel jets | 50 |
| Air jets | 140 |
Under cold or damp weather conditions, when there is risk of carburetor icing, add about 5% pure alcohol. Preheater cannot be connected with dual choke carburetor.
Dual SU fuel pumps should be used in parallel.
Clutch
Complete clutch can be replaced with a heavy duty pressure plate available through SAAB dealers. When replacing pressure plate, the conical pins in the clutch fork, part number 781232, must also be replaced. Such installation must be done by SAAB trained mechanics.
Brakes
GT brakes are equipped with a larger diameter rear wheel cylinder which, under some conditions, will cause rear wheels to lock before front wheels. To decrease rear wheel brake torque, standard 93A rear wheel cylinders should be installed in the rear (part number 708934).
Sintered iron Cerametalix brake linings are recommended when normal brake linings have a tendency to fade. These linings come pre-mounted on brake shoes. New brake shoe return springs must be used with cerametalix brakes. Cerametalix brake linings are also suitable for normal touring, but before installing them be sure all brake drums are in excellent condition, or have been re-faced.
After installation of Cerametalix linings, the first 20 to 25 stops (bedding in) call for very high brake pedal pressure.
DO NOT MAKE VIOLENT STOPS DURING THIS BEDDING IN PROCESS.
Wheels
Wheel breakage has occurred on GTs during competition. In view of this, wheels must not be used for more than 100 race miles. When installing wheels, remove paint from recessed contact area around the wheel bolt hole.
Reinforced competition wheels with electrically welded reinforcements are available through SAAB dealers. If owners desire to reinforce wheels themselves, they should be aware of the fact that unless the welding is done very carefully by an expert, the wheels can be weakened rather than strengthened by welding process.
Fuel Pump
Check pressure of the fuel pump by disconnecting fuel line at carburetor and then connecting a long plastic tube to fuel line and holding this tube in an upright position. When ignition switch is turned on, a column of fuel at least three feet high should be maintained by the fuel pump. If fuel pump cannot maintain this column of fuel, replace or rebuild.
To increase fuel pump pressure, disassemble fuel pump and increase spring tension of diaphragm by stretching the diaphragm coil spring. Reassemble fuel pump in normal way and recheck fuel pump output as described above.
Dual fuel pumps operating in parallel are required when dual choke tuning kit carburetor is fitted.
Fuel pump should also be capable of supplying a quart of fuel in less than 90 seconds.
Radio Installation
If you are installing any brand of radio in your SAAB, read the following carefully or give it to whoever makes the installation. (Note: Transistor Powered Radios are usually more sensitive to interference.)
Mount antenna in the upper rear section of the front right fender, approximately 3" from the inner fender and 8" forward of the door. Route the antenna lead through the engine compartment by the shortest possible path so that minimum interference will be absorbed by the antenna wire from the engine compartment.
Mount radio chassis securely. Remove paint from the area of contact made by mounting to assure good ground.
After the installation has been completed, tune the antenna circuit according to the radio manufacturer's instructions. This step must be followed properly so that a maximum signal is received by the radio.
Noise Suppression
After the antenna tuning adjustment has been made, there may be various types of noise interference. Listed below are the sources of noise interference, the methods of locating the source, and action recommended to eliminate the interference.
| SOURCES OF INTERFERENCE | LOCATING INTERFERENCE | RECOMMENDED ACTION |
|--------------------------|------------------------|--------------------|
| Fuel Pump | A clicking sound heard in conjunction with the ammeter deflection indicates interference from fuel pump. | Install 1 MF condenser between terminal on fuel pump and ground wire on fuel pump. |
| Generator | Noise from generator can be identified by listening to the radio while engine is running at half speed, then turning ignition switch to auxiliary position. If buzzing type noise continues, then interference is coming from generator. | 1 MF condenser installed between generator housing and the ammeter terminal (heavy wire) will rectify this type of trouble. **IMPORTANT:** Under no circumstances connect condenser to field terminal of generator. (Thin wire) |
| Ignition Radiation | If ignition radiation is apparent, frequency of the interference will vary with engine speed and will disappear when ignition switch is turned to auxiliary position while engine is running at half speed. | a) Install a coil lead suppressor close to distributor cap.
b) Install a 1 MF condenser between ground and terminal #4 on ignition switch (93B only).
c) Should further suppression be required, remove rubber grommet holding coil lead to the air filter (on 93B only). |
Static Charge
Should there be radio interference only while car is in motion and not while car is stopped, trouble is due to a static charge being developed between automobile and road.
Installation of static charge drain springs inside rear axle cap (dust cover) will prevent rolling static noise.
Other Suggestions
Use an effective hood ground strap to connect the hood to the chassis. This is necessary because the hood hinge pivots are insulated in a rubber bushing.
Be sure that the hood locking mechanism hooks are scraped clean of paint and corrosion where they make contact with the hood.
Battery, voltage regulator, generator and generator brushes all have a bearing on the noise transmitted to the radio. If above procedures fail to locate and eliminate noise, check condition of these.
Final Thought:
When testing radio reception, make sure the hood is closed and securely latched.
Spark Plug Recommendations
The following is a list of recommended spark plugs and the type of driving for which they are suited:
Standard Series SAABs
Slow driving—Bosch M145T1 (warm plugs)
All other type driving—Champion UK 10
GT Series
Champion U K10
Note: See section on ignition timing for further information.
Champion UK 10 Spark Plugs
UK 10 Auxiliary Gap isolates the coil from short-circuiting deposits which may form on the spark plug’s firing end... permits the coil to impress adequate ignition voltage at the electrodes. This feature provides unexcelled fouling resistance for a cool heat range spark plug.
Fuel Ignitors—Fire Injectors
Recently the automotive market has seen the introduction of several “Ignitors” which are supposed to last the life of your engine.
The physical characteristics of these ignitors (which are spark plugs of a different basic design), are such that they can do harm to the SAAB Engine. Therefore, they are not recommended!
Since some of these units are not equipped with gaskets, they do not seat properly in the cylinder head and, because of their tapered shell (similar to the Ford turbofire spark plug), will do damage to the cylinder heat threads.
Most “Ignitors” have a heat range very much hotter than any normal spark plug recommended for the SAAB, and therefore, are likely to cause pre-ignition, which leads to severe engine damage.
These Ignitors also have the additional drawback of having insufficient thread depth, causing excessive carbon deposits in the cylinder head.
THE STANDARD SAAB ENGINE WARRANTY IS VOID WHEN OTHER THAN RECOMMENDED SPARK PLUGS ARE USED.
**Exhaust System**
The rear muffler and exhaust pipe in the SAAB automobile may need maintenance at periodic intervals, depending upon driving conditions. The tail pipe and muffler can become plugged from excessive carbon deposits, so check after 20,000 miles at regular intervals. If this happens, breathing characteristics of engine will be deranged, resulting in serious reduction in performance and economy.
If you suspect that the rear muffler is the cause of poor performance, remove the muffler and drive the car to check if performance has improved. If not, listen to noise of exhaust system with rear muffler removed. If not excessively noisy, this is good indication of blocked tail pipe and/or front muffler. In some cases, system can be cleaned. Best to replace muffler and exhaust pipe.
**Tires**
Correct tire pressures are important in front wheel drive cars if you want good traction, driving ease, and long tire life.
Check your pressures once a week with a good tire gauge. At the correct pressure, the whole tire surface makes contact with the road, gives good grip, and wears evenly. Too low tire pressure is liable to crack walls, and causes tire to roll under when going around bends. When over-inflated, only a small center section of tread contacts the road surface, and hardness makes the ride rough.
SAAB tubeless tire pressures are:
Front—26 PSI
Rear—20-24 (according to load)
With front wheel drive, tire pressures, wheel alignment and balancing are vital. Toe-in of front wheels should be checked at regular intervals by your SAAB service man, who has equipment for this.
Wheels should be balanced both statically and dynamically. A properly statically balanced wheel will stop in any position when suspended and allowed to rotate freely. When a wheel has been balanced dynamically, it should rotate freely on its axle without wobble.
The best time to balance wheels is after the car has gone several thousand miles and the tires are properly bedded in.
When wheel shimmy develops at certain speeds, it is usually a symptom of nothing more serious than the fact that the wheels need balancing.
Because your SAAB’s front tires will wear slightly faster than the rear ones, and the right-hand and left-hand ones will wear differently, wheels should be rotated regularly every 4,000 miles. The rotation, of course, includes the spare. Your owner’s manual gives rotation sequence.
Oddly enough, ignoring the regular rotation of tires is a good old American habit. Out of ten owners questioned at random by the writer, only one had rotated his tires.
The value of this practice is evident when you realize that tire life is practically doubled, which represents a considerable economy, and the incidence of flats is minimized. One of our own front wheel drive cars had 40,000 miles on the clock, of which 30,000 were undertaken without a flat, the inevitable nail making its appearance in the last 10,000. The new tires were fitted because of the approach
of winter. With the exception of about 2,000 miles on mountain roads, the majority of the 40,000 tire mileage was on parkways and turnpikes. These are easier on rubber, but it would take a lot of talking to convince me that correct tire pressures and regular rotation didn’t have a great deal to do with this trouble-free record.
Incidentally, if you trade in your SAAB for a new one be sure to do the new owner a good turn by transferring the car’s service program guide. You’ll do him a favor and enroll another member in the fast growing BKTS Club (Be Kind to SAABs).
If you’re a real “gone” SAABist, you may like to follow the example of a Long Island owner and keep a record of outstanding happenings in the life of your SAAB. This can be done in the back of the booklet “Knowing Your SAAB” quite one of the best publications of its kind.
The practice of recording your car’s life history is European. In England, in the days when each new car came with its own history book which passed from owner to owner, people were liable to enter all kinds of personal details. One book which came into our hands recorded items concerning a romance which led to a shot-gun marriage. Confronted with the life-history book of his sports car, the red-eared driver admitted a certain liability toward his co-pilot. His presence at the spot indicated by her version of the affair was further confirmed by the fact that on the morning after the recorded occurrence, he was hauled before the magistrate for speeding in a “built-up” area. Keep a diary for your SAAB by all means, but keep it mechanical.
Of course you may say that sex has no place in a volume about cars, but you’ll have to admit that it crops up universally these days. And we don’t have to tell you that owning a SAAB is definitely a valuable asset to that desirable one-upmanship at which most people are shooting these days.
9. "The Little Sedan That Became A Racer"
It is doubtful whether any small car, primarily designed as a family sedan and persistently maintaining these characteristics, has ever piled up such an astonishing record in sports car events on both road and track.
Since the first appearance of the SAAB-92 in the Swedish National Cup in 1950 the marque has earned a reputation for speed and reliability which you would normally associate with a car specifically designed for competition work. It almost suggests a title for a child's story book, such as "The Little Sedan That Became a Racer." This is exactly what has happened, and goes to prove the accepted engineering theory that if you design and manufacture an efficient automobile with a high safety factor and sufficient power, you can set a pace which few can equal.
You can sense the conservatism of the SAAB management by the general description of the SAAB Granturismo 750 in the supplement to the series 96 Owner's Manual. Having described the nimble little car as an "improved version of the SAAB 96," the book modestly states that the Granturismo 750 is a two-plus-three seater two-door, front-wheel driven, high speed, sport sedan "which may be very easily tuned up for competition purposes." It then goes on to list the modifications in detail, and describes the tuning kit which the company makes available if you want to convert your Granturismo 750 into a "Super" version.
All of which shows that the basic design remains unchanged. If you want to build super speed into your sports sedan, you can do it without sacrificing its stock characteristics, thus allowing you to broaden the scope of the vehicle at your whim.
Nice to know you can give your car muscles!
Now let’s take a look at two of SAAB’s outstanding successes toward the end of 1960. These reports, picked at random, are typical of several hundreds on the company’s files. The first is dated October 4, 1960.
“In perhaps the most hotly contested ‘Little Le Mans’ race to date, a team of 1960 SAAB sedans scored a sweeping victory in last Saturday’s running of the 4th annual Lime Rock Park classic. Competing against a wide range of imported sedans and two Studebaker Lark V8s, SAABs took top honors in virtually all categories. Only a heartbreaking mishap during the final hour of the endurance grind prevented an overall SAAB win.
“At the conclusion of the eight-hour race, SAAB automobiles had won the following honors:
| Class | Overall | Index of Performance |
|-------|---------|----------------------|
| 1st | 2nd | 1st |
| 2nd | 3rd | 2nd |
| 3rd | 5th | 4th |
| 4th | 6th | 5th |
| 5th | 8th | 6th |
| 9th | 12th | 10th |
“Setting the pace for the victorious SAABs was car #52, driven by Dr. Dick Thompson, well-known racing dentist from Washington, D. C., and Joe Dodge of Orangeburg, N. Y. During the course of the race, timers in the SAAB pits caught Thompson at 1:14.8 on each of several laps. When officially confirmed, this will give him not only the fastest lap of the day, but also a new course record for sedans. (It is interesting to note that in 1958 this same driver set the course record for Austin Healeys with 1:14.2 lap, only 6/10 of a second faster than his best in a SAAB 93!)
“Almost from the starting gun the race for top honors became a nip and tuck battle between SAAB #52 and Studebaker Lark #2 driven by “Jocko” Maggiacomo of Poughkeepsie, N. Y. and Ralph Moody of Raleigh, N. C. The lead changed hands many times during the day and until the closing hour of the race the two cars were never
more than one lap apart. At the end of the first hour only 20 seconds separated them with the Lark out front. At 3 p.m., four hours later, SAAB #52 was in the lead, but the more powerful Lark was only 60 seconds behind and pushing hard.
"With just over one hour remaining at 4:50 p.m. and SAAB #52 well in the lead for overall honors, the Thompson/Dodge entry lost a wheel bearing which required two pit stops totaling over six minutes. Although Thompson drove at a furious pace on re-entering the fray, picking up 4 seconds each lap, there was not enough time remaining to make up the lost ground and the clock ran out with the Lark about four laps in the lead.
"Six out of seven SAABs entered were placed among the top twelve finishers."
A complete run-down of the race results follows:
| Position | Make | # | Seconds | Over 1300 | Under 1300 |
|----------|---------------|-----|---------|-----------|------------|
| 1 | Lark | 2 | 359 | 28831 | 1 |
| 2 | SAAB | 52 | 355 | 28828 | 1 |
| 3 | SAAB | 54 | 353 | 28876 | 2 |
| 4 | Volvo | 11 | 341 | 28843 | 2 |
| 5 | SAAB | 56 | 339 | 28855 | 3 |
| 6 | SAAB | 53 | 339 | 28856 | 4 |
| 7 | Volvo | 17 | 338 | 28840 | 3 |
| 8 | SAAB | 55 | 336 | 28807 | 5 |
| 9 | Anglia | 46 | 333 | 28833 | 6 |
| 10 | Fiat Abarth | 51 | 333 | 28840 | 7 |
| 11 | BMW | 65 | 324 | 28883 | 8 |
| 12 | SAAB | 58 | 323 | 28876 | 9 |
| 13 | NSU | 71 | 318 | 28816 | 10 |
| 14 | BMW | 61 | 313 | 28817 | 11 |
| 15 | BMW | 62 | 309 | 28843 | 12 |
| 16 | BMW | 63 | 295 | 28831 | 13 |
| 17 | Volvo | 15 | 291 | 28877 | 4 |
| 18 | 4CV Renault | 67 | 289 | 28829 | 14 |
| 19 | Herald | 45 | 288 | 28867 | 15 |
| 20 | Lark | 1 | 272 | 28850 | 5 |
| 21 | Vespa | 91 | 256 | 28810 | 16 |
| 22 | VW-Denzel | 21 | 250 | 28849 | 17 |
| 23 | Vespa | 92 | 241 | 28902 | 18 |
| 24 | NSU | 72 | 240 | 28815 | 19 |
| 25 | Austin Mini | 42 | 258 | 22498 | D.N.F. |
| 26 | Austin Mini | 44 | 176 | 15804 | D.N.F. |
| 27 | Austin Mini | 41 | 147 | 12617 | D.N.F. |
| 28 | Volvo | 14 | 128 | 10000 | D.N.F. |
| 29 | Volvo | 16 | 111 | 9277 | D.N.F. |
| 30 | SAAB | 57 | 82 | 8855 | D.N.F. |
| 31 | Austin Mini | 43 | 41 | 3565 | D.N.F. |
Then on December 6, 1960, came the following:
**SAAB WINS NINTH R.A.C. INTERNATIONAL RALLY OF GREAT BRITAIN**
“Out of a field of 172 entries in this year’s R.A.C. International Rally of Great Britain, the Swedish driver Erik Carlsson, with SAAB, reached the finishing line as the only participant without any penalty points. After having performed very well also in the final races on Saturday, November 26th, Erik Carlsson was declared outright winner of the entire rally.
“The 1960 R.A.C. Rally was the final event in this year’s series of international rallies for the European Championship and had attracted a great many top drivers from various countries. A lot of car makes were represented too, many of them taking part with several cars. Erik Carlsson, with British co-driver Stuart Turner, was the only entrant with a SAAB—and he was the first driver with a non-British car to win the R.A.C. Rally.
“The start took place at Blackpool on the English west coast on Monday evening, November 21st. First road went northwards and far up in Scotland it turned south to cover the whole distance to the finishing line at Brands Hatch, southeast of London, where the drivers arrived on Friday, the 25th. The total distance was about 2,000 miles.
“Because of fog and rain, the roads were mostly wet and, particularly on two special sections, very rough. Out of 172 starting cars, 138 finished the rally.
“With this victory SAAB became outright winner in four international 1960 European rallies and was placed second overall in another three.”
*Outright win* (second consecutive year) in The Swedish Rally to the Midnight Sun. Driver: C. M. Skogh
*Outright win* (also 2nd and 3rd total) in The Rally of the Thousand Lakes, Finland. Winner: C. O. Bremer; 2nd, E. Carlsson, 3rd, C. M. Skogh
*Outright win* (also 2nd total) in Rally Viking, Norway. Winner: C. M. Skogh; 2nd, A. Wernersson
Outright win in the ninth R.A.C. International Rally of Great Britain. Driver: E. Carlsson
Second place in The Tulip Rally, Holland (C. Orrenius); The Rally Acropolis, Greece (E. Carlsson); The Polish Rally, Poland (C. O. Bremer).
SAAB started off the 1961 rally season with Homer Trotter of Watertown, N.Y. and James Bickham of Upper Sandusky, Ohio, completing the 1300 mile Canadian International Winter Rally with only two penalty points. This involved passing through more than thirty controls precisely on schedule.
This particular rally is tough going. The course runs over some of the most isolated secondary roads in Ontario province. Usually about a third of the competitors fail to complete the course which in 1961 involved thirty-seven hours driving in the worst imaginable weather conditions. Another car entered by SAAB was driven by Erik Carlsson who won the English RAC rally with Stuart Turner.
Present and prospective SAAB owners will enjoy brows-
Dr. Dick Thompson, well-known dental surgeon of Washington, D.C. who drove the winning SAAB at the 4th Annual Little LeMans 8-hour endurance race, averaged 67.85 mph for 8 hours.
ing through the following list of SAAB racing victories. These are indeed shining indications of consistent quality engineering of which any marque could be proud and some of this pride can surely be shared by the owner of a member of such a distinguished family of automobiles.
### SAAB'S MAJOR COMPETITION VICTORIES
| Year | Event | Position | Driver(s) |
|------|-------|----------|-----------|
| 1950 | Swedish National Cup | 1st over all, 1st in ladies class | R. Melde, G. Molander |
| 1951 | Swedish National Cup Rally to the Midnight Sun—Sweden | 1st in ladies class | G. Molander |
| 1952 | Monte Carlo Rally | 1st in ladies class | G. Molander |
| | Rally to the Midnight Sun—Sweden | 2nd in class, 1st in class, 2nd in class, 3rd in class | R. Melde, R. Melde, G. Molander, B. Blomberg |
| 1953 | Swedish Cross Country Championship | won by | R. Melde |
| | Tulip Rally—Holland | 1st in ladies class | G. Molander |
| | Rally to the Midnight Sun—Sweden | 1st in ladies class, 2nd in class | G. Molander, R. Melde |
| | Viking Rally—Norway European Rally Championship | 1st in ladies class | G. Molander |
| | | ladies class won by | G. Molander |
| 1954 | Swedish National Cup | 1st in class | E. Carlsson |
| 1955 | Swedish National Cup Tulip Rally—Holland | 1st over all, 1st in ladies class, 2nd in class | E. Carlsson, G. Molander, R. Melde |
| 1956 | Rally to the Midnight Sun—Sweden | 1st in class, 2nd in class, 1st in ladies class | C. Skogh, E. Carlsson, C. Coskull |
| | Reading Hill Climb—USA | 1st in class | R. Smith |
| | Viking Rally—Norway Wiesbaden Rally—Germany Tour of Europe—Germany Swedish National Cup Great American Mountain Rally Mobilgas Economy Rally—Sweden Gaspe Rally—Canada | 1st over all, 2nd over all, 1st over all, 2nd over all, 1st over all, 1st in class, 2nd in class, 3rd in class, 4th in class, 1st over all | B. Jonsson, R. Melde, C. Skogh, E. Carlsson, R. Wehman, D. Persson, R. Melde, O. Lindkvist, G. Ljungstrom, H. Blanchoud |
| Year | Event | Place in Class | Winner |
|------|--------------------------------------------|----------------|-----------------|
| 1957 | Rally to the Midnight Sun—Sweden | 1st | C. Skogh |
| | Graspe Rally—Canada | 1st over all | H. Trotter |
| | Viking Rally—Norway | 1st in class | C. Skogh |
| | | 2nd in class | E. Carlsson |
| | | 1st in ladies class | E. Roskvist |
| | Rally of the Thousand Lakes—Finland | 1st over all | E. Carlsson |
| | Wiesbaden Rally—Germany | 1st in class | R. Hopfen |
| | Swedish National Cup | 1st over all | C. Skogh |
| | | 2nd over all | E. Carlsson |
| | IV Spanish National Motor Race | 1st & 2nd in class | |
| | Acropolis Rally—Greece | 2nd over all & | |
| | | 1st in class | H. Blanchoud |
| | | 2nd in class | R. Hopfen |
| | Berlin Rally—Germany | 1st in class | R. Hopfen |
| | Sestriere Rally—Italy | 1st in ladies class | H. Blanchoud |
| | Mille Miglia Road Race—Italy | 1st in class | C. Lohmander |
| | Adriatic Rally—Jugoslavia | 1st over all | R. Hopfen |
| | Lime Rock Little Le Mans—USA | 1st, 2nd, 3rd in class | |
| | | 1st, 2nd, 3rd, 4th | Index of performance |
| | Rally Atlas & Oasis Morocco | 1st in class | H. Kronegard |
| | European Rally Championship | won by | R. Hopfen |
| 1958 | Caltex Economy Rally—Denmark | 1st in class | A. Mantcel |
| | Swedish Ice Racing Championship | 2nd in class | E. Carlsson |
| | | 1st in class | C. Skogh |
| | Monte Carlo Rally | 2nd in ladies class | G. Molander |
| | Sestriere Rally—Italy | 1st in ladies class | G. Molander |
| | Tulip Rally—Holland | 1st in class | M. Kjerstadius |
| | Rally to the Midnight Sun—Sweden | 1st in class | R. Melde |
| | | 2nd in class | A. Kilden |
| | | 1st in ladies class | G. Molander |
| | | 2nd in ladies class | E. Roskvist |
| | Semperit Rally—Austria | 1st in class | |
| | 4 Hour Relay Race—Harewood, Canada | 1st over all | |
| | Finnish Snow Rally | 1st over all | C. Bremer |
| | Acropolis Rally—Greece | 1st in class | H. Blanchoud |
| | Great Florida Rally—USA | 1st over all | R. Smith |
| | Lime Rock Little Le Mans—USA | 1st, 2nd, 3rd in class | |
| | | 1st, 2nd index of performance | |
| | Liege-Rome-Liege Rally—Belgium | 1st in class | Moerculeoret Hacquen |
| | 9 Hour Grand Central Endurance Race—South Africa | 1st in class | |
| Event | Position | Driver(s) |
|--------------------------------------------|---------------------------|--------------------|
| Viking Rally—Norway | 1st in class | C. Skogh |
| | 2nd in class | S. Bjorklund |
| | 1st in ladies class | S. Bjorklund |
| Lourenco-Marques Rally—South Africa | 2nd over all | P. Fresby |
| | 1st in class | |
| Rally of the Thousand Lakes—Finland | 1st in class | E. Carlsson |
| Cumberland Motor Club 24 Hour Race—USA | 1st over all | J. Moody |
| Deutschland Rally—Germany | 1st in class | |
| Rally Bad Homburg—Germany | 1st in class | |
| Wiesbaden Rally—Germany | 1st in class | |
| Swedish Ice Racing Championship | 1st in class | E. Carlsson |
| Canadian International Winter Rally | 1st over all | H. Trotter |
| German Touring Car Championship | won by | R. Hopfen |
| Tulip Rally—Holland | 1st in class | G. Molander |
| | 2nd in class | E. Carlsson |
| 12 Hours Alberto Ascari Trophy Monza—Italy | 1st in class | S. Bielke |
| Zandvoort Races—Holland | 1st in class | Van Zalingen |
| | 1st over all | E. Carlsson |
| | 2nd over all | C. Skogh |
| Rally to the Midnight Sun—Sweden | 2nd in ladies class | S. Bjorklund |
| | 3rd in ladies class | M. Kjerstadius |
| | 4th in ladies class | G. Molander |
| Rally Bad Homburg—Germany | 1st in class | R. Hopfen |
| Le Mans 24 Hour Race—France | 3rd in class | S. Nottorp |
| | | G. Bengtsson |
| American International Rally | 1st in class | R. Wehman |
| Wiesbaden Rally—Germany | 1st over all | R. Hopfen |
| Italian Mountain Grand Prix | 1st in class | S. Bielke |
| Lime Rock Little Le Mans—USA | 1st in class | |
| | 4th, 5th, 6th, 7th, 8th | |
| | over all | |
| Rally of the Thousand Lakes—Finland | 1st in class | C. Skogh |
| | 2nd in class | A. Wernersson |
| Austrian Mountain Grand Prix | 1st in class | S. Bielke |
| Adriatic Rally—Jugoslavia | 1st in class & 2nd over | E. Carlsson |
| | all | |
| Viking Rally—Norway | 1st in class & 2nd over | E. Carlsson |
| | all | |
| | 2nd in class | O. Bromark |
| | 3rd in class | G. Molander |
| Swedish Racing Championship | 1st in class | E. Carlsson |
| Event | Result | Driver |
|--------------------------------------------|-------------------------|-----------------|
| German Rally | 1st over all | E. Carlsson |
| Portuguese Rally | 1st in class | E. Carlsson |
| 6 Hour Endurance Race —Rhodesia | 1st in class | E. Carlsson |
| Tri-State Rally—USA | 1st over all | |
| 1960 Monte Carlo Rally | 1st in class | C. Bremer |
| | 2nd in class | E. Carlsson |
| Canadian International Winter Rally | 1st in class | H. Trotter |
| 13th Lyon-Charbonnieres Stuttgart—Solitude Rally | 2nd in class | E. Carlsson |
| Finnish Snow Rally | 1st over all | C. Bremer |
| | 2nd over all | R. Aaltonen |
| Tulip Rally—Holland | 1st in class | E. Carlsson |
| | 1st in class | C. Orrenius |
| | 3rd in ladies class | M. Kjerstadius |
| 6 Hour Race—Nurburgring, Germany | 1st in class | R. Hopfen |
| Spanish National Motor Race | 1st in class | P. Menzel |
| Swedish Rally | 1st over all | C. Skogh |
| Rally of the Thousand Lakes—Finland | 1st over all | C. Bremer |
| | 2nd over all | E. Carlsson |
| | 3rd over all | C. Skogh |
| 500 Rally—Finland | 1st over all | C. Bremer |
| Polish Rally | 2nd over all | C. Bremer |
| | 1st in class | |
| Viking Rally—Norway | 1st over all | C. Skogh |
| | 2nd over all | A. Wernersson |
| | 3rd in ladies class | M. Kjerstadius |
| R.A.C. Rally—England | 1st over all | E. Carlsson |
| Lime Rock Little Le Mans—USA | 1st, 2nd, 3rd, 4th, 5th in class | E. Carlsson |
| | 2nd, 3rd over all | |
| | 1st, 2nd index of performance | |
| Acropolis Rally—Greece | 1st in class | E. Carlsson |
| Rally to the Midnight Sun—Sweden | 2nd over all | C. Skogh |
| | 1st over all | C. Bremer |
**MAJOR SAAB COMPETITION SUCCESSES IN THE U. S. AND CANADA**
**1956-57 GREAT AMERICAN MOUNTAIN RALLY**
November, 1956
1st overall, team prize, winner in touring and 750-cc classes
Stock model SAAB wins tough rally with fantastic cornering on rugged course in its native Sweden. (Note absence of body swing.)
THE 2ND ANNUAL CLOUDBANK HILLCLIMB
Garrison, N.Y., May 30, 1957
1st & 3rd in class
THE 7TH ANNUAL READING HILLCLIMB
Pennsylvania, June 8, 1957
1st in class
DRAG RACES
Sanford, Maine
June 9 and 16, 1957
1st in class
ELLENVILLE HILL CLIMB
Ellenville, N.Y., June 15, 1957
1st overall
GLEN REGION GYMKHANA AND ACCELERATION TRIALS
June 16, 1957
SCCA races
1st overall in Gymkhana
1st in class in acceleration trials
MOUNT EQUINOX HILLCLIMB
Vermont, June 16, 1957
1st in class
THOMPSON, CONNECTICUT
June 30, 1957—SCCA Races
1st and 2nd in class
WATKINS GLEN, NEW YORK
July 6, 1957—SCCA Races
1st and 2nd in class
LIME ROCK, CONNECTICUT
July 7, 1957—SCCA Races
1st in class
GASPE RALLY, Canada
September 12, 13, and 14, 1957
1st overall
WINDHAM MOUNTAIN TOP RALLYE, N.Y.
September 14-15, 1957
1st in class
2nd and 3rd among dealer teams
LITTLE LE MANS RACE
Lime Rock, Conn., October 12, 1957
1st, 2nd, 3rd, 4th, 5th in class
ANNUAL FRANCONIA SNOW RACE
Franconia, N. H., 1957
SCCA Races
1st and 2nd in class—2nd overall
1958
GREAT FLORIDA RALLY
March 16, 1958
1st overall
MARLBORO, MARYLAND
April 20, 1958
SCCA National Races
1st in class
CIRCUIT OF HAREWOOD FOUR HOUR RACE
Ontario, Canada
May, 1958
1st overall
CANADA DAY RACES, Ontario, Canada
June, 1958
1st in class
LITTLE LE MANS RACE
Lime Rock, Conn., August, 1958
1st overall, Index of Performance,
1st in class
ICE RACING MT. SPRINGS LAKE CIRCUIT
Readers, Pennsylvania
January, 1959
1st six places overall
1959
TRI-STATE SPORTS CAR RALLY
Portland, Maine
January, 1959
1st overall and team award
ANNUAL FRANCONIA SNOW RACE
Franconia, N. H., February, 1959
1st overall
LAKE NAOMI FOUR HOUR ENDURANCE ICE RACE
Pocono Pines, Pennsylvania
February, 1959
1st five places overall
CANADIAN INTERNATIONAL RALLY
February, 1959
1st overall
SIX HOUR SPORTS CAR RACE
Marlboro, Maryland
June, 1959
1st Index of Performance for modified cars
LITTLE LE MANS RACE
Lime Rock, Conn., August, 1959
1st in class
AMERICAN INTERNATIONAL RALLY
October, 1959
1st in class
1960
LAKE NAOMI FOUR HOUR ENDURANCE ICE RACE
Pocono Pines, Pennsylvania
January, 1960
1st seven places overall
FOUR HOUR ENDURANCE RACE
Pocono Pines, Pennsylvania
February, 1960
1st overall
CANADIAN INTERNATIONAL RALLY
February, 1960
1st in class, 3rd overall
LITTLE LE MANS RACE
Lime Rock, Conn., October, 1960
1st five places in class
2nd and 3rd overall
1st and 2nd Index of Performance
CAROLINA AND GEORGIA REGION SCCA RACES
November 6, 1960
1st and 2nd in class
SAAB Chief Engineer Rolf Mellde takes the first SAAB Formula Junior on test run.
10. Formula Junior
With such an outstanding road and track reputation, it did not seem possible that SAAB could ignore the new trend and not produce a Formula Junior car.
News coming out of Sweden is that SAAB is currently testing a new experimental car with an 850cc engine and accompanying characteristics which conform to Formula Junior requirements.
The SAAB Formula Junior is an open single-seater. Most of the chassis and power train elements come from a single production type car model.
In order to keep the weight down and to meet the special function required of the car, certain departures from standard have been made. These concern the suspension, the gas tank and some of the controls. Apart from these, everything in the new F. Jr. is standard SAAB. This includes, naturally, the engine, transmission, rear axle, brakes and fuel system. The engine will be specially tuned. In this case the tuning will probably consist of enlarging and slightly re-locating the ports and raising the compression ratio to give in the neighborhood of 70 hp.
The body is distinctly non-standard. There is no support load bearing structure such as the tubular framework which might be expected. As a Formula Junior, the new SAAB will be unique in that it is built on the airplane structural system, being held together by a strong but light stressed skin structure of sheet steel.
The engine is located in a low fiberglass shell which forms the nose of the car, and the gas tank is in the fiberglass tail section. The engine used is the 3-cylinder 841cc SAAB with twin carburetors.
The over-all design of the car is interesting. It shows the
methodical look-ahead attitude which SAAB engineers display towards their projects. To keep the front of the car low in accordance with aerodynamic principle, the SAAB engine has been mounted on its side and the gearbox has been turned over so that the gearshift mechanism is at the bottom. This helps to achieve a low center of gravity. The radiator has been moved from its usual position behind the engine and is located in the extreme front of the car. The fan has been abandoned and replaced by a circulating pump in the radiator. The 12-volt electrical system includes a self-starter.
As this is being written, one of these cars is in the process of testing and another one is in prototype production. No decision has yet been made as to whether these cars will go into production.
A telephone call to Sweden elicited the information that SAAB has built these cars primarily to gain experience. Rumor, however—and it seemed to be a rumor with a solid foundation—says that Formula Junior fans in Europe have been clamoring for special F. Jr. SAABs and that some of the impatient ones are adapting their custom SAABs for these events. In view of the over-all mechanical harmony of the integral SAAB design, it can well be imagined that the SAAB management—with their dedication to doing things right—would frown on these experiments. That is probably one of the main motivations for their going “Formula Junior.”
SAAB Formula Junior at speed. Note radiator cowling and modified rear suspension.
Whatever You Drive . . .
THIS IS A BOOK FOR EVERY SPORTS CAR OWNER
CARE AND REPAIR OF YOUR SPORTS CAR
by OCee RITCH
MODERN SPORTS CAR SERIES
SPORTS CAR PRESS
Distributed by Crown: Publishers
419 Fourth Ave., New York 16, N. Y.
|
Transparent electrodes based on mixtures of nanowires and nanorings: A mean-field approach along with computer simulation
Yuri Yu. Tarasevich\textsuperscript{a)} and Andrei V. Eserkepov\textsuperscript{b)}
Laboratory of Mathematical Modeling, Astrakhan State University, Astrakhan, 414056, Russia
(Dated: 30 November 2022)
We have studied the electrical conductance of two-dimensional (2D) random percolating networks of zero-width metallic nanowires (a mixture of rings and sticks). We took into account the nanowire resistance per unit length and the junction (nanowire/nanowire contact) resistance. Using a mean-field approximation (MFA) approach, we derived the total electrical conductance of these nanowire-based networks as a function of their geometrical and physical parameters. The MFA predictions have been confirmed by our Monte Carlo (MC) numerical simulations. The MC simulations were focused on the case when the circumferences of the rings and the lengths of the wires were equal. In this case, the electrical conductance of the network was found to be almost insensitive to the relative proportions of the rings and sticks provided that the wire resistance and the junction resistance were equal. When the junction resistance dominated over the wire resistance, a linear dependency of the electrical conductance of the network on the proportions of the rings and sticks was observed.
I. INTRODUCTION
Transparent conductive electrodes are an essential component of smart electronics and optoelectronics, such as smart windows, touch panels and solar cells. Metal nanowire-based transparent conductive electrodes (TCEs), such as Cu, Ag, and Au nanowire electrodes, are considered to be a new generation of TCEs that are capable of replacing indium tin oxide-based electrodes.\textsuperscript{1}
Nanoring-based TCEs are a promising kind of TCE. There exist different methods for synthesizing metallic nanoring-based TCEs. However, in all cases, any TCE includes both nanorings (NRs) and nanowires (NWs). The latter may be bent or wavy. The fraction of NWs and NRs may vary. Table I presents some published data on synthesized metallic nanorings.
Notice that, for cylindrical wires of an isotropic metal, the electrical resistivity depends on the wire diameter, tending to the value of the bulk resistance as the wire diameter increases.\textsuperscript{10} Some experimental data are collected in Table II. For comparison, the electrical resistivity of bulk silver is $15.9 \, \text{n}\Omega \cdot \text{m}$.\textsuperscript{11} The temperature dependence of the resistivity should also be borne in mind.\textsuperscript{10,12}
Selzer \textit{et al.}\textsuperscript{17} reported that a value of the resistance of a single Ag nanowire (mean diameter of 90 nm) is $4.96 \pm 0.18 \, \Omega/\mu\text{m}$ (the values in the corresponding row in Table I were calculated using these data) while the junction resistance is $25.2 \pm 1.9 \, \Omega$ (annealed junctions) and $529 \pm 239 \, \Omega$ (non-annealed ones). For AgNWs (average diameter of $70 \pm 10 \, \text{nm}$ and average length of $8 \pm 3 \, \mu\text{m}$), Charvin \textit{et al.}\textsuperscript{18}, knowing the experimental sample sheet resistance, and expecting the simulated one to be the same, estimated the junction resistance as $14 \pm 2 \, \Omega$. Gomes da Rocha \textit{et al.}\textsuperscript{16}, comparing simulations with experimental data, reported estimates of the junction resistance from $2.28 \, \Omega$ to $152 \, \Omega$ ($45 \pm 31 \, \Omega$) (see Supplementary files in Ref. 16).
MC simulations of the electrical conductance have been performed for random 2D systems of conductive sticks\textsuperscript{20–25} and rings,\textsuperscript{6,26,27} The electrical properties of such systems have been considered theoretically using a percolation theory,\textsuperscript{28} a mean-field approximation (MFA) approach,\textsuperscript{6,21,24–27,29} network analysis\textsuperscript{30,31}, and an effective medium theory (EMT) approach.\textsuperscript{32}
MC simulations of electrical percolation in thin films with conductive disks and sticks have been performed.\textsuperscript{33} The effective conductance of nanocomposites as a function of their relative concentrations has also been investigated. A synergistic effect has been reported when the disks and sticks combine properly. The widely used junction resistance dominant assumption (JDA) (see, e.g., Refs. 22,23,34,35) has been used, i.e., both disks and sticks were assumed to have no electrical resistance, while a junction between any two conductive fillers was assumed to be a resistor. The resistance of a stick–stick junction was assumed to be five times larger than that of a disk–disk one, since a contact between any two disks is an area, while a contact between any two sticks is a point contact. The dependencies of the electrical conductance with respect to the mass ratio of the disk to stick and to stick length have been plotted.
Recently, the MFA has been successfully applied to pure nanoring- and to pure nanostick-based random, dense 2D systems.\textsuperscript{24–27} However, to the best of our knowledge, the MFA has not previously been applied to a mixture of conductive fillers having different shapes. The goal of the present study was the application of the MFA to 2D systems consisting of randomly deposited conductive NRs and nanosticks.
The rest of the paper is constructed as follows. Section II presents our computational and analytical methTABLE I. Published data on metallic nanorings.
| Reference | Material | Ring diameter, \( \mu m \) | Wire diameter, nm |
|--------------------|----------|-----------------------------|-------------------|
| Zhou et al.\(^2\) | Ag | 4.8–20 | \( \approx 165 \) |
| Zhan et al.\(^3\) | Cu | 23 | \( \approx 200 \) |
| Yin et al.\(^4\) | Cu | 8–20 | 50 |
| Azani and Hassanpour\(^5\), Azani et al.\(^6\) | Ag | 15 ± 5 | 120 ± 20 |
| Li et al.\(^7\) | Ag | 7.17–42.94 | 76 |
| Feng et al.\(^8\) | Ag | 10 | 20–40 |
| Ning et al.\(^9\) | Ag | 6.54–30.67 | 66.7–115.5 |
TABLE II. Published data on electrical resistivity of Ag nanowires, ordered in ascending order of nanowire diameter. We used original data on the electrical conductivity\(^{13,14}\) to calculate the electrical resistivity. 2-P and 4-P are related to two-point probes method and four-point probes method, respectively.
| Reference | Method | \( T \), K | Length, \( \mu m \) | Diameter (\( d \)), nm | \( \rho_w \), n\( \Omega \)m |
|--------------------|--------|------------|---------------------|------------------------|-------------------------------|
| Bid et al.\(^{10}\)| 2-P | 295 | 6 | 15 | 41.1 |
| Bid et al.\(^{10}\)| 2-P | 295 | 6 | 30 | 34.9 |
| Bellew et al.\(^{15}\)| 4-P | room temp. | 7 ± 2 | 42 ± 12 | 20.3 ± 0.5 |
| Bid et al.\(^{10}\)| 2-P | 295 | 6 | 50 | 29.2 |
| Gomes da Rocha et al.\(^{16}\)| 4-P | room temp. | 6.7 | 50 ± 13 | 22.6 ± 2.3 |
| Zhao et al.\(^{12}\)| 2-P | room temp. | 44 | 84 | 21.3 |
| Selzer et al.\(^{17}\)| 4-P | room temp. | 25 | 90 | 31.6 ± 1.2 |
| Wang et al.\(^{14}\)| 4-P | room temp. | 4.88 | 93.2 | 28.5 |
| Wang et al.\(^{14}\)| 4-P | room temp. | 14.67 | 97.0 | 32.9 |
| Bid et al.\(^{10}\)| 2-P | 295 | 6 | 100 | 27.8 |
| Kojda et al.\(^{13}\)| 4-P | 293 | 15 ± 1 | 120 ± 20 | 37 ± 13 |
| Kojda et al.\(^{13}\)| 4-P | 293 | 11 ± 1 | 107 ± 5 | 29 ± 5 |
| Kojda et al.\(^{13}\)| 4-P | 293 | 13 ± 1 | 140 ± 10 | 27 ± 6 |
| Kojda et al.\(^{13}\)| 4-P | 293 | 14 ± 1 | 150 ± 3 | 25.1 ± 1.3 |
| Bid et al.\(^{10}\)| 2-P | 295 | 6 | 200 | 23.3 |
| Cheng et al.\(^{18}\)| 2-P | 290 | 27.23 | 227 | 79.1 |
ods, viz., Section II A describes some technical details of our simulation, Section II B is devoted to an analytical consideration using a MFA. In Section III, we present our main results and compare the MFA predictions with computer simulations. Section IV summarizes the main results and suggests possible directions for further study.
II. METHODS
A. Simulation
Two kinds of conductive fillers were used in our simulation, viz, rings with a given radius, \( r \), and equiprobably orientated zero-width sticks with a given length, \( l \). The electrical resistance per unit length of each filler was \( \rho_{w} \).
The fillers of both kinds were randomly placed on an insulating substrate. Their centers were independent and identically distributed within a square domain of size \( L \times L \). To reduce the finite-size effect, periodic boundary conditions (PBCs) were applied along both mutually perpendicular directions. Let the number density of the sticks be
\[
n_s = \frac{N_s}{L^2},
\]
while the number density of the rings is
\[
n_r = \frac{N_r}{L^2}.
\]
Since the electrical conductance is our primary interest, the total number density of fillers
\[
n = n_r + n_s
\]
was above the percolation threshold, \( n \geq n_c \), in any case. For each value of the number density, simulations were performed for different proportions of rings and sticks. When the desired number density of the fillers was reached, the PBCs were removed, allowing us to consider
the model as an insulating film of size $L \times L$ covered by conductive fillers. Then, superconductive busbars were attached to the opposite borders of the domain. A potential difference, $V_0$, was applied to these busbars. The electrical resistance of each contact (junction) between any two fillers was $R_j$. The electrical resistance of each contact (junction) between a filler and a busbar was $R_{bi}$. Both kinds of junctions were assumed to be ohmic. Consider a segment of the conductive filler (either a stick or a ring) between the two nearest junctions belonging to it. If a length of this segment is $a$, then its resistivity is $R_c = \rho_{sc} a$. Thus, a random resistor network (RRN) exists. This RRN is irregular with different branch resistances. Applying Ohm’s law to each branch and Kirchhoff’s point rule to each junction, a system of linear equations (SLEs) can be obtained. Although this SLE is huge, its matrix is sparse, therefore, numerical solution of this SLE does not present significant difficulties. We used the EIGEN library\textsuperscript{36} to solve it.
We used domains of a fixed size $L = 32$, while the characteristic sizes of the fillers were $r = 1$ and $l = 2\pi r$. To efficiently determine the percolation threshold (occurrence of a percolation cluster that spans the system in a given direction), the union-find algorithm\textsuperscript{37,38} was used. In our simulations, for the two limiting cases, when only one kind of filler is presented, $n_c = 0.373 \pm 0.004$ for rings, while $n_s = 5.641 \pm 0.025$ for sticks.
In our study, we concentrated on the experimental data published in Refs. 5, 6. Tables I and II suggest that in this case $R_{bi} \approx 125 \, \Omega$, i.e., of the same order of magnitude or less than the junction resistance, $R_j$. Therefore, we focused our study on only two cases, viz., JDA and when the resistances of the wires and junctions are equal. Another limiting case when the wire resistance dominates over the junction resistance, considered, e.g., in Refs. 25, 34, is hardly relevant for our system under consideration. In all our computations, we set $R_{bi} = 0$.
The results of the computations presented in Section III were averaged over 10 independent runs. The error bars in the figures correspond to the standard deviation of the mean. When not shown explicitly, they are of the order of the marker size.
### B. Analytical consideration
The probability of the intersection of any two rings is
$$P_r = 4\pi \left( \frac{r}{L} \right)^2$$
(see, e.g., Refs. 26, 39). The probability that a given ring intersects exactly $N$ other rings is described by the binomial distribution
$$\Pr(k = N) = \binom{N_r}{N} P_r^N (1 - P_r)^{N_r - 1 - N}.$$
The expected number of intersections is
$$\langle N_{rr} \rangle = P_r (N_r - 1) \approx 4\pi r^2 n_r,$$
since $N_r \gg 1$.
The probability of the intersection of any two sticks is
$$P_s = \frac{2}{\pi} \left( \frac{l}{L} \right)^2$$
(see, e.g., Refs. 20, 32, 39). The probability that a given stick intersects exactly $N$ other sticks is described by the binomial distribution
$$\Pr(k = N) = \binom{N_s}{N} P_s^N (1 - P_s)^{N_s - 1 - N}.$$
The expected number of intersections is
$$\langle N_{ss} \rangle = P_s (N_s - 1) \approx \frac{2}{\pi} l^2 n_s,$$
since $N_s \gg 1$.
The probability that a stick and a ring have one point of intersection is
$$P_l = \frac{r^2}{L^2} \begin{cases} 4 \left( \arcsin z + z \sqrt{1 - z^2} \right), & \text{if } z \leq 1, \\ 2\pi, & \text{if } z > 1, \end{cases}$$
FIG. 1. Sample of randomly placed rings and sticks within a domain $L \times L$ with PBCs. All orientations of sticks are equiprobable. The domain size is $L = 32$. The ring radius is $r = 1$. The stick length is $l = 2\pi r$. The number of rings is $N_r = 200$. The number of sticks is $N_s = 200$. Busbars are shown as the thick lines at top and bottom of the system. The effect of the PBCs is demonstrated using color. When a conductive filler intersects a border, its main part (containing the center of the filler) is shown in blue, a part obtained using a translation along only one direction is shown in red, while a part obtained using translations along both directions is shown in magenta.
while the probability that a stick and a ring have two points of intersection is
\[
P_2 = \frac{r^2}{L^2} \left[ 4z - \begin{cases}
2 (\arcsin z + z \sqrt{1 - z^2}), & \text{if } z \leq 1, \\
\pi, & \text{if } z > 1,
\end{cases} \right],
\]
(11)
where
\[
z = \frac{l}{2r}
\]
(see Supplement). The probability of the intersection of a stick and a ring is
\[
P_{rs} = P_1 + P_2 = \frac{r^2}{L^2} \left[ 4z + \begin{cases}
2 (\arcsin z + z \sqrt{1 - z^2}), & \text{if } z \leq 1, \\
\pi, & \text{if } z > 1,
\end{cases} \right].
\]
(13)
Thus, the expected number of intersections of a stick with a ring is
\[
\langle k \rangle = \frac{P_1 + 2P_2}{P_{rs}} = \frac{8z}{4z + \psi}, \quad \text{where}
\]
\[
\psi = \begin{cases}
2 (\arcsin z + z \sqrt{1 - z^2}), & \text{if } 0 < z \leq 1, \\
\pi, & \text{if } z > 1.
\end{cases}
\]
(14)
This quantity varies from \( \langle k \rangle = 1 \), when \( z = 0 \), through 1.6, when \( z = \pi \) (i.e., \( l = 2\pi r \)), to 2, when \( z \gg 1 \) (Fig. 2).
**FIG. 2.** Dependency of the average number of contacts between a stick and a ring, \( \langle k \rangle \), on the relative length of the stick, \( z \), [Eq. (14)].
The probability that a given ring intersects exactly \( N \) sticks is described by the binomial distribution
\[
\Pr(k = N) = \binom{N_s}{N} P_{rs}^N (1 - P_{rs})^{N_s - 1 - N}.
\]
(15)
The expected number of intersections is
\[
\langle N_{rs} \rangle = P_{rs} (N_s - 1) \approx P_{rs} N_s,
\]
(16)
since \( N_s \gg 1 \).
The probability that a given stick intersects exactly \( N \) rings is described by the binomial distribution
\[
\Pr(k = N) = \binom{N_r}{N} P_{rs}^N (1 - P_{rs})^{N_r - 1 - N},
\]
(17)
The expected number of intersections is
\[
\langle N_{sr} \rangle = P_{rs} (N_r - 1) \approx P_{rs} N_r,
\]
(18)
since \( N_r \gg 1 \).
Thus, the expected number of contacts per ring is
\[
\langle k_r \rangle = 2 \langle N_{rr} \rangle + \langle k \rangle \langle N_{rs} \rangle,
\]
(19)
while the expected number of contacts per a stick is
\[
\langle k_s \rangle = \langle N_{ss} \rangle + \langle k \rangle \langle N_{sr} \rangle.
\]
(20)
For any allowed value of \( z \),
\[
\langle k_z \rangle = 8\pi r^2 n_s + 4lr n_s,
\]
(21)
\[
\langle k_a \rangle = \frac{2l^2}{\pi} n_s + 4lr n_r.
\]
(22)
When the number density of the conductive fillers is large enough, the variation of the electrical potential along the film is close to linear.\(^{24-27}\) Only one conductive filler in the mean-field produced by all the other fillers may be considered, rather than using a consideration of the whole system of fillers. This idea may be easily transferred to the case when the fillers of two different shapes are presented.
Consider a linear conductive wire (stick) in an external electric field. This stick is characterized by a resistance per unit length, \( \rho_w \). Its lateral surface is supposed to be insulating, characterized by a leakage conductance per unit length
\[
G_s = \frac{R_l \langle k_w \rangle}{l}.
\]
(23)
According to Ref. 24, the fraction of the electrical conductance, which is due to all sticks, is equal to
\[
\sigma_s = \frac{n_s l}{2\rho_w} \left[ 1 - \sqrt{\frac{4}{\langle k_w \rangle \Delta}} \tanh \left( \sqrt{\frac{\langle k_w \rangle \Delta}{4}} \right) \right],
\]
(24)
where
\[
\Delta = \frac{\rho_w l}{R_l}.
\]
(25)
Likewise, consider a circular conductive wire (ring) in an external electric field. This ring is characterized by a
resistance per unit length, $\rho_w$. Its lateral surface is supposed to be insulating, characterized by a leakage conductance per unit length
$$G_r = \frac{R_j \langle k_r \rangle}{2\pi r}. \quad (26)$$
According to Ref. 26, the fraction of the electrical conductance, which is due to all rings, is equal to
$$\sigma_r = \frac{\pi \lambda^2 r^3 n_t}{\rho_w (1 + \lambda^2 r^2)}, \quad (27)$$
where, in our case,
$$\lambda^2 = \frac{\rho_w}{R_j} \left[ 4rn_t + \frac{2l}{\pi}n_s \right]. \quad (28)$$
The electrical conductance of the system of conductive rings and sticks is
$$\sigma = \sigma_r + \sigma_s. \quad (29)$$
When $R_w \ll R_j$ (JDA),
$$\sigma_s \approx \frac{n_s l^2 \langle k_s \rangle}{24R_j}. \quad (30)$$
For not very large values of the number density, when $\lambda^2 \ll 1$,
$$\sigma_r \approx \frac{\pi r^3 n_t}{R_j} \left[ 4rn_t + \frac{2l}{\pi}n_s \right]. \quad (31)$$
Thus,
$$\sigma \approx \frac{1}{R_j} \left[ 4\pi r^4 n_t^2 + 2lr^3 n_t n_s + \frac{n_s^2 l^4}{12\pi} + \frac{n_t n_s l^3 r}{6} \right]. \quad (32)$$
Let $n_s = xn$, $n_t = (1 - x)n$, then
$$\sigma \approx \frac{n^2 r^4}{R_j} \times$$
$$\left[ 4\pi (1 - x)^2 + x(1 - x) \left( \frac{2l}{r} + \frac{l^3}{6r^3} \right) + x^2 \frac{l^4}{12\pi r^4} \right]. \quad (33)$$
In the particular case, when $l = 2\pi r$,
$$\sigma \approx \sigma_0 \left( 1 - x + \frac{x^2}{3} \right), \quad \sigma_0 = \frac{4\pi n^2 r^4}{R_j}. \quad (34)$$
Here, $\sigma_0$ corresponds to the electrical conductance of a pure ring system in the case of a JDA (31).
### III. RESULTS
Figure 3 demonstrates the dependencies of the electrical conductance on the number density of fillers for the three different proportions of rings and sticks (only rings, only sticks, and an equal parts mixture of rings and sticks). The wire resistance and the junction resistance are of the same order. For all used values of the number density, the MFA prediction slightly exceeds the simulated values of the electrical conductance.
Figure 4 presents the dependencies of the electrical conductance on the proportions of rings and sticks, $x$, [$n_t = xn$ and $n_s = (1 - x)n$] for the three different values of the number density of fillers, when $n = 2$, $n = 5$, and $n = 10$. The MFA slightly overestimates the electrical conductance, as with the pure stick and pure ring systems. When wire resistance and the junction resistance are of the same order, while $l = 2\pi r$, the electrical conductance is almost insensitive to the specific proportions of rings and sticks.
Figure 5 demonstrates the dependencies of the electrical conductance on the number density of fillers for the five different proportions of rings and sticks. The junction resistance dominates over the wire resistance. MFA predictions and simulations are in good agreement.
Figure 6 presents the dependencies of the electrical conductance on the proportions of rings and sticks, $x$, [$n_t = xn$ and $n_s = (1 - x)n$] for the three different values of the number density of fillers, viz., $n = 2$, $n = 5$, and $n = 10$, when the junction resistance dominates over the wire resistance. The dependencies are close to linear.
The coefficients of the least-squares fitting of the dependencies of the electrical conductance on the proportions of rings and sticks are collected in Table III.
Figure 7 exhibits the dependencies of the normalized electrical conductance $\sigma/\sigma_0$ on the proportions of rings and sticks, $x$, for the three different values of the number density of fillers in the limiting case of JDA. The linear dependency predicted by an MFA (34) is consistent with
FIG. 4. Dependencies of the electrical conductance on the proportions of rings and sticks, $x$, for the three different values of the number density of fillers, $n_s = xr$ and $n_r = (1 - x)r$, when $n = 2$, $n = 5$, and $n = 10$. MFA predictions and the least-squares fitting are shown as lines, while markers correspond to the simulations. Here, $l = 2\pi r$, $r = 1$, $R_j = 1$, and $\rho_w = (2\pi r)^{-1}$.
FIG. 5. Dependencies of the electrical conductance on the number density of fillers, $n = n_s + n_r$, when $n_r = 0$, $n_b = n_s$, $n_b = 3n_s$, $n_t = 3n_s$, and $n_b = 0$. MFA predictions are shown as curves, while markers correspond to the simulations. Here, $l = 2\pi r$, $r = 1$, $R_j = 1$, and $\rho_w = (2\pi r)^{-1}10^{-6}$.
FIG. 6. Dependencies of the electrical conductance on the proportions of rings and sticks, $x$, for the three different values of the number density of fillers, $n_s = xr$ and $n_r = (1 - x)r$, when $n = 2$, $n = 5$, and $n = 10$. MFA predictions and the least-squares fitting are shown as lines, while markers correspond to the simulations. For the two larger values of $n$, the difference between the MFA and LSF lines are not visually distinguishable. Here, $l = 2\pi r$, $r = 1$, $R_j = 1$, and $\rho_w = (2\pi r)^{-1}10^{-6}$.
TABLE III. Least-squares fitting of the dependencies of the electrical conductance on the proportions of rings and sticks, $\sigma = ax + b$, $l = 2\pi r$, $r = 1$, $R_j = 1$.
| $n$ | Slope ($a$) | Intercept ($b$) | Adj. $R^2$ |
|-----|-------------|-----------------|------------|
| | $\rho_w = (2\pi r)^{-1}$ | | |
| 2 | 6.79 ± 0.09 | 18.81 ± 0.05 | 0.99847 |
| 5 | 6.94 ± 0.15 | 70.47 ± 0.06 | 0.99542 |
| 10 | 2.76 ± 0.32 | 165.3 ± 0.1 | 0.88319 |
| | $\rho_w = (2\pi r)^{-1}10^{-6}$ | | |
| 2 | 115 | 50 | 1 |
| 5 | 750 ± 3 | 302.9 ± 0.9 | 0.99981 |
| 10 | 3049 ± 10 | 1253.6 ± 2.5 | 0.99989 |
the simulations.
Figure 8 demonstrates the dependencies of the electrical conductance on the proportions of rings and sticks, $x$, for the fixed values of the number density of fillers and different values of $l$, when the junction resistance dominates over the wire resistance (JDA). The MFA predictions (33) are shown as curves, while the markers correspond to the simulations.
Figure 9 demonstrates the dependencies of the electrical conductance on the relative stick length, $z$, for the fixed values of the number density of fillers and different values of $x$, when the junction resistance dominates over the wire resistance (JDA). The MFA predictions (33) are shown as curves, while the markers correspond to the simulations.
IV. CONCLUSION
The electrical conductance of 2D random percolating networks of zero-width metallic nanowires (a mixture of rings and sticks) has been studied using both a mean-field approximation and a computer simulation. We took into account the nanowire resistance per unit length and the junction (nanowire/nanowire contact) resistance (the
FIG. 7. Dependencies of the normalized electrical conductance on the proportions of rings and sticks, $x$, for the three different values of the number density of fillers, $n_a = \pi r$ and $n_b = (1 - x)n$, when $n = 2$, $n = 5$, and $n = 10$. The MFA predictions (34) are shown as a line, while markers correspond to the simulations. Here, $l = 2\pi r$, $r = 1$, $R_j = 1$, and $\rho_w = (2\pi r)^{-1}10^{-6}$.
FIG. 8. Dependencies of the electrical conductance on the proportions of rings and sticks, $x$, for the fixed values of the number density of fillers and different values of $l$. MFA predictions are shown as curves, while markers correspond to the simulations. Here, $r = 1$, $R_j = 1$, and $\rho_w = (2\pi r)^{-1}10^{-6}$, $n = 6$.
FIG. 9. Dependencies of the electrical conductance on the relative stick length, $z$, for the fixed values of the number density of fillers and different values of $x$. The MFA predictions are shown as curves, while the markers correspond to the simulations. Here, $r = 1$, $R_j = 1$, and $\rho_w = (2\pi r)^{-1}10^{-6}$, $n = 6$.
so-called multi-nodal representation, MNR\textsuperscript{[16,22]}. We derived the total electrical conductance of the nanowire-based networks as a function of their geometrical and physical parameters. Our MC simulations were focused on the case when the circumferences of the rings and the lengths of the wires were equal. Our MC simulations confirmed the MFA predictions. The electrical conductance of the network is almost insensitive to the proportions of rings and sticks when the wire resistance and the junction resistance are equal. When the junction resistance dominates over the wire resistance, a linear dependency of the electrical conductance of the network on the proportions of rings and sticks was observed. The dispersity of the physical parameters and sizes inevitably presented in any real-world system can hardly affect the main results of the MFA since only the mean values of all the quantities are important within the MFA. The effect of the dispersity on the results of the simulation is expected to be only an increase in the standard deviation.
There are, at least, two obvious directions of further study. First, since real-world NWs are often bent, more realistic shapes of NWs should be considered instead of sticks. Although the percolative and electrical properties of bent and waved NWs have been studied\textsuperscript{[35–39,42]} there are a number of open questions to be solved. In particular, a mixture of arcs of different curvature up to closed-up arcs (rings) has to the best of our knowledge not yet been studied. Second, direct comparison with experimental data is necessary. Such a comparison requires, simultaneously, data on the wire resistivity, the junction resistance, the transparency, the sheet resistance, the geometrical parameters of both NWs and NRs, and the composition (NW to NR ratios) of the samples. However, direct measurements of the junction resistance are currently limited owing to the small number of teams working on these.
ACKNOWLEDGMENTS
We would like to acknowledge funding from the Foundation for the Advancement of Theoretical Physics and
Mathematics “BASIS”, grant 20-1-1-8-1. We thank I.V. Vodolazskaya for our fruitful discussions.
AUTHOR DECLARATIONS
Conflict of Interest
The authors have no conflicts to disclose.
Author Contributions
Y.Y. Tarasevich performed analytical consideration, while A.V. Eserkepov created the necessary software and performed simulation. **Yuri Yu. Tarasevich**: Conceptualization (lead); Formal analysis (equal); Funding acquisition (lead); Methodology (equal); Project administration (lead); Supervision (lead); Visualization (lead); Writing – original draft (lead); Writing – review & editing (lead); Investigation (equal). **Andrei V. Eserkepov**: Investigation (equal); Software (lead); Validation (equal); Visualization (supporting); Writing – original draft (supporting); Writing – review & editing (supporting).
DATA AVAILABILITY
The data that support the findings of this study are available from the corresponding author upon reasonable request.
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Establishing Ongoing, Early Identification Programs for Mental Health Problems in Our Schools: A Feasibility Study
ROBIN NEMEROFF, PH.D., JESSICA MASS LEVITT, PH.D., LISA FAUL, M.ED., AHTOY WONPAT-BORJA, B.A., SARA BUFFERD, M.A., STEPHEN SETTERBERG, M.D., AND PETER S. JENSEN, M.D.
ABSTRACT
Objective: To investigate the feasibility of establishing ongoing, early identification services for mental health problems in school settings. Method: School counselors and other mental health professionals (N = 41) in middle, junior, and high schools (N = 23) were given training and supervision in the administration of an evidence-based mental health assessment tool, the Voice Diagnostic Interview Schedule for Children IV (DISC-IV), over the course of 1½ school years. Results: During the study, 530 students were selected to be assessed with the DISC, and 72% were confirmed to be at risk for a mental health problem (DISC+). Among DISC+ cases, 71% had never been in treatment before. The most common problems identified by the DISC were symptoms related to suicide (28%), social phobia (20%), attention-deficit/hyperactivity disorder (19%), and oppositional defiant disorder (19%). Based on schools’ recommendations, 82% of parents with DISC+ children agreed to make an appointment for a follow-up evaluation. Of DISC+ children whose parents agreed to seek further evaluation, 65% of them were evaluated by a health or mental health professional within 2 weeks. Conclusions: Use of a computerized, evidence-based mental health assessment tool is a feasible strategy for providing early mental health identification services in schools and can help to bridge the gap between mental health providers and the unmet needs of children who are at risk for mental health problems within the community. *J. Am. Acad. Child Adolesc. Psychiatry*, 2008;47(3):328–338. Key Words: early identification in schools, evidence-based assessment.
Epidemiological studies indicate that approximately 20% of children and adolescents younger than the age of 18 have a diagnosable mental disorder, with up to 5% of these youths experiencing profound disturbances in their functioning as a result of these emotional difficulties.¹ Yet, the majority of youths in need of specialized mental health services do not receive such interventions.²,³ Research indicates that only 25% to 35% of youths who meet full criteria for a psychiatric diagnosis will be recognized as having a problem and receive treatment for it.⁴,⁵ Thus, statistics indicate that most children and adolescents who may benefit from mental health treatments are not accessing them.
In response to this public health concern, mental health experts and policymakers have come to believe that it is critical to assess children for mental health problems as a proactive means of identifying youths at risk.⁶ Primary care, juvenile justice, and school settings have been identified as optimal environments in which to identify children with mental health problems,¹ and several mental health screening and assessment tools have been shown to be reliable and valid when used in these settings.⁷–¹¹ Although several mental health
screening and assessment tools have demonstrated their value in research studies, few of these tools have been evaluated for their feasibility and effectiveness in real-world settings.
**Identifying Children at Risk for Mental Health Problems in School Settings**
Schools offer the greatest potential for early identification programs because schools work with children and their families on a daily basis throughout the school year and are well positioned to screen and assess large numbers of children. Yet, there is little published research about school-based mental health programs that use evidence-based assessments to identify youths at risk for emotional and behavioral problems. The few studies that exist describe time-limited early identification programs that use outside staff to administer an evidence-based assessment to identify at-risk children.\(^{12}\) For instance, Shaffer and colleagues\(^{5,13,14}\) reported on a three-stage screening procedure that was completed on approximately 2,000 high school students. The results of this program demonstrated that 69% of teens who met criteria for major depression, 74% of teens who were having suicidal thoughts, and 50% of teens who had made a suicide attempt were not known by school personnel to have significant problems and were not receiving any type of treatment for their emotional problems. Thus, the screening procedure was extremely important in identifying youths who were likely to benefit from professional mental health services. However, given the costs required for salaried screening staff, this type of program may not be feasible for long-term implementation in most school settings.
In reviewing school-based screening programs during the past decade, Gould and colleagues\(^{12}\) concluded that a number of obstacles need to be overcome to make early identification programs truly feasible. Specifically, the authors state that screening programs must be designed so that they are acceptable to school personnel and use an effective referral system to link identified students with treatment services. In addition, because mental health problems may wax and wane over time, Gould and colleagues argue that screening a student at one point in time is only sufficient for determining current risk. Thus, screening tools and trained staff must be available on an ongoing basis if schools are to be best prepared to evaluate students when symptoms first emerge.
**Present Study**
The present study attempted to develop a feasible and sustainable means of offering ongoing, early identification services for mental health problems within school settings by taking advantage of existing school resources rather than relying on outside staff who are not truly integrated into the school or larger community. Our goal was to enhance school counselors’ and other school-based professionals’ capacity for identifying students with potential mental health problems by training them to use an evidence-based assessment tool that would be available as needed. With feasibility issues such as cost-effectiveness and time efficiency in mind, we trained existing school staff to use a computerized version of the Diagnostic Interview Schedule for Children-IV (DISC-IV). This research seeks to determine whether we were successful in assisting school staff to use the assessment tool and to describe the outcomes of the youths who were identified by the early intervention.
**METHOD**
**Background, Recruitment, and Procedures**
After piloting use of the Voice DISC-IV with several school counselors, one of the authors (S.S.) contacted the other authors about establishing a formal mental health screening and assessment program in and around Fargo, ND. An exploratory meeting was held with community representatives to plan and develop momentum for the project. It was agreed that local school staff with mental health–related job responsibilities would be offered free training in the administration and interpretation of the DISC, and each staff member would use the assessment tool in the way that he or she thought was most appropriate for his or her setting. Thus, school staff would have the flexibility to use the tool to screen all of the students in a school or to use it more selectively to assess students who presented with potential internalizing problems. If the DISC identified a child as being at risk for a mental health problem, then school staff would discuss this finding with the child’s parents and recommend a follow-up evaluation with a mental health professional.
A treatment referral network was developed among 12 clinical sites that showed interest at the initial exploratory meeting. The network’s goal was to ensure that identified students could obtain a follow-up evaluation with a mental health professional within 2 weeks of a recommendation made by the school. The local psychiatric hospital triaged referrals to participating clinics on a rotating basis based on availability and insurance parameters. Several clinics also offered scale fees for uninsured patients.
Middle, junior, and high schools were invited to participate in the project. To participate, principals and district superintendents were required to provide written commitments supporting the aim of the study and releasing counselors from other school responsibilities to attend a 1½ day training session on the DISC, participate in monthly
conference calls, and be available for periodic site visits by the study team. After institutional review board approval was obtained, confidentiality of responses was guaranteed to all of the project participants. Written, verbal consent was obtained from all of the participating counselors. No identifying information was gathered about children who were assessed with the DISC, and each school followed its own procedures for informing children and parents about the use of the assessment in the school. Because the DISC was administered on a computer, the study team provided one computer, printer, computer cart, and set of headphones free of charge to every school that did not have these resources available.
Participants
Twenty-seven schools with full-time school counselors and other school-based mental health professionals who provided direct services to students for mental health–related issues in the general school population were invited to participate in the evaluation of this project. School staff who worked exclusively with special populations (e.g., in truancy programs or special education) were excluded from the study. Twenty-four schools agreed to participate in the study; however, one school was not eligible for participation because the school did not have a full-time counselor on staff. Thus, analyses were conducted on 23 school counselors and other mental health professionals at 23 schools representing 12 districts. All of the counselors in participating schools agreed to join the study; two school districts with a total of three schools and eight counselors chose not to participate in the project.
Of the 23 schools that participated, each school had an average of two full-time counselors (SD 1) and 908 students (SD 471). Of the 41 counselors participating in the study, the majority were female (81%) and all of them were white. Most were between the ages of 31 and 40 (20%), 41 and 50 (44%), or 51 and 60 (29%), whereas the remaining 7% were older than 60 years. The majority (95%) of participating counselors had M.A. or Ph.D. degrees. The mean number of years of school counseling experience was 12.5 years (SD 8). During the study period, each counselor worked at the school for an average of 38.6 hours/week (SD 5) and had 356 students in his or her caseload (SD 68).
Evidence-Based Assessment Tool
The DISC has been well described in the research literature and was selected for use in this program because of its careful development as a tool for assessing the presence of mental health problems within the community and its demonstrated ability to assist professionals in identifying youths at risk in previous research. Several research studies have documented the criterion validity of the DISC and its high correlation with diagnoses derived from a more comprehensive evaluation. The most current version of the DISC, the Voice DISC-IV, is administered by computer. As such, youths can sit at a desktop or laptop computer, listen to questions read aloud through headphones, and respond through the computer keyboard or mouse. (Voice DISC-IV software and training may be obtained by contacting Dr. Prudence Fisher at email@example.com.)
With each student they evaluated, school counselors and other mental health professionals were given the opportunity to administer the entire DISC battery or to limit the assessment to specific diagnostic modules. The total number of modules assessed by the school counselors and other mental health professionals ranged from 1 to 20, with an average of 16 modules used for each student assessment. A child was confirmed to be at risk for a mental health problem if he or she had either a positive diagnosis (meeting full symptom criteria) or an intermediate diagnosis (meeting at least half of symptom criteria) along with a total symptom score of at least three associated with a diagnosis on the DISC report.
The most commonly used diagnostic modules were attention-deficit/hyperactivity disorder, major depressive disorder, dysthymia, generalized anxiety disorder, and questions relating to suicide, with each of these areas assessed in more than 90% of cases. The least commonly used diagnostic modules related to substance abuse and dependence, eating disorders, and specific phobia. Because the criteria for a substance use disorder tend to be too severe for most children younger than the age of 18 to meet the threshold for the diagnosis, counselors often chose not to administer this module. Instead, they frequently relied on a single-item question about whether students used alcohol, marijuana, or other drugs to get high. Counselors generally did not administer the eating disorders module to male students, which greatly reduced the number of DISC administrations for this module. In an effort to reduce administration time, counselors often chose not to give a child an assessment for specific phobia because such a diagnosis would likely already be known to the school or the child’s parents.
Programmatic Approach
School counselors and other mental health professionals who had consented to participate in the study were offered ½ days of training in the administration of the DISC and the interpretation of DISC reports. In addition, school staff were made aware of the treatment referral network that had committed to evaluating any child who had been assessed with the DISC within 2 weeks of the school’s recommendation for a follow-up evaluation. After all of the participating school staff members had been trained on the DISC and the school had been informed in each school setting, schools used the DISC to be monitored for 1 year (half of the school year and for one full academic year thereafter [January 2002–June 2003]).
Over the course of the project, school staff were asked to participate in bimonthly conference calls and quarterly site visits. During these times, staff were offered technical support in the administration of the DISC, assistance in interpreting the results of DISC assessments, and guidance regarding obtaining consent from parents and assent from students, speaking with families about the DISC results, and strategies for linking at-risk youths with treatment providers. In November 2002, following the summer break, school staff attended a school-wide “kick-off” meeting during which the project goals were restated and the DISC assessment procedures were reviewed. In addition, school staff were given individualized feedback about the frequency of their DISC use compared with other school counselors in February 2003.
Measures
The Mental Health Tracking Form (MHTF) was designed specifically for this study to collect information regarding use of the DISC, and the outcomes of children who were assessed for mental health problems. School staff were asked to complete an MHTF for every child who was assessed during the study period, regardless of whether the DISC was used as part of the assessment. Although staff kept accurate records of students who had received DISC assessments, they often failed to keep records of students who were assessed without the DISC. The MHTF was sent to the study team by mail every month. When applicable, school staff removed all...
identifying child information from the results of the DISC assessment and submitted these results along with the corresponding MHTF. Table 1 details MHTF questions, counselor response rates, and item answers. Questions 1a, 2a, and 2b were added to the MHTF at a later point in the study, in September 2002.
Data Analyses
The two main outcomes of this study relate to schools’ use of the DISC and child outcomes associated with DISC use. Analyses of DISC use as a function of time were conducted for both counselors and schools. In addition, a threshold was established for DISC use frequencies, with infrequent DISC users categorized as those who administered the DISC at least once, moderate DISC users categorized as those who administered the DISC at least five times, and frequent DISC users categorized as those who administered the DISC 10 or more times during the course of the study period. Post hoc analyses examined whether DISC use changed as a result of specific programmatic supports (e.g., site visits, individualized feedback regarding DISC use). Because frequency distributions of the number of DISCs administered monthly appeared to more closely approximate a Poisson distribution than a normal distribution, a log link in a Poisson regression model was estimated. In addition, an overdispersion parameter was included to account for variation induced by sampling schools and counselors within schools, and a repeated-measures parameter was included to account for variation surrounding the 15 months of DISC use by each counselor. Once the model was estimated, differences in DISC use before and after the five events were tested using $\chi^2$ tests.
With respect to child outcomes, analyses were conducted to determine the frequency with which children were identified as having a mental health problem, in addition to the prevalence of specific DISC diagnoses and high-risk behaviors. A $\chi^2$ test was used to compare the frequency with which mental health problems were identified among children who did and who did not receive the DISC assessment. In addition, the perceived benefits of the DISC assessment for parents, communication with parents, parents’ responsiveness to schools’ recommendation for a follow-up evaluation, and the rate with which children received a professional consultation were examined.
RESULTS
Frequency of DISC Use
In total, the 41 school counselors and other school-based mental health professionals who participated in the study completed 666 MHTFs, providing feedback about mental health assessments that were conducted between January 2002 and June 2003. Of the total number of MHTFs that were submitted, 80% ($n = 530$) reflected schools’ use of the DISC as a means of assessing students for potential mental health problems (Table 1). The remaining 136 assessments were in-person, unstructured interviews that, at times, also included a structured assessment tool (e.g., the Beck Depression Inventory). However, in all of the remaining cases, the schools’ assessments were completed without the use of the DISC. It is noteworthy that schools often failed to submit information about children who had been evaluated without the use of the DISC. Because school personnel are in frequent contact with students and often find occasions to informally assess students’ well-being, the frequency of mental health assessments that were not documented and reported to the investigators cannot be determined.
DISC Use by Schools. Over the course of the study, there was a steady increase in the number of DISCs that
| TABLE 1 |
|-----------------|-----------------|-----------------|
| Mental Health Tracking Form Questions | Missing, $N$ | Yes, $n$ (%) | n (%) |
| Questions about the identification process | | | |
| 1. Was this child assessed for mental health issues using the DISC? | 666 | 530 (80) | 0 (0) |
| 2. Were potential mental health issues identified as a result of the assessment? | 530 | 381 (72) | 11 (2) |
| 3. Did you contact the parents to discuss potential mental health issues? | 381 | 357 (94) | 9 (2) |
| 4. Did you recommend further evaluation by a mental health professional? | 357 | 336 (94) | 9 (3) |
| 5. Based on the recommendation, did the parents agree to make an appointment with a health or mental health professional? | 336 | 276 (82) | 8 (2) |
| 6. Did you follow up with the parents about their appointment within 2 weeks? | 276 | 214 (77) | 24 (9) |
| 7. Did the child see a health or mental health professional within 2 weeks of the school’s recommendation? | 214 | 140 (65) | 9 (4) |
| Additional questions about identified youths | | | |
| 1a. Do you think the DISC made a difference in getting this child into treatment? | 227 | 115 (51) | 88 (39) |
| 2a. Before the DISC assessment, had this child ever been in treatment before? | 156 | 42 (27) | 3 (2) |
| 2b. If this child has never been in treatment before, did the DISC help to identify child? | 111 | 40 (36) | 60 (54) |
Note: DISC = Diagnostic Interview Schedule.
were administered to students (Fig. 1). This may reflect the fact that school staff found the DISC to be useful on an ongoing basis throughout the course of the school year. Figure 2 reflects DISC use patterns that were reported by each of the participating schools. Although every participating school used the DISC at least once during the study, 83% of the schools (19/23) used the DISC at least five times, and 61% of the schools (14/23) used the DISC more than 10 times during the period of the study. Although every school made use of the DISC, not every school staff member who was trained to use the assessment tool chose to use it.
**DISC Use by Counselors.** As Figure 3 indicates, 78% (32/41) of the counselors who were trained in the DISC incorporated it into their work routine at least once during the course of this study. Furthermore, of those counselors who used the DISC at least once during the study period, 84% of them (27/32) tried it for the first time within the first 5 months of the study (January 2002–May 2002), and, by the end of the first study year (January 2002–December 2002), 72% of counselors who were using the DISC (23/32) had used it to assess 10 or more students. Once school staff had tried using the DISC with one student, the majority continued to...
use it with more of their students. By the end of the study (January 2002–June 2003), 91% of counselors using the DISC (29/32) administered it to at least five students and 78% of the counselors using the DISC (25/32) could be considered routine DISC users because they had used it with 10 or more students (mean 26.6; range 11–64).
**Programmatic Influences on DISC Use.** Post hoc analyses were conducted to determine whether there was an association between specific programmatic supports (e.g., site visits, individualized feedback regarding DISC use) and increases in DISC use. Analyses pointed to a consistent rate of DISC use across most of the study period. However, the average number of assessments administered by each counselor per month was observed to be significantly greater during the 2 months following the first site visit (February–March 2002) and during the 2 months following the kick-off meeting (October–November 2002) than for the rest of the intervening months during the study period (mean 1.26 versus mean 0.69; $\chi^2_1 = 6.81; p < .01$).
**Youth Outcomes**
Table 1 describes the number of youths who were assessed for mental health problems and linked with services as a result of a DISC assessment. Please note that in Table 1, the sample sizes for questions 2 to 7 reflect the total number of positive answers to the previous question, and questions 1a, 2a, and 2b are contingent on positive responses to the earlier questions with the same number. Thus, the sample size is different for each question on the MHTF. In addition, there is a reduced sample size for questions 1a, 2a, and 2b because these questions were added to the MHTF at a later point in the study, in September 2002.
**Identifying Children with Mental Health Problems.** The age of children who received an assessment with the DISC ranged from 9 to 18 years of age, with 72% of the youths between ages 12 and 14. In cases in which schools reported information about the sex of students who were assessed with the DISC, boys ($n = 234$) were assessed more often than girls ($n = 165$), but girls received a positive DISC result more often than boys (79%, 130/165 versus 63%, 148/234; $\chi^2_2 = 12.03; p < .01$). In the overall sample of children who were assessed with the DISC, approximately 72% of youths were identified as having a potential mental health problem (Table 1), and 71% of these DISC-positive youths (111/156) had never been in treatment before. As shown in Table 1, 39% (140/357) of the children whose parents were contacted by the schools as a result of positive DISC findings saw a health or mental health professional for a follow-up evaluation within 2 weeks of the school’s recommendation.
**Diagnoses.** Because 530 children were assessed for at least one diagnosis with the DISC, this denominator was selected as a conservative estimate of the number of children who could have been positively identified by the DISC. However, because all children were not assessed for all diagnoses, there were variations in the
actual denominator of each of the following percentages. Among children who received a DISC assessment, the most common diagnoses were social phobia (108/530, 20%), attention-deficit/hyperactivity disorder (99/530, 19%), oppositional defiant disorder (99/530, 19%); obsessive-compulsive disorder (67/530, 13%), separation anxiety disorder (66/530, 12%), major depressive disorder (59/530, 11%), and generalized anxiety disorder (52/530, 10%). Each of the aforementioned statistics includes only children who met both symptom and impairment criteria for *DSM-IV* diagnoses, according to the DISC findings. Additional diagnostic data using criteria with subthreshold impairment scores are available upon request.
**High-Risk Behaviors.** Notably, 43% (164/381) of the children who tested positive on the DISC reported high-risk behaviors. Specifically, the DISC data showed that 28% (105/381) of students who were identified with a potential mental health problem reported one or more clinically significant symptoms related to suicide (e.g., thoughts of death or dying, suicidal ideation, past suicide attempt); 6% (24/381) met the criteria for substance abuse or dependency, 8% (29/381) reported use of alcohol, marijuana, or other drugs to get high; 18% (68/381) had been suspended or expelled from school; 4% (14/381) had been truant from school; 4% (16/381) had been in trouble with the police; and 2% (7/381) reported use of a weapon. It is noteworthy that these percentages are likely to be underestimates of the prevalence of high-risk behaviors within this sample because data were missing for 124 of the 381 children who were included in this denominator.
**Benefits of the Evidence-Based Assessment**
**Facilitating Treatment.** Among the high-risk children described above, counselors perceived that the DISC made a difference in getting the child into treatment in 87% (53/61) of cases by supporting diagnostic impressions (78% of cases, 38/49), encouraging parents to follow through with the school’s recommendation (69% of cases, 34/49), and facilitating communications between the school and local treatment providers (53% of cases, 26/49). Unfortunately, because these data were only collected on youths who were assessed with the DISC on or after September 2002, these data are not available for the total sample of high-risk children.
**School’ Follow-Up.** As can be seen in Table 1, when potential mental health issues were identified by the DISC, most counselors contacted parents to recommend a follow-up evaluation with a mental health professional. On the rare occasion when counselors did not contact parents to discuss positive DISC findings, counselors who offered an explanation stated that 50% (7/14) of the time, this was due to a child being older than the age of 18 or because social services was already involved.
**Parents’ Responsiveness.** When schools recommended a follow-up evaluation with a mental health professional based on the DISC results, the vast majority of parents agreed to make an appointment for their child (Table 1). However, among those parents who did not plan to follow-up on the school’s recommendation, school staff reported that 50% (26/52) of these parents were not receptive to treatment at the time of the discussion, 19% (10/52) reported that the child was already receiving relevant services, 17% (9/52) stated that their decision was motivated by lack of insurance or financial burden, and 6% (3/52) cited some other reason such as the family’s plans to relocate or the student’s refusal to enter treatment. Parents were allowed to give multiple responses to this question. No response to this question was given in 19% (10/52) of cases.
**Professional Consultation.** Among those parents who did agree to seek out further evaluation for their child, counselors reported that 45% (123/276) agreed to follow up with a mental health professional, 13% (36/276) agreed to follow up with a health professional, 15% (42/276) planned to follow up with both health and mental health professionals, 19% (53/276) agreed to follow up with a mental health professional and did not indicate whether they would or would not see a health professional as well, and 8% (22/276) did not answer the question.
**DISCUSSION**
This study is, to our knowledge, the first systematic attempt to develop a feasible and sustainable means of offering ongoing, early identification services for mental health problems within school settings. With issues such as cost-effectiveness and time efficiency in mind, we developed a programmatic approach to introduce an evidence-based, mental health assessment tool in school settings. It is important to note that the time required of the school staff who administered the interview was limited to logging into the computer program, printing
out the computer-generated results, and interpreting the reports. In addition, it was possible to shorten the assessment period by eliminating specific disorder modules from the test administration that were not believed to be relevant. Thus, our goal was to enhance school staff’s capacity for identifying students with potential mental health problems by training them to use an evidence-based assessment tool that required little time for them to administer. To evaluate this program, we examined counselors’ DISC use and the outcomes of youths who were given the assessment.
**Frequency of DISC Use**
Throughout the duration of this study, the steady and frequent use of the DISC in all of the participating schools and by a majority of school staff indicates that schools may be a productive and effective venue in which to proactively identify adolescents at risk for mental health problems. It is noteworthy that the DISC assessment was most often used in cases when counselors thought that they would benefit from collecting additional information about a child whom they believed to be at potential risk. Students who were already receiving treatment, who were known to be in crisis, and who had parents who were receptive to schools’ concerns and recommendations for a follow-up evaluation often did not receive a DISC assessment. Thus, the number of children who received a DISC assessment is far fewer than the overall number of children who were seen by the school counselors over the course of the school year.
The results suggest that school staff found the DISC to be a feasible means of assessing students for potential mental health issues, and anecdotal reports from the schools suggest that much of the feasibility is due to staff being able to use the DISC flexibly in their schools. As a general rule, school counselors and other mental health professionals used the DISC to further explicate known difficulties, based on parent, teacher, or student referrals. However, across the 23 schools that participated in the effort, school staff chose to make use of the DISC in a variety of additional ways that were reported anecdotally, including as additional substantiation of a school’s recommendation for a follow-up evaluation with a mental health professional, an in-depth assessment following positive results on a short grade-wide screening, hands-on learning in psychology and/or health class, additional information about special populations such as special education students and students with truancy issues, and a required assessment for students who were being evaluated by student or teacher assistance teams. Although one rural school used the DISC to conduct a grade-wide assessment of its seventh grade students, this was not feasible for the majority schools that participated in this project due to other responsibilities and demands placed on school staff and considerably larger numbers of enrolled students.
The first 5 months of the study seemed to be a critical period for school staff to initially adopt the DISC and for them to “experiment” or try it out, resulting in a dramatic increase in new DISC users during this time. The data on counselors’ DISC use suggest that a year’s time may be required for school staff to routinely adopt the DISC. Yet, despite the widespread use of the DISC assessment, a small percentage of school staff failed to use the DISC even once over the course of the study. School staff reported several explanations for this phenomenon, including feeling intimidated by computer technology, a greater comfort level with previously used assessment techniques, and limited time availability for mental health assessments given other job responsibilities. A future report will examine specific predictors of counselors’ and schools’ DISC use. However, even counselors who chose not to use the DISC often referred students to a colleague in their school who was willing to administer the DISC on their behalf. Thus, students in every school were given the opportunity to be evaluated with the evidence-based assessment.
Although the rate of DISC use was relatively consistent during the course of the study, the novelty of the evidence-based tool and in-person meetings with school staff may have motivated the school counselors to administer a greater number of DISCs during the periods immediately following the first site visit (February–March 2002) and the kick-off meeting (October–November 2002). Yet, this rate of administration may have been too high to be sustainable on an ongoing basis. The aforementioned meetings with school staff were intentionally scheduled to correspond with the beginning of the study and the beginning of the following school year. As such, it is impossible for us to isolate the impact of our programmatic approach from the ebbs and flows of the school year. However, the increased DISC use at the beginning of the project and
at the start of the new school year may suggest that participants were excited about trying the assessment tool for the first time and beginning to integrate it into their work.
Youth Outcomes
The vast majority of children who were assessed with the DISC showed evidence of a potential mental health problem that warranted a follow-up evaluation by a mental health professional. In addition, significant numbers of these children were at high risk for negative outcomes such as suicide, met criteria for serious disorders with impairment and had never been in treatment before. Although there was a relatively low rate of substance abuse identified in this sample, this is not surprising because counselors often chose not to administer this diagnostic module. In addition, adolescents rarely reach the threshold for a *DSM* diagnosis of substance abuse and are unlikely to report the full extent of their use when they are assessed by school staff.
Previous epidemiological studies with the DISC have estimated prevalence levels to be similar to those reported in other studies.\textsuperscript{20,21} However, to our knowledge, there have been no studies of the prevalence of psychiatric diagnoses when the DISC was used to further explicate known difficulties based on parent, teacher, or student referrals, as was the case with the overwhelming majority of youths who were assessed over the course of this study. It is important to note that in cases in which a child was clearly in need of a consultation with a mental health professional, school staff generally did not spend additional time assessing a child with the DISC. Frequently, the DISC was used to identify potential mental health problems that would otherwise remain hidden such as depression, anxiety, and suicide risk. Thus, in more complex cases in which the need for a referral was less clear, the DISC was used to gather additional information about the child’s situation. Identifying children who are at risk but who do not present with easily identifiable symptoms or impairment is important and may not have occurred if the DISC was not available to school staff. Thus, although we do not have comparative data, it seems likely that schools’ use of the DISC resulted in the identification of additional children who are at risk for a mental health problem and, ultimately, was instrumental in helping them to receive follow-up care.
Benefits of the Evidence-Based Assessment
In cases in which the DISC yielded positive results, schools were proactive in contacting parents and, when appropriate, recommending that they seek further attention for the matter. Parents were generally receptive to schools’ recommendations for a follow-up evaluation based on the results of the assessment, with the vast majority of parents agreeing to make an appointment with a health or mental health professional. Among those children whose parents were recontacted by schools, 65% had received an evaluation within 2 weeks of the schools’ recommendation. However, it is important to note that this statistic reflects the rate of follow-up among parents who initially agreed to act on the school’s recommendation for further evaluation rather than the overall population of DISC-positive children whose parents were contacted by the school. Schools did not gather follow-up data on cases in which parents initially refused to follow up on the school’s recommendation.
The follow-up period in the present study was significantly shorter than that reported by other published studies of early identification programs for mental health problems. A 2-week follow-up period was chosen for this study with the hope of maximizing counselor follow-up and data submission, but it is likely that additional children received a follow-up evaluation sometime thereafter. Among families referred to a mental health professional for psychosocial problems by their primary care provider, Rushton and colleagues\textsuperscript{22} report that 61% attended an evaluation within 6 months. Similarly, Scott and Shaffer\textsuperscript{23} report that after a referral from the TeenScreen program, 58% of students obtained treatment within 6 months and 64% within 5 years. The relatively high rate of short-term follow-up in the present study may be a reflection of the tight-knit community setting in which this study was conducted. We might also hypothesize that the authority of these schools, the ongoing relationships they maintain with the families of their students, and the substantiation that the DISC lent to the schools’ recommendations factored into the highly responsive behaviors of these parents. Interestingly, the rapid rate of follow-up did not seem to be linked to the treatment referral network that had been organized within the community because only a small number of families received a follow-up evaluation from these providers.
The fact that 35% of children whose parents agreed to make an appointment with a health or mental health
professional had not been evaluated within 2 weeks of the school’s recommendation underscores the need for more proactive outreach efforts within the community. In addition, the significant number of children who received a follow-up evaluation from a health professional instead of a mental health professional may reflect the ongoing stigma associated with mental health issues and the need for additional public education. Thus, even with this project’s success in identifying children at risk for a mental health problem and getting parents to follow-up on these issues, our results are consistent with epidemiological data that indicate many children who meet the full criteria for a psychiatric diagnosis are not receiving treatment. As such, the results of this study confirm that the children mental health professionals see in their practices represent only a subgroup of the children who may benefit from their services. Although effective gains may be made in identifying children at risk for mental health problems in school settings, a gap continues to exist between identification and treatment processes.
Future attempts to implement computer-based, early identification programs would be wise to assess the level of computer comfort and skill among participating staff, so that training and support can be provided as needed. It is possible that school staff’s initial attitudes toward computers or toward the adoption of new techniques may have influenced the degree to which the early identification tool was used in this study. Indeed, attitudes toward early identification programs and the DISC itself may serve to moderate or mediate the success of this type of program. Future project analyses will explore this possibility.
The sustained use of the DISC in the schools that participated in this project has yet to be determined. In the absence of active supports such as supervisory conference calls and site visits as well as the accompanying sense of accountability to the research team for the use of the DISC, it will be important to determine whether schools and individual school staff continue to assess students.
Unlike the schools participating in this project, other school systems may not have access to a collaborative referral network of local mental health providers. Even though most DISC-positive youths did not see these providers, school staff may feel less comfortable adopting this approach to early identification without such a referral network in place. The fact that DISC software, training, computers, and required computer accessories were provided to participating schools free of charge may also affect the feasibility of implementing this approach to early identification in other schools.
Because school counselors generally did not keep thorough records of students who were assessed for mental health problems without the DISC, we were unable to draw some valuable comparisons between the characteristics and outcomes of students who did and did not receive a DISC assessment. The absence of a comparison group also limits our ability to assess the incremental benefits of the early identification program. With this in mind, the investigators plan to apply learning from this project to future work in other communities, where an experimental, control-comparison research design will be used.
Although research has documented the acceptability of the DISC in epidemiology and clinical practice, the school setting is different. Reactions of the students to being given the DISC as part of seeing a school counselor were not evaluated in this study. As such, future research on the feasibility and acceptability of using the DISC in school settings may assess students’ reactions to a detailed diagnostic interview, such as the DISC, which is unusual in a school setting.
In demonstrating that an evidence-based mental health assessment tool can assist school staff in the early identification of students with potential mental health problems, this study has several important clinical implications. School-based programs have access to the overwhelming number of children with a psychiatric diagnosis who fail to receive mental health services. Thus, schools offer an optimal environment in which to reach children in the community, identify internalizing diagnoses that otherwise would be likely to be missed, and connect at-risk youths with mental health treatment providers. School-based early identification programs may help to identify children before problems worsen and in time for mental health clinicians to make a significant positive impact on the developmental trajectory of a child’s life. Parents may be more willing to follow up on a school’s recommendation to consult with a mental health professional when an evidence-based assessment has been used. After a school has administered such an assessment, this information can be sent to the appropriate mental health professional to facilitate the initial intake evaluation, reduce the time required to develop a treatment plan, and enhance
communication between school-based professionals and community-based clinicians.
In the present study, a high percentage of students who were positively identified by the DISC received treatment. The vast majority of these children had never been in treatment before. Thus, establishing ongoing early identification programs for mental health problems in schools may help to bridge the gap between mental health providers and the unmet needs of children who are at risk for mental health problems within the community.
Disclosure: Dr. Nemeroff is a stockholder in Abbott Laboratories, Angen, Johnson & Johnson, and Pfizer. Dr. Setzerberg has ownership in Prairie St. John’s, a psychiatric treatment facility in Fargo, ND. Dr. Jensen is a stockholder with Eli Lilly, has investigator-initiated grants with Janssen and McNeil PPC, and participates on speakers’ bureaus for Janssen-Ortho, USB Pharma, and Cephalon. The other authors report no conflicts of interest.
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Bill Burns, Executive Director
Otoe-Missouria Tribe
Route 1, Box 62
Red Rock, Oklahoma 74651
Dear Mr. Burns:
This letter responds to your request to review and approve the amendment to the Otoe-Missouria Tribe's (Tribe) tribal gaming ordinance submitted on January 8, 1998. The amendment to the ordinance was adopted by the Tribe by Resolution No. 131-FY-97 on January 7, 1998, and approved by the Chairman of the National Indian Gaming Commission (NIGC) on June 2, 1994. This letter constitutes approval under the Indian Gaming Regulatory Act (IGRA).
Under the IGRA and the regulations of the NIGC, the Chairman is directed to review ordinances and amendments with respect to the requirements of the IGRA and the implementing regulations. Thus, the scope of the Chairman's review and approval is limited to the requirements of the IGRA and the NIGC regulations.
Thank you for submitting the amendments to the tribal gaming ordinance of the Otoe-Missouria Tribe. The NIGC staff and I continue to look forward to working with you and the Community in implementing the IGRA.
Sincerely yours,
Tadd M. Johnson
Chairman
RESOLUTION 131
RESOLUTION TO ADOPT AN AMENDING ACT RELATING TO THE OTOE-MISSOURIA TRIBE OF OKLAHOMA REGARDING REGULATION AND LICENSING OF GAMING ON INDIAN LANDS.
WHEREAS: the Otoe-Missouria Tribe of Oklahoma is a Federally recognized Indian Tribe of Indians organized pursuant to a Constitution and By-Laws, as amended by the People of the Otoe-Missouria Tribe from time to time a provided in the Oklahoma Indian Welfare Act of June 26, 1936, Ch. 831, 49 Stat. 1967, and
WHEREAS: the Constitution and By-Laws of the Otoe-Missouria Tribe of Oklahoma provides that the Otoe-Missouria Tribal Council shall have the power to act on behalf of the Tribe in all matters on which the Tribe is empowered to act, and
WHEREAS: the Otoe-Missouria Tribal Council is the Supreme governing body of the Otoe-Missouria Tribe of Oklahoma with the authority to enact laws and ordinances and to interpret provisions of the constitution and By-Laws, and
WHEREAS: in certain treaties entered into between the Otoe-Missouria Tribe and the United States, the Otoe-Missouria Tribe undertook to provide protection to Businesses which were located within its jurisdiction and retained all of its inherent rights of self government, and
WHEREAS: the Otoe-Missouria Tribe of Oklahoma is desirous of providing a basis under tribal law to authorize and regulate the conduct of gaming on Indian lands of the Otoe-Missouria Tribe including entering into tribal-state compacts with the states where Otoe-Missouria Indian lands are located and entering into appropriate management contracts with management agents to provide for the establishment and operation of Class II and Class III gaming operations as defined by the Indian Gaming Regulatory Act of 1988, and
WHEREAS: the Otoe-Missouria Tribe desires to approve the attached "AMENDED OTOE-MISSOURIA TRIBE GAMING ACT" in order to authorize and regulate
gaming on Indian lands of the Otoe-Missouria Tribe as defined by the Indian Gaming Regulatory Act of 1988, superseding any previous tribal gaming ordinances; and
WHEREAS, the Constitution and By-laws of the Otoe-Missouria Tribe provides that enactments are to be passed by a majority of the Tribal Council members present; and,
BE IT ENACTED BY THE OTOE-MISSOURIA TRIBE OF OKLAHOMA:
AN ACT RELATING TO OTOE-MISSOURIA TRIBE OF OKLAHOMA REGARDING REGULATION AND LICENSING OF GAMING ON INDIAN LAND
CHAPTER 1
General Provisions
Section 1-1
Title
This enactment shall be known as the "Otoe-Missouria Tribal Gaming Act".
Section 1-2
Purpose
The purpose of this Act is:
1. To regulate the conduct of gaming owned and operated by the Otoe-Missouria Tribe of Oklahoma or its officially licensed agents, on Indian lands of the Otoe-Missouria Tribe of Oklahoma, (hereafter referred to as "Otoe-Missouria Tribe") in compliance with Public Law 100-497, October 17, 1988, 102 Stat. 2467, the Indian Gaming Regulatory Act ("IGRA").
2. To provide a basis under tribal law for the operation of gaming on Indian lands as a means for promoting tribal economic development, self-sufficiency, and a strong tribal government.
3. To provide a basis under tribal law for the regulation of gaming by the Otoe-Missouria Tribe of Oklahoma adequate to shield it from organized crime and other corrupting influences, and to insure that the Otoe-Missouria Tribe is the primary beneficiary of the gaming operation, and to assure that gaming is conducted fairly and honestly by the Otoe-Missouria Tribe, its agents and players.
Section 1-3
Definitions
1. "Act" means this Otoe-Missouria Tribal Gaming Act.
2. "Tribal Committee" means the Otoe-Missouria Tribal Council.
3. "Chairman" means the Chairman of the Otoe-Missouria Tribal Gaming Commission established pursuant to this Ordinance.
4. "Class I gaming" means social games solely for prizes of minimal value or traditional forms of Indian gaming engaged in by individuals as a part of, or in connection, with tribal ceremonies or celebrations.
5. "Class II gaming" means:
(a) Bingo or lotto (whether or not electronic, computer, or other technologic aids are used) when players:
(1) Play for prizes with cards bearing numbers or other designations;
(2) Cover numbers or designations when object, similarly numbered or designated, are drawn or electronically determined; and
(3) Win the game by being the first person to cover a designated pattern on such cards;
(b) If played in the same location as bingo or lotto, pull-tabs, punch boards, tip jars, instant bingo, and other games similar to bingo;
(c) Non banking card games that:
(1) State law explicitly authorizes, or does not explicitly prohibit, and are played legally anywhere in the state; and
(2) Players play in conformity with state laws and regulations concerning hours, periods of operation, and limitations on wagers and pot sizes;
(d) Card games played in the states of Michigan, North Dakota, South Dakota, or Washington if:
(1) An Indian tribe actually operates the same card games as played on or before May 1, 1988, as determined by the Chairman; and
(2) The pot and wager limits remain the same as on or before May 1, 1988, as determined by the Chairman;
(e) Individually owned class II gaming operations--
(1) That were operating on September 1, 1986;
(2) That meet the requirements of 25 U.S.C. 2710(b)(4)(B);
(3) Where the nature and scope of the game remains as it was on October 17, 1988; and
(4) Where the ownership interest or interests are the same as on October 17, 1988.
6. "Class III gaming" means all forms of gaming that are not Class I gaming or Class II gaming.
7. "Commission" means the Otoe-Missouria Tribal Gaming Commission established by this Ordinance.
8. "Compact" means the agreement between the Otoe-Missouria Tribe and any State of the United States, pursuant to 25 U.S.C. §2710(b) (iv), as further approved in accordance with the Indian Gaming Regulatory Act, as the procedures under which Class III gaming may be conducted on Indian lands over which the Otoe-Missouria Tribe has jurisdiction.
9. "Executive Director" means the Executive Director of the Otoe-Missouria Tribal Gaming Commission established pursuant to this ordinance.
10. "IGRA" means the Indian Gaming Regulatory Act of 1988, P.L. 100-497.
11. "Indian land" means any land the title to which is either held in trust by the United States for the benefit of the Otoe-Missouria Tribe of Oklahoma or its members or is held by the Otoe-Missouria Tribe of Oklahoma, or its members subject to restriction by the United States against all alienation and over which the Otoe-Missouria Tribe of Oklahoma exercises governmental power; as defined by IGRA.
12. "State" means any State of the United States.
13. "Tribe" means the Otoe-Missouria Tribe of Oklahoma.
Chapter 2
Administration and Enforcement
Section 2-1
Establishment of the Otoe-Missouria Tribal gaming office and commission.
There is hereby established the Otoe-Missouria Tribal Gaming Office and the Otoe-Missouria Tribal Gaming Commission which shall have the duties and powers as hereinafter described.
The Commission shall constitute no less than three (3) nor more than five (5) members to be appointed by the President of the Otoe-Missouria Tribal Council. Commission members will
serve for a period of two (2) years. However, for the first appointments, the names shall be placed in a receptacle with the first name drawn serving a term of two (2) years. The second name drawn shall serve a term of one (1) year, and terms shall alternate accordingly with each subsequent name drawn. The Commission shall elect from among its members a Chairman. The Commission shall have the power to generally oversee the Chairman and the tribal gaming office and review its actions for approval or ensure compliance with this Act and any regulations adopted and orders issued by the Commission. The Commission members shall submit to a conflict of interest provision to disclose potential unethical situations.
Section 2-2
Powers and Duties of the Commission
Duties of the Commission
It shall be the responsibility of the Commission to promulgate regulations necessary to administer the provisions of this Act. The duties shall include, but not be limited to the following:
1. Printing and making available application forms for initial and renewal licenses, as well as other licenses or tax return forms.
2. Supervise the collection of all fees and taxes prescribed by this Act.
3. Processing all license applications and tax returns which will be submitted under oath.
4. Issuance of licenses.
5. Determining applicable license fees.
6. Auditing all returns.
7. Reviewing all records, documents and anything else necessary and pertinent to the financial accountabilities of licensees or enforcement of any provision of this ordinance.
8. Review for approval or denial any application or licensee, and to limit conditions to suspend or restrict any license.
9. Propose fines and penalties as needed.
10. Preparing and monitoring a plan for the protection of public safety and the physical security of patrons utilizing security and law enforcement personnel.
11. Review and approve floor plans and surveillance systems for each gaming facility and shall confer with the State regarding the adequacy of such plans and systems.
12. Maintain a list of persons barred from the gaming facilities because their criminal history or associations pose a threat to the integrity of the gaming activities of the Otoe-Missouria Tribe.
13. Approve the rules of each game of chance operated pursuant to this Act.
14. Commencement of any civil or criminal action necessary to enforce the provisions of this Act.
15. Retain legal counsel or other professional services, including investigative services, to assist the Commission with respect to any of the issues over which the Commission exercised jurisdiction.
16. Hire appropriate staff, subject to the approval of the Tribal Council, necessary to carry out its duties.
17. Prepare and submit to the Tribal Council an annual operating budget.
18. Establish policy and take all actions necessary to complete all tasks and procedures defined and required by the Otoe-Missouria Tribe Class II Gaming Ordinance.
19. Establish policy and take all actions necessary to complete all tasks and procedures defined and required by the Otoe-Missouria Tribe Class III Gaming Ordinance.
20. Establish policy and take all actions necessary to complete all tasks and procedures defined and required by the Otoe-Missouria Tribe Class II Gaming Regulations.
21. Establish policy and take all actions necessary to complete all tasks and procedures defined and required by the Otoe-Missouria Tribal Class III Gaming Regulations.
**Powers of the Commission**
In order to adequately perform its duties, the Commission is hereby vested with the following powers:
1. To employ non-uniformed, licensed inspectors who shall be present in all gaming facilities during all hours of operation who shall be responsible solely to the Commission and not to any management employees of the gaming operations. Such inspectors shall have unfettered access to all areas of the gaming facility at all times, including locked and secure areas.
2. To investigate on its own initiative any aspect of the gaming operations in order to protect the public interest in the integrity of the gaming activities and to prevent improper or unlawful conduct in said gaming activities.
3. To compel any person employed by and doing Tribal with any gaming operation to appear before it under oath and to provide such information, documents or other material as required in writing by the Commission.
4. To impose penalties and sanctions for violations of this Otoe-Missouria Tribal Gaming Act, any applicable compact, or other rules of procedure adopted by the Commission.
5. To establish policy and take all actions necessary to carry out the provisions of this Act in compliance with IGRA.
Section 2-3
Chairman of the Commission
The Chairman or any other member of the Commission acting in the absence of the Chairman may, whenever he deems it necessary to protect the public interest in the integrity of the Otoe-Missouria Tribe's gaming operations, issue in the name of the Commission, any order which the Commission has the power to issue, to the gaming operations or to any employee or contractor thereof or to any person within the jurisdiction of the Otoe-Missouria Tribe, to take any action or to cease and desist from taking any action as may be required to protect the public interest; provided, that any such order shall be subject to subsequent review by the Commission at its earliest opportunity, whereupon said order may be confirmed or vacated by the Commission.
Section 2-4
Executive Director
The Commission shall appoint an individual to serve as a full time Executive Director of the Commission to administer is responsibilities on a day to day basis and to oversee inspectors appointed by the Commission as well as such other staff as the Commission may from time to time employ. The Executive Director shall be responsible for coordination of the functions of the Commission with the State Police and the State gaming agency. The Chairman may request the Executive Director to conduct a preliminary investigation and render a recommendation to the Commission with respect to the grant or denial of any license, the imposition of any penalty, the investigation of any complaint, or any other action within the jurisdiction of the Commission.
The Executive Director shall have the power, in the name of the Commission, to conduct any hearing, investigation or inquiry, compel the production of any information or documents, and otherwise exercise the investigatory powers of the commission, which the Commission may exercise under this Ordinance.
Section 2-5
Commission Meetings
Regular meetings of the Commission may be held upon such notice, or without notice, and at such time and place as shall from time to time be fixed by the Commission. Unless otherwise specified by the Commission, no notice of such regular meetings shall be necessary.
Special meetings of the commission may be called by the Chairman or the Executive Director. The person or persons calling the special meeting shall fix the time and place thereof. Neither the Tribal to be transacted at, nor the purpose of, any regular or special meeting of the Commission need to be specified in the notice of the meeting.
At any meeting of the Commission, a majority of the members then in office shall constitute a quorum for the transaction of Tribal. The vote of a majority of the members present at a meeting at which a quorum is present shall be the act of the commission. The Chairman shall preside at all meetings of the Commission unless the Chairman designates another member to preside in his absence.
Any action required or permitted to be taken at a meeting of the Commission may be taken without a meeting if all of the members sign written consents setting forth the action taken or to be taken, at any time before or after the intended effective date of such action. Such consents shall be filed with the minutes of the Commission, and shall have the same effect as a unanimous vote or resolution of the Commission at a legal meeting thereof. Any such action taken by unanimous written consents may, but need not be, set forth in such consents in the form of resolutions or votes.
Members of the Commission may participate in a meeting of the Commission by means of conference telephone or similar communications equipment by means of which all person participating in the meeting can hear each other, and participation in such a meeting by any member who does not object at the beginning of such meeting shall constitute presence in person at such meeting.
Section 2-6
Procedures
The Commission shall afford an applicant for a license an opportunity for hearing prior to final action denying such application and shall afford a licensee or any other person subject to this ordinance the opportunity for a hearing prior to taking final action resulting in denying, terminating, revoking, suspending, or limiting a license or any other adverse action the Commission deems appropriate; provided, the Executive Director may summarily temporarily suspend or extend suspension of licenses for sixty (60) days in those cases where such action is deemed appropriate by the executive Director. In cases where a license is suspended prior to hearing, an opportunity for a hearing shall be provided.
Section 2-7
Background Investigation
The Commission shall request from each primary management official and from each key employee information defined in the gaming ordinances to include a minimum of the following information:
1. Full name, other names used (oral and written), social security number(s), birth date, place of birth, citizenship, gender, all languages (spoken or written);
2. Currently and for the previous 5 years: Tribal and employment positions held, ownership interests in those businesses, Tribal and residence addresses, and drivers license numbers;
3. The names and current addresses of at least three personal references, including one personal reference who was acquainted with the applicant during each period of residence listed under paragraph (1) (b) of this section;
4. Current Tribal and residence telephone numbers;
5. A description of any existing and previous Tribal relationships with Indian tribes, including ownership interests in those businesses;
6. A description of any existing and previous Tribal relationships with the gaming industry generally Indian tribes, including ownership interests in those Businesses;
7. The name and address of any licensing or regulatory agency with which the person has filed an application for a license or permit related to gaming, whether or not such license or permit was granted;
8. For each felony for which there is an ongoing prosecution or a conviction, the charge, the name, and address of the court involved, and the date and disposition if any;
9. For each misdemeanor conviction or ongoing misdemeanor prosecution (excluding minor traffic violations), within 10 years of the date of the application, the name and address of the court involved and the date and disposition;
10. For each criminal charge (excluding minor traffic charges), whether or not there is a conviction, if such criminal charge is within 10 years of the date of the application and is not otherwise listed pursuant to paragraph (1) (h) or (1) (i) of this section, the criminal charge, the name and address of the court involved and the date and disposition;
11. The name and address of any licensing or regulatory agency with which the person has filed an application for an occupational license or permit, whether or not such license or permit, whether or not such license or permit was granted;
12. A current photograph;
13. Any other information the Tribe deems relevant; and
14. Fingerprints consistent with procedures adopted by the Tribe according to 25 C.F.R. §522.2(h).
Section 2-8
Preliminary Determination
Whenever, upon preliminary factual finding, the Commission determines that any person has failed to comply with the provisions of this Act or any regulations promulgated hereunder, the Commission shall make a certification of findings with a copy thereof to the subject or subjects of that determination. After five (5) day notice, and within thirty (30) days thereof, the Commission shall hold a hearing at which time the subject shall have an opportunity to be heard and present evidence. The Commission shall have the specific right to enjoin and restrain illegal activities.
Section 2-9
Hearing
At such hearing it shall be the obligation of the subject to show cause why the preliminary determination is incorrect, why the application in question shall not be revoked or suspended, why the period of suspension should not be extended, or to show cause why special conditions or limitations upon a license should not be imposed, or to show cause why any other action regarding any other person or persons subject to any action should not be taken.
Section 2-10
Final Determination
Following such hearing, the Commission shall, within thirty (30) days, reach a final determination concerning the accuracy of the preliminary certification of facts, and whether the license in question should be granted, continued, suspended, revoked, conditioned or limited, and whether or not any other action recommended to or by the Commission (including but not limited to forfeitures or fines) should be taken. The action of the Commission will be the final action of the Otoe-Missouria Tribe.
Within (30) days following this determination the executive Director shall inform the subject in writing of that determination.
Sanctions
Any person who engages in activities on property subject to the provisions of this Act without a license, in violation of the license or terms imposed thereon, in violation of terms of suspension, or in violation of any other provision of this Act, any Compact with the State, the Indian Gaming regulatory Act of 1988, regulations promulgated thereunder, or amendments thereto, shall be in violation of this Act, including any person who unlawfully trespasses upon any premises licensed by this Act without the consent of the committee or the Executive Director. Separate violations shall be prosecuted as separate offenses. Each day of violation shall constitute a separate count or violation of this Act. Each violation shall carry a potential fine of Five Hundred ($500.00) to Five Thousand Dollars ($5,000.00) to be determined at the discretion of the Commission. Any property used in the furtherance of any violation of this Act may become the property of the Otoe-Missouria Tribe of Oklahoma. All winnings found to have been received in violation of this Act are subject to seizure and forfeiture and become the property of the Otoe-Missouria Tribe of Oklahoma.
Section 2-12
Reports
The commission will make an annual comprehensive report to the Otoe-Missouria Tribe Tribal Council.
CHAPTER 3
Licensing
Section 3-1
License Required
Any agent of the Otoe-Missouria Tribe of Oklahoma conducting public gaming operations for the benefit of the Otoe-Missouria Tribe on Indian lands of the Otoe-Missouria Tribe shall be required to have and display prominently an appropriate, valid and current public gaming license issued pursuant to the provisions of this Act. Any form of public gaming operations conducted within the jurisdiction of the Otoe-Missouria Tribe without the lawful written approval of the Otoe-Missouria Tribal Gaming Commission are prohibited. Furthermore, it shall be unlawful for any person to conduct gaming activities on Indian lands of the Otoe-Missouria Tribe which are not under license by and for the benefit of the Otoe-Missouria Tribe or which mislead the general public in believing the gaming operation is owned or under control and operated by the Otoe-Missouria Tribe. The Commission shall have the right to enjoin and restrain illegal activities.
Section 3-2
Classes and Fees
There shall be three (3) different classes of gaming, each characterized by its separate requirements and fees. These classes are created in compliance with the Indian Gaming Regulatory Act, Public Law 100-497, October 17, 1988.
Section 3-3
Class I Gaming
No license required.
Section 3-4
Class II Gaming
Only a wholly owned the Otoe-Missouria Tribe enterprise or its designated and approved agent or employee may apply for and receive a Class II gaming license. Also, gaming must be conducted in facilities of the Otoe-Missouria Tribe. A separate license must be issued by the Commission for each place, facility or located on Indian lands at which Class II gaming is conducted. The Otoe-Missouria Tribe will have the sole proprietary interest and responsibility for the conduct of any gaming activity under a Class II license and all net revenues from any said gaming are to be used for tribal purposes including:
(i) to fund tribal government operations or programs;
(ii) to provide for the general welfare of the Otoe-Missouria Tribe and its members;
(iii) to promote tribal economic development.
The Otoe-Missouria Tribe will cause annual audits of all gaming activity under a Class II license to be conducted within the existing independent tribal audit system and will provide all audit information to the National Indian Gaming commission. The management and operation of any Class II gaming facility shall be subject to all applicable provisions of the Indian Gaming Regulatory Act. An annual fee of $1,000.00 will be charged for any Class II gaming license.
Section 3-5
Class III Gaming
Class III gaming is hereby authorized to be conducted only by an enterprise which is owned solely by the Otoe-Missouria Tribe and a license may be issued to its designated and approved agents and employees. The Otoe-Missouria Tribe will have the sole proprietary interest
and responsibility for the conduct of any Class III gaming activity and the net revenues from any Class III gaming are to be used for no purposes other than:
(i) to fund tribal government operations or programs;
(ii) to provide for the general welfare of the Otoe-Missouria Tribe and its members;
(iii) to promote tribal economic development.
A separate license shall be required for each place, facility or location on Indian lands at which Class III gaming is conducted. An annual fee for a Class III gaming license will be $2,5000.00.
Section 3-6
Tribal-State Compact
The Tribal Council is authorized to approve a tribal state compact governing Class III gaming activities. Said compact shall be approved by the Secretary of the Interior or the Chairman of the National Indian Gaming Commission, as required, and published in the Federal Register as provided by Indian Gaming Regulatory Act. The compact may include provisions relating to the application of criminal and civil laws and regulations of the Otoe-Missouria Tribe or the state to the Class III gaming activity, an allocation of criminal and civil jurisdiction between the Otoe-Missouria Tribe and the state where necessary for the enforcement of laws and regulations, taxation, where appropriate, by the Otoe-Missouria Tribe of such activity in amounts comparable to the amount assessed by the state for comparable activities, remedies for breach of contract, standards for operation of such activity and maintenance of the gaming facility including licensing and any other subjects directly related to the operation of gaming activities. The Otoe-Missouria Tribe Tribal Council is hereby authorized to negotiate said compact on behalf of the Otoe-Missouria Tribe.
Section 3-7
Jurisdiction
Any cause of action initiated by the Otoe-Missouria Tribe arising from the failure of the State to enter into negotiations with the Otoe-Missouria Tribe for purposes of entering into a tribal-state compact or to conduct said negotiations in good faith will be filed in the United States District Court.
Section 3-8
Management Contracts
The Otoe-Missouria Tribe Tribal Council, on behalf of the Otoe-Missouria Tribe is authorized to enter into and approve management contracts for the management of any Class II
and/or Class III gaming facility owned and operated by the Otoe-Missouria Tribe. Said management contract shall in all respects be in compliance with the Indian Gaming Regulatory Act. All management contracts shall be approved by the Chairman of the National Indian Gaming Commission or as designated by IGRA. No person holding a management contract with the Otoe-Missouria Tribe for the management of any Class II or Class III gaming facility shall be an elected member of the Otoe-Missouria Tribe, or have been convicted of any felony or gaming offense, or have knowingly or willingly provided any material reporting false statements to the National Indian Gaming Commission or Otoe-Missouria Tribe Gaming Commission pursuant to this Act or the Indian Gaming Regulatory Act or whose prior activities, criminal record, if any, or reputation, habits, and association pose a threat to the effective regulation and control of the gaming activity subject to the management contract or who has attempted in any way to unduly influence or interfere with the decision process relating to any management contract or license.
Section 3-9
Termination
The Commissioner shall have the duty to bring before the Commission any charge of any unfair or illegal practice of any licensee or manager which shall constitute grounds for temporary suspension by the Commissioner or termination by the Commission of any license or management contract. The same procedure as provided herein under Section 2-6. et seq., will be followed here.
Section 3-10
Violation of Act by licensee
Any violation of any provisions of this Act or of any of the Commission's rules by a licensee, his agent, or employee, shall be deemed contrary to the public health, safety, morals, good order and general welfare of the Otoe-Missouria Tribe and the inhabitants of the Otoe-Missouria Tribe and grounds for refusing to grant or renew a license or management contract, suspension or revocation of a license or management contract or grounds for the filing of a complaint with the National Indian Gaming commission.
CHAPTER 4
Rules of Operation and General Accountability
Section 4-1
Records, Returns and Audits
It shall be the responsibility of the Otoe-Missouria Tribe Gaming Commission to promulgate regulations establishing proper accounting procedures and methods of operations for all licensees of Class II and Class III gaming activities so that all monies or things of value received and paid out may be properly monitored and accounted for. All licensees under this Act
shall be required to keep an approved accounting system which shall comply with, but not be limited to, all applicable provisions of this Act or regulations of the Commission. Said accounting system shall reflect all Tribal and financial transactions involved or connected in any manner with the operation and conducting of activities authorized by this Act. The Commission shall have the right to subpoena records or to secure a court order to seize records for property not surrendered.
No applicant, license or employee thereof shall neglect or refuse to produce records or evidence or to give information upon proper and lawful demand by the Commissioner or Commission, or shall otherwise interfere or attempt to interfere, with any proper and lawful efforts by the Executive Director or the committee to produce such information. The Commission may conduct such hearings as deemed necessary to insure compliance with the provisions of this Act and accountability for all monies received and spent. Failure to comply with the provisions of this Act shall constitute grounds for complaint with the National Indian Gaming Commission and summary suspension or revocation of any license or management contract.
Section 4-2
Rules of the game
It shall be the responsibility of the Otoe-Missouria Tribal Gaming Commission to promulgate regulations establishing the particular rules of any given Class II or Class III gaming in order that said gaming will be conducted with fairness and uniformity.
Section 4-3
Age limit for all gaming
No person who is under the age of 18 shall operate or be allowed to participate in any manner in the operation of any Class II or Class III gaming activities. It shall be the responsibility of any manager or licensed agent of the Otoe-Missouria Tribe to insure compliance with this age limit requirement.
Section 4-4
Inherent sovereignty of the Otoe-Missouria Tribe of Oklahoma.
With the passage of this legislative act notwithstanding any other law or ordinance, this ordinance does not limit the inherent sovereignty of the Otoe-Missouria Tribe of Oklahoma.
Section 4-5
Repeal
To the extent that they are inconsistent with this ordinance, all prior gaming ordinances are hereby repealed.
Certification
We, the undersigned officers of the Otoe-Missouria Tribal Council, do hereby certify that the foregoing Resolution 131-FY-97 was duly adopted this 7th day of January, 1998, by a vote of 5 for __ against, and 1 abstaining, 1 absent.
[Signatures]
Filed with:
Bureau of Indian Affairs - Pawnee Agency
Chairman, National Indian Gaming Commission
|
An Integrated Cloud-Based Smart Home Management System with Community Hierarchy
Ying-Tsung Lee, Wei-Hsuan Hsiao, Chin-Meng Huang and Seng-Cho T. Chou
Abstract — This paper presents a smart home management system in which a community broker role is used for integrating community services, thereby reducing the workload of community management staff, providing electronic information services, and deepening the community’s integration with the surrounding environment. At the home end, a home intranet was created by integrating a fixed touch panel with a home controller system and various sensors and devices to deliver, for example, energy, scenario information, and security functions. The community end comprises a community server and community personal computers, and connects to devices (e.g., video cameras and building automation devices) in other community systems and to the home networks. Furthermore, to achieve multiple in-home displays, standard interface devices can be employed to separate the logic and user interfaces. This study also determined that the message queuing telemetry transport protocol can provide optimal home control services in smart home systems, whereas hypertext transfer protocol is optimal for delivering location-based information integration services.
Index Terms — Smart Home Management System, Community Broker, Cloud Services, MQTT
I. INTRODUCTION
Smart home technologies have developed rapidly from home networks and multimedia to various home automation systems. Particularly, these technologies are used extensively in home energy management, although their applications are mainly limited to individual households [1]–[3]. Because of the Internet of things (IoT), smart home technologies have begun to integrate various smart devices, ranging from conventional sensors and remote controllers to smart home appliances and robot systems. Consequently, many innovative applications have been developed. Recently, smart home technologies have been integrated with cloud-based services to provide value-added services, operations, and management.
Home energy management system (HEMS)-related devices are installed inside and outside residences (i.e., spaces accessible to the public); for example, solar panels are installed on residential rooftops. Consequently, building management concerns may arise [4]–[6]. Previous studies have suggested that hierarchical architectures composed of community units can promote data and service sharing among several families. However, these studies have lacked real environments in which to develop such architectures, often deploying the architecture on cloud platforms [7]. For example, most residential buildings in Taipei, Taiwan, are condominiums. In a condominium, the residential community is responsible for maintaining the environment, security guard services, and location-based services. The integrative function of community broker systems was an essential feature of this study.
This study proposed a community broker role for integrating community services, such as managing device operations involved in environment deployment, reducing the manual labor required of community management personnel, providing electronic information services, supporting diversified services, and extending the community’s integration with the surrounding environment. In addition, integrating cloud-based services with community services can provide location-based services. Moreover, to achieve multiple in-home displays, standard interface devices can be employed to separate the logic and user interfaces (UIs). The aforementioned features were the major contributions of this study. On the basis of the implementation results, hypertext transfer protocol (HTTP) and message queuing telemetry transport (MQTT) protocol were compared. In summary, consistent with IoT characteristics, the MQTT protocol can be used to provide home control services in smart home systems, while HTTP can be used to deliver location-based information integration services.
The subsequent sections of this paper are organized as follows: Section II: Related Work; Section III: System Architecture; Section IV: Implementation Results & Discussion; and Section V: Conclusion.
II. RELATED WORK
A literature review showed that studies on smart home systems have primarily emphasized three areas: smart devices, multiple displays, and cloud-based services.
A. Smart Devices
1) HEMS-Related Studies, the Mainstream of Smart Home Studies: HEMS studies have shifted from examining home energy management involving simple home-appliance measurements to investigating energy-generation mechanisms. Integrating cloud service platforms with environment-data acquisition has been gradually emphasized in HEMS studies [1]-[3].
2) Solar Panels, a Popular Source for Generating Renewable Energy: Solar panels are frequently installed in public spaces, thereby causing an overlap between HEMS spaces and community spaces. Although various energy-related systems can exist in a community, such as electric vehicle (EV) charging systems and central management systems related to monitoring public property, the space overlap arouses concern regarding integrating community operations and maintenance [4]-[6].
3) With advancements in the core technologies of energy conservation and renewable-energy generation, studies on smart homes have focused on examining people and events in smart home systems, such as hierarchical relationships and standby behaviors of controlled home appliances, user activities and satisfaction, and living environments. To accommodate increasing amounts of information, ultra-large cloud service platforms were developed not only to provide access to environment information, as mentioned previously, but also to store historical data of users’ energy consumption. Therefore, such cloud service platforms are closely connected with smart house systems [7]-[9].
4) Home Safety and Health Care: In addition to energy management, home safety and health care have been explored in smart house studies. Smart home systems typically integrate various sensors and surveillance cameras to identify and assess abnormal events regarding home safety. In home health care, smart home systems not only employ body condition-specific sensors but also combine resources from remote cloud platforms with professional medical and healthcare services [10]-[12].
5) Many fields have applied smart home systems. In addition to the discussed fields, various fields have employed smart home systems for applying robot innovations and tagging techniques [13]-[15]: (1) When combined with cameras, robot systems can distinguish environments and provide feedback; therefore, exclusive, innovative robot designs are frequently applied to home automation. (2) Applying tags for object detection is the foundation of IoT technologies. Storing and analyzing the tag data on cloud platforms to ensure security and privacy has produced new applications.
6) Sensors and network technologies were used to develop the following innovative architecture applications [16]-[19]: (1) Home automation systems featuring hand-gesture recognition, (2) automatic photo-recommendation approaches based on detecting the activities in the photos, (3) emotion recognition and environment-interaction systems for videos, and (4) home-networking systems that enable long-distance visual sharing for families.
B. Multiple Displays
1) Smart home systems can choose display devices (e.g., tablet computers and smartphones) on the basis of the ambient environment and accordingly adjust the UI. A trend has developed in which smart home systems enable interactions between relevant devices as well as integrate surrounding sensors or remote servers. Moreover, TVs are a conventional home display interface. New studies regarding multiple displays have involved novel operational innovations, sensor integration, implementations of value-added services, and distinct screen systems [20]-[23].
C. Cloud-Based Services
1) Cloud-Based Services Regarding Household Living: To achieve high-level home automation, third-party servers and configured smart home systems are recommended to address data privacy and authentication concerns in inter-home, multiple-device smart environments. Smart home systems have been extended to intelligent building systems, with both indoor and outdoor scenarios being involved. In addition, regional environment information is used in the dynamic intermediate layers of the architecture. Integrating cloud-based services and smart home systems has generated the following challenges: (1) User terminals and servers must be hierarchically connected to develop data communication channels. (2) Software updating must consider regional software distribution. (3) Using cloud resources must entail security functions for accessing personal and group data. (4) To manage faults in the smart home systems, the cloud servers must cooperate with the core resource that manages the local servers to diagnose the faults through comparisons of events at different time points [24]-[28].
A summary of the discussed findings, in addition to research gaps and possible solutions, are shown in Table I. Moreover, Table I highlights the importance of the work discussed in subsequent sections.
III. PROPOSED SYSTEM ARCHITECTURE
A. Overall System Architecture (Three-Layer Hierarchical Architecture)
Typical smart home systems comprise single homes as well as various sensors and actuators. Smart home systems collect and present information through wired or wireless connections between the system and the home controller system. This study demonstrates a home-based smart home system, which connects single homes through community networking and
integrates them into a hierarchical architecture on a cloud service platform over the Internet according to community categories. The community management system (i.e., community broker ecosystem) not only performs community and home management but also supports the functions of the surrounding facilities. Moreover, the cloud service platform performs consistent core management by integrating the smart home systems of the communities and homes. By integrating its global services, the platform provides overall value-added and extended services.
### TABLE I
**SUMMARY OF RELATED STUDIES AND RESEARCH GAPS**
| Category | Main Findings | Solution Gaps |
|----------|---------------|---------------|
| Smart Devices (with Standard Interface and System Integration) | Smart devices must enable communications between distinct sensors with different interfaces. | A. The designs of existing architectures lack a standard interface control module (e.g., home controller) that possesses predefined and expandable communication interfaces. |
| | Smart devices must provide sensor functions and integrate smart home systems into community operations and management. | B. The designs of existing architectures lack a system-integrated component (e.g., community broker) that integrates the community operations and management with local environments according to environment information. |
| Multiple Displays (about Standard Interface) | Multiple displays must select display devices and adjust user interfaces according to ambient environments, thereby transforming high-tech smart home systems into a simple and easy-to-operate home. | C. The designs of existing architectures have no uniform user interface (e.g., home controller) capable of fulfilling the requirements of multiple displays. |
| Cloud Services: (for Service Intelligent) | Cloud services must be applicable in hierarchical architectures and combined with configured smart home systems to provide regional, location-based services (e.g., information services and home operation and management). | D. The designs of existing architectures lack an intelligent community configuration module (e.g., communication server and broker) to achieve location-based, multiregional applications of smart home systems and extend community operations and management. |
In the subsequent sections, Fig. 1 elaborates the construction of the aforementioned hierarchical architecture, and Figs. 2, 4, and 6 demonstrate the architecture layers.
### B. Proposed System Architecture
Fig. 1 illustrates the construction of the aforementioned hierarchical architecture, which consists of a home controller system, community management system, and cloud server platform. The home controller system comprises network connections, digital input and output (DIO) lines, RS485 wiring systems, and USB cables, through which the home controller system can integrate physical and conversion sensors and be extended to enable security settings, energy reporting, and scenario control. The community management system not only provides community and home management services and third-party services that enable communication with the cloud service platform but also integrates a central monitor and control system, surveillance system, vehicle-charging system, and digital signage system. Therefore, the community management system forms a location-based, integrated eco broker system. The core management on the cloud service platform focuses on the management and maintenance of communities and homes and provides remote control and data analysis functions to fixed carriers (e.g., fixed panels and smart TVs) and mobile carriers (e.g., smartphones and tablet computers). In addition, to achieve the goal of smart services, third-party applications and value-added services are integrated into the cloud service platform, thereby enhancing the diversification and convenience of the smart services.
### C. Predefined Interfaces and Device Settings at Home
Fig. 2 shows the predefined interfaces and device settings at the home end. In this study, the predefined interfaces of the home controller system were designed to comprise a local area network (LAN), DIO lines, RS485 wiring systems, and USB cables. The LAN was used to connect the home network with the community network. The DIO lines were used to connect wired physical devices (e.g., emergency buttons, magnetic switches, and gas detectors and valves) and integrate power lines and motor devices through relay devices, thereby enabling the smart home system to conduct light control with on/off and dimmer options as well as curtain control with open/close options. Using RS485 wiring systems enables connecting RS485-related devices or an analog I/O converter with RS485-related devices, which include power meters, water meters, infrared (IR) controllers, and environmental sensors (e.g., temperature, humidity, and CO₂ sensors). Furthermore, in the smart home controller system, the USB slots can extend to wireless devices, such as devices compliant with the Zigbee protocol, including power plugs and PIR...
motion sensors. As shown in Fig. 2, various devices can be easily connected to the home controller system for fulfilling smart home functions (e.g., energy management, security, and scenario controls).
Solution gaps A and C (Table I) are addressed through the predefined interfaces and device settings of the home controller. After the devices are matched, the connection is configured, and the services registration and reporting processes are established, the system architecture proposed in this study can build data models of the integrated devices that connect to the home controller. Separating the configuration logic from the UI enables the various display devices to follow the arrangement for the menu and UI controls, thus creating similar UIs by selecting the managed devices and obtaining and setting the function values through the communication interfaces (Figs. 10 and 12). Such devices manipulations are not limited to proprietary apps issued for particular devices (e.g., an air quality detector and a heat exchanger from different manufacturers, Fig. 3).
**D. Functions and Integrated Systems in the Community System**
The community management system is detailed in Fig. 4. The modules involved in the system include a broker service module (i.e., gateway for service and content), and a community and home management module. The community and home management module provides administrative tools for a security guard unit to manage residential affairs and affairs regarding condo status and alerts. Through the use of a graphic user interface, the community management system can perform emergency management and create a history log. Therefore, daily operations (e.g., notices regarding registered mail, parcels, and fees; announcements regarding water and power service interruptions and residential council meetings; and gas meter readings) become paperless, thereby enhancing operational efficiency and saving resources. In addition, to achieve integrated and comprehensive community services, the surrounding-facility-system integrated module focuses on integrating security systems (e.g., surveillance system, access control system) and building automation systems (e.g., central monitor and control system as well as a vehicle-charging system).
In summary, this study proposes a community broker that uses system integration (e.g., a schedule for door access control based on local time and weather) to provide value-added solutions such as a pop-up camera window on a local surveillance system triggered by detecting abnormal community-level door access (Fig. 5) or security alerts reported to a community guardian when residents press a home-level emergency button. Moreover, regarding long-term operations and maintenance, these integrated systems can proactively detect cross-system failures (e.g., a mail notice at the network level, a central monitor at the device level, and an alert log at the user level), thus reducing repair times and addressing solution gap B (Table I).
E. Platform Services and Modules on the Cloud
Fig. 6 presents a detailed illustration of the cloud service platform. The cloud service platform performs consistent core management by integrating the smart home systems of the communities and homes, in addition to providing overall value-added and extended services by integrating the global services of the platform. For conducting management and maintenance, the platform’s core management module mainly comprises a community or home monitor and configuration and device information collection and analysis. In addition, the core management module employs a HTTP-based authentication and authorization system and an application login identity system based on the Smartphone for implementing remote-control operations. By applying the aforementioned functions of the core management module, the module enables multiple-display functions through fixed carriers (e.g., fixed panels, smart TVs) and mobile carriers (e.g., smartphones, tablet computers). Furthermore, to achieve smart service objectives, the global solution module on the cloud platform introduces third-party applications (e.g., healthcare, transportation, map, government information, and open-data applications) and various value-added services (e.g., music, photos, personal and family services, or news and weather forecasts).
This study addresses solution gap D (Table I) by combining a community broker with a cloud server to provide location-based, multiregional applications. Hence, newscasts, weather forecasts, and government announcements could broadcast the nearest approximation information according to the geographic districts of the community configuration. Furthermore, a police officer (city government) could create a novel application by tracing the usage logs of residents in multiple regional communities (Fig.7) and scheduling location-based patrol services that optimize the allocation of police resources.
IV. IMPLEMENTATION RESULTS & DISCUSSION
A summary of the configuration and device deployment in the various layers of the proposed hierarchical architecture is explained here. At the home end, a home intranet was formed by integrating a fixed touch panel with a home controller system as well as various sensors and devices to deliver energy, scenario, information, and security functions. The community end comprises a community server and community personal computers for security guards and connects to devices (e.g., video cameras and building automation devices) in other community systems through the community network and to the home networks through the Internet. The cloud platform that can be connected through the internet comprises a core management server farm and global solution server farm, and is used to connect third party servers. According to the proposed hierarchical architecture, consumers can access smart home services and multiple-display services over the Internet through various fixed and mobile carriers.
A. Home Controller Illustration
Fig. 8 illustrates the home controller in the home end. The primary home controller comprises not only a basic power supply and home networks but also five digital output devices, six digital input devices, and the RS-485 interfaces, as well as USB interfaces to ensure system extendibility. Table II displays the specifications of the home controller used in this study.
### TABLE II
**HOME CONTROLLER SPECIFICATION**
| Components | # | Description |
|---------------------|----|-----------------------------------------------------------------------------|
| WAN | 1 | 1 Port, 10/100/1000Mbps |
| LAN | 1 | 1 Port, 10/100/1000Mbps |
| USB | 1 | USB 2.0, USB 1.1 |
| RS-485 | 1 | Half Duplex · 500Kbps · 4 Pin ( D+, D-, 5V, Ground ) |
| Console | 1 | Debug Console, Jack: q2.5mm Stereo Plug, UART TX/RX |
| Digital Input | 6 | 2.45 High Level ≤ 5V, Low Level ≤ 0.8V |
| Digital Output | 5 | Relay Dry Contact *, NC & NO Configuration by Jumper 1A/30VDC, 0.5A/125VAC |
| LED Indicator | 14 | DI*6, DO*5, Power*1, Status*1, Alarm *1 |
#### B. Floor Plan Example
Fig. 9 shows the floor plan of a single home, detailing the layout of sensors and devices involved in the home controller. The home controller, network devices, power supplier, relays, and water and power meters are housed in an intelligent, integrated cabinet, which is placed beside a major partition wall to maintain the home’s tidiness and overall appearance.
**Fig. 9. Floor plan.**
The primary fixed touch panel for the devices is installed at the door entrance, with magnetic switches being installed at the front door and windows of the balcony and rooms to ensure security. According to user needs, additional PIR motion sensors can be installed in the bedrooms to reinforce security. Emergency buttons are installed in the master bedroom and the bathroom for emergency purposes. When an emergency button is activated, community security guards may conduct a rescue operation. Moreover, to prevent accidents, gas detectors and valves are located in the kitchen, and environmental sensors (e.g., temperature, humidity, and CO₂ sensors) and an IR controller are installed in the living room. In addition, the air conditioner and TV can be consolidated for a state-of-the-art effect. Moreover, the light (on/off/dimmer) and curtain (open/close) control systems in the living room and bedrooms can be integrated with context-aware home automation. When additional services or devices are required, additional wireless power plugs can be installed to control the power supplies of other home appliances, thereby creating a convenient and comfortable smart home environment.
#### C. Screenshot of Implement Results
Fig. 10 presents screenshots that exhibit the various functions of the proposed fixed touch panel of the home controller. The Homepage mainly displays the function menu, calendar, time, weather information, and temperature. A security icon on the Homepage can enable placing an emergency call to the community security unit. The Energy & Scenario page provides information regarding historical statistics and real-time data collected from the water and power meters, enables single-touch control of the curtains and lights, and presents an integrative scenario control. The Security page presents statuses of the aforementioned magnetic switches and emergency buttons; this page can be used to enable a security mode when no resident is at home, which activates a real-time alarm upon detecting an intruder. Weather information is presented in the Weather page, which aids residents in deciding what clothes match the weather conditions and whether rain gears are necessary.
**Fig. 10. Screenshot of functions at home.**
**Fig. 11. Screenshot of functions in community.**
The function pages (Fig. 11) monitored by the server of the community management system present information regarding community affairs (e.g., mail notices, a gas meter report, and the community security guard and patrol schedule settings), the central monitor interface, the door access controls that manage overall community safety, and an alert log that records the alerts received and processed by residents.
Fig. 12 shows similar function displays on different display devices. The proposed smart home system allows users in offices to access home and community information through remote web pages. Moreover, employing the smart home system enables users to check home security and control scenarios on their smartphones when they are not at home. Therefore, the discussed scenarios exhibit the multiple-display feature of the proposed smart home system.
D. Service Protocol and Performance Evaluation
The proposed hierarchical architecture can use conventional HTTP and the IoT-influenced MQTT protocol. Previous studies have compared the power consumption, latency, and data traffic of the two protocols. For example, regarding maintaining connection operations, a connection established using the MQTT protocol consumed less energy than an HTTP connection did. Moreover, when the MQTT protocol and HTTP were applied to proxy servers separately, the MQTT-based proxy servers produced lower latency compared with that of the HTTP-based proxy servers. In addition, when tested in a global-positioning-system environment, the MQTT-based proxy servers resulted in lower data traffic than the HTTP-based proxy servers did.
To efficiently evaluate the feasibility of the proposed architecture for use in different scenarios, this study compared the data traffic and latency generated by the MQTT- and HTTP-based architectures. Overall, in contrast with the HTTP-based architecture, the MQTT-based architecture produced lower data traffic and lower latency in the command mode.
In addition, MQTT is characterized by the concept of topics and focuses on devices. Therefore, the number of community identifications (IDs) and home IDs in the architecture depends on the scale of services provided. However, the number of home devices can vary by time, which may incrementally affect the number of topics and the subsequent efficiency of the servers. Therefore, this study focused on one service scenario and proposed two types of abstract MQTT process to reduce the number of topics in the processes (Fig. 13).
The memory usages of the two MQTT processes were investigated. The virtual set size (VSZ) and resident set size (RSS) of each process were calculated, as shown in Table III.
- When the topic total and QoS level changed, the incremental amount of VSZ remained constant.
• When the topic total changed and the QoS level advanced, the RSS increased incrementally in a slow but steady manner.
• Overall, increasing to a large number of topics (e.g., 600) under a constant amount of connections required more memory than fewer topics (e.g., 4).
| Topics within 600 connections | QoS Level | Memory Usage Incremental Amount (kilo binary byte) |
|-------------------------------|-----------|--------------------------------------------------|
| | | VSZ | RSS | Total |
| 4 | 0 | 260 | 196 | 456 |
| | 2 | 260 | 202 | 462 |
| 600 | 0 | 258 | 336 | 594 |
| | 2 | 239 | 338 | 597 |
After the community broker load decreased because of the reduced topic total achieved through the aforementioned method, the core resources of the backbone networks and the cloud server had to be considered. As a core resource, the total connections employed in this study was substantially less than those in studies of conventional client-server architectures. The MQTT protocol only provides guidelines for connection security but does not stipulate imperative methods. Therefore, this study examined the bandwidth of the backbone networks and the processing capacity of the cloud platform by combining the MQTT protocol and the one time password (OTP) function of HTTP to enhance the safety of the proposed service architecture. The evaluation results of the consumption of the core resources indicated that, in contrast with conventional client-server architectures, the proposed hierarchical architecture integrated and saved energy by managing the bandwidth of the backbone networks and the processing capacity of the cloud platform.
This study had limitations and could be improved by implementing follow-up measures. For example, when the data traffic and latency generated by the MQTT- and HTTP-based architectures were compared, the difference in the MQTT and HTTP mechanisms resulted in the implemented architectures functioning differently. The comparison may not have been fair because different benchmarks were employed. In follow-up studies, a high level of consistency in the comparisons could be achieved by planning and comparing implementation scenarios (e.g., command-based scenario versus information-based scenario). Moreover, this study could be extended by including an examination of data analysis applications. For example, selecting service functions on the touchscreen of the community server to produce a record that can be analyzed to determine additional management scenarios involving the community features (e.g., personal preference of image modes and time-of-use information of the community guards), to adjust user-experience-based (UX-based) interfaces according to the relevance of user operation behaviors, and to detect obstacles by referring to the low click total and use rate of the services.
V. CONCLUSION
This study first proposed a hierarchical, smart home-service architecture, which employed standard interface devices at the home end to separate the logic and user interfaces, and achieving multiple in-home displays. Moreover, this study applied a community broker role to integrate smart home services such as managing environment deployment operations, reducing the manual labor required of community management personnel, providing electronic information services, supporting diverse services, and extending the community’s integration with the surrounding environment. Therefore, a complete and integrated smart home system can be achieved. In addition, integrating cloud-based services with community services provided location-based services.
Subsequently, to investigate the effects of two application protocols (i.e., typical HTTP and the IoT-influenced MQTT protocol) on the proposed architecture, the data traffic and latency generated by the HTTP- and MQTT-based architectures were compared. In addition, further analysis of the MQTT protocol determined that the memory usage varied incrementally when the topic amount and QoS level changed. Furthermore, consistent with IoT characteristics, the MQTT protocol can be used to effectively implement smart controls in smart home systems, while HTTP can be applied to enable various location-based information integration services. Therefore, the OTP function of HTTP, which is typically used in commercial applications, was used to enhance the safety of the proposed service architecture. The consumption of core resources by relevant architecture components (i.e., backbone networks and the cloud platform) was evaluated and indicated that, in contrast with conventional client-server architectures, the proposed hierarchical architecture can save resources by managing the bandwidth of backbone networks and the processing capacity of the cloud platform.
This study recommends that follow-up studies employ data analysis applications and user perspectives in designing UX-based interfaces. This proposed hierarchical architecture is expected to transform high-tech smart home systems into simple and easy-to-operate home automation solutions.
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[20] D. S. Kim, S. Y. Son, and J. Lee, “Developments of the in-home display systems for residential energy monitoring,” *IEEE Trans. Consumer Electron.*, vol. 59, no. 3, pp. 492-498, Aug. 2013.
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**BIOGRAPHIES**
**Ying-Tsung Lee** received the B.S. degree in Computer Science from National Chiao Tung University and the M.S. degree in Computer Science from National Chengchi University, Taiwan, in 1999 and 2001. He is pursuing Ph.D. degree at National Taiwan University, Taipei, Taiwan. His research interests include smart home, IoT, and cloud computing.
**Wei-Hsuan Hsiao** received the B.S. degree in Department of Information Management from National Sun Yat-sen University and the M.S. degree in Department of Information Management from National Chi Nan University, Taiwan, in 2002 and 2004. He is pursuing Ph.D. degree at National Taiwan University, Taipei, Taiwan. His research interests include smart home, IoT, and digital archives.
**Chin-Meng Huang** received the B.S. degree in Computer Science from National Kaohsiung First University and the M.S. degree in Communication and Networking from National Chung Cheng University, Taiwan, in 2000 and 2002. Since 2003, he has been with the Internet of Things Laboratory, Chunghwa Telecom Laboratories. His research interests include smart home, IoT and so on.
**Seng-Cho T. Chou** received the Ph.D. degree in Computer Science from the University of Illinois at Urbana-Champaign. He is a professor in the Department of Information Management at National Taiwan University and served as associate dean of the College of Management, EMBA CEO and GMBA Convener at National Taiwan University. His research interests include Web technologies and services, e-business and e-commerce, knowledge management, data mining, and mobile and ubiquitous computing.
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The Commissioners Court of Harris County, Texas, convened in regular session of the Court in the Harris County Commissioners Courtroom, 9th Floor, Harris County Administration Building, 1001 Preston, Houston, Texas, at 1:45 p.m. on August 24, 1993, with the following members present, to wit:
Jon Lindsay County Judge
El Franco Lee Commissioner, Precinct No. 1
James Fonteno Commissioner, Precinct No. 2
Steve Radack Commissioner, Precinct No. 3
Jerry Eversole Commissioner, Precinct No. 4
Molly A. Pryor County Clerk
and the following member(s) absent, to-wit: _____________, constituting a quorum, when among other business, the following was transacted:
ORDER ADOPTING PROCEDURES FOR THE ABATEMENT OF NEIGHBORHOOD NUISANCES AND THE ABATEMENT AND REMOVAL OF JUNKED VEHICLES AS PUBLIC NUISANCES FROM PRIVATE PROPERTY
Commissioner __Radack__ introduced an Order and made a Motion that the same be adopted. Commissioner __Eversole__ seconded the Motion for adoption of the Order.
The Motion carrying with it the adoption of the Order prevailed by the following vote:
AYES: Commissioners Lee, Fonteno, Radack and Eversole and Judge Lindsay
NOES: None
The County Judge thereupon announced that the Order had been duly and lawfully adopted. The Order adopted reads as follows:
PRESENTED TO
Commissioners Court
Date ___AUG 24 1993_____
Recorded Vol_____ Page _____
ORDER ADOPTING PROCEDURES FOR THE ABATEMENT OF NEIGHBORHOOD NUISANCES AND THE ABATEMENT AND REMOVAL OF JUNKED VEHICLES AS PUBLIC NUISANCES FROM PRIVATE PROPERTY
Subchapter A. Abatement of Neighborhood Nuisances
Section 1. Scope and Purpose
1.1 These procedures are adopted by the Commissioners Court of Harris County pursuant to the Neighborhood Nuisance Abatement Act, codified as Chapter 343 of the Texas Health and Safety Code, as amended, and shall apply to the unincorporated areas of Harris County, Texas.
1.2 The procedures provided for herein are not intended, nor shall they be construed, to limit in any way other remedies, causes of action, or rights provided for by law.
1.3 It is the purpose of these procedures to protect and enhance the desirability and the aesthetic character of residential and commercial neighborhoods in the unincorporated areas of Harris County and to control and abate certain conditions which lead to neighborhood blight and are detrimental to the overall health, welfare, and safety of the citizens of Harris County.
Section 2. Definitions
As used in Subchapter A, the words and terms defined in this section shall have the meanings ascribed, unless the context clearly indicates another meaning.
Abate means to eliminate a nuisance by removal, repair, rehabilitation, or demolition.
Administrator means the Director of the Harris County Health Department of Harris County, Texas, or a county employee acting under his/her supervision and control.
Building means a structure built for the support, shelter, or enclosure of a person, animal, chattel, machine, equipment, or other movable property.
Commissioners Court means the Commissioners Court of Harris County.
County means Harris County.
Garbage means decayable waste from a public or private establishments or restaurant. The term includes vegetable, animal, and fish offal and animal and fish carcasses, but does not include sewage, body waste, or industrial by-product.
Hearing Examiner means any board, commission, or official designated by the Commissioners Court to conduct a public hearing requested in accordance with Subchapter A of this Order.
Neighborhood means
a. a platted subdivision; or
b. property contiguous to and within 300 feet of a platted subdivision.
Order means the "Order Adopting Procedures for the Abatement of Neighborhood Nuisances and the Abatement and Removal of a Junked Vehicle as a Public Nuisance from Private and Public Property" which was adopted on August 24, 1993.
Person has the meaning assigned to that term by subdivision (2) of Section 311.005 of the Texas Government Code, as amended.
Platted Subdivision means a subdivision that has its approved or unapproved plat recorded with the county clerk of the county in which the subdivision is located.
Premises means all privately owned property, including vacant land or a building designed or used for residential, commercial, business, industrial, or religious purposes. The term includes a yard, ground, walk, driveway, fence, porch, steps, or other structure appurtenant to the property.
Public Nuisance is
a. Keeping, storing, or accumulating refuse on premises in a neighborhood unless such refuse is entirely contained in a closed receptacle;
b. Keeping, storing, or accumulating rubbish or any unused, discarded, or abandoned object, including newspapers, vehicles, refrigerators, stoves, furniture, tires, and cans, on premises in a neighborhood for ten (10) days or more, unless the rubbish or object is completely enclosed within a building or is not visible from a public street;
c. Maintaining premises in a manner that creates an unsanitary condition likely to attract or harbor mosquitoes, rodents, vermin, or disease-carrying pests;
d. Allowing weeds to grow on premises in neighborhood if such weeds are located within 300 feet of another residence or commercial establishment.
e. Maintaining a building in a manner that is structurally unsafe or constitutes a hazard to safety, health, or public welfare because of inadequate maintenance, unsanitary conditions, dilapidation, obsolescence, fire hazard, disaster, damage, or abandonment.
f. Maintaining on abandoned and unoccupied property in a neighborhood a swimming pool that is not protected with:
1. A fence that is at least four (4) feet high and that has a latched gate that cannot be opened by a child; or
2. a cover over the entire swimming pool that cannot be removed by a child.
g. This definition does not apply to a site or facility that is permitted and regulated by a state agency.
Public Street means the entire width between property lines of a road, street, way, thoroughfare, or bridge if any part of the road, street, way, thoroughfare, or bridge is opened to the public for vehicular or pedestrian traffic.
Receptacle means a container that is composed of durable material and designed to prevent the discharge of its contents and to make its contents inaccessible to animals, vermins, or other pests.
Refuse means garbage, rubbish, paper, and other decayable and nondecayable waste, including vegetable matter and animal and fish carcasses.
Rubbish means nondecayable waste from a public or private establishment or residence.
Weeds means all rank and uncultivated vegetable growth or matter that:
a. has grown to more than thirty-six (36) inches in height; or
b. may create an unsanitary condition or may become a harborage for rodents, vermin, or other disease carrying pests, regardless of the height of the weeds.
Section 3. Public Nuisances Prohibited
A person may not cause, permit, or allow a public nuisance, as that term is defined in Subchapter A of this Order, on any premises.
Section 4. Investigation
4.1 The Commissioners Court of Harris County hereby appoints the Director of the Harris County Health Department, a regularly salaried full-time County employee, to administer this program and the abatement procedures prescribed in Subchapter A of this Order.
4.2 A complaint to abate a public nuisance under these procedures may be initiated by any person by written complaint filed with the Administrator.
4.3 The Administrator shall make a record of all complaints received.
4.4 The Administrator shall review the complaint and make a determination as to whether a public nuisance exists. In order to administer these procedures, the Administrator may enter any premises in the unincorporated areas of the County at a reasonable time to inspect, investigate, or abate a nuisance, or to enforce Chapter 343 of the Texas Health and Safety Code, as amended. Before entering the premises, the Administrator must exhibit proper identification to the occupant, manager, or other appropriate person.
4.5 If the Administrator determines that a public nuisance does not exist, he will then close the matter and take no further action thereon.
4.6 If the Administrator determines that a public nuisance exists, he shall serve Notice to Abate the Public Nuisance on the owner of the premises on which the public nuisance exists. This Notice to Abate the Public Nuisance shall comply with, and be served as provided in, Section 6 of Subchapter A of this Order.
4.7 After the expiration of 30 days from the date on which the County's Notice to Abate the Public Nuisance is served, the Administrator shall inspect the premises described in the complaint.
4.8 If the Administrator determines that the public nuisance has been abated, he shall make a record of his/her findings and take no further action thereon.
4.9 If the Administrator determines that the public nuisance has not been abated and that a hearing has been requested, the Administrator shall follow the procedures set out in Section 7 of Subchapter A of this Order.
4.10 If the Administrator determines that the nuisance has not been abated, but there has been no request for a hearing, the Administrator shall follow the procedures set out in Section 5 of Subchapter A of this Order.
Section 5. Procedures When No Hearing is Requested
5.1 If the Administrator determines that the public nuisance has not been abated and a hearing has not been requested, then the Administrator shall request a title opinion from the County Attorney regarding ownership of the premises on which the public nuisance exists.
5.2 If the title opinion reflects an owner other than the person shown on the Notice to Abate the Public Nuisance, the Administrator shall serve a Notice to Abate the Public Nuisance on the person named as owner in the title opinion as set out in Section 6 of Subchapter A of this Order, as if no prior action had been taken on the complaint subsequent to the service of the first Notice to Abate the Public Nuisance.
5.3 If the title opinion shows the owner to be the person served with the Notice to Abate the Public Nuisance, then:
a. The Administrator shall estimate the cost to abate the public nuisance;
b. The Administrator shall forward the estimate of the cost to Commissioners Court; and
c. The Commissioners Court shall determine whether or not to order the abatement of the public nuisance and assess the costs of abating the public nuisance, the cost of legal notification by publication, if said procedure was utilized, plus an administrative fee of $100, on the owner of the premises on which the public nuisance exists, and/or the assessment of said costs on the premises on which the public nuisance exists. The County shall be entitled to interest beginning on the 31st day after the date of the assessment against the property at the rate of 10% per year.
Section 6. Notice Requirements
6.1 Each Notice to Abate the Public Nuisance must contain the following information:
a. The specific condition that constitutes a public nuisance;
b. The street address or other general description of the property on which the public nuisance exists;
c. That the person receiving the notice must abate the public nuisance before the 31st day after the date on which the notice is served;
d. That failure to abate the public nuisance may result in abatement by the County, assessment of costs, and the attachment of a lien to the property on which the public nuisance exists;
e. That Section 343.012 of the Texas Health and Safety Code, as amended, provides that a person commits a misdemeanor (punishable by a fine of not less than $50 or more than $200 for the first offense) if the public nuisance remains unabated after the 30th day after the date on which the person receives notice from a county official, agent, or employee to abate the nuisance;
f. Each day a violation occurs is a separate offense. If it is shown at trial of the defendant that the defendant has been previously convicted of an offense under this section, the defendant may be punished with a fine of not less than $200 or more than $1,000, confinement in jail for not more than six months, or both. The court shall order abatement of the nuisance if the defendant is convicted of an offense under Section 343.012 of the Texas Health and Safety Code, as amended;
g. That the owner, lessee, occupant, agent, or person in charge of the premises is entitled to submit, before the 31st day after the date on which the notice is served, a written request for a hearing which should contain the name and address of the person to be notified of the date, time and place of the hearing;
h. That said Request for Hearing may be given to the Administrator by hand delivery to his office which is currently located at 2501 Dunstan, Houston, Texas, or by certified mail, return receipt requested, addressed to the Director of the Harris County Health Department, P. O. Box 25249, Houston, Texas 77265; and
i. That the owner, lessee, occupant, agent, or person in charge of the premises is entitled to appear at the scheduled hearing and is entitled to present evidence, examine witnesses, and argue on the owner’s behalf.
6.2 The Notice to Abate the Public Nuisance shall be served on the owner in the following manner:
a. in person or by registered or certified mail, return receipt requested; or
b. if the owner cannot be located or identified, by posting a copy on the premises on which the public nuisance exists and by publishing the notice in a newspaper with general circulation in the county, two times within 10 consecutive days.
Section 7. Public Hearing before Hearing Examiner
7.1 A person receiving a Notice to Abate the Public Nuisance under Subchapter A of this Order is entitled to a public hearing before a Hearing Examiner. Such a request may be perfected by submission of a written request to the Administrator within 31 days of receipt of the Notice to Abate the Public Nuisance.
7.2 If a hearing has been requested, the Administrator shall set a hearing date and send a Notice of Hearing to the person and address stated in the Request for Hearing or by serving the owner in the same manner as used for serving the Notice to Abate the Public Nuisance in Section 6 of Subchapter A of this Order. The Notice of Hearing shall state the date, time, and place of the hearing and shall be provided at least ten (10) days prior to the date of the hearing. The ten-day notice requirement may be waived by the person filing the request for hearing if such waiver is in writing and signed by the person filing the Request for Hearing.
7.3 The owner and/or his representative present at the hearing shall be entitled to present testimony and other evidence, examine witnesses, and argue on the owner’s behalf.
7.4 Any interested person, including the Administrator and Investigator, may appear and present testimony and other evidence.
7.5 All persons testifying at the hearing shall be under oath.
7.6 The Hearing Examiner shall be allowed to question any person testifying. The Hearing Examiner shall assess the testimony fairly and impartial and in accordance with the law.
7.7 The Hearing Examiner shall make a written determination as to whether a public nuisance exists and sign such written determination. A copy shall be sent to the Administrator. Upon
the receipt of the copy of the written determination, the Administrator or his representative shall hand deliver or send by certified mail, return receipt requested, a copy of the written determination of the Hearing Examiner to the person designated in the Request for Hearing. If mailed, it shall be mailed to the address designated in said request.
Section 8. Post-Hearing Procedures When No Appeal Filed
8.1 If the Hearing Examiner determines that a nuisance exists, but no appeal is filed pursuant to Section 9 of Subchapter A of this Order, upon the expiration of 30 days from receipt of the determination by the person designated in the Request of Hearing, the Administrator will determine whether or not the public nuisance has been abated.
8.2 If the public nuisance has been abated, then the Administrator shall make a record thereof and take no further action thereon.
8.3 If the public nuisance has not been abated, the Administrator will estimate the cost to abate the public nuisance and forward the estimate to the Commissioners Court.
8.4 The Commissioners Court shall determine whether or not
a. to order the abatement of the public nuisance;
b. to assess the cost of abating the public nuisance, the cost of legal notification by publication, if said procedure was utilized, an administrative fee of $100.00, plus interest beginning on the 31st day after the date of the assessment on the owner of the premises on which the public nuisance exists; and/or
c. to assess the costs of abating the public nuisance, the cost of legal notification by publication, if said procedure was utilized, an administrative fee of $100.00, plus interest beginning on the 31st day after the date of the assessment against the premises on which the public nuisance exists.
Section 9. Appeal to Commissioners Court
9.1 An appeal from the written determination of the Hearing Examiner to Commissioners Court may be perfected by giving written Notice of Appeal to the Administrator within 31 days of receipt of a copy of the Hearing Examiner's determination by the person to be notified as shown in the Request for Hearing.
9.2 The Notice of Appeal must be in writing and must be signed by the person giving such Notice or his duly authorized representative. The Notice of Appeal must state the name and address of the person giving such Notice or his duly authorized representative.
9.3 Notice of Appeal may be given to the Administrator by hand delivery to his office which is currently located at 2501 Dunstan, Houston, Texas or by certified mail, return receipt requested, addressed to the Director of the Harris County Health Department, P.O. Box 25249, Houston, Texas 77265.
9.4 Upon receipt of a Notice of Appeal, the Administrator shall notify the Commissioners Court and the Commissioners Court shall set the date, time, and place for the appeal hearing.
9.5 The Administrator shall notify the person, or his duly authorized representative, at the address designated in the Notice of Appeal by certified mail, return receipt requested, or the notice may be delivered in person, of the date, time, and place of the appeal hearing set by Commissioners Court. This notice shall be provided at least ten (10) days prior to the date of
the appeal hearing. The ten (10) day notice requirement herein may be waived by the person filing such appeal if such waiver is in writing and signed by the person filing the appeal.
9.6 The Commissioners Court will conduct the appeal hearing and shall hear the testimony of any witness who shall be under oath. Each commissioner and the county judge may question any witness testifying.
9.7 The Commissioners Court Order determining the final disposition shall be entered in the Minutes of Commissioners Court. A copy of such Commissioners Court Order shall be sent by the Administrator by certified mail, return receipt requested, to the person or his duly authorized representative at the address designated in the Notice of Appeal.
9.8 If Commissioners Court determines that a public nuisance does not exist, then the Administrator shall close the matter and take no further action thereon.
9.9 If Commissioners Court determines that a public nuisance does exist, then the Administrator shall mail by certified mail, return receipt requested, to the person or his duly authorized representative at the address designated in the Notice of Appeal, a copy of such Commissioners Court Order making such determination.
Section 10. Post-Appellate Procedures
10.1 Upon the expiration of 30 days from the date that the person or his duly authorized representative receives a copy of the Commissioners Court Order determining that a nuisance does exist, the Administrator shall inspect the premises to determine if the public nuisance has been abated.
10.2 If the public nuisance has been abated, then the Administrator shall notify Commissioners Court in writing that the public nuisance has been abated and take no further action thereon.
10.3 If the public nuisance has not been abated, the Administrator shall estimate the cost to abate the public nuisance and forward the nuisance to the Commissioners Court.
10.4 The Commissioners Court shall determine whether or not
a. to order the abatement of the public nuisance;
b. to assess the cost of abating the public nuisance, the cost of legal notification by publication, if said procedure was utilized, an administrative fee of $100.00, plus interest beginning on the 31st day after the date of the assessment on the owner of the premises on which the public nuisance exists; and/or
c. to assess the costs of abating the public nuisance, the cost of legal notification by publication, if said procedure was utilized, an administrative fee of $100.00, plus interest beginning on the 31st day after the date of the assessment against the premises on which the public nuisance exists.
Section 11. Additional Duties of the Administrator
11.1 If an owner fails or refuses to abate a public nuisance and the Commissioners Court determines to abate the same pursuant to Subchapter A of this Order, then the Administrator shall proceed to let a county contract for such abatement. The procedure for letting such contract shall be substantially the same as that for letting county construction contracts. The abatement of the public nuisance shall be in compliance with any applicable federal, state,
and local laws, rules, procedures, and ordinances. Upon completion of such abatement, the Administrator shall calculate the cost that the County incurred in abating the nuisance.
11.2 If the Commissioners Court has ordered assessment of such costs against the property on which the nuisance exists, the Administrator shall prepare the lien documents and, after such documents are reviewed by the County Attorney, record same in the Official Public Records of Real Property of Harris County. The amount of the lien shall be the amount of the cost of removal, the cost of legal notification by publication, if said procedure was utilized, an administrative fee of $100, plus interest beginning on the 31st day after the date of the assessment. The original lien documents shall be returned to the Administrator after recording. The County is authorized by Section 343.023 of the Texas Health and Safety Code, as amended, to collect 10% interest per year on assessments pursuant to these procedures.
11.3 If the Commissioners Court has ordered assessment of such costs against the owner of the premises on which the nuisance exists, then the Administrator will request the County Attorney to proceed to collect the amount of the cost of removal, the cost of legal notification by publication, if said procedure was utilized, an administrative fee of $100 plus interest beginning on the 31st day after the date of the assessment, from said owner. The County Attorney may file suit to recover same if the County Attorney determines that the suit is necessary and economically feasible.
11.4 Upon the satisfaction of any judgment or order issued pursuant to Subchapter A of this Order, the Administrator is authorized to sign any release or other document, upon review and approval by the County Attorney, to confirm that said orders or judgments have been complied with. This includes, but is not limited to, releases of liens filed in the Official Public Records of Real Property of Harris County.
Subchapter B. Abatement and Removal of a Junked Vehicle as a Public Nuisance from Private Property
Section 1. Scope and Purpose
1.1 These procedures are adopted by the Commissioners Court of Harris County pursuant to Sections 5.09 - 5.12 of Tex. Rev. Civ. Stat. Ann. art. 4477-9a, as amended, and shall apply in the unincorporated areas of Harris County.
1.2 The provisions of this Order are not penal. However, proceedings conducted to abate nuisances in accordance with this Order shall not be construed to preclude prosecution under Tex. Rev. Civ. Stat. Ann. art. 4477-9a, §5.08, as amended, or vice versa. Further, these procedures do not affect the authority of a peace officer to authorize the immediate removal, as an obstruction to traffic, of a motor vehicle left on public property.
1.3 All procedures under this Order must be administered by regularly salaried, full-time employees of the County, except that the removal of a motor vehicle or part of a motor vehicle from property may be by any duly authorized person.
Section 2. Definitions
As used in Subchapter B of this Order, the words and terms defined in this section shall have the meanings ascribed, unless the context clearly indicates another meaning.
Administrator means the Director of the Harris County Health Department or a county employee under his/her supervision and control.
Antique auto means a passenger car or truck that was manufactured in 1925 or before or a passenger car or truck that is at least thirty-five (35) years old.
Collector means the owner of one or more antique or special interest vehicles who collects, purchases, acquires, trades, or disposes of special interest or antique vehicles or parts of them for personal use in order to restore, preserve, and maintain an antique or special interest vehicle for historic interest.
Commissioners Court means the Commissioners Court of Harris County.
County means Harris County, Texas.
Demolisher means a person whose business is to convert a motor vehicle into processed scrap or scrap metal or to otherwise wreck or dismantle a motor vehicle.
Garagekeeper means an owner or operator of a parking place or establishment, motor vehicle storage facility, or establishment for the servicing, repair, or maintenance of a motor vehicle.
Hearing Examiner means any board, commission, or official designated by the Commissioners Court to conduct a public hearing requested in accordance with Subchapter B of this Order.
Investigator means a county employee, officer (including a peace officer), or agent authorized by the Administrator to investigate complaints filed under Subchapter B of this Order.
Junked vehicle means a motor vehicle as defined in Section 1, Chapter 42, General Laws, Acts of the 41st Legislature, 2nd Called Session, 1929 (Article 6701d-11, Vernon's Texas Civil Statutes):
(1) that is inoperative; and
(2) that does not have lawfully affixed to it either an unexpired license plate or a valid motor vehicle safety inspection certificate, that is wrecked, dismantled, partially dismantled, or discarded, or that remains inoperable for a continuous period of more than forty-five (45) days;
provided that the term "junked vehicle" shall not be construed to include:
(1) a motor vehicle or part of a motor vehicle that is completely enclosed within a building in a lawful manner where it is not visible from the street or other public or private property;
(2) a motor vehicle or part of a motor vehicle that is stored or parked in a lawful manner on private property in connection with the business of a licensed vehicle dealer or junkyard; or
(3) an unlicensed, operable or inoperable antique or special interest vehicle stored by a collector on the collector's property, if the vehicle and the outdoor storage area are maintained in a manner so that they do not constitute a health hazard and are screened from ordinary public view by means of a fence, rapidly growing trees, shrubbery, or other appropriate means.
Junkyard means an establishment or place of business maintained, used, or operated for storing, keeping, buying, or selling junk, for processing scrap metal, or for maintaining or operating an automobile junkyard. The term includes garbage dumps and sanitary fills.
Motor vehicle means a motor vehicle subject to registration under the Certificate of Title Act (Article 6687-1, Vernon's Texas Civil Statutes) and includes a motorboat, outboard motor, or vessel subject to registration under Chapter 31, Texas Parks and Wildlife Code.
Order means the "Order Adopting Procedures for the Abatement of Neighborhood Nuisances and the Abatement and Removal of a Junked Vehicle as a Public Nuisance from Private and Public Property" which was adopted on August 24, 1993.
Peace officer means a sheriff, deputy sheriff, constable, or deputy constable.
Person has the meaning assigned to that term by subdivision (2) of Section 311.005 of the Texas Government Code, as amended.
Public nuisance shall mean the following: a junked vehicle that is located in a place where it is visible from a public place or public right-of-way is detrimental to the safety and welfare of the general public, tends to reduce the value of private property, invites vandalism, creates fire hazards, and is detrimental to the economic welfare of the state by producing urban blight adverse to the maintenance and continuing development of the municipalities in the state.
Special interest vehicle means a motor vehicle of any age that has not been altered or modified from the original manufacturer's specifications and, because of its historic interest, is being preserved by hobbyists.
Storage facility means a garage, parking lot, or any type of facility or establishment for the servicing, repairing, storing, or parking of motor vehicles.
Section 3. Junked Vehicle as Public Nuisance
A person may not maintain a public nuisance, as that term is defined in Subchapter B of this Order.
Section 4. Investigation
4.1 The Commissioners Court of Harris County hereby appoints the Director of the Harris County Health Department, a regularly salaried, full-time County employee, to administer this program and the abatement procedures prescribed in Subchapter B of this Order. Investigators designated by the Administrator shall assist him/her in the administration of this program. Upon the completion of each investigation, the Investigator shall provide the Administrator with a copy of such file.
4.2 A complaint to abate a public nuisance under these procedures may be initiated by any person by written complaint filed with the Administrator.
4.3 The Administrator shall keep a record of all complaints received.
4.4 The Administrator shall assign an Investigator to review the complaint and make a determination as to whether a public nuisance exists. In order to administer these procedures, an Investigator may enter private land to examine a motor vehicle or motor vehicle part, obtain information as to the identity of the vehicle, and remove or cause the removal of a motor vehicle or motor vehicle part that constitutes a public nuisance.
4.5 If the Investigator determines that a public nuisance does not exist, the Investigator shall submit his findings to the Administrator who will then close the matter and take no further action thereon.
4.6 If the Investigator determines that a public nuisance exists, the Investigator shall submit his findings to the Administrator. The Investigator shall serve a "Notice to Abate Nuisance" which shall comply with and be served as provided in Section 5 and Section 6 of Subchapter B of this Order.
4.7 After the expiration of 10 days from the date on which the County's Notice to Abate Nuisance is served, the Investigator shall inspect the premises described in the complaint.
4.8 If the Investigator determines that the public nuisance has been removed and abated, s/he shall make a record of his/her findings, provide a copy of such findings to the Administrator, and take no further action thereon.
4.9 If the Investigator determines that the public nuisance has not been removed and abated and that a hearing has been requested, the Investigator shall follow the procedures set out in Section 8 of Subchapter B of this Order.
4.10 If the Investigator determines that the public nuisance has not been removed and abated and that a hearing has not been requested, the Investigator shall follow the procedures set out in Section 7 of Subchapter B of this Order.
Section 5. Notice Requirements
The Notice to Abate Nuisance on Private Property shall contain the following information:
a. The nature of the public nuisance on private property;
b. The street address or other general description of the property on which the public nuisance exists;
c. That the owner, lien holder, and/or owner or occupant of the private premises on which the public nuisance exists and who receives the notice must remove and abate the public nuisance within ten (10) days after the date on which the notice is served;
d. That failure to remove and abate the public nuisance may result in removal and abatement by the County;
e. That Tex. Rev. Civ. Stat. Ann. art. 4477-9a, §5.08, as amended, provides that a person commits an offense (punishable by a fine not to exceed $200) if that person maintains a public nuisance, and that on conviction, the court shall order removal and abatement of the nuisance;
f. That the last registered owner of the junked motor vehicle, any lien holder of record, or the owner or occupant of the private premises on which the public nuisance exists is entitled to submit, before the expiration of the 10-day period after service of the notice, a written request for a hearing which should contain the name and address of the person to be notified of the date, time, and place of the hearing;
g. That said Request for Hearing may be given to the Administrator by hand delivery to his office which is currently located at 2501 Dunstan, Houston, Texas, or by certified mail, return receipt requested, addressed to the Director of the Harris County Health Department, P. O. Box 25249, Houston, Texas 77265; and
h. That the owner of the junked motor vehicle, any lien holder of record, or the owner or occupant of the private premises is entitled to appear at the scheduled hearing and is entitled to present evidence, examine witnesses, and argue on the junked vehicle owner's behalf.
Section 6. Service of Notice to Abate Nuisance
6.1 For a nuisance on private property, the Investigator shall send written Notice to Abate Nuisance by certified mail, with a 5-day return requested, to the last known registered owner of the junked motor vehicle, any lien holder of record, and to the owner or occupant of the private premises on which the public nuisance exists.
6.2 If the post office address of the last known registered owner of the motor vehicle is unknown, notice to the last known registered owner may be placed on the motor vehicle.
6.3 If the last known registered owner is physically located, the notice may be hand delivered.
6.4 If any notice is returned undelivered by the United States Post Office, official action to abate the nuisance shall be continued to a date not less than 10 days after the date of return.
Section 7. Procedures When No Hearing is Requested
7.1 If the Investigator determines that the public nuisance has not been abated and a hearing has not been requested, then the Investigator shall request that a Peace Officer research and verify ownership of the junked vehicle.
7.2 If the title search reflects a registered owner or lien holder other than the person(s) shown on the Notice to Abate Nuisance, the Investigator shall serve a Notice to Abate Nuisance on the person named in the certificate of title as set out in Section 5 and Section 6 of Subchapter B of this Order, as if no prior action had been taken on the complaint subsequent to the service of the first Notice to Abate Nuisance.
7.3 If the title search shows the registered owner and lien holder to be the persons served with the Notice to Abate Nuisance, the Investigator shall so advise the Administrator who will then:
a. Estimate the cost to remove and abate the public nuisance; and
b. Forward the estimate to the Commissioners Court.
7.4 The Commissioners Court shall determine whether or not to order the removal and abatement of the public nuisance. The Commissioners Court determining the final disposition shall be entered in the minutes of Commissioners Court.
7.5 If the Commissioners Court determines that a public nuisance does not exist, then the Administrator shall close the matter and take no further action thereon.
7.6 If the Commissioners Court determines that a public nuisance exists and that the public nuisance should be removed and abated, a copy of such Commissioners Court Order shall be sent by the Administrator by certified mail, return receipt requested, to the last registered owner of the junked motor vehicle, any lien holder of record, and the owner or occupant of the private premises on which the public nuisance exists.
Section 8. Public Hearing before Hearing Examiner
8.1 A person receiving a Notice to Abate Nuisance under Subchapter B of this Order is entitled to a public hearing before a Hearing Examiner. Such a request may be perfected by submission of a written request to the Administrator within 10 days of receipt of the Notice to Abate Nuisance.
8.2 If a hearing has been requested and no Hearing Examiner has been previously appointed, the Administrator shall request that one be appointed by the Commissioners Court.
8.3 The Hearing Examiner shall set a hearing date and send a Notice of Hearing to the person and address stated in the Request for Hearing or by serving the person in the same manner as used for serving the Notice to Abate Nuisance in Section 6 of Subchapter B of this Order. The Notice of Hearing shall state the date, time, and place of the hearing and shall be provided at least ten (10) days prior to the date of the hearing. The ten-day notice requirement may be waived by the person requesting the hearing if such waiver is in writing and signed by the person requesting the hearing.
8.4 The registered owner, the lien holder, the owner or occupant of the private property on which the nuisance exists, and their representatives present at the hearing shall be entitled to present testimony and other evidence, examine witnesses, and argue on the registered owner’s behalf.
8.5 Any interested person, including the Administrator and Investigator, may appear and present testimony and other evidence.
8.6 All persons testifying at the hearing shall be under oath.
8.7 The Hearing Examiner shall be allowed to question any person testifying. The Hearing Examiner shall assess the testimony fairly and impartial and in accordance with the law.
8.8 The Hearing Examiner shall make a written determination as to whether a public nuisance exists and sign such written determination. A copy of such determination shall be provided to the Administrator.
8.9 If the hearing results in the determination that a public nuisance does exist, the Hearing Examiner shall enter an order requiring the removal of the motor vehicle or motor vehicle part. Such order shall include a description of the vehicle and the correct identification number and license number of the vehicle if the information is available at the site. A copy of such determination shall be sent to the Investigator who shall hand deliver or send by certified mail, return receipt requested, a copy of the written determination of the Hearing Examiner to the person designated in the Request for Hearing. If mailed, it shall be mailed to the address designated in said request.
8.10 If the hearing results in the determination that a public nuisance does not exist, the Investigator shall send notice to that effect to the person(s) and address(es) designated in the Request for Hearing and take no further action thereon.
Section 9. Post-Hearing Procedures When No Appeal Filed
9.1 If the Hearing Examiner determines that a public nuisance exists, but no appeal is filed pursuant to Section 10 of Subchapter B of this Order, upon the expiration of 10 days from receipt of the determination by the person designated in the Request of Hearing, the Investigator will determine whether or not the public nuisance has been abated.
9.2 If the public nuisance has been abated, then the Investigator shall make a record thereof, provide a copy of said record to the Administrator, and take no further action thereon.
9.3 If the public nuisance has not been abated, the Investigator shall so advise the Administrator who will then:
a. Estimate the cost to remove and abate the public nuisance; and
b. Forward the estimate to the Commissioners Court
9.4 The Commissioners Court shall determine whether or not to order the removal and abatement of the public nuisance. The Commissioners Court Order determining the final disposition shall be entered in the minutes of Commissioners Court.
9.5 If the Commissioners Court determines that a public nuisance does not exist, then the Administrator shall close the matter and take no further action thereon.
9.6 If the Commissioners Court determines that a public nuisance exists and that the public nuisance should be removed and abated, a copy of such Commissioners Court Order shall be sent by the Administrator by certified mail, return receipt requested, to the last registered owner of the junked motor vehicle, any lien holder of record, and the owner or occupant of the private premises on which the public nuisance exists.
Section 10. Appeal to Commissioners Court
10.1 An appeal from the written determination of the Hearing Examiner to Commissioners Court may be perfected by giving written Notice of Appeal to the Administrator within 10 days of receipt of a copy of the Hearing Examiner’s determination by the person to be notified as shown in the Request for Hearing.
10.2 The Notice of Appeal must be in writing and must be signed by the person giving such Notice or his duly authorized representative. The Notice of Appeal must state the name and address of the person giving such Notice or his duly authorized representative.
10.3 Notice of Appeal may be given to the Administrator by hand delivery to his office which is currently located at 2501 Dunstan, Houston, Texas or by certified mail, return receipt requested, addressed to the Director of the Harris County Health Department, P.O. Box 25249, Houston, Texas 77265.
10.4 Upon receipt of a Notice of Appeal, the Administrator shall notify the Commissioners Court and the Commissioners Court shall set the date, time, and place for the appeal hearing.
10.5 The Administrator shall notify the person, or his duly authorized representative, at the address designated in the Notice of Appeal by certified mail, return receipt requested, or the notice may be delivered in person, of the date, time, and place of the appeal hearing set by Commissioners Court. This notice shall be provided at least ten (10) days prior to the date of the appeal hearing. The ten (10) day notice requirement herein may be waived by the person filing such appeal if such waiver is in writing and signed by the person filing the appeal.
10.6 The Commissioners Court will conduct the appeal hearing and shall hear the testimony of any witness who shall be under oath. Each commissioner and the county judge may question any witness testifying.
10.7 The Commissioners Court Order determining the final disposition shall be entered in the Minutes of Commissioners Court. A copy of such Commissioners Court Order shall be sent by the Administrator by certified mail, return receipt requested, to the person or his duly authorized representative at the address designated in the Notice of Appeal.
10.8 If Commissioners Court determines that a public nuisance does not exist, then the Administrator shall close the matter and take no further action thereon.
10.9 If Commissioners Court determines that a public nuisance does exist, then the Administrator shall mail by certified mail, return receipt requested, to the person or his duly authorized representative at the address designated in the Notice of Appeal, a copy of such Commissioners Court Order making such determination.
Section 11. Post-Appellate Procedures
11.1 Upon the expiration of 10 days from the date that the person or his duly authorized representative receives a copy of the Commissioners Court Order determining that a nuisance does exist, the Administrator shall inspect the premises to determine if the public nuisance has been abated.
11.2 If the public nuisance has been abated, then the Administrator shall notify Commissioners Court in writing that the public nuisance has been abated and take no further action thereon.
11.3 If the public nuisance has not been abated, the Administrator shall estimate the cost to abate the public nuisance and forward the nuisance to the Commissioners Court.
11.4 The Commissioners Court shall determine whether or not
a. Estimate the cost to remove and abate the public nuisance; and
b. Forward the estimate to the Commissioners Court
11.5 The Commissioners Court shall determine whether or not to order the removal and abatement of the public nuisance. The Commissioners Court Order determining the final disposition shall be entered in the minutes of Commissioners Court.
11.6 If the Commissioners Court determines that a public nuisance does not exist, then the Administrator shall close the matter and take no further action thereon.
11.7 If the Commissioners Court determines that a public nuisance exists and that the public nuisance should be removed and abated, a copy of such Commissioners Court Order shall be sent by the Administrator by certified mail, return receipt requested, to the last registered owner of the junked motor vehicle, any lien holder of record, and the owner or occupant of the private premises on which the public nuisance exists.
Section 12. Disposal of Junked Vehicles
12.1 Upon the expiration of 10 days after the date that the last registered owner of the junked motor vehicle, any lien holder of record, and the owner or occupant of the private premises on which the public nuisance exists receive a copy of the Commissioners Court order determining that a nuisance exists, the Investigator shall inspect the premises to determine if the public nuisance has been removed and abated.
12.2 If the public nuisance has been abated, then the Administrator shall notify the Commissioners Court in writing that the public nuisance has been abated and take no further action thereon.
12.3 If the public nuisance has not been abated, the Administrator shall proceed in accordance with county bidding procedures to let a county contract for the removal of the junked vehicle or vehicle part to a disposal site, scrapyard, demolisher, or other suitable site where the junked vehicle shall be processed as scrap or salvage. The removal and abatement of the
public nuisance shall be in compliance with any applicable federal, state, and local laws, rules, procedures, and ordinances.
12.4 Each contract let for the removal and disposal of junked vehicles in accordance with these procedures shall require the contractor to account for and be responsible to the County for the destruction of each vehicle within a specified time and require that the vehicles be kept and disposed of in such a manner that they may not be reconstructed or made operable.
12.5 It shall be unlawful for any person to cause any junked vehicle removed in accordance with these procedures to be reconstructed or made operable after it has been removed.
12.6 The Administrator shall ensure that notice of the identification of each junked vehicle or part of a junked vehicle removed in accordance with these procedures is given to the State Department of Highways and Public Transportation not later than the fifth day after the date of removal.
Section 13. Effective Date
These procedures set forth in Subchapters A and B of this Order shall be effective as of September 1, 1993. All previously adopted procedures are superseded and repealed.
NOTICE OF A PUBLIC MEETING
TO ALL INTERESTED PARTIES:
Notice is hereby given that the Harris County Commissioners' Court will hold a public hearing on Tuesday, August 24, 1993, at during the regularly scheduled meeting at 1:45 P.M. in the Commissioners' Courtroom, Harris County Administration Building, 1001 Preston Avenue, 9th Floor, Room 934, Houston, Texas, for the purpose of considering an order adopting procedures for the abatement of neighborhood nuisances and the abatement and removal of junked vehicles as public nuisances from private property. All interested parties are invited to attend.
MOLLY A. PRYOR, County Clerk and Ex-Officio Clerk of Commissioners' Court of Harris County, Texas
[Signature]
Deputy County Clerk
Continued obligation for indebtedness
See. 9.03. The exclusion of a county under Section 9.01(b) does not relieve the district of its obligation to perform and observe the covenants and obligations or the conditions prescribed by the orders or resolution authorizing the issuance of the district's bonds.
Acts 1991, 72nd Leg., ch. 734, § 1, eff. Aug. 26, 1991. Sec. 4.07 amended by Acts 1993, 73rd Leg., ch. 757, § 33, eff. Sept. 1, 1993; Sec. 4.13 amended by Acts 1993, 73rd Leg., ch. 757, § 34, eff. Sept. 1, 1993.
Historical and Statutory Notes
Section 2 of the 1991 Act amended V.T.C.A. Health and Safety Code Chapter 412 by adding subchapter E, consisting of §§ 412.101 to 412.134, entitled "Upper Sabine Valley". Section 2 of the 1991 Act did not take effect pursuant to § 3 of said Act, which provides:
"If a bill relating to the administration, powers, and duties of all solid waste management districts created in this state is enacted by the 72nd Legislature, Regular Session, 1991, and becomes law, Section 2 of this Act takes effect and Section 1 of this Act has no effect. If that bill is not enacted or does not become law, Section 1 of this Act takes effect and Section 2 of this Act has no effect."
No bill relating to the administration, powers, and duties of all solid waste management districts created in this state was enacted by the 72nd Legislature, Regular Session, 1991, nor became law; therefore § 2 did not take effect.
Title of Act:
An Act relating to the creation, administration, powers, duties, operations, financing, and organization of the Upper Sabine Valley Solid Waste Management District; granting the power of eminent domain and the authority to issue bonds; authorizing a tax. Acts 1991, 72nd Leg., ch. 734.
Arts. 4477–8, 4477–8a. Repealed by Acts 1989, 71st Leg., ch. 678, § 13(1), eff. Sept. 1, 1989
Historical and Statutory Notes
Section 1 of Acts 1989, 71st Leg., ch. 678, repealing these articles, adopts the Health and Safety Code.
For disposition of the subject matter of the repealed articles, see Disposition Table preceding V.T.C.A. Health & Safety Code.
Without reference to the repeal of art. 4477–8 by Acts 1989, 71st Leg., ch. 678, § 13(1), § 3(e) of art.
4477–8 was amended by Acts 1989, 71st Leg., ch. 1143, § 4. Acts 1991, 72nd Leg., ch. 14, § 285(b)(75) repealed Acts 1989, 71st Leg., ch. 1143, § 4, eff. Sept. 1, 1991.
Former art. 4477–8a, which related to the waste hauler regulation and licensure, was derived from Acts 1987, 70th Leg., ch. 269, §§ 1 to 8.
Art. 4477–9. Repealed by Acts 1981, 67th Leg., p. 2725, ch. 741, § 2(1), eff. Jan. 1, 1982; Acts 1983, 68th Leg., p. 5240, ch. 964, § 7(b), eff. Aug. 29, 1983
Historical and Statutory Notes
This article was repealed by § 2(1) of Acts 1981, 67th Leg., p. 2725, ch. 741 (art. 4477–9a), eff. Jan. 1, 1982, without reference to the amendment of this article by Acts 1981, 67th Leg., p. 2728, ch. 744, § 1, eff. Sept. 1, 1981. This article, as amended by Acts 1981, 67th Leg., p. 2728, ch. 744, § 1, was repealed by Acts 1983, 68th Leg., p. 5240, ch. 964, § 7(b).
Section 4 of the 1981 repealing act provides: "This Act takes effect January 1, 1982, and applies only to offenses committed on or after that date. An offense committed before the effective date of this Act is governed by the law in effect when the offense was committed and the prior law is continued in effect for that purpose. An offense is committed before the effective date of this Act if any element of the offense occurs before that date."
Section 9 of the 1983 repealing act provides: "This Act is intended as a recodification only, and no substantive change is intended. Section 3.11, Code Construction Act (Article 5429h–9, Vernon's Texas Civil Statutes), applies to this Act as if this Act were part of the state's continuing statutory revision program."
Art. 4477–9a. Litter Abatement Act
Sec. 1.01. Repealed by Acts 1989, 71st Leg., ch. 678, § 13(1), eff. Sept. 1, 1989.
Construction of Act
Sec. 1.02. The Code Construction Act (Chapter 311, Government Code) applies to the construction of each provision of this Act except as otherwise expressly provided by this Act.
ARTICLE IV. HIGHWAY BEAUTIFICATION
Definitions
Sec. 4.01. In this article:
(1) "Commission" means the State Highway and Public Transportation Commission.
(2) "Interstate system" means that portion of the national system of interstate and defense highways that is located in this state and is designated officially by the commission and approved pursuant to Title 23, United States Code.
(3) "Primary system" means that portion of connected main highways located in this state that is designated officially by the commission and approved pursuant to Title 23, United States Code.
(4) "Outdoor advertising" or "sign" means an outdoor sign, display, light, device, figure, painting, drawing, message, plaque, poster, billboard, or other thing designed, intended, or used to advertise or inform, if any part of the advertising or information content is visible from a place on the main-traveled way of the interstate or primary system.
(5) "Junk" means old or scrap copper, brass, rope, rags, batteries, paper, trash, rubber, debris, or waste, or junked, dismantled, or wrecked automobiles or automobile parts, or iron, steel, and other old or scrap ferrous or nonferrous material.
(6) "Automobile graveyard" means an establishment or place of business that is maintained, used, or operated for storing, keeping, buying, or selling wrecked, scrapped, ruined, or dismantled motor vehicles or motor vehicle parts.
(7) "Junkyard" means an establishment or place of business maintained, used, or operated for storing, keeping, buying, or selling junk, for processing scrap metal, or for maintaining or operating an automobile graveyard. The term includes garbage dumps and sanitary fills.
(8) "Urbanized area" means an area defined by the commission in cooperation with local officials, subject to the approval of the secretary of the United States Department of Transportation, which as a minimum includes an urbanized area as defined by the United States Bureau of the Census or that part of a multistate urbanized area located in this state.
(9) "Urban area" means an area defined by the commission in cooperation with local officials, subject to the approval of the secretary of the United States Department of Transportation, which as a minimum includes an urban place as designated by the United States Bureau of the Census having a population of 5,000 or more and not located within an urbanized area.
Purpose of Article
Sec. 4.02. Subject to the availability of state and federal funds, it is the intent of the legislature to comply with the Highway Beautification Act of 1965 (Public Law 89-285) to the extent that it is implemented by Congress. This article is conditioned on the provisions of that law. The legislature declares that to promote the health, safety, welfare, morals, convenience, and enjoyment of the traveling public and to protect the public investment in the interstate and primary highway systems, it is necessary to regulate the erection and maintenance of outdoor advertising and the establishment, operation, and maintenance of junkyards and automobile graveyards in areas adjacent to the interstate and primary systems. The legislature considers that the landscaping and developing of recreational areas, acquisition of interests in and improvement of strips of land within, adjacent to, or within view of the interstate or primary system, which are necessary for the restoration, preservation, and enhancement of scenic beauty, and developing publicly owned and controlled rest and sanitary facilities within or adjacent to highway rights-of-way are means of protecting and providing for the general welfare of the traveling public and promoting the safety of citizens using the highways of this state.
1 23 U.S.C.A. §§ 131, 136, 319.
Control of Outdoor Advertising
Sec. 4.03. (a) Except as provided by this section, a person commits an offense if that person erects or maintains outdoor advertising within 660 feet of the nearest edge of a right-of-way if the advertising is visible from the main-traveled way of the interstate or primary system or erects or maintains outdoor advertising outside an urban area if the advertising is located more than 660 feet from the nearest edge of a right-of-way, is visible from the main-traveled way of the interstate or primary system, and was erected for the purpose of having its message seen from the main-traveled way of the interstate or primary system.
(b) A person does not commit an offense if that person erects and maintains in an area proscribed by Subsection (a) of this section:
(1) a directional or other official sign authorized by law, including a sign pertaining to a natural wonder or a scenic or historic attraction;
(2) a sign advertising the sale or lease of the property on which it is located;
(3) a sign advertising activities conducted on the property on which it is located;
(4) a sign located within 660 feet of the nearest edge of a right-of-way in an area in which the land use is designated industrial or commercial under authority of law;
(5) a sign located within 660 feet of the nearest edge of a right-of-way in an area in which the land use is not designated industrial or commercial under authority of law but in which the land use is consistent with an area designated industrial or commercial;
(6) a sign located on property within the limits proscribed by Subsection (a) of this section that has as its purpose the protection of life and property; or
(7) a sign erected on or before October 22, 1965, that the commission, with the approval of the secretary of the United States Department of Transportation, determines to be a landmark sign of such historic or artistic significance that preservation is consistent with the purposes of this section.
(c) The determination of whether an area is to be designated industrial or commercial shall be based on actual land use under criteria established by rules of the commission.
(d) The commission may adopt rules to regulate the orderly and effective display of outdoor advertising consistent with the customary use of outdoor advertising in this state in an area in which the land use is designated industrial or commercial under authority of law and in an area in which the land use is not designated industrial or commercial but in which the land use is consistent with areas designated industrial or commercial in the manner provided by Subsection (c) of this section.
(e) The commission may enter into agreements with the secretary of the United States Department of Transportation to regulate the orderly and effective display of outdoor advertising in the areas described in Subsection (d) of this section.
(f) The commission may purchase or acquire by eminent domain a sign that is lawfully in existence on any highway in the interstate or primary system.
(g) If the commission takes a sign, the commission shall pay just compensation:
(1) to the owner for the right, title, leasehold, and interest in the sign; and
(2) to the owner or, if appropriate, the lessee of the real property on which the sign is located for the right to erect and maintain the sign.
(h)(1) The legislature declares that signs erected and maintained in violation of this Act endanger the health, safety, welfare, morals, convenience, and enjoyment of the traveling public and the protection of the public investment in the interstate and primary highway systems and thereby constitute a public nuisance.
(2) An owner of a sign erected or maintained in violation of this section shall remove the sign upon written notification by certified mail from the Texas Department of Transportation. If the owner of a sign does not remove the sign within 45 calendar days of the date of the notice, the department may direct the attorney general to initiate injunctive proceedings to enjoin the owner of the sign from maintaining the sign and requiring the effective removal of the sign.
(3) In an action brought under Subdivision (2) of this subsection, the state is entitled to recover from the owner of a sign removed as a result of injunctive proceedings all
administrative and legal costs and expenses incurred to effect removal of the sign, including, but not limited to, court costs and reasonable attorney's fees.
(i)(1) In addition to being subject to a criminal penalty or injunctive action as otherwise provided by law, a person who intentionally violates this section is liable to the state for a civil penalty. The attorney general may sue to collect the penalty.
(2) The amount of the civil penalty is not less than $500 nor more than $1,000 for each violation, depending on the seriousness of the violation. A separate civil penalty may be collected for each day on which a continuing violation occurs.
(3) Civil penalties collected under this section shall be deposited in the state treasury to the credit of the state highway fund.
Licenses
Sec. 4.04. (a) A person who has not obtained a license under this article commits an offense if that person erects or maintains a sign:
(1) within 660 feet of the interstate or primary system, if the sign is visible from the main-traveled way; or
(2) outside an urban area if the sign is located more than 660 feet from the nearest edge of right-of-way, is visible from the main-traveled way of the interstate or primary system, and was erected for the purpose of having its message seen from the main-traveled way of the interstate or primary system.
(b) The commission shall issue a license to a person who:
(1) completes the application form specified by the commission within the time specified by the commission;
(2) pays the license fee as determined by the commission; provided, however:
(A) such license fee and those permit fees required by Section 4.05 of this article shall not exceed an amount reasonably necessary to cover the administrative costs incurred to enforce this article; and
(B) any permit renewal fees paid in advance of the effective date of this article shall be either refunded or prorated as determined by the commission; and
(C) at the commission's discretion, the license authorized pursuant to this section may be issued for periods of one year or longer and the license fee for such license may be based on a graduated scale by number of signs owned by a licensee; and
(3) files with the commission a surety bond:
(A) in the amount of $2,500 for each county in the state in which the person erects or maintains outdoor advertising; and
(B) payable to the commission to reimburse it for removal costs of a sign the licensee unlawfully erects or maintains.
(c) A person may not be required to provide more than $10,000 in surety bonds.
(d) For the efficient management and administration of this article and in an effort to reduce the number of employees required to enforce such provisions, the commission shall promulgate rules for the issuance of standardized forms for submission by licensees which accurately reflect the number, location, or other information required by the commission of each licensee's signs.
(e) The commission's only responsibility for the regulation of signs shall be on federal-aid primary highways, interstate highways, state highways, and farm-to-market roads.
(f) The commission may revoke or suspend a license issued under this section if the licensee:
(1) violates a provision of this article; or
(2) violates a commission rule adopted under this article.
(g) A person whose license is revoked or suspended may appeal the revocation or suspension to a district court in Travis County. The appeal must be taken not later than the 15th day after the day of the commission's action.
(h) The commission may promulgate rules for the implementation of the provisions of this section and for the reissuance of a revoked or suspended license and may set fees for such reissuance.
Permits
Sec. 4.05. (a) A person who has a license commits an offense if that person erects or maintains a sign for which a license is required by Section 4.04(a) of this article unless that person also has a permit for that sign.
(b) The commission shall adopt rules specifying:
(1) a reasonable fee for each permit; such permit fees and the license fee required by Section 4.04 of this article shall not exceed an amount reasonably necessary to cover the administrative costs incurred to enforce this article;
(2) the time for and manner of applying for a permit and the form of the permit application; and
(3) the information that must be in a permit application.
(c) The commission shall issue a permit to a person with a license whose license application complies with the commission's rules adopted under Section 4.04 of this article and whose sign, or leased sign, if erected, would comply with this article and the commission's rules adopted under Section 4.03(d) of this article.
(d) A permit issued to control the erection and maintenance of outdoor advertising by a political subdivision of this state within the jurisdiction of the political subdivision shall be accepted in lieu of the permit required by this section if the erection and maintenance of outdoor advertising is in compliance with Section 4.04 of this article and the commission's rules adopted under Section 4.03(d) of this article.
(e) Funds the commission receives under this article shall be deposited in the state treasury in a special fund to be known as the Texas highway beautification fund. The commission shall use the fund in the administration of this article.
Exceptions
Sec. 4.06. (a) A person is not required to obtain a license or permit to erect or maintain a sign advertising the sale or lease of the property on which it is located.
(b) A person is not required to obtain a license or permit to erect or maintain a sign that relates solely to an activity conducted on the property on which the sign is erected or maintained.
(c) This article does not apply to a sign or marker giving information about the location of underground electric transmission lines, telegraph or telephone properties and facilities, pipelines, public sewers, or waterlines.
(d) The combined license and permit fees may not be more than $10 for a sign erected and maintained by a nonprofit organization in a municipality or the extraterritorial jurisdiction of a municipality if the sign advertises or promotes only the municipality or another political subdivision whose jurisdiction is in whole or in part concurrent with the municipality. The nonprofit organization is not required to file a bond as provided by Section 4.04(b)(3) of this Act.
Official Signs
Sec. 4.07. (a) In this section, "specific information logo sign" means a rectangular sign panel imprinted with the words "GAS," "FOOD," "LODGING," or "CAMPING," or with a combination of those words, and the names of commercial establishments offering those services.
(b) The commission shall contract with a person, firm, group, or association in the State of Texas to erect and maintain signs that give specific information of interest to the travelling public, including specific brand names, at appropriate locations along interstate highways in each county with a population less than 20,000.
(c) The commission shall:
(1) regulate the content, composition, placement, erection, and maintenance of specific information logo signs and supports within interstate highway rights-of-way; and
(2) adopt rules necessary to administer and enforce this section.
(d) A commercial establishment identified on a specific information logo sign shall conform to all applicable laws concerning the provision of public accommodations without regard to race, religion, color, sex, or national origin.
(e) To be eligible to have its name displayed on a specific information logo sign, a commercial establishment must provide gas, food, lodging, or camping and be located not farther than three miles from an interchange on an interstate highway. If no service is located within three miles of an interchange, the commission may grant permits for commercial establishments not farther than 15 miles from the interchange.
(f) If an establishment provides gas, the establishment must provide:
(1) vehicle services, including providing fuel, oil, and water;
(2) if the establishment is not a self-service station, tire repair;
(3) restroom facilities and drinking water;
(4) continuous operation at least 12 hours a day, seven days a week; and
(5) a telephone for use by the public.
(g) If an establishment provides food, the establishment must provide:
(1) a license or other evidence of compliance with public health or sanitation laws, if required by applicable other law;
(2) continuous operation at least 12 hours a day to serve three meals a day;
(3) seating capacity for at least 16 people;
(4) public restrooms; and
(5) a telephone for use by the public.
(h) If an establishment provides lodging, the establishment must provide:
(1) a license or other evidence of compliance with laws regulating facilities providing lodging, if required by applicable other law;
(2) at least 10 rooms; and
(3) a telephone for use by the public.
(i) If an establishment provides camping, the establishment must provide:
(1) a license or other evidence of compliance with laws regulating camping facilities, if required by applicable other law;
(2) adequate parking accommodations; and
(3) modern sanitary facilities and drinking water.
(j) A specific information logo sign must:
(1) have a blue background with a white reflective border; and
(2) contain a principal legend equal in height to the directional legend.
(k) A specific information logo sign may not:
(1) contain a message, symbol, or trademark that resembles an official traffic control device;
(2) have vertical spacing between establishment names that exceeds eight inches or horizontal spacing between establishment names that exceeds 12 inches;
(3) contain more than four establishment names for each service on one sign panel; or
(4) contain logos for more than one service on a sign panel except in an area where not more than two qualified establishments are available for a service, in which event a sign panel may contain logos for two services.
(l) The contractor shall place a specific information logo so that:
(1) the sign is at least 800 feet from the previous interchange and at least 800 feet from the exit direction sign at the interchange from which the services are available;
(2) there are at least 800 feet between two signs having the same legend, but the signs are not excessively spaced;
(3) a motorist, after following the sign, can conveniently reenter the highway and continue in the original direction of travel; and
(4) if the service facilities are not visible from a single-exit interchange ramp terminal, the signs are placed along the ramp or at the ramp terminal.
(m) A specific information logo sign that is placed along a ramp or at a ramp terminal must be a duplicate of the corresponding establishment logo sign except that the ramp sign must
be smaller and omit the service information. A ramp sign shall include the distance to the commercial establishment and directional arrows instead of directions written in words.
(n) The commission shall remit money received under this section to the state treasurer for deposit into the state highway fund.
Control of Junkyards and Automobile Graveyards
Sec. 4.08. (a) A person commits an offense if that person establishes, operates, or maintains a junkyard or automobile graveyard if any portion of it is within 1,000 feet of the nearest edge of a right-of-way of the interstate or primary system, except:
(1) a junkyard or automobile graveyard screened by natural objects, plantings, fences, or other appropriate means so that it is not visible from the main-traveled way of the interstate or primary system; or
(2) a junkyard or automobile graveyard located in an area that is a zoned or unzoned industrial area.
(b) The determination of whether an area is to be designated industrial shall be based on actual land use under criteria established by rules of the commission.
(c) The commission may screen with natural objects, plantings, fences, or other appropriate means, a lawfully existing junkyard or automobile graveyard if the junkyard or automobile graveyard is within 1,000 feet of the nearest edge of a right-of-way of the interstate or primary system. The commission may acquire an area outside of a highway right-of-way so that a junkyard or automobile graveyard may be screened from the main-traveled way of the interstate or primary system.
(d) The commission may adopt rules governing the location, planting, construction, and maintenance of the materials used in screening junkyards and automobile graveyards.
(e) If the commission determines that screening a junkyard or automobile graveyard is not feasible, the commission shall pay just compensation to:
(1) the owner of the junkyard or automobile graveyard for its relocation, removal, or disposal; and
(2) the owner or, if appropriate, the lessee of the real property on which the junkyard or automobile graveyard is located for the taking of the right to erect and maintain a junkyard or automobile graveyard.
(f) The commission shall compensate an owner of a junkyard or automobile graveyard and an owner or lessee of real property on which the junkyard or automobile graveyard is located if the junkyard or automobile graveyard is lawfully in existence on any highway in the interstate or primary system.
Landscaping and Scenic Enhancement
Sec. 4.09. (a) The commission may acquire, improve, and maintain a strip of land adjacent to a federal aid highway in this state if the land is necessary to restore, preserve, or enhance scenic beauty. The commission may also acquire and develop rest and recreation areas and sanitary and other facilities within or adjacent to a highway right-of-way if the area or facility is necessary to accommodate the traveling public.
(b) The interest in land authorized by this section to be acquired and maintained may be the fee simple or a lesser interest, as determined necessary by the commission. The acquisition may be by gift, purchase, exchange, or condemnation.
Powers of Acquisition
Sec. 4.10. (a) The commission may acquire by gift, purchase, exchange, or condemnation land or an interest in land and property or a property right of any kind or character that it considers necessary or convenient to carry out this article.
(b) On delivery to and acceptance by the commission of instruments conveying to the state an interest in land, property, or property rights considered necessary or convenient by the commission to effectuate the purposes of this article, the commission shall prepare and transmit to the comptroller of public accounts vouchers covering the commission's costs in acquiring the interests in land, property, or property rights, and the comptroller shall issue warrants on the appropriate account covering the state's obligation as evidenced by the vouchers.
(c) Land owned by the state or by a state agency or department is subject to the terms of this article.
(d) The exercise of the power of eminent domain authorized by this article is the same as that authorized by Section 4, Chapter 300, Acts of the 55th Legislature, Regular Session, 1957 (Article 6674w-3, Vernon's Texas Civil Statutes).
**Recording and Disposal of Surplus Property**
Sec. 4.11. (a) In the implementation of this article instruments conveying land or an interest in land to the state must be recorded in the deed records of the county or counties in which the land is situated. The state shall pay the fees for recording the instruments in the same manner as fees are paid for the recording of highway right-of-way instruments and in accordance with the laws of this state establishing fees to be charged by the county clerk for the recording of these instruments.
(b) Land or an interest in land acquired to carry out this article that becomes surplus and is, in the opinion of the State Highway and Public Transportation Commission, no longer needed by the state for the purposes for which it was acquired or for highway purposes shall be disposed of in accordance with the provisions of Chapter 99, General Laws, Acts of the 42nd Legislature, Regular Session, 1931 (Article 6673a, Vernon's Texas Civil Statutes).
**Penalty**
Sec. 4.12. A person who wilfully commits an offense under this article or wilfully violates any rule adopted by the commission in accordance with this article is, on conviction, subject to a fine of not less than $500 nor more than $1,000. Each day of the wilful offense or violation constitutes a separate offense.
**Regulation on State Highway 288**
Sec. 4.13. (a) The legislature finds that:
(1) State Highway 288 is frequented for scenic purposes by residents from every part of the state; and
(2) protecting the scenic characteristics of the highway is of concern to the entire state.
(b) The power granted under this section is to encourage the scenic use of State Highway 288.
(c) The Texas Department of Transportation may license, control, or otherwise regulate the erection of a sign that is located within 1,000 feet of the center line of that part of State Highway 288 that is located in the unincorporated area of the county.
(d) This section applies to signs erected on or after the effective date of this Act.
(e) A violation of a regulation adopted under this section is a Class C misdemeanor.
(f) Nothing in this section shall be construed to limit any authority granted to the Texas Department of Transportation under this Act.
**ARTICLE V. ABANDONED MOTOR VEHICLES**
**Definitions**
Sec. 5.01. In this article:
(1) "Police department" means the Department of Public Safety, the police department of any city, town, or municipality, acting under the general police power authority as vested in such department by its respective governing body, the police department of any institution of higher education, or the sheriff or a constable of any county.
(2) "Abandoned motor vehicle" means a motor vehicle that is inoperable and more than five years old and left unattended on public property for more than 48 hours, or a motor vehicle that has remained illegally on public property for a period of more than 48 hours, or a motor vehicle that has remained on private property without the consent of the owner or person in control of the property for more than 48 hours, or a motor vehicle left unattended on the right-of-way of a designated county, state, or federal highway within this state for more than 48 hours or for more than 12 hours on a turnpike project constructed and maintained by the Texas Turnpike Authority.
(3) "Demolisher" means a person whose business is to convert a motor vehicle into processed scrap or scrap metal or to otherwise wreck or dismantle a motor vehicle.
(4) "Garagekeeper" means an owner or operator of a parking place or establishment, motor vehicle storage facility, or establishment for the servicing, repair, or maintenance of a motor vehicle.
(5) "Junked vehicle" means a motor vehicle as defined in Section 1, Chapter 42, General Laws, Acts of the 41st Legislature, 2nd Called Session, 1929 (Article 6701d-11, Vernon's Texas Civil Statutes):
(A) that is inoperative; and
(B) that does not have lawfully affixed to it either an unexpired license plate or a valid motor vehicle safety inspection certificate, that is wrecked, dismantled, partially dismantled, or discarded, or that remains inoperable for a continuous period of more than 45 days.
(6) "Storage facility" means a garage, parking lot, or any type of facility or establishment for the servicing, repairing, storing, or parking of motor vehicles.
(7) "Motor vehicle" means a motor vehicle subject to registration under the Certificate of Title Act (Article 6687-1, Vernon's Texas Civil Statutes), except that for purposes of Sections 5.02, 5.03, and 5.04 of this Act, "motor vehicle" includes a motorboat, outboard motor, or vessel subject to registration under Chapter 31, Texas Parks and Wildlife Code.
(8) "Antique auto" means a passenger car or truck that was manufactured in 1925 or before or a passenger car or truck that is at least 35 years old.
(9) "Special interest vehicle" means a motor vehicle of any age that has not been altered or modified from original manufacturer's specifications and, because of its historic interest, is being preserved by hobbyists.
(10) "Collector" means the owner of one or more antique or special interest vehicles who collects, purchases, acquires, trades, or disposes of special interest or antique vehicles or parts of them for personal use in order to restore, preserve, and maintain an antique or special interest vehicle for historic interest.
**Authority to Take Possession of Abandoned Motor Vehicles**
Sec. 5.02. (a) A police department may take into custody an abandoned motor vehicle found on public or private property.
(b) A police department may employ its own personnel, equipment, and facilities or hire persons, equipment, and facilities to remove, preserve, and store an abandoned motor vehicle it takes into custody.
**Notification of Owner and Lien Holders**
Sec. 5.03. (a) A police department that takes into custody an abandoned motor vehicle shall notify not later than the 10th day after taking the motor vehicle into custody, by certified mail, the last known registered owner of the motor vehicle and all lien holders of record pursuant to the Certificate of Title Act (Article 6687-1, Vernon's Texas Civil Statutes), or Chapter 31, Parks and Wildlife Code, that the vehicle has been taken into custody. The notice shall describe the year, make, model, and vehicle identification number of the abandoned motor vehicle, set forth the location of the facility where the motor vehicle is being held, inform the owner and any lien holders of their right to reclaim the motor vehicle not later than the 20th day after the date of the notice, on payment of all towing, preservation, and storage charges resulting from placing the vehicle in custody, or garagekeeper's charges if notice is under Section 5.05 of this article. The notice shall also state that the failure of the owner or lien holders to exercise their right to reclaim the vehicle within the time provided constitutes a waiver by the owner and lien holders of all right, title, and interest in the vehicle and their consent to the sale of the abandoned motor vehicle at a public auction.
(b) If the identity of the last registered owner cannot be determined, if the registration contains no address for the owner, or if it is impossible to determine with reasonable certainty the identity and addresses of all lien holders, notice by one publication in one newspaper of general circulation in the area where the motor vehicle was abandoned is sufficient notice under this article. The notice by publication may contain multiple listings of abandoned vehicles, shall be published within the time requirements prescribed for notice by certified mail, and shall have the same contents required for a notice by certified mail.
(c) The consequences and effect of failure to reclaim an abandoned motor vehicle are as set forth in a valid notice given under this section.
(d) A police department or an agent of a police department that takes custody of an abandoned motor vehicle is entitled to reasonable storage fees for:
(1) a period of not more than 10 days beginning on the day the department takes custody and continuing through the day the department mails notice as provided by this section; and
(2) a period beginning on the day after the day the department mails notice and continuing through the day any accrued charges are paid and the vehicle is removed.
Police department use of certain abandoned motor vehicles
Sec. 5.031. (a) If an abandoned motor vehicle has not been reclaimed as provided by Section 5.03 of this article, the police department that originally took custody of the abandoned motor vehicle may use that vehicle for police department purposes as provided by this section.
(b) The police department may use the abandoned motor vehicle for police department purposes as long as the department considers it cost-effective. If the police department discontinues use of the abandoned motor vehicle, the department shall auction the vehicle as provided by Section 5.04 of this article.
(c) This section does not apply to an abandoned motor vehicle with a garagekeeper's lien.
(d) This section does not apply to a motor vehicle that is taken into custody by a police department located in a county with a population of 2.4 million or more according to the most recent federal decennial census and that is removed to a privately owned storage facility.
Auction of Abandoned Motor Vehicles
Sec. 5.04. If an abandoned motor vehicle has not been reclaimed as provided by Section 5.03 of this article, the police department may use the abandoned motor vehicle for police department purposes as provided by Section 5.031 of this article or sell the vehicle at a public auction. Proper notice of the public auction shall be given, and in the case of a garagekeeper's lien, the garagekeeper shall be notified of the time and place of the auction. The purchaser of the motor vehicle takes title to the motor vehicle free and clear of all liens and claims of ownership, shall receive a sales receipt from the police department, and is entitled to register the purchased vehicle and receive a certificate of title. From the proceeds of the sale of an abandoned motor vehicle, the police department shall reimburse itself for the expenses of the auction, the costs of towing, preserving, and storing the vehicle that resulted from placing the abandoned motor vehicle in custody, and all notice and publication costs incurred under Section 5.03 of this article. Any remainder from the proceeds of a sale shall be held for the owner of the vehicle or entitled lien holder for 90 days and then shall be deposited in a special fund that shall remain available for the payment of auction, towing, preserving, storage, and all notice and publication costs that result from placing another abandoned vehicle in custody, if the proceeds from a sale of another abandoned motor vehicle are insufficient to meet these expenses and costs. A municipality or county may transfer the amount in the special fund that exceeds $1,000 from the special fund to the municipality's or county's general revenue account to be used by the police department.
Garagekeepers and Abandoned Motor Vehicles
Sec. 5.05. (a) A motor vehicle left for more than 10 days in a storage facility operated for commercial purposes after notice is given by registered or certified mail, return receipt requested, to the owner and to any lien holder of record under the Certificate of Title Act (Article 6687-1, Vernon's Texas Civil Statutes) to pick up the vehicle, or for more than 10 days after a period when under a contract the vehicle was to remain on the premises of the storage facility, or a motor vehicle left for more than 10 days in a storage facility by someone other than the registered owner or by a person authorized to have possession of the motor vehicle under a contract of use, service, storage, or repair, is considered an abandoned vehicle, and shall be reported by the garagekeeper to the police department. If the notice to the owner or a lien holder is returned by the post office unclaimed, notice by one publication in one newspaper of general circulation in the area in which the vehicle was left in storage is sufficient notice.
(b) If a garagekeeper or storage facility acquires possession of a motor vehicle for a purpose other than repair, the garagekeeper or storage facility is entitled to towing, preservation, and notification charges and to reasonable storage fees, in addition to storage fees earned pursuant to contract, for a maximum of five days only until notification is mailed to the last known registered owner and all lien holders of record as provided by Subsection (a) of this section. After such notice is mailed, storage fees may continue until the vehicle is removed and all accrued charges are paid. A garagekeeper who fails to report the possession of an abandoned vehicle to the police department within 48 hours after it becomes abandoned may no longer claim reimbursement for storage of the vehicle.
(c) The police department, upon receipt of a report from a garagekeeper of the possession of a vehicle considered abandoned under the provisions of this section shall follow the notification procedures provided by Section 5.03 of this article, except that custody of the vehicle shall remain with the garagekeeper until after compliance with the notification requirements. A fee of $5 shall accompany the report of the garagekeeper to the police department. The $5 fee shall be retained by the police department receiving the report and used to defray the cost of notification or other cost incurred in the disposition of an abandoned motor vehicle. If the Department of Public Safety is the police department involved this fee shall be deposited in the state treasury and shall be used to defray the cost of administering this article.
(d) An abandoned vehicle left in a storage facility and not reclaimed after notice is sent in the manner provided by Section 5.03 of this article shall be taken into custody by the police department and used for police department purposes as provided by Section 5.031 of this article or sold in the manner provided by Section 5.04 of this article. The proceeds of a sale under this section shall first be applied to the garagekeeper's charges for servicing, storage, and repair, but as compensation for the expense incurred by the police department in placing the vehicle in custody and the expense of auction, the police department shall retain two percent of the gross proceeds of the sale of each vehicle auctioned, unless the gross proceeds are less than $10. If the gross proceeds are less than $10, the department shall retain the $10 to defray expenses of custody and auction. If the Department of Public Safety conducts the auction, the compensation shall be deposited in the state treasury and shall be used to defray the expense incurred. Surplus proceeds remaining from an auction shall be distributed in accordance with Section 5.04 of this article.
(e) Except for the termination or limitation of claim for storage for failure to report an abandoned motor vehicle, nothing in this section may be construed to impair any lien of a garagekeeper under the laws of this state.
(f) A person charging fees under Subsection (b) of this section commits an offense if the person charges a storage fee for a period of time not authorized by that subsection. An offense under this subsection is punishable by a fine of not less than $200 nor more than $1,000.
Disposal to Demolishers
Sec. 5.06. (a) A person, firm, corporation, or unit of government on whose property or in whose possession is found any abandoned motor vehicle and a person who is the owner of a motor vehicle whose title certificate is faulty, lost, or destroyed, may apply to the State Department of Highways and Public Transportation for authority to sell, give away, or dispose of the vehicle to a demolisher. Nothing in this section may be construed as being in conflict with the provisions of Sections 5.09 and 5.10 of this article. The application, except one submitted by a unit of government, shall be accompanied by a fee of $2 that shall be deposited in the state highway fund.
(b) The application must set out the name and address of the applicant, the year, make, model, and vehicle identification number of the motor vehicle, if ascertainable, together with any other identifying features, and must contain a concise statement of the facts surrounding the abandonment, a statement that the title of the motor vehicle is lost or destroyed, or a statement of the reasons for the defect of title in the owner. The applicant shall execute an affidavit stating that the facts alleged in the application are true and that no material fact has been withheld.
(c) If the State Department of Highways and Public Transportation finds that the application is executed in proper form and shows that the motor vehicle has been abandoned
on the property of the applicant or that the motor vehicle is not abandoned but that the applicant appears to be the rightful owner, the department shall follow the notification procedures as provided in Section 5.03 of this article.
(d) If an abandoned motor vehicle is not reclaimed in accordance with Section 5.03 of this article, the State Department of Highways and Public Transportation, on notification of that fact by the applicant, shall issue the applicant a certificate of authority to sell the motor vehicle to a demolisher for demolition, wrecking, or dismantling. A demolisher shall accept the certificate in lieu of the certificate of title to the motor vehicle.
(e) The State Department of Highways and Public Transportation may issue the applicant a certificate of authority to dispose of the motor vehicle to a demolisher without following the notification procedures of Section 5.03 of this article if the motor vehicle is more than eight years old and has no engine or is otherwise totally inoperable.
(f) A person in possession of an abandoned vehicle that was authorized to be towed in by a police department and that is more than eight years old and has no engine or is otherwise totally inoperable may, on affidavit of that fact and approval of the police department, apply to the State Department of Highways and Public Transportation for a certificate of authority to dispose of the vehicle to a demolisher for demolition, wrecking, or dismantling only.
(g) The State Department of Highways and Public Transportation may adopt rules and prescribe forms that are necessary to carry out the provisions of this section.
Duties of Demolishers
Sec. 5.07. (a) A demolisher who purchases or otherwise acquires a motor vehicle to wreck, dismantle, or demolish it shall obtain a valid certificate of title, sales receipt, or transfer document under Sections 5.04 and 5.10 of this Act, respectively, or a certificate of authority from the person delivering the vehicle for demolition, but the demolisher is not required to obtain a certificate of title for the motor vehicle in the demolisher's name. On demand of the State Department of Highways and Public Transportation, the demolisher shall surrender for cancellation the certificate of title or authority. The State Department of Highways and Public Transportation shall issue such forms and rules governing the surrender of auction sales receipts and certificates of title as are appropriate. The Certificate of Title Act (Article 6637–1, Vernon's Texas Civil Statutes) governs the cancellation of title of the motor vehicle.
(b) A demolisher commits an offense if the demolisher fails to keep an accurate and complete record of a motor vehicle purchased or received in the course of business in the manner provided by this subsection. These records must contain the name and address of the person from whom each motor vehicle was purchased or received and the date of the purchase or receipt. The records shall be open for inspection by the State Department of Highways and Public Transportation or any police department at any time during normal business hours. A record required by this subsection must be kept by the demolisher for at least one year after the transaction to which it applies. A demolisher who commits an offense under this subsection is, on conviction, subject to a fine of not less than $100 nor more than $1,000, to confinement in the county jail for not less than 10 days nor more than six months, or to both.
Junked Vehicles as Public Nuisance
Sec. 5.08. (a) A junked vehicle that is located in a place where it is visible from a public place or public right-of-way is detrimental to the safety and welfare of the general public, tends to reduce the value of private property, invites vandalism, creates fire hazards, constitutes an attractive nuisance creating a hazard to the health and safety of minors, and is detrimental to the economic welfare of the state by producing urban blight adverse to the maintenance and continuing development of the municipalities in the state, and is a public nuisance.
(b) A person commits an offense if that person maintains a public nuisance as determined under this section.
(c) A person who commits an offense under this section is, on conviction, subject to a fine not to exceed $200. On conviction, the court shall order removal and abatement of the nuisance.
Sec. 5.09. (a) A city, town, or county within this state may adopt procedures for the abatement and removal of a junked vehicle or a part of a junked vehicle as a public nuisance, from private property, public property, or public rights-of-way. The procedures must conform to the requirements of this section.
(b) For a nuisance on private property, the procedures must require not less than 10 days' notice stating the nature of the public nuisance on private property, that it must be removed and abated within 10 days, and that a request for a hearing must be made before expiration of the 10-day period. The notice must be mailed, by certified mail with a 5-day return requested, to the last known registered owner of the junked motor vehicle, any lien holder of record, and to the owner or occupant of the private premises on which the public nuisance exists. If the post office address of the last known registered owner of the motor vehicle is unknown, notice to the last known registered owner may be placed on the motor vehicle, or, if the last known registered owner is physically located, the notice may be hand delivered. If any notice is returned undelivered by the United States Post Office, official action to abate the nuisance shall be continued to a date not less than 10 days after the date of the return.
(c) For a nuisance on public property, the procedures must require not less than 10 days' notice, stating the nature of the public nuisance on public property or on a public right-of-way, that the nuisance must be removed and abated within 10 days, and that a request for a hearing must be made before expiration of the 10-day period. The notice must be mailed, by certified mail with a 5-day return requested, to the last known registered owner of the junked motor vehicle, any lien holder of record, and to the owner or occupant of the public premises or to the owner or occupant of the premises adjacent to the public right-of-way on which the public nuisance exists. If the post office address of the last known registered owner of the motor vehicle is unknown, notice to the last known registered owner may be placed on the motor vehicle, or, if the last known registered owner is physically located, the notice may be hand delivered. If any notice is returned undelivered by the United States Post Office, official action to abate the nuisance shall be continued to a date not less than 10 days after the date of the return.
(d) In addition, the procedures must prohibit a vehicle from being reconstructed or made operable after it has been removed.
(e) The procedures must require a public hearing before the removal of the vehicle or vehicle part as a public nuisance. The hearing shall be held before the governing body of the city, town, or county or any board, commission, or official of the city, town, or county as designated by the governing body, if a hearing is requested by the owner or occupant of the public or private premises or by the owner or occupant of the premises adjacent to the public right-of-way on which the vehicle is located, within 10 days after service of notice to abate the nuisance. At the hearing it is presumed, unless demonstrated otherwise by the owner, that the vehicle is inoperable. A resolution or order requiring the removal of a vehicle or vehicle part must include a description of the vehicle and the correct identification number and license number of the vehicle if the information is available at the site.
(f) The procedures must require notice to be given to the State Department of Highways and Public Transportation not later than the fifth day after the date of removal. The notice must identify the vehicle or vehicle part. The department shall immediately cancel the certificate of title to the vehicle pursuant to the Certificate of Title Act (Article 6687-1, Vernon's Texas Civil Statutes).
(g) The procedures may not apply to a vehicle or vehicle part that is completely enclosed within a building in a lawful manner where it is not visible from the street or other public or private property, a vehicle or vehicle part that is stored or parked in a lawful manner on private property in connection with the business of a licensed vehicle dealer or junkyard, or an unlicensed, operable, or inoperable antique or special interest vehicle stored by a collector on the collector's property, if the vehicle and the outdoor storage area are maintained in a manner so that they do not constitute a health hazard and are screened from ordinary public view by means of a fence, rapidly growing trees, shrubbery, or other appropriate means.
(h) The procedures must be administered by regularly salaried, full-time employees of the city, town, or county, except that the removal of a vehicle or vehicle part from property may be by any duly authorized person.
Disposal of Junked Vehicles
Sec. 5.10. A junked vehicle or vehicle part may be disposed of by removal to a scrapyard, demolisher, or any suitable site operated by the city, town, or county for processing as scrap or salvage. The process of disposal must comply with the provisions of Section 5.09(d) of this article. A city, town, or county may operate a disposal site if its governing body determines that commercial channels of disposition are not available or are inadequate, and it may make final disposition of the vehicles or vehicle parts, or the city, town, or county may transfer the vehicles or vehicle parts to another disposal site if the disposal is only as scrap or salvage.
Authority to Enforce
Sec. 5.11. A person authorized by the city, town, or county to administer the procedures authorized by this article may enter private property for the purposes specified in the procedures to examine a vehicle or vehicle part, obtain information as to the identity of the vehicle, and remove or cause the removal of a vehicle or vehicle part that constitutes a nuisance. An appropriate court in a city, town, or county that enacts procedures under this article may issue orders necessary to enforce the procedures.
Effect of Article on Other Statutes
Sec. 5.12. This article does not affect a law authorizing the immediate removal, as an obstruction to traffic, of a vehicle left on public property.
Acts 1981, 67th Leg., p. 2710, ch. 741, § 1, eff. Jan. 1, 1982; Sec. 2.01 amended by Acts 1983, 68th Leg., p. 5235, ch. 964, § 1, eff. Sept. 1, 1983; Sec. 4.04(b) amended by Acts 1983, 68th Leg., p. 369, ch. 81, § 10(b), eff. Sept. 1, 1983; Sec. 5.01 amended by Acts 1983, 68th Leg., p. 4056, ch. 635, § 1, eff. Aug. 29, 1983; Sec. 5.03 amended by Acts 1983, 68th Leg., p. 4058, ch. 635, § 2, eff. Aug. 29, 1983; Sec. 5.03(d) added by Acts 1983, 68th Leg., p. 5236, ch. 964, § 2, eff. Aug. 29, 1983; Sec. 5.05(a), (b), (e) amended and Sec. 5.05(f) deleted by Acts 1983, 68th Leg., p. 5236, ch. 964, § 3, eff. Aug. 29, 1983; Sec. 5.07(a) amended by Acts 1983, 68th Leg., p. 5238, ch. 964, § 4, eff. Aug. 29, 1983; Sec. 5.09(b), (c) amended by Acts 1983, 68th Leg., p. 5238, ch. 964, § 5, eff. Aug. 29, 1983; Sec. 1.02 amended by Acts 1985, 69th Leg., ch. 479, § 65, eff. Sept. 1, 1985; Sec. 2.01 added by Acts 1985, 69th Leg., ch. 434, § 1, eff. Sept. 1, 1985; Sec. 2.01(b) added by Acts 1985, 69th Leg., ch. 585, § 1, eff. Sept. 1, 1985; Sec. 2.011 amended by Acts 1985, 69th Leg., ch. 434, § 1, eff. Sept. 1, 1985; Sec. 2.02(b) amended by Acts 1985, 69th Leg., ch. 434, § 2, eff. Sept. 1, 1985; Sec. 2.02(d) amended by Acts 1985, 69th Leg., ch. 585, § 2, eff. Sept. 1, 1985; Sec. 2.03(a) amended by Acts 1985, 69th Leg., ch. 434, § 3, eff. Sept. 1, 1985; Sec. 2.04(a) amended by Acts 1985, 69th Leg., ch. 434, § 4, eff. Sept. 1, 1985; Sec. 2.08 added by Acts 1985, 69th Leg., ch. 584, § 1, eff. Sept. 1, 1985; Sec. 5.01(1) amended by Acts 1985, 69th Leg., ch. 197, § 1, eff. Aug. 26, 1985; Sec. 5.01(5) amended by Acts 1985, 69th Leg., ch. 533, § 1, eff. Aug. 26, 1985; Sec. 5.05(f) added by Acts 1985, 69th Leg., ch. 308, § 1, eff. Sept. 1, 1985; Sec. 2.01(5) added by Acts 1987, 70th Leg., ch. 305, § 6, eff. Sept. 1, 1987; Acts 1987, 70th Leg., ch. 348, § 1, eff. Sept. 1, 1987; Sec. 2.011 amended by Acts 1987, 70th Leg., ch. 305, § 7, eff. Sept. 1, 1987; Sec. 2.02(d) amended by Acts 1987, 70th Leg., ch. 305, § 8, eff. Sept. 1, 1987; Sec. 2.04(d), (g) amended by Acts 1987, 70th Leg., ch. 348, § 2, eff. Sept. 1, 1987; Sec. 2.04(g) amended by Acts 1987, 70th Leg., ch. 305, § 9, eff. Sept. 1, 1987; Sec. 2.07(b) amended by Acts 1987, 70th Leg., ch. 305, § 10, eff. Sept. 1, 1987; Sec. 2.08(c) amended by Acts 1987, 70th Leg., ch. 305, § 11, eff. Sept. 1, 1987; Sec. 2.09 added by Acts 1987, 70th Leg., ch. 680, § 4, eff. Sept. 1, 1987; Sec. 5.01(2) amended by Acts 1989, 71st Leg., ch. 972, § 1, eff. Aug. 28, 1989; Sec. 5.031 added by Acts 1989, 71st Leg., ch. 921, § 1, eff. Sept. 1, 1989; Sec. 5.04 amended by Acts 1989, 71st Leg., ch. 421, § 1, eff. Sept. 1, 1989; Acts 1989, 71st Leg., ch. 921, § 2, eff. Sept. 1, 1989; Sec. 5.05(b) amended by Acts 1989, 71st Leg., ch. 1039, § 2.50, eff. Sept. 1, 1989; Sec. 5.05(c) amended by Acts 1989, 71st Leg., ch. 100, § 1, eff. Sept. 1, 1989; Sec. 5.05(d) amended by Acts 1989, 71st Leg., ch. 921, § 3, eff. Sept. 1, 1989; Sec. 4.04 amended by Acts 1991, 72nd Leg., ch. 489, § 2, eff. Sept. 1, 1991; Sec. 4.05 amended by Acts 1991, 72nd Leg., ch. 489, § 3, eff. Sept. 1, 1991; Sec. 4.07 amended by Acts 1991, 72nd Leg., ch. 444, § 1, eff. Sept. 1, 1991; Sec. 5.09(b), (c), (e) amended by Acts 1991, 72nd Leg., ch. 444, § 1, eff. Sept. 1, 1991; Sec. 4.03(h), (i) added by Acts 1993, 73rd Leg., ch. 738, § 1, eff. Aug. 30, 1993; Sec. 4.06(d) added by Acts 1993, 73rd Leg., ch. 837, § 1, eff. Aug. 30, 1993; Sec. 4.12 amended by Acts 1993, 73rd Leg., ch. 738, § 2, eff. Aug. 30, 1993; Sec. 4.13 added by Acts 1993, 73rd Leg., ch. 748, § 1, eff. Sept. 1, 1993; Sec. 5.031(d) amended by Acts 1993, 73rd Leg., ch. 562, § 1, eff. Sept. 1, 1993; Sec. 5.05(b) amended by Acts 1993, 73rd Leg., ch. 710, § 1, eff. Sept. 1, 1993.
Historical and Statutory Notes
Section 4 of the 1981 Act provides:
"This Act takes effect January 1, 1982, and applies only to offenses committed on or after that
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Creating HEALTHY COMMUNITIES
FIFTY WEST
2021 ANNUAL REPORT
Ocoee CRA
150 N. Lakeshore Drive | Ocoee, FL 34761
407.905.3100 ext. 9-1028
BOARD MEMBERS
Randy June, Orange County Appointed CRA Board Member and Chair
Larry Brinson, Sr., Commissioner and CRA Vice Chair
Rusty Johnson, Mayor and CRA Board Member
Rosemary Wilsen, Commissioner and CRA Board Member
Richard Firstner, Commissioner and CRA Board Member
George Oliver III, Commissioner and CRA Board Member
Vacant, City Appointed CRA Board Member
STAFF
Rob Frank, City Manager and CRA Executive Director
Craig Shadrix, Assistant City Manager
Michael Rumer, Development Services Director
Virginia “Ginger” Corless, CRA Administrator
Carolina Vaca, Redevelopment Specialist
LEGAL COUNSEL
Scott A. Cookson, Esq., Shuffield, Lowman & Wilson, PA
TABLE OF CONTENTS
OCOEE CRA, AGENT FOR CHANGE 3
ALL ROADS LEAD TO OCOEE 4
MEASURING SUCCESS 5
PLAN PERFORMANCE 6
GUIDING OBJECTIVES 7
URBAN DESIGN, OPEN SPACE, FUNDING & MANAGEMENT 8
ENHANCING THE BUILT ENVIRONMENT 9
2021 CAPITAL INVESTMENT 10
REPORTING THE NUMBERS 11
BUILDING ON-UP 12
OPEN FOR BUSINESS 13
PARTNERSHIPS ARE KEY 14
BUILDING HEALTHY COMMUNITIES 15
This Annual Report serves to meet the requirements of Section 163.37(2), Florida Statutes, whereas, each CRA in Florida must prepare a report of its activities for the preceding fiscal year. Covering Fiscal Year (FY) 2020-2021. This Report is posted at www.ocoecra.com and available for viewing at the City of Ocoee Clerk’s Office and CRA’s Office, 150 N. Lakeshore Drive, Ocoee, FL 34761.
For more information on the CRA budget visit https://www.ocoecra.com/Archive.aspx?AMID=38
CRAs Facilitate Community Revitalization
Community Redevelopment Agencies (CRAs) are important in facilitating and validating the revitalization of economically underperforming blighted areas. CRAs are created at the local level to provide not only a governing board, but also to gain access to tax increment financing (TIF).
TIF revenues are generated from increasing property values within a redevelopment district as public infrastructure improvements are made and private entities reinvest in the District. The incremental growth in tax revenue over the level of the base year is paid into the District’s Redevelopment Trust Fund and is to be used only within the District as called for in the Community Redevelopment Plan and annual budgeting process.
CRAs may use increment revenues to leverage other monies such as grants and public/private partnerships. The revenues can be used for the planning and implementation of public infrastructure projects, as well as, for land acquisition and providing development incentives.
Fifty West Redevelopment District
The Ocoee Community Redevelopment District, now known as Fifty West, was established in 2006 and consists of 1,070 acres centering on State Road 50, Ocoee’s primary commercial corridor. With the District currently set to sunset in 2036, redevelopment as articulated by the District’s Vision Statement, Redevelopment Plan and subsequent planning initiatives, such as the Target Areas Special Development Plan, is beginning to be realized.
During fiscal year 2020-2021, the Ocoee CRA met on November 17, 2020, March 2, 2021, May 5, 2021, and September 21, 2021. For a schedule of upcoming CRA Board meetings visit https://www.ocoecra.com/929/CRA-Meeting-Dates or call the Fifty West CRA office at (407) 905-3100 ext. 9-1028.
The Ocoee CRA is an “Agent for Change” and well positioned with increasing revenues and private reinvestment to create Fifty West as a thriving contemporary commercial destination that provides diverse employment opportunities and enhances the quality of life for not only the businesses and residents of the District, but the entire region.
Tax increment revenues stay in the District, allowing the CRA to invest in public infrastructure and stimulate private reinvestment.
The Fifty West Community Redevelopment District sits along a 2-mile stretch of SR 50 and is easily accessible from the Florida Turnpike, the East-West Expressway (408) and the Western Beltway (429). Significant improvements to these roadways have occurred over the last 15 years, in addition to other roadway extensions serving the rest of the community. Ocoee is just minutes from downtown Orlando, Disney World, I-Drive - Convention Center Area, and Orlando International Airport, as well as other large scale employers in the area. Fifty West is anchored by the 1.1 million square foot West Oaks Mall and Orlando Health’s Health Central Hospital, in addition to a full array of medical, retail, and service businesses.
MEASURING Success
FIFTY WEST currently serves as a primary Commercial Center for the City. Citywide population has nearly doubled since 2000 – providing access to over 47,000 people.
OCOEE’S CRA INCREMENT REVENUES HAVE INCREASED BY 514% Since Establishment in 2006.
FIFTY WEST is home to over 400 businesses and 8,000 employees.
BUSINESS FRIENDLY OCOEE CRA
- Custom development incentive programs assistance
- Tap into the City’s job-creation tax-abatement program
- CRA public/private partnership opportunities
- Call (407) 905-3100 ext. 1028 for additional information
Check out the City of Ocoee’s Economic Development Viewer For specific demographic and site information for parcels within the Fifty West Redevelopment District | www.ocadoee.org/856/economicdevelopment
The implementation of the Fifty West Community Redevelopment Plan is the basis in which we measure the Ocoee CRA’s success.
In 2020, Florida State Legislature stipulated new reporting requirements for the CRA’s Annual Report and website (see FS 163.371). One of the new requirements for the Annual Report is to include a summary of how well the CRA has achieved the goals and objectives as set out in the Redevelopment Plan and subsequent planning studies. Pages six (6) through eight (8) summarizes our success.
The Redevelopment Plan was adopted in 2006 and set the foundation of each of the programs, projects, and services undertaken by the CRA. In 2010, the CRA adopted the award winning CRA “Target Areas Special Development Plan” (Target Areas Plan). The Target Areas Plan provides the development framework for three (3) target areas, as well as for the Fifty West Redevelopment District. The CRA and their staff are passionate about their role in realizing the vision, mission, and objectives identified within both these plans. In 2019, Florida Redevelopment Association (FRA) recognized our efforts by giving the Ocoee CRA an award for the “Best Annual Report for a Small City”.
**The Fifty West Vision**
Everything the CRA has done, from land acquisition (Colony Plaza); to enhancing Fifty West’s corridors; to preparing infrastructure plans and development standards; to designing parks; to offering development incentives to property owners such as City Center West Orange, has been done to realize the CRA’s vision.
Fifty West will include centers of vibrant, urban, mixed-use development providing enhanced pedestrian and automobile connectivity, flexible land uses, diverse economic base, a mix of housing types, a shared responsibility of infrastructure financing, public open space and parks, creating an enhanced image and contemporary development form.
Recipient of the FAPA 2011 Award of Merit
Recipient of the FRA 2019 award for Best Annual Report for a Small City
Mixed-use Village Vision
Objective 1 – Land Acquisition
“Take back the SW corner at intersection of SR 50 & Maguire Road”
Over the past fifteen years, the CRA and the City of Ocoee have worked tirelessly to purchase property within the area now known as Target Area 1. The blighted Colony Plaza that plagued the Fifty West Redevelopment District for decades was acquired, imploded, and an agreement reached with a developer to revitalize the parcels at the SW corner of the SR 50 and Maguire Road intersection. The second phase of the Ocoee Corners development is now under construction and will be home to a new sit-down restaurant.
Objective 2 – Transportation and Pedestrian Safety
“Improving Connectivity and Accessibility”
The Finding of Necessity identified the lack of safe roadways, including bicycle and pedestrian facilities. The condition of SR 50, Maguire Road, Old Winter Garden Road, and Bluford Avenue were identified as blight factors. The Redevelopment Plan and the Target Areas Plan identified the need to improve these roads, as well as, to develop urban local roads within each of the Target Areas. The following projects demonstrate how the CRA is implementing this objective.
**SR 50 Roadway Improvements** – FDOT increased the safety of SR 50 by expanding the facility from a 5-lane undivided to a 6-lane divided roadway, adding bike lanes, and installing new sidewalks and medians. Improvements were completed in late Spring of 2018. The CRA is currently working with FDOT and Duke Energy to bring street lights to the SR 50 corridor. Construction should start in late Spring 2022.
**S. Bluford Avenue Corridor Study** – In 2019, the CRA completed a complete streets study for Bluford Avenue. This year, the CRA selected CPH, Inc to provide engineering and design services. Construction should start in fiscal year (FY) 2022-2023. Planned improvements include a 10’ shared path, traffic calming, roundabouts, expansion of sewer capacity, lights, and landscaping. Estimated cost is over 5 million dollars.
**Old Winter Garden Road/Economic Court Extension** – In late 2019, the CRA completed a conceptual master stormwater and infrastructure plan that identified the roadway alignment for the extension of Old Winter Garden Road and Economic Court. Staff is working with property owners to further refine these improvements.
**Transportation Planning** – The CRA and the City worked together since 2019 to identify transportation projects, including bicycle and pedestrian improvements needed throughout the Fifty West Redevelopment District for the next 20 years. Page 14 of this report discusses our work on a trails initiative.
Objective 3 – Urban Design and Infrastructure
“A Change from Suburban to Urban”
The Redevelopment Plan and the Target Areas Plan speak to enhancing the overall visual characteristic of the Redevelopment District. The framework presented in the Target Areas Plan is being followed as demonstrated not only in each of the three Target Areas but also throughout the Redevelopment District. In late 2019, a “Mid town” vision plan was completed for the south side of SR 50 between Maguire Road and Bluford Avenue, demonstrating how this area can intensify in a manner that enhances the overall area.
Objective 4 – Open Space and Recreation
“Creating Urban Open Spaces And Dynamic Places To Play”
The Redevelopment Plan emphasizes the need for quality open spaces and parks to be provided. In 2021, the CRA finalized design of the Healthy West Orange Wellness Park. Located on S. Bluford Avenue, the park will be constructed around a stormwater pond built to serve SR 50. When built, the park will include four (4) fitness hubs with composite and individual exercise equipment positioned under a sunshade. Construction will start in early 2022 and will take about a year to complete. Estimated construction cost is over 2.7 million dollars. See page 15 for additional information on the Healthy West Orange Wellness Park.
Midtown Vision
Objective 5 – Funding, Financing, Management, and Promotion
“Leveraging Resources and Marketing the CRA”
The CRA understands the importance of LEVERAGING the increment revenues to secure other funding through sources such as grants, like the FDOT Highway Beautification Grant for SR 50, the $3 million grant from West Orange Healthcare District, and through public/private partnerships.
To encourage private reinvestment, the CRA may offer a developer an incentive package. Typical incentives offered include permit fee reduction, impact fees waived, and even capital charges for water and sewer connections paid by future increment pledged by the CRA.
This year, the CRA board approved a reimbursement grant for preparing the site at the NW corner of SR 50 and Maguire Rd. for redevelopment from a gas station to a medical office.
Enhancing THE BUILT ENVIRONMENT
THE OCOEE CRA RECOGNIZES THE IMPORTANCE OF WELL-DESIGNED PUBLIC INFRASTRUCTURE THAT INCLUDES STREETSCAPES, OPEN SPACES, PARKS, AND STORMWATER FACILITIES.
In 2020, the CRA invested $1,089,005.08 to install new landscaping and irrigation within the medians of SR 50 and on Clarke Road. Each of the projects were designed to incorporate plants that were native and/or Florida Friendly in order to practice irrigation efficiency and to increase the survivability. In addition, the new median plantings assist with implementing traffic calming objectives.
New Landscape Transforms the SR 50 Corridor
Implementing the SR 50 median landscape improvement project was a partnership between the Florida Department of Transportation (FDOT), the City of Ocoee, and the Ocoee CRA. The enhancement project beautified nearly three (3) miles of SR 50 between SR 429 and Good Homes Road. The CRA provided $993,019 for the medians between SR 429 and Clarke Road and the City was responsible for medians between Clarke Road east to Good Homes Road. In recognition of the importance of enhancing state corridors, FDOT reimbursed the CRA $336,940.35 in FY 19/20 and another $69,848.70 in FY 20/21 for the installation of the plant materials.
SR 50 medians within the CRA’s jurisdiction now contain 13 medjool palms, 3 magnolias, 25 crape myrtles, and 13,281 shrubs and ground cover.
Clarke Road Blossoms
The Clarke Road median beautification was completed. The new palms, crape myrtles, grasses, and perineals signify the importance of the gateway into this CRA and the City from SR 408.
The Ocoee CRA categorizes the 2021 projects as either planning, design, or construction/installation. The following provides the cost information for key projects undertaken by the Ocoee CRA for fiscal year 2020-2021.
**Completed Planning Studies**
- Target Area I Conceptual Stormwater & Infrastructure Master Plan
**Design**
- N. Blackwood Ave Streetscape/Utility Redesign thru 30%
- Wellness Park 100% Construction Documents
**Warranty Landscape Maintenance**
- SR 50 between SR 429 to just west of Clarke Rd Median Landscape Warranty Maintenance
**2021 Trust Fund Expenditures on the above Projects**
**Total Number of Key Projects**
Financial Reporting
The Ocoee CRA is responsible for filing an annual report and an independent financial audit. This Annual Report will be filed consistent with Fla. Stat. 163.356 (3) (c). The independent financial audit will also be included in the City’s Comprehensive Annual Financial Report (CAFR) once it has been finalized. A copy of the CAFR as well as the independent audit will be made public on the CRA’s website, at the office of the City Clerk and distributed to the taxing authorities paying into the Redevelopment Trust Fund, including Orange County.
FISCAL YEAR 2020-2021 REVENUES
The following were the revenues contained within the Ocoee CRA’s Redevelopment Trust Fund for FY 2020-2021
| Description | Amount |
|------------------------------|-----------------|
| Opening Cash Balance 10/01/20| $2,306,058.16 |
| Contributions (TIF) | $1,718,937.57 |
| City | $923,610.39 |
| County | $795,327.18 |
| FDOT Reimbursement | $69,849 |
| Total Income | $4,094,844.43 |
FISCAL YEAR 2020-2021 EXPENDITURES
During FY 2020-2021, the CRA expended a total of $560,470.29, as follows.
| Description | Amount |
|-------------|--------------|
| Operating | $251,158.39 |
| Personnel | $284,288.63 |
| Capital | $25,023.27 |
It is noted that $3,590,286.33 remained in the Redevelopment Trust Fund as of September 30, 2021, and was designated by the CRA Board for specific CRA capital improvement projects for FY 2021-2022 pursuant to Florida Statutes.
For more information on the CRA budget visit www.ocoecra.com/Archive.aspx?AMID=38
How Ocoee Corners Came to Be
In 2006, the Ocoee Community Redevelopment Agency (CRA) was established to address blight within the Fifty West Redevelopment District due, in part, to the vacant and dilapidated Colony Plaza Time Share Condominium located at the southwest corner of Maguire Road and State Road 50. Because the prior use of the structures on the property was a condominium, ownership interests and certain easements needed to be terminated. The City of Ocoee worked with the property owners to eliminate the ownership issues and filed a number of liens, including a demolition lien. The CRA’s cost to prepare the site for redevelopment was $1,600,000 which included legal fees and accrued interest through 2018 resulting from the demolition liens. In 2018, the City, CRA, and the owner entered into a Settlement Agreement whereby the City released all liens, including the demolition lien, and the property owner paid the City/CRA a payment of $1,105,406.21 to cover the cost of demolition. The Settlement Agreement also included a concept and design standards to be followed by the property owner, Boyd Development Corporation, building the development known as Ocoee Corners.
Today, the first phase of Ocoee Corners has been constructed and 100% leased. The development is now home to Vitality Bowls, Dentists of Ocoee, UrgentVet, Pearle Vision, Tijuana Flats, and SS Butcher. The second phase of development includes Sonny’s BBQ. This new sit-down restaurant is under construction and should be open by the end of summer 2022. Boyd Development Corporation is currently in negotiations to bring additional commercial businesses, including more food establishments, to the Fifty West Redevelopment District.
Open FOR BUSINESS
16 NEW BUSINESSES OPENED THEIR DOORS IN 2021
CILANTRO’S TAQUERIA | 1,400 SQ. FT.
11103 W. Colonial Dr.
ORLANDO HEALTH IMAGING CENTERS | 5,500 SQ. FT.
10889 W. Colonial Dr.
NEW TO MAGUIRE CROSSING
JEFF’S BAGEL RUN
2787 Old Winter Garden Rd.
LECHONERA EL BARRIO
2759 Old Winter Garden Rd.
COMING SOON
Darren Medical Center
Lake Lily Apartments
Christian Brothers Automotive
Healthy West Orange Trails Initiative
In the summer of 2021, City and CRA staff presented a plan highlighting how trails and associated facilities can influence and improve community health to the West Orange Healthcare District. The yearlong process facilitated discussions and drafted action plans with representatives from the Town of Oakland, City of Winter Garden, Town of Windermere, Gotha Rural Settlement, City of Ocoee, Orange County, MetroPlan Orlando, Bike/Walk Central Florida, and the Florida Department of Transportation.
As part of this process, CRA staff identified several future pathways within the Fifty West Redevelopment District including facilities located along S. Bluford Avenue, Maine Street, N. Blackwood Avenue, S. Blackwood Avenue, Old Winter Garden Road, and Maguire Road. One of the most important outcomes from the planning process was the adoption of an implementation plan whereby the Foundation for a Healthier West Orange will fund and contract with Bike/Walk Central Florida to be the program manager for the Healthy West Orange Trails Connection. The program will work to implement the Trails Initiative, prioritize projects, create wellness programs, and host special events on or adjacent to the region’s trails and park facilities. The Foundation for a Healthier West Orange has committed annually $5,000,000 for capital projects and $30,000 for wellness programs in order to implement the Healthy West Orange Trails Initiative.
Market Guide
The CRA partnered with the City to update and publish the 2020 Market Guide. The Guide includes important demographic information, provides a glimpse of the current reinvestment activities by the City and the CRA, and identifies potential properties that are open for development or lease.
The Market Guide is designed to easily distribute, almost like a business card; however, it opens up to display an overall map of the City with the Fifty West Redevelopment District highlighted a major feature. The Fifty West Redevelopment District is the City’s primary commercial corridor and its success is vital for the overall marketability of the City. If you would like to receive a copy of the Market Guide call (407) 905-3100 ext. 9-1028 or email your request to email@example.com.
There are numerous national, state, and local studies that have documented that with increased access to public parks and trails rates of chronic illnesses are reduced. The CRA, City, and the West Orange Healthcare District are partnering to build Healthy West Orange Wellness Park and complete the S. Bluford Avenue Trail with the intent of improving overall community health factors for our residents and the local workforce.
Wellness Park includes activating what is today a stormwater pond through the installation of a ½ mile perimeter walking path, gathering areas for health-related events, and four wellness stations. The park will be beautifully landscaped, including the installation of aquatic vegetation at the pond’s waterline, creating a more natural setting. Properly placed seating will provide tranquil areas for relaxation. The transformation of an ugly pond to an urban park, offering fitness opportunities, will be welcomed into our community.
The West Orange Healthcare District awarded the CRA with a $2.25 million grant to construct the new park. The park will cost in the vicinity of $2.75 million and take about a year to construct. Once open, the CRA will partner with the City to conduct wellness programs. It is proven that providing physical programming, in addition to outdoor fitness parks and trails, can result in positive health impacts.
Adjoining the park will be a new 10’-12’ trail, approximately 1.5 miles in length, which will connect Old Winter Garden Road to Downtown Ocoee’s existing trail. This new trail connection not only provides a safe facility to walk, run, bike, or skate, it will also connect the heart of the Redevelopment District to Downtown where there are future plans to extend the trail to the West Orange Trail. The trail will also play an important role in providing a safe route to school for students in nearby developments.
In addition to funding the majority of Wellness Park, the West Orange Healthcare District is providing $775,000 toward the development of the new trail connection providing $3 million in overall funding.
**BE IN THE KNOW:** The Ocoee CRA is seeking opportunities to meet with businesses, organizations, property management and homeowner associations to share the Fifty West Redevelopment District’s vision, opportunities, and information on projects. If you are interested in finding out more about the Fifty West Redevelopment District contact Ginger Corless, CRA Administrator at 407.905.3100 X 9-1028.
OCOEE CRA
FIFTY WEST
150 N. Lakeshore Drive, Ocoee, FL 34761
407.905.3100 x 1028
ocoecra.com
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Keyword Search for Data-Centric XML Collections with Long Text Fields
Arash Termehchy Marianne Winslett
Department of Computer Science, University of Illinois, Urbana, IL 61801
{termehch,firstname.lastname@example.org
ABSTRACT
Users who are unfamiliar with database query languages can search XML data sets using keyword queries. Current approaches for supporting such queries are either for text-centric XML, where the structure is very simple and long text fields predominate; or data-centric, where the structure is very rich. However, long text fields are becoming more common in data-centric XML, and existing approaches deliver relatively poor precision, recall, and ranking for such data sets. In this paper, we introduce an XML keyword search method that provides high precision, recall, and ranking quality for data-centric XML even when long text fields are present. Our approach is based on a new group of structural relationships called normalized term presence correlation (NTPC). In a one-time setup phase, we compute the NTPCs for all answers in the DB instance, and use this information to rank candidate answers for all subsequent queries, based on each answer’s structure. Our experiments with 65 user-supplied queries over two real-world XML data sets show that NTPC-based ranking is always as effective as the best previously available XML keyword search method for data-centric data sets, and provides better precision, recall, and ranking than previous approaches when long text fields are present. As the straightforward approach for computing NTPCs is too slow, we also present algorithms to compute NTPCs efficiently.
Categories and Subject Descriptors
H.2.4 [Database Management]: Systems
General Terms
Algorithms, Designs, Performance
1. INTRODUCTION
The IR community has been developing retrieval techniques for text-centric XML [10], where structures are simple and structural information plays almost no role in retrieval. In data-centric XML, structure carries important information about objects and their relationships. Data-centric XML can support much more powerful query interfaces than unstructured data can, but non-expert users have no easy way to tap into that power with ad hoc queries. Following the success of keyword search interfaces in IR and Web search, researchers have proposed XML keyword search interfaces as a solution [5, 7, 8, 13, 10, 27, 23]. For keyword queries to do not explicitly specify the structural properties of the ideal answers, the underlying system must find the XML sub-structures that are relevant to the query, and preferably rank them based on their relevance. Further, the system should exploit XML structural information, to improve the system’s precision, recall, and ranking quality.
As discussed in more detail in the next section, almost all XML keyword query approaches incorporate pruning and ranking heuristics based on shallow structural properties of the data (e.g., smallest answers are best). A previous user study involving 65 queries over a movie database and a bibliographic database [24] showed that these heuristics lead to many irrelevant answers (low precision), missing relevant answers (low recall), and poor or non-existent ranking of answers. To solve these problems, one can use a more powerful ranking approach, based on statistical measures of the correlation between schema elements [11, 9, 23]. Intuitively, answers that involve closely correlated schema elements should be ranked higher than less correlated answers. Such schema-correlation-based measures have been shown to be effective for ranking query answers for data-centric XML without long text fields [23], but they do not handle long text fields such as paper abstracts or movie plot summaries appropriately. This type of data sets are proliferating due to the increasing popularity of constructing and querying annotated corpora [4].
In a nutshell, the problem is that these measures consider two field values to be completely different, even if they differ in only one word. For example, consider a movie database that includes information about writers, movie plot lines, and movie tag lines (lines from trailers). Each movie has its own unique tag lines and plot lines, so existing correlation-based measures find that writers’ names are as highly correlated with tag lines as with plots. In practice, however, a writer’s plots tend to involve similar situations or characters, while the tag lines of his or her shows have little similarity. Thus intuitively, writers should be more correlated with plots than with tag lines. Overgeneralizing slightly, any correlation measure that cannot capture this intuition will tend to rank a query answer that includes a writer and
a phrase from a tag line higher than an answer including a writer and a phrase from a plot line, which is undesirable in practice.
To address this problem, we introduce term based correlation measures as an effective way to capture our intuition about correlations between similar pieces of text, while at the same time exploiting all other available structural information in an XML database. Our contributions:
- We introduce a particular form of term based correlation called normalized term presence correlation (NTPC) and show how to incorporate NTPC into an XML query system. We show how to perform a one-time computation of NTPCs for schema elements, using a populated database instance. For all subsequent queries, the precomputed NTPCs are used to rank candidate answers based on their structure. NTPCs only need to be recomputed if structural changes introduce a new type of schema element. We also show how to combine NTPCs with traditional IR ranking methods, so that query answer rankings consider both content and structure.
- Through an extensive user study with two real-world data sets, we show that the precision, recall, and ranking quality of a NTPC-based approach to query answering is always at least as high that of as seven other previously proposed approaches to XML keyword search. We also show that NTPC provides better ranking than previous approaches when the database includes long fields.
- The straightforward approach to computing NTPCs is prohibitively slow for large data sets. We present novel optimizations that allow NTPCs to be computed for 5-1.1 GB data sets in 5-2.5 days, which is reasonable for a one-time setup cost.
In the remainder of the paper, Section 2 discusses current XML keyword search systems. Section 3 defines NTPC. Section 4 presents optimization techniques and algorithms for computing NTPC. Section 5 describes our query system. Section 6 presents empirical results, and Section 7 concludes the paper.
2. MOTIVATION
2.1 XML Patterns
We model an XML DB as a tree $T = \langle r, V, E, L, C, D \rangle$, where $V$ is the set of nodes in the tree, $r \in V$ is the root, $E$ is the set of parent-child edges between members of $V$, $C \subset V$ is a subset of the leaf nodes of the tree called content nodes, $L$ assigns a label to each member of $V - C$, and $D$ assigns a data value (e.g., a string) to each content node. We assume no node has both leaf and non-leaf children, and each node has at most one leaf child; other settings can easily be transformed to this one. We also ignore all non-content leaf nodes, as they do not affect rankings. Each node can be identified by its path from the root; e.g., node 5 in Figure 1 has path bib paper title. Each subtree $S = \langle r_S, V_S, E_S, L_S, C_S, D_S \rangle$ of $T$ is a tree such that $V_S \subseteq V$, $E_S \subseteq E$, $L_S \subseteq L$, and $C_S \subseteq C$. A keyword query is a sequence $Q = t_1 \cdots t_q$ of terms. A subtree $S$ is a candidate answer to $Q$ iff its content nodes contain at least one instance of each term in $Q$. The root of a candidate answer is the lowest common ancestor (LCA) of its content nodes [19]. When no confusion is possible, we identify a candidate answer by its root’s node number.
Consider the depth-first traversal of a tree, where we visit the children of a node in the alphabetic order of their labels. Each time we visit a node, we output its number (or content); each time we move up one level in the tree, we output -1. The result is the unique prefix string for that tree [28]. For instance, the prefix string for the subtree rooted at node 4 in Fig. 1 is $\langle 4 11 MIT -1 -1 12 Miller -1 -1 \rangle$. Trees $T_1$ and $T_2$ are label isomorphic if the nodes of $T_1$ can be mapped to the nodes of $T_2$ in such a way that node labels are preserved and the edges of $T_1$ are mapped to the edges of $T_2$. A pattern concisely represents a maximal set of isomorphic trees (its instances) [23]. The pattern can be obtained from any member of the set, by replacing each node number in its prefix string by the corresponding label. For instance, pattern bib paper title -1 -1 corresponds to trees 1 2 5 -1 -1 and 1 3 8 -1 -1 in Fig. 1. The value of a subtree (if it exists) is the content associated with its leaves. For example, the value of 1 2 5 -1 6 -1 -1 in Fig. 1 is (“XML Integration”, “VLDB”). The values of a pattern are all the values of its instances.
2.2 The State of the Art
The consensus in XML keyword search is that the best answers are the most specific subtrees containing the query terms [5, 7, 8, 13, 14, 27]. The specificity of a subtree depends on the strength of the relationship between its nodes.
For instance, if two nodes merely belong to the same bibliography, such as titles of two different papers, then the user will not gain any insight from seeing them together in an answer. If the nodes belong to the same paper, such as the paper’s title and author, the user will surely benefit from seeing them together. If the nodes represent titles of two different papers cited by one paper, the answer might be slightly helpful.
The baseline approach for XML keyword search returns every candidate answer ([19], with modest refinements in [8]). For instance, consider the DBLP fragment from www.informatik.uni-trier.de in Fig. 1. The answer to query Integration Miller is (rooted at) node 2. The baseline approach has perfect recall but very low precision. For example, for query $Q_1 = \text{Integration EDBT}$, the baseline approach returns the desired answer of node 16, but also the unhelpful root node. In $Q_2 = \text{Integration VLDB}$ for Fig. 1, candidate answers nodes 9 and 1 are not very helpful. The node 9 tree contains two otherwise-unrelated papers cited by the same paper, and the node 1 tree contains otherwise-unrelated papers in the same bibliography. A good approach should rank them below helpful answers, or omit them.
Current approaches to XML keyword search fall into several categories. The first category uses shallow structural heuristics to filter out irrelevant answers ([27, 21, 15, 14, 13]. For instance, SLCA [27] eliminates candidate LCAs that are ancestors of any other candidate LCA. SLCA implicitly assumes that candidate answers deep in the XML tree are more relevant to the query than answers high up in the tree. For $Q_1$ in Fig. 1, SLCA does not return node 1, but SLCA does return node 9 for $Q_2$. Since SLCA does not rank its answers, the user gets a mix of helpful and undesirable answers. Since SLCA filters out some candidate answers, its recall is less than the baseline approach. For instance, for query $Q_3 = \text{XML Burt}$, nodes 3 and 15 are desirable; but node 3 is an ancestor of node 15, so node 3 will not be returned. MSLCA and MaxMatch use heuristics similar to SLCA’s [21, 15], and share SLCA’s deficiencies.
VLCA [13] eliminates candidate answers where two non-leaf nodes have the same label. The idea is that non-leaf nodes are instances of the same entity type if they have duplicate labels (DLs), and there is no interesting relationship between entities of the same type. We refer to this heuristic as DL. For instance, the subtree rooted at node 9 does not represent a meaningful relationship between nodes 19 and 20, because they have the same label and type. Therefore, node 9 should not be an answer to $Q_2$.
DL is not an ideal way to detect nodes of similar type. For example, nodes article and paper in Fig. 2 have different names but represent similar objects. As a result, for the query $Q_4 = \text{SIGMOD XPath}$, DL returns node 11, which is undesirable. DL cannot detect unintended relationships between nodes of different types: either, it does not filter out node 1 for query $Q_5 = \text{UBC Green}$ in Fig. 1. Further, sometimes there are meaningful relationships between similar nodes, even in a DB with few entity types. For example, DL does not return any answer for Smith Burt in Fig. 2, as it filters out node 4. Like SLCA, VLCA does not rank its candidate answers. MLCA [14] uses a quite similar approach. A more detailed comparison of the methods in this group can be found elsewhere [24].
The second category of XML keyword search approaches combines IR-based techniques with the aforementioned structural heuristics to rank candidate answers [5, 1]. XSearch [5] filters out candidate answers using DL heuristics and ranks the remainder using their TF/IDF score and the number of nodes they contain (their size). However, size is an unreliable predictor of relevance. Consider query SIGMOD VLDB for Fig. 1. The answers rooted at nodes 1 and 3 have the same size, but only the one at node 3 is relevant. TF/IDF methods do not consider XML structure, so they cannot remedy this deficiency or the issues with DL.
XReal [1] filters out entity types that do not contain many of the query terms. Then it ranks subtrees higher if they and their entity types have more of the query terms. For instance, DBLP has few books about Data Mining, so XReal filters out all book entities when answering the query Data Mining Han – even Han’s textbook. XReal does not consider the relationship between nodes of a subtree when it ranks its answers, so irrelevant subtrees can be ranked very high. For query SIGMOD 1997, XReal ranks the subtree rooted at node 4 in Fig. 2 higher than the 1997 papers with booktitle SIGMOD. This is because SIGMOD occurs very frequently in subtrees rooted at cite. Even if we ignore the importance of the cite entity type in XReal ranking, XReal still ranks papers published in 1997 below papers that cite multiple articles and papers published in 1997. Generally, IR ranking techniques do not exploit XML’s structural properties.
XRank [7] finds LCAs using a modified baseline approach, and uses a PageRank-based approach to rank subtrees. It has the same precision problems as the baseline approach. Also, PageRank is effective only in certain domains and relationships and is not intended for ranking trees; e.g., all the Proceedings tags in Fig. 2 have the same PageRank.
CR [24] ranks candidate answers based on the strength of the correlation between the nodes in their patterns. Patterns with high correlation represent strong relationships. For example, consider $Q_2$ in Fig. 1. All papers in DBLP are associated through the DBLP root, so the correlation between the values of the pattern bib paper booktitle -1 -1 paper cite paper title -1 -1 -1 is very low in the full DBLP. Therefore, CR ranks candidate answers rooted at the DBLP root last, or omits them. Pattern cite paper title -1 -1 paper booktitle -1 -1 represents a more meaningful relationship, as the correlation between its values is higher than for the previous pattern. However, two papers cited by the same paper do not always have a meaningful relationship. Therefore, CR ranks the instance of this pattern rooted at node 9 low. The correlation between the values of the pattern paper title -1 booktitle -1 is higher yet, as each paper appears in only one conference. Therefore, CR ranks the candidate answer rooted at node 2 first.
The size of a pattern is not related to its correlation. For instance, bib paper title -1 -1 paper title -1 -1 and cite paper title -1 -1 paper title -1 -1 in Fig. 1 have the same size. But the correlation of the first is less than that of the second, as every two papers are connected to each other through the root of the subtree. The same goes for paper title -1 author name -1 -1 and paper booktitle -1 author name -1 -1 in Fig. 1. Since many authors publish their papers at the same conference and each title has only a few authors, the values of the first pattern are more correlated than the values of the second one.
CR computes correlations using a measure based on the concept of mutual information, called Normalized Total Correlation (NTC). CR has been combined with IR-style meatures to deliver better rankings [23]. As CR does not rely on shallow structural properties, it does not have the precision pitfalls mentioned for previous approaches. As CR does not remove candidate answers, it has better recall than the approaches that prune out answers. However, neither CR nor any of the other approaches discussed above can rank answers with long text fields well. We explore this problem in the next section.
### 2.3 Long Text Field Issues
Consider the Citeseer fragment from citeseer.ist.psu.edu/ in Fig. 3. The best answer to query *Burt Mining* is rooted at node 3. Since *desc* is a long text field, two different papers will almost never have the same description. However, a few papers have similar titles by different authors. Thus, the NTC of the values of *paper author -1 title -1* is less than that of *paper author -1 desc -1*, and CR inappropriately returns node 2 as the best answer.
IR-style heuristics and penalties for long fields will not solve this problem. For instance, consider the IMDB fragment from www.imdb.com in Fig. 4. Because tag lines are less indicative of a movie’s content than plot lines, the best answer to query *Evolution Brian* is the subtree rooted at node 3. Different movies have different plot lines and tag lines. In the original IMDB, on average each movie has more *plot* nodes than *tagline* (The famous sentences in the movies’ trailers) nodes, so the NTC of *movie taglines tagline -1 -1 writers write -1 -1* is 1.48 and the NTC of *movie plots plot -1 -1 writers write -1 -1* is only 1.37. Thus, CR ranks node 2 above node 3. As the *plot* field is longer than the *tagline* field, penalizing long fields will not solve the problem.
The problem can occur for short text fields as well. Consider query *XML Dan* for Fig. 2. The best answer is at node 4, which gives papers about XML written by Dan. The node 3 answer should be ranked second, as it is less interesting for most users. But since each proceedings has a different title, the NTC of *proceedings title -1 editor name -1 -1* is the same as the NTC of *paper title -1 author name -1 -1* in this Fragment. NTC does not consider the fact that the proceedings titles for nodes 2 and 3 are almost identical; if it did, the correlation of the first pattern would drop and we would get the desired ranking.
Thus, intuitively, we should consider the individual components (words) of each value when computing correlations, both for long and short fields. For instance, the words in movie tag lines are not as representative of the movie’s subject as the words in plot lines. Thus in Fig. 4, the terms in the values of the field *writer* are more correlated with those of *plot* than *tagline*.
Correlation mining is an active research area in data mining and databases [3, 11, 16]. But most research has focused on finding the correlations between data items themselves, rather than computing the collective correlation between their columns or nodes. Even the systems in the latter category [9, 11, 12] consider the values of each column as a whole, so we cannot apply them to our ranking problem.
### 3 TERM BASED CORRELATION
#### 3.1 Preliminaries
A **root-subtree** is a subtree whose root is the root of the XML DB and whose leaves are the parents of content nodes [23]. For instance, $t_1 \ 2 \ 5 \ -1 \ 6 \ -1 \ t_1$ is a root-subtree in Fig. 1. If the root-subtree is a path, we call it a **root-path**. Each root-subtree contains at least one root-path. Every maximal set of isomorphic root-subtrees in a tree $T$ corresponds to a pattern. The **size of a root-subtree pattern** is the number of root-path patterns it contains. From now on, the only patterns we consider are those of root-subtrees.
**Definition 1.** $W(r_1 : u_1, \ldots, r_n : w_n)$ is a **term** of root-subtree $T$ containing root-paths $r_1, \ldots, r_n$, with value $(r_1 : v_1, \ldots, r_n : v_n)$, if $u_1, \ldots, w_n$ are non-stop words that occur in values $v_1, \ldots, v_n$, respectively.
The **terms** of pattern $p$ containing root-path patterns $(p_1, \ldots, p_n)$ are the union of the sets of terms of its instances. We write $p$’s terms as $W(p_1 : u_1, \ldots, p_n : w_n)$, reflecting which root-path pattern contains which term. For instance, $(p_1 : Design)$ is a term of the root-path pattern $bib paper title -1 -1$ and $p_1 : Design$, $p_2 : SIGMOD$ is a term of the root-subtree pattern $t_1 = bib paper title -1 booktitle -1 -1$ in Fig. 1.
Each term $W(p_1 : u_1, \ldots, p_n : w_n)$ is associated with $2^n$ possible **events**. Each event takes the form $E(p_1 : f(w_1), \ldots, p_n : f(w_n))$, where each $f(w_i)$ is either $w_i$ or $\bar{w}_i$, depending on whether $w_i$ does or does not occur in $p_i$.
**Definition 2.** The **occurrence probability** of an event $E(p_1 : f(w_1), \ldots, p_n : f(w_n))$ for term $W$ in a root-subtree pattern $q$ is $O(E) = \frac{|t(E)|}{|t(q)|}$, where $|t(E)|$ is the number of terms where $p_i$ contains $w_i$, if $f(w_i) = w_i$; or where $p_i$ does not contain $w_i$, if $(w_i) = \bar{w}_i$ ($1 \leq i \leq n$). $|t(q)|$ is the total number of terms of $q$ in the DB.
In Fig. 1, if $q = bib paper title -1 -1$, $O(p_1 : “Design”) = \frac{1}{4}$, as this pattern has 4 terms.
**Definition 3.** The **presence probability** of an event $E(p_1 : f(w_1), \ldots, p_n : f(w_n))$ for term $W$ in a root-subtree pattern...
$q$ is $P(W) = \frac{|E|}{|q|}$, where $|E|$ is the number of instances of $q$ where $p_i$ contains $w_i$, if $f(w_i) = w_i$; or $p_i$ does not contain $w_i$, if $f(w_i) = \bar{w}_i$ ($1 \leq i \leq n$). $|q|$ is the number of instances of $q$ in the DB.
In Fig. 1, if $q = bib\ paper\ title - I - I$, $P(p_1 : Design) = \frac{1}{2}$, as the pattern has two instances and “Design” occurs in one.
A root-subtree pattern represents the joint distribution of the root-path it contains. For instance, the root-subtree pattern $bib\ paper\ title - I - I - I$ represents an association between root-path patterns $p_1 = bib\ paper\ title - I - I$ and $p_2 = bib\ paper\ booktitle - I - I$.
Intuitively, the entropy of a random variable indicates how predictable it is [6]. We define the entropy of term $W$:
**Definition 4.** Given term $W$ of pattern $p$ of size $n$ whose events $E_1, \ldots E_{2^n}$ have presence probability $P(E_1), \ldots P(E_{2^n})$ respectively, the **presence entropy** of $p$ is
$$H_p(W) = \sum_{1 \leq i \leq 2^n} P(E_i) \lg (1/P(E_i)).$$
For instance, consider the term $(p_1 : robot, p_2 : Aldiss)$ in the pattern $imdb\ movie\ plots\ plot - I - I\ writers\ writer - I - I - I$, where $p_1$ is $imdb\ movie\ plots\ plot - I - I - I$ and $p_2$ is $imdb\ movie\ writers\ writer - I - I - I$ in Fig 4. The term has four events. Considering only DB fragment in the figure, we can compute their presence probabilities to find the presence entropy for the term: $2 * 1/4 \lg (4) + 2 * 1/4 \lg (2) = 1.5$.
The **occurrence entropy** $H_o(W)$ of term $W$ can be defined similarly.
**Definition 5.** Given the pattern $p$ containing terms $W_1, \ldots, W_N$ with occurrence probabilities $O(W_1), \ldots, O(W_N)$ respectively, the **collective entropy** of $p$ is
$$H(p) = \sum_{1 \leq i \leq N} O(W_i) \lg (1/O(W_i)).$$
As opposed to the presence and occurrence entropies, collective entropy is defined over all terms of a pattern. Notice that we cannot define the collective entropy based on presence probability, as the sum of the presence probabilities of the terms of a pattern could exceed one. If the pattern has more than one path, we also call its entropy **joint entropy**, as it is defined over a joint distribution.
### 3.2 Correlation Measures
*Total correlation* [25] is closely related to mutual information [6]; it measures the correlation between random variables. It is defined over random variables $A_1, \ldots, A_n$ as
$$I = \sum_{1 \leq i \leq n} H(A_i) - H(A_1, \ldots, A_n). \quad (1)$$
The greater the value of $I$, the more correlated the variables are. If the variables are independent, the value of $I$ will be zero. Since each $w_i$ of term $W(p_1 : w_1, \ldots, p_n : w_n)$ is a term itself, we can extend the definition of total correlation as follows:
**Definition 6.** The **total presence correlation** (TPC) of term $W(p_1 : w_1, \ldots, p_n : w_n)$ of pattern $q$ is:
$$I_p(W) = \sum_{1 \leq i \leq n} H_p(w_i) - H_p(W). \quad (2)$$
In the same setting as the last example, the TPC of term $(p_1 : evolution, p_2 : Fagan)$ is 0.61 and the TPC of term $(p_1 : robot, p_2 : Aldiss)$ is 0.31. In this fragment, from the writer’s name *Fagan*, we can predict that the movie is about *evolution* and vice versa. However, knowing the movie is about *robot* does not necessarily mean that its writer is *Aldiss*, so they are not as correlated as the previous term. Thus, the TPC of a term reflects the correlation between its components. In the above definition, the instances of path $p_i$ in the DB are a superset of its instances that are subtrees of the instances of $q$. Thus, we compute $H_p(w_i)$ considering only the instances of $p_i$ that are subtrees of the instances of $q$. This **total occurrence correlation** (TOC) of a term can be defined similarly.
We can measure the correlation of a pattern by averaging the sum of TPCs for all terms in the pattern. However, there are many weakly correlated terms in patterns. For instance, the original IMDB has many terms in the title, tag line, or plot that are not correlated or are weakly correlated with the terms in the name of the movie writers or the terms in other fields. Such words usually have high frequency in the DB. Hence, patterns that intuitively should have different correlations may look very similar if we average over all their terms. To prevent this problem, we average over the top-$k$ correlated terms, where $k$ is reasonably large. If $k$ is too small, we face the same problem, as there are always some terms that are highly correlated in most patterns. Through empirical evaluation, we found that a value of 50-100 is appropriate for a large database such as DBLP or IMDB.
TOC and TPC both measure the collective correlation of a pattern. However, their different properties make them appropriate for different applications. Consider the term $W(p_1 : w_1, p_2 : w_2)$ in pattern $q$, where the values of $p_2$ are relatively long. With TOC, $w_1$ is associated with many terms in $p_2$ whenever any of them is present. Thus, TOC finds the term $W$ to be relatively weakly correlated. Since TPC views the presence of the components of the term $W$ in an instance of $p$ as an association between them, TPC gives $W$ a higher correlation. As mentioned before, a good correlation measure must work equally well for long and short fields. Hence, we choose TPC for our application, keyword search.
Among patterns of size 1, those with more variety are more helpful for users. For instance, in Fig. 1, *title* is more helpful for most users and queries than *booktitle*. Thus if both match the input query, the system should rank *title* first. Since the terms of highly repetitive fields such as *booktitle* are quite evenly distributed in the database and there are so few of them, averaging over their top-k entropies returns a relatively high value that does not reflect the true variety of their information. Therefore, we use collective entropy from Definition 5 to rank patterns of size one.
Since users prefer smaller patterns, we penalize larger patterns in the final formula for TPC:
$$NTPC(W) = g(n) \times \frac{TPC(W)}{H(W)}, n > 1. \quad (3)$$
$g(n)$ is a function that penalizes larger patterns; $g(n) = n^2/(n-1)^2$ performs well in practice [23]. Exploring options for $g(n)$ is an interesting area for future work.
The values of NTPC and collective entropy for all patterns in the DB should be computed in a separate phase before the first queries are submitted to the system. If the DB does not undergo drastic structural changes that introduce new node types and patterns, this computation need never be repeated. For example, the tightness of the relationship between paper titles and their authors will not change, no
matter how many years go by or new conferences are introduced. However, if a new field *paper-body* is introduced, we must compute the NTPCs for candidate answers that include that new field.
To answer a query, we find all candidate answers and their associated patterns, and look up those patterns in a table of precomputed NTPCs. We rank answers according to their NTPC values. We choose to omit answers with zero NTPC, as they are especially irrelevant.
NTPC-based ranking successfully handles all the examples described earlier. For instance, the NTPC of *proceedings title -1 author name -1* in the full DBLP is 1.41, and the NTPC of *paper title -1 author name -1* is 1.73. In the full IMDB, the NTPC of *movie taglines tagline -1 -1 writers write -1 -1* is 1.25, while the NTPC of *movie plots plot -1 -1 writers write -1 -1* is 1.49. Section 6 contains a detailed evaluation of the effectiveness of NTPC-based ranking.
## 4. COMPUTING NTPC
### 4.1 Optimization Techniques
Researchers have experimented with techniques for efficiently computing correlations. Unfortunately, these techniques rely on domain characteristics that are not applicable for keyword search over XML with long fields. For example, in keyword search, many strongly correlated terms are not frequent, so we cannot consider only frequent terms [3]. For keyword search, the minimum interesting value of NTPC is too small for it to be helpful as a cutoff during correlation computation [18]. Nor is the number of distinct values for a field necessarily much less than its total number of values, which would allow us to use sampling [9]. Nor can we adopt the techniques for precomputing NTC quickly [23], as NTC computes the correlation for entire values, not for the terms of a pattern. However, as in [23], we can assume that the maximum number of keywords in a query is relatively low (2.5 on average according to IR studies [26]). Thus, the size of the patterns we seek does have a domain-dependent upper bound $MCAS$ (maximum candidate answer size). For instance, empirical studies suggest that 4 is a reasonable $MCAS$ value for bibliographic DBs [23].
The following lemma reduces the number of patterns for which we must compute NTPC. We call two events **presence independent** if their presence probabilities are independent of one another.
**Lemma 1.** Consider the term $W(p_1 : w_1, \ldots, p_n : w_n)$, $n > 1$, of the pattern $q$, with events $E(p_1 : f(w_1)), \ldots, p_n : f(w_n))$. If the root of $q$ is the DB root, then all components $p_1 : f(w_1), \ldots, p_n : f(w_n)$ are presence independent.
**Proof.** We show the property for two arbitrary components of the term itself. The proof is similar for other numbers of components and other events. For every $1 \leq i, j \leq n$ we have:
$$P(p_i : w_i | p_j : w_j) = \frac{P(p_i : w_i \cup p_j : w_j)}{P(p_j : w_j)}$$
$$= \frac{|w_i||w_j|/|p_i||p_j|}{|w_j|/|p_j|}$$
$$= \frac{|w_i|}{|p_i|}$$
$$= P(p_i : w_i).$$
We can view the components of a term’s events as a random variable that assumes value 0 when $f(w_i) = w_i$ and 1 when $f(w_i) = \bar{w}_i$. Since all the events of these random variables are independent, they are independent, too. Therefore, we have:
**Corollary 1.** The NTPC of patterns rooted at the root of the database is zero.
Hence, when computing NTPCs we ignore all patterns rooted at the root of the database tree.
The number of pattern instances containing a term is the **frequency** of the term. From the properties of total correlation, it follows that infrequent terms have relatively low NTPC. The frequency of term $W(p_1 : w_1, \ldots, p_n : w_n)$ is less than the frequencies of its components $w_1, \ldots, w_n$. As explained later in this section, we compute the NTPC of a pattern using the information from its root-path patterns. Before computing the NTPC of a root-path pattern, we remove all terms in root-path patterns $p$ whose frequencies are less than $\epsilon|p|$, where $0 < \epsilon < 1$. Similarly, for terms of very high frequency, we use an upper frequency cutoff threshold $1 - \epsilon$, and remove components with relative frequency above that limit. The appropriate value of $\epsilon$ depends on the number of root-path instances in the DB. In our experiments we used $\epsilon = 0.01$, with two exceptions. First, a root-path pattern will have members with very low frequency if the entity represented by the root-path pattern is a key or semi-key and each value of the pattern has only one or two terms, such as for ISBN numbers in a bibliographical database. We do not remove any term from such patterns, as that would not leave any term in the pattern. Some entities have terms that are very frequent, such as *payment-methods* with values *cash, check, credit card*. We do not remove any terms from such patterns, either.
### 4.2 NTPC Computation Algorithms
The ComputeNTPC algorithm in Fig. 5 gives an overview of how to compute NTPC and collective entropy. First, ComputeNTPC reads the XML data set in a depth first manner, finds the root-path patterns, and creates a **compressed index** (CI) for each root-path pattern. Each entry in a CI contains a root-path instance and the terms in its value. We define a 32 bit key for each term, and store the key instead of the term in the index. We do not need the terms to compute the collective entropies and NTPCs. Each root-path instance is represented in the CIs by the Dewey code [22] of its leaf node. Every Dewey code is stored in a bitmap to save space. These optimizations reduce the space requirements and enable ComputeNTPC to keep the CIs in main memory. For instance, for the roughly 1 GB IMDB data set, the average CI size was 4MB. As we use only one instance of CI for each root-path pattern throughout ComputeNTPC, this ensures modest space overhead and drastically reduces run time. The root-path instances in each CI entry are sorted according to their depth-first traversal order in the DB.
The next step in computing NTPCs is to find all patterns in the DB. We primarily use techniques from previous work [23] to generate these patterns efficiently, and discuss only the differences here. After creating CIs, ComputeNTPC computes the collective entropy for each root-path pattern
Input: XML data file $data$
Input: Maximum size $MCAS$ of patterns to compute NTPC for
Output: Minimum term frequency $\varepsilon$
Output: Table $CT$ of NTPC for $data$
/* Find the root-paths and build their CIs */
1 $nvdx = \text{Create\_CI}(data)$;
/* Compute the collective entropies */
2 forall $p \in nvdx$ do
3 $e = \text{Entrop}(p)$;
4 /* Prune frequent and infrequent terms */
5 prune($p,e$);
/* Initialize the set of prefix classes */
6 $pfxSet \leftarrow \emptyset$;
/* Add all root-path patterns as one prefix class */
7 $pfxSet.\text{add}(nvdx)$;
8 for $k = 2$ to $MCAS$ do
9 $nextPfxSet \leftarrow \emptyset$;
10 last = $\{\}$;
11 forall $pf \in pfxSet$ do
12 forall $p \in pf$ do
13 /* Compute all prefix classes with prefix $p$ */
14 $nextPfx \leftarrow \emptyset$;
15 forall $q \in pf$ do
16 $Jnl \leftarrow \text{join\_Pattern}(p,q)$;
17 forall $r \in Jnl$ do
18 if $\text{subTrees}(r) \not\subseteq pfxSet$ then
19 continue;
20 /* Find the root-paths and join levels for the new pattern */
21 $rp \leftarrow \text{rootPaths}(r)$;
22 $jl \leftarrow \text{joinLevels}(r)$;
23 /* Join the CIs */
24 $jTable \leftarrow \text{join\_Cls}(rp,jl)$;
25 if $jTable.\text{freq} = 0$ then
26 continue;
27 /* Compute the NTPC */
28 $CT[r] \leftarrow \text{NTPC}(jTable)$;
29 if $k \neq MCAS$ then
30 $nextPfxSet.\text{add}(nextPfx)$;
31 $pfxSet \leftarrow nextPfxSet$
32 return $CT$;
Figure 5: ComputeNTPC: algorithm to compute NTPCs
Input: List $rp$ of root-path patterns to join
Input: List $jl$ of join levels
Output: Join table $jTable$
/* root-paths to CI mapping */
1 $path2Ind = \text{pathIndexMap}(rp)$;
/* Distinct CIs */
2 $index = \text{indexMap}(path2Ind)$;
/* Group levels for each root-path */
3 $gLvs = \text{group\_Levels}(rp,jl)$
4 for $i = 0$ to $index.\text{size} - 1$ do
5 $nextInd.\text{add}(i)$;
6 repeat
/* Read the terms from the CI entries */
7 for $i = 0$ to $index.\text{size} - 1$ do
8 if $i \notin nextInd$ then
9 continue;
10 $buf[i].\text{clear}$();
11 $buf[i].\text{add}(nextBuf[i])$;
12 nextBuf[i] = NULL;
13 repeat
14 $ent = index[i].\text{next}$();
15 /* No more entries */
16 if $ent = NULL$ then
17 break;
/* If entries of the same index can be grouped */
18 if $grp(buf[i][0],ent,gLvs[i])$ then
19 $bu[i].\text{add}(ent)$;
else
20 $nextBuf[i] = ent$;
21 break;
22 until false;
/* Join groups of nodes */
23 for $i = 0$ to $buf[i].\text{size} - 1$ do
24 $resBuf[i][0] \leftarrow buf[i][i]$;
25 for $i = 1$ to $rp.\text{size} - 1$ do
26 forall $rent \in resBuf[i]$ do
27 forall $ent \in buf[path2Ind[i]]$ do
28 if $bql(ent,rent)$ and $pin(ent,rent.last,jl[i-1])$ then
29 $tmp.\text{add}(rent.ent)$;
30 $resBuf[i] \leftarrow tmp$;
31 $tmp.\text{clear}$();
/* Update the join table */
32 $jTable.\text{add}(resBuf)$;
/* Find the next indexes to read */
33 $nextInd \leftarrow \text{nextGrp}$();
34 until $nextInd.\text{empty}$() ;
35 return $jTable$;
Figure 6: JoinCls: Algorithm to join compressed inverted indexes
Output: The entries of the next groups
1 for $i = 0$ to $\text{nextInd.size-1}$ do
2 if $\text{nextBuf} = \text{NULL}$ then
3 $\text{nextInd.clear}()$;
4 return;
5 $\text{nextInd.clear}()$;
6 if $\text{resBuf.size} > 0$ then
/* move over all CIs */
7 for $i = 0$ to $\text{index.size-1}$ do
8 $\text{nextInd}[i] = i$;
9 else
/* Find the groups with the smallest LCAs */
10 node $\leftarrow \text{MAX-CODE}$;
11 for $i = 0$ to $\text{index.size-1}$ do
12 if $\text{grpLCA(buf[i][0].gLvs[i]) < node}$ then
13 $\text{nextInd.clear}()$;
14 $\text{nextInd.add}(i)$;
15 $\text{node} = \text{buf[i][0]}$;
16 else if $\text{grpLCA(buf[i][0])} = \text{node}$ then
17 $\text{nextInd.add}(i)$;
Figure 7: NextGrp: algorithm to find the next group to join
Input: Nodes $n$ and $m$ to group
Input: Join level $l$
Output: true if $n$ and $m$ can be grouped
1 if $n = \text{NULL}$ or $n.\text{ancestor}(l) = m.\text{ancestor}(l)$ then
2 return true;
3 return false;
Figure 8: Grp: algorithm for the grouping test
Input: Nodes $n$ and $m$ to join
Input: Join level $l$
Output: true if $n$ and $m$ can be joined
1 if $n.\text{ancestor}(l) = m.\text{ancestor}(l)$ and $n.\text{ancestor}(l + 1)$
!= $m.\text{ancestor}(l + 1)$ then
2 return true;
3 return false;
Figure 9: Jin: test whether nodes can be joined at a particular level
levels. Each entry in a CI represents an instance of a root-path $p_i$ containing a root-path term $w_i$. Thus, joining the entries of root-paths $p_1, \ldots, p_n$ of pattern $q$ produces terms such as $W(p_1 : w_1, \ldots, p_n : w_n)$ of the pattern $q$.
Fig. 6 shows the join algorithm, JoinCls. Many patterns have duplicates of the same root-path. For instance, the pattern $b\text{ib paper author name -1 -1 author name -1 -1 -1}$ has the root-path $b\text{ib paper author name -1 -1 -1}$ two times. These root-paths share the same CI and our goal is to use only one CI for each root-path. Thus, the join algorithm finds the mapping from root-paths to unique CIs in line 1.
The loop from line 6-34 moves down the entries of the CIs and joins them if possible. For example, assume JoinCls wants to join the instances of root-path $p_1$ with root-path $p_2$ at level $l$. An instance of $p_1$ can join with an instance of $p_2$ if they have a common ancestor at level $l$ or above. For instance, we can join the root-path $b\text{ib paper author name -1 -1 -1}$ with the root-path $b\text{ib proceedings title -1 -1}$ at level 0 to create instances of the pattern $b\text{ib paper author name -1 -1 proceedings title -1 -1}$ in Fig. 2. The path instances $I_4 10 20 -1 -1 -1$ and $I_4 11 22 -1 -1$ whose LCA (node 4) is at level 1, can both join with the instance $I_4 1 -1 -1$. We call all instances of a root-path that have an LCA at level $l$ or lower a group.
The Grp function shown in Fig. 8 checks whether two instances are in the same group. Since each root-path in a pattern is adjacent to two other root-paths (except the first and the last root-paths in the traversal of the pattern, which are only adjacent to one), the root-path has two candidate group levels. As the groups of this root-path must join to the groups of all its adjacent root-paths, the pseudocode chooses the lowest level of the two as the grouping level. Consider a pattern $q$ that consists of root-paths $p_1$, $p_2$, and $p_3$ with join levels $l_1$ and $l_2$, where $l_1 < l_2$. To perform the join, we must group all instances of $p_1$ at $l_1$ to form group $g_1$, and group its instances at level $l_2$ to form group $g_2$. However, according to the definition of a group, $g_2$ is a subset of $g_1$. Thus, we need only the group at level $g_1$. We use this technique to make the join operation faster. If a root-path occurs more than once in the same pattern, we create only one group for its instances. The group levels are computed at line 3 of JoinCls. Every instance of a root-path belongs to only one group in each join operation. Thus, JoinCls reads each member of a CI entry only once, and finds its group at lines 13-22.
JoinCls then joins the groups in lines 25-31. The Jin method in Fig. 9 checks if two root-path instances can join at a given level. When two root-paths are the same, JoinCls performs a self-join between the members of a group. Line 28 checks whether a root-path instance is different from the other root-path instances in a joint pattern instance. After joining the groups of the root-paths, JoinCls inserts the keys of the joint terms in the join table at line 32. The join table is a hash table that maps the terms $W$ of the produced pattern to the number of times $|W|$ they appear in the pattern. Line 33 finds the CIs whose groups are the next ones to read. The NextGrp algorithm in Fig. 7 shows how to find these CIs. Every root-path instance belongs to only one group. Also, the entries in each CI are sorted. Thus, if the join operation was successful (lines 6-8), NextGrp must advance the cursor over all CIs. Otherwise, it must advance the cursor over the groups whose LCAs have the smallest Dewey codes among the existing groups (lines 14-17). For the reasons mentioned earlier, these groups cannot join with any other group. Lines 1-4 of NextGrp check whether we have finished with any CIs. The time complexity of joining CIs is linear in the number of groups in each CI. If the join operation produces at least one pattern instance, line 22 of ComputeNTPCs computes the NTPCs using the join table.
5. USING NTPC AT QUERY TIME
We keep the collective entropy and NTPC for each pattern in a hash table in main memory during query processing. Our query processing system, SA3, finds each candi| | $\epsilon = 0$ | $\epsilon = 0.001$ | $\epsilon = 0.01$ | $\epsilon = 0.02$ | $\epsilon = 0.03$ |
|-------|----------------|-------------------|------------------|-----------------|------------------|
| DBLP | 20.3 | 17.9 | 13.7 | 12.1 | |
| IMDB | 43.5 | 40.8 | 34.9 | 33.0 | 31.8 |
| XMark | 56.5 | 48.5 | 41.7 | 35.0 | 31.6 |
Table 1: NTPC computation time in hours, for different choices of $\epsilon$
| | NTPC | CR | XSearch | XReal | PN | XRank |
|-------|------|------|---------|-------|-------|-------|
| IMDB | 0.701| 0.510| 0.612 | 0.587 | 0.478 | 0.431 |
| DBLP | 0.834| 0.834| 0.794 | 0.790 | 0.621 | 0.591 |
Table 3: Mean average precision (MAP) for DBLP and IMDB queries
We evaluated ComputeNTPC and SA3 on a Linux machine with 2GB memory and a 2.13 GHz Intel Xeon CPU. We used two real-world and one synthetic data set: DBLP (529.9 MB, max depth 5), IMDB (994.8 MB, max depth 7), and XMark (1172.3 MB, max depth 11) [20]. We use XMark only to evaluate scalability; we do not use it here as there is no way to evaluate ranking quality for queries over a non-existent database. IMDB includes long text fields such as plot, quote, crazy-credit (interesting facts about movies’ credits), tagline, goofs (mistakes in the movies), trivia, and others; these fields have not been included in any previous study of the effectiveness of XML keyword query processing strategies (including [23]), and serve to illustrate the effectiveness of NTPC in the presence of long text fields. DBLP does not have long text fields; we use DBLP to show that NTPC also works well when the DB does not have very long fields, and to demonstrate ComputeNTPC’s scalability.
We set $MCAS$ to 5 for DBLP and IMDB, which is a generous setting for both domains.
### 6.1 NTPC Computation Efficiency
Table 1 shows the time to load data, build supporting indexes, and compute NTPC, for different values of $\epsilon$. IMDB is close to twice as large as DBLP and is more nested, so it has more patterns and more CI indexes than DBLP, and IMDB’s CIs are larger on average than DBLP’s. IMDB also has longer text fields than DBLP, so its join tables are larger. Thus, with $\epsilon = 0$, ComputeNTPC takes a bit more than twice as long for IMDB as for DBLP. The average length of XMark fields is less than for IMDB, but XMark is about 20% larger and is more nested, so ComputeNTPC takes about 25% longer for XMark than for IMDB, with $\epsilon = 0$.
The NTPC for a pattern is a characteristic of the underlying domain. Once NTPCs are computed for a representative instance, they do not need to be recomputed until a structural update introduces new schema element types. Thus NTPC calculations will be rare for a populated DB, and the .5-2.5 day running times shown in Table 1 are reasonable for a rare task.
Larger values for $\epsilon$ reduce the preprocessing time considerably. Run times drop off sharply at first as $\epsilon$ increases, then begin to level off, for a total drop of roughly $1/3$ before $\epsilon$ grows too large. DBLP has more relatively infrequent terms than IMDB does. Thus, pruning infrequent terms reduces DBLP processing time the most. XMark content is randomly selected from a specific text collection, so XMark has relatively few infrequent terms and relatively many very frequent terms, compared to DBLP and IMDB. Thus, removing the terms with relative frequency greater than $1 - \epsilon$
| | NTPC | CR | XReal | SLCA | MaxMatch | CVLCA | XSearch | XRank |
|-------|-------|-------|-------|--------|----------|-------|---------|-------|
| Precision | 0.611 | 0.599 | 0.566 | 0.566 | 0.545 | 0.048 | 0.046 | 0.050 |
| Recall | 0.985 | 0.965 | 0.918 | 0.798 | 0.798 | 0.975 | 0.976 | 0.975 |
Table 2: Average precision and recall for IMDB queries
helps to reduce the processing time for XMark. If $\epsilon$ grows too large, highly correlated terms can be pruned, which will change NTPCs enough to change the ranking of query answers. For DBLP, this happens for $\epsilon > .02$. Since IMDB has longer fields than DBLP, this happens at $\epsilon > .03$ for IMDB.
The final table of NTPCs was under 2MB for both DBs. Thus NTPCs can reside in main memory at query time.
### 6.2 Ranking Effectiveness
We used the IMDB and DBLP query workload from [24] to evaluate NTPC ranking quality. The queries came from 15 users who did not participate in the research. Each user submitted up to 5 queries to IMDB and DBLP, resulting in 40 queries for IMDB and 25 for DBLP. The exact workload can be found in [24]; we cannot list it here due to space limits. Users were given query results through a GUI interface where they can score each result as being relevant or irrelevant. We used the NTPCs computed for $MCAS = 5$ and $\epsilon = 0.02$ for DBLP, and $\epsilon = 0.03$ for IMDB. No candidate answer had more than 4 leaf nodes, which shows that $MCAS = 5$ was reasonable.
We first compared precision, recall, and F-measure [17] of NTPC against several methods: SLCA [27], MaxMatch [15], XReal [7], CVLCA [13], XSearch [5], XReal [1], and CR [23]. Recall gives the fraction of the relevant candidate answers that are included in the actual answer returned to the user. Precision gives the fraction of the returned answers that are relevant. The F-measure shows the tradeoff between precision and recall; it is computed as:
$$F = \frac{(\beta^2 + 1)PR}{\beta^2P + R}.$$
Setting $\beta = 1$ weights precision and recall equally. Values of $\beta > 1$ emphasize precision, while $\beta < 1$ emphasizes recall.
For DBLP, NTPC produced the exact same ranking for every query as did CR. In turn, CR has previously been shown to equal or outperform each of the six other methods on the same workload and DB instance, in terms of precision, mean average precision (for approaches that rank their answers), recall, and F-measure [23, 24]. This shows that NTPC maintains CR’s good performance when the data set contains short text fields. DBLP text fields are relatively short, and none of the 25 queries in the DBLP workload demonstrated NTPC’s potential advantage over CR when fields have similar text, such as “EDBT 2009” and “EDBT 2010”. Since the performance of CR and the other six approaches for the DBLP instance and workload has been analyzed in previous work, we focus on IMDB in the remainder of this section.
Table 2 summarizes the recall and precision of all 8 methods on all 40 IMDB queries by averaging over all queries in the workload. NTPC had higher recall on IMDB queries than other methods including CR. The recall of the other approaches is lower, due to imperfect pruning heuristics. For example, SLCA and MaxMatch showed even lower recall on IMDB than they did for DBLP and for the data-oriented version of IMDB used in [24], which had its long text fields removed. Many relatively unimportant short and long text fields such as *crazy-credit* and *quote* are in the lower levels of the XML tree. Some important fields like *title* appear high in the tree. SLCA and MaxMatch remove answers whose roots are ancestors of other candidate answers. Thus, they omit many relevant answers. For instance, they do not return the obvious answers to *Crime The Godfather* and *High School Musical*; instead they return the plots of some crime movies, and only the plot for the “High School Musical” movie.
XReal also delivers lower recall for IMDB, compared to DBLP and the data-oriented version of IMDB. Since many TV shows, stored in *show elements*, do not have long text fields, their values are shorter. Thus they have fewer occurrences of query keywords, compared to *movie* elements. Therefore XReal filters out TV shows. However, our users wanted to see TV shows as well as movies, for example in the queries *Pearl Harbor* and *Christian Bale*. Even with long fields not in favor, XReal filters out *all show* elements for *Christian Bale*, as he appears mostly in movies. The relative precision and recall of XRank, CVLCA, and XSearch were the same, as they do not filter based on the content or the level of the root of the candidate answers.
Keyword search approaches that do not rank their answers are frustrating to use; for example, *High School Musical* returns over 100 answers under the baseline approach. We used mean average precision (MAP) to compare the ranking quality of all current XML keyword search approaches that do rank their answers: XRank, XSearch, XReal, CR, and NTPC. MAP shows how many of the relevant answers appear near the beginning of the returned list [17]. To compute MAP, we first consider each query $Q$ separately. We compute the precision of all returned answers for $Q$, up to and including the $i$th relevant answer, for each value of $i$. The average of these precisions is called the average precision for $Q$. The MAP is the mean of the average precisions for all queries in the workload.
To compare NTPC with the content-based ranking of XSearch, XReal, and CR, we combined NTPC with pivoted normalization (PN) [17], an IR-style content ranking formula that we customized for XML. We control the relative weight of NTPC and PN as follows:
$$r(t) = \alpha NTPC(t) + (1 - \alpha)ir(t),$$
where $ir(t)$ is the content score of the candidate answer, computed based on the classical PN formula. $\alpha$ is a constant that controls the relative weight of structural and contextual information in ranking. If $\alpha$ is set to 1, the formula uses only structural information. If $\alpha = 0$, we have pure PN. Based on our empirical evaluation, we set the value of $\alpha$ to 0.8 when combining it with NTPC.
Table 3 shows the MAPs of the methods. XRank shows a relatively low MAP, as the movie domain and IMDB are not appropriate for PageRank-like heuristics. PN delivers a low MAP as well. Generally, PN ranks smaller fields and fields with more query keyword occurrences higher. There
are many fields of average length but different importance in IMDB, such as title, crazy-credit, and tagline, which have many words in common. For instance, for the query Artificial Intelligence, PN ranked some science fiction movies that have the terms Artificial Intelligence in their tagline and plot first, but the desired answer was the movie “Artificial Intelligence”. XReal has the same problem, as it uses IR techniques. XReal assumes that fields with more occurrences of a query keyword are more important. For instance, the keywords of query Edward Norton appear more often in field actor than field production. Thus, XReal ranks results where Edward Norton acted higher than the ones he produced. Unfortunately, this heuristic works poorly for long fields, as they contain many words found elsewhere in the DB, and the unimportant (for the query) long fields may contain more of the query keywords than important fields do. For example, for query Beautiful Mind, XReal concludes that tagline is more important than title, because tagline has more occurrences of the word beautiful than title does, and ranks the desired answer with title “Beautiful Mind” low. XReal also ranks subtrees higher if they have many occurrences of the query keywords. Each movie has many long text fields in IMDB. Therefore, movies with similar subjects tend to have almost the same number of query keyword occurrences in their subtrees. For instance, all sequels to “The Mummy” have the same number of occurrences of Mummy and Return. However, the best answer to the query Return of the Mummy is the one with these words in its title, and XReal does not recognize this. This situation is common in data sets with long text fields.
XSearch uses an IR-style formula to rank its results. Thus, it has the same ranking problems as PN. Moreover, it ranks the smaller subtrees higher. Thus, for the query Crime The Godfather, it ranks a movie whose keywords include crime and Godfather first, instead of the movie “The Godfather”, which was the desired answer. XSearch has better MAP than PN and XRank, almost as good as that of XReal. CR performs only slightly better than PN, because CR does not work well for long text fields, as expected. NTPC correctly recognizes the important fields and patterns, and delivers better MAP than all other methods. For instance, for Artificial Intelligence and Return of the Mummy, NTPC ranks the desired movies first.
Fig 10 shows the F-measure of the 8 methods on IMDB; higher F-measures are better. NTPC’s handling of long fields allows it to surpass CR, which in turn is significantly better than the other methods.
The MAP of NTPC is high but not perfect; NTPC does not return the perfect ranking for every query. The first reason is that some important fields have low collective entropy, such as Genera in IMDB. NTPC does not realize how important they are. The second reason is that our users preferred the more popular/famous actors and movies. IMDB and DBLP do not provide popularity information, although some related fields are present, such as award in IMDB. Resolving these issues is left as future work.
7. CONCLUSIONS
This paper has addressed a new challenge for XML keyword search: how to provide high-quality, well-ranked query answers when the data is highly structured but also contains long text fields such as paper abstracts or movie plot lines. Previous approaches to XML keyword search do not rank query answers well for such databases. We have proposed a approach to measure the correlation between both short and long text fields in such data sets, based on the new concept of normalized term presence correlation (NTPC). After a one-time computation of NTPCs, candidate answers for all subsequent queries are quickly ranked, based on the NTPC of their structure.
We performed a user study to evaluate the effectiveness of a NTPC-based keyword query system for data-oriented XML with and without long text fields. The study showed that the NTPC-based approach works as well as the best system available, is available for data sets without long fields, and performs better than any previous system for data sets that include long fields. Since the naive method to compute NTPCs is very slow, we introduced optimization techniques and provided a faster algorithm to compute the correlation for schema elements. Our experiments on real and synthetic data sets of size .5-1.1 GB showed that NTPCs can be computed for data sets of this size in .5-2.5 days, which is reasonable for a one-time computation.
8. ACKNOWLEDGMENTS
We thank ChengXiang Zhai for helpful discussions and feedbacks. This work is supported by NSF grant number 0938071.
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|
Detection of molecular gas in an ALMA [C II]-identified submillimetre galaxy at $z = 4.44$
M. T. Huynh,$^{1}$\textsuperscript{*} A. E. Kimball,$^2$ R. P. Norris,$^2$ Ian Smail,$^3$ K. E. Chow,$^2$ K. E. K. Coppin,$^4$ B. H. C. Emonts,$^2,5$ R. J. Ivison,$^6,7$ V. Smolčić$^8,8,9$ and A. M. Swinbank$^3$
$^1$ International Centre for Radio Astronomy Research, M468, University of Western Australia, Crawley, WA 6009, Australia
$^2$ CSIRO Astronomy and Space Science, PO Box 76, Epping, NSW 1710, Australia
$^3$ Institute for Computational Cosmology, Department of Physics, Durham University, Durham DH1 3LE, UK
$^4$ Centre for Astrophysics, University of Hertfordshire, College Lane, Hatfield, Hertfordshire AL10 9AB, UK
$^5$ Centro de Astrobiología (INTA-CSIC), Ctra de Torrejón a Ajalvir, km 4, E-28850 Torrejón de Ardoz, Madrid, Spain
$^6$ European Southern Observatory, Karl Schwarzschild Strasse 2, D-85748 Garching, Germany
$^7$ Institute for Astronomy, University of Edinburgh, Royal Observatory, Blackford Hill, Edinburgh EH9 3HJ, UK
$^8$ Argelander Institut für Astronomie, Auf dem Hugel 71, D-53121 Bonn, Germany
$^9$ Physics Department, University of Zagreb, Bijenička cesta 32, 10002 Zagreb, Croatia
Accepted 2014 May 27. Received 2014 May 21; in original form 2014 April 22
**ABSTRACT**
We present the detection of $^{12}$CO(2–1) in the $z = 4.44$ submillimetre galaxy ALESS65.1 using the Australia Telescope Compact Array. A previous Atacama Large Millimeter/submillimeter Array study of submillimetre galaxies (SMGs) in the Extended *Chandra* Deep Field South determined the redshift of this optically and near-infrared undetected source through the measurement of [C II] 157.74 $\mu$m emission. Using the luminosity of the $^{12}$CO(2–1) emission, we estimate the gas mass to be $M_{\text{gas}} \sim 1.7 \times 10^{10} \, M_\odot$. The gas depletion time-scale of ALESS65.1 is $\sim 25$ Myr, similar to other high-redshift SMGs and consistent with $z > 4$ SMGs being the progenitors of massive ‘red-and-dead’ galaxies at $z > 2$. The ratio of the [C II], $^{12}$CO and far-infrared luminosities implies a strong far-ultraviolet field of $G_0 \sim 10^{2.25}$, which is at the high end of the far-ultraviolet fields seen in local starbursts, but weaker than the far-ultraviolet fields of most nearby ultraluminous infrared galaxies (ULIRGs). The high ratio of $L_{[\text{C II}]} / L_{\text{FIR}} = 1.0 \times 10^{-3}$ observed in ALESS65.1, combined with $L_{[\text{C II}]} / L_{\text{CO}} \sim 2300$, is consistent with ALESS65.1 having more extended regions of intense star formation than local ULIRGs.
**Key words:** galaxies: evolution – galaxies: formation – radio lines: galaxies.
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**1 INTRODUCTION**
Submillimetre galaxies (SMGs) are a population of ultraluminous infrared galaxies (ULIRGs) with extreme star formation rates (SFRs) of 100–1000 $M_\odot$ yr$^{-1}$ (e.g. Blain et al. 2002) with typical redshifts of $z \sim 2.5$ (e.g. Chapman et al. 2005; Wardlow et al. 2011; Smolčić et al. 2012; Yun et al. 2012; Simpson et al. 2014). About 20 per cent of SMGs lie at $z > 4$ (Wardlow et al. 2011; Smolčić et al. 2012; Simpson et al. 2014), and a few dozen of these have now been studied in detail (Capak et al. 2008, 2011; Coppin et al. 2009; Daddi et al. 2009a,b; Carilli et al. 2010, 2011; Knudsen et al. 2010; Riechers et al. 2010; Cox et al. 2011; Smolčić et al. 2011; Combes et al. 2012; Walter et al. 2012; Vieira et al. 2013; Weiß et al. 2013). These sources are interesting as they represent the earliest examples of extreme starburst events in massive galaxies, and knowledge of their star formation activity and gas content is crucial for understanding the growth of massive ellipticals.
Radio emission produced by the rotational transition of carbon monoxide ($^{12}$CO) is one of the most accessible tracers of cold molecular gas in galaxies (Carilli & Walter 2013). Detections of $^{12}$CO in $z > 4$ SMGs have shown that they are gas-rich systems with sufficient reservoirs ($M_{\text{gas}} \sim 10^{10} \, M_\odot$) to sustain the extreme SFRs of $\sim 1000 \, M_\odot$ yr$^{-1}$ for only short time-scales (tens of Myr; Coppin et al. 2010; Riechers et al. 2010; Huynh et al. 2013), unless the gas is replenished. High-redshift SMGs are therefore seen as the likely progenitors of the luminous red galaxies seen at $z > 2$ (Cimatti et al. 2008).
A powerful emission line for studying the interstellar medium (ISM) of high-redshift sources is the $^3\Pi_{0,2} - ^3\Pi_{1,2}$ fine-structure line of singly ionized carbon at 157.74 $\mu$m (hereafter [C II]), which can represent up to 1 per cent of the bolometric luminosity of star-forming galaxies (e.g. Crawford et al. 1985; Stacey et al. 1991). This line emission arises predominately from the edges of...
molecular clouds illuminated by the UV photons of young massive stars (i.e. photodissociation regions), but a non-negligible contribution can also come from H\textsc{ii} regions and the more diffuse warm ISM (Madden et al. 1993; Heiles 1994). The [C\textsc{ii}] line therefore provides an important probe of the physical conditions in the ISM of a galaxy. This carbon line has now been studied in several high-redshift SMGs (De Breuck et al. 2011; Wagg et al. 2012; Walter et al. 2012; De Breuck et al. 2014; Rawle et al. 2014).
An Atacama Large Millimeter/submillimeter Array (ALMA) Cycle 0 study of 126 submillimetre-sources located in the LABOCA Extended \textit{Chandra} Deep Field South (LESS, Weiß et al. 2009; Hodge et al. 2013; Karim et al. 2013) resulted in the serendipitous identification of [C\textsc{ii}] line emission from two SMGs (Swinbank et al. 2012, hereafter S12). The high [C\textsc{ii}]/far-infrared (FIR) luminosity ratio of these two SMGs, roughly 10 times higher than that observed in local ULIRGs, was interpreted as evidence that their gas reservoirs are more extended (S12). High [C\textsc{ii}]/FIR ratios (Ivison et al. 2010b; Stacey et al. 2010; S12) add to the mounting evidence that star formation in SMGs takes place in a region larger than the compact nuclear starbursts of local ULIRGs, which includes extended radio morphologies (e.g. Chapman et al. 2004; Biggs & Ivison 2008), extended H\textsc{ii} or morphologies (e.g. Swinbank et al. 2006), and large $^{12}$CO(1–0) sizes (e.g. Ivison et al. 2010a; Hodge et al. 2012).
In Huynh et al. (2013), we presented Australia Telescope Compact Array (ATCA) observations, totalling about 20 h on-source, of one of the ALMA detected SMGs, ALESS J033252.26-273526.3 (hereafter ALESS65.1). No $^{12}$CO(2–1) emission was detected but we were able to place constraints on the gas mass and physical conditions of the gas using the ALMA [C\textsc{ii}] detection. Further observations were obtained with the ATCA in 2013 and, combined with the previous data, we now have detection of $^{12}$CO(2–1). This Letter presents the ATCA observations, data analysis, and a discussion of the physical parameters derived from the molecular gas detection. We adopt the standard $\Lambda$ cold dark matter cosmological parameters of $\Omega_{\text{M}} = 0.27$, $\Omega_{\Lambda} = 0.73$, and a Hubble constant of 71 km s$^{-1}$ Mpc$^{-1}$ throughout this Letter.
## 2 OBSERVATIONS AND RESULTS
The $^{12}$CO(2–1) line ($v_{\text{rest}} = 230.538$ GHz) in ALESS65.1 (RA = 03$^{\text{h}}$32$^{\text{m}}$52$^{\text{s}}$.26, Dec. = $-$27$^{\circ}$35$^{\prime}$26$\Prime$.3, J2000; S12) was observed over a period of four nights in 2012 August and three nights in 2013 July with the ATCA, using the Compact Array Broadband Backend (CABB). During both runs, the array was in the most compact five-antenna configuration, H75, which has a maximum baseline of 89 m and two antennas set along a northern spur. This hybrid configuration allows good $(u,v)$ coverage to be obtained for integrations less than the full 12h synthesis. The 7 mm receiver was centered on 42.343 GHz, the expected frequency of the $^{12}$CO(2–1) line emission given the [C\textsc{ii}] redshift of $z = 4.4445$ (S12). The 2 GHz bandwidth of CABB results in a frequency coverage of approximately 41.3–43.5 GHz, covering $^{12}$CO(2–1) emission between $z = 4.32–4.58$. The weather was average to good, with rms atmospheric path length variations of 100–400 $\mu$m throughout the runs, as measured on the 230 m baseline ATCA Seeing Monitor (Middelberg, Sault, & Kesteven 2006). Following Emonts et al. (2011), a bandpass calibration scan was acquired at the beginning and end of each 8 h night. Phase and amplitude calibration information was acquired with 2 min scans on PKS 0346–279 every 10 min and pointing checks performed on the same source every hour. For flux calibration, we observed Uranus at the beginning of the nights, at an elevation of $\sim$55 deg. The uncertainty in the flux-density calibration using the standard \textsc{miriad} model of Uranus is estimated to be 30 per cent (Emonts et al. 2011).
The data were calibrated, mapped and analysed using the standard \textsc{miriad} (Sault & Killeen 1999) and \textsc{karma} (Gooch 1996) packages. The synthesized beam from natural weighting is 14.0 $\times$ 9.0 arcsec$^2$. A total of about 40 h on-source integration time was obtained over the 7 $\times$ 8 h nights. ALESS65.1 was not detected in the 42.3 GHz continuum map from the full CABB band, which achieves an rms noise level of 7.4 $\mu$Jy beam$^{-1}$.
The resultant channel noise in the 1 MHz (7.1 km s$^{-1}$) wide spectrum is $\sim$0.29 mJy beam$^{-1}$, consistent with other comparable 7 mm ATCA/CABB surveys (e.g. Coppin et al. 2010; Emonts et al. 2014) and the ATCA online sensitivity calculator. The visibilities were re-sampled to velocity resolutions of 200, 400 and 600 km s$^{-1}$ and each cube was examined for an emission line near the ALMA position. The spectra at the source position in the 200, 400 and 600 km s$^{-1}$ binned cubes (Fig. 1) have an rms of 0.057, 0.042 and 0.031 mJy beam$^{-1}$, respectively. We identify a line at the ALMA position and redshift in all three cubes. The line is detected at more than the 3$\sigma$ level across multiple channels in the 200 and 400 km s$^{-1}$ cubes.
Figure 2. $L_{[C\text{II}]} / L_{\text{FIR}}$ versus $L_{\text{CO}(2-1)} / L_{\text{FIR}}$ for ALESS65.1 (red point with upper limit on $L_{\text{CO}(2-1)} / L_{\text{FIR}}$) compared with Galactic star-forming regions, starburst nuclei, normal galaxies, local ULIRGs, and high-redshift ($z > 1$) sources. Empty symbols indicate low-metallicity sources, which lie at high $L_{[C\text{II}]} / L_{\text{CO}(1-0)}$. Black lines represent the solar metallicity PDR model calculations for gas density ($n$) and FUV field strength ($G_0$) from Kaufman et al. (1999). This figure is adapted from Stacey et al. (2010) with additional data from Walter et al. (2012), Wagg et al. (2012, 2014), De Breuck et al. (2014) and Rawle et al. (2014). ALESS65.1 has a higher $L_{[C\text{II}]} / L_{\text{FIR}}$ ratio than that found in most local ULIRGs, consistent with other $z > 4$ SMGs, but its $L_{[C\text{II}]} / L_{\text{CO}}$ ratio is similar to local starbursts and other $z > 1$ sources. The red arrow indicates geometric corrections to the CO emission and non-PDR corrections to the [C ii] emission, but this would apply to all galaxies in the figure and so does not affect the relative position of ALESS65.1 on the diagram compared to the other galaxies.
and at the 5.1σ level in the 600 km s$^{-1}$ cube (see Fig. 2). From a Gaussian fit to the line, we find an integrated line flux density of $112 \pm 35$ mJy km s$^{-1}$, an FWHM of $620 \pm 120$ km s$^{-1}$, and a small offset from the [C ii] of $140 \pm 70$ km s$^{-1}$.
3 DISCUSSION
The observed and derived properties of ALESS65.1 are summarised in Table 1. The total cold gas (H$_2$ + He) mass in ALESS65.1 can be estimated from the CO(2–1) line luminosity. Following Solomon & Vanden Bout (2005), the line luminosity is $L_{\text{CO}(2-1)} = 2.16 \pm 0.67 \times 10^{10}$ K km s$^{-1}$ pc$^2$. If we assume the gas is thermalized (i.e. intrinsic brightness temperature and line luminosities are independent of $T$ transition), so $L_{\text{CO}(2-1)} = L_{\text{CO}(1-0)}$, and a CO-to-H$_2$ conversion factor $\alpha = 0.8$ M$_\odot$ (K km s$^{-1}$ pc$^2$)$^{-1}$, the total cold gas mass is estimated to be $M_{\text{gas}} = 1.7 \pm 0.5 \times 10^{10}$ M$_\odot$. This is consistent with the gas mass found in other $z > 4$ SMGs (Schinnerer et al. 2008; Daddi et al. 2009a; Coppin et al. 2010; Walter et al. 2012). We caution that this gas mass is dependent on the poorly known CO-to-H$_2$ conversion factor $\alpha$. Discs like the Milky Way have relatively high values of $\alpha \sim 3$–5, while a smaller value, $\alpha = 0.8$, is appropriate for local ULIRGs (e.g. Downes & Solomon 1998) and is the value commonly adopted for high-redshift SMGs (but Bothwell et al. 2013 assume $\alpha = 1$).
The gas and stellar mass estimates for ALESS65.1 can be combined to derive a total baryonic mass of the galaxy. The stellar mass of the galaxy was estimated from the rest-frame absolute $H$-band magnitude to be $M_* \sim 9 \times 10^9$ M$_\odot$ (S12), so the gas fraction is modest with $M_{\text{gas}} / M_* \sim 0.2$. The total baryonic mass $M_{\text{bary}} = M_{\text{gas}} + M_*$ is $\sim 10.7 \times 10^{10}$ M$_\odot$. This is consistent with the dynamical mass for ALESS65.1, based on the spatial extent of the marginally resolved [C ii] line, of $M_{\text{dyn}} \sin(i) \sim (3.4 \pm 1.8) \times 10^{10}$ M$_\odot$ (S12). The baryonic and dynamical mass estimates suggest an inclination angle of about 30 deg for ALESS65.1, albeit with considerable uncertainty.
ALESS65.1 is detected at 870 μm in continuum by ALMA and marginally detected by Herschel (S12). Its rest-frame IR (8–1000 μm) luminosity was estimated in S12 to be $(2.0 \pm 0.4) \times 10^{12}$ L$_\odot$. A more careful deblending analysis has determined that the source is not detected in Herschel photometry (Swinbank et al. 2014). We estimate a revised IR luminosity for ALESS65.1 by fitting the IR spectral energy distribution (SED) using the method of Swinbank et al. (2014) but with a fixed redshift of $z = 4.44$, resulting in LIR (8–1000 μm) = $(3.9^{+1.3}_{-1.1}) \times 10^{12}$ L$_\odot$ and LIR (42–122 μm) = $(3.1^{+1.1}_{-0.9}) \times 10^{12}$ L$_\odot$. This is greater than the IR luminosity estimate of S12 due to the much better modelling of the detection limits of the Herschel SPIRE maps. This IR luminosity corresponds to an SFR of $\sim (670 \pm 310)$ M$_\odot$ yr$^{-1}$ using the conversion of Kennicutt (1998). The gas depletion time-scale, $\tau = M_{\text{gas}} / \text{SFR} = 25 \pm 15$ Myr, is similar to the gas depletion rates of other high-redshift SMGs (Schinnerer et al. 2008; Coppin et al. 2010). Assuming there is no further gas infall and there is 100 per cent efficiency in converting the gas to stars, the star formation is effectively shut off at $z \sim 4.4$ and this galaxy would appear red and dead by $z \sim 3$ (750 Myr after gas depletion). This short gas depletion time-scale therefore provides further evidence that $z > 4$ SMGs have the gas consumption time-scales necessary to be the progenitors of the most distant red-and-dead ‘ellipticals’, those found at $z \gtrsim 3$ (Marchesini et al. 2010; Muzzin et al. 2013).
We next examine the physical conditions of the gas in ALESS65.1 using the [C ii] and $^{13}$CO(2–1) detections. The $L_{[C\text{II}]} / L_{\text{FIR}}$ versus $L_{\text{CO}(1-0)} / L_{\text{FIR}}$ diagram is a powerful diagnostic as these two ratios are sensitive to gas density $n$ and the incident far-ultraviolet (FUV) flux $G_0$ (Stacey et al. 1991). Fig. 2 shows ALESS65.1 compared with other low- and high-redshift galaxies, and solar metallicity photo-dissociation region (PDR) model curves (Kaufman et al. 1999). This diagram can be used to roughly estimate both $n$ and $G_0$ for a galaxy, but with the following assumptions: (i) the [C ii] emission comes mainly from PDRs, with little contribution from the diffuse ionized medium or cosmic-ray-heated gas, and (ii) AGN and their related X-Ray Dissociation Regions do not contribute significantly to the FIR and [C ii] luminosity. To be consistent with both De Breuck et al. (2011) and Stacey et al. (2010), in Fig. 2 we assume $L_{\text{CO}(2-1)} / L_{\text{CO}(1-0)} = 7.2$, which is 90 per cent of its value if the gas was fully thermalized and optically thick. We note that this is consistent with Bothwell et al. (2013) who find $L_{\text{CO}(2-1)} / L_{\text{CO}(1-0)} = 6.72 \pm 1.04$ for $z \sim 2$ SMGs. Cosmic ray rates are greater in starbursts compared to normal galaxies but this does not seem to result in higher [C ii]/CO
Table 1. Observed and derived properties of ALESS65.1.
| Parameter | Value | Reference |
|-----------|-------|-----------|
| $z_{[\text{C}\text{II}]}$ | 4.4445 ± 0.0005 | S12 |
| $I_{[\text{C}\text{II}]}$ | 5.4 ± 0.7 Jy km s$^{-1}$ | S12 |
| FWHM$_{[\text{C}\text{II}]}$ | 470 ± 35 km s$^{-1}$ | S12 |
| $L_{[\text{C}\text{II}]}$ | $(3.2 \pm 0.4) \times 10^{12}$ L$_\odot$ | S12 |
| $L_{\text{FIR}}$ | $(3.1^{+1.3}_{-1.1}) \times 10^{12}$ L$_\odot$ | This Letter |
| $L_{\text{CO}(2-1)}$ | 0.112 ± 0.035 Jy km s$^{-1}$ | This Letter |
| FWHM$_{\text{CO}(2-1)}$ | 620 ± 120 km s$^{-1}$ | This Letter |
| $M_{\text{gas}}$ | $(1.7 \pm 0.5) \times 10^{10}$ M$_\odot$ | This Letter |
| $L_{\text{CO}(2-1)}$ | $(8.45 \pm 2.64) \times 10^9$ L$_\odot$ | This Letter |
| $L_{\text{CO}(2-1)}$ | $(2.16 \pm 0.67) \times 10^{10}$ K km s$^{-1}$ pc$^2$ | This Letter |
ratios, so cosmic ray ionization does not appear to dominate the [C\text{ii}]/CO ratio in local galaxies (De Breuck et al. 2011). In Huynh et al. (2013), we found that ALESS65.1 is not detected in the 250 ks Chandra X-Ray observations of this region (Lehmer et al. 2005), so it is not an unobscured luminous QSO ($L_{\gamma-44 \text{ keV}} \lesssim 2.3 \times 10^{44}$ erg s$^{-1}$, for $N_H = 0–10^{23.5}$ cm$^{-2}$; see also Wang et al. 2013). Furthermore, a decomposition of the mid-infrared and FIR SED implied that the AGN contribution to the total FIR luminosity is $\lesssim 10$ per cent (Huynh et al. 2013). ALESS65.1 therefore appears to be dominated by star formation processes and the AGN contribution to [C\text{ii}] and $L_{\text{FIR}}$ is likely to be minimal.
In examining the PDR physical conditions, we multiply the $^{12}$CO(2–1) flux by a factor of 2 to account for detecting CO emission only from the illuminated PDR side (Kaufman et al. 1999; Hailey-Dunsheath et al. 2010), and also multiply the [C\text{ii}] flux by a factor of 0.7 to remove non-PDR contributions (e.g. Hailey-Dunsheath et al. 2010; Stacey et al. 2010). The $^{12}$CO geometry correction applies to all galaxies in Fig. 2, and so does not affect the relative position of ALESS65.1 on the diagram compared to other galaxies. Using the Kaufman et al. (1999) models, we find ALESS65.1 has $G_0 \sim 10^{-2.25}$ (where $G_0$ is in units of the Habing field, $1.6 \times 10^{-3}$ ergs cm$^{-2}$ s$^{-1}$) and $n \sim 10^{6.6}$ cm$^{-3}$ (Fig. 2). Such an FUV radiation field is higher than the FUV fields seen in low-redshift normal galaxies, but it is consistent with the strong FUV fields seen in some local starbursts and $z > 1$ galaxies. The $z > 4$ SMGs shown in Fig. 2 have inferred FUV fields at the low-end of nearby ULIRGs, the local analogues of SMGs. The estimates of $G_0$ and $n$ implies a PDR temperature $\sim 300$ K (Kaufman et al. 1999) for ALESS65.1. Using equation 1 from Hailey-Dunsheath et al. (2010), we estimate the atomic gas associated with the PDR to be approximately $3 \times 10^7$ M$_{\odot}$, which is $\sim 20$ per cent of the total cold gas mass. This is similar to the fraction found in a similar SMG, LESS J033229.4, at $z \sim 4.76$ (De Breuck et al. 2014), redshift 1–2 star-forming galaxies (Stacey et al. 2010) and local IR bright galaxies (Stacey et al. 1991).
Local starbursts and Galactic OB star-forming regions lie on a line with [C\text{ii}]/CO luminosity ratios of about 4100 in Fig. 2. Higher [C\text{ii}]/CO ratios can be found in low-metallicity systems, such as 30 Doradus in the LMC, where the size of the [C\text{ii}] emitting envelope of the cloud (relative to the CO emitting core) is much larger than in more metal-rich systems (Stacey et al. 1991). Metallicity is expected to affect the [C\text{ii}]/CO ratios of the highest redshift galaxies because the ISMs of the youngest galaxies are expected to be less enriched by supernova. However, such enrichment appears to occur very quickly. For example, LESS J033229.4 at $z = 4.76$ has a [C\text{ii}]/CO ratio of $\sim 5000$ (De Breuck et al. 2014), suggesting near solar metallicity (see also Nagao et al. 2012). ALESS65.1 has $L_{[C\text{ii}]}/L_{\text{CO}} \sim 2700$, which also indicates that the gas is not of low metallicity.
The FUV radiation fields, $G_0$, of ALESS65.1 and four other $z > 4$ SMGs shown in Fig. 2, LESS J033229.4 (De Breuck et al. 2014), HDF850.1 (Walter et al. 2012), BRI 1202-0725 (Wagg et al. 2012, 2014) and HLS0918 (Rawle et al. 2014), are similar to that of local starbursts, but these distant galaxies have a much higher FIR luminosity, leading to suggestions that they are scaled-up versions of local starbursts. For a given $L_{\text{FIR}}$, the size of the emission region will increase for smaller $G_0$. Following Stacey et al. (2010), we scale up from M82 using two laws from Tielens, Hollenbach & Hollenbach (1990) to constrain the size: $G_0 \propto \lambda L_{\text{FIR}} / D^2$ if the mean free path of a UV photon $\lambda$ is small and $G_0 \propto L_{\text{FIR}} / D^2$ if the mean free path of a UV photon is large. Applying these relations and using $G_0 = 10^{-2.25}$ for ALESS65.1 yields a diameter of 1.2–2.4 kpc. This is consistent with the marginally resolved [C\text{ii}] data which shows ALESS65.1 has a possible extent of $3.3 \pm 1.7$ kpc (S12). We use the $G_0 \propto \lambda L_{\text{FIR}} / D^2$ relation and M82 scaling parameters to estimate sizes of the star-forming regions of galaxies plotted in Fig. 2. Fig. 3 shows that the starburst in all $z > 4$ SMGs appears to be extended over galactic scales, and galaxies at $z > 1$ appear to lie above the locus delineated by local normal galaxies, local starbursts and nearby ULIRGs (Fig. 3), with moderate redshift ($1 < z < 2.3$) SMGs lying more above the local ‘trend’ than the $z > 4$ SMGs. This further suggests that starburst regions in distant galaxies are larger than in local galaxies of similar luminosity. There are caveats in interpreting Fig. 3 however; the $G_0$ estimate has significant uncertainties because of the large uncertainties in the line luminosity ratios used in Fig. 2; the scaling constant maybe different to that of M82 for the different galaxy samples; and the sample sizes at $z > 1$ and $z > 4$ are small and have no galaxies with $L_{\text{FIR}} < 10^{12}$ L$_{\odot}$.
In this work, we have assumed a single-phase ISM. But ALESS65.1 may have a multiphase ISM. The spatially resolved $^{12}$CO, $^{13}$CO and C$^{18}$O study of the gravitationally-magnified SMG SMM 1235+0102 found that it has an ISM best described by a warm compact component surrounded by a cooler more extended one (Danielson et al. 2011, 2013; Swinbank et al. 2011). A multi-component ISM analysis is not currently possible due to the limitations of existing $^{12}$CO data, but future higher resolution line studies with ALMA may find a similar multicomponent ISM for ALESS65.1.
### 4 CONCLUSION
We have observed ALESS65.1 for 40 h to search for $^{12}$CO(2–1) emission in this $z = 4.44$ SMG. The line is detected at an $\sim 5\sigma$ level with an integrated line flux density of $112 \pm 35$ mJy km s$^{-1}$ and an FWHM of $620 \pm 120$ km s$^{-1}$. We find a $^{12}$CO(2–1) line luminosity of $L_{\text{CO}(2-1)} = 8.5 \times 10^9$ L$_{\odot}$ and a cold gas mass of $M_{\text{gas}} \sim 1.7 \times 10^{10}$ M$_{\odot}$. This implies a gas depletion time-scale in ALESS65.1 of 25 Myr, comparable to other $z > 4$ SMGs and consistent with this high-redshift population being the progenitors of $z \sim 3$ red-and-dead galaxies.
We examined the physical conditions of the gas in ALESS65.1 using the $L_{[C\text{ii}]} / L_{\text{FIR}}$ versus $L_{\text{CO}(1-0)} / L_{\text{FIR}}$ diagram. We find
ALESS65.1 has a strong FUV field $G_0 \sim 10^{1.25}$ comparable to some local starbursts, but lower than that seen in most nearby ULIRGs, the local population with IR luminosities similar to ALESS65.1. The observed [C\text{ii}] to FIR ratio, $L_{[C\text{ii}]} / L_{\text{FIR}} = 1.0 \times 10^{-3}$, is high compared to local ULIRGs (as noted by S12). Combined with $L_{[C\text{ii}]} / L_{\text{CO}} \sim 2700$, this high [C\text{ii}] to FIR ratio is consistent with ALESS65.1 having more extended regions of intense star formation than local ULIRGs. The [C\text{ii}]/CO ratio provides no evidence for low-metallicity gas in ALESS65.1.
A larger study of [C\text{ii}] and $^{12}$CO in distant starbursts is needed to confirmed whether the majority of $z > 4$ starbursts have enhanced [C\text{ii}] emission compared to their local analogues, and whether this is because of metallicity effects, the relative size of PDR regions, or other effects. Future ALMA surveys will shed further light on the physical conditions of the gas in star-forming galaxies in the early Universe.
ACKNOWLEDGEMENTS
IRS acknowledges support from the STFC (ST/I001573/1), the ERC Advanced Investigator Programme DUSTYGAL 321334 and a Royal Society Wolfson Merit Award. VS acknowledges the Group of Eight (Go8) fellowship and funding from the European Union’s Seventh Frame-work program under grant agreement 337595 (ERC Starting Grant, ‘CosMass’). BE acknowledges funding through MINECO grant AYA2010-21161-C02-01. The Australia Telescope is funded by the Commonwealth of Australia for operation as a National Facility managed by CSIRO.
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This paper has been typeset from a TeX/LaTeX file prepared by the author.
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Sanitation Policy Background Paper
Water is Life, Sanitation is Dignity
This Background Paper was prepared by the Sanitation Reference Group: Peregrine Swann, Andrew Cotton, Darren Saywell, Barbara Evans, Sandy Cairncross, Peter Newborne, Laura Webster, Peter Ryan.
This paper will help inform DFID’s policy update on water resources, water supply and sanitation. The views expressed in this paper do not necessarily reflect DFID’s policy position on different aspects of their water and sanitation work.
## Contents
**OVERVIEW: Headline Facts**
- Preamble
- Why this paper on sanitation?
- Definition of sanitation
**CONTEXT**
- Sanitation, hygiene and poverty (MDG 1)
- Sanitation, hygiene and education (MDG 2)
- Sanitation, hygiene and gender (MDG 3)
- Sanitation, hygiene and child health (MDG 4)
- Sanitation, hygiene and maternal health (MDG 5)
- Sanitation, hygiene and HIV/AIDS, malaria and other diseases (MDG 6)
- Sanitation, hygiene and environmental sustainability (MDG7)
- Sanitation, hygiene and global partnership for development (MDG8)
**MAKING THE CASE FOR SANITATION AND HYGIENE**
- Truth 1 – Only wanted latrines get used
- Truth 2 – Demand for better sanitation exists but needs to be converted into demand
- Truth 3 – Those who ‘sell’ sanitation are often best at marketing it
- Truth 4 – Some subsidies are smarter than others
- Truth 5 – Sanitation is different from water
- Truth 6 – Sanitation needs institutional leadership at national level
- Truth 7 – Sanitation and Hygiene need the right people doing the right jobs
- Truth 8 – Sanitation has special requirements in urban areas
- Truth 9 – Sanitation needs support in all regions of the world
- End point – sustaining change
**KEY ISSUES AND PRINCIPLES**
- Step 1 - be opportunistic: identify and work with key opportunities
- Step 2 – be realistic: base interventions on a thorough situational analysis
- Step 3 – be effective: respect the three legged stool
- Step 4 – get the right people in place: build or support professional cadres
- Step 5 – spend time getting it right: build a programme that will work beyond 2015
**PRIORITIES FOR MAKING PROGRESS: PROGRAMMING PRINCIPLES**
- Options for engagement
- Sanitation and aid instruments
- Harmonisation and alignment
- Working with multi-lateral development partners
- Cutting across sectors: health, education and governance
- Sector wide support
- Knowledge and research as an entry point
- The humanitarian dimension
**PART 4: PRIORITIES FOR DFID: GETTING STARTED**
- Target audiences
- Motivation/rationale for document and reference group
- Genesis of thinking
- Policy trends of relevance to DFID in relation to sanitation
OVERVIEW
DFID intends to prepare a Water Policy update during 2007; this paper contributes to that process by mapping out what DFID can do in sanitation and hygiene over the coming 5 years and how it can be done. The primary internal audiences for the paper are country programme managers, and advisers from sectors other than water and sanitation.
Headline Facts
- Sanitation and hygiene are fundamental to all the MDGs and deliver broad development outcomes. Evidence shows that sanitation and hygiene support and increase the impact of health, education and other development programmes and have a positive impact on the lives of poor women and children.
- Inaction on sanitation and hygiene is not a viable development option: failure to invest in improvement of sanitation and hygiene undermines efforts to promote economic growth and poverty reduction.
- Overcoming political indifference to sanitation is a challenge in many countries but the degree of political risk associated with prioritising sanitation and hygiene is less than many policy-makers think.
- Positive and compelling lessons about what works and what doesn’t have been learned from experience, though there are remarkably few documented examples of success at the scale required:
- Every latrine should be a wanted latrine: supply-driven programmes focused on usually-subsidised delivery of hardware alone do not work: at best they provided thousands of expensive, unwanted (and unused) latrines
- Peoples’ awareness of sanitation can be very low – programmes which focus on promoting sanitation and building informed demand are more effective than those which focus only on the supply of latrines.
- Households are the real investors in sanitation, not public agencies. The investment ratio is typically 10:1. Programmes which pay attention to household interests and dynamics tend to be more effective
- People rarely want sanitation for reasons of health: promotion which focuses on privacy, convenience, safety, dignity and status is more effective because it resonates with people’s own interests
- Small scale business and some community-based groups are very significant actors in the supply of sanitation goods and services; promoting and providing the services people really want. Programmes which invest in understanding this market and matching supply with people’s demands are often the most effective.
- Sometimes communities can and do take collective action to address sanitation issues; usually however support is needed to help communities to take collective action.
- Hardware subsidies – for latrine components - can have unintended consequences: the number one desired outcome – sustainability – is achieved through effective promotion, not through reduced price hardware. A wanted latrine is clean and well-maintained – a latrine for life.
- Subsidies for hygiene promotion, sanitation marketing, supporting small scale providers, school sanitation, institutional sanitation and city-wide networks can all be justified since sanitation is both a merit and a public good.
- Effecting behaviour changes (including adopting hygienic practices and investing in and using latrines) takes time; programmes which are in place for the long term are more effective than short-term projects.
- There are differences between rural and urban areas: in urban areas the existence of downstream networks (sewers or systems for sludge management) is usually essential to enable communities to access working sanitation services.
- While sanitation commonly falls within the remit of water institutions, the systematic linking of water and sanitation in policy-making is often unhelpful to the cause of sanitation: sanitation frequently loses out to water in policy and budgetary priorities; and coordination between sanitation and hygiene promotion activities is often poor; viewing sanitation and hygiene interventions through the lens of development outcomes, instead of sectoral inputs, may help to achieve coordinated policies, with creation and linking budget lines across several responsible agencies.
- Key line ministries such as health may be able to provide the long term field presence to support promotion, behaviour change and other “software” activities. Experience shows that small businesses are often best at delivering the necessary latrine hardware.
- Notwithstanding the benefits of focusing on the local market to supply sanitation goods and services the public sector still has an important role to play in terms of:
- getting the policy environment right, including regulation (for price, quality, environmental impacts, protection of water resources etc)
providing subsidies for some aspects of sanitation programmes – situational analysis, hygiene promotion, sanitation marketing, monitoring and evaluation, provision of hardware in public places and institutions, school sanitation etc.
The following are **priorities for making progress**:
- opportunism: identify and exploit key opportunities, including working with ‘what is there’;
- for that, a thorough situational analysis is needed before interventions;
- supporting the *complementary* roles of private, public - and community - action: helping to convert common *desire* for better sanitation and hygiene into perceptible *demand* of households and communities; building local demand, supporting appropriate local supply, with, e.g. business development; designing an appropriate ‘enabling environment’: i.e. public policies and programmes which will, in each given local /sub-national context, allow both demand and supply to grow sustainably; learning from examples of community-led sanitation;
- getting the right people in place: build or support professional cadres;
- time: for a programme to work beyond 2015, it is important not to expect a quick fix. Sanitation is complex and political: it is achievable but only with a long term commitment that can match the long timescale needed to support change to private behaviours in the household
Practical action on sanitation and hygiene is almost always possible, offering an unusually wide range of opportunities for programme managers and advisers to develop aid interventions within Country Assistance Plans. Sanitation and hygiene can be supported through:
- The available range of programme-based aid instruments; and
- Different service delivery sectors, for example: health; education; governance improvement; water; general infrastructure.
CONTEXT
Preamble
Without concerted effort, the international community is likely to miss not only the Millennium Development Goals relating to water and sanitation, but all of the eight goals established in 2000. Despite this, it is well documented that water and sanitation are fundamental to broader national development – vastly reducing global disease burdens; allowing more children (especially girls) to gain access to education; reducing the time women spend on collecting water and triggering other forms of economic growth and livelihood development. Almost one in two people in the developing world lack access to sanitation. Despite this, sanitation tends to be overlooked globally and this imbalance requires urgent redress.
Why this paper on sanitation?
Since the publication of DFID’s Target Strategy Paper for water *Addressing the Water Crisis* in 2001 there have been a number of events and advances, both political and in terms of development policy, that affect the way that aid for water and sanitation is delivered by DFID. Key amongst these developments are:
- Confirmation of the MDG target for sanitation agreed at the World Summit for Sustainable Development in Johannesburg in 2002;
- Success of AfricaSan (Africa Conference on Sanitation) in 2002 and SacoSan (South Asian Conference on Sanitation) in 2003 – international conferences that have helped to put sanitation on the political agenda of developing countries
- CSD 12 and 13 focused on water, sanitation and human settlements: UK led on sanitation for the EU at CSD 13\(^1\). Meetings in 2008 and 2012 are to follow up on CSD 13 commitments;
- Strong and consistent drive from the World Water Day speech on 22 March 2005 by the Secretary of State for International Development for DFID and others, including the World Bank, to be more engaged and allocate more aid for water and sanitation;
- DFID’s third White Paper *Making governance work for poor people* established that DFID considers water and sanitation as one of four Essential Public Services along with health, education and social protection and that 50% of DFID’s bilateral budget would be allocated to support these services,
- DFID’s *Call for a Global Action Plan* that established the *five ones /one* annual global monitoring report; *one* high level global Ministerial Meeting on water; at country level, *one* national plan for water and sanitation; *one* coordinating body; and activities of the UN agencies in water and sanitation to be coordinated by *one* lead UN body under the UNDP country plan.
Further details are shown in Annex 1. In view of DFID’s commitment to sanitation and hygiene as well as water, the time is right for a fundamental review of the issues and processes that will underpin DFID’s development aid for sanitation into the future. This paper makes the case for doing more on sanitation, outlines a number of “truths” that have been learned from experience, looks at priorities for making progress and provides examples of how sanitation can be programmed through a range of aid delivery mechanisms. It makes no attempt to provide detailed guidance on programming and implementation\(^2\); a list of key resources is provided in footnote form throughout. This paper is complementary to the three other papers commissioned by DFID as part of its sector policy review; the paper on sector financing is particularly relevant and readers should refer to this for matters of detail\(^3\).
---
\(^1\) EU Sanitation Paper for CSD 13
\(^2\) For example see WSSCC and WHO (2005) *Sanitation and Hygiene Promotion: Programming Guidance*
\(^3\) DFID (2007) Background Paper on Financing of Water Supply and Sanitation
Defining sanitation
The first challenge for those seeking to solve the problem of access to sanitation is to define what is meant by “sanitation”. Box 1 sets out the components, all or some of which are variously included in the term ‘sanitation’.
Box 1: Aspects of ‘Sanitation’ and ‘Hygiene’
- Safe collection, storage, treatment and disposal/re-use/ recycling of human excreta (faeces and urine);
- Hygienic behaviours (including handwashing, household storage of water)
- Management/ re-use/ recycling of solid wastes (trash or rubbish);
- Drainage and disposal/ re-use/ recycling of household wastewater (often referred to as sullage or grey water);
- Drainage of storm water;
- Treatment and disposal/ re-use/ recycling of sewage effluents;
- Collection and management of industrial waste products; and
- Management of hazardous wastes (including hospital wastes, and chemical/ radioactive and other dangerous substances).
Since different contexts (e.g. urban/rural) involve different means of delivering sanitation and hygiene services, the scope of sanitation and hygiene activities can be very broad. The sanitation and hygiene ‘sector’ may extend from investment in large and costly items of infrastructure, such as trunk sewers, via simple ‘on-site’ latrines for individual households, to provision of ‘soft’ items, e.g. support to women’s groups seeking to improve hygiene behaviours in their community. It is further recognized that a good sanitation system minimizes negative impacts on the environment\(^4\).
The focus of DFID’s interest is on the sanitation and hygiene issues which are of most common concern to poor households - namely the four italicised bullets in Box 1. Central to this paper are the twin themes of creating sustainable behaviour changes within households along with better access to sanitation facilities.
Not all the issues listed in Box 1 have to be addressed at once; in developing countries, more progress can be made by dealing with the most important sanitation challenges first, focusing on a few solvable problems, and deferring other tasks to a later date. This paper makes the case that addressing the lack of these sanitation and hygiene services in poor areas of developing countries, as well as being an urgent priority, is achievable. The pessimism of some policy-makers and development practitioners is no doubt due, in part, to failed attempts to do too much. In many cases, the perceived enormity of the problem has resulted in paralysis.
\(^4\) IWA (2006) Sanitation 21: Simple Approaches to Complex Sanitation. International Water Association, London, UK
MAKING THE CASE FOR SANITATION AND HYGIENE
Whilst the profile and importance of sanitation has been acknowledged and referenced internationally in recent years, the need for advocacy at all levels remains – ‘making the case’ is still a ‘must’. This section therefore provides a summary of credible and authoritative arguments for embedding and promoting sanitation and hygiene in development. The interconnections of sanitation and hygiene with health, education, livelihoods and other domains make them a cornerstone of development. Sanitation and hygiene policies - appropriately directed - will support and increase the effectiveness of all other development-led investments.
Inaction on sanitation is not a viable option. Failure to invest in improving hygiene conditions undermines efforts to promote economic growth and poverty reduction. Conversely, investment in sanitation and hygiene yields very favourable economic returns and social benefits. Equally importantly, sanitation provides the simple right to dignity and safety through adequate facilities for personal hygiene and a clean and healthy living environment for every individual, but particularly for adolescent girls, children and women.
Action on sanitation and hygiene is both politically feasible and politically constructive. Progress does not have to be costly; the political risk associated with investment in sanitation and hygiene is often over-estimated. And politicians wishing to strengthen their constituencies may see they are missing a trick.
The following commentary explains why – looking first at the economic and social dimensions of sanitation and hygiene, and then examining the political case. In each case, the comments are linked to the Millennium Development Goals – as noted above sanitation underpins achievement of all of them.
Sanitation and hygiene are central to what poverty is, and why it occurs (Sanitation, hygiene and poverty (MDG1))
- Nearly half the human race lacks access to sanitation facilities; it’s certainly not the richer half. Inadequate sanitation is one of the hallmarks of poverty, diarrhoea is its symptom;
- The social stigma of poverty has long been built upon our perceptions of hygiene and sanitation; the poor can never rise out of poverty as long as they are considered as “the great unwashed”;
- The ill-health associated with inadequate hygiene and sanitation is more life-threatening to poor people; diarrhoea is four times more likely to be fatal in undernourished children, and worms stunt the physical and intellectual growth of poor children, whose richer neighbours can afford de-worming;
- Appropriate provision of hygiene and sanitation services, such as soap production and latrine-building, is an income generating opportunity for the poor; if the waste is recycled in agriculture, it can further boost rural incomes.
In 2004\(^5\), the World Health Organisation undertook an analysis of the economic benefits of sanitation, considering them under the following headings:
| Beneficiary | Direct economic benefits of avoiding diarrhoeal disease | Indirect economic benefits related to health improvement |
|-----------------------------|------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|
| Health Sector | Less expenditure on treatment of diarrhoeal disease | Value of less health workers falling sick with diarrhoea |
| Patients | Less expenditure on treatment of diarrhoeal disease and less related costs | Value of avoided days lost at work or at school |
| | • Less expenditure on transport in seeking treatment | • Value of avoided time lost of parent/caretaker of sick children |
| | • Less time lost due to treatment seeking | • Value of loss of death avoided |
| Agricultural and industrial sectors | Less expenditure on treatment of employees with diarrhoeal disease | Less impact on productivity of ill health of workers |
\(^5\) See *Evaluation of the Costs and benefits of water and sanitation improvements at the global level*. by Guy Hutton and Laurence Haller of Water, Sanitation and Health, Protection of the Human Environment, World Health Organization, Geneva, 2004, [http://www.who.int/water_sanitation_health/wsh0404summary/en/](http://www.who.int/water_sanitation_health/wsh0404summary/en/), accessed 13th April 2007
In the report, WHO reported the following global figures\(^6\):
- 5.6 billion productive days would be gained through intervention, including 443 million school days, 2.4 billion healthy infant days, 1.25 billion productive adult days;
- $229 billion would be gained through time saved;
- $5.8 billion would be gained through the value of deaths avoided;
- A combined economic value of $262 billion would be obtained.
Not surprising therefore that it shows that achieving the Millennium Development target for both water supply and sanitation would bring economic benefits: US$1 invested would give an economic return of between US$3 and US$14.\(^7\) Achieving this target would require an estimated investment of around US$23billion per year.
**Access to learning depends on availability of sanitation and hygiene services**
*(Sanitation, hygiene and education (MDG 2))*
- Intestinal worms, spread by poor sanitation, interfere with children’s cognitive development;
- Illnesses due to poor hygiene and sanitation, such as diarrhoea and worms prevent children from attending school;
- Children also miss school when caring for, or standing in for sick parents;
- Girls are deterred from attending school as there is no private place to relieve themselves, or to clean themselves when menstruating;
- Children queuing for inadequate communal toilets at school or near home miss out on classwork or homework;
- Teachers avoid being posted to communities which lack sanitation;
- Schools are the ideal institutions to spread habits of hygiene and use of sanitation; a school without sanitation misses this opportunity for a generation.
The result of inadequate sanitation and hygiene then, is that children are prevented from attending school or do not achieve their full educational potential.
---
**Figure 1: Effects of poor sanitation of school absenteeism and performance**
- The impact of worm (helminth) reduction programmes in schools is remarkable. A study in Jamaica found that children treated against a helminth infection perform much better in school than children who do not receive treatment\(^8\); (Figure 1).
- In another study, the improvement was found to be greatest among children with the poorest nutritional status\(^9\).
- In the middle 1990s, UNICEF found that school sanitation in Bangladesh boosted girls’ attendance by 11%\(^10\); *this is likely to be as significant an impact as major educational reform*.
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\(^6\) The figures shown are for the central case (Intervention 3)
\(^7\) Based on Hutton and Haller’s central case “Intervention 3” yielding a benefit to cost ratio of nearly seven to one, depending on the region and assumptions made.
\(^8\) Nokes C, Bundy DAP (1993). Compliance and absenteeism in school children implications for helminth control. *Trans R Soc Trop Med Hyg* 87(2):148-52.
\(^9\) Simeon DT, *et al.* (1995) Treatment of Trichuris trichiura infections improves growth, spelling scores and school attendance in some children. *J Nutr*. 1995 Jul;125(7):1875-83.
\(^10\) Unicef (1999) Sanitation and Hygiene: a right for every child. New York: Unicef
Improving access to sanitation and hygiene is an effective means of empowering women and girls
Sanitation, hygiene and gender (MDG 3)
- Sanitation frees women from imprisonment by daylight; in many cultures, the only time when women or girls can defecate, if they have no latrine, is after dark. Apart from the discomfort caused by the long wait until evening, this can cause serious illness;
- It also offers protection from harassment and rape; the walk to the defecation field, often in the dark, is when millions of women run the greatest risk of sexual harassment and assault or animal attack;
- The role of adequate, separate sanitary facilities in schools in enabling girls to attend school, particularly when menstruating, has been mentioned above.
Better sanitation and hygiene is important for child health and survival
Sanitation, hygiene and child health (MDG 4)
- Sanitation and hygiene reduce the occurrence of diarrhoea and other diseases. Diarrhoea causes nearly 2 million deaths per year, mostly among young children. WHO estimates that more than 90% of these deaths can be prevented by environmental interventions;
- Figure 2 below shows how diarrhoeal diseases are placed amongst the leading infectious causes of death, globally;
- It has emerged recently that hygiene, particularly handwashing with soap, could prevent as much as half of the acute respiratory infections (also in Figure 2) which are the leading infectious killer of children worldwide by interrupting the route of infection from contaminated hands\(^{11}\).
- Oral rehydration therapy (ORT) has more than halved the global toll of deaths due to acute watery diarrhoea in the last 20 years. The remaining deaths are increasingly due to persistent and bloody diarrhoeas, which are not amenable to ORT. For these, the best response is prevention – by hygiene and sanitation.
---
\(^{11}\) Luby SP, Agboatwalla M, Feikin DR, *et al.*. (2005) Effect of handwashing on child health: a randomised controlled trial. *Lancet*. 366(9481):225-33.
Indeed, an authoritative World Bank analysis\textsuperscript{12} found that hygiene promotion was the most cost-effective of all interventions to control high-burden diseases in the developing world. Sanitation promotion was not far behind it.
As if these contributions to child survival were not enough, hygiene and sanitation also help to control many non-fatal diseases which afflict young children, such as intestinal parasites, blinding trachoma and impetigo.
Last but not least, hygiene and sanitation have important impacts on the quality of life enjoyed by children, not least of which is to be part of a household which has greater productivity, offering a way out of poverty.
**Improved hygiene practices and more accessible sanitation are a major factor in maternal health and survival**
*Sanitation, hygiene and maternal health (MDG 5)*
- Since Semmelweiss showed the importance of handwashing in the prevention of puerperal fever\textsuperscript{13} a century and a half ago, hygiene has been central to midwifery.
- Hygiene during delivery is also the cornerstone of neonatal tetanus prevention in a number of countries, particularly China.
- The need to walk long distances to a convenient defecation site, or to wait until nightfall (see MDG 3 above) is particularly onerous in the later months of pregnancy and leads to urinary infections. Sanitation makes it possible for mothers-to-be to relieve themselves when convenient, and close to home where help is at hand.
**Sanitation and hygiene is an important complement to HIV/AIDS interventions**
*Sanitation, hygiene and HIV/AIDS, malaria and other diseases (MDG 6)*
- Babies born to HIV positive mothers have a 10-20% chance of contracting the virus through breast milk. However, if they are not breastfed they are six times more likely than breastfed babies to die from diarrhoea or respiratory infections, mostly because of poor hygiene;
- Hygiene and sanitation protects babies, and also those who are already infected with HIV from opportunistic diseases. Diarrhoea (such as *Cryptosporidium*) and skin disease are among the most common of these;
- Appropriate sanitation facilities make home-based care of HIV/AIDS patients, and the task of ensuring their dignity, much easier.
- Defective sanitation facilities in many slums, such as flooded pit latrines and blocked drains, are the main source of the *Culex* nuisance mosquitoes which bite the poor hundreds of times each night, which in some cities transmit filariasis, and the control of which costs poor households more than they can afford. In Dar es Salaam, Tanzania, an average household spends of the order of 50% of its rent - or 10% of its income - on domestic mosquito control\textsuperscript{14}.
**Improvements in sanitation and hygiene are essential elements of environmental sustainability**
*Sanitation, hygiene and environmental sustainability (MDG7)*
- The seventh Millennium Development Goal includes two targets – to halve the proportion of the population lacking access to safe water supply and basic sanitation, respectively – which are explicitly related to hygiene and sanitation; without hygiene, the full benefits of water supply cannot be realised; it is axiomatic that “doing more sanitation” delivers against this target.
- A further target under this Goal is to improve the lives of at least 100 million slum dwellers. A slum is defined largely in terms of its environment, so the improvements envisaged are essentially environmental – such as drainage, excreta disposal and solid waste management, which contribute to hygiene and sanitation in the broad sense;
- Slum dwellers are especially vulnerable to the ill effects of a lack of hygiene and sanitation; high population density facilitates the spread of faecal contamination and disease.
**Sanitation and hygiene interventions contribute to the global partnership for development**
*Sanitation, hygiene and global partnership for development (MDG8)*
- Public and private: sanitation promotion needs a partnership between the private (often informal) sector, which mainly builds the facilities, and the public sector, including local government, which has the responsibility to create the enabling environment, through regulation, advocacy, hygiene promotion and support to sanitation marketing.
\textsuperscript{12} Laxminarayan R, Chow J, and Shahid–Salles SA. (2006) "Intervention Cost–Effectiveness: Overview of Main Messages." *Disease Control Priorities in Developing Countries (2nd Edition), ed.*, 35-86. New York: Oxford University Press. DOI: 10.1596/978-0-821-36179-5/Chp2-2. http://www.dcp2.org/pubs/DCP
\textsuperscript{13} Semmelweiss I. (1861) Die Aetiologie, der Begriff und die Prophylaxis des Kindbettfiebers. Pest, Wien und Leizig: CA Hartlebens Verlags-Expedition. Murphy FP trans. The aetiology, the concept and the prophylaxis of childbed fever. Birmingham, Ala: Classics of Medicine Library, 1981.
\textsuperscript{14} Stephens C (1995) The urban environment, poverty and health in developing countries. *Health Policy and Planning*, 10 (2): 109-121.
• Donors and governments: external support agencies are also needed in this partnership, though they should avoid pressing for subsidies for hardware (e.g. latrine slabs and other latrine parts), which are in most cases counter-productive\(^{15}\).
• Cross-sectoral collaboration: partnership across the sectoral divide, in government and within donor agencies, is also essential.
**In summary, sanitation and hygiene are relevant to the achievement of all of the MDGs.** By investing in and promoting sanitation and hygiene, governments and development agencies will contribute to a wide range of development domains: not only water and environment, but also health, education, housing, urban and rural development.
However, politicians remain strangely reluctant to engage with and act on sanitation and hygiene. Sanitation and hygiene clearly have political dimensions which make it hard for government to match public funding to the obvious public benefits of the investment. **Box 2** explores the political reality a little further and suggests that governments not only have an obligation to act but also could benefit in political terms both from increased public funding and increased accountability.
**Box 2: Arguing the Case for Political Leadership**
**Action is politically feasible and constructive**
In many countries, overcoming indifference to sanitation and hygiene among politicians is still a challenge, as recent studies have confirmed\(^{16}\). Yet, the degree of political risk associated with prioritising sanitation and hygiene is less than many politicians consider. Instead of large capital outlays on infrastructure (hardware), public investment in sanitation and hygiene may generally be targeted towards strengthening human resources (software). Jobs and incomes may be created for health extension workers and community promoters of sanitation and hygiene. So recedes a civil servant’s nightmare – diarying a latrine block opening ceremony for the Minister
With such apprehensions put aside, politicians wishing to strengthen their constituencies will see they are missing a trick. Studies have shown that low levels of expressed demand for sanitation and hygiene, relative to other needs (water supply), are misleading: where women have an opportunity to voice their views, they commonly value improved sanitation facilities and better hygiene in and around the household. Motivations of privacy and individual dignity are important, commonly more so - than public health. Political leadership can help convert this common desire for better sanitation and hygiene into perceptible demand.
**Inaction is not a viable political option**
Internationally, reviews of the MDGs have noted that progress towards the sanitation target lags behind other MDGs. The interconnections between sanitation, hygiene and other development domains (observed above) are such that, if disregarded, will slow other policies down. It is a mistake for policy-makers to ignore standards of hygiene: efforts to stimulate economic growth will be undermined by chronic illness amongst the working population. The success of education and other social programmes depends on inclusion of sanitation and hygiene components. Progress towards development is achieved by a combination of key elements, each of which requires championing, or at least protection, politically. The inclusion by DFID of sanitation and hygiene as one of several basic services, alongside health, education and social protection, is recognition of this.
Promotion of public health is an integral part of the role of governments and the public agencies for which governments are responsible. Outbreaks of cholera are a consequence of poor conditions of hygiene in e.g. slums in and around major cities in developing countries. The deaths and suffering caused, including to young children, are avoidable. Populations of more affluent areas of those cities are not immune from infection. Failure to prevent epidemics which are preventable is damaging to the government’s image and reputation
The challenge of promoting behaviour change is not unique to sanitation and hygiene. It is present in other development domains, such as HIV/AIDS. Sanitation and hygiene is capable of illustrating how the challenge of changing existing practices of individuals and communities may be tackled. Success stories suggest that communities can be mobilised to stop open defecation and adopt latrine use: for example, the ‘community-led total sanitation’ approach as it has operated successfully in some locations in South Asia.
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\(^{15}\) Jenkins MW, Sugden S. (2006) *Rethinking Sanitation: Lessons and Innovation for Sustainability and Success in the New Millennium*. Human Development Report Office Occasional Paper. New York: United Nations. http://hdr.undp.org/hdr2006/background_docs.cfm
\(^{16}\) Tearfund/ODI (2006): ‘Sanitation & Hygiene in developing countries: identifying and responding to barriers: case studies from three francophone countries: Madagascar, Burkina Faso and Democratic Republic of Congo’. www.odi.org.uk/rpgg/areas/sanitation.html
Local government can potentially play a significant role in bringing together sanitation and hygiene’s different elements. Where, however, capacity gaps, in human and other resources, exist at local government level and are likely to remain for the foreseeable future, the role of line ministries of central government will remain important.
**Accountability**
Ensuring that populations have access to basic services, including sanitation, is the responsibility of government – not necessarily to implement services themselves, but to ensure access through creating policy, allocating resources, and facilitating an enabling environment. Halving the proportion of people without safe sanitation is an MDG target that has been signed up to by over 190 governments.
All governments should be held to account by their citizens for the state of sanitation in their countries, and so local people should be helped and encouraged in efforts to do so. Efforts to provide institutionalised mechanisms to increase accountability, both at a local and national level, should be carefully nurtured, and for example, initiatives such as the Citizens Action work being conducted by WaterAid’s partners in increasing numbers of countries should form a basis of learning and creating the widespread accountability that is vital for success in this sector.
KEY ISSUES AND PRINCIPLES
The positive and compelling arguments about the role and place of sanitation and hygiene in development are based on lessons – “truths” – that have been learned from long experience in the sector, with respect to what works well and what doesn’t. Underlying everything is the fact that sanitation is about taking private decisions within the household that impact in a substantive way as a public good in the wider environment.
Truth 1 – Only wanted latrines get used
- **Standardised subsidised latrines are not always wanted**: Despite numerous sanitation projects and programmes, there are remarkably few instances of success at anything like the scale required to fully realise the range of positive outcomes described above. The last few decades have seen hundreds of thousands of toilets built in the developing world, often with considerable subsidy and therefore at high cost, by government and non-governmental organizations. The impact of such programmes has usually been very limited, because most of the toilets were not properly used or maintained. A major problem with many such sanitation programmes is that they have focused on the delivery of hardware without attention to changing behaviours or effectively targeting households who really want a latrine.
- **Tailored locally-appropriate and affordable latrines are needed**: A different approach is needed to ensure that every latrine is a wanted latrine and will therefore be used. The starting point is to identify and address the particular sanitation and hygiene-related problems and to define appropriate actions within that context, rather than impose a pre-ordained technical solution in the form of a particular design of latrine as “cure-all” for sanitation (Box 3).
**Box 3: One size does not fit all**
The state of Maharashtra, India, had managed a rural sanitation programme based on very high subsidies; it was found that people used latrines as tool sheds or as storage, but the programme failed to spark a demand for sanitation. The state learned from that lesson and has now embarked on a new approach which reflects more closely what users want and can afford. 17.
Truth 2 - Desire for better sanitation exists but needs to be converted into demand
- **Ensuring each latrine is wanted**: The demand for an improved water supply is usually expressed clearly and powerfully by users, to the extent that demand may exceed supply and is effectively rationed through price mechanisms. By contrast, demand for sanitation is often suppressed by lack of knowledge of the advantages that better sanitation could bring. Peoples’ awareness of the health and hygiene implications of sanitation can be very low and the convenience and other benefits of sanitation that are highly valued by households are often not the focus of latrine building programmes. Starting to use a latrine may involve significant changes in attitudes and behaviour (many people for example find the idea of defecating indoors unattractive). Investing in this type of behaviour change can be justified in public policy (see Truth 5) but has not tended to feature in sanitation programmes historically.
- **Getting people to want sanitation: health is usually not a good selling point**: Improved health is a crucial outcome of sanitation, but evidence from both rural and urban areas suggests that this is not the best way to sell the concept to households and other users. Awareness about environmental health issues, including sanitation and hygiene is low; the key objective should be to find ways – “messages” – that raise awareness about sanitation, promote hygiene behaviour change and so increase the demand for improved sanitation. Examples of reasons people give for wanting sanitation, based on case studies from the Philippines and Benin, are shown below.
**Table 1: Why do people want sanitation?**
| Rank | Philippines | Benin |
|------|-------------|-------|
| 1 | Lack of smell and flies | Avoid discomforts of the bush |
| 2 | Cleaner surroundings | Gain prestige from visitors |
| 3 | Privacy | Avoid dangers at night |
| 4 | Less embarrassment when friends visit | Avoid snakes |
| 5 | Less gastrointestinal disease | Reduce flies in compound |
Note that health considerations are 5th on the Philippines list, and even further below – 13th place, not shown – on the list from rural Benin 18. This shows that in many situations it is not a good idea to promote sanitation by using the
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17 P Kolsky, Latrines as tool sheds, reported in “Water, Sanitation-Related Diseases among Most Significant Global Health Problems”. [http://www.unis.unvienna.org/unis/pressrels/2004/envdev768.html](http://www.unis.unvienna.org/unis/pressrels/2004/envdev768.html)
18 Jenkins, Marion W., and Steven Sugden. 2008. "Rethinking Sanitation: Lessons and Innovation for Sustainability and Success in the New Millennium."
argument that it will improve health alone. It is essential to carry out initial studies and market research to identify what factors particular users identify as being the key benefits and then use these as the “selling points” for sanitation.
- **Differing perceptions of priorities: the household as the centre of attention.** Users and professionals often have very different perceptions of what is important. Households in urban areas typically place a clean household as their first environmental priority. This is followed by a better environment in the street, then the neighbourhood, and finally the city and beyond. Professionals in the water and sanitation sector tend to take a diametrically opposite view; overall improvements to the environment of the city through, for example, centralised wastewater treatment works, are their perceived priority\(^{19}\). Engineers and Health Officers typically emphasize high engineering standards, physical outputs, and health impacts; end-users may have quite different perspectives (see Table 1). Effort is needed to balance these shared and highly visible public benefits with household and community benefits.
**Truth 3 – Those who ‘sell’ sanitation are often best at marketing it**
- **Working with the people who really build (and empty!) latrines.** Few conventional sanitation programmes have built more than 10,000 latrines, and yet that is the minimum requirement for almost any major city in the developing world. This statistic shows that, with an average household size of six people, Kampala alone still needs ten times that number. In fact most progress in improving access to sanitation has been achieved by small scale providers, usually local masons and builders building latrines for individual households. All over the world there are local markets that work for local people in both providing latrines and managing pit wastes. The small scale local private sector was the key suppliers in the Community Led Total Sanitation (CLTS) programme in Bangladesh for example. A key feature of CLTS was the design and construction of latrines to a price rather than a specification. In this way, the poorer in society gained access to better sanitation. Research in Africa confirms that the role of the small scale private sector in sanitation provision is significant. Importantly, many households already invest in sanitation facilities themselves, outside of government or donor funded programmes. This does not imply that the existing market will always be perfect. Public sector support may be needed to change incentives and improve the services on offer; public interventions may also be needed to create the right environment for small providers to develop and grow their businesses. Public funding may be required to create incentives for proper disposal of pit waste in urban areas and so on. Nonetheless appreciating that this market exists and allowing public policy to support it, rather than trying to suppress it, may be one of the best ways to bring sanitation programmes to scale.
- **Adopting a marketing approach** - that is, using marketing principles and techniques to influence a target group to voluntarily accept, modify or abandon a behaviour for the benefits of individuals, households, groups or society as a whole - has been more successful than anything else in changing the behaviour of people by showing them direct personal benefits (See Box 3). The approach builds upon marketing principles to identify the “messages” that will convince people to buy sanitation (see Truth 2)\(^{20}\). The local private sector, who need to earn a living selling sanitation products and services and therefore tend to have a good sense of what consumers value and will pay for. Using them to promote sanitation can thus lead to good outcomes that are financially sustainable. Public funds can then be used more effectively for product development, market research, training, promotion and other forms of facilitation, as well as for the provision of latrines in public places.
- **Using marketing improves the odds of achieving behaviour changes too.** Of course marketing and provision of hardware is not enough. Sanitation facilities will bring few benefits unless they are used correctly, and this requires changes in behaviour. With a marketing approach however, sanitation only goes to those who purchase it, which makes it much more likely that consumers will understand its purpose and will value, use and maintain it. While this constrains the pace at which take-up will proceed it is much more likely to result in sustained changes.
| Box 4: Applications of social marketing approaches\(^{21}\) |
|----------------------------------------------------------|
| Central to the social marketing approach is an understanding of the target audience, how and why they behave and what drives and prevents adoption of the product or new behaviour |
| - Large-scale social marketing of treated bednets in rural Tanzania showed an increase in the number of infants sleeping under bednets from under 10% at baseline to over 50% three years later. This was further associated with a 27% increase in child survival among the 1mth-4yr olds. |
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\(^{19}\) WELL 1998 Guidance Manual on Water and Sanitation Programmes chapter 2
\(^{20}\) For a fuller outline of the approach see WELL 1998 Guidance Manual on Water and Sanitation Programmes chapter 2 and WSSCC and WHO (2005) Sanitation and Hygiene Promotion: Programming Guide chapter 10
\(^{21}\) WELL Factsheet: Social marketing: a consumer-based approach to promote safe hygiene behaviours [http://www.iboro.ac.uk/well/resources/fact-sheets/fact-sheets.html/Social%20marketing.htm](http://www.iboro.ac.uk/well/resources/fact-sheets/fact-sheets.html/Social%20marketing.htm)
– In Zambia, the Safe Water Systems social marketing programme has shown a similar success, with the use of Chlorine for household drinking water treatment rising from 13.5% in 2001 to 42% in 2004
– In Ghana the first phase of a national handwashing with soap marketing programme has yielded promising results. Among mothers, reports of handwashing with soap before eating have risen by over 40%, and among children (at home) by over 60%.
**Box 5: Households are the real sanitation investors**
Recent research in India indicates that of the household sanitation which does exist, only a tiny proportion has been financed by governments. In the six years from 1985/86 to 1991/92 the Government of India constructed 2.26 million latrines in rural areas, raising coverage from 0.5% to 2.7% overall. In 1988/89 the 44th round of the National Sample Survey found that just under 11% of the rural population had a latrine, suggesting that as many as 8% of rural households across the country had invested their own money and used small private providers to construct their latrines.
**Truth 4 – Some subsidies are smarter than others**
- **The logic of sanitation subsidies**: Sanitation is both a merit and a public good; it is therefore economically justified to spend public money to change individual behaviours. The use of subsidies can also be justified on the grounds of equity – public funds can be used to enable poorer households to access the benefits of sanitation.
- **Not reaching the right parts**: However, these economic arguments break down if the mechanisms used to deliver the subsidy fail. Thus, while most sector professionals agree that subsidies in the sector make sense, many feel that conventional approaches which provide a direct subsidy for the latrine itself are not justified because they have limited reach (constrained by the absolute size of the budget available and the tendency to support higher-cost latrines), they don’t significantly increase use of latrines and they have usually failed to reach the poor. In India, for example, the Government’s Total Sanitation Campaign provides subsidized latrines to poor households. Yet due to limited participation of communities and lack of information about the campaign in remote villages, many poor and vulnerable households have been overlooked. In reality it has been the rich rather than poor people who have capitalized on and benefited from the subsidies that have been made available to a minority (see Box 4).
- **So what should be subsidised?** Households, not public agencies, are responsible for the vast bulk of spending on sanitation; this ratio is typically in the range of 10:1 (for example, see Box 5). Recognising this, many of the better-known successful sanitation programmes have used their limited amounts of money to influence household investment decisions rather than subsidising that household investment directly. The Orangi Pilot Project in Karachi Pakistan mobilized communities to invest in sewers, while in Midnapore West Bengal India, households were supported to invest in on-plot latrines. The common feature of these two well-known cases was that, while external funding was used to support technical innovation, participatory research, hygiene education and social marketing, direct funding of hardware (for example latrine components) was not included; households were responsible for the local investment themselves. The more recent experience of the Community-Led Total Sanitation campaign approach adopted in rural areas of Bangladesh also takes the same approach. Public interventions to develop supply and demand can generate public benefits and address equity questions, even if the direct impact is initially on the behaviour of relatively well off people in communities, because indiscriminate defecation by individuals impacts upon everyone in the community. As the current sanitation campaign in Uganda is asking: *Is your neighbour killing you?* Compared to hardware subsidies these types of ‘software’ subsidies appear to be more effective. What is more they make public money go a lot further because they are geared to leveraging rather than substituting for household investment.
- **What are the implications?** A sound general principle emerged at AfricaSan, the African Conference on Sanitation in 2002: namely ‘subsidise only that for which nobody else will pay’. Taken together with the above lessons from experience, this can help in terms of setting priorities. For example, in general:
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22 For a full discussion see WSSCC and WHO (2005) Sanitation and Hygiene Promotion: Programming Guide chapter 5 and DFID (2007) Background Paper on Financing of Water and Sanitation
23 Sanitation is a merit good because society thinks that everyone ought to have it, irrespective of whether the individual wants it or not, and is a public good because the benefits of the individual using a latrine and practicing good hygiene accrue to others as well as to that individual D. Begg, Fischer, S. and Dombrusch R. Economics McGraw Hill, UK 1984.
24 WaterAid Submission to the International Development Committee (January 2006):
25 For more details, see WaterAid India Total Sanitation in South Asia: the challenges ahead, 2006 http://www.wateraid.org.uk/documents/sacosan_2_reginal_wa_paper.pdf
- avoid direct subsidies for the construction of household latrines
- subsidise the generation of demand and sanitation promotion
- subsidise capacity building of small scale sanitation service suppliers and the development of an environment conducive to their operation
- finance institutional sanitation provision in schools, government offices and public buildings
- finance downstream infrastructure and sludge management in urban areas because household sanitation may depend on city-wide networks
In addition to direct subsidies *provision of appropriate financial services* including savings and credit at the local level play an important role in breaking down household barriers to accessing services (see for example Box 6). Amongst the factors to be considered is minimising the risk of “crowding out” (particularly in micro-credit); this implies applying grants to subsidise the initial set up costs of schemes, equity, seed capital, or creating a reserve or guarantee funds, rather than subsidizing loan terms which undercut potential local lenders\(^{26}\)
**Box 6: Community-Led Infrastructure Finance Facility (CLIFF)**
DFID contributes to the funding of CLIFF (established in 2002) to provide finance to organisations of the urban poor for infrastructure and housing demonstration projects that will improve living conditions in low-income areas, and have the potential to impact on policy and practice and be scaled up. CLIFF has helped establish a fund to assist community based organizations to access commercial and public sector finance to help improve slum dwellers housing and sanitation. It has increased local investments in slum upgrading; and changed the banking and municipal policies to promote slum upgrading, particularly in India. CLIFF continues to progress in Kenya and has recently expanded to the Philippines. To date, around £5.3m has been disbursed to local partners to provide the finance required for enabling the construction of safe, secure homes for over 7,000 families and access to sanitation for over two million slum dwellers.
**Truth 5 - Sanitation is different from water**
- *The differences:* Whilst sanitation commonly falls within the sectoral remit of water institutions, the systematic linking of water and sanitation in policy-making is often unhelpful to the cause of sanitation\(^{27}\). Sanitation differs from water in a number of critical ways notably; the timeframe required to generate legitimate and informed demand; the need for the entire community to change behaviours to ensure benefits accrue to everyone; the most effective delivery mechanisms (with a much stronger emphasis on small scale private providers for sanitation compared to water in many contexts); the focus on household behaviour rather than communal use of a resource; the balance of capital and operational costs for the household, and the long term operational requirements (which at least in rural areas fall more heavily on the household for sanitation as compared to the community for water supply). The situation is somewhat different in large urban areas where the need for a whole-city approach to sanitation may justify combining responsibilities for water supply and sanitation through a unified utility or a city-coordinating mechanism of some kind (this is true even where on-site sanitation is the norm; sludge management is still usually a city-wide problem).
- *The priorities:* Further, sanitation is frequently seen to lose out to water in policy and budgetary priorities particularly within water ministries; sanitation often lacks champions amongst the hydraulic engineers.
- *Strong links to other sectors:* As we have seen, sanitation and hygiene can also be considered within broader contexts of poverty, so it seems appropriate that several ministries take responsibility. Entry points may be found in ministries other than just water, including those whose resources are larger. Selective arguments for better basic sanitation and hygiene services in poor areas can be made proactively, for example, to officials responsible for:-
- education: that school curricula adequately incorporate hygiene education;
- health: that more resources are allocated to the district health officers for preventative work on hygiene, to avoid outbreaks of cholera;
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\(^{26}\) DFID (2007) Background Paper on Financing of Water and Sanitation
\(^{27}\) ODI/Tearfund (2006), ‘Sanitation and Hygiene: knocking on new doors’, Briefing Paper, Overseas Development Institute, December 2006 (based on studies in three countries in sub-Saharan Africa): www.odi.org.uk/wpp/Publications.html
• in some very specific situations housing; access to housing finance can be linked to the presence of an adequate latrine as was successfully done in the Million Houses Programme\textsuperscript{28} (both rural and urban) of the Government of Sri Lanka in the mid 1980’s;
• policy linkages on gender issues may be made with a number of public agencies, at national and local level. Continued efforts will be required to help combat exclusion of women who commonly voice their desire to improve conditions of hygiene in poor areas.
Truth 6 - Sanitation needs institutional leadership at national level
• A sound policy and institutional framework is essential: Because of its multi-sectoral nature, sanitation is not usually organised as a single sector, yet policy and institutional issues such as regulations, norms, institutional incentives, and behaviour change have to be addressed. Policy also provides the framework within which improved sanitation services can move from isolated projects to national programmes. Lack of sound institutional frameworks and institutional fragmentation of responsibilities is an important cause of failed sanitation provision. Definition of responsibilities between public agencies and between public and private agencies/households is a key facet of policy; such has been developed in South Africa\textsuperscript{29} (Box 7). Experience shows that effective policy is developed as an outcome of a process that engages with a wide range of stakeholders and addresses what works at field level within the capacity of the current institutional set up. Broad stakeholder involvement also serves to generate more widespread interest and support for sanitation and hygiene.
Box 7: Sanitation finds a home in South Africa
South Africa has pioneered “joined-up thinking” through its innovative national sanitation policy; a particularly striking feature is the multi-sectoral approach to sanitation provision. Whilst overall responsibility for sanitation rests with a specific department, the programme development and implementation is actually achieved by multi-sectoral partnership involving the household, local government, NGOs, private sector, provincial government and the central government. The institutional and organisational framework clearly defines the roles and responsibilities of these stakeholders\textsuperscript{30}.
• A focus on outcomes and budgets: Viewing sanitation and hygiene interventions through the lens of development outcomes, instead of sectoral inputs, may transform the cross-cutting nature of sanitation and hygiene into an advantage. Creating and linking budget lines across several responsible agencies is an effective way of achieving coordinated policies. Fundamental to this is to insert sanitation budget lines into the medium term budgetary or expenditure frameworks which grow out of the PRSP process. Sanitation too often falls out of national priorities because no ministry takes care to ensure that it is represented and funded. Ministries of planning and finance have a responsibility here; see Box 8.
Box 8 The Government of Ethiopia (GoE) coordinates donor funding mechanisms
GoE has decided to shift all current and planned donor funding onto the “Channel 1” financing mechanism which sees funds pass from the national Ministry of Finance to Regional Bureaus of Finance to District (Woreda) Finance Offices. This puts finances in the hands of the Woredas who can/should allocate resources to health sector activity (focusing on hygiene and sanitation) as well as water supply. Up to now it has been virtually impossible to get a donor project which channels funds to the water sector Ministry to pass on a proportion to either another sector ministry (health) and certainly not to a regional bureau of health
Truth 7 – Sanitation and hygiene require the right people doing the right jobs
• Establishing outcomes: the type of outcome-based planning described above can also be used to establish what activities are needed in different organisations. Recently in other sectors this type of outcome-based budgeting has been effective in translating commitments in the PRSP, via the MTEF to funded mandates in a range of ministries. The same is possible in sanitation – even outside the framework of a PRSP – and can provide the basis for assigning roles and responsibilities across a range of ministries, and sectors (public, private, civil society) with a focus on results (see for example Box 9 and Box 10).
Thus for example –to achieve significant behaviour change might require:
\textsuperscript{28} DPU and WEDC (1987) for the National Housing Development Authority (NHDA) of Sri Lanka: Galle Urban Project Manual, Enclosure 3
\textsuperscript{29} WEDC Application of Tools to support national sanitation policies .Comparing national sanitation policy content, an initial review of nine countries
\textsuperscript{30} WASH programming guide section 3
\textsuperscript{31} WEDC Applications of tools to support national sanitation policies Briefing Note review: Comparing national sanitation policy content http://wedc.lboro.ac.uk/projects/new_projects3.php?id=142
• Ministry of Education to invest in hardware (latrines in schools), curriculum changes and staff training;
• Ministry of Health to invest in hardware (latrines in health centres) and staff training as well as running ongoing hygiene promotion programmes (see Box 10);
• Ministry of Finance to allocate sufficient funds for software (hygiene promotion and sanitation marketing) and establish performance benchmarks for these inputs against which future budgets can be allocated;
The point here is not that there is a blueprint for how sanitation can be effectively organised but rather to acknowledge that it will always be complex and require collaboration across many ‘sectors’. One of the most effective drivers for achieving such collaboration is a centrally organised budgeting process which shows how inputs in each sector contribute to a combined goal.
• **Expertise Required:** Sanitation requires the short-term delivery of hardware (toilets and taps), the long-term delivery of software (support to behaviour change) and the creation of an environment which facilitates both. While it is impossible to generalise who does what best, it is possible to say that in any given situation there will be a range of actors with useful skills. Crucially, new approaches to sanitation do require skills which have not traditionally been found within water ministries or utilities. Such skills include marketing, business development, public finance and commercial finance, micro-finance and social mobilisation. Furthermore such expertise may need to be spread through several ministries (as above) and coordinated through horizontal lines of communication.
• **Melding the public and private sectors:** Finally it is important to clearly articulate general roles and responsibilities (or expectations) between the public and small-scale private sectors, to create a framework for specific policy interventions. Such a division is also predicated on a sense that each ‘sector’ can work in close partnership and provide support to others. Such a division might include:
– **Public:** getting the policy environment right and regulating for externalities such as public health and environmental protection; investments in public hardware (public and institutional latrines, urban networks, wastewater treatment and sludge management); business development support to small scale providers, long term delivery of software activities through organisations with an active and widespread field based presence (candidates may include the Ministry of Health, with health outreach workers (see Box 10), ministries which do regular extension work such as Agriculture and Social Affairs);
– **Private:** delivery of hardware, some marketing activities, outsourcing of some public functions. ;
– **Community:** beyond the motivations of individual households, communities can often play a driving role in setting collective objectives (e.g. open defecation free villages) and creating incentives or sanctions for compliance by all households, e.g. [CLTS]
– Civil Society: supporting collective community action, sanitation marketing and hygiene promotion.
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**Box 9 Government Coordination moves ahead in Ethiopia**
The Ministries of Water Resources, Health and Education signed a Memorandum of Understanding on “The Integrated Implementation Modality of Water Supply, Sanitation and Hygiene Education (WASH) Programs in Ethiopia” in March 2006. This sets out the responsibilities of each sector Ministry with regard to WASH programs and, most importantly, establishes inter-Ministry bodies for collaboration (policy, planning, financing, capacity building, implementing, monitoring and reporting) - a Federal Steering Committee of Ministers, a Technical Team of Heads of Department and a Coordination Unit comprising units from each Ministry. These structures are mirrored at regional and district level. In practice it is proving easier to bring the three sectors together in districts and communities. More recently it has been agreed to open up these Federal inter-Ministry bodies to donor, civil society and private sector representation. The most important feature of these arrangements was the launching of the National Sanitation Forum in April 2007. It is too early to see any impact: initially, transaction costs are high, but it is expected that the WASH sector will see better and shared outcomes at household and community level and be able to report progress jointly. These will be considerable achievements
**Box 10 Health Service Extension Programme (HSEP) in Ethiopia**
The HSEP, a component of a strategy to institutionalise village health service delivery, targets 15,000 communities throughout the country by assigning two health extension workers (HEWs) to each.
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32 http://www.alertnet.org/thanews/newsdesk/IRIN/40cd1cde6cd19294566777e1e6313ed0.htm
So far, 15,527 workers have been appointed in 10 regional states and 7,268 more are in training. The HEW’s already deliver a number of messages about hygiene and sanitation to families, thereby providing a national outreach mechanism. The development of a national sector capacity building strategy will provide the opportunity to reinforce this.
**Box 11: Working through a sector-wide approach in Uganda**
The sector-wide approach for water and sanitation in Uganda has developed over a four year period. Initially, sanitation was given little attention and was largely confined to a department of the Ministry of Health and approaches were not effective in being “sector wide”. However, in the most recent Joint Sector Review, sanitation has received much higher prominence. Key factors are the development of an enabling environment with political support from the very top and the direct involvement of the Ministry of Finance exerting influence through the allocation of budgets to line Ministries. This resulted in part from the Government’s realisation that national goals and targets for Infant Mortality and Maternal Mortality were at best static, and that the necessary preventative measures such as hygiene and sanitation were being neglected through over-emphasis on curative approaches. This is being fixed by reviewing budget allocations in the light of this monitoring data. The national Joint Sector Review processes for both Health and Water are increasingly aligning to the benefit of sanitation and hygiene. DFID supported the development of this process, initially through placement of a water and sanitation sector adviser in the Ministry of Finance; further specific support to sanitation and hygiene is under consideration.
**Truth 8 - Sanitation has special requirements in urban areas**
- **An urbanising world.** Notwithstanding the important challenges of rural sanitation, which remain significant, we live in a rapidly urbanising world with almost one billion people residing in slums. The scale of the change is unprecedented and there is an urgent need for more learning and testing of approaches in slums and small towns – such as the work carried out on condominial sewerage in Latin America and community latrines in south Asia.
- **Urban settings differ from rural ones** although the lessons outlined in the above “truths” apply in general to both. However certain factors are important in urban areas:
- the economy is primarily monetary in nature
- population densities are higher and settlements often larger
- latrine-based solutions for households cannot work without the need to consider “downstream” networks. These could be either physical networks, where a household latrine is connected to a sewer network leading to a final disposal point at which appropriate waste treatment should be provided; or service-based networks for the emptying of pits and the transport of their contents to a suitable disposal site that may involve treatment of the faecal sludge.
- Thus, there are important overall planning considerations in urban areas to ensure that individual sanitation solutions are linked in to city networks.
- **Financing Behaviour change and infrastructure.** Just as in rural areas sustainable changes in behaviour and community action can be achieved but usually require support and financing. There are widespread examples where community-based supply blocks, community condominial and small local networks have been implemented by urban communities on very low incomes who are willing to pay for the capital and recurring costs of a hygienic sanitation service. However few utilities in developing countries recover the full costs of sewerage and wastewater treatment services even from their wealthy customers, since the benefits of these services are public in nature, and tariffs are usually suppressed. In these situations subsidies can be justified and are normally required. These public-good subsidies may well be required to enable communities to invest in local solutions. Regrettably many urban systems are in poor repair and systematic financial planning may not occur – this leaves communities at risk that downstream services will break down even where they make effective local investments. The implication is that interventions to support communities need to be embedded in an understanding of the city-wide system as a whole.
**Truth 9 - Sanitation needs support in all regions of the world**
- **Focus on the right geographies:** The prospects for achieving the MDG target depends most clearly on those countries with least coverage; Asia, sub-saharan Africa and fragile states. South and East Asia is “where most toilets aren’t”, with India and China predominating due to their large populations. However, the rate of progress to improve sanitation in the
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33 WEDC (2007) for the National WASH Task Force Ethiopia: A stock take of capacity building for WASH in Ethiopia - towards a pooled fund for capacity development
34 Personal Communication, Anthony Waterkeyn to Andrew Cotton, 17 May 2007
35 IWA (2006) Sanitation 21: Simple approaches to complex sanitation: a draft framework for analysis
region has doubled since 1990. In Sub Saharan Africa, the trend is of much greater concern, it is going backwards. Coverage has only risen by 5% since 1990 and this has been outstripped by population growth such that the number of people unserved has actually increased by 111 million over the period\textsuperscript{36}.
- In sub-Saharan Africa, coverage in 2004 was only 37%. In order to be on track in 2002, the coverage needed to be 49%; and this rises to 66% to achieve the target in 2015. There are 463 million people without access to improved sanitation – this is exceeded only in South Asia and East Asia combined. Sanitation is on track in three of the sixteen DFID PSA countries (Table 2), off track in six and seriously off track in seven. Due to their large populations, progress in Nigeria, Ethiopia and DRC is critical to achieving the MDG targets for the region.
**Table 2: Improved Sanitation Coverage (%) in DFID’s Africa PSA target countries\textsuperscript{37}**
| Country | Sanitation | Sanitation tracking* |
|-------------|------------|----------------------|
| Ethiopia | 13 | XX |
| Nigeria | 44 | XX |
| Mozambique | 32 | XX |
| DRC | 30 | XX |
| Sierra Leone| 39 | XX |
| Lesotho | 37 | XX |
| South Africa| 65 | ✓ |
| Uganda | 43 | X |
| Malawi | 61 | X |
| Kenya | 43 | X |
| Tanzania | 47 | X |
| Ghana | 18 | ✓ |
| Rwanda | 42 | X |
| Zambia | 55 | X |
| Zimbabwe | 53 | ✓ |
| Sudan | 34 | XX |
* Key: XX seriously off track; X off track ✓ on track
**End point – sustaining change**
- \textit{Sustaining change}. If low levels of demand are addressed through interventions to promote sanitation concepts (whether based on status, dignity, women’s safety, or health) then people will spend their own money to construct facilities to a level that they can afford. They will also be sufficiently motivated to maintain and then replace them as the need arises. The number one desired outcome – sustainability – is achieved through effective promotion, not through reduced price hardware. A wanted latrine is a clean and well-maintained latrine – a latrine for life.
\textsuperscript{36} UNICEF WHO Joint Monitoring Programme (2006) \textit{Meeting the MDG Drinking Water and Sanitation Target}
\textsuperscript{37} WELL Task 2514 Water in Africa: an overview (internal DFID paper)
PRIORITIES FOR MAKING PROGRESS: PROGRAMMING PRINCIPLES
Sanitation, as we have seen in “Making the Case”, is fundamental to realising each and every one of the MDGs. It remains a puzzle then why sanitation so often gets ‘left behind’. Why is it that schools and health centres are still built without toilets, that access to toilets lags behind access to improved water sources in every region of the world and that sanitation has failed to be translated from commitments in national policy and PRSPs into budget headlines in the Medium Term Expenditure Framework (MTEF) in any country? The answer lies partly in the apparent complexity of getting sanitation right; years of less-than-effective latrine-building programmes have rendered some policy makers and development professionals wary. At the same time, in most countries sanitation is everybody’s and nobody’s business; few politicians can see an opportunity to register significant success on the basis of sanitation programming; they are all too focused on the ‘core business’ of their departments: water, health, urban development or education. In the worst case, the lack of money in the sector further mitigates any political interest. Into this unpromising situation, the beleaguered national programme officer seeks to launch a well-focused and effective intervention which can bring sanitation up the agenda and start a revolution of sorts. The question though is “where to start?”
Step 1 - be opportunistic: identify and work with key opportunities
Perhaps the most important thing to do is to be opportunistic; in most countries there are individuals and organisations that do recognise the importance of sanitation. This recognition may manifest itself in many ways. For example, as a willingness to support policy change by a senior official or city manager, a commitment to introduce hygiene promotion into the work plans of health extensionists by a district health officer or as a small practical project implemented by an NGO. Wherever such opportunities can be found they can be supported – they may provide DFID with an entry point into sanitation and can help to put sanitation ‘on the map’ particularly where they can demonstrate visible success. The best way to respond depends on the opportunity itself and the country context. Often the first response is relatively low key and low cost; country programmes can support these islands of excellence by providing a platform for dissemination of experience, building linkages between successful practitioners and would-be policy makers or by steering other donors in the right direction. Ultimately however, these key opportunities can also form the basis for a successful and appropriate project or programme.
Box 12 Islands of excellence
In Bangladesh in the late 1990s / early 2000s a local NGO, VERC, started working with rural communities to generate improvements in sanitation. VERC decided to focus on eliminating open defecation and deployed a range of approaches which mobilised the collective energy of the community to promote safe sanitary practices. Over time various other actors including WaterAid, WSP and DFID have taken note of VERC’s approach and have channelled support into a process of scaling up. In 2003, the first SACOSAN conference was hosted in Bangladesh. With support from various agencies, the experience of Community Led Total Sanitation (CLTS) as the VERC approach was by now called, was profiled in front of an audience from across South Asia and is now widely known and replicated.
A similar story comes from Ethiopia where a District Health Officer in the Southern Nations and Nationalities Region decided to take action to tackle the recurrent threat of cholera epidemics by developing effective local support programs to promote sanitation. By utilising existing capacity in the Department of Health and a well focused promotion campaign, significant gains were achieved. The District Health Officer has since become influential in Ethiopia as a member of the government, but the experience has also informed DFID’s programs and its research Program, RIPPLE, based in Ethiopia.
Step 2 - be realistic: base interventions on a thorough situational analysis
Even where such islands of excellence exist, and particularly where they do not, another practical and critical entry level activity is to carry out a thorough analysis of the situation on the ground. This needs to cover both the situation at household level (the demand side), the situation on the supply side (small scale and institutional providers) and the policy environment. Various tools exist to provide the base of information on which such an analysis can be built. These include:
- Formative (market) research (household surveys, focus groups etc.) to provide information on demand and the drivers of demand;
- Market surveys to provide information on the potential suppliers of sanitation goods and services (i.e. toilets, pit emptying etc) and the market in which they operate;
- Institutional analysis – assessing the roles and responsibilities, norms and practices which govern decision making and service delivery in sanitation;
- Political economy analysis exploring the drivers and constraints to effective service delivery based on existing political and social power-relations (Box 13);
- Public Expenditure Reviews examining financial decision making, priority setting, budgeting and expenditures relating to sanitation across all departments of government;
- Impact evaluations of previous sanitation projects and programmes.
Box 13
In Bangladesh, a DFID-supported political-economy analysis has been applied to the rural water supply sector with a particular focus on decision making relating to protecting communities from arsenic-affected water. This analysis helped to create momentum within DFID to work with the Ministry of Finance to develop a multi-sector budget support instrument with leverage to achieve significant reforms across a number of sectors, including in the area of sanitation and water supply in the slums of Dhaka. The analysis had helped to prove that maintaining a focus solely on sectoral projects would not achieve significant gains.
Step 3 - be effective: respect the three legged stool
After building up a reasonable understanding of the realities and opportunities for sanitation service delivery, the next step is to identify effective interventions. The key here is to ensure that there is a balanced intervention which can support and build:
- local demand;
- appropriate local supply;
- an enabling environment which will allow both demand and supply to grow sustainably\(^{13}\)
Naturally, a DFID programme does not have to address each of these ‘three legs’ but it does need to acknowledge and respond to other actors in identifying where the best interventions are. For example, in a situation where local NGOs are doing excellent work in promoting behaviour change, interventions might be focused on building a responsive supply chain of goods and services and lobbying for policy changes which enable public funding for hygiene promotion to be channelled through civil society or private sector organisations. In other situations where government has worked on supply chains, DFID might focus its efforts on building appropriate capacity for hygiene promotion and sanitation marketing.
Step 4 - get the right people in place: build or support professional cadres
Despite the range of ways in which the sector can be organised there is still a fundamental need for a cadre of professionals who can drive the hygiene promotion and sanitation agenda. Successful sanitation programmes generally have this in common – a long term commitment of staff with the right skills to ‘sell’ sanitation and hygiene. They may be found in a number of places including NGOs, the private sector and in government at all levels. The skills needed are both technical, but perhaps more importantly related to behaviour change and marketing.
Given that many public sector bodies are focused on down-sizing their permanent staff it seems likely that these cadres of professionals will increasingly be found outside government. Two notable exceptions to this may remain for many years; the cadre of health or other extensionists who can do so much to support long term behaviour change in rural areas and technician-managers in urban utilities and local government who will retain an important role in urban sanitation service delivery. For these existing cadres the key may be less about retraining and more about realigning incentives so that promoting and achieving substantial change in sanitation results in clear rewards. (Re-aligning incentives and building professional cadres go hand in hand – the slow adoption of the concept of appropriate-use-of-technology which was first seriously discussed in the water sector in the early 1980s but which has now become ‘received wisdom’ illustrates both the potential and the long-time frame required to realign professional practice.)
Outside government there is a pool of people who can play a key role in sanitation – these include small businesses and individuals who work as masons or plumbers - here specific training and business development support may have a significant impact as well as publicly-funded market research to identify niche markets and develop appropriate products. Staff of NGOs and other civil society bodies could also benefit from simple training interventions reinforced by clear policy signals that indicate government’s willingness and interest to support sanitation programmes.
Step 5 - spend time getting it right: build a programme that will work beyond 2015
Finally it is important not to expect a quick fix. Sanitation is complex and political. It is doable but only with a long term commitment that can match the long timescale needed to change private behaviours in the household. With only eight years to go before 2015 this is perhaps the last moment at which to put in place effective programmes which may begin to show real results by then.
PRIORITIES FOR DFID: GETTING STARTED
The purpose of this section is to illustrate by example the different possibilities that exist for DFID and its development partners to support sanitation and hygiene. Whilst the institutional fragmentation around sanitation creates certain problems in national policy development and implementation (see “Home Truths”), the plus-side of this characteristic is that it offers an unusually wide range of opportunities for aid programme managers and advisers to develop interventions to support sanitation within Country Assistance Plans.
Options for Engagement
Sanitation and hygiene can be supported through:
- The available range of programme-based and other aid instruments; and
- Different service delivery sectors, for example: health; education; governance improvement; water; general infrastructure.
In fact the lack of a “sanitation sector” offers more opportunity rather than less. As this paper shows, sanitation delivers against a whole range of different development objectives and is not locked into any specific sector. So in order to ‘do sanitation’ it is not necessary to have a bespoke sanitation and hygiene programme as a separate entity in a country strategy. Sanitation and hygiene fits with current trends towards larger scale programmatic funding, thereby offering a number of potential “hooks” for Country Assistance Programmes.
Using the International System: To date, DFID’s key partnerships have been with the World Bank (Box 15) and UNICEF\(^{38}\). The World Bank’s work is more focused on urban sanitation and UNICEF on rural (Box 14 & 15). However, both have identified urban slums as a key gap both in knowledge of best practices and implementation. A particular strength of UNICEF is its commitment to a Child-centred approach through School Sanitation and Hygiene Education (SSHE) and this offers valuable opportunities to support the generational change that is required in order to tackle the sanitation crisis.\(^{39}\) The Water and Sanitation Programme (WSP)\(^{40}\), is an external partnership programme of the World Bank; it does not have a lending programme but supports a number of country level, regional and global initiatives at the cutting edge of hygiene and sanitation. These are supported by DFID. WSP is an important source of sector knowledge and experience. (Boxes 14 and 20).
Working with other donors. Improved donor coordination related to sanitation and hygiene is taking place in different ways. Whilst the situation in Ethiopia is at a very early stage, improved inter-ministerial coordination for WASH (Box 8) is linked to the broad donor support for a WASH sector Task Force under the auspices of the EU Water Initiative. There is also broad support in Ethiopia for a pooled fund for (WASH) capacity development; this clearly has the potential, if successful, to pave the way towards more general sector-wide financing. In Ghana, there is a particularly interesting case of bilateral donor programme co-funding (Box 14).
Budget support environment: The degree of institutional fragmentation around sanitation that exists in many countries implies that Sector-wide approaches would be particularly challenging. However, recent initiatives in Uganda (Box 11) in response to poor performance against certain health targets have mobilised resources for sanitation in a sector-wide way. In Ethiopia, government intends to channel donor funds for WASH through the Ministry of Finance to local government, rather than through specific line ministries (Box 8).
Meeting the health MDGs: there are good examples of where sanitation has been included as part of the health sector programmes in order to boost the achievement of desired outcomes (See Boxes 15 and 17). For this reason sanitation has also been identified as an opportunity by DFID in Ghana and is likely to be part of the next health sector programme. The case of Uganda (Box 11) shows how sanitation has been prioritised by government partners as a means to boost two key health targets that were under-performing. However, it is important to recognise that whilst desirable, it is by no means always straightforward. Clearly the health sector has strong and competing priorities and in many cases the emphasis is on curative rather than preventative approaches; ensuring support for household sanitation will remain a challenge.
---
\(^{38}\) DFID (2007) Background Paper on Financing of Water Supply and Sanitation deals with the specific issues of financing through IFI’s and the UN
\(^{39}\) Sanitation takes time: it took over 100 years to complete the sanitary revolution in Britain. See WELL Briefing Note 10: Learning from the past – delivery of water and sanitation services to the poor in 19th century Britain http://www.iboro.ac.uk/well/resources/Publications/Briefing%20Notes/WELL%20Briefing%20Note%2010%20A4%20no%20crops.pdf
\(^{40}\) See http://www.wsp.org/
Some example of sanitation and aid instruments
In the context of the Paris Declaration on Donor Alignment and Harmonisation, sanitation and hygiene offer important opportunities for programming within a range of aid delivery mechanisms that “score positively” – in a broad sense - against the Paris Declaration indicators, and also support DFID’s Public Service Agreement targets. In fact, sanitation does not lend itself to stand-alone bilateral projects as is clear from the “Making the Case” and “Home Truths” sections of this paper.
Boxes 14 to 22 illustrate the different and innovative ways that sanitation and hygiene can be programmed in order to deliver specific development objectives. These are principally concerned with programme-based aid. It is important to note that the status of the examples shown varies from those that are currently being implemented to those that are not yet approved but are being explored. These latter are included as they demonstrate the innovative ways that can be adopted to support work in sanitation.
Harmonisation and alignment: Box 14 shows how DFID’s support for sanitation, hygiene and water in Ghana moves beyond improved coordination to promote harmonisation and alignment.
Box 14: Co-funding with other bilateral donors in Ghana\(^{41}\)
DFID has co-funded existing programmes of Danida and KfW with the Government of Ghana, in support of their priority to eradicate guinea worm through health, hygiene and sanitation promotion and provision of technical support to the District Water Supply and Sanitation Teams in Volta and Upper West regions. In addition to the direct benefits to poor rural people, this approach is significant in the context of the Multi Donor Budget Support (MDBS) approach, increasing aid flows and the need for government to identify and budget for capacity building Technical Assistance.
Working with multilateral development partners. There are important opportunities through sanitation to work with IFI’s and UN agencies both to deliver improvements on the ground and assist with and influence the development of policy through the influence and “seat at the table” that this provides. This is the case with DFID support to both Bangladesh (Box 15) and China (Box 16)
Box 15: Working with UNICEF in Bangladesh\(^{42}\)
DFID is supporting the implementation of a hygiene promotion, sanitation and water supply project implemented by the Department of Public Health Engineering, Government of Bangladesh, in partnership with UNICEF. The proposed $75m support programme addresses two of the four results areas of the DFID interim Country Assistance Plan. These include: better quality basic services for poor people helping Bangladesh to meet or exceed MDG targets for education, health, and water and sanitation by 2015; measurably better governance and security; and a significant reduction in extreme poverty (especially for women and girls), and less vulnerability to disasters and climate change.
Box 16: Co-funding with World Bank and National Government in China
DFID is supporting the Government of China’s rural water supply and sanitation programme, which incorporates a major component to promote improved hygiene behaviours and affordable latrine options for rural people in two of China’s poorest provinces by working in partnerships with World Bank and UNICEF. DFID’s support of £15m will form part of a wider package of financing that includes $25 million of WB loan financing and $25 million from provincial government funds. The proposed DFID grant will enable the GoC to access the World Bank funding as part of its financing strategy in the water sector. The Water and Sanitation Programme (WSP), through its global programme on handwashing, provided important knowledge and experience.
Cutting across sectors: health, education and governance. “Making the Case” demonstrates the effectiveness of sanitation in delivering outcomes across different sectors. Examples of mechanisms for achieving this are provided by: working with the health sector in India (Box 17); technical assistance to school sanitation and hygiene education in Kenya (Box 18); and supporting governance reform through the decentralisation programme of the Government of North West Frontier Province in Pakistan (Box 19)
Box 17: Working through DFID’s support to the health sector in India\(^{43}\)
DFID is funding a District Health Management and Sector Reform programme to support the State Government of Madhya Pradesh to develop a medium term health strategy. Technical Assistance was provided to build the capacity to incorporate environmental health into health care management through developing action plans for 15 villages. It is now proposed that a component for environmental health improvements for rural communities is incorporated into DFID’s forthcoming Health
\(^{41}\) DFID Draft Project Memorandum: DFID support to Ghana Water Sector, October 2005
\(^{42}\) DFID Draft Project Memorandum: Sanitation, Hygiene Education and Water Supply in Bangladesh 2006-2010, October 2005
\(^{43}\) WELL Task 2794 Village Environmental hygiene and sanitation planning (Summary Report, 2007)
Sector Support Programme. The focus (of the environmental health component) will be to improve the State Government’s Total Sanitation Campaign through a comprehensive hygiene education and promotion strategy and implementation plan.
**Box 18: Working through DFID’s support to the education sector in Kenya**
DFID supported the Ministry of Education of the Government of Kenya in the Primary Schools Infrastructure Design Programme through providing detailed approaches for school sanitation that are appropriate for the rural environment and meet the needs of children of varying age, gender and ability. This includes a link at the beginning of the process to ensure that the importance of school hygiene is raised and that proper hygiene education takes place when sanitation and water facilities are to be provided. This programme supported schools in making informed choices about how resources are to be allocated.
**Box 19: Working through DFID’s governance reform programme in Pakistan**
DFID is working with the Government of North West Frontier Province in Pakistan to support the devolution and local government reform programme. The Rural Water Supply and Sanitation Project focuses on the wider devolution programme to reduce poverty by providing increased access to services. This includes an integrating sanitation and hygiene promotion and an increased mandatory role for women in decision making.
**Sector-wide support.** The lack of a distinct “sanitation sector” may argue against a sector-wide approach in cases where sanitation is lumped with water unless there is a genuinely enabling environment, including political support (Box 11). As described in “Home Truths”, the opportunities may be complex, requiring analysis of, for example, Medium Term Budget Frameworks (MTBFs) to align different budget lines that make reference to sanitation around a national policy framework for sanitation. The case from Uganda notes the importance of alignment between the Health and Water sectors at national level – this is also illustrated by a proposal for multi-sector support in Sierra Leone (Box 20)
**Box 20 Multi-sector approach in a fragile state**
DFID is proposing to support sanitation in Sierra Leone through a multi-sector approach between health, water and sanitation. This is particularly innovative as it offers the chance to develop programme support in the context of a fragile state, which is a significant advance on the historically more project-orientated development paradigm for fragile states
**Knowledge and Research as an entry point.** DFID has an enviable track record in many disciplinary fields of development research and this appears to be an area that has yet to be fully explored as a potential entry point, certainly where both water supply and sanitation are concerned. The proposed research-into-use programme in the Mekong region illustrates the potential for sanitation research to take the lead (Box 21)
**Box 21 Using the outcomes of research to stimulate policy development**
DFID proposes to support a regional partnership with the Water and Sanitation Programme (WSP) and the Swedish International Development Co-operation Agency to turn sanitation and water-related research and knowledge into action in the Mekong Delta. This sanitation, water and hygiene programme will promote multi-country and multi-level partnerships, technical assistance, skills development, research and learning between key stakeholders in the Mekong region. It will focus on country goal attainment with particular emphasis on sanitation in Vietnam, Cambodia, Lao, and two provinces in China through research into use – including applying key sanitation–related research findings from a major DFID knowledge and research programme (EngKar).
**The Humanitarian Dimension**
Provision of sanitation facilities is an essential part of humanitarian interventions. The key principles outlined in this paper still apply, for example “only wanted latrines get used” applies equally to emergency relief situations, fragile states and long term programmes in more stable environments. It is crucial to carry out full consultation with affected communities as part of the assessment process, even in an acute emergency. This is important to ensure that excreta disposal facilities are used and maintained.
---
44 WELL Task 2653. Kenya Primary School Infrastructure Programme Design: Strategic analysis and recommendations for water, sanitation and hygiene education (2005)
45 WELL Briefing Note 21: Lessons from DFID water and sanitation programmes in Pakistan (2006) http://www.iboro.ac.uk/well/resources/Publications/Briefing%20Notes/WELL%20BN21%206pages%20amended.pdf
46 Leader N & Colanso P (2005) Aid instruments in fragile states. DFID Working Paper http://www.dfid.gov.uk/pubs/files/fragile-states/aid-instruments.pdf
47 DFID Draft Project Memorandum: Mekong Water and Sanitation Partnership
Box 22 The importance of consulting communities
Latrines provided in a refugee camp in Eastern Chad in 2004 were not used by the camp population as they were not happy with the design or location of facilities. Simple dry pit latrines provided for Kosovan refugees in Albania in 1999 and for communities affected by the Asian tsunami in 2004, were not used by either population due to a common desire to use water-based (pour-flush) latrines only. Such low levels of acceptability and non-use of latrines can be avoided through thorough consultation with communities, both to determine their existing practices and preferences, and to involve them in the planning and implementation process for excreta disposal and related hygiene promotion activities.
Box 23 outlines the programming process and Box 24 illustrates the importance of working with civil society in a fragile state – that is, working with people who are already there and understand the complex operating environment.
Box 23 Outline programme process in emergencies: a brief summary
- **Rapid assessment** gathers relevant information and analyzes it quickly in order to prioritize interventions. This approach is designed to identify the need for immediate action as well as longer-term intervention.
- **Outline programme** design rapidly produces an outline action plan identifying key actions that need to be implemented immediately to protect public health and stabilize the situation, as well as longer-term interventions.
- **Immediate action** is the implementation of first-phase emergency measures to stabilize the current situation and minimize the spread of excreta related disease. This may involve simple actions such as cleaning up after open defecation and providing basic separation and disposal facilities. It is important that immediate actions do not have any negative effect on future interventions.
- **Follow-up assessment** and consultation is a more detailed stage of data collection, analysis and consultation that should be carried out once the outline design has been approved. This should adopt a more participative approach involving all affected groups in the decision-making process.
- **Detailed programme design** is a comprehensive plan of action for longer-term intervention based on the follow-up assessment and consultation process.
- **Implementation** of the 2nd phase longer-term excreta disposal programme can now be conducted. This should include management and implementation of construction, hygiene promotion, and operation and maintenance activities.
- **Monitoring and evaluation** is the final stage in the assessment and planning process and is an ongoing process.
Box 24: Coordinating actions in fragile states
Interaction between public, private and the voluntary sector can be complex, particularly in fragile states. In Eastern DRC, local NGO “Programme for the Promotion of Primary Health Care” supports workers in schools, clinics and other public bodies to promote sanitation and hygiene. They train teachers and provide educational materials (quiz cards, books, song lyrics etc) for use in schools. They also attend antenatal classes to educate mothers about sanitation and hygiene issues, and have provided latrines, incinerators and water butts for many local clinics, hospitals and schools. On top of this they have supported community groups to develop income generating activities including soap making. Testimonies from teachers and health workers in the region indicate that this support to their work has been extremely helpful, particularly due to the insecurity in the region and the fact that their own resources tend to be very limited.
---
48 Boxes 22 and 23 are quoted from material in Harvey P A (2007) *Excreta Disposal in Emergencies: A Field Manual* – an Inter-Agency Publication supported by Oxfam, UNICEF, UNHCR and WEDC, and published by WEDC
PART 5: ANNEXES
Target audiences for this paper
The paper is primarily intended for use by DFID programme managers and by education and health advisers. The authors had in mind someone:
- with formal responsibility for programming projects in the field;
- who is a ‘sceptical optimist’, intuitively understanding the importance of sanitation to development;
- who is overloaded with competing policy issues and priorities for spending;
- who is engaged on the subject of sanitation but who is unsure of what principles should govern programming.
Externally, the paper will be of interest to similar individuals with similar responsibility in other institutional settings – government, international organizations, and large international NGOs.
The Sanitation Policy Paper aims to:
- Articulate the rationale for raising the profile of sanitation and investing further in it
- Outlining practical and achievable actions
- Making the case of ‘should do, can do, must do’ for sanitation
Motivation/rationale for document and reference group
DFID is preparing a Water Policy update during 2007; an important contribution to this will be a Sanitation Policy Paper that maps out what DFID can do in sanitation over the coming 5 years. A Reference Group has been convened for the development of a Sanitation Paper that will support this policy input. The overall context for the Sanitation Policy Paper is provided by the recent third White Paper *Making Governance Work for the Poor*[^49], the *Call for Global Action*[^50] and the *Human Development Report 2006*[^51].
The reference group is a representative group of practitioners chosen to assist the Department in articulating the case for sanitation. It interacts with a wider group of UK development stakeholders for consultation purposes. Its current role is time limited and will finish with submission of a final report to DFID by mid-2007.
Genesis of reference group thinking
During the preparation of the Sanitation Policy Paper it was determined that:
- DFID needs documentation that supports its own personnel and internal processes with regard to raising the profile of sanitation – the document is not a generic advocacy piece;
- The policy paper should not ‘reinvent the wheel’, but rather draw on the existing corpus of work relating to sanitation
- It must be practical, usable and valuable for the target audience/s identified
- Sections in the document should allow the user to rebut typical arguments about why it may not be feasible to prioritise sanitation and offer practical guidance on how sanitation can be successfully programmed
- The paper should be based on the most credible and authoritative evidence available – supported in large part by field based experience.
During the above mentioned discussions, the reference group agreed that certain ‘unifying threads’ need to flow through the Sanitation Paper. Key messages included:
- Cross cutting connections that make sanitation valuable to other sectors
- Innovative approaches
- Sanitation as a development issue – the building block for broader development
Policy trends of relevance to DFID in relation to sanitation
Since the publication of DFID’s Target Strategy Paper for water ‘Addressing the Water Crisis’ there have been a number of events and advances in development policy thinking that affect the way that aid for water and sanitation is delivered by DFID.
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[^49]: [http://www.dfid.gov.uk/wp2006/default.asp](http://www.dfid.gov.uk/wp2006/default.asp)
[^50]: [http://www.dfid.gov.uk/pubs/files/global-action-plan-water.pdf](http://www.dfid.gov.uk/pubs/files/global-action-plan-water.pdf)
[^51]: [http://hdr.undp.org/hdr2006/report.cfm](http://hdr.undp.org/hdr2006/report.cfm)
Among these developments are:
- Confirmation of the MDG target for sanitation that was first agreed at the World Summit for Sustainable Development in Johannesburg in 2002;
- Launch of the EU water Initiative to enhance coordination and harmonisation of donors, followed by the launch of the ACP-EU Water Facility that provides funding at regional, national and sub-national level;
- Establishment of DFID’s Policy and Research Division that has changed the professional cadres with policy teams around specific development themes;
- Increased use of both General Budget Support and Sector Budget Support;
- Move towards the establishment of Sector Wide Approaches in the water sector;
- AfricaSan and SACOSAN (Africa and South Asia Sanitation Conferences), first held in 2003, that have successfully engaged senior government officials and Ministers in the debate on the importance of sanitation for development;
- CSD 12 and 13 that focused on water, sanitation and human settlements. UK led on sanitation for the EU at CSD 13. Meetings to take place in 2008 and 2012 to follow up on CSD 13 commitments;
- World Development Report 2004 Making Services Work for Poor People and the ‘Accountability Framework’;
- Strong and consistent drive from March 2005 (World Water Day speech 22 March 2005) by the Secretary of State for International Development for DFID and others, including the World Bank, to be more engaged and allocate (and spend) more aid for water and sanitation;
- DFID’s third White Paper “Making Governance Work for the Poor” established that DFID would consider water and sanitation service delivery as part of four Essential Public Services or Basic Services along with health, education and social protection and that 50% of DFID’s bilateral budget would be allocated to these basic services. WP3 also developed the Capability, Accountability and Responsiveness framework for the delivery of government services;
- DFID’s Call for a Global Action Plan that established the five ones (one annual global monitoring report; one high level global Ministerial Meeting on water; at country level, one national plan for water and sanitation; one coordinating body; and activities of the UN agencies in water and sanitation to be coordinated by one lead UN body under the UNDP country plan.
- UN Human Development Report 2006; “Beyond Scarcity: Power, Poverty and the Global Water Crisis”.
|
Interline fuel cell (I-FC) system with dual-functional control capability
Mustafa İnci
İskenderun Technical University, Department of Mechatronics Engineering, İskenderun, Hatay, Turkey
HIGHLIGHTS
• A novel concept called I-FC system is presented in this work.
• In I-FC concept, a single fuel cell system is connected to multi-feeders through separate inverters.
• A dual functional controller based on \( \alpha\beta-\text{dq} \) transform is developed and performed in the grid inverters.
• The system achieves to share active powers and attenuate the current harmonics, simultaneously.
ARTICLE INFO
Article history:
Received 25 July 2019
Received in revised form 29 September 2019
Accepted 16 October 2019
Available online xxx
Keywords:
Interline fuel cell
Grid inverters
Interfacing
Power sharing
Current harmonics
ABSTRACT
In this paper, a new system concept is presented for the grid connection of fuel cells. In conventional grid-connected systems, fuel cells ensure the generated power into a single electrical feeder and control the electrical-line through interfacing elements. In the proposed system, interline fuel cell (I-FC) system shares a common dc-dc converter tied fuel cell at the base of inverters and eliminates the additional fuel cell & dc-dc converter in a multi-feeder system. For this purpose, a fuel cell system is connected to multi-feeders through separate inverters, thereby sharing electrical power into the feeders and attenuating the harmonics at grid-side currents. In this direction, the proposed system presents an economical way for the mitigation of electrical problems for multi-feeders. In order to achieve the functional capabilities of I-FC system, dual-functional control is separately applied in the grid inverters. In the testing stage of I-FC, nonlinear loads in feeder I & feeder II create 31.29% and 27.61% total harmonic distortion (THD) at grid-side currents, respectively. With I-FC, the THD values are reduced to approximately 3% values in both feeders after the harmonic elimination capability. Also, I-FC allocates the active power to both feeders, and reduces the electrical power demand from the utility-grids. The evaluation results verify that I-FC system accomplishes the good performance to control power-sharing and attenuate the current harmonics at grid-side.
© 2019 Hydrogen Energy Publications LLC. Published by Elsevier Ltd. All rights reserved.
Introduction
The major reduction in fossil fuels and the environmental effects such as harmful gas emissions, natural events and the community health, play an important role to be interested in renewable energy generation systems that are environmentally friendly and clean. In renewable energy technologies, the role of fuel cell systems in a power plant is permanently increasing due to the energy demand. Because, the fuel cells...
are very desirable owing to their excellent characteristics: low/zero emissions, simple implementation, high efficiency and modular design [1–3]. Additionally, these structures ensure a significant way to balance power flows and regulate voltage/frequency in comparison to the discontinuous power supply such as wind and solar energy [4]. In recent years, fuel cell systems are integrated with the different electrical systems, and one of the fastest developments is the connection with grids [5–7]. The connection of fuel cells and electrical grids is entitled as grid-connected fuel cell system. This connection of fuel cells with grids is executed to lessen the electrical power demand supplied from the conventional supplies. By this way, it is understandable that the electrical power generated through fuel cell systems can be consumed immediately in electrical applications and/or be sold to the distribution firms [8,9].
Fuel cell power generation structures are conventionally connected in a single-electrical feeder to support the electrical grid power. This connection minimizes the instantaneous variations and improves the system performance and safety [10,11]. However, the electrical conversion is essential to transform the electricity from dc power to ac power in the grid-connected fuel cells [7,12]. Therefore, fuel cells are integrated to utility-grids via electronic converter based interface elements. In the integration process, dc-ac conversion and the power flow management from fuel cells to the grids are normally achieved through the inverter components [13,14]. In the interfacing components of grid/fuel cell systems, dc/dc converter is an element and its main function is to regulate the input-side voltage at the inverter by keeping in the range of ±5% [15]. In this context, it is obvious that the principal function of fuel cells connected to the grids is provided through inverters. Therefore, the function of the inverter is to control the active power delivered from the fuel cell to the grids/loads. In addition, it controls the reactive power flow between the fuel cell and the main grid [16].
In conventional grid-connected systems, fuel cell energy generation units are connected to the single feeders in order to supply controlled power [17]. Among structures connected to single-feeder, the systems include a fuel cell, a dc-dc converter, an inverter, an output filter and isolation transformer connected to the electrical grids. The main function of conventional grid connected fuel cell systems is to supply only active power for local loads/grids [18–31]. In addition to power flow control capability, the grid-connected fuel cell systems are also performed for additional functions [32]. Among these studies, a significant number of studies not only control power flow but also deal with the compensation of power quality problems [33,34]. In the grid connected fuel cell systems, current harmonics are the most hazardous problems, which are defined as distorted currents. At grid-side, these problems effect the current quality as the result of nonlinear loads. Also, current harmonics are distorted currents which [35]. In the grid connected fuel cell systems, total harmonic distortion (THD) at grid-currents should be smaller than 5% according to the defined IEEE 2014.519 standards [36]. In Refs. [12,26,37–41], current harmonics are analysed and compensated in order to prevent the negative influences in systems connected to single-feeder. In addition to current harmonic problems in the utility-grids, reactive power flow is discussed in Refs. [42,43]. Also, the studies in Refs. [15,44–46] are interested in voltage sag/swell that induce hydrogen pressure in fuel cells. The study in Ref. [47] presents a flexible control strategy with overcurrent limiting capability for fuel cell connected hybrid system. Also, a study is proposed to maximize power delivery capability for fuel cell tied hybrid system [48]. In Ref. [49], frequency problems are analysed in addition to power flow control capability. However, in almost all of the investigated studies, it is clear that the complete systems related to grid connected fuel cells are connected to single-line electrical grids through a single inverter system, as shown in Fig. 1. For this purpose, the current study presents a novel concept of interline fuel cell (I-FC) system in which two grid inverters in different feeders are connected to a common fuel cell energy generation unit. In the proposed concept, the grid inverters share a common dc-dc converter based fuel cell system in order to supply partial active powers for different feeders and achieve the simultaneous compensation current harmonics at both feeders. In this context, it eliminates an additional fuel cell and dc-dc converter in order to compensate current harmonics at separate multi-feeders. By this way, the present study introduces a
Please cite this article as: Inci M, Interline fuel cell (I-FC) system with dual-functional control capability, International Journal of Hydrogen Energy, https://doi.org/10.1016/j.ijhydene.2019.10.122
novel and economical approach for multiline current harmonic elimination in comparison with conventional systems connected to single-feeder. In the operational process of the proposed system, each inverter is operated in both power flow and harmonic attenuation modes.
In this paper, a single proton exchange membrane fuel cell (PEMFC) system with a dc-dc converter is designed to control two feeders by using separate inverters connected to single dc-dc converter based PEMFC. In the proposed topology, 19.3 kW grid-connected PEMFC system consisting of a Ballard Stack Modules-FCvelocity 9SSL is developed according to the operating principals of a PEMFC module. In the proposed system topology, the original contributions are given as:
- In I-FC system, PEMFC pattern applied in this paper is developed and validated according to the dynamic characteristics of the stack model.
- Grid-connected I-FC system is developed to supply shared active powers and attenuate the current harmonics by controlling two feeders, simultaneously.
- The system reduces the additional fuel cell/boost converter in comparison with a system connected to single-feeder. By this way, it is an economical way for multi-feeder system in order to provide current quality at grid-side.
- This paper also presents a dual-functional control scheme for I-FC system working in power supplying and current harmonics elimination in two different feeders.
- For the operation of grid inverters, \( \alpha\beta-\text{dq} \) transform based control method is developed for duel-functional control capability. For this purpose, the control algorithm is tested in two-feeders for two-functional capabilities: power flow control and current harmonic elimination.
This study is constructed as follows: the structural configuration of the grid-connected I-FC system is defined and
Table 1 – The design parameters of Ballard FCvelocity 95SSL.
| Parameter | Value | Unit |
|----------------------------------|----------------|--------|
| Cell number | 110 | [−] |
| Voltage at 0 A and 1 A | [106.15,104.61]| [V,V] |
| Nominal operating point | [260,73.4] | [A,V] |
| Maximum operating point | [320,64] | [A,V] |
| PEMFC active region | 285.8 | [cm²] |
| Anode capacity | 0.014 | [m³] |
| Cathode capacity | 0.00078 | [m³] |
| Stack capacity | 0.014 | [m³] |
| H combustion | 285.5 | [kJ mol⁻¹] |
| Faraday constant (F) | 96.485 | [C mol⁻¹] |
| Thermal capacitance | 17.9 | [kJ C⁻¹] |
| Water heat capacity | 4.184 | [kJ kg⁻¹ K⁻¹] |
| Universal gas constant | 8.314 | [J mol⁻¹ K⁻¹] |
Fig. 3 – Dc-dc boost converter in I-FC system.
its arrangement procedure is introduced in Section I-FC System and design. In Section I-FC Control, the dual functional controller scheme of I-FC system is given in detail. The computer experiments are exhibited in Section Performance results in order to validate the effectiveness of I-FC system. In the last section, a conclusion is summarized in Section Conclusion.
I-FC system and design
Fig. 2 shows the power circuit scheme of the grid-connected I-FC system arranged in the proposed system. According to the circuit scheme, I-FC consists of a single PEMFC module, a single boost dc-dc converter, and grid-inverters with output filters in order to control the power flow and harmonic elimination at two separate feeders. The detailed information of I-FC system configuration will be introduced in subsections.
PEMFC
In power system applications, PEMFC is the most common fuel cell type which generates electrical power in dc-form [13]. For this purpose, the dynamic model of PEMFC used in I-FC system is presented in this section. The electrical characteristic behavior of PEMFC is given in Eqs. (1)–(4) [50]. Also, the operating voltage of fuel cell is computed as [26]:
\[ V_{fc} = V_{oc} - V_{\Omega} - v_d \]
(1)
In which, \( V_{fc} \) is the instantaneous voltage at stack output, \( V_{oc} \) is defined as the open-circuit voltage, \( V_{\Omega} \) is the resistivity overvoltage and \( v_d \) is the absolute polarization overvoltage (the function of oxygen concentration \( CO_2 \) and \( I_{fc} \)), respectively [38]. The open-circuit potential value of PEMFC dependent to temperature and gas pressure is expressed below [38,44]:
\[ V_{oc} = K_c \left[ V_o + (T - 298) \frac{-44.43}{zF} + \frac{R_c T}{zF} \ln \left( \frac{P_{H_2} P_{O_2}^{1/2}}{P_{H_2O}} \right) \right] \]
(2)
where, \( K_c \) is a constant value in (kmol/sA⁻¹). In addition, \( T \) defines working temperature, \( R_c \) is the gas constant, \( F \) is...
Faraday constant, $P_{H_2}$ and $P_{O_2}$ are the gas pressure values, $V_i$ is an electromotive force for definitive pressure and $z$ indicates the number of electrons moving. Ohmic overvoltage is defined dependent to fuel cell’s current and structural resistance [26].
$$V_{ohmic} = i_f R_{ohmic} \quad (3)$$
The absolute polarization overvoltage is described as:
$$v_d = N \times A \times \ln\left(\frac{i_f}{i_s}\right) \quad (4)$$
$N$ indicates the cell number in PEMFC. Besides, $A$ and $i_s$ define Tafel slope and exchange current detailed in Ref. [38]. The model of Ballard FCvelocity 9SSL PEMFC power generation unit used in the study is developed and validated based on the dynamic stack structure. The design parameters of Ballard FCvelocity 9SSL are given in Table 1.
**Interfacing**
In interfacing, dc-dc converters and inverters are the main elements between fuel cells and grids. Among these converters, the function of dc-dc converter in the grid connection of a PEMFC is to stabilize the voltage at the output of fuel cell and provide the efficient conversion for the input of inverter [51]. In this regard, the principal goal of dc-dc converter is to keep the inverter’s input voltage fixed. In this study, boost topology is used to stabilize the voltage located between the fuel cell and grid inverters. In Fig. 3, the circuit scheme of a dc-dc boost converter is presented.
### Table 2 – The parameters and values of interface components between the fuel cell and grid.
| Dc-dc Converter-side | |
|----------------------|------------------|
| Type | Boost |
| Inductor ($L$) | 0.6 mH |
| Dc-link capacitor ($C$) | 10 mF |
| Reference | 120 V |
| Inverter-side | |
|----------------------|------------------|
| Type | H-bridge |
| Inverter I - Filter inductor & capacitor | 0.3 mH, 20 μF |
| Inverter II - Filter inductor & capacitor | 0.5 mH, 15 μF |
| Transformer I&II turn ratio (Np/Ns) | 0.4 |
### Table 3 – The specification of nonlinear loads connected to grid I and grid II.
| Feeder I | |
|----------------------|------------------|
| Grid Voltage | $220\sqrt{2}\sin(2\pi50t+0^\circ)$ |
| Nonlinear load type | Uncontrolled rectifier |
| R1 | 4 Ω |
| C1 | 3 mF |
| R2 | 2.5 Ω |
| Feeder II | |
|----------------------|------------------|
| Grid Voltage | $220\sqrt{2}\sin(2\pi50t+60^\circ)$ |
| Nonlinear load type | Uncontrolled rectifier |
| R3 | 3 Ω |
| C2 | 0.2 mF |
| R4 | 5 Ω |
In the dc-link control of boost converter, a PI controller is employed to generate reference signals for the switching process [52]. The PI controller takes the difference of actual voltage and the desired reference value to generate the required signal for triggering switch through pulse width modulation [53]. The dc-dc boost converter is operated in continuous mode and the switching time called duty cycle ($D$) determines the conversion ratio. The output voltage in boost converter is defined as:
$$V_{dc} = V_{fc}/(1-D) \quad (5)$$
where $V_{dc}$ is output voltage, $V_{fc}$ is fuel cell voltage and $D$ is duty cycle.
In the output of a fuel cell, the power/voltage are produced in dc form. However, these systems must ensure power to the main grids in ac form [54]. For this reason, the structures are connected to the grids through inverters. In the proposed study, the generated power is supplied from the fuel cell to the different feeders through separate grid inverters. The power and voltage at the fuel cell output are generated in dc form, but they must be supplied to the electrical grid in AC form [10,51]. For this purpose, inverters convert the dc voltage to ac voltage in order to supply the electrical energy into the grid [45]. Fig. 4 introduces the separate inverters with output filters and the isolation transformer in I-FC system.
The generated voltage at the output of H-bridge inverter is explained by using Fourier series. According to the Fourier series, the generated voltage includes merely odd harmonic parts in square-wave modulation technique [55]. The generated voltage by H-bridge inverter is written in Eqs. (6) and (7) [56]:
\[ V_o(t) = \sum_{n=1}^{\infty} V_n \sin(n\omega_b t + \theta_n) \]
(6)
\[ V_o(t) = \sum_{n-\text{odd}} \frac{4V_{dc}}{n\pi} \sin(n\omega_b t) \]
(7)
The fundamental control in I-FC system is achieved through separate inverters. However, they generate high-frequency noise signals in output voltages. For this purpose, LC filters are located at the outputs of parallel inverters for the elimination of switching ripples because of switching operation [57]. In addition, a step-up isolation transformer is located between grid-side inverter side [46,58]. The parameter and rating values of interfacing elements used in the I-FC system are presented in Table 2.
**Grid with nonlinear loads**
In the tested system, I-FC system is connected to multi-feeder electrical grids in the ratings of 220 Vrms/50 Hz. As shown in Fig. 5, full-bridge uncontrolled rectifiers are used as nonlinear loads in order to generate current harmonics which distort the power quality of grid currents [59]. Table 3 introduces the power ratings, impedance values and activation times of load banks.
**I-FC control**
The control steps for grid-inverters of I-FC system is introduced in Fig. 6. This controller is applied in the inverter parts of the I-FC system. The fundamental aims of the used method are to share active powers from the fuel cell to local loads and to reduce current harmonics in multi-feeder grids. Also, the detailed control mechanism of I-FC system is presented in Fig. 7. According to the controller mechanism, it consists of the four basic parts which are power control, current...
harmonic calculation, reference signal generation and switching process.
**Power sharing**
Inverter part is used to control the active/reactive power flow between the fuel cell and grid. In active power flow control, it is adjusted according to the fuel cell power rating. The real/reactive powers delivered by system I-part and system II-part are defined as $P_{sys,I}$ & $Q_{sys,I}$ and $P_{sys,II}$ & $Q_{sys,II}$. In I-FC system, the injected individual powers are the sum of supplied from the fuel cell. Therefore, the equations are defined as:
$$P_{total} = P_{sys,I} + P_{sys,II} \quad (8)$$
$$Q_{total} = Q_{sys,I} + Q_{sys,II} \quad (9)$$
In the proposed system, I-FC shares the supplied power into multi-feeders: feeder-I and feeder-II. The proposed system is designed to generate 18 kW power from fuel cells and to share it as 10 kW and 8 kW for feeder-I and feeder-II. However, the reactive power is not required to be transmitted to the system. For this purpose, the value of reactive power reference is adjusted to zero in order to provide zero reactive power flow between grid and inverters [28,45]. In this context, the actual voltages/currents at system-side are measured and used to calculate instantaneous power values. This is achieved by using $\alpha\beta$ transformation according to Clarke’s theory [45].
$$P_{sys,n} = \frac{1}{2} (V_{sys,n-\alpha}I_{sys,n-\alpha} + V_{sys,n-\beta}I_{sys,n-\beta}) \quad (10)$$
$$Q_{sys,n} = \frac{1}{2} (V_{sys,n-\beta}I_{sys,n-\alpha} - V_{sys,n-\alpha}I_{sys,n-\beta}) \quad (11)$$
In next step, the actual power magnitudes are transformed into dq frame [45]:
$$P_{sys,n} = \frac{3}{2} (V_{sys,n-d}I_{sys,n-d} + V_{sys,n-q}I_{sys,n-q}) \quad (12)$$
$$Q_{sys,n} = \frac{3}{2} (V_{sys,n-q}I_{sys,n-d} - V_{sys,n-d}I_{sys,n-q}) \quad (13)$$
In the grid side control, d-component is oriented in dq frame to control dc link voltage and power flow.
$$V_{sys,n-d} = V_{sys,n} \quad (14)$$
$$V_{sys,n-q} = 0 \quad (15)$$
According to the (14) and (15), the power equations are written in new form:
$$P_{sys,n} = \frac{3}{2} V_{sys,n-d}I_{sys,n-d} \quad (16)$$
It is clear that the real power is controlled by using only d component of current, and q component of system current is applied in reactive power control between inverter and grid [28]. By using reference and actual values of active/reactive powers, d and q components are calculated through PI and P controller, respectively [44].
\[
I_{ref,n-d} = K_p (P_{ref,n} - P_{sys,n}) + K_i \int (P_{ref,n} - P_{sys,n}) dt
\]
(18)
\[
I_{ref,n-q} = K_p (Q_{ref,n} - Q_{sys,n})
\]
(19)
where \( P_{ref,n} \) is power sharing value for inverter I and II, respectively. \( Q_{ref,n} \) is zero.
The actual d and q components of inverter currents are calculated by using \( I_{sys,n} \). In this transform, orthogonal signals are used as inputs. By using \( \alpha \) and \( \beta \) components, dq components are generated as below [45]:
\[
\begin{bmatrix}
I_{actual,n-d} \\
I_{actual,n-q}
\end{bmatrix} =
\begin{bmatrix}
\cos(\omega t) & \sin(\omega t) \\
-\sin(\omega t) & \cos(\omega t)
\end{bmatrix}
\begin{bmatrix}
I_{sys,n-\alpha} \\
I_{sys,n-\beta}
\end{bmatrix}
\]
(20)
\( I_{actual,n-d} \) and \( I_{actual,n-q} \) can be written as follows:
\[
I_{actual,n-d} = I_{sys,n-\alpha} \cos(\omega t) + I_{sys,n-\beta} \sin(\omega t)
\]
(21)
\[
I_{actual,n-q} = -I_{sys,n-\alpha} \sin(\omega t) + I_{sys,n-\beta} \cos(\omega t)
\]
(22)
By the subtraction of references and actual values, final currents are computed in dq reference frame. These equations are expressed as follows [28]:
\[
I_{error,n-d} = I_{ref,n-d} - I_{actual,n-d}
\]
(23)
\[
I_{error,n-q} = I_{ref,n-q} - I_{actual,n-q}
\]
(24)
In the inverse reference frame, the reference signal of power flow is converted from dq to \( \alpha\beta \). In this transformation, \( \alpha \) component gives the reference signal because of a single
---
**Fig. 8 – The characteristics of Ballard FC-velocity PEMFC stack.**
**Fig. 9 – The electrical waveforms at fuel cell output.**
**Fig. 10 – The power flow in I-FC connected grid system with local loads.**
phase system. The inverse dq to \( \alpha\beta \) transform is realized in this form [60,61]:
\[
\begin{bmatrix}
I_\alpha \\
I_\beta
\end{bmatrix} =
\begin{bmatrix}
\cos(\omega t) & -\sin(\omega t) \\
\sin(\omega t) & \cos(\omega t)
\end{bmatrix}
\begin{bmatrix}
I_{error,n-d} \\
I_{error,n-q}
\end{bmatrix}
\] (25)
By using inverse dq transform, the difference between actual and measured signals is defined as an error in the reference frame. In the controller, it is a single phase and only \( \alpha \)-output is used as an error signal (\( I_{p-error,n} = I_\alpha \)). It is written as follows:
\[
I_{p-error,n} = I_\alpha = I_{error,n-d} \cos(\omega t) - I_{error,n-q} \sin(\omega t)
\] (26)
**Harmonic extraction**
Current harmonics are extracted in the synchronous reference frame. For this purpose, the measured load currents are first transformed into \( \alpha \) and \( \beta \) components. In next step, these components are converted to d and q components.
\[
\begin{bmatrix}
I_{load,n-d} \\
I_{load,n-q}
\end{bmatrix} =
\begin{bmatrix}
\cos(\omega t) & -\sin(\omega t) \\
\sin(\omega t) & \cos(\omega t)
\end{bmatrix}
\begin{bmatrix}
I_{error,n-\alpha} \\
I_{error,n-\beta}
\end{bmatrix}
\] (27)
It is known that \( I_{load,n-d} \) and \( I_{load,n-q} \) consist of harmonic components in distorted current conditions. In dq frame, fundamental part is in dc form but harmonic components act as ac constituents [62]. The definitions of these components are given in:
\[
I_{load,n-d} = I_{load,n-d} + \tilde{I}_{load,n-d}
\] (28)
\[
I_{load,n-q} = I_{load,n-q} + \tilde{I}_{load,n-q}
\] (29)
where \( I_{load,n-d} \) and \( I_{load,n-q} \) are dc components, \( \tilde{I}_{load,n-d} \) and \( \tilde{I}_{load,n-q} \) are AC components. By using low-pass filters, \( I_{load,n-d} \) and \( I_{load,n-q} \) are extracted from \( I_{load,n-d} \) and \( I_{load,n-q} \). In continuation, harmonic components (\( \tilde{I}_{load,n-d} \) and \( \tilde{I}_{load,n-q} \)) are converted to \( \alpha \)-component by using inverse \( \alpha\beta \)-dq transform.
\[
[I_{har,n}] = [I_\alpha] = [\cos(\omega t) \; \sin(\omega t)]
\begin{bmatrix}
\tilde{I}_{load,n-d} \\
\tilde{I}_{load,n-q}
\end{bmatrix}
\] (30)
\[
I_{har,n} = \tilde{I}_{load,n-d} \cos(\omega t) + \tilde{I}_{load,n-q} \sin(\omega t)
\] (31)
**Fig. 11 –** The current waveforms for (a) feeder I with no harmonic control, (b) feeder II with no harmonic control, (c) feeder I with harmonic elimination capability, and (d) feeder II with harmonic elimination capability.
Reference signal and switching
Reference signal in multifunctional compensation consists of harmonics and dip/swell components. The compensation of harmonics is achieved with injection of inverse voltage in addition to dip/swell compensation. Therefore, reference signal is the sum of $I_{p-error,n}$ and inverse of $I_{har,n}$.
$$I_{error,n} = I_{p-error,n} + I_{har,n} \quad (32)$$
In which, $I_{error,n}$ is used in switching process.
The obtained reference signal ($I_{error,n}$) is employed in the hysteresis pulse width modulation to generate switching signals for H-bridge inverters [63]. The upper and lower values of the hysteresis band are adjusted according to the inverter current. Switches are triggered according to the following hysteresis rule:
$$I_{error,n} > h \rightarrow S_{1,n} \& S_{4,n} \quad (33)$$
$$I_{error,n} < h \rightarrow S_{2,n} \& S_{3,n} \quad (34)$$
In which, $h$ defines the hysteresis band. Also, it is selected as 0.02 in the proposed system.
Performance results
In this work, I-FC system is designed and tested by using 19.2 kW Ballard FC-velocity PEMFC stack. The designed system has been performed to protect multi-feeders against current harmonics and share active powers supplied from PEMFC to grids. For this purpose, nonlinear loads are connected to grids in order to create harmonic distortions in the ratings of 31.19% and 27.23%, respectively. By this way, the model has been constructed and tested via Simulink environment program. In order to analyze the grid-connected I-FC system, grid voltages are selected as 220 Vrms/50 Hz in 0-degree and 60-degree reference phase angles. The voltage and power characteristics curve of Ballard FC-velocity PEMFC stack are given in Fig. 8 according to the operating conditions. In nominal operating conditions, it is adjusted to generate approximately 18 kW power at output.
The electrical characteristics of the fuel cell during the operation state is introduced in Fig. 9. The waveforms show that the fuel cell voltage/current are equal to approximately 73 V and 263 A, respectively. The power supplied from fuel cell to grids is equal to nominal power 19.2 kW.
The grid-connected I-FC system is used to share supplied power and mitigate the current harmonics at grid-side currents. Fig. 10 presents the power waveforms in I-FC connected multi-feeder. In Fig. 10, it shows the power-sharing values for part I and part II of I-FC. $P_{total}$ is the value supplied from the fuel cell and is equal to the sum of $P_{sys,I}$ and $P_{sys,II}$. In feeder I, the system I supply 10 kW into the feeder I. But, the nonlinear load consumes 22.1 kW and ensure the 12.1 kW from the grid. While I-FC provides 8 kW for the system-II, nonlinear load II demands 10.9 kW in the steady-state. Therefore, it absorbs the remainder part from the grid-side.
Fig. 12 – THD spectrum for current harmonics (a) feeder I with no harmonic control, (b) feeder II with no harmonic control, (c) feeder I with harmonic elimination capability, and (d) feeder II with harmonic elimination capability.
In addition to the power supply by I-FC system, it can also attenuate the current harmonics due to nonlinear loads connected in feeder I and feeder II, as shown in Fig. 11. Among these loads, load I causes a harmonic distortion which its value is equal to 31.29% THD at grid-current. After the operation by I-FC with enabling the current harmonic elimination capability, the THD value at grid current reduces to 3.51% which is satisfied by IEEE-519 Std. 1993. When the power flow control capability is active without harmonic mitigation capability, THD value for grid-current at feeder II is 27.61% due to the load II. It should be noted that THD value drops to 3.18% after the harmonic elimination capability by I-FC system.
As presented in Fig. 12, FFT spectrum for grid-side current is given up to 25th harmonics. It is obvious that 3rd, 5th and 7th harmonics are the most considerable components which are greater than 5%. By the elimination with I-FC system, these components appear to be significantly reduced. The results show the harmonic orders up to 25th components.
**Conclusion**
In this work, a new approach in the grid-connected fuel cell system is developed and tested for two-feeder system. In the presented configuration approach, the tested system shares a common dc-dc converter with fuel cell and it is named as Interline Fuel Cell (I-FC) system. In comparison with a conventional systems, it aims an economical way to mitigate the current harmonic problems at grid-side for multi-feeders. Also, this system uses a common dc-dc converter/fuel cell with different grid inverters and achieves:
- To control power-sharing between lines and
- To mitigate the harmonic problems at grid-side currents.
For this purpose, a dual functional controller based on $a\beta$-$dq$ transform is performed in the grid inverters, separately. By using the controller, the reference signals of injected powers & current harmonics are obtained, respectively. The final reference signal which consists of power reference and current harmonics is separately used in the switching process for grid inverters. In the design process, the dynamic model of Ballard FCvelocity 9SSL is used in the I-FC system for a generation the required active power supplied to electrical feeders. Also, it is connected to grid-inverters through a dc-dc boost converter. The designed system achieves the power-sharing in the ratings of 10 kW and 8 kW for feeder I and feeder II. Also, the current harmonics due to nonlinear loads are significantly reduced to values less than 5% THD, which is defined by IEEE-519 standards. In order to show the differences before/after the harmonic elimination capability, THD spectrums of grid currents are presented for feeder I and feeder II.
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Our Lady of Mt. Carmel Church
120 Prospect Street, Nutley, New Jersey 07110
April 16, 2023
Rev. Paciano A. Barbieto, S.T.L.
Pastor
Deacon Aldo Antola
Retired Deacon
Sr. Mary Rose Conforto, MPF
Director of Religious Education
Andres Cardona
Director of Music Ministry
Amanda Andrade
Parish Administrative Assistant
Mass Schedule
Monday-Friday: 8:00 a.m.
Saturday Morning: 8:00 a.m.
Saturday, 5:00 p.m.
Sunday: 7:30 a.m., 9:15 a.m., 10:45 a.m. & 12:15 p.m.
Filipino Mass ~ Third Sunday of the month: 5:00 p.m.
Holy Days: As Announced
Sacrament of Reconciliation
Weekdays after the 8:00 a.m. Mass
Saturday: 2:00 p.m.
Devotions
Our Lady of Mt. Carmel Novena: Wednesday following the 8:00 a.m. Mass
First Friday Adoration: following the 8:00 a.m. Mass
Mission Statement
Our mission as a holy parish is to communicate and to celebrate the life and spirit of Jesus by our words and actions in order to build a dynamic, loving, caring and outreaching community of faith.
Rectory Hours
Monday-Friday: 9:00 a.m. to 4:00 p.m. during
The rectory is closed between 12:30 p.m. - 1:30 p.m.
Rectory Phone Numbers
(973) 667-2580
(973) 661-1623
Fax: (973) 667-0648
Emails
firstname.lastname@example.org
email@example.com
Website
www.olmc-nutley.org
Marriages
Please schedule at least ONE YEAR in advance of your wedding. Pre-Cana and other instruction sessions are required.
Sacraments of Healing
Please notify the parish office if someone is ill at home.
Baptisms
We request parents attend a Baptism Instruction Session before the birth of their child. The Sacrament of Baptism is usually celebrated the third Sunday of each month, except during Lent (when we will not celebrate the sacrament until Easter). All Baptisms are scheduled in person at the rectory.
Parish Membership
All are welcome to join our Parish Family. Parish policy requires registration to participate in Baptism, Marriage and Religion Classes. Please notify the office when a change of address or move occurs.
Mass Intentions
Saturday April 15
8:00 a.m. Jocelyn LaRoco ~ Living
5:00 p.m. Rosemary DeLanzo
Sunday April 16
7:30 a.m. Thomas Jumaque
9:15 a.m. Women’s Auxiliary
10:45 a.m. Carmen Esposito
12:15 p.m. Louis and Nancy Ferraro
Monday April 17
8:00 a.m. Jorge Bengzon
Tuesday April 18
8:00 a.m. Dominic Alessio
Wednesday April 19
8:00 a.m. Rafaela Sofia Truyol-Go ~ Living Birthday
Thursday April 20
8:00 a.m. Daminh Thao Pham
Friday April 21
8:00 a.m. Stephen Sawruk
Saturday April 22
8:00 a.m. Maruja Cubero
5:00 p.m. Jack Lawless
Sunday April 23
7:30 a.m. Mildred Bufanio
9:15 a.m. Living and Deceased Members of the Cucinello and Mazza Families
10:45 a.m. Theresa Lorenzo
12:15 p.m. Saccone and Tomasulo Families
Prayers for Health Reasons
Delfina Alessio, Frank Alvarenga, Ariel Andrade, Caren Angrisano, Melissa Benimeo, George Berkovich, Dorothy Bogacz, Charles Brunquell, Jesse Bruno, Eleanor Brush, Erlinda Cajigas, Rose Marie Candiloro, Rudolfo Clavecilla, Ronald Cozzarelli, Marion Dellanno, Ana Marie de Vera, Donald Di Benedetto, Joshua Di Costanzo, Richard Dinzes, Veronica Duff, Melanie Entena, Anna Marie Ferrante, Connie Garcia, Robert Griffin, Patricia Holevas, Justin, Carol Kaufman, Robert Krupinski, Lucille, Victoria Magalong, Rodrigo Magalong, Adelina Magra, Peter Maiorrello, Cynthia McDevitt, Melanie McGowan, Eve McKay, Madeline Micael, Lawrence Miller, Carmela Moeller, Frances Nawolski, Karen Ann Niles, Jack Nitz, Raffaela Notari, Karen P., Robert Palmer, Maria A. Penaranda, Evelyn Perry, Rosalie Petracco, Vincent Petracco, Anthony Petrillo, Simpnicia Ramirez, Richard Reidy, Albert Reyes, Jocelyn Reyes, Marie Rispoli, Jaxson Rivera, Robert D. Roberto, Roberto N. Roberto, Joanne Sacchetti, Josephine Senek, Damaso (Jun) Serrano, Susan, Margaret Strawn, John Tiseo, Mariana Toledo, James Tressito, Margarita Uffret, Diana Vaicels, Gina Villaggio, Eileen Wohlert, Dominick Zungri, Ramona Zungri
Mass Intentions
No Masses are available for the 2023 year. Also, come to the rectory to: Make an offering in honor or in memory of a loved one for The Sanctuary Light, Bread and Wine or Church Flowers.
If you need to visit or call the rectory on Mondays and it is not an emergency, we would sincerely appreciate your consideration and assistance in delaying your visit or call until after 11:30 a.m. Thank You!
Baptism Information
If you are expectant parents, please arrange to attend our Baptismal Instruction Program before the birth of your child. Baptismal Instruction and Baptisms must be scheduled in person, at the rectory. The next Baptism is April 16. Please visit our website to read guidelines for Godparents and for a complete Baptismal Schedule.
The Sanctuary Light honoring the Eucharistic Presence of Our Lord in the Tabernacle is lit in Honor and Memory of Madeline Verlingo
The Bread and Wine offering this week is in Honor of Stella Downey and John Barbosa
Weekly Collection
April 2: $6,799 Parish Assessment: $2,403
Holy Land: $2,640 Easter: $12,613
As you give to the Lord, may He bless you in return.
The Chaplet of the Divine Mercy
How to Recite the Chaplet
The Chaplet of Mercy is recited using ordinary rosary beads of five decades. The Chaplet is preceded by two opening prayers from the Diary of Saint Faustina and followed by a closing prayer.
1. Make the Sign of the Cross
2. Optional Opening Prayers
You expired, Jesus, but the source of life gushed forth for souls, and the ocean of mercy opened up for the whole world. O Fount of Life, unfathomable Divine Mercy, envelop the whole world and empty Yourself out upon us.
(Repeat 3 times)
O Blood and Water, which gushed forth from the Heart of Jesus as a fount of mercy for us, I trust in You!
3. Our Father
4. Hail Mary
5. The Apostles’ Creed
I believe in God, the Father almighty, Creator of heaven and earth, and in Jesus Christ, His only Son, our Lord, who was conceived by the Holy Spirit, born of the Virgin Mary, suffered under Pontius Pilate, was crucified, died and was buried; He descended into hell; on the third day He rose again from the dead; He ascended into heaven, and is seated at the right hand of God the Father almighty; from there He will come to judge the living and the dead. I believe in the Holy Spirit, the holy Catholic Church, the communion of saints, the forgiveness of sins, the resurrection of the body, and life everlasting. Amen.
6. The Eternal Father
Eternal Father, I offer you the Body and Blood, Soul and Divinity of Your Dearly Beloved Son, our Lord, Jesus Christ, in atonement for our sins and those of the whole world.
7. On the 10 Small Beads of Each Decade
For the sake of His sorrowful Passion, have mercy on us and on the whole world.
8. Repeat for the remaining decades
Saying the “Eternal Father” (6) on the “Our Father” bead and then 10 “For the sake of His sorrowful Passion” (7) on the following “Hail Mary” beads.
9. Conclude with Holy God (Repeat 3 times)
Holy God, Holy Mighty One, Holy Immortal One, have mercy on us and on the whole world.
10. Optional Closing Prayer
Eternal God, in whom mercy is endless and the treasury of compassion — inexhaustible, look kindly upon us and increase Your mercy in us, that in difficult moments we might not despair nor become despondent, but with great confidence submit ourselves to Your holy will, which is Love and Mercy itself.
TWO PILGRIMAGES WITH FR. ALEX BARBIETO
1- Our Lady of Guadalupe in Mexico City June 4-9, 2023. Visit the Shrine of Our Lady of Guadalupe, the Church of Santiago Tlatelolco, La Capilla Del Cerrito, San Juan Teotihuacan, the Archaeological Zone, the Pyramids, Blessed Miguel Pro, Viva Christo Ray, Puebla, the Church of the Fifth Apparition and other places. Cost is $ 2,690. Includes R/T airfare JFK/EWK, first class hotel, all meals with wine, fees for tour guides, admission fees, Masses, spiritual director, flight bags and portfolio, trips to hotel and restaurant. Also, an option for CANCUN (4 days) with an addition of $1,300. Interested to join? Call Fr. Alex at: 973-908-5498, or contact: A.M. Asia Tours and Travel, Inc. at 718-217-2384 or 917-701-4825 (Albert & Ampy Medenilla).
2- Greece, Greek Islands Cruise & Turkey September 30 - October 11, 2023. Visit the footsteps of St. Paul in Turkey and Greece, the Virgin Mary’s House in Ephesus, Istanbul, Troy, Pergamum, Ephesus, St. John Monastery, Smyrna, Aegean Cruise, Patmos, Crete, Santorini and Athens. Cost is $3,999. Includes airline taxes, international airfare from EWR airport, daily Mass, accommodation at 4 star hotels, breakfast and dinner daily, round trip transfers from airport to hotel; sightseeing and admission fees, hotel taxes, service charges and baggage handling. Not included: lunches during touring, personal expenses and gratuities for guides, driver, cruise staffs, optional trips and visa fees. Call Fr. Alex at: 973-908-5498, Genia at 973-202-4488 or Lety at 973-704-1545.
Religious Education
Confirmation:
April 28th 7:00 p.m.
www.olmc-nutley.org/religious-education
Come Sing With Us! 🎵
We are looking for members to join both Adult and Youth Choir! If you or your child enjoys singing, please contact Andres at 347-678-6702. Adult choir practice is each Wednesday night 7:30 p.m. (singing at the 12:15 Mass) and Youth choir practice is each Thursday night 7:00 p.m. (singing at the 10:45 Mass).
You Are Not Alone (YANA)
The Parish Bereavement Support Group meets the second Wednesday of the month from 7:30 - 9:00 p.m. in the Parish Hall. Meetings are postponed until further notice.
Communion for the Homebound
Upon request, Communion will be brought to any parishioner confined to the home. Please contact Denise at 973-542-0191. Reminder: those who are seriously ill, or weak from the burden of years, should request the Anointing of the Sick ~ to schedule: please contact the Rectory.
A special thanks to Rose Rebustes who donated a statue that will be put in our candle room. Also, thank you to the Mbouyo family who donated a new statue of The Blessed Mother. Your generosity is greatly appreciated!
Join Us...
Knights of Columbus
The group meets the first and third Tuesday of the month at 8:00 p.m. Meetings are held September through June. To join: email Ken at firstname.lastname@example.org or call the Rectory.
OLMC Rosary Society
The group meets the first Thursday of the month at 1:00 p.m. Our meetings will resume at a later date. For more information call Denise (973) 542-0191. New members welcome!
Women's Auxiliary
The group meets the second Monday of the month at 1:00 p.m. Our next meeting will be May 8. For more information call Linda, (973) 661-0090 or email at email@example.com. New members welcome!
2022 Tax Information
If you wish to receive a statement of your 2022 donations to OLMC, kindly provide your name, address and daytime phone number on the below form and place in the collection basket. If you would like your statement to be sent electronically, please add an email address to the form. You may also email your request to: firstname.lastname@example.org.
Please do not call the rectory to request this information.
Name: ________________________________
Address: ________________________________
Town/Zip: ________________________________
Daytime Phone: __________________________
Email: _________________________________
Food Pantry
Many people only donate to food pantries at holiday times. We sincerely appreciate your generosity throughout the year. Donations to our Food Pantry may include non-perishable foods: such as soups, sauces, pasta, rice, cereals, dry milk, canned foods, as well as toiletries.
Please check expiration dates before donating food. Please drop off food donations in one of the church vestibules. Please refrain from leaving donations on the porch of the rectory.
Parish Membership … Why is it Important?
In order for the parish to keep accurate records, please notify the parish office of any changes in your address or phone number. In order for us to testify to your ability for sponsorship in Baptism, Confirmation or witness to a Catholic marriage, it is necessary to be a registered member of this parish. To register, fill out the form below and place in the collection basket.
Quick Parish Registration Request
Our welcome mat is always out. If you enjoy worshipping at Our Lady of Mount Carmel Church, make us your official Parish by taking a few moments to register. You may also download a registration form on our website. All information is confidential.
I wish to register as a Parishioner of OLMC.
Name: ____________________________________________
Address: ___________________________________________
City/Town: _________________________________________
Telephone: _________________________________________
☐ New Registration ☐ Change of Address
Stewardship
We have an obligation to share with others that which God has given us. Share your time and talents. Everyone can become involved in the life of our Parish by becoming an Altar Server, Catechist, Choir Member, Lector or Usher. By taking an active role in the liturgical life, and service of the Parish, you can have a wonderful experience. Please complete the below form, and drop it in the collection basket or call the rectory.
Ministry Sign Up Form
Name: ____________________________________________
Address: ___________________________________________
Town/Zip: _________________________________________
Phone: ____________________________________________
I am interested in the following Ministry(ies):
☐ Altar Server
☐ Catechist
☐ Lector
☐ Choir
☐ Other ___________
Casino Trip
There will be a casino bus trip to Wind Creek Casino on Wednesday, April 26th. Cost is $40 per person with $25 free slot play. The bus will leave OLMC at 9:00 a.m. and be back in Nutley at approximately 6:00 p.m. If you are interested and would like to make a reservation, please contact Linda 973-661-0090. This event is being sponsored by OLMC Women’s auxiliary.
Sharing God’s Blessings Annual Appeal ~ 2023
Parish Goal 2023: $24,861
We are called to similarly share what is granted to us by God and return it to Him so that not one of our brothers and sisters goes without: without the gift of faith; without the essential human needs; and without a personal relationship with Our Lord. Will you join your brothers and sisters in Sharing God’s Blessings? May God bless you for your generosity!
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Analyzing inflammatory response as excitable media
Pernille Yde, Mogens Høgh Jensen, and Ala Trusina
Niels Bohr Institute, University of Copenhagen, Denmark
(Received 8 August 2011; published 18 November 2011)
The regulatory system of the transcription factor NF-κB plays a great role in many cell functions, including inflammatory response. Interestingly, the NF-κB system is known to up-regulate production of its own triggering signal—namely, inflammatory cytokines such as TNF, IL-1, and IL-6. In this paper we investigate a previously presented model of the NF-κB, which includes both spatial effects and the positive feedback from cytokines. The model exhibits the properties of an excitable medium and has the ability to propagate waves of high cytokine concentration. These waves represent an optimal way of sending an inflammatory signal through the tissue as they create a chemotactic signal able to recruit neutrophils to the site of infection. The simple model displays three qualitatively different states; low stimuli leads to no or very little response, Intermediate stimuli leads to reoccurring waves of high cytokine concentration. Finally, high stimuli leads to a sustained high cytokine concentration, a scenario which is toxic for the tissue cells and corresponds to chronic inflammation. Due to the few variables of the simple model, we are able to perform a phase-space analysis leading to a detailed understanding of the functional form of the model and its limitations. The spatial effects of the model contribute to the robustness of the cytokine wave formation and propagation.
DOI: 10.1103/PhysRevE.84.051913 PACS number(s): 87.18.Gh, 82.40.Ck, 05.45.−a
I. INTRODUCTION
Excitable media are naturally encountered in many biological systems. A typical excitable medium behaves in a manner much resembling spectators making a wave of raised hands at a sports game. The excitable units (or sections) get stimulated by their neighbors and amplify the exciting stimuli. At this stage the units are said to be in an excited state. Subsequent to excitation there is a recovery period in which new excitation is not possible, referred to as the refractory period. As a result of this behavior, spatially coupled excitable units are able to propagate undamped waves of high stimuli concentration through the system.
Some biological species have evolved to utilize the undamped waves that excitable media produce as a means of sending information through the system. Two well-known examples of biological excitable media are the neuron [1,2], which is able to propagate action potentials down the axon, and colonies of the social amoeba *Dictyostelium discoideum* [3,4], which propagate spiral waves of cyclic adenosine monophosphate (cAMP) and accordingly perform self-organized directed migration toward a common center. Both systems share the need for sending information through relatively large distances, where simple processes, such as, for example, diffusion, would not be adequate.
As recently shown by the authors, the regulatory system of nuclear factor κB (NF-κB) also contains the necessary components in order to exhibit “excitability,” i.e., behave as an excitable medium [5].
NF-κB is present in all mammalian cells and is known to play an important role during inflammatory response [6–8]. The NF-κB system is triggered by inflammatory cytokines and in turn amplifies the cytokine signal, thus creating an excited state in which cytokine production is high. But because NF-κB also triggers production of its own inhibitors, the excited state will not last: eventually inhibitor concentration will become abundant and bind all NF-κB, making it inactive and hence cytokine production ceases. As long as inhibitors are plentiful, new activation of NF-κB cannot result in an excitation comparable to the initial one, although NF-κB has been shown to exhibit secondary small-amplitude peaks [6,7]. Thus the state with high inhibitor concentration constitutes a refractory period.
As a result of this behavior tissue cells containing NF-κB regulatory systems should theoretically be able to propagate traveling waves of high cytokine concentration through the tissue. Since cytokines also function as a neutrophil chemoattractant, this scenario is in good agreement with the current belief that neutrophils chemotax in a similar fashion as *Dictyostelium d.*, namely, through waves of chemoattractant.
As recently shown, a simple model of spatially coupled NF-κB units (cells) naturally leads to the propagation of cytokine waves in the tissue [5]. The model is a simplification of the real NF-κB system and provides a useful tool for investigating and understanding the underlying mechanisms of the complex regulatory system. In this paper we present and analyze the model in greater detail and obtain a better understanding of the many mechanisms that the simple model captures. The findings of this paper can hence contribute to the general understanding of inflammatory response—in particular, how different components of the immune system may send and transmit information through the organism. In addition, these findings contribute to the understanding of neutrophil recruitment during inflammatory response.
II. MODEL
In order to create an excitable medium it is important that the excitable unit responds with a transient amplification of the stimuli (opposed to persistent amplification). This means that the excitable unit must be an adapter in the sense that the system must adapt to the new surroundings after a transient phase. It is experimentally observed that the NF-κB system responds with a pronounced initial peak in nuclear NF-κB and thereafter, secondary oscillation of much smaller amplitude [6,7]. The damped oscillatory behavior arises due to several...
Inhibitors performing negative feedback, but for our purpose it is sufficient to note that the secondary behavior is of much smaller amplitude than the initial peak, and hence the NF-κB system is an adapter.
In order to analyze the system we have constructed a simple model which captures the overall behavior of the NF-κB system. (We have verified our results by also simulating the system in greater detail, including several inhibitors and upstream regulators, and confirm that the qualitative behavior is also exhibited for this more sophisticated model.) The NF-κB system is simplified as sketched in Fig. 1. Cytokines such as tumor necrosis factor (TNF), interleukin-1 (IL-1), and interleukin-6 (IL-6) stimulate the NF-κB system though the IκB kinase (IKK). The cytokines are simulated by a single variable which we denote $T$. When IKK is activated inhibitors are degraded and NF-κB is released, translocating into the nucleus where it is active. Thus the concentrations of IKK and NF-κB follow each other and can be simulated by one variable, which we denote $N$. The inhibitors ($\text{IkB}_{\alpha,\beta,\varepsilon}$) and upstream regulators (A20, cesanne) all cause either IKK or NF-κB concentration to go down. These inhibitors and regulators are simulated by a “regulator” variable which we denote $R$.
The effect of inhibitors and other regulators is to perform a negative feedback on NF-κB, and is modeled by a simple negative feedback loop (see interactions between $N$ and $R$ in Fig. 1). These interactions can be described by the equations
$$\frac{dN}{dt} = k_{\text{activate}} f(T) \times (N_T - N) - k_{\text{inhibit}} R$$ \hspace{1cm} (1)
$$\frac{dR}{dt} = r_{\text{on}} N - r_{\text{off}} R$$ \hspace{1cm} (2)
The activation of $N$ corresponds to translocating NF-κB into the nucleus. This term is proportional to some function of the cytokine concentration ($T$) and the amount of cytoplasmic NF-κB (we assume the total amount of NF-κB ($N_T$) is constant. Thus the amount of NF-κB which is available for activation is given by the amount of cytoplasmic NF-κB; $N_C = N_T - N$) [9].
Inhibition of NF-κB is proportional to the amount of inhibitors $R$ and is considered to be saturated in $N$. (Simulations have shown that this approximation does not introduce an error of noticeable size.)
The activation of $R$ is proportional to $N$ and inactivation of $R$ is modeled as a spontaneous degradation, only proportional to $R$. In order for this simple model to function as an adapter, it is important that the rate constant $r_{\text{off}}$ is slow compared with the other rate constants of the system [5,10].
When the NF-κB network is stimulated by cytokines it responds by up-regulating hundreds of genes, including those coding for cytokine production. The newly synthesized cytokines are secreted into the extracellular matrix, where they can again stimulate the IKK pathway. Thus the interaction between NF-κB and cytokines constitutes a positive feedback (see interactions between $N$ and $T$ in Fig. 1).
The local concentration of cytokines ($T$) is modeled by the equation
$$\frac{dT}{dt} = p \frac{N^2}{N^2 + K^2} - \frac{T}{\tau} + S.$$ \hspace{1cm} (3)
NF-κB–induced production of cytokines is proportional to the rate constant $p$ (for positive feedback) and to the Hill function $N^2/(N^2 + K^2)$, because NF-κB is a dimeric transcription factor. As we shall see below, this term could also be modeled as a simple linear response ($pN$) and still give similar results. The cytokine degradation is modeled by a simple linear decay with a typical lifetime $\tau$. The term $S$ represents an additional cytokine production functioning as an external stimuli: during inflammatory response cytokines are secreted from nearby macrophages, which would correspond to a small flux of cytokines. This flux is “turned on” at time $t = 0$ and is modeled by a step function
$$S = \begin{cases} 0 & \text{for } t < 0 \\ S_{\text{on}} & \text{for } t > 0, \end{cases}$$ \hspace{1cm} (4)
where $S = 0$ corresponds to no stimuli. In the case of spatially coupled cells only the cytokines are secreted into extracellular space, and hence only the variable $T$ is allowed to diffuse in between cells. In this case the equation describing cytokine concentration (at the $i$th cell) is given by
$$\frac{\partial T_i}{\partial t} = p \frac{N_i^2}{N_i^2 + K^2} - \frac{T_i}{\tau} + S_i + D \frac{\partial^2 T_i}{\partial x^2},$$ \hspace{1cm} (5)
with the only difference being the addition of the diffusion term.
For the system to react as an excitable medium the activation of the excitable units must be strongly thresholded. This threshold is in accordance with recent experimental findings [11,12]. We implement this by modeling the activation of NF-κB with a sigmoidal response to $T$ (and Hill coefficient = 3):
$$f(T) = \frac{T^3}{T^3 + K_A^3}.$$ \hspace{1cm} (6)
The variables have been renormalized in the following way: $N \rightarrow N/N_T$ and $T \rightarrow T/K_A$, which is equal to putting the parameters $N_T$ and $K_A$ [Eqs. (1) and (6)] equal to unity (and redefining the remaining parameters [5]). This also means that
FIG. 2. (Color online) Simulation of reaction to stimulus using Eqs. (1), (2), and (3). The stimulus is turned on at time $t = 0$ [see Eqs. (3) and (4)]. Top panels: cytokine concentration ($T$). Middle panels: Active NF-$\kappa$B concentration ($N$). Bottom panels: regulator concentration ($R$) (representing the combined effect of all inhibitors). The unit $[M]$ stands for molar concentration. $K_A$ and $N_T$ are normalization constants of $T$ and $N$, respectively. (a) The weak stimulus ($S = 0.5 \text{ M}/(\text{K}_A \text{ hr})$) causes $T$ to increase a little but not enough to activate $N$. The system comes to rest in a new steady state with low concentrations of all three variables. (b) The intermediate stimulus ($S = 1 \text{ M}/(\text{K}_A \text{ hr})$) causes the system to oscillate. The increase in $T$ exceeds the triggering threshold for activating $N$ and consequently, all variables rise to high levels. The high level of $R$ inhibits $N$, which decreases back to almost prestimulation levels after approximately 2 hours. At low $N$ level $T$ and $R$ will begin to decrease; $R$ decreases slowly because of the slow degradation rate $r_{\text{off}}$ [see Eq. (2)]. After approximately 9 hours $R$ has decreased back to prestimulation levels and the system spikes again. (c) At high stimulus ($S = 2 \text{ M}/(\text{K}_A \text{ hr})$) the system will not settle back to prestimulation levels, because the inhibition from $R$ is not enough to drive $N$ back down, once the positive feedback is present. As a result, the system comes to rest in a new steady state in which both $N$ and $T$ levels are much higher than triggering levels. $R$ is sustained at a high level, creating an infinite refractory period.
The cytokine triggering threshold for activating $N$ is reached when $T$ exceeds $T^* \approx 1$.
The parameter $K$ [Eqs. (3) and (5)] describes the NF-$\kappa$B positive-feedback threshold for internal transcription of cytokines. To achieve maximal sensitivity to $N$ this parameter was chosen to match approximately half-maximum of the initial $N$ peak, which gave $K = 0.3$. ($N$ reaches a maximum of $\approx 0.6$ in our simulation.)
The rate constants $k_{\text{activate}}$, $k_{\text{inhibit}}$, $r_{\text{on}}$, and $r_{\text{off}}$ have been fitted to match the typical time scale of the NF-$\kappa$B initial peak ($k_{\text{activate}} = k_{\text{inhibit}} = r_{\text{on}} = 5.0 \text{ hr}^{-1}$ and $r_{\text{off}} = 0.5 \text{ hr}^{-1}$). The lifetime and diffusion constant of TNF have previously been estimated [13] and are used here as the cytokine lifetime, $\tau = 25$ minutes, and diffusion constant, $D = 2 \times 10^{-7} \text{ cm}^2/\text{min}$. Thus the only free parameter of our model is the parameter $p$. This parameter sets the strength of the positive feedback, and as we shall see in the Results section, this parameter can be varied to be both too small, not obtaining an adequate feedback, or too large, making the system incapable of returning to resting state.
III. RESULTS: TEMPORAL BEHAVIOR OF A SINGLE CELL
The system described by Eqs. (1), (2), and (3) is simulated starting from an initial steady state where all concentrations are low and there is no stimuli ($S = 0$). At time $t = 0$ the system is stimulated by “turning on” the small cytokine flux ($S = S_{\text{on}}$). Had there been no interaction with NF-$\kappa$B, $T$ would increase to a steady-state level given by a balance between $S_{\text{on}}$ and $\tau$ [see Eq. (3)]. But if the stimulation $S_{\text{on}}$ is strong enough (roughly speaking, if $T$ exceeds the threshold $T^* \approx 1$), the system will respond with an up-regulation of $N$, which in turn amplifies $T$ to values manyfold larger than the initial stimulation. Depending on the value of $S_{\text{on}}$, three qualitatively different scenarios can be achieved: if $S_{\text{on}}$ is too small the increase in $T$ will not activate $N$ [Fig. 2(a)]. If $S_{\text{on}}$, on the other hand, is large enough to make $T$ exceed the triggering threshold, $T^* \approx 1$, $N$ will increase and cause $T$ to increase further [Figs. 2(b) and 2(c)]. As a result $N$ will also increase to a high level and consequently activate production of its own inhibitors: $R$ begins to increase. As $R$ peaks the negative feedback causes $N$ to decrease and settle back to lower values. If $S_{\text{on}}$ is large, [Fig. 2(c)] a new steady state will be obtained in which $R$ is high and both $N$ and $T$ are balanced at levels significantly higher than prestimulation values [Fig. 2(c)]. Interestingly, intermediate values of $S_{\text{on}}$ [Fig. 2(b)] will lead to situations where $N$ and $T$ settle back to prestimulation values when $R$ is high. Because $N$ decreases to such low values, the inhibitor $R$ will also start to decrease, although this is a slow process because of the slow degradation rate $r_{\text{off}}$ [see Eq. (2)]. When $R$ decreases sufficiently $N$ is no longer inhibited and after some time $N$ and $T$ can peak again [Fig. 2(b)].
A. Phase-plane analysis of the system
The intermediate $S_{\text{on}}$, leading to oscillatory behavior, is of course a very interesting situation. The system has many things in common with classical excitable media, such as, e.g., the Belousov–Zhabotinsky reaction, and we follow an approach similar to the one described in the review by Meron [14].
Notice that $N$ and $T$ are fast variables whereas $R$ is a rather slow variable. Thus the model contains two effective time scales and we can assume that $N$ and $T$ will effectively reach steady state and follow changes in $R$ adiabatically. In order to understand the system in greater detail, we plot the nullclines of $N$ and $T$ for fixed values of $R$. The nullclines are plotted in $N$–$T$ space (see Fig. 3). Before stimulation ($t < 0$) the
FIG. 3. (Color) The situation shown in Fig. 2(b) is here shown in the phase plane of $N$ and $T$. Nullclines are plotted in blue ($dN/dt = 0$) and green ($dT/dt = 0$) lines. Stable fixed points are indicated with solid red dots. Unstable fixed points are indicated with dashed red circles.
Initially ($t < 0$) the system has three fixed points located at the intersections of the nullclines. Two of these fixed points have low $N$ and $T$ values and are shown in the zoom of panel (a) (first panel). The system is at rest in the low stable fixed point, which we refer to as fixed point A. At time $t = 0$ the stimulus $S$ is turned on [see Eqs. (3) and (4)], causing the $T$ nullcline to shift to the right as shown in the zoom of panel (a) (first panel). Consequently, fixed point A and the unstable fixed point disappear in a saddle-node bifurcation and the system starts to evolve toward the fixed point with high $N$ and $T$, which we refer to as fixed point B [see panel (a)]. As $N$ increases, $R$ will also increase [see Eq. (2)], causing the $N$ nullcline to move as shown in panels (b)–(e). The system will dynamically change and always evolve toward the stable fixed point, eventually causing $N$ and $T$ to decrease [panels (d)–(f)]. At some point $R$ becomes so large (the $N$ nullcline has moved so far) that fixed point B disappears in a saddle-node bifurcation [panels (d) and (e)], and the system will now evolve toward fixed point A which has been re-established [since panel (b)]. At this point $N$ has decreased back to a relatively low level and $R$ will consequently begin to decrease, causing the $N$ nullcline to move back [panels (f)–(h)]. Meanwhile, the system is caught in the basin of attraction of fixed point A [see panel (g)] and will move toward this fixed point [panel (h)]. Eventually, $R$ has decreased sufficiently and the $N$ nullcline has moved such that fixed point A disappears again and the system begins a new round in phase space [panel (i)]. The times corresponding to the panels are: (a) $t = 0.0$ to $1.0$, (b) $t = 1.1$, (c) $t = 1.2$, (d) $t = 1.4$, (e) $t = 1.6$, (f) $t = 2.0$, (g) $t = 2.7$, (h) $t = 3.7$, and (i) $t = 9.1$ hours. Panel (j) shows the nullclines as they would look if cytokine production (up-regulation of $T$) had been modeled with a simple linear term $\rho N$ instead of the sigmoidal term $(N^2/(N^2 + K^2))$ used in Eq. (3).
Nullclines intersect in three distinct fixed points—two stable fixed points separated by an unstable fixed point in between. We refer to the two stable fixed points as fixed point A and fixed point B. For $t < 0$ fixed point A and the unstable fixed point lie very close to each other in $N-T$ space, and both have relatively low levels of $N$ and $T$. [See intersections of dotted green line and blue line in the first panel of Fig. 3 (zoom of panel (a))].
When $S$ is shifted from $S = 0$ to $S = S_{\text{on}}$, the $T$ nullcline is shifted to the right by an amount $\delta = \Delta S \tau$. Hence, if $S_{\text{on}}$ is large enough, fixed point A and the unstable fixed point will disappear in a saddle-node bifurcation, and the only fixed point of the system is now fixed point B [Fig. 3(a)]. As the system begins to evolve toward fixed point B, $N$ increases and causes $R$ to increase correspondingly. As this happens the $N$ nullcline will begin to move, dynamically changing the phase space as shown in Figs. 3(a)–3(c). The system will continuously evolve toward fixed point B as it moves “down” [Figs. 3(a)–3(c)], eventually making $N$ and $T$ decrease [Fig. 3(d)]. While the $N$ nullcline moves, fixed point A and the unstable fixed point have re-established in a new saddle-node bifurcation [since Fig. 3(b)]. Eventually $R$ will increase to such high values that fixed point B coalesces with the unstable fixed point and disappears in a second saddle-node bifurcation [Figs. 3(d) and 3(e)]. Now the system will evolve toward fixed point A, causing $N$ and $T$ to decrease back to almost prestimulation values [Figs. 3(e) and 3(f)]. As $N$ is no longer high, $R$ will no longer be up-regulated and will begin to decrease because of spontaneous degradation. This will cause the $N$ nullcline to move “back” [as shown in Figs. 3(f)–3(h)], although as mentioned above this is a slow process (because of slow $r_{\text{off}}$). As the $N$ nullcline moves, fixed point B and
the unstable fixed point are re-established [Fig. 3(g)], but now the system is caught in the basin of attraction of fixed point A [Fig. 3(g)]. As $R$ slowly decreases, the system rests in fixed point A [Fig. 3(h)]. Eventually, the $N$ nullcline has moved such that fixed point A and the unstable fixed point once again disappear in a saddle-node bifurcation, and the system will once again make a round in the phase space [Fig. 3(i)].
The three qualitatively different scenarios of Fig. 2 can be well understood from an investigation of the phase space. In order to exhibit oscillations the system must be able to undergo the two saddle-node bifurcations described above: first, fixed point A and the unstable fixed point coalesce, and second, fixed point B and the unstable fixed point coalesce. The value of $S_{\text{on}}$ sets the size of the $T$-nullcline shift, $\delta = \Delta S$ (recall Fig. 3, first panel). A too-small $S_{\text{on}}$ will not cause the first bifurcation because the $T$ nullcline is not shifted far enough. A too-high $S_{\text{on}}$ will inhibit the system from undergoing the second bifurcation because the shift is too large and the system will come to rest in fixed point B.
As mentioned in the Model section, we could also choose to model the positive feedback from NF-$\kappa$B on cytokine production as a simple linear response, $pN$, instead of the sigmoidal response, $N^2/(N^2 + K_A^2)$, which is only valid if NF-$\kappa$B is truly a dimeric transcription factor [see Eq. (1)]. In this case the $T$ nullcline would be a straight line and the $N$ nullcline would remain unchanged. We plot this situation in Fig. 3(j), from which it can be inferred that such a simplification of the model would lead to similar results. From this plot we conclude that at least one of the nullclines must have a sigmoidal form in order to obtain a bistable system. This means that a smaller Hill coefficient, $H = 2$, would suffice in Eq. (6). Hence a minimal model could be obtained by modeling $N$ and $T$ dynamics by the equations
$$\frac{dN}{dt} = k_{\text{activate}} \frac{T^2}{T^2 + K_A^2} \times (N_T - N) - k_{\text{inhibit}} R,$$
$$\frac{dT}{dt} = pN - \frac{T}{\tau} + S.$$
Compare with Eqs. (1), (3), and (6).
**FIG. 4.** (Color online) (a) The slope of the $T$ nullcline (dashed green line) becomes steeper as $p$ decreases and flatter when $p$ increases. The $N$ nullcline (solid blue line) is shown for two different values of $R$ and will move from the high plateau to the low plateau as $R$ increases (recall Fig. 3). In the case of small $p$ the $N$ nullcline will not need to move very far before fixed point B (recall Fig. 3) has moved to relatively low levels of $N$ and $T$, hence creating a situation as shown in Fig. 2(a), where the system comes to rest in fixed point B. In the case of high $p$ the system will also come to rest in fixed point B, which in this case is created at high $T$ levels. $R$ will never become large enough to make fixed point B disappear in a bifurcation and the system is locked in fixed point B. (b) Combinations of the parameters $p$ and $\tau$ which lead to oscillatory behavior. The color of the graph indicates the frequency of the oscillations.
**B. The excitability of the system depends on the strength of positive feedback $p$**
The effect of the positive feedback can be understood by investigation of the nullclines upon variation of $p$ [see Eq. (3)]. The slope of the $T$ nullcline is roughly set by $p$ [see dashed green lines in Fig. 4(a)]. Qualitatively there are three distinct behaviors with weak, intermediate, and strong feedback being similar to the three states with weak, intermediate, and strong stimuli in Fig. 2.
If $p$ is small ($p \approx 10$) the slope of the $T$ nullcline is very steep and hence fixed point B will have a small $T$ value. The system cannot get excited as even a small increase in $R$ will move fixed point B down to low $N$ and $T$ values and the system will have only a very small round in the phase space before reaching this fixed point. The system comes to rest in fixed point B, because $R$ will never become large enough to cause the second saddle-node bifurcation. The resulting situation is very similar to the one in Fig. 2(a).
On the other hand, a strong positive feedback ($p \approx 100$) allows for a single excitation followed by an infinite refractory period. Large $p$ makes the slope of the $T$ nullcline flatter [Fig. 4(a)]. Right after the stimulus is induced the system follows a long trajectory in the phase space, resulting in a spike in $N$ and $T$. However, the system comes to rest in fixed point B because the maximal $R$ value is not high enough to move the $N$ nullcline sufficiently far down for fixed point B to disappear in a saddle-node bifurcation. In this case fixed point B has significantly higher $N$ and $T$ levels, meaning that the cytokine concentration is sustained high above the triggering level. The relatively high $N$ level causes $R$ to be sustained at a high level, hence creating an infinite refractory period. This situation will be very similar to the one shown in Fig. 2(c). We refer to this situation as a locked state because the nullclines are locked in fixed point B, even when the stimulus is removed. In the picture of inflammatory response the locked situation would correspond to *chronic inflammation*.
The nullclines of the system can of course also be altered by other parameters of the model, and in order to explore changes in cytokine production we have varied the parameter $\tau$ which determines the typical lifetime of the cytokines before they are degraded (the inverse degradation rate). Hence a high
$p$ (a high production rate of cytokines) should be counteracted by a low $\tau$ in order to keep the cytokine concentration balanced such that it can repeatedly transcend the triggering threshold at $T^* \approx 1$, corresponding to repetitive rounds in phase space as shown in Fig. 3. In other words, the nullclines must lie such that they are able to undergo saddle-node bifurcations both at fixed point A and at fixed point B. Whereas $p$ sets the slope of the $T$ nullcline, $\tau$ sets the size of the shift to the right when the stimulus $S$ is introduced. The frequency at which the system can spike depends on how fast the system will undergo the two bifurcations. In Fig. 4(b) we show a plot of the combinations of $p$ and $\tau$ which lead to self-oscillatory situations together with their spiking frequencies.
IV. RESULTS: SPATIOTEMPORAL MODEL OF THE TISSUE LEADS TO PROPAGATING WAVES
When the cells are coupled in space and cytokines are allowed to diffuse between them, waves of high cytokine concentration arise [see Fig. 5(a)]. We have constructed a spatial model consisting of a one-dimensional lattice of cells. Every cell is able to regulate cytokine production as described in Eqs. (1), (2), and (5), and only the variable $T$ is allowed to diffuse between cells. We use open boundaries representing the bloodstream in which the cytokines ($T$) will be absorbed. During inflammatory response only cells at the site of infection would be subject to the external stimulus $S$ [see Eq. (5)], and we simulate this by adding the external stimulus $S$ only to the central cell of the one-dimensional lattice: $S_i = S \times \delta(t,0)$. Adding the diffusion term [see Eq. (5)] causes the effective removal of cytokines to become larger, and in order to counteract this we have increased $S$ tenfold compared to the above ($S_{\text{in}} = 10 \text{ hr}^{-1}$).
At time $t = 0$ the central cell is stimulated and starts to amplify the cytokine concentration. The cytokines will diffuse to neighboring cells which consequently also get stimulated, and thus a wave is created. We stress that the second (and later) waves arise because of the oscillatory behavior of the central cell which will initialize new waves that can propagate through the system. The cells which do not feel the external stimulus $S$ will only get stimulated when they feel a spillover of cytokines from their neighbors. Hence the situation is indeed cooperative in the sense that the cytokine wave is truly propagated from one cell to the next; the cells are not oscillating individually. If the external stimulus $S$ is removed from the central cell, no new waves will be initialized and the system will settle back to rest as soon as the last wave has reached the absorbing boundary.
A. Space contributes to the robustness of the model
An interesting observation is that the spatial model seems more robust toward creating repetitive waves. In Fig. 5(d) we plot the combinations of $p$ and $\tau$ which lead to propagating
![FIG. 5. (Color) (a)–(c) Space-time plots of the cytokine ($T$) concentration for three different values of the parameter $p$, which describes the strength of the positive feedback between $N$ and $T$ (see Eqs. (1), (2), and (5)). (a) The central cell is stimulated at time $t = 0$ and initializes waves of high cytokine concentration which are propagated through the spatial system. (b) At higher values of $p$ the positive feedback is so strong that the system becomes flooded with cytokines (the cells are in the locked state described in the text). But diffusion effects from the absorbing boundaries enable the system to resettle to prestimulation values and new waves can propagate. (c) If $p$ is very large only the cells close to the boundary will be able to escape the locked state. Here oscillations will arise even though $p$ is very high. Notice the different time scales. (d)–(f) Combinations of $p$ and $\tau$ which lead to repetitive waves in the spatial model. We plot frequency (d), velocity (e), and amplitude (f).]
waves. As can be seen from the plot, there are far more $p$-$\tau$-combinations that lead to repetitive waves than in the case of a single isolated cell [recall Fig. 4(b)]. Figures 5(d)–5(f) also display how typical wave characteristics such as frequency, velocity, and amplitude change with $p$ and $\tau$. Velocity and amplitude of the waves grow with increasing $p$ (and decreasing $\tau$), which leads to strong and fast cytokine production. On the other hand, the frequency is highest where $p$ and $\tau$ are correctly balanced, in order to be able to undergo the saddle-node bifurcations, described above, as fast as possible.
The reason why the spatial model is more robust can be found in the effects of diffusion. In the nullcline picture, the diffusion term [see Eq. (5)] acts to shift the $T$ nullcline horizontally (see Fig. 6). As opposed to the external stimulus $S$, which also shifts the $T$ nullcline horizontally, the diffusion term can become both positive and negative. A positive diffusion term corresponds to cytokines diffusing in from the neighbors, leading to an increased positive flux of cytokines and hence a shift of the $T$ nullcline to the right [see Fig. 6(a)]. In this situation the diffusion terms acts as a stimulus just like $S$, but a stimulus which travels through space and stimulates the cells one by one, creating a wave. On the other hand a negative diffusion term, meaning that cytokines diffuse away, leads to a shift of the $T$ nullcline to the left. The spacial organization increases the chance that somewhere between the source and the absorbing boundary there will be a cell where the positive and negative diffusion terms balance such that cells can undergo saddle-node bifurcations at both fixed points. If, for example, $p$ is high, a group of cells near the center become locked in fixed point B (locked state). For cells further away from the source a large negative diffusion term will shift the $T$ nullcline to the left [see Fig. 6(b)]. In this situation the diffusion term unlocks the system so that it will again be able to undergo the bifurcation; hence the diffusion term expands the parameter space that can undergo both bifurcations and hence create waves.
Of course, some combinations of the parameters $p$ and $\tau$ will lead to situations where most cells in the system cannot undergo bifurcations because diffusion is not strong enough. This can lead to situations where almost all cells become locked in fixed point B [see Fig. 5(c)]. In this situation we still observe oscillations but only close to the boundaries. These oscillations arise because the diffusion term will be very large and negative close to the boundary. Hence the cells which are close enough to the boundary will always be able to undergo bifurcations and oscillate. In Fig. 5(b) we show an intermediate situation where diffusion into the absorbing boundaries also plays a large role — it enables the system to oscillate, although with a smaller frequency.
V. CONCLUSION
The simple model presented in this paper captures many of the most important features of the NF-$\kappa$B system, although it is highly simplified and consists of only three variables. The model essentially consists of a coupled positive and negative feedback, which makes it able to transiently amplify a signal of high cytokine concentration. This simple system provides a good tool for investigating and understanding the interactions between NF-$\kappa$B and cytokines, especially because it makes it possible to explore the phase space, thereby achieving a greater understanding of the parameters.
The model captures how a single unit (cell) can become an oscillator if it is stimulated appropriately (close to the site of infection), but also how it can simply pass on the signal if it is stimulated transiently (in tissue farther away).
From phase-space analysis we conclude that the system is bistable and able to oscillate because it can undergo bifurcations, shifting the system between low and high fixed points [14]. The phase-space analysis also provides a useful understanding of the unknown parameter $p$, describing the strength of the positive feedback between NF-$\kappa$B and cytokines. We find that the positive feedback must have an appropriate intermediate strength in order to create oscillations. Too-weak positive feedback leads to almost no response, whereas too-strong positive feedback leads to a sustained strong amplification of cytokine concentration, a situation which can be related to chronic inflammatory response.
A spatial model is highly relevant for understanding possible spatial effects that might appear in nature and which are not captured in most laboratory experiments because of space-averaging or mixing. Our spatial model of the tissue naturally leads to the propagation of traveling waves of high cytokine concentration, because the system behaves as an excitable medium.
Excitable media are also observed in many other biological systems which share the need of sending information over many-cell distances, and the resulting traveling waves are in good agreement with the expected spatial form of a neutrophil directing signal.
We find that spatial effects play a large role in the model and contributes to the model’s ability to propagate repetitive waves. By changing the parameters of the model, we observe qualitatively different spatial patterns and we see that a even very strong positive feedback leading to chronic inflammation gives rise to oscillations close to the absorbing
boundaries representing the blood stream. Hence the situation corresponding to chronic inflammation would also recruit neutrophils from the bloodstream, but they would not be able to orient themselves once in the tissue because there is no directed signal to guide them.
ACKNOWLEDGMENT
This work was supported by the Danish National Research Foundation through the Center for Models of Life, to whom we are grateful.
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[4] F. Alcantara and M. Monk, *J. Gen. Microbiol.* **85**, 321 (1974).
[5] P. Yde, B. Mengel, M. H. Jensen, S. Krishna, and A. Trusina, *BMC Systems Biol.* **5**, 115 (2011).
[6] A. Hoffmann, A. Levchenko, M. L. Scott, and D. Baltimore, *Science* **298**, 1241 (2002).
[7] D. E. Nelson et al., *Science* **306**, 704 (2004).
[8] S. Ghosh, M. J. May, and E. B. Kopp, *Annu. Rev. Immunol.* **16**, 225 (1998).
[9] S. Krishna, M. H. Jensen, and K. Sneppen, *Proc. Natl. Acad. Sci. USA* **103**, 10840 (2006).
[10] W. Ma, A. Trusina, H. El-Samad, W. A. Lim, and C. Tang, *Cell* **138**, 760 (2009).
[11] S. Tay, J. J. Hughey, T. K. Lee, T. Lipniacki, S. R. Quake, and M. W. Covert, *Nature* **466**, 267 (2010).
[12] D. A. Turner, P. Paszek, D. J. Woodcock, D. E. Nelson, C. A. Horton, Y. Wang, D. G. Spiller, D. A. Rand, M. R. H. White, and C. V. Harper, *J. Cell. Sci.* **123**, 2834 (2010).
[13] R. Cheong, A. Bergmann, S. L. Werner, J. Regal, A. Hoffmann, and A. Levchenko, *J. Biol. Chem.* **281**, 2945 (2006).
[14] E. Meron, *Phys. Rep.* **218**, 1 (1992).
|
February 20, 2015
Alaska Police Standards Council
c/o Kelly Alzaharna, Executive Director
450 Whittier Street
Juneau, Alaska 99801
Re: In re Jose M. Gutierrez, OAH No. 14-1718-POC
DECISION DUE BY END OF NEXT REGULAR MEETING THAT OCCURS AFTER MARCH 7, 2015
Dear Council Members:
I am sending you the proposed decision that I prepared after a hearing in this case. As required by statute, the proposed decision was first distributed to the parties. The parties were offered the opportunity to comment on the proposed decision by filing a Proposal for Action. One party filed a Proposals for Action, which is enclosed.
The decision is ready for final action by the Council. As the administrative law judge who heard the evidence, I can be available to the Council during consideration of the case, including during an executive session.
Under AS 44.64.060(e), the Council can take one of the following actions on this decision:
1. adopt the proposed decision as the final agency decision;
2. return the case to me to take additional evidence or make additional findings or for other specific proceedings;
3. revise the proposed enforcement action, determination of best interests, order, award, remedy, sanction, penalty, or other disposition of the case;
4. reject, modify, or amend a factual finding (note that under this option the Council must first review the evidence relied on for that finding, including listening to the relevant testimony. I can assist the Council with that process);
5. reject, modify, or amend an interpretation or application of a statute or regulation.
Under AS 44.64.060 the Council has the discretion, but not the obligation, to hear from the parties or their counsel in a public meeting. If you decide to allow the parties to address the Council, both parties must be afforded the same opportunity to address the Council.
Under AS 44.64.060(f), the Council must take action on the proposed decision during or before its next regularly scheduled meeting occurring at least 45 days after the proposed decision was distributed. The proposed decision was distributed January 20, 2015, which means the Council has until the next regularly scheduled meeting that occurs after March 7, 2015, to act on the decision. If the Council does not take action by the close of that meeting, the proposed decision will become the final decision by operation of law.
The decision document includes an adoption/non-adoption order that the Council can use to record its final decision. If the Council selects an option other than adoption of the proposed decision as written, I am available to assist it in using the non-adoption options or in drafting an appropriate decision.
The final decision must be distributed to the parties. Under our regulations, OAH takes care of that distribution. Please ask staff to send the Council’s final decision to us for distribution.
If you have any questions about these procedures, please do not hesitate to contact me.
Very truly yours,
Stephen C. Slotnick
Administrative Law Judge
Enclosures as stated
cc without enclosures: Jose Gutierrez
John Novak
Kelly Alzaharna
BEFORE THE ALASKA OFFICE OF ADMINISTRATIVE HEARINGS ON REFERRAL FROM THE ALASKA POLICE STANDARDS COUNCIL
In the Matter of
JOSE M. GUTIERREZ
OAH No. 14-1718-POC
Agency File No. APSC 2013-06
DECISION
I. Introduction
Lt. Jose M. Gutierrez engaged in consensual sexual activity in an office in his police department after business hours. Mr. Gutierrez’s conduct was detrimental to the discipline and reputation of the police department where Mr. Gutierrez worked. Accordingly, the Alaska Police Standards Council revokes his certificate.
II. Facts
In the early winter of 2012, Lieutenant Jose Gutierrez was a long-time police officer at the North Slope Borough Police Department. Selina Booth had joined the office as administrative manager in 2010. Mr. Gutierrez was a member of the Chief’s command staff, having obtained the rank of lieutenant. Ms. Booth, who had authority over all administrative matters not related to criminal procedures, was also considered part of the command staff.\(^1\)
Eventually, Ms. Booth and Mr. Gutierrez became friends. Both were married. By the early winter of 2012, however, both of their spouses were not with them in Barrow. Mr. Gutierrez’s wife left because their marriage was effectively over.\(^2\) Ms. Booth’s husband left because he was pursuing his education. Ms. Booth remained committed to her marriage, but her husband’s absence was a difficult issue for her.\(^3\)
Over time, Ms. Booth and Mr. Gutierrez’s friendship evolved. First, they engaged in innocent physical contact of frequent hugging, as Ms. Booth sought to provide comfort to a despondent Mr. Gutierrez. Later, their hugs became more sexualized, and included consensual and mutual sexualized groping. This sexualized behavior primarily occurred at the office after hours and a few times it occurred outside the office. Ms. Booth told Mr. Gutierrez that she did
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\(^1\) Booth testimony; Gutierrez testimony; Boyea testimony. As the third or fourth ranking officer, if both the chief and the captain were out of the office, Lt. Gutierrez could be appointed acting chief and thus be Ms. Booth’s nominal supervisor. At most, however, this only occurred one time. Boyea testimony.
\(^2\) Gutierrez testimony.
\(^3\) Booth testimony.
not want a sexual relationship. They never had sexual intercourse. Mr. Gutierrez became frustrated because he wanted a long-term, stable, fully-involved relationship.\(^4\)
Others in the office had noticed how close Ms. Booth and Mr. Gutierrez had come. The chief of the NSBPD, Leon Boyea, warned them both that their office behavior was attracting attention. The overt behavior then ceased.\(^5\)
On the evening of the incident, after hours, Mr. Gutierrez returned to the police station either on his way to a Rotary meeting or after having been at the Rotary meeting.\(^6\) Neither Mr. Gutierrez nor Ms. Booth remembers the precise date, but they agree it was in February or March of 2012. Mr. Gutierrez was in uniform. He came into Ms. Booth’s office. No one else was on that area of the building at that time, although it would not be uncommon for others to be in that area after hours using the copier. They hugged and he became aroused. He said that he wanted to take “it” out, and she said, “okay.”\(^7\) Ms. Booth was sitting directly in front of him. He remained standing. His penis was exposed, and he completed the act of masturbation.\(^8\)
Several months later, Chief Boyea learned of the alleged incident. On August 22, 2012, he opened an official investigation, and interviewed Ms. Booth. On August 27, 2012, he informed Mr. Gutierrez of the investigation. He identified the sections of the Operations and Procedures Manual that, if the allegation proved true, Mr. Gutierrez had violated. He scheduled, and then rescheduled at Mr. Gutierrez’s request, an interview with Mr. Gutierrez. On September 5, 2012, before the interview occurred, Mr. Gutierrez resigned.
Mr. Gutierrez’s resignation was reported to the Executive Director of the Police Standards Council. On August 6, 2014, the Executive Director filed an accusation against Mr. Gutierrez. The accusation alleged that he had “resigned from his position as a police officer for cause for conduct that was detrimental to the reputation, integrity, or discipline of the North Slope Borough PD.”\(^9\) The accusation sought revocation of his Alaska police officer certificate.
Mr. Gutierrez filed a notice of defense requesting a hearing on the charge. A hearing was held on December 11, 2014. John Novak represented the Executive Director. Mr. Gutierrez
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\(^4\) Booth testimony; Gutierrez testimony.
\(^5\) Boyea testimony.
\(^6\) Booth testimony; Gutierrez testimony. Ms. Booth recalls that he was on his way to the meeting. Mr. Gutierrez recalls that he had just come from the meeting.
\(^7\) Booth testimony.
\(^8\) Booth testimony; Gutierrez testimony. Ms. Booth and Mr. Gutierrez disagree about Ms. Booth’s involvement. Ms. Booth recalls that he alone unzipped his pants and removed his penis; Mr. Gutierrez believes that she participated in the unzipping of his pants and removing of his penis.
\(^9\) Administrative Record at 11.
represented himself. Ms. Booth, Mr. Gutierrez, Chief Boyea, and Executive Director Kelly Alzaharna testified.
One question that was examined at the hearing was whether Ms. Booth considered herself to be “victimized” by Mr. Gutierrez. She testified that she did not like to apply the term victim to herself and that she took responsibility for her own actions.\(^{10}\) The Executive Director made clear that Mr. Gutierrez was not being charged with any victimization offense.
III. Discussion
A. What is alleged in the accusation?
The accusation in this case raises two different, but related pathways to revocation. On theory is under 13 AAC 85.110(a)(2); the other is under 13 AAC 85.110(b)(3).\(^{11}\) Under either theory, the first element is the same: The Executive Director must first prove that Mr. Gutierrez “resigned under threat of discharge [for cause], from employment as a police officer in this state or any other state or territory.”\(^{12}\)
After the first element is established, the theories then diverge slightly. The first theory, under paragraph (a)(2) of 13 AAC 85.110, gives the council \textit{discretion} to revoke Mr. Gutierrez’s certificate if the conduct that led to the threat of discharge was “detrimental to the reputation, integrity, or discipline of the police department where the police officer worked.”\(^{13}\) The second theory, under paragraph (b)(3), makes revocation \textit{mandatory} if the conduct was “detrimental to the integrity of the police department where the police officer worked.”\(^{14}\)
It is not clear why the word “integrity” appears in both paragraphs, although in a previous decision, the Council speculated that it may be to give the Executive Director some discretion in how to format the charges against an officer.\(^{15}\) In this case, however, the difference between the two paragraphs does not matter—setting aside the word “integrity” and looking only at the terms
\(^{10}\) Booth testimony. Although Ms. Booth does not apply the term victim to herself, she made clear that she felt used and mistreated. She is angry at Mr. Gutierrez and at herself.
\(^{11}\) The accusation stated that revocation was being sought under 13 AAC 85.110(b)(3), but then quoted from the language in 13 AAC 85.110(a)(2). At hearing, Mr. Gutierrez stipulated that he was on notice that the accusation was raising both theories. Note that the Executive Director did not allege that Mr. Gutierrez’s conduct adversely affected his ability and fitness to serve, which is also an avenue for revocation under section 110. The allegation is limited to the effect of his conduct on the NSBPD’s discipline, reputation, and integrity.
\(^{12}\) 13 AAC 85.110(a)(2); 13 AAC 85.110(b)(3) (same language in both paragraphs).
\(^{13}\) 13 AAC 85.110(a)(2).
\(^{14}\) 13 AAC 85.110(b)(3).
\(^{15}\) \textit{In re E.X.}, 13-0473-POC at 23 n.123 (Police Standards Council 2013) (“This regulatory scheme implies that ‘integrity’ is a higher standard than ‘reputation’ or ‘discipline.’ Although it is not clear why ‘integrity’ appears in both regulations, it may be to give the Executive Director some discretion in how to fashion a revocation action.”). Here, because revocation is warranted under the discipline and reputation prongs of the regulation, there is no need to discuss the nuances of the term “integrity.”
“reputation” and “discipline” in paragraph (a)(2), leads to the conclusion that Mr. Gutierrez’s certificate should be revoked.
B. Did Mr. Gutierrez resign under threat of discharge for cause?
Turning to the first element in both paragraphs of the regulation—whether Mr. Gutierrez resigned under threat of discharge for cause—Chief Boyea testified that Mr. Gutierrez’s conduct violated the operations and procedural manual of the NSBPD. Chief Boyea expected that once the investigation was complete, he would terminate Mr. Gutierrez. Mr. Gutierrez said that he resigned because his health was suffering and he no longer felt effective at his job. He did not identify poor health as a reason at the time he resigned, however, and no medical documentation was submitted to prove his assertion of poor health. Moreover, Mr. Gutierrez admitted that his conduct was a violation of his oath, that he had let his chief down, and that he felt he could no longer provide leadership at NSBPD. The Executive Director has met the burden of proving that Mr. Gutierrez resigned under threat of discharge for cause.
C. Was Mr. Gutierrez’s conduct detrimental to the discipline of NSBPD?
With regard to whether Mr. Gutierrez’s conduct was detrimental to the discipline of NSBPD, no previous cases of the Council have discussed the discipline prong of 13 AAC 85.110. Although a police officer has privacy rights in his or her own home, at a minimum, discipline must be maintained whenever the members of a police force are on duty, in uniform, or in police facilities. Maintaining discipline and order among a police force would be impeded if the members of the force engaged in undisciplined, sexual behavior while in a police station. For a ranking officer to ignore societal boundaries, expose himself, and engage in sexual activity in police headquarters demonstrates an unacceptable lack of self-discipline in the officer. No ranking officer who did such an act could expect to maintain discipline in the department—he could not expect to enforce behavioral boundaries among the police force when he himself did not maintain sufficient boundaries on his behavior. Therefore, the Executive Director has met the burden of proving that Mr. Gutierrez’s conduct here would have undermined discipline in NSBPD had Chief Boyea not taken action to deal with it.
D. Was Mr. Gutierrez’s conduct detrimental to the reputation of NSBPD?
With regard to the effect of his conduct on the reputation of the NSBPD, Mr. Gutierrez argued that people who live in the North Slope are very forgiving. He did not expect that his act would have a lasting effect on the reputation of the NSBPD.
Mr. Gutierrez’s argument, however, misses the point of the regulation. The Council has discussed the reputation prong of 13 AAC 85.110 in a previous case, *In re Bowen*.\(^{16}\) The Council determined that the Executive Director is not required to prove actual damage to a police department’s reputation.\(^{17}\) The test for detriment to reputation is an objective test. It applies equally to conduct of any police officer in the state, without regard to whether any actual damage to reputation has occurred in the particular locality in which the police officer was serving. Under the objective test, the question is whether the officer’s conduct would be a detriment to the reputation of the department where the officer worked. The effect on the reputation must be of the type that would justify a revocation of a certificate among reasonable people in the state. A trivial detriment will not suffice.
If the public believes that police officers are engaging in lewd and licentious behaviors while in the police station, the reputation of the police force as an institution dedicated to public service will be tarnished. The United States Supreme Court has found that a police officer who sold lewd videos of himself masturbating while in a counterfeit police uniform “brought the mission of the employer and the professionalism of its officers into serious disrepute.”\(^{18}\) Mr. Gutierrez’s conduct is not as brazenly public, but, as Chief Boyea explained, the fact that it occurred at the police station means that it brings a similar serious disrepute to NSBPD. Chief Boyea was dismayed that a senior officer would discredit the police station with this conduct, and concerned that the public would lose faith in the department. Accordingly, the Executive Director has met the burden of proving a detriment to reputation.
E. Should the Council exercise its discretion to revoke Mr. Gutierrez’s certificate?
Under 13 AAC 85.110(a)(2), proof of a detriment to an officer’s police department’s reputation or discipline means that the Council has discretion to revoke the officer’s certificate. In determining whether to exercise that discretion, the Council will “consider its actions in any
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\(^{16}\) *In re Bowen*, OAH No. 10-0327-POC (Police Standards Council 2011).
\(^{17}\) *Id.* at 14 (Police Standards Council 2011) (holding that “actual harm to an agency’s reputation is not required if public knowledge of the circumstances could do substantial harm to an agency’s reputation”).
\(^{18}\) *City of San Diego, Cal. v. Roe*, 543 U.S. 77, 81 (U.S. 2004).
prior similar certificate revocation cases in order not to make an arbitrary decision.\textsuperscript{19} Here, the most analogous of the Council’s previous cases is \textit{In re Bowen}. In \textit{Bowen}, the Council found that a police officer’s off duty sexual liaison with a victim of domestic violence, whom he had met in the previous evening when investigating the domestic violence incident, would be a detriment to the reputation of the officer’s department.\textsuperscript{20}
\textit{Bowen} also found that the conduct was a detriment to the integrity of the employing police department, which was a further rationale for revocation. As the council discussed in \textit{Bowen}, Mr. Bowen’s liaison with a victim put the victim in harm’s way—the opposite of what a peace department’s mission should be. Further, for a police officer to take advantage of a victim, and to use contact information gained through an investigation, is a serious black mark on the reputation of the police department.\textsuperscript{21} Integrity and reputation will often be intertwined—in \textit{Bowen}, the detriment to integrity and reputation went to the mission of the police because the conduct gave the appearance that a police officer was using his job for his personal gain.
Neither party has provided comparable cases from police standards organizations in other states or jurisdictions. Research did reveal, however, an informative publication of the Arizona Peace Officer Standards and Training Board, a board similar to the Council.\textsuperscript{22} The Arizona Board described that “[o]ver the past three years, [the Board] has had 50 reports of sexual misconduct from agencies under the required reporting statute.”\textsuperscript{23} Revocation or relinquishment of a certificate occurred when the sexual misconduct involved “sex (on or off duty) and lying about it in the IA; sex with minors, informants, or suspects; sex that has some relationship to duty other than simply being on duty; and, criminal sexual conduct.”\textsuperscript{24} In a second category of cases, the Arizona Board suspended certificates for 6-12 months if the sexual conduct occurred on duty (and the officer told the truth during the internal affairs investigation that followed).\textsuperscript{25} Finally, some sexual misconduct resulted in no discipline at the Board level (although disciplinary action may have occurred at the employer level) if there was no “nexus with peace
\begin{itemize}
\item \textsuperscript{19} \textit{Bowen} at 17.
\item \textsuperscript{20} \textit{Id.} at 13-14; 17-20. Discipline was not at issue in \textit{Bowen}, but the officer’s ability and fitness were additional reasons found to warrant revocation.
\item \textsuperscript{21} \textit{Id.}
\item \textsuperscript{22} See AZ POST Quarterly Integrity Bulletin, Volume No. 65 (2013) available at https://post.az.gov/sites/default/files/documents/files/IntegrityBulletinVol65.pdf. This bulletin is not precedent. It is, however, a good “reality check” so that the Council can verify that its actions are roughly in accordance with actions taken by police standards agencies in other states.
\item \textsuperscript{23} \textit{Id.}
\item \textsuperscript{24} \textit{Id.}
\item \textsuperscript{25} \textit{Id.}
\end{itemize}
officer duties,” such as when the conduct “consisted of private, off duty conduct, not involving malfeasance in office.”\textsuperscript{26}
Unlike Mr. Bowen’s conduct, Mr. Gutierrez’s conduct does not directly undermine the mission of the police department.\textsuperscript{27} The detriment to the police department caused by Mr. Gutierrez’s conduct is not related to faulty police work or fighting crime. Therefore, Mr. Gutierrez’s conduct is not as severe as Mr. Bowen’s, meaning that the need to revoke here is not as obvious.
With regard to the discussion by the Arizona Board, Mr. Gutierrez’s conduct was not among the offenses for which that board will revoke. Yet, that board will suspend for up to a year for sexual misconduct that occurred on duty. This Council does not have authority to suspend—it can only revoke. Therefore, the Council would likely consider revocation for an offense for which the Arizona Board might only suspend. Here, Mr. Gutierrez’s misconduct did not occur on duty, but it did occur while in uniform and at the police station. Although if it had occurred on-duty, the effect of the misconduct would have been even greater, because this misconduct occurred on site, the detrimental effect on reputation and discipline is comparable to some on-duty misconduct.
A common thread running through this Council’s cases is a commitment to a high degree of professionalism among certificated personnel.\textsuperscript{28} For the police, reputation is crucial. The United States Supreme Court has commented that police officers occupy “positions of great public trust and high public visibility” and that government has a significant “interest in preserving public confidence in its police force.”\textsuperscript{29} The damage to reputation here depends on how a person perceives the conduct. As discussed above, some damage to reputation is evident. Mr. Gutierrez’s conduct gives the impression that the police have lax internal rules governing their conduct, and lack respect for the police station as a public building dedicated to the people’s business and public safety. Yet, Mr. Gutierrez’s conduct did not involve corruption, dishonesty, poor police work, or long-standing pervasive sexual misconduct, so the reputational
\textsuperscript{26} \textit{Id.}
\textsuperscript{27} Mr. Gutierrez’s conduct could also be a detriment to integrity, but at a much different level from that of Bowen. The clearest case of detriment to integrity would be associated with unethical, corrupt, or criminal conduct, none of which appears to be implicated by Mr. Gutierrez’s conduct. In presenting this case, the Executive Director did not bring attention to how Mr. Gutierrez’s conduct affected the integrity of the NSBPD. Therefore, detriment to integrity will not be a basis for revocation here.
\textsuperscript{28} See \textit{Bowen}, OAH No. 10-0327-POC; \textit{In re Much}, OAH no. 13-0288-POC (Alaska Police Standards Council 2013) (appeal to superior court pending); \textit{In re E.X.}, 13-0473-POC.
\textsuperscript{29} \textit{Gilbert v. Homar}, 520 U.S. 924, 932-33, (U.S. 1997).
damage would not be of the most serious or lasting type. Detriment to reputation alone, therefore, might not be sufficient to warrant revocation.
Considered in combination with the effect on discipline, however, Mr. Gutierrez’s conduct warrants revocation. Discipline is a very important factor for a police department. As one court commented, “it is judicially recognized that law enforcement often relies on a paramilitary organizational structure to develop discipline, esprit de corps, and uniformity because of its substantial interest in insuring the safety of persons and property.”\(^{30}\) As discussed above, Mr. Gutierrez’s conduct demonstrates a lack of discipline, without regard to his rank. When rank is considered, the undisciplined acts undercut the lieutenant’s authority, and, if not addressed, the authority of the command structure of the force. Chief Boyea testified that he felt he would have to take action because the conduct would affect Mr. Gutierrez’s ability to do his job as a command officer. To his credit, Mr. Gutierrez admitted as much when he said that he left his position because he felt he could no longer be an effective leader. In sum, based on the combined detriment to reputation and discipline caused by Mr. Gutierrez’s conduct, the Executive Director has met the burden of proving that Mr. Gutierrez’s certificate should be revoked.
In closing, this decision is based on an objective test that does not censure or disparage any person. Mr. Gutierrez and Ms. Booth acknowledge that they made a grievous error. Both have paid dearly for their mistake. Mr. Gutierrez, however, has crossed a line that remorse or regret cannot undo. Because he has crossed that line, the Council revokes his certificate.
**IV. Conclusion**
Lt. Jose Gutierrez committed conduct that was detrimental to the discipline and reputation of the police department in which he worked. The Alaska police certificate of Jose Gutierrez is REVOKED.
DATED this 15th of January, 2015.
By: SS
Stephen C. Slotnick
Administrative Law Judge
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\(^{30}\) *Mondt v. Cheyenne Police Dept.*, 924 P.2d 70, 81-82 (Wyo. 1996).
Adoption
The Alaska Police Standards Council adopts this Decision under the authority of AS 44.64.060(e)(1), as the final administrative determination in this matter.
Judicial review of this decision may be obtained by filing an appeal in the Alaska Superior Court in accordance with Alaska R. App. P. 602(a)(2) within 30 days after the date of this decision.
DATED this 20 day of April, 2015.
By: Sheldon Schmitt
Chair, Alaska Police Standards Council
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CALL TO ORDER: Larry Haber, Chairperson, called the meeting to order at 7:00pm.
ROLL CALL: Present:
Larry Haber, Chairperson
Tom Jones, Vice Chairperson
Bill McKeever
Jay Czarnecki
Peter Pace
Absent:
Debra Kirkwood (excused)
Brian Winkler (excused)
Also Present:
Kathleen Jackson, Planning Director
Jay James, Engineer/Building Inspector
APPROVAL OF MINUTES
MOTION by Pace, supported by Jones, to approve the Planning Commission Meeting Minutes of July 16, 2012, as written. MOTION CARRIED UNANIMOUSLY
UPDATE OF ACTIVITIES
Bill McKeever – Zoning Board of Appeals
- Three variances were granted at the last meeting.
- Two were for signs that encroached into the setback; one at 8800 Commerce Road, and the other at 605 Commerce Road.
- There was also a sign variance for the Union Lake Baptist Church to put an addition onto their existing sign. This will not exceed the ordinance requirements.
Peter Pace – Parks and Recreation Committee
- This Friday is the last outdoor Concert-in-the-Park at 6:15pm.
- The recent outdoor Cinema-in-the-Park was rescheduled due to rain delay. It will now be held on August 17th at the Richardson Center and will be advertised.
Jay James – Building Department
- We continue to see a lot of new houses coming in.
- Several developments that were on hold are now being bought up.
- This progress far exceeds that of last year and it is a good sign.
- Commerce Road should be completed within the next month.
- We have also been busy with ordinance work and building inspections.
Kathleen Jackson – Downtown Development Authority
- The DDA will meet again in two weeks.
- They are looking at two different offers on the property and the developer has requested confidentiality. The information will soon be made public.
- The condominium documents and PUD agreement will come before the Planning Commission for recommendation, and will then go to the Township Board for approval.
Chairperson Haber inquired about removal of railroad tracks on M5. This initiated open discussions of railroad tracks throughout the community.
**PUBLIC DISCUSSION OF MATTERS NOT ON THE AGENDA**
None
**ITEM I: SP12-12-10 – KROGER – REVISED SITE PLAN**
The Kroger Co. of Michigan is requesting site plan approval to amend their existing approved plan located at 2855 Union Lake Road. Sidwell No.: 17-12-276-008
**MOTION** by Jones, seconded by Pace, to recuse Jay Czarnecki from Item SP12-12-10.
**MOTION CARRIED UNANIMOUSLY**
Kathleen Jackson, Planning Director gave a review.
The following representatives were present to answer questions and/or address the Kroger proposal:
- Alan Boyer, Engineer of LSG Engineers & Surveyors, 3135 Pine Tree Rd, Ste D, Lansing, MI 48911
- Rick Ragsdale, Senior Real Estate Manager, Kroger Co. of Michigan
- Mark Millerwise, Applicant for Kroger Co. of Michigan
- Steve Laser, Kroger Co. of Michigan
Alan Boyer – When we were last approved for this request, the Commission specifically asked that we inform you when Kroger arrived at a solution with regard to the Big Lots building. We have made that determination and it is not feasible to keep the Big Lots building there. Removal of the building has allowed us to do a couple of things and therefore improve the overall site plan. Essentially, we have taken the plans and flipped them over, creating a mirror image of the store with the drive-thru pharmacy now located on the north side. We have also shifted the entire building to the north. This will allow for the north to be an expandable side; however, no future plans have been established for any potential expansion. Landscaping has been increased. This is roughly the same square footage, but now Big Lots disappears and the parking expands. As Kathleen Jackson explained, this plan now includes more parking than required by the ordinance as there was parking for the square footage of the Big Lots building. We would prefer to retain the extra parking spaces in anticipation of potential future expansion.
The landscaping is closer to compliance, and virtually everything else remains the same. We acknowledge that we will need to go before the Zoning Board of Appeals for a variance for the second side entrance.
**Commission Comments:**
Pace –
- I am glad to see that the Big Lots building is being removed.
- I like the greenspace shown on the blueprint.
Why is the one-way proposed at the pharmacy drive-thru, and why is that drive narrowed at one end?
Mark Millerwise – There is a bypass lane so that they can get out of this area. There are obstructions with the columns for the canopies.
Pace – With the greenspace there, it could be left with the same width all the way along the drive.
Open discussion ensued regarding one-way as opposed to two-way traffic at the drive-thru, traffic in the rear of the building, loading docks and directional signage. Kathleen Jackson explained that this could be part of the motion if so inclined, and could also be addressed at the sign review as directional signage will be integral to this project.
Pace – The store is currently being enlarged by 20,000 square feet (to 88,000). How large would a future expansion be?
Mark Millerwise – If we expanded it to a “Marketplace” it would be about 125,000 square feet. This is a concept that Kroger has developed over the past few years. It is a large grocery store, but one side has soft goods/home goods, picture frames, furniture, expanded health care, kitchenware items, plates, glassware, etc.
Pace – I appreciate the explanation. So there is the possibility that the greenspace may be completely eliminated in the future?
Rick Ragsdale – An expansion could potentially consume half of the greenspace, but it would not all be eliminated.
Jones –
- I had the same question about the pinch-point on the narrow drive. It should be a parallel opening for a number of reasons, including snow, fire, etc.
- On one of the drawings, I saw “S58”. What is this referring to?
Jay James – S58 refers to soil erosion measures.
Jones – Ok. And my other question is regarding the variance from the Zoning Board of Appeals. Is that to eliminate the existing drive by the Burger King?
Rick Ragsdale – No.
Alan Boyer – That drive stays there. It is part of the shared parking and access agreement.
Jones –
- Ok, I want to see it remain.
- The air dispenser bay should be made large enough to accommodate two cars.
Also, at the current Kroger parking lot, there is a wall. That same edge or curb design will not be incorporated in the new parking lot will it?
Jay James – The new lot has all standard 6” curbing. The other lot had landscaping and a retaining wall.
Steve Laser – Yes, there was a significant grade change at the south end of the lot.
Haber – Do you know what will be done with the existing building?
Rick Ragsdale – We have not started actively marketing it yet. Our first choice is to see if we can continue to get some retail in there. We will try to find something that Commerce is currently missing. But we can’t move forward until Kroger is relocated into the new building.
Haber – We just don’t want to see it become an eyesore.
Rick Ragsdale – We own that building and it is our objective to have a tenant.
Haber – I would like to thank all of you for working with us. I do like what you have done with the building. It will be a real asset to the community. You listened to our comments and complied with our recommendations. It is nice to work with people like you, and it has been very rewarding for all of us here as we work to make things better for the community.
McKeever – We also need to address their overage in parking. The reason I question this is because I believe that their landscaping still falls short of the ordinance requirements.
Kathleen Jackson – The ordinance gives you flexibility on parking. If a petitioner states a case for having additional spaces, you have the option of approving it based upon their situation. The required is 331. They are proposing 435, which is 37 spaces over the 120% threshold of 398. I recommend that the 18 spaces on the north side of the parking lot and the 14 spaces on the south end be eliminated. Elimination of these spaces would free up 11,200 square feet. Then, flexibility could be exercised to allow any other additional spaces to remain. Their overall landscaping is about 15% deficient. That is left to your discretion and is in consideration of the previous approval.
McKeever – This would be better served by breaking up the sea of asphalt. They have plenty of asphalt and I would like to see more greenspace.
Open discussion continued as the square footage of landscaping was reviewed and elimination of the parking spaces was contemplated. Chairperson Haber suggested Administrative approval of additional landscaping plans in conjunction with removal of these parking spaces. There were no objections.
Kathleen Jackson – And, if they expand, it would have to come back to the Planning Commission at which time we would review the parking again.
**MOTION** by Jones, supported by Pace, that the Planning Commission, approves with conditions, Item SP12-12-10, Kroger – Revised Site Plan, the request by The Kroger Co. of Michigan for site plan approval to amend their existing approved plan located at 2855 Union Lake Road. Sidwell No.: 17-12-276-008
Approval is for the reason that the information submitted by the applicant and the information presented to the Planning Commission demonstrates that the proposed meets the requirements and standards of the Commerce Township Zoning Ordinance. Approval is subject to the amended site plan, inclusive of all supporting documents, and to the following conditions:
1. The Planning Commission’s acceptance of the appropriateness of the north elevation;
2. The addition of a second entrance on Commerce Road or a variance obtained; and,
3. The parking reduction will be Administratively approved, along with additional landscaping revisions accordingly; and,
4. A signage plan will be administratively approved, including directional signage to control access at the one-way drive-thru pharmacy; and,
5. Approval by the RCOC and permitting, including for the plantings in the right of way; and
6. Approval by KER Engineering; and
7. Subject to the Fire Department’s report dated May 3, 2012; and,
8. The driveway between the greenspace and the pharmacy drive-thru will be straightened out evenly and parallel as discussed herein; and,
9. The air dispenser bay will be widened to accommodate two vehicles; and,
10. The acceptance of all conclusions in the Planner’s report dated August 1, 2012.
**MOTION CARRIED UNANIMOUSLY**
**ITEM II: SP12-10-23 – COMMERCE PARK – FLEXIBILITY IN PARKING**
Commerce Park LLC of Bloomfield Hills MI is requesting approval to utilize the Flexibility in Parking application located at the Commerce Park Plaza on the north west corner of Commerce and Carroll Lake Roads. Sidwell No.: 17-10-284-007
Kathleen Jackson, Planning Director gave a review. One item not included in the report was with regard to site compliance. Per the previous approval by the Planning Commission, the fencing area around the trash compactor was to be repaired and grease trap screening was to be added. In addition, the previous agreement was never executed. This will need to be negotiated with the attorney, executed between the property owner and the Township, and recorded at the county within 30 days.
Arkan Jonna, 4036 Telegraph Road, Suite 201, Bloomfield Hills, MI, was present along with future tenants, Joseph and Peggy Anicka, 10010 Sedlock St., White Lake, MI.
Arkan Jonna – I believe that the previous agreement was not signed due to an issue with the title and mortgage on the property. Counsel went back and forth on some items and this could not be put on the title at the time. The mortgage comes up again in mid-2013.
Kathleen Jackson – Yes, I believe you are correct that there were lender issues.
Arkan Jonna – As for the parking spaces, we would not do this if we thought there would be a problem. We are very confident that the parking spaces will be adequate. This restaurant (“Dickey’s Barbecue”) is a fast-casual café type service. Everything is pre-made and it is similar to a Boston Market. The need for parking will not be as great as it is at Leo’s where you order and have to wait for your food to be prepared.
Kathleen Jackson – I’m not sure if any of you had the opportunity to visit the web site, but the franchise is based out of Texas.
**Commission Comments:**
Pace –
- How many seats are there?
- How many staff members will there be?
Kathleen Jackson – The parking is based upon the square footage for this type of restaurant. It is north of the 7-Eleven by two spaces.
Peggy Anicka – We have seating for 62-64. This will be quick-serve with no waiting, similar to Subway where you “move with the food”. The average time that guests are at a table is about 20 minutes. We expect 50% of our customers to be dine-in and the rest to be carryout and catering.
We will have 10-12 staff members total. There could be up to 5 during the busy lunch hour time.
Pace – I see a big difference between the spaces required of 333 and the proposed of 197.
Kathleen Jackson – The ordinance has basically three different distinctions. Carryout only, or sit-down dining with alcohol and sit-down without alcohol. Sit-down without alcohol has parking based upon square footage, whereas with alcohol it is based upon occupancy.
Arkan Jonna – The “Curves” location is vacant and there is also space by Leo’s that is being absorbed. When we look at the parking on our previous developments, we see 100 spaces that have never been used. We feel that because everything comes prepared here, the turnover is faster; therefore, less parking is needed.
Pace – What if you rent out the other vacancies to similar restaurants?
Arkan Jonna – I think we are done with food service in this center.
Peggy Anicka – We also went out and did our own parking study prior to proposing this. We wanted to know the type of business draw and what issues to expect. We did not see any issues at breakfast, lunch or dinner times. Only once was the parking lot busy at Leo’s on the north end, but not once was the entire parking lot full. On the south end, there were numerous spaces available, as well as in the back of the lot. I don’t think the back lot is utilized except by employees. Our site is just two doors down from the breezeway. If we need to use the overflow and walk-through breezeway, it would be feasible. We have not found that there will be a problem or we would not have chosen that location.
Kathleen Jackson – Yes, if you are in agreement it will be conducted over a fourteen day period of time. We have already been to the site a dozen times. The parking agreement lists the remedies available, and directional signage could be included so that patrons are aware of parking that is available in the rear of the building. Employees could be required to park in the rear lot. The petitioner is aware that if issues arise remedies go as far as revoking their certificate-of-occupancy. These stipulations can be part of the motion, and are part of the agreement.
Jay James – Is the Commission ok with this request if the parking study is conducted?
McKeever –
• I feel it would be, but there are also questions with the issues from the previous agreement.
• The compactor and grease traps must be fenced/screened.
• You will need to confirm that requirements are met before a certificate-of-occupancy will be granted.
• Also, the north/south traffic crossing gets hazardous. This intersection should have a stop sign.
• I am ok with the request if a parking study is conducted and the previous items are taken care of.
Haber –
• You know the breezeway was one of our ideas for access to the rear parking, but no one uses it. Very few people park back there.
• Last Sunday was a disaster at Leo’s.
• I would love to see you here, and once we see that the parking study indicates this will be fine, it should not be a problem.
• We would like to see the signage improved and the addition of a stop sign. The signage needs to clearly notify patrons of the availability of rear parking.
Arkan Jonna – I noticed the rear parking full at times, but we will take care of the signage. This layout was originally designed so that people using the park would have parking accessible.
Haber – Does Leo’s have a rear access?
Arkan Jonna – Yes.
Haber – You may want to consider that here also if possible.
McKeever – There is a sidewalk with access from the back parking lot to the front.
Kathleen Jackson – This may also be an opportunity for the Parks and Recreation Committee to get involved.
Pace – There is a lot of parking back there that is not necessarily utilized for the park. A few use it for Mill Race, but there’s no heavy traffic. I will bring it up to the Committee.
Haber – What is your timetable for opening?
Peggy Anicka – We plan to open in October which is a good time to start just prior to the holidays. We pushed back the opening due to this issue, but would like to open as soon as possible.
Haber – How soon could this move along?
Kathleen Jackson – We can start tomorrow.
Jay James – And they can submit their building plans concurrently with the survey.
Discussions continued regarding the parking study, emailing results to the Commission, and Administrative approval if the study indicates that this is feasible. Designated parking spaces for each restaurant was also addressed and it was agreed that this is undesirable. Kathleen Jackson pointed out that the agreement allows only for designation of handicap spaces, while all others are open for any tenant’s customers. In addition, all employees should be notified to park in the back lot.
**MOTION** by Jones, supported by Pace, that the Planning Commission approves, with conditions, Item SP12-10-23, Commerce Park – Flexibility in Parking, the request by Commerce Park LLC of Bloomfield Hills MI for approval to utilize the Flexibility in Parking application located at the Commerce Park Plaza on the north west corner of Commerce and Carroll Lake Roads. Sidwell No.: 17-10-284-007
Approval is for the reason that the information submitted by the applicant and the information presented to the Planning Commission demonstrates that the proposed meets the requirements and standards of the Commerce Township Zoning Ordinance allowing for the Commission to exercise discretion and Flexibility in Parking.
Approval is subject to the following conditions:
1. The Planner’s Report dated August 3, 2012; and,
2. The agreement will need to be negotiated with the attorney, executed between the Township and Property Owner, and recorded with the county within 30 days; and,
3. A parking survey to be conducted Administratively over a fourteen day period of time at both lunch and dinner hours to ensure that there are no problems on site; and,
4. The parking will be Administratively approved only after the survey has been conducted satisfactorily and the members of the Planning Commission have received and reviewed the results of the survey by email; and,
5. The site will be brought into compliance with the previous agreement, including but not limited to the items discussed herein, such as the fencing around the trash compactor, grease trap screening, etc.; and,
6. Signage will be administratively reviewed and approved, including but not limited to the stop sign and the directional sign(s) discussed herein.
MOTION CARRIED UNANIMOUSLY
OTHER MATTERS TO COME BEFORE THE COMMISSION
McKeever initiated discussion regarding changes to a building’s façade. Kathleen Jackson explained that the ordinance does not currently have language to preclude property owners from changing a façade. An upcoming discussion will be scheduled regarding an ordinance amendment to include such language, along with relative guidelines and percentages.
Pace and Kathleen Jackson discussed fence ordinance guidelines and restrictions.
Haber discussed Michigan Bike Week and the two accidents that occurred at the recent event. He is awaiting details on these incidents, and pointed out that he was not in favor of the event.
The next Planning Commission meeting will be Monday, September 10, 2012 at 7:00pm.
ADJOURNMENT
MOTION by Pace, supported by Jones, to adjourn the meeting at 8:29pm.
MOTION CARRIED UNANIMOUSLY
Larry Haber, Chairperson
(On behalf of Brian Winkler, Secretary)
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WCRMA HOLDS FIRST ANNUAL MEETING
The fledgling Western Canadian Record Music Association has held its first annual meeting. Twenty members attended the meeting and elected officers and board members for the year.
The WCRMA sprang from an informal get-together in July 1972 of a number of people involved in Vancouver's developing music industry, and was federally constituted in November. With the election of officials for the coming year, the organization has become a strong voice for the oft-neglected West in the music industry.
Officers and Board Members elected were: President, John Rodney of Rada Record Pressings Ltd.; Vice-President, Ralph Harding of Studio 3 Productions Ltd.; Secretary, Don Marsh of Stoney Productions Ltd.; Director, Doug Hutton of Doug Hutton Music; and Director, Alex Groshak of V Records Ltd. They were given the mandate to execute all resolutions and policies of the association.
Also attending the meeting were Arnold Gosewich representing the Canadian Recording Industry Association (CRIA) and Jan Matejecik on behalf of CAPAC. Liaison will be established with CRIA and the Canadian Independent Record Producers Association (CIRPA) so that WCRMA can work towards its goal of establishing a strong body which can serve the needs of members of the Canadian music industry in all parts of the country. The Association has received expressions of support in this goal from the governments of Manitoba, Alberta, Saskatchewan and B.C., as well as from the private sector.
Some of the areas the WCRMA feels need attention include federal sales taxes, duties and excise taxes, and special incentives as applied to the music industry. A consistent interpretation of the various Acts by all regional offices of government will be sought. Other projects to be worked on include: the establishment of information outlets from which writers and artists might learn more about the methods of operation in the Canadian music industry; the establishment of a permanent head office for the WCRMA as an information gathering and distribution centre; an approach to the Canadian Association of Broadcasters to improve cooperation between the music industry and radio; and cooperation with such bodies as the Alberta Music Conference.
Enquiries on the activities of the Association should be directed to: WCRMA, Box 2199, Vancouver 3, B.C.
CAPITOL APPOINTS DUPRAS TO EASTERN FRENCH PROMO
John Small, national promotion manager of Capitol Records, has announced the appointment of Monique Dupras as Capitol's new Eastern Regional Promotion Representative for French-Canadian product. Until recently Paul Jarema handled eastern duties for both English and French material, but with increasing Capitol involvement in the French market, it was felt a full-time rep would be a better solution.
Small noted that Miss Dupras' four years of Capitol experience would help the company reach promotion and sales objectives for the coming year. Bill Rotari, eastern branch manager for Capitol, echoed similar satisfaction, saying "Monique will be able to provide greater information to Capitol in our quest to assist the French market in every way possible."
CHRISTMAS 1972
A LOW KEY CLIMAX
According to the national sales managers of most Canadian record distributors, Christmas 1972 marked the low key climax to a year in which sales leadership was lacking. Consensus of opinion has it that large amounts of product were taken into stock by rack jobbers during October and November, resulting in a fairly regular supply situation. The early stock-up resulted in isolated cases of empty bins on one item or another, but for the most part, ample product was available to meet the demand in the weeks before Christmas and the selling days between Christmas and New Year's Day.
Gord Edwards, detailing WEA's holiday sales, described the overall result as "unbelievable". According to Edwards, hottest product throughout the heavy buying time was the new Carly Simon album. Such dependable catalogue artists as Gordon Lightfoot, Jethro Tull, Bread and Yes also helped spark the WEA sales figures to record heights. Singles played a considerable role in boosting album sales for the company, particularly in the case of Carly Simon ("You're So Vain") and America ("Ventura Highway").
Quality Records' Lee Farley noted a particular jump in sales of the firm's "Golden Treasures" series. The oldies singles catalogue experienced its biggest year since 1969. Album product was hot for Quality with David Cassidy, the Partridge Family, the Fifth Dimension, Donna Fargo and Sha Na Na. Soundtracks played a hefty role during the season, particularly "Godfather", "Love Story", "Superfly" and "Godspell".
National sales manager for MCA, Dick Bibby, promoted, through his sales force a heavy emphasis on early sales to rackers. This resulted in good returns during October and November with a slow down in December. Top product for MCA was Neil Diamond's "Hot August Night". Rick Nelson and the Mom and Dads also were strong. Biggest surprise to rackers and dealers came with the re-surgence of interest in "Jesus Christ Superstar". Reportedly, stock on Decca's all-time best seller was totally depleted during the week before Christmas.
Capitol's Bob Rowe cites a lack of any industry trendsetter, such as the Beatles for a comparatively quiet Christmas. Capitol showed strongly with new material by Helen Reddy, Edward Bear and Grand Funk, but depended for most of its Christmas sales on a strong catalogue. Beatles albums figured prominently in the Capitol Christmas sales picture.
Canadian product was the key to GRT's Christmas sales. Larry Green advises that Lighthouse led the way for GRT with their "Sunny Days" album. Also showing strongly were Moe Koffman, Mainline, Doctor Music and country product by Mike Graham and the "Country Gold" sets, volumes one and two. Chuck Berry, riding the popularity of "Ding a Ling" made a sales impact with "London Sessions" and "Golden Decade".
Although some companies, which through good timing or good luck, managed to have suitable product on release for the holiday season, fared reasonably well, the overall industry feeling about Christmas 1972 was that it was a disappointment. Heavy buying by rackers in the fall would naturally eat into December sales volume, without harming the annual sales picture, but there is a general feeling, evident at all levels of the distribution cycle, right through to the retailer, that the industry lacks direction. As Capitol's Bob Rowe pointed out, 1972 didn't produce anyone of the stature of the Beatles, and unless 1973 does, next Christmas could well be a dull time for the record business.
MCA'S BIBBY BECOMES CANADA'S YOUNGEST VP
J.K. Maitland, president of MCA Records Inc., Los Angeles, has announced the appointment of Richard Bibby as vice-president of MCA Records (Canada). The appointment represents an advancement for the Toronto-based Bibby in addition to his present responsibilities as national sales manager for MCA's Canadian operation.
The announcement came as the latest chapter in a thirteen-year music industry career that has seen Bibby, twenty-six become the youngest vice-president of a major record company in Canada. Bibby has been associated with MCA for eight years in various capacities. Prior to being appointed national sales manager in June 1972, he was Ontario sales manager for two years and a salesman in the Ontario territory for four years.
Bibby's music business career began thirteen years ago when he appeared regularly as a guest announcer on a London, Ontario radio program. At fifteen, he started work at The Disc Shop (now Mister Sound) in London and at sixteen took over as store manager while still attending school.
Richard Bibby's responsibilities now include overseeing the activities of Canadian branches and distributors, the scheduling of MCA's Canadian product releases, and the planning of sales and promotional campaigns for the company. Maitland expressed his pride in promoting Bibby, in line with his policy of promoting from within the company wherever possible.
Some thoughts on the Directory
The past few years have shown interesting trends in the compiling of directories of our industry. The vast numbers of listings are impressive, but when analysed, there would appear to be a battle raging over who can come up with the most names and addresses - and their validity becomes secondary.
Perhaps we should take into consideration a directory that simply lists and identifies the current participants within the industry. It's possible the directory wouldn't be impressively "filled" but the information contained therein would reflect the active participants in the industry - the aggressive people engaged in the industry rather than lists of publishers or producers who are either inactive, or haven't the time to make sure their address is correct. This type of concept would be more valid and, in the long run, more useful to the industry.
Now that we have made our feelings known, this year the Canadian Music Industry Directory will take this approach. It will not dazzle you with listings but will include only those people and firms who are alive and well and working within the industry.
COMMENT
walt grealis
Perhaps this concept will lead to a revamping of many other directories in the name game. We will devote our listing space to only those who are active, making for a much more accurate and important directory.
The Canadian Music Industry Directory, sometimes referred to as "the handbook of the industry", has become an important tool to the trade and should be respected for its accuracy. This year we will launch the first active directory which will be a "who's who" of the industry. The names contained will be genuine and the addresses current. It will also be supplemented with interesting and informative listings of music and radio information.
We are attempting to make our Directory as useful as possible - after all that's what a Directory is for. Any enquiries or suggestions would be welcome. Make sure, of course, that YOU are not left out of this year's "handbook of the industry."
GRUMBLES — AN IRATE EPITAPH
The Holiday Season was dampened by the passing of three figures who had etched themselves into our hearts and history over the years. Harry S. Truman. Proxy-President of the United States, Lester "Mike" Pearson, bow-tied Prime Minister and Statesman and Grumbles Coffee House. My first contact with Grumbles was early summer of 1971 as manager of a folk act that was trying to make the "big time" in Toronto, that is to play Grumbles Coffee House. After some dealing with the club manager, the group performed a guest act there with feature act, Edward and Harding. The Good Old Days, when Canadian talent headlined Canadian clubs and James and The Good Brothers could fill a room three nights out of four, Grumbles. The days when the old two-wheeled bicycle hung from the ceiling, the stage stood six inches from the floor and Neill and Joy Dixon magically ran lights, waited tables, collected money and entertained guests making you believe that a full time staff was really on duty.
Then things started to change. The drinking age went down and so did Grumbles' attendance. Canadian acts could no longer do the job and in came the "big guns" from the States. The Riverboat got them first though, and there sat Grumbles, Toronto's loveliest, loneliest wallflower. Thanks to the perseverance of her manager she struggled on for a long time, grew prettier and tried hard to compete with the Rock and Roll Beer Joints and The Hip Hotels but finally on December 31, 1972, exhausted by her struggle against liquor and location, she passed on. Gone forever.
But enough of this morbidity...Hey! Remember when James and the Good Brothers sang "Okie from Muskogee" and when La Troupe Grotesque had everyone on the floor with their outrageous antics? How about Shirley Eikhardt's country crooning or the night when Mike the Manager got up to sing? Grumbles. The best hot chocolate in Toronto, Molson's commercials, CBC television shows, press parties, hoots and Canada. Yep, right here in Toronto you could find Canada
LETTERS
to the editor
On Friday last I was given an opportunity to view the 90-minute version of Maple Music. Mr. A. Katsos and his crew are to be congratulated for an excellent job of capturing the spirit and music of the Maple Music Junket.
I am very disappointed and disturbed that a decision has been made to telecast only 60-minutes of Maple Music as opposed to the planned 90-minute show. The CBC has an opportunity to be in the forefront of what is happening in contemporary music with this telecast. However, they (CBC) seem to be turning their backs on what I think could be a break through for Canadian television.
I would hope that they reconsider their decision.
Leonard T. Rambeau,
General Manager,
Balmur, Toronto.
on Jarvis Street. That Canada is gone now though, and what will be done about it? Probably nothing. Not until the Riverboat goes and Massey Hall disappears and all that can be heard in Toronto is a dump-truck or a jackhammer will anyone say "There's nowhere sane to go anymore." Try Yonge Street for a relaxing evening, or a rock beer joint or a movie like "Sex in Suburbia". But I guess I'm in the minority and this kind of bitterness has no real place in an epitaph. She wouldn't want it that way.
Grumbles is gone and who knows what will spring up in its place. Nothing I hope. I'm not sure I could stand a drug store or a high rise there. Anyway thanks Neill and Mike and Joy and everybody who tried for so long to keep her alive. We'll miss her but I guess "tis better to have loved and lost than never to have loved at all". Goodbye Grumbles, we'll miss ya'.
— Joe Owens
GUESS WHO'S "PARAMOUNT" GOLD IN NEW ZEALAND
The Guess Who, just recently returned from a highly successful tour of New Zealand, Australia and Japan, have apparently been instrumental in reviving "American Woman" which is now Top 10 in three Japanese markets as well as being witness to their "Live At The Paramount" being certified Gold in New Zealand. Top chart item in New Zealand is "Running Bear". It was in Auckland (Western Springs Speedway) where the Guess Who drew a crowd of more than 16,000 for their only performance in New Zealand. Dates in Australia were all indoor shows which averaged capacity crowds of between five and six thousand for the four city tour (Melbourne, Sydney, Brisbane, and Adelaide). Japanese dates were also big crowd pullers at Osaka, Nagoya and Tokyo. Immediately after their Japanese dates, the Guess Who's manager, Don Hunter, was approached for a return tour within the next few months. The group returned home to Winnipeg Dec 19 where they will take it easy until mid-February when they commence their U.S. tour. It had originally been scheduled for a recording session at RCA's Rome studios but because of a time problem between their U.S. and European dates, Hunter moved the recording session back into the Los Angeles studios for taping the first week in April. The European tour has now been scheduled for mid-May. Hunter confers with European bookers mid-February to firm up dates for their tour.
U.S. dates include: Salt Lake City (2); Phoenix (3); New York Lincoln Centre (5); Aerie Crown Theatre in Chicago (9-10); University of Eastern Illinois (11); University of Illinois (13); University of Eastern Alabama (15); Moorehead Kentucky State College (22); Dayton (23); Columbus (24); and several others not yet confirmed. They also have a date for Ottawa set for the month of August.
Just released is the Guess Who's latest album, "Artificial Paradise" containing their new single, "Follow Your Daughter Home", a group penning (jam session), already showing strong numbers throughout the U.S. The Islands flavoured single, a departure from the usual Guess Who fare, features Burton Cummings on flute. The album also reveals new dimensions from the group, particularly with their rock-opera like "Those Show Biz Shoes" and "Orly".
Burton Cummings, just out of hospital recuperating from a virus picked up during the tour, explained: "We're just sort of settling back a little bit. We can be more selective about bookings now and we've got more time to spend in the studios. We're having a lot of fun now, and we can do what we really like. We can now get around and see a little bit of the world. Most of our touring had been restricted to the States and Canada and I really didn't think anyone in the far east had ever heard of us, but when we got over there and everybody knew the tunes it was incredible."
New Zealand had an obvious effect on Burton: "I liked it best of all. They really look after it there. They look after the balance of the animals and how many people come into the country. It's small so they can get away with it but it's really nice that they're doing it. It's just gorgeous there, it's so lush, the whole place is just lavish land, with big farms." Burton, one of the most creative writers in the business, had gathered a great deal of writing material on this trip: "You pick up a lot of ideas but you really don't get it all together until you bring it back home and then we can look at our slides again when we're back in the snow - then it comes out, then the writing starts, once we get back home."
Burton was asked what prompted the writing of their new single: "I don't know, I was just playing flute one time, we were fooling around with it and we started doing a Jamaican thing and that was it - it was almost like a Key Largo wine commercial from the States." The group are very happy with their new album and feel it will be the one that will break them into the FM market. With so many albums being released each week, it has been difficult to pick up a good portion of the market, although all their albums sell extremely well. The cover on their new set was also done up in a new style by Pacific Eye and Ear, the people who did the Doors' album and the Jefferson Airplane cigar box, as well as the Alice Cooper school desk.
RCA reports good acceptance of the new "Daughter" single with heavy backordering on the album.
DAFFODIL HAS A HEAVY FEBRUARY UPCOMING
Love Productions' Mike Docker, now returned from his "whirlwind tour" out west, advises of a heavy February release schedule on Daffodil records product. The series of releases from England's Immediate label will continue, with "As Safe As Yesterday"/Humble Pie; "Ars Longa Vita Brevis"/The Nice; the double album "Autumn Stone"/Small Faces; "Anthology of British Blues"; and the "Best of Chris Farlowe".
Canadian product expected out will include the third album for King Biscuit Boy, as yet untitled. Biscuit will be backed on this release by Full Tilt Boogie Band, who used to back Janis Joplin. A debut album for Joe Probst, entitled "The Lion and the Lady" will also be out in February.
Foot in Coldwater will have their second album out during the month. Meantime, led by strong chart gains at CHUM, their latest single "Isn't Love Unkind in My Life" is catching ears across Canada.
Christmas, the Oshawa "space rock" group, are currently in the studio working on their second Daffodil album.
25th ANNIVERSARY PROMO AT CKOX
On December 6, 1972, CKOX radio in Woodstock Ontario celebrated their 25th broadcasting anniversary. The day capped weeks of preparation and turned out to be one of the most successful promotions in CKOX history.
The first step in the advance preparation began several months earlier, when copies of the 1947 record charts were ordered from Billboard magazine. These proved invaluable as station staff checked through some of the hundreds of 78s stored in the station basement. About 12 of '47's top hits were uncovered, by artists like Al Jolson, Bing Crosby, Arthur Godfrey, Vaughn Monroe, Louis Prima, Buddy Clark and more. The 1947 music was supplemented by other 78's that were popular in the late 40s and early 50s; Four Lads, Andrew Sisters, the Ames Brothers, Johnny Ray, Rosemary Clooney etc.
CKOX promoted the historic anniversary on air and in local newspaper ads for a solid week in advance, inviting listeners to tune in and hear a day of nostalgia with music from the year of CKOX's first broadcasts. From 6 a.m. to 7 p.m. the old 78's were aired and hundreds of phone calls flooded in from people who seemed to be enjoying it immensely. On the open-line programs, listeners were encouraged to reminisce, and some fascinating recollections of earlier days in Woodstock were heard. With the help of the CAB program exchange and RPM, congratulatory messages from radio stations across Canada were sent to CKOX. These were aired at 0:10 and 0:40 each hour.
Excerpts from "Golden Radio" were aired at 0:20 and 0:50.
The news department, with the help of the local Daily Sentinel Review, wrote news stories from the day CKOX first went on the air. These were spotlighted during each newscast.
CTL was given an order for 25 Canadian Talent Library sampler albums with the CKOX logo embossed on the jacket. Listeners who could identify artist and title of certain 40s tunes aired, won copies of the 25th anniversary album.
Over 500 listeners responded to the invitation to drop in to the station's open house. Each visitor received a complete tour of newsroom, library, and studios, ending in the inner offices where they were treated to coffee and donuts. Here a slide presentation on the history of broadcasting (produced by CAB) was going on, integrated with CKOX slides of the old studios and announcers, along with excerpts from old radio shows.
At 12 noon, the time the station originally went on the air, a special ceremony was held from a mike set up in the front office. The mayor of Woodstock, who had earlier declared the week "CKOX Week", addressed the listeners. The MPP and MP for Oxford and several other local dignitaries were also on hand to speak.
CKOX program director Woody Woodward says the day was extremely hectic and demanded tight organization and a solid effort from the hard working staff. However, from the response received from the telephone calls, telegrams, flowers and personal visits, the effort was worth its weight in gold. The 25th Anniversary promotion of CKOX proved more than ever what a vital force local radio is in the community, and strengthened the already close relationship CKOX enjoys with listeners in the Woodstock area.
FRONT PAGE continued
Liberals support TV and radio in House
Radio and television newscasts may get more lively soon, with the inclusion of clips recorded live in the House of Commons. The coverage of Parliament by radio and TV was supported by the Trudeau government's Speech from the Throne, although it said the change would not be made unless all parties agreed.
The question has been under study for three years, with the Commons committee coming out in favour of the broadcasts after further legal and technical details are worked out.
Alberta has been the only parliament in Canada permitting television and radio coverage of debates. The federal government has permitted cameras and microphones in the Commons only for the opening of Parliament, up to the present time.
Grumbles' decor was outstanding. The Dixons had decorated their club with the same gentle understanding they used in booking acts. Reminders of "old Blighty" were everywhere. An old British railroad clock, signs from Threadneedle Street, copper pot belly kettles, old gramophone, complete with horns, sewing machines, English pottery and other memorabilia, blended softly with the folk names - big and small who called Grumbles their home for a few days.
The burial isn't quite over, to some. There is now a campaign underway to resurrect Grumbles but it is felt by many that it is too late to pump the necessary life back into what will probably remain a monument to the apathy toward that which is uniquely Canadian, displayed by so many misinformed bureaucrats.
The Liquor License Board of Ontario will have to live down the fact that their shortsightedness closed one of the unique showplaces of Toronto. Three years of fine Canadian and foreign attractions, in a beautiful setting, was more than we could ask for and indeed, something that most of us had hoped would continue.
The area was too well serviced. That's the message to the struggling young Canadian performer. Remember it!
MAPL DETAILS
4 LAST SONG
Edward Bear/Capitol 72677/F
(Larry Evoy) Eeyor Music-CAPAC
Thunder Sound (Gene Martynec)
5 DAY TIME NIGHT TIME
Keith Hampshire/A&M 330/W
(Mike Hugg) Spectorious-BMI
RCA Toronto (Bill Misener)
11 TURN ME ON I'M A RADIO
Joni Mitchell/Asylum 11010/P
(Joni Mitchell) Joni Mitchell-BMI
U.S. Studios (Henry Lewy)
13 DANNY'S SONG
Anne Murray/Capitol 72682/F
(Ken Loggins) Grossos Music-ASCAP
Eastern Sound (Brian Ahern)
14 YOU ARE WHAT I AM
Gordon Lightfoot/Reprise 1128/P
(Gordon Lightfoot) Moose Music-CAPAC
19 I'M GONNA LOVE YOU TOO
Terry Jacks/London 181/K
(Terry Jacks) Gone Fishin-BMI
Can-Base Studios (Terry Jacks)
25 SUNNY DAYS
Lighthouse/GRT 123039/T
(Skip Prokop) CAN-USA/Mediatrix-BMIC
Thunder Sound (Jimmy Lennon)
32 SIGN OF THE GYPSY QUEEN
Lorence Hud/A&M AMX332/W
(Lorence Hud) Irving Music-BMI
Sound Canada (Lorence Hud)
34 TAKE THE BLINDNESS
Joey Gregrash/Polydor 2065 148/Q
(Gregrash/Lampe) Dollar Bill/Blackwood
-BMI U.S. Studios (Ron Capone)
35 JULIA GET UP
Rich Dodson/MWC 1010X/M
(Rich Dodson) Corral Music-BMI
Toronto Sound (Mel Shaw)
37 GYPSY
Abraham's Children/GAS 1005
(Paul Gross) Black & White-CAPAC
RCA Toronto (Paul Gross)
43 PRETTY CITY LADY
Bob McBride/Capitol 72681/F
(Bob McBride-Paul Hoffert) Hopo/Boco
BMIC Thunder (Dennis Murphy)
48 JOHNNY LIGHTNING
Stampeder/MWC 1011X/M
(Rich Dodson) Corral Music-BMI
Toronto Sound (Mel Shaw)
49 UNCLE DAD & AUNTIE MOM
Cliff Edwards/Polydor 2065 150/Q
(Marty Reno) No Publishing listed
Toronto Sound (Cliff Edwards)
54 AFRICA
Thundermug/Axe 4/K
(Bill Durst/Joe de Angelis) Belsize-BMI
Toronto Sound (Greg Hambleton)
56 COME AND JOIN US
Dublin Corporation/Yorkville 45067/D
(Nicholson) Catrine-CAPAC
Bay Studios (Bill Gilliland)
57 CONTROL OF ME
Les Emmerson/Polydor L141/Q
(Les Emmerson) No publishing listed
U.S. Studios (No producer listed)
61 DAY AND NIGHT
Wackers/Elektra 45816/P
(Segarini-Bishop-Lauzon) Warner Bros-Tanmerlane-Happiedayle-BMI
Andre Perry (Mark Abramson)
62 RUNNIN' BACK TO SASKATOON
Guess Who/Nimbus 9 74-0803/N
(Cummings-Winter) Cirrus/Sunspot-BMI
U.S. Studios (Jack Richardson)
63 YOU GIRL
Lighthouse/GRT 1230-46/T
(Skip Prokop) Mediatrix-BMIC
Thunder Sound (Jimmy Lennon)
69 SOUND OF PEACE
Bobby G. Griffith/Ranwood 933X/M
(Bobby G. Griffith) Pambec Music
Thunder Sound (Bobby G. Griffith)
70 ALWAYS BE THINKING OF YOU
Fludd/Daffodil DFS1025/F
(Brian/Ed Pilling) Underwater-CAPAC
Manta Sound (Lee DeCarlo)
71 LES COLOMBES
Lise Thouin/Capitol 8596/F
(Michel Conte) Editions Du Berseau-CAPAC, Andre Perry (Gillis L'ecuyer)
72 I JUST WANT TO MAKE MUSIC
Tobias/MGM MV 10692/Q
(Ken Tobias) Gloosecap-BMI
U.S. Studios (Michael Lloyd)
74 TELL THE PEOPLE
Joey Gregrash/Polydor 2065 168/Q
(Gregrash/Lampe) Dollar Bill/Blackwood
-BMI U.S. Studios (Ron Capone)
86 THE MUSIC DOESN'T SEEM TO BE GOING ANYWHERE
Tapestry/Polydor 2065 152/Q
(Holloway) Brenko Music-CAPAC
Andre Perry (Jack Winters)
89 SING A SONG FOR ME
Nobody/United Artists S0960/U
(John Albany) No publishing listed
RCA Toronto (Ian Guenther)
94 RIGHT ON
Atkinson, Danko & Ford/Brockie, Hilton Columbia C4-3076/H
(Duane Ford) Blackwood-BMI
Manta Sound (Lee DeCarlo)
96 LONG TIME COMIN' HOME
Dr. Music/GRT 1233 15/T
(Doug Riley) Dr. Music-CAPAC
Toronto Sound (Doug Riley)
AL CAPSON MAKING GAINS WITH INSTRUMENTAL DECK
Marathon's most recent signing, Allan Capson, is receiving the red carpet promo treatment from the label. His initial single, "The Clock", a bright and tightly put together country instrumental, has shown good form with chart and playlists across the nation.
Capson became interested in the music business while still a youngster in his hometown of Gunningsville, New Brunswick. One of his earliest recollections of being a rebel songwriter was the problem he had convincing his guitar teacher that his original compositions should remain original and not be changed to suit his teacher's tastes. He also remembers having to stay after school to listen to his grade six choir teacher play Chopin and other masters which convinced him to take a long hard look at songwriting which has resulted in a varied bag of music with appeal for all music lovers, generally. He is also represented on the charts with his penning of "Albert County Soil" with Marg Osburne doing the vocals.
George Hamilton IV on one of his frequent visits to the Maritimes came across a tape of Capson material and immediately said: "That's my kind of music". It's expected that Hamilton will use one or more of Capson's compositions in an upcoming album release.
Two of Western Canada's most successful recording artists, Dick Damron (l) and Hank Smith, officially open Smith's Edmonton Villa.
Reg Watkins, Snocan recording artist, received play on his release "Cam Canuck" which has now flipped to "Manitoulin Mission".
CJVI VICTORIA GOES TO COUNTRY FORMAT
10,000-watt Victoria B.C. station CJVI has adopted a full-time country format. The change became effective Dec. 27, with programming consisting of 50% current singles, 50% country gold and LP cuts.
Program director Ron Robinson writes: "During the past week, since changing to the country sound, we have just been amazed and gratified by the overwhelmingly positive reaction from listeners not only in Victoria, but more impressively from the Fraser Valley, from Greater Vancouver and Washington State. In my twenty-one years in broadcasting I've never experienced the warmth of the support the country format has brought forth, in just seven days.....without off-station promotion."
The Selkirk group, owners of CJVI, already has another successful country operation, CFAC in Calgary.
On air staff at CJVI consists of John Power on the morning show, Fraser McAlpine middays, with Brian Byman and Jim Shearer sharing afternoons and weekends. Dave Maller is joining the staff during January to hold down the evening and weekend chores, with Neil Macrae staying up all night, and Jim Murray doing swing. Joe Easingwood is production manager, and Helen Moulton has been newly appointed to the post of music director. Ms. Moulton brings years of radio and retail record experience with her to the position.
Previous format at CJVI was uptempo MOR, with talk 9-noon, and network-and-talk 6-11 pm. The latter block has been retained but the morning segment was dropped to allow for better continuity of listeners in the new format.
The Victoria market had been somewhat unusual, in that all three AMs and one FM were basically MOR outlets. Observers on the west coast feel that the new CJVI format, which is distinctive musically and personality-wise (the other stations are into little talk, music blocks and substantial voice-tracking) will become a real ratings force in the area, even taking a share of the Vancouver audience. (Vancouver has no country station; CJJC Langley, the nearest country outlet, is only 1000 watts.)
Record companies are asked to check that CJVI is receiving all the latest product. Station address is 817 Fort St., Victoria.
It's just a coincidence, but 1973 is the Golden Anniversary of CJVI's founding. In this connection they would like personalized voicetracks from country artists, for use in promoting their fifty years on air. Tapes should be sent to program director Ron Robinson.
For information on advertising and editorial in 1973's Canadian Music Industry Directory.....see page 5.
| # | Artist | Title | Label | Catalog |
|----|----------------------|------------------------------|-------------|-----------|
| 1 | Clair | Take The Blindness | Polydor | 2085 148-Q|
| 2 | Carly Simon | Julia Get Up | Rich Dodson | MWC 1010X-K|
| 3 | John Denver | Superstition | Tamla Motown| 54226-V |
| 4 | Edward Bear | Gypsy | Abraham's Children | G.A.S. G100S |
| 5 | Keith Hampton | Summer Breeze | Seats & Croft | Warner Bros. 7606-P |
| 6 | Albert Hammond | Reelin' & Rockin' | Chess | 2136-T |
| 7 | Helen Reddy | I Love You To Want Me | Big Tree | 147X-M |
| 8 | Neil Diamond | Oh Babe What Would You Say? | Hurricane Smith | Capitol 3383-F |
| 9 | Liam Neeson | Keeper Of The Castle | Four Tops | Dunhill 1320-N |
| 10 | Justin Roberts | Pretty City Lady | McBride | Capitol 72681-F |
| 11 | John Lennon | Do You Want To Dance | Betty Wright | Atlantic 2928-P |
| 12 | Elton John | Papa Was A Rolling Stone | Temptations | Motown 7121-V |
| 13 | Andy Fairweather | Jesus Is Just Alright | Doug Brinegar | Warner Bros. 77681-P |
| 14 | Gordon Lightfoot | Jamabala | Blue Ridge Rangers | Fantasy 689-P |
| 15 | Carole King | Johnny Lightning | Standards | MWC 1011X-M |
| 16 | Janet Tull | Uncle Dad And Auntie Mom | Cliff Edwards | Polydor 2068 15G-Q |
| 17 | Billy Paul | Separate Ways | Elvis Presley | RCA 0815-N |
| 18 | Liggins & Desina | Everybody Loves A Love Song | Mac Davis | Columbia 45727-H |
| 19 | Terry Jacks | Long Dark Road | Hollies | Epic 10920-H |
| 20 | Three Dog Night | The Relay | The Who | Track 33041-J |
| 21 | Al Green | Africa | Thunderbird | Axe 4-K |
| 22 | James Taylor | Don't Expect Me | Lobos | Big Tree 158X-M |
| 23 | Raspberries | Listen To The Music | Doug Brinegar | Warner Bros. 7619-P |
| 24 | John Denver | I'm Never Gonna Be Alone | Cornelius Brothers | U.A. UAS0998-U |
| 25 | Bread | Day And Night | Warne & Sons | Elektra E45816-P |
| 26 | Wings | Running Back To Saskatoon | Guess Who | Nimbus Nine 74 0803-N |
| 27 | Cat Stevens | You Girl | Johnnie Ray | GRT 1230 46-T |
| 28 | Bread | I'm Stone In Love With You | Styler | Avco 4603-N |
| 29 | Joe Cocker | I Can See Clearly Now | Johnnie Nash | Epic 10902-H |
| 30 | Cat Stevens | Remember | Nilsson | RCA 74 0885-N |
| 31 | Bread | Anthem | Wayne Newton | RCA 74 0105-N |
| 32 | Van Morrison | Natalie | Roby Rey | G.A.S. 1003A |
| 33 | Bobby G. Griffith | Sound Of Peace | Ranwood | 933X-M |
| 34 | Hurricane Smith | Always Be Thinking Of You | Daffodil | DFS1025-F |
| 35 | Chess | Les Colombes | Lise Thouin | Capitol 8506-F |
| 36 | Chuck Berry | I Just Want To Make Music | Toots & The Maytals | MGM/Verve MV 10692X-Q |
| 37 | Lalo Schifrin | Why Can't We Live Together | Timmy Thomas | Capitol 1121-Q |
| 38 | Betty Wright | Tell The People | Joey Greghar | Polydor 2065 16B-Q |
| 39 | Bill Withers | Let Us Love | Sussex | 2437-V |
| 40 | King Harvest | Dancing In The Moonlight | Perception | 515-H |
| 41 | Eagles | Peaceful Easy Feeling | Asylum | 11013-P |
| 42 | Fifth Dimension | Living Together | Bell | 45310X-M |
| 43 | Stevie Wonder | Do It Again | ABC 11338-N |
| 44 | David Bowie | Jean Genie | RCA 74 0838-N |
| 45 | Galaxie | You're A Lady | Warner Bros.| 45285X-M |
| 46 | Billy Joel | The World Is A Ghetto | Warner Bros.| 50975-U |
| 47 | Mike Hugg | Blue Suede Shoes Again | Polydor | 2058 265-Q |
| 48 | Peter Skellern | You're A Lady | London | L-20075-K |
| 49 | Tapestry | Music Doesn't Seem To Be Going | Polydor | 2065 152-Q |
| 50 | Billy Joel | I Can't Move No Mountain | Blue Note | Columbia 45759-H |
| 51 | Danny O'Keefe | Good Time Charlie | Signpost | 70006-P |
| 52 | Nolajah | Sing A Song For Me | United Artists | 50960 U |
| 53 | Emerson, Lake & Palmer | Lucky Man | Cotillion | 44105-P |
| 54 | Daniele Boone | Annabelle | Penny Farthing | 7339-F |
| 55 | Dueling Banjos | Deliverance | Warner Bros.| 7659-P |
| 56 | Gary Glitter | Did I Know I Love You | Bell | 45276X-M |
| 57 | Atkinson, Danto & Ford | Right On | Columbia | 45276-H |
| 58 | Glen Campbell | One Last Time | Capitol | 3485-F |
| 59 | Doctor Music | Long Time Comin' Home | GRT 1233-15-T |
| 60 | Kris Kristofferson | Jesus Was A Capricorn | Monument | 8588-H |
| 61 | Van Morrison | Gypsy | Warner Bros.| 7665-P |
| 62 | Diana Ross | No | Decca | 32996-J |
| 63 | Tamla Motown | Good Morning Heartache | Diana Ross | 1211-V |
| Rank | Artist/Title | Label | Catalog Number | Date |
|------|--------------|-------|----------------|------|
| 1 | Moody Blue-Threshold THS7 | TKM24607-K | THM24897-K | 1-1109-M |
| 2 | Jethro Tull-Chrysalis 2CH1035-P | CCH1035-P | SCHJ1035-P | 2-1109-M |
| 3 | Moody Blues-King-Ode S777016-W | CS777016-W | 8T77016-W | 3-1109-M |
| 4 | Gordon Lightfoot-Reprise MS2116-P | CRX2116-P | 8RM2116-P | 4-1109-M |
| 5 | Carole King-Elektra EKS75049-P | CEK75049-P | BEK75049-P | 5-1109-M |
| 6 | Seals & Crofts-Warner Bros BSW2629-P | CWX2629-P | 8WM2629-P | 6-1109-M |
| 7 | Lightnin' GRT 9230 1021-T | B230 1021-T | 7-1109-M |
| 8 | James Taylor-Warner Bros BS2660-P | CWX2660-P | 8WM2660-P | 8-1109-M |
| 9 | America-Warner Bros BS2655-P | CWX2655-P | 9-1109-M |
| 10 | Various Ode SP99001-W | N/A | 10-1109-M |
| 11 | Cat Stevens-A&M SP4365-W | ACAS65-W | 11-1109-M |
| 12 | Neil Young-MCA 2-8000-J | C2-8000-J | 12-1109-M |
| 13 | John Denver-RCA LSP4731-N | PK1972-N | 13-1109-M |
| 14 | Steely Dan-Columbia KC31610-H | N/A | 14-1109-M |
| 15 | Mitchell-Asylum SD5087-P | CAS5087-P | 15-1109-M |
| 16 | Bob Dylan-EKS 75047-P | CEK75047-P | BEK75047-P | 16-1109-M |
| 17 | Blood Sweet & Tears-Columbia KC31780-H | N/A | 17-1109-M |
| 18 | Warner Bros BS2602-P | CWX2602-P | 18-1109-M |
| 19 | Neil Young-Reprise 2XS6480-P | CRJS6480-P | BRJS6480-P | 19-1109-M |
| 20 | Ken Astor-Years After-Columbia KC31779-H | N/A | 20-1109-M |
| 21 | Yes-Atlantic SD7244-P | ACT7244-P | A8TC7244-P | 21-1109-M |
| 22 | Herbie Reddy-Capitol ST11068-F | N/A | 22-1109-M |
| 23 | Bell 1107-M | 23-1109-M |
| 24 | Columbia KC31760-H | N/A | 24-1109-M |
| 25 | Columbia KC31748-H | N/A | 25-1109-M |
| 26 | Curtis Mayfield-Curtom CRS 8014-M | CRSA 8014-M | CRS8 8014-M | 26-1109-M |
| 27 | Al Green-HI XSHL32074-K | SEM32074-K | 27-1109-M |
| 28 | Lozada Big Tree 2013-M | BTS4 2013-M | BTS8 2013-M | 28-1109-M |
| 29 | Moody Blues-Daram DE18102-K | N/A | 29-1109-M |
| 30 | The Osmonds-Polydor 2424 070-Q | N/A | 30-1109-M |
| 31 | The Osmonds-Polydor 2424 070-Q | N/A | 31-1109-M |
| 32 | Uriah Heep-Mercury SRM1652-Q | N/A | 32-1109-M |
| 33 | Rod Stewart-Mercury SRM 1646-Q | MCR4 1646-Q | MCB 1646-Q | 33-1109-M |
| 34 | David Cassidy-Bell 1109-M | 4-1109-M | 34-1109-M |
| 35 | Grateful Dead-Warner Bros 3WX2668-P | 2CXW2668-P | 2WXS2668-P | 35-1109-M |
| 36 | Grand Funk-Capitol SMAS11099-F | N/A | 36-1109-M |
| 37 | West, Bruce & Laine-Columbia KC31929-H | N/A | 37-1109-M |
| 38 | Chicago V-Columbia KC31102-H | CT31102-H | CA31102-H | 38-1109-M |
| 39 | Jesse Winchester-Bearsville BR2102-F | N/A | 39-1109-M |
| 40 | Band-Capitol SABB1045-F | 4XT11045-F | 8XT11045-F | 40-1109-M |
| 41 | Lee Russell-Shelter SWB911-F | N/A | 41-1109-M |
| 42 | A&M SP 4368-W | N/A | 42-1109-M |
| 43 | The Dog Night-Dunhill DSD50118-N | DHMBS5118-N | DXH55118-N | 43-1109-M |
| 44 | Melanie-Neighbourhood NRS 47005-M | NRS4 47005-M | 44-1109-M |
| 45 | Johnny Nash Epic KES1607-H | N/A | 45-1109-M |
| 46 | George Carlin-Little David LD 1004-P | ACLD1004-P | A8LD 1004-P | 46-1109-M |
| 47 | Col. Fantasy 9418-R | N/A | 47-1109-M |
| 48 | Peter Townshend-Decca DL 7 9189-J | 73-9189-J | 6-9189-J | 48-1109-M |
| 49 | Chas. Chong-Ode SP77014-W | CS 77014-W | 8T-77014-W | 49-1109-M |
| 50 | Bee Gees-Polydor 2383 139-3 | N/A | 50-1109-M |
| 51 | Capitol SK 11036-F | N/A | 51-1109-M |
| 52 | True North TN8-H | N/A | 52-1109-M |
| 53 | Bell 1106-M | 4-1106-M | 53-1109-M |
| 54 | Rita Coolidge-A&M SP4370-W | N/A | 54-1109-M |
| 55 | Uriah Heep-Mercury SRM1630-Q | MCR4 1630-Q | MCS 1630-Q | 55-1109-M |
| 56 | Bette Midler-Atlantic SD7238-P | N/A | 56-1109-M |
| 57 | Columbia KC31602-T | 5033 60020-T | 8033 60020-T | 57-1109-M |
| 58 | U.A. UAS55 51-U | N/A | 58-1109-M |
| 59 | Curtis Mayfield-Curtom CRS 8014-M | CRSA 8014-M | CRS8 8014-M | 59-1109-M |
| 60 | Moe Koffman-GRT 9230 1022-T | N/A | 60-1109-M |
| 61 | R&B Chart-Deca DL75391-J | 73-5391-J | 6-5391-J | 61-1109-M |
| 62 | Temptations-Tamla Motown G962-V | N/A | 62-1109-M |
| 63 | Liza Minelli-Columbia KQ31762-H | N/A | 63-1109-M |
| 64 | E. L. P.-Cotillion SD9903-P | AC9903-P | A8TC9903-P | 64-1109-M |
| 65 | Michael Jackson-Tamla Motown M755-V | N/A | 65-1109-M |
| 66 | Jimi Hendrix-Reprise MS2103-P | CRX2103-P | 8RM2103-P | 66-1109-M |
| 67 | Fludd-Daffodil SBA 16020-F | N/A | 67-1109-M |
| 68 | Grateful Dead-Warner Bros 3WX2668-P | 2CXW2668-P | 2WXS2668-P | 68-1109-M |
| 69 | Steve Phillips-A&M SP4363-W | N/A | 69-1109-M |
| 70 | Carpenters-A&M SP3511-W | CS3511-W | 8T3511-W | 70-1109-M |
| 71 | Chief Dan George-Can-Base CB5002-H | N/A | 71-1109-M |
| 72 | The Monkees-Capitol SD11109-F | N/A | 72-1109-M |
| 73 | Gilbert O'Sullivan-Mam 5-K | N/A | 73-1109-M |
| 74 | Org. Soundtrack-U.A. UA99006-U | N/A | 74-1109-M |
| 75 | Marianne Faithfull-GRT 9230 1015-T | 5230 1015-T | 8230 1015-T | 75-1109-M |
| 76 | Deep Purple-Warner Bros 2LS 2644-P | CLJ2644-P | BLJ2644-P | 76-1109-M |
| 77 | Young-AmpeX A10151-V | N/A | 77-1109-M |
| 78 | Arlo Guthrie-Reprise MS2060-P | CRX2060-P | 8RM2060-P | 78-1109-M |
| 79 | Elton John-Uni 93135-J | 2-93135-J | 8-93135-J | 79-1109-M |
| 80 | Dusty Springfield-Capricorn 2SP1008-P | N/A | 80-1109-M |
| 81 | Bruce Cockburn-Tru North TXN7-H | N/A | 81-1109-M |
| 82 | Columbia KC31350-H | CA31350-H | 82-1109-M |
| 83 | Albert Hammond-Columbia KZ31905-H | N/A | 83-1109-M |
| 84 | Gilbert O'Sullivan-MAM4-K | MAM5 4-K | MAMB 4-K | 84-1109-M |
| 85 | Annie Murray-Capitol ST6376-F | 4XT6376-F | 8XT6376-F | 85-1109-M |
| 86 | Roy Masters-Kanata KAN10-K | KAN5 10-K | KANB 10-K | 86-1109-M |
| 87 | Jethro Tull-Reprise MS2072-P | CRX2072-P | 8RM2072-P | 87-1109-M |
| 88 | Frank Derivae-Columbia ES90155-H | N/A | 88-1109-M |
| 89 | Chuck Berry-Chess 2CH1514-T | 5230 1514-T | 8230 1514-T | 89-1109-M |
| 90 | T. T. Brown-Reprise MS2095-P | CRX2095-P | 8RM2095-P | 90-1109-M |
| 91 | Neil Young-Reprise MS2032-P | CRX2032-P | 8RM2032-P | 91-1109-M |
| 92 | Don Davis-RCA LSP 4702-V | PK1932-N | PBS1932-N | 92-1109-M |
| 93 | Diamond Uni 93136-J | 2-93136-J | 8-93136-J | 93-1109-M |
| 94 | James Gang ABC ABCX760-N | ABCX5760-N | 94-1109-M |
| 95 | J. Gallant-Atlantic SD7241-AC7241-P | ABSTC7241-P | 95-1109-M |
| 96 | Doobie Bros-Warner Bros BS2634-P | CWX2634-P | 8WM2634-P | 96-1109-M |
| 97 | Gordon Lightfoot-Reprise MS2056-P | CRX2056-P | 8RM2056-P | 97-1109-M |
| 98 | Eric Clapton-At His Best Polydor 2668 009-Q | N/A | 98-1109-M |
| 99 | Carole King-Ode SP77009-W | CS77009-W | 8T77009-W | 99-1109-M |
**Note:** Cassette numbers appear on left - Bracket on right of each listing.
**CANADA'S ONLY NATIONAL 100 ALBUM SURVEY**
Compiled from record company, radio station and record store reports.
WATCH THIS RONCO ROCK ALBUM TAKE OFF!
To be launched this month is the most fantastic collection of original rock hits gathered on FOUR BIG LP'S.
Just by itself it would be the No. 1 rock album in Canada. But it's going to be boosted with a massive national TV and radio advertising campaign!
Ronco presents THE GREATEST ROCK AND ROLL HITS
4 BIG LP'S $7.88 RETAIL PRICE
Starting in all Ontario and Quebec television markets on January 14th and followed closely by all other TV areas throughout Canada. Our explosive 60 second commercials featuring Chubby Checker are going to blow one million rock lovers out of their minds — and into your shop.
If you'd like to ride on this surefire success, contact Ronco Teleproducts (Canada) Ltd., 100 Sheppard Ave., West Toronto, Ontario 416-221-1128
All phone orders accepted collect — phone now 416-221-1128
TWIST & SHOUT The Isley Brothers
ROCK AROUND THE CLOCK Bill Haley and The Comets
EARTH ANGEL Penguins
SIXTEEN CANDLES The Crests
DADDY'S HOME Shep and the Limeliters
WHY DO FOOLS FALL IN LOVE? Frankie Lyman
GET A JOB The Silhouettes
YOU TALK TOO MUCH Joe Jones
PARTY DOLL Buddy Knox
HAPPY HAPPY BIRTHDAY BABY The Tune Weavers
BABY I'LL BE YOUR BABY The Four Lads
SHAKIN' GOIN' ON Jerry Lee Lewis
TOSSIN' AND TURNIN' Bobby Lewis
DONNA Richie Vallens
SOLDIER BOY The Shirelles
PEPPERMINT TWIST Joey Dee
SINCE I DON'T HAVE YOU The Skyliners
STAY Maurice Williams
THE GREAT PRETENDER The Platters
DO YOU WANNA DANCE Bobby Freeman
COME SOFTLY TO ME Fleetwoods
ROCKIN' ROBIN Bobby Day
I ONLY HAVE EYES FOR YOU Flamingos
CHANTILLY LACE Big Bopper
SINCERELY Moonglows
BOOK OF LOVE Monotones
AND MANY MANY MORE!
PUCCINI Manon Lescaut (complete opera)
Montserrat Caballe - soprano
Placido Domingo - tenor
New Philharmonia Orchestra conducted by Bruno Bartoletti
ANGEL SBLX-3782
The third of Puccini's Operas, and his first real success, Manon Lescaut receives a thoroughly distinguished performance by Placido Domingo and Montserrat Caballe. The New Philharmonia Orchestra turn in a glittering performance under the direction of Bruno Bartoletti. Vincente Sardinero sings the role of Lescaut while Robert Tear is Edmondo. The recording has a sheen and clarity placing it among Angel's best to date.
MONTEMEZZI L'Amore dei tre re (complete opera)
Pierre Duval - tenor
Ezio Flagello - bass
Luisa Malagrida - soprano
Orchestra Sinfonica di Roma conducted by Richard Karp
SELECT CC-15.035/36
This is the third of Montemezzi's six operas and the first to be recorded. Premiered at La Scala in 1913, it is considered to be one of the finest Italian operas of the twentieth century. The lead role of Avito is sung by the Montreal tenor Pierre Duval with great authority and distinction. The recording was made originally in Italy for Delphi label, U.S.A. and is available through London Records on their new Select label. Beautifully scored and well written for the voices, it has a Puccini like lyricism which should generate much appeal. The stereo sound and pressings are fine. Unfortunately, the libretto is Italian only, with a brief synopsis in English.
MOZART - The Five Violin Concertos
David Oistrakh - Violinist
Berlin Philharmonic Orchestra
ANGEL SD-3789
This four record set includes not only the Five Violin Concertos, but the Sinfonia Concertante in Eb, K. 364, the Concertone in C, K.190 for two violins and Orchestra, the Ronco in C, K.373, Adagio in E, K.261 and the Ronco Concertante in Bb, K.269, David Oistrakh conducts the Berlin Philharmonic orchestra while playing the violin as was customary in Mozart's time, and in the Sinfonia Concertante he plays the viola part while his song Igor plays the violin. When one of the world's greatest violinists is backed by one of the world's greatest Orchestras there is little that can be said about the performances (except perhaps egad!)
THE WORLD OF ERNA SACK
Erna Sack - Coloratura - Soprano
LONDON SPA-4040
Erna Sack fans will be delighted with this historic reissue of some of her Telefunken 78's including two excerpts from Strauss's "Die Fledermaus", Cibiribirin, Funiculi, Funicula, Parla-waltz, and her popular "Glow-worm". And of course she rocketing into the coloratura stratosphere which made her one of the most popular operetta singers of the '40s. These discs were made in the '30s and are a most effective demonstration of the freak range of her voice and her fine sense of German operetta style as practised in the pre-war years.
CHOPIN RECITAL
Ivan Davis - Pianist
LONDON PHASE 4 SPC 21071
A well chosen and superbly performed recital by Texas born Ivan Davis who is one of the finest pianists performing before the public today. Mr. Davis is at his most impressive in the larger works which include the Barcarolle in F#- Opus 60, the Ballade No. 1 in G minor Op. 23 and the Scherzo No. 3 in C#- Op. 39. Here we are treated to a heroic sweep and virtuosity such as Liszt might have brought to these works. The popular Fantasie Impromptu Op. 66 and Etude in E Op. 10 No. 3 are tastefully played to open the programme and short works include two Waltzes from Op. 64 and the beautiful Nocturne in Db Op. 27 No. 2. The recording and pressing are fine, however some may find as I did that the piano is too much for comfort, rather like having your head inside the instrument instead of the hood instead of being seated in a recital hall. One hears the "thud" of each key and chord striking the key-bed. Perhaps a "Phase 4" sound is not the best this for solo piano. But this is a great recital so don't miss it.
SCHUBERT Sonata in Bb, D.960 "Wanderer" Fantasia
Alfred Brendel - Pianist
PHILIPS 6500 285
Alfred Brendel follows up his previous release of Schubert's Sonata in A, D959 (Philips 6500 284) with this beautifully thought out performance of the last of Schubert's Piano Sonatas. Lasting over forty minutes, this sonata has all the intimacy of a chamber work and is one of Schubert's loveliest creations. If Mr. Brendel will now record the Sonata in C minor D958 he will have completed the set of three sonatas which Schubert intended for dedication to Hummel. Completing the disc is a brilliant performance of the "Wanderer" Fantasia, a powerful, extrovert work of great technical difficulty.
The Programmers NEW ON CHARTS
PRINCIPAL MARKETS
"Sunny Days" was a powerful chart record for Lighthouse, and now "You Girl" is showing extremely quick acceptance as CKOM, CHED and CJME put it on the chart. (Also see new on playlist for other major market action.) Last week's CKOC, CKFH and CKXL chartings of "Why Can't We Live Together" are joined by CKGM, CJCH, CJME and CJBK with more expected as playlist action builds in every part of Canada. "Hi Hi Hi" continues on build with new chartings this week from CJJC, CHED, CKFH, CFRW and now is listed at almost all contemporary stations.
"Control Of Me", previously charted at CKOC, CKFH and CKOM gets a big boost with chart spots this week at CKLW and CKRC, plus many playlist reports. "Do It Again" didn't add any charts to previous CKOC, CKLG and CKLW niches, but is expected to break big when all the playlist reports now showing translate to chart action. "Superstition" now heard almost everywhere, adding CKOM, CFRW and CKGM this week. "Don't Expect Me" picked up CJME and CFGO to go with previous reports from CKLG, CKXL, CKOC and will get even more, judging from New On Playlists section. "The Relay" finally making chart progress after several months, now added to CKLW, CFGO and Radiomutuel. CKRC led the way several weeks back. "I Just Wanna Make Music" has numerous playlists; charted at CKOC, CJME, and CFGO. "Oh Babe" on charts at Radiomutuel, CKOC, CKRC, CJBK, CKFH, CJME, and CJCH and playlisted at CHED. "Rocky Mountain High" coming into its own with CKLW and CJME chartings after several months of breakout market play.
CKLG VANCOUVER
(Roy Hennessy)
You Are What I Am/Gordon Lightfoot
Jambalaya/Blue Ridge Ranger
Rocky Mountain High/John Denver
CJME REGINA
(H.Hart Kirch)
Rocky Mountain High/John Denver
Don't Expect Me/Lobo
Just Wanna Make Music/Tobias
Why Can't We Live/Timmy Thomas
Oh Babe/Hurricane Smith
You Girl/Lighthouse
CHED EDMONTON
(Wayne Bryant)
You Girl/Lighthouse
You're Still The One/Copper Penny
Never Gonna Be Alone/Cornelius Bros
Goin Down/Youth
Driedel/Don McLean
Hi Hi Hi/Paul McCartney
Your Mama Don't Dance/Loggins & Messina
Harmony/Artie Kaplan
CJBK LONDON
(Jerry Stevens)
Why Can't We Live/Timmy Thomas
Superfly/Curtis Mayfield
Mouldy Old Dough/Lt. Pigeon
CKFH TORONTO
(Mike Byford)
Oh Babe/Hurricane Smith
Hi Hi Hi/Wings
Gypsy/Abraham's Children
CKOM SASKATOON
(Mike Christie)
Keeper of the Castle/4 Tops
We/Shawn Phillips
Superstition/Stevie Wonder
CKLW WINDSOR
(Alden Diehl)
I Only Meant to Wet My Feet/The Whispers
The World is a Ghetto/War
Wildflower/Skylark
Do You Want To Dance/Bette Midler
Rocky Mountain High/John Denver
Good Morning Heartache/Diana Ross
Control of Me/Les Emerson
The Relay/The Who
CFGQ OTTAWA
(Ric Allen)
I Just Wanna Make Music/Tobias
Don't Expect Me/Lobo
Relay/Who
Touch of Magic/James Leroy
Rock & Roll Music/Timothy
CJCH HALIFAX
(Jim Keith)
Oh Babe/Hurricane Smith
Why Can't We Live/Timmy Thomas
Hi Hi Hi/Wings
RADIOMUTUEL QUEBEC
(CMS/CJRC/CJRP/CJS/CJTR)
You're a Lady/Peter Skellern
You Turn Me On/Joni Mitchell
Right On/Atkinson Danko et al
The Relay/Who
CFRW WINNIPEG
(Bob Gibbons)
I Wanna Be With You/Raspberries
I'm Gonna Love You Too/Terry Jacks
Hi Hi Hi/Wings
Superstition/Stevie Wonder
You Are What I Am/Gord Lightfoot
CKRC WINNIPEG
(Doc Steen)
Rock & Roll Shoes/Band
You Turn Me On/Joni Mitchell
Control of Me/Les Emmerson
I'm Gonna Love You Too/Terry Jacks
CKGM MONTREAL
(John Mackey)
Superstition/Stevie Wonder
You're Still the One/Copper Penny
Why Can't We Live/Timmy Thomas
CKOC HAMILTON
(Nevin Grant)
Everyday Working Man/Ginette Reno
But I Do/Bobby Vinton
Danny's Song/Anne Murray
BREAKOUT MARKETS
The Timmy Thomas record (with the intro that's so great to talk over) is the one that stands out among product added to breakout market charts. "Control Of Me" showing strong for Les Emmerson with numbers reported in many breakout markets. "Oh Babe" continues its progress in the breakout markets, where it first gained the momentum to push it into the major cities. "Gypsy" picks up a few more charts to give it blanket coverage in every part of Canada. The breakout market action for the Doobie Brothers continues, almost split equally between "Jesus" and "Highway". "Isn't Love Unkind In My Life" is doing extremely well in Ontario with a scattering of play elsewhere. The new Joey Gregrash deck, "Tell The People" is breaking out in the smaller centres in advance of principal markets.
CKBB BARRIE
(Murray David Collins)
Why Can't We Live/Timmy Thomas
Tell The People/Joey Gregrash
Hi Hi Hi/Wings
Your Mama Don't Dance/Loggins & Messina
VOCM ST. JOHN'S
(Johnny Murphy)
Gypsy/Abraham's Children
Hi Hi Hi/Wings
Oh Babe/Hurricane Smith
Dancing In The Moonlight/King Harvest
CFJR BROCKVILLE
(Bruce Wylie)
Crocodile Rock/Elton John
I'm Gonna Love You Too/Terry Jacks
Your Mama Don't Dance/Loggins & Messina
Living In The Past/Jethro Tull
Superfly/Curtis Mayfield
CJKL/CJTT KIRKLAND LAKE
Why Do Fools Fall/Summer Wine
Home Again/Batdort & Rodney
Do It Again/Steely Dan
Oh Babe/Hurricane Smith
Why Can't We Live/Timmy Thomas
Driedel/Don McLean
Mouldy Old Dough/Lt.eat Pigeon
CKLC KINGSTON
(Gary Parr)
Tell The People/Joey Gregrash
Jesus Is Just Alright/Doobie Bros
Why Can't We Live/Timmy Thomas
You Girl/Lighthouse
CKX BRANDON
(Cliff Birnie)
Something's Wrong/Austin Roberts
Oh Babe/Hurricane Smith
Crocodile Rock/Elton John
Uncle Dad & Auntie Mom/Cliff Edwards
CKOV KELOWNA
(Brent Gracie)
Do It Again/Steely Dan
CFAR FLIN FLON
(Ken Kobelka)
Long Dark Road/Hollies
Oh Babe/Hurricane Smith
I Just Want To Make Music/Tobias
Sound Of Peace/Bobby Griffith
Been To Canaan/Carole King
Revolution/Pauliaro
Knock Knock/Mary Hopkin
Come & Join Us/Dublin Corporation
Control Of Me/Les Emmerson
CHEX PETERBORO
(Ron Smith)
I Wanna Be With You/Raspberries
Pieces Of April/Three Dog Night
PLAYLISTS continued from page 23
CFRW EDMONTON
(Bob Wilson)
Could It Be I'm Falling|Spinners
Gypsy|Abraham's Children
Big City Miss Ruth Ann|Gallery
Don't Expect Me|Lobo
CHED EDMONTON
(Wayne Bryant)
Enough Of God|Karl Erikson(LP)
Love|Walsh & Winslow
Gypsy|Abraham's Children
Don't Let Me Be Lonely|James Taylor
Oh Babe/Hurricane Smith
Could It Be I'm Falling|Spinners
CJBK LONDON
(Jerry Stevens)
Dancing In The Moonlight|King Harvest
In My Life|Foot In Coldwater
Do It Again|Steely Dan
You're Still The One|Copper Penny
Jambalaya|Blue Ridge Rangers
CKFH TORONTO
(Mike Byford)
Don't Expect Me|Lobo
Daddy's Home|Jermaine Jackson
Reelin' & Rockin'|Chuck Berry
Could It Be I'm Falling|Spinners
Tell The People|Joey Gregrash
CKY WINNIPEG
(Dave Harrison)
Do It Again|Steely Dan
Knock Knock|Mary Hopkin
Peaceful Easy Feeling|Eagles
Songman|Cashman & West
Superstition|Stevie Wonder
Why Can't We Live|Timmy Thomas
Your Mama Don't Dance|Loggins & Messina
Gypsy|Abraham's Children
Tell The People|Joey Gregrash
CJCH HALIFAX
(Jim Keith)
Don't Let Me Be Lonely|James Taylor
Living In The Past|Jethro Tull
Rocky Mountain High|John Denver
Just Want To Make Music|Tobias
Control Of Me|Les Emmerson
CFQC SASKATOON
(Jason Schoonover)
Slow Love|Charlotte
Resolution|Newly
Where Do You Go|Peter Sarstedt
Peaceful Easy Feeling|Eagles
Do It Again|Steely Dan
Never Gonna Be Alone|Cornelius Bros
Elijah Stone|Ron Murphy
Living Together|Fifth Dimension
CFGQ OTTAWA
(Ric Allen)
Hi Hi Hi|Wings
World Is A Ghetto|War
Always Thinking Of You|Fludd
You're Still The One|Copper Penny
CFCF MONTREAL
(Bob Johnston)
Do It Again|Steely Dan
GOING HOME TO THE COUNTRY
DICK DAMRON
COLUMBIA C4-3078
Comin' On Home|James Leroy
Peaceful Easy Feeling|Eagles
Do You Want To Dance|Bette Midler
Got What It Takes/Main Ingredient
You Are What I Am|Gordon Lightfoot
Smoke Gets In Your Eyes|Blue Haze
Everybody's Going|Karl Erickson(LP)
Midnight Road|Karl Erickson(LP)
CKOM SASKATOON
(Mike Christie)
Don't Expect Me|Lobo
Ukulele Lady|Arlo Guthrie
Could It Be|Spinners
Do It Again|Steely Dan
Tell The People|Joey Gregrash
Africa/Thundermug
Don't Expect Me To Be Your Friend|Lobo
Rocky Mountain High|John Denver
Never Going To Be Alone|Cornelius Bros
CFAR FLIN FLON
(Ken Kabelka)
Tell The People|Joey Gregrash
Eyes of Love|Partridge Family
Workin' All Day|Leigh Ashford
Meant to Make Me Smile|Terry Williams
You Girl|Lighthouse
Who's Watching|R.B.Greaves
Jenny Lynne/Looking Glass
King Thaddeus|Joe Tex
Relay/The Who
CKJD SARNIA
(Gypsy|Abraham's Children
I Just Wanna Make Music|Tobias
Smoke Gets In Your Eyes|Blue Haze
You Girl|Lighthouse
Never Gonna Be Alone|Cornelius Bros.
Control of Me|Les Emmerson
CHS) SAINT JOHN
(Jay Jeffries)
Anthem/Wayne Newton
Oh! Babe/Hurricane Smith
Do It Again|Steely Dan
Jesus Was A Capricorn|Kris Kristofferson
Come Softly To Me/The New Seekers
CKDH AMHERST
Hi Hi Hi|Wings
Why Can't We Live|Timmy Thomas
Oh Babe/Hurricane Smith
Revolution/Pagliaro
World Is A Ghetto|War
Do It Again|Steely Dan
Control of Me|Les Emmerson
You Girl|Lighthouse
Gypsy|Abraham's Children
Dreidel|Don McLean
Reelin' & Rockin'|Chuck Berry
CJCR BROCKVILLE
(Bruce Wylie)
You're Still The One|Copper Penny
Everyday Working Man|Ginette Reno
No Sugar Tonight|Barry
Do It Again|Steely Dan
Oh Babe/Hurricane Smith
Tweedle Dee/Little Jimmy Osmond
Control of Me|Les Emmerson
Why Can't We Live|Timmy Thomas
CKNB CAMPBELLTON
You Girl|Lighthouse
Songman|Cashman & West
Never Gonna Be Alone|Cornelius Bros.
Peaceful Easy Feeling/Eagles
Anthem/Wayne Newton
CJRW SUMMERSIDE
(Roger Ahern)
Trying|Eagles
Do It Again|Steely Dan
One Night Affair|Jerry Butler
Tell The People|Joey Gregrash
Choo Choo Mama/Ten Years After
CJCS STRATFORD
Better Place To Be/Harry Chapin
You Girl|Lighthouse
Tell The People|Joey Gregrash
Why Do Fools Fall/Summer Wine
Relay/The Who
What My Baby Needs Now/Brown & Collins
VOCM ST. JOHN'S
(Johnny Murphy)
Don't Expect Me|Lobo
Could It Be I'm Falling|Spinners
Living Together/Fifth Dimension
Love|Walsh & Winslow
You Girl|Lighthouse
CJKB BARRIE
(Murray David Collins)
Living In The Past/Jethro Tull
Oh Babe/Hurricane Smith
BREAKOUT MARKETS
"Do It Again" is the record added to more playlists this week than any other. It now blankets the country in every region. "Oh Babe" continues to be added to breakout playlists after over ten weeks of previous reports. Little Jimmy Osmond's "Tweedle Dee" could be called a breakout as a substantial number of stations are now playing it while majors are not into it yet. "You Girl" has smash status in breakout markets with only a few contemporaries not reporting play. "Tell the People" is spreading nicely for Joey Gregrash. "Don't Expect Me To Be Your Friend" is now picking up breakout market play but is slower than the principal markets who were first to get on it.
"Never Gonna Be Alone" is making headway for the Cornelius Bros. in several markets while most majors wait to see what happens.
CKDH AMHERST
Hi Hi Hi|Wings
Why Can't We Live|Timmy Thomas
Oh Babe/Hurricane Smith
Revolution/Pagliaro
World Is A Ghetto|War
Do It Again|Steely Dan
Control of Me|Les Emmerson
You Girl|Lighthouse
Gypsy|Abraham's Children
Dreidel|Don McLean
Reelin' & Rockin'|Chuck Berry
CJOC LETHBRIDGE
(Barry Hegland)
Humming Bird/Seals and Crofts
Tell The People|Joey Gregrash
Dueling Banjos/Deliverance Soundtrack
Control of Me|Les Emmerson
Dead Skunk/Louden Wainwright III
Do It Again|Steely Dan
Why Do Fools Fall/Summer Wine
Come Softly To Me/New Seekers
What Am I Living For/Mark Almond
Peaceful Easy Feeling/Eagles
CHEC LETHBRIDGE
(John Oliver)
Oh Babe/Hurricane Smith
Why Can't We Live|Timmy Thomas
Dreidel|Don McLean
Touch of Magic|James Leroy
Peaceful Easy/Eagles
In My Life/Foot In Coldwater
Tell The People|Joey Gregrash
Don't Keep Me Waiting/McKendree Spring
Pinball Wizard/Rod Stewart
Good Morning Heartache/Diana Ross
Never Be Alone/Cornelius Bros
You Girl|Lighthouse
Do You Want to Dance/Bette Midler
Reelin' and Rockin'/Chuck Berry
CJIC SAULT STE MARIE
(Lou Tunco)/Art Osborne)
One More Mile/Jose Feliciano
Don't Expect Me To Be Your Friend|Lobo
Tequila/Hot Butter
Come Softly/New Seekers
CHNL KAML OOPS
(Dan McAllister)
Jesus Was A Capricorn/Kris Kristofferson
Dreidel|Don McLean
Ukulele Lady/Arlo Guthrie
Everyday Working Man/Ginette Reno
Tell The People|Joey Gregrash
Okanagan station CJIB has a couple of openings. One for a man with a keen interest in sports who would also take on a few other announce duties. And one for a night time jock. Tape and resume should go to: Production Manager, CJIB Radio, Vernon, B.C.
CHUM Ltd. has moved CJCH Music Director/afternoon jock, Randy Dewell from the Halifax station to CFRA Ottawa. As a result, the afternoon shift is open. Tapes and resume to Jim Keith, CJCH, 2885 Robie St. Halifax.
With Chuck McCoy being shifted to CHUM's new west coast outlet, CKVN, his duties at CHUM Toronto were open. They have now been filled by Dave Charles who moves in from CKOC Hamilton.
CKBB's Murray David Collins sends down a note for stations that won't know what to do for an Osmonds record when "Crazy Horses" drops off the chart. MDC suggests flipping it. Great Barrie response to "That's My Girl" and looks like it might take another big chart climb. Collins also has all the area high schools report in each night with latest gossip via phone and listeners love it. Local initiatives of this type are the only way for an evening block rock show to compete against all the other U.S. and Canadian rockers that boom into local markets at night.
French station CHEF Granby got the CRTC nod to increase night power from 250 to 5,000 watts by putting in a directional night pattern. Day power remains 10,000 watts.
Lots of bucks being given away on West Coast. CKLG's latest contest will brighten up Vancouver by $20,000. Roy Hennessy reports their newest audience maker is a copyrighted contest tagged "Try & Stop Us". Name is picked out of local phone book and page number given to listeners. Each hour, seven days a week listeners are asked to identify the name picked. If no winner at end of week, CKLG gives one thousand dollars to the party who couldn't be identified. If guessed, winner picks up the grand.
CJBK London reports that "Old Dan's Records" has racked up five straight weeks as No. 1 selling album. It's been a long time since an album has stayed that long at the top, locally. Station now into The "Great Album Giveaway" once per hour except midnight to 6AM. Listeners must guess whether C.J. B or K is upcoming; correct answers win choice of any album in Sam The Record Man. Losers get a single from the "All Hit 29". It's simple, but quite effective since station doesn't choose the LP, the listener does......gives him a choice, increasing response. By the way, CJBK is still looking for a good communicator with tight board and smooth presentation. Airccheck and resume to Jerry Stevens, PD, CJBK, Box 1290 London. No phone calls.
Page 12 of last week's RPM mentioned that the Aquarius label is part of the CHUM group of companies. Actually there is no connection between Aquarius and CHUM or MUCH Productions.
The award for breaking "Gypsy" (now strongly established coast to coast) should go to Johnny Murphy of VOCM St. John's. As has happened before, the Murphy ear was right on target and way ahead of everyone else.
New Beach Boys' "Holland" LP airing on CHS! Saint John to good response for the past three weeks. Hot singles on phones are Tobias, Cashman & West, and Billy Paul.
Most stations we talked to had a special survey edition printed on the "Top Hits Of 1972". Copies went very quickly in all cases........might be a good idea to double or triple the quantity when putting out a souvenir chart of this type.
CHUM-FM just added "The Stoned Ranger", Toronto progressive airing the comedy segment at 8:15AM and 5:15PM.
For the third year, CHEX AM & TV in Peterboro was the voice of the Kawartha Cup Internationals, with morning man Dale Sproule and Al Simmons of TV anchoring reports for the three days. They also handled MC chores at the Miss Kawartha Cup Beauty Contest held in conjunction. Heavy sports image continues with CHEX jocks giving away tickets for the Bosch Invitational at Mosport during each shift. And there will be heavy promotion for the CHEX/Civitan Sno-Dough 100, upcoming next month.
Campus station Radio York just added 4000 homes to its listening audience as Willowdowns cable put the station onto Channel 10, fulltime except when community programs are being aired on the channel.
CHEC Lethbridge into "Million Dollar Movie". Cash awarded to first listener guessing the Mystery Movie Soundtrack. MD John Oliver says contemporary programmers should give another listen to the McKendree Spring album "Tracks".
The numerous small market stations that use a lot of CBC programs at night will be glad to know that the new "As It Happens" is a bigger ratings draw. The national ratings in the latest BBM were up 30% coast to coast. In Toronto the audience almost doubled (up 90%) and in Halifax the increase was an incredible 250%. In fact, all night time CBC Radio shows were up on CBH Halifax. To go with the ratings climb, "As It Happens" will originate outside Toronto for the first time when its staff visits Halifax Jan 16 for three days. In the coming months the program will be done live from Vancouver, St. John's, Winnipeg, and Regina. The phone-out show has been around for almost five years, but didn't become a ratings force until the program was given 5 days-a-week airing.
Barbara Frum is now the show's only host on "As It Happens" with announcing chores handled by Harry Brown. Co-host William Ronald recently left the program. Another successful CBC show to hit the road soon is Peter Gzowski's "This Country In The Morning" which will head to Montreal and Vancouver in the next few weeks.
Stu Morton, manager at brand new station, CJOK Fort McMurray Alberta, writes: "With a few notable exceptions (Quality, WEA and G.A.S.) we have received zero response from the record companies on promotional 45's. Apparently they are not interested in promoting record sales in a captive market of over 8000 with an average age of 22. I'm sure if a promotion man gave some thought to the situation and could understand the unbelievable response we've had since going on the air, he might feel that a few promotional records in our hands would be a good investment."
With BBM ratings showing CKOC closing the gap in Hamilton radio behind No. 1 CHML, contests are proliferating as the stations battle it out. Stakes are high in CKOC's "Grand Slam Sweepstakes" and also in CHML's "Hawaiian Holiday".
Correction to a Dec 9 item in Tribal Drum re: The CHUM production of "Top 100 of 1972", which a number of stations aired courtesy of CHUM and CAB's program exchange. Producer of show was Warren Cosford. Dick Starr, who we gave the credit to, is the producer of the American version.
CKCL Truro announcers, Bryan Edwards and Mark Michaels, joining CKEC New Glasgow to do mornings and noon hours respectively. PD/MD Stan Carew sandwiched between them 9-11AM, he's leaving the morning show so more time will be available for managerial duties. Balance of lineup is Jim Goldrich 2-6PM and Frank Lowe 6PM-1AM. Swing men are Lloyd Rose and Wayne Spencer. CKEC has just introduced an album rock segment called "The Eleventh Hour" from 11PM Saturday to 1AM Sunday, and are finding the old Guy Lombardo albums don't fit in but they are short of LPs to program. First company to get product out to them will be rewarded with immediate exposure. New stuff and past LP biggies needed.
NIXON DANGLES CARROT BEFORE U.S. STATIONS
In a speech that obviously had the blessing of the Nixon administration, U.S. Office of Telecommunications Policy director Clay Whitehead discussed forthcoming broadcast legislation that would provide U.S. radio and TV stations with five-year licences. The bill would also make it a little harder for citizen's groups to oppose licence renewals, by revamping the requirements needed to obtain renewal.
One part of the renewal process that was mightily stressed by Whitehead's speech was the necessity for providing "opportunities for the discussion of conflicting views on controversial issues". Whitehead made it clear that under the proposed bill, the Nixon administration would not tolerate stations letting news programs from the networks go on as before. The speech said the local licenceholder would become responsible for the fairness of news, which Whitehead said is biased at present. Entertainment programs from the networks would also be subject to scrutiny, if they contained indecent, drug-oriented, violent or obnoxious material.
Hot discussion has erupted in the States on the proposed legislation. While broadcasters are anxious to have the three-year licence made into five, and to screen out some of the minority groups that challenge them at licence renewal, the new "fairness criteria" would represent a significant erosion of network power. Already the networks say that equal time election rules have made hard-hitting election coverage impossible, and if the rules are extended to their proposed limits, creative and innovative shows on controversial subjects like abortion would become impossible, because of the possibility that this would constitute "bias" under the new rules.
All in all, the bill has been seen as an attempt to impose greater censorship on all types of programming. Whether the radio or TV station is airing a local d.j. show, phone-in, or network-originated news or entertainment program, it would become directly responsible for the content, regardless of where it was originating from. Critics of Nixon say he is offering the stations a licence-renewal carrot in return for a muzzling of all progressive trends of thought that the station might wish to put on the air. They cite the recent court attacks on the freedom of the press as vindication for their view. Nixon is known to feel that ABC, NBC and CBS have consistently slanted news coverage.
Alimony is a system by which when two people are wrong, one of them has to pay.
CKFH TORONTO ADDS "FUTURE ROCK" SHOW
Toronto Top 40 outlet CKFH has introduced a new musical concept called "Future Rock" in the 9 pm to 1 am time period. The nightly program is hosted by Johnny Mack, who was formerly at CHAM Hamilton under the handle Gary Bishop.
The program resulted from PD Duff Roman's desire to attract more 17 to 29 age bracket listeners in a time period that is a transition between young teens in the early evening and adult insomniacs all night. Mack programs the segment himself on a separate basis from the daytime format.
The show takes a middle path between the high repetition and predictable sound of AM, and the far-out experimental format used on progressive FM. In this way, it hopes to be a real alternative to existing programming on the air in this time period.
Basically, all material being aired is new product, with singles favoured and a certain number of LP cuts included. Mack says: "We hope to get the listeners who are looking for something a little different by playing some of the new product that doesn't get aired elsewhere." Cuts from "No Secrets", "Dueling Banjos" from the Deliverance Soundtrack, J.J. Cal's "Lies", "World is a Ghetto" by War, Valerie Simpson's "Silly Wasn't I" and "Long Dark Road" by the Hollies are some of the recent Future Rock selections which are not on CKFH's daytime playlist.
However the overall sound basically resembles the type of music CKFH plays on its regular list, except that the much repeated "big hits" are not used.
Announce style of the program is "laid back" or "no hype". This is in line with the slightly older audience the program hopes to reach. Music is presented in sweeps wherever possible.
Aside from its ratings potential on its own merits, the program will also provide music director Mike Byford with some reaction on newer product that is being considered for the daytime programming of CKFH. "Future Rock" is still in the developing stages, having first hit the air on January 8. It is anticipated that further refinements will be made and we hope to run a further report on the format in an upcoming issue of RPM.
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IN THE CIRCUIT COURT OF THE
ELEVENTH JUDICIAL CIRCUIT
IN AND FOR MIAMI-DADE COUNTY
COMPLEX BUSINESS
LITIGATION DIVISION
IN RE: CHAMPLAIN TOWERS SOUTH
COLLAPSE LITIGATION.
CLASS REPRESENTATION
CASE NO. 2021-015089-CA-01
PLAINTIFFS’ MOTION TO CERTIFY A LIABILITY CLASS PURSUANT TO
FLORIDA RULES OF CIVIL PROCEDURE 1.220(b)(3), 1.220(d)(1), & 1.220(d)(4).
The Proposed Class Representatives respectfully request the Court certify a liability issue only class, pursuant to Florida Rule of Civil Procedure 1.220(b)(3), (d)(1), and (d)(4), defined as “All persons and entities located at, residing at, or owning units or personal property lost or destroyed at the Champlain Towers South condominium building, located at 8777 Collins Avenue, Surfside, Florida 33154, at the time of the Champlain Towers South’s collapse on June 24, 2021, together with the personal representatives and statutory survivors of all persons whose lives were lost in or as a result of the CTS Collapse.”¹ (the “Liability Class”)
The most efficient and expedient manner to advance this litigation is to conditionally certify the Liability Class, bifurcate these proceedings into liability and damages phases, and proceed towards a liability trial to first resolve the question of the Defendants’ (and possibly Fabre Defendants) liability and apportionment of fault for the cause of the CTS Collapse. See, e.g., Engle v. Liggett Grp., Inc., 945 So. 2d 1246, 1267–71 (Fla. 2006); Las Olas Co. v. Fla. Power & Light Co., No. CACE19019911-18, 2020 WL 9874296 (Fla. 17th Cir. Ct. Dec. 14, 2020), aff’d per curiam Infratech Corp. v. Las Olas Co., 320 So. 3d 751 (Fla. 4th DCA 2021), reh’g denied (Fla. 4th DCA July 13, 2021).
FACTS COMMON TO ALL PUTATIVE LIABILITY CLASS MEMBERS
On June 24, 2021, at approximately 1:22 a.m., the Champlain Towers South (“CTS”) condominium building in Surfside, Florida suffered a catastrophic failure and partial collapse, killing 98 people and destroying 55 units. The remaining structure was demolished ten days later, after being deemed dangerously unstable (the “CTS Collapse”). Plaintiffs brought these consolidated proceedings on behalf of all victims impacted by the CTS Collapse caused by the
¹ Excluded from the Liability Class are Defendants, Plaintiffs’ counsel and their employees, and the judicial officers supervising this case. The language of the Liability Class definition has been revised to clarify that it is a global class, solely on the issue of Defendants’ liability, that includes all who suffered the common impact of the CTS Collapse.
negligence of multiple parties, both for wrongful death, personal injury, and economic loss. Ignoring for years technical reports indicating that the structural integrity of the building needed immediate repair, as well as numerous complaints from CTS occupants, the Defendants allowed nearly one hundred people to die, and many others to suffer tremendous, irreplaceable loss, injury and damage.\(^2\) Condominium owners, tenants, family members, and overnight guests are among the deceased.\(^3\) Those who survived lost family and friends, have been deprived of their homes and worldly possessions, and are forced to start from scratch.
It is undisputed that the CTS Collapse occurred and directly caused the damages to all of the Plaintiffs and proposed Class Members. Thus, the common and predominant question for the jury to answer \textit{at this stage} is whether the Defendants’ tortious conduct and/or breach of duties owed to the class members caused the collapse, and how to apportion liability among those at fault. Certifying the Liability Class and allowing this action to proceed towards one liability trial will allow the Court to effectively steer this litigation towards that end.
\textbf{The Common Liability Issues as to all of the Defendants}
1. **The Eighty-Seven Park Construction Defendants: Terra Defendants, Moriarty, NV5, and DeSimone**
“Keep moving the job forward . . . Do not let any neighbor delay us” was the main theme of the luxury condominium construction project known as “Eighty-Seven Park,” which was built at 8701 Collins Avenue, immediately adjacent to the southern boundary of CTS. Second Consolidated Amended Class Action Complaint (“Complaint” or “Compl.”) ¶¶ 47–50. The “Terra Defendants,” Defendants 8701 Collins Development, LLC, Terra Group, LLC, and
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\(^2\) Dawn E. Lehman, \textit{The Herald built a computer model to explore how Surfside tower fell. Here’s what it showed}, MIAMI HERALD (Dec. 1, 2021, 12:00 PM), https://www.miamiherald.com/news/special-reports/surfside-investigation/article256178672.html (last accessed January 23, 2022)
\(^3\) Mark Osborne, Morgan Winsor, Meredith Deliso, and Arielle Mitropoulos, \textit{What we know about the victims of the Surfside building collapse}, ABC News (July 27, 2021, 5:58 AM) https://abcnews.go.com/US/victims-surfside-condo-collapse/story?id=78517075
Terra World Investments, LLC, developed and constructed Eighty-Seven Park, a sprawling, 18-story building. *Id.* ¶¶ 47–50, 148. The Terra Defendants’ safety-be-damned philosophy was shared by Defendants John Moriarty & Associates of Florida, Inc. (“Moriarty”); NV5, Inc. (“NV5”); and DeSimone Consulting Engineers, LLC (“DeSimone”). Moriarty was retained as the general contractor of the Eighty-Seven Park project, NV5 as the geotechnical engineer and inspector, and DeSimone, the structural engineer. *Id.* ¶¶ 17–19.
By the zoning as it existed when the Terra Defendants purchased 8701 Collins Avenue, Eighty-Seven Park would have been built at least 60 to 70 feet away from CTS. *Id.* ¶ 68. In late 2014, however, the Terra Defendants “purchased” 87th Terrace, a public street and right-of-way, to expand Eighty-Seven Park’s footprint right up to southern foundational wall of CTS, by making a “donation” to the City of Miami Beach *Id.* Thus, these Defendants pushed the construction zone of Eighty-Seven Park to the absolute limit, and then proceeded to deploy construction techniques known to be ultrahazardous and inherently dangerous, without adhering to necessary safety measures. *Id.* ¶¶ 66, 87.
More specifically, the Terra Defendants, Moriarty, NV5, and DeSimone knowingly ignored warnings about the risk of construction to CTS, and directed, supervised, and carried out negligent construction practices, including their (1) excavation (*id.* ¶¶ 184–192, 334–36), (2) pile driving (*id.* ¶¶ 87–152, 333), (3) soil compaction (*id.* ¶¶ 153–165), and (4) dewatering activities. (*id.* ¶¶ 166–183, 334–36). In their excavation of 87th Terrace, these Defendants directed and performed work that penetrated CTS’s foundation wall, leaving gaps and holes where water intruded into the CTS foundation structure, causing the basement parking garage to flood. *Id.* ¶¶ 184–200. They ultimately sloped the narrow footpath that replaced 87th Terrace to divert runoff away from Eighty-Seven Park and into CTS’s structural components. *Id.* ¶¶ 193–200, 334–36).
As to pile driving and compaction, NV5 warned that vibrations caused during these construction activities would damage CTS’s foundation and property if precautions were not taken. *Id.* ¶¶ 75–78. Nonetheless, these Defendants consistently pressed full force forward with the less expensive methods of construction, including driving 40-foot sheet piles deep into the ground with vibrational hammers, a mere ten feet away from the CTS’s foundation, which they were explicitly warned against. *Id.* ¶¶ 68, 76
The Terra Defendants also ignored CTS occupants’ life safety concerns, including a 2016 letter which highlighted the daily vibrational tremors that could be felt by CTS occupants on their balconies, sitting in their living rooms, working out in the gym, and laying in bed. *Id.* ¶ 130. They also blatantly ignored Occupational Safety and Health Administration (“OSHA”) requirements, engineering report warnings from NV5, and prioritized efficiency over the safety of human life throughout their construction project. *Id.* ¶ 86
Even after NV5 advised the Terra Defendants, Moriarty, and DeSimone to monitor the vibrations caused by their pile-driving, they chose to monitor only sporadically and then ignored the warning signs the monitoring revealed. *Id.* ¶¶ 87–101. Those readings that were recorded revealed vibrations exceeding allowable limits along the southern foundation wall of CTS. *Id.* ¶¶ 102–128, 153–65. Yet, none of these Defendants bothered to check the impact of these activities on CTS, putting the adjacent structure in obvious peril.
Defendant Moriarty was in the unique position of closely monitoring all activity on site to ensure compliance with safety standards. Instead of ensuring compliance, Moriarty assented to the Terra Defendants’ negligence, including specifically the failure to properly determine where and when to monitor vibrations during sheet pile installations during the construction of Eighty-Seven Park. *Id.* ¶ 106. No vibration monitoring for sheet pile driving, for example, was conducted anywhere on site, except for the north perimeter. *Id.* ¶ 111. This decision was approved nearly a year following NV5’s report, which specified the extreme dangers to
adjacent structures of unmonitored and uncontrolled vibrations caused by sheet pile driving.
*Id.* ¶ 107. After Moriarty ceased monitoring vibrations at the site on March 14, 2016, Moriarty informed the Terra Defendants that, despite the discontinuance of monitoring, the sheet pilings were going to have to be driven an additional one-hundred feet into the ground. *Id.* ¶ 126. There is therefore, most likely deliberately, no record of the additional extreme vibrations that CTS was subjected to during this additional vibrational sheet pile driving. *Id.* ¶ 127.
NV5, despite issuing engineering reports warning of the specific dangers associated with vibrations from sheet pile driving, said nothing as the Terra Defendants proceeded with the most dangerous methods. And, notwithstanding its own instructions to monitor the activity closely, NV5 hired a firm, Geosonics, to conduct vibration monitoring sporadically and only as to certain installation sites. *Id.*, ¶ 112. Those that were monitored were only monitored intermittently for short periods of time. *Id.* ¶ 115. Even so, the data gathered from Geosonics reflected that 29 out of 36, or a staggering 80% of these intermittent, short-term, selectively applied vibrational monitoring readings exceeded acceptable and safe levels. *Id.* ¶ 118. With this knowledge in mind from a March 2016 meeting, NV5 along with the Terra Defendants and Moriarty, chose not to take appropriate safety measures and instead moved forward with still more unmonitored vibratory sheet piling installations. *Id.* ¶¶ 120, 123. Vibrational sheet piling continued after Geosonics’ final vibrational reading and went deeper into the ground, with no monitoring. *Id.* ¶ 126.
DeSimone, the structural engineer, worked alongside the Terra Defendants, NV5, and Moriarty, to ignore crucial safety recommendations regarding the project. *Id.* ¶ 74. DeSimone, too, failed to comply with OSHA requirements and failed to take care to preserve CTS’s structural integrity. *Id.* ¶¶ 79, 85. DeSimone too sat idly by while Florida Building Codes, warnings from CTS occupants, and NV5’s warnings and instructions were flagrantly ignored. *Id.* ¶ 86. For example, DeSimone was aware that a safer, more suitable, vibration-free basement
excavation support was available for the Eighty-Seven Park property: Deep Soil Mix ("DSM") wall. *Id.* ¶ 88. This method though, compared to driven sheet piles, takes longer to install, is more expensive, and requires a specialty contractor. *Id.* ¶ 93.
Like the other Defendants, DeSimone continued vibratory sheet piling installation in the face of technical evidence indicating that 80% of readings exceeded safe and allowable limits. *Id.* ¶ 120. All complaints from CTS occupants regarding breaking and falling concrete, excessive vibrations, daily tremors and shaking of the building, structural issues, and flooding in the garage were simply passed along to DeSimone’s lawyers as a claims matter and were not responded to adequately. *Id.* ¶ 142.
In further disregard of their duties, the Terra Defendants, Moriarty, NV5, and DeSimone engaged in dewatering activities that effected the structural integrity of CTS. *Id.* ¶ 166–83. Dewatering is the process of removing and controlling the presence of groundwater and stormwater during a construction project for purposes of facilitating deep excavation work and allowing the foundation construction to occur in dry soil rather than wet and unstable soil. *Id.* ¶ 166. Dewatering on a site carries with it the inherent risk of impacting the water table underlying adjacent properties by creating a differential, which causes stress and load redistribution in the adjacent structure. *Id.* ¶ 167. Despite warnings in NV5’s April 2015 report and an October 2015 proposed dewatering plan submitted to the Miami-Dade County Division of Environmental Resources Management by an engineering firm on behalf of the Terra Defendants, the Terra Defendants, Moriarty, NV5, and DeSimone failed to take reasonably required measures to monitor how its dewatering activities would impact the water table under CTS. *Id.* ¶ 169–83.
Due to the non-delegable duty of care held by these Defendants for the inherently dangerous construction activities, they are all responsible for the negligent actions of their subcontractors, employees, and agents who performed work at Eighty-Seven Park. *Id.* The
negligence exhibited by DeSimone and disregard for the safety and wellbeing of CTS occupants resulted in one of the deadliest building collapses in United States history. *Id.* ¶ 434.
2. **The Association**
The Champlain Towers South Condominium Association, Inc. (the “Association”), violated the duty imposed on it—by both its own governing documents and Miami-Dade County ordinances—to maintain all parts of the building in a safe condition for occupants. *Id.* ¶ 216. Like other named Defendants, the Association was on notice for years about concrete damage, cracking, spalling, and water damage throughout the building. *Id.* ¶ 219. Aside from many occupants’ personal accounts of building damage, the Association’s own hired structural engineer, Defendant Morabito Consultants, Inc. (“Morabito”), produced a detailed analysis of the building’s damage and need to immediately rectify certain issues as far back as 2018. *Id.* ¶ 227. The findings in the report identified collective structural issues that posed an enormous risk to the health, life, and safety of CTS occupants. *Id.* ¶ 231. The Association failed to take any action to warn of these critical life safety issues, and moreover, took no action to make the immediate, necessary repairs. *Id.* ¶¶ 236, 237. The Association’s lack of action and its detrimental effects to the building are evidenced in Morabito’s second inspection that was conducted in 2020. *Id.* ¶ 239. The 2020 report revealed that the structural issues and concrete damage first identified in 2018 had significantly worsened, and again the Association warned no one of these critically dangerous and ever-worsening issues. *Id.* ¶ 240. In an April 2021 letter, the Association admitted that much of the structural work could have been completed or at least planned years before, but simply was not. *Id.* ¶ 244.
3. **Morabito**
Frank Morabito, the Association’s hired engineering consultant, did nothing to warn unsuspecting CTS occupants that the current structural integrity of the building presented major safety issues, other than simply handing its 2018 report to the Association. *Id.* ¶ 234. Morabito
was intimately familiar with the pervasiveness of structural damage, having conducted inspections in 2018 and 2020 of the building, and knew that without remediation efforts, the building was at significant risk of collapse. *Id.* ¶ 241. Morabito acted with negligent disregard for the safety of CTS occupants in failing to submit the required reports to building and regulatory officials for Miami-Dade County and the Town of Surfside, all while knowing the serious risk of harm that CTS’s structural issues presented. *Id.* ¶ 242. Morabito’s negligence was a contributing cause of the tragic collapse of CTS, and the resulting death and severe physical and economic injury sustained by the Liability Class. *Id.* ¶ 243.
**4. Becker**
Becker & Poliakoff P.A. (“Becker”), the Association’s long-time law firm, was highly familiar with the needs of CTS, first beginning their professional relationship in February 1993. *Id.* ¶ 246. Becker boasts the largest practice group dedicated specifically to condominium and planned development law in the state of Florida.\(^4\) The firm touts possessing top attorneys who are industry leaders in the field,\(^5\) and has more Board-Certified Attorneys in Condominium and Planned Development Law, than any other firm in Florida. *Id.* ¶ 250. And in providing services to CTS over the years, Becker stepped into a role as more than a law firm, guiding the CTS Board and its occupants through the ins and outs of property management. *Id.* ¶ 256.
Becker, which served as the “Safety Net” for the Association, and the individual unit owners, was informed on numerous occasions, by both Morabito and CTS occupants, that there were serious issues with the CTS building that needed to be immediately remedied. *Id.* ¶¶ 276–78. Becker received the 2018 Morabito report detailing the serious structural repairs needed. *Id.* ¶ 277. Not only that, but, as Donna DiMaggio Berger, a Shareholder in Becker’s
\(^4\) BECKER & POLIAKOFF, [https://beckerlawyers.com/practices/florida-community-association/](https://beckerlawyers.com/practices/florida-community-association/) (last visited Jan. 26, 2021)
\(^5\) *Id.*
Community Association Practice, confirmed “several owners . . . told us that the construction [at Eighty-Seven Park] created reverberations that shook their windows to the point that they thought their windows might crack.” *Id.* ¶ 274. Susanna Rodriguez, wrote a three-page certified letter to Becker about the repairs needed and attaching the Morabito report. *Id.* ¶ 278–81. Although the Chair of Becker’s Community Association practice group, Kenneth Direktor now claims to never have *even read* the short Morabito report prior to CTS’s collapse, *id.* ¶ 295, he personally addressed Ms. Rodriguez’s letter inquiry. *Id.* ¶ 284.
Despite this evidence of notice, Becker never consulted with Morabito about the findings in their important report. *Id.* ¶ 298. Like other named Defendants, Becker was in a position for several years to have stepped in with appropriate remediation measures to re-establish the structural integrity of the CTS building, and negligently chose not to do so. Despite Becker’s expertise and ability to appreciate the significance of the risk posed to CTS occupants and its knowledge and ability to properly advise the CTS Association how to respond to mitigate that risk, Becker completely and totally failed to render that advice or to take any measures to ensure that the issues that ultimately lead to the collapse of CTS were addressed in any meaningful way. *Id.* ¶¶ 535–540. This reckless disregard for safety and the lives of CTS occupants was a contributing cause of damages to the Liability Class.
Plaintiffs and the Liability Class allege that the conduct of all those named above directly and proximately caused the CTS Collapse and resulted in the death and destruction wrongfully suffered by the Liability Class members. Certifying the Liability Class and holding one liability trial will enable the Liability Class to prove these allegations in one fell swoop, *and more importantly*, not require each victim to expend tens of millions of dollars each (which they do not have) to separately retain adequate counsel and experts to conduct this litigation.
The Common Claims of the Representative Plaintiffs
Each of the five proposed Plaintiff class representatives either owned, resided, or survived a family member who perished at CTS during the CTS Collapse. See Composite Exhibit A (Proposed Class Representative declarations). All state under oath that they are knowledgeable about the nature of this case and are ready and able to serve as a Plaintiff and a class representative. *Id.* ¶ 6. All seek to be appointed as a representative of the Liability Class and understand that as a class representative, each will have the duty to represent the interests of all unnamed Liability Class members. *Id.* ¶ 7. All share the same interest in determining and apportioning fault amongst the Defendants and attest they will carefully guard the interests of absent Liability Class members. *Id.* ¶ 8. All have dedicated a significant amount of time to this matter, including searching for and producing information relevant to this action, promptly responding to questions from their counsel, and reviewing filings and attending hearings in the lawsuit. *Id.* ¶ 9. All have and will continue to keep themselves informed as to the status of the case and will work with their counsel to respond to discovery requests, be prepared for a deposition, and are willing to make themselves available to testify at trial. *Id.* None has ever sought to be appointed as a class representative on behalf of a class in any other litigation. *Id.* ¶ 10. They are clearly adequate, typical and all have common issues with the proposed class.
LEGAL ARGUMENT
Plaintiffs seek class certification pursuant to Florida Rule of Civil Procedure 1.220, which is patterned after Federal Rule of Civil Procedure 23. As a result, the Court may look to federal cases as persuasive authority on the interpretation of the Florida Rule. *Chase Manhattan Mortg. Corp. v. Porcher*, 898 So. 2d 153, 156–57 (Fla. 4th DCA 2005); *Seven Hills, Inc. v. Bentley*, 848 So.2d 345, 352–53 (Fla. 1st DCA 2003); *Powell v. River Ranch Prop. Owners Ass’n, Inc.*, 522 So. 2d 69, 70 (Fla. 2d DCA), rev. den., 531 So. 2d 1354 (Fla. 1988).
The purpose of a class action lawsuit “is to save a multiplicity of suits, to reduce the expense of litigation, to make legal processes more effective and expeditious, and to make available a remedy that would not otherwise exist.” *Tenney v. City of Miami Beach*, 11 So. 2d 188, 189 (Fla. 1942). Stated another way, class actions facilitate judicial economy by avoiding multiple suits on the same subject matter, provide a feasible means for asserting the rights of those who would have no realistic day in court if a class action were not available, and deter inconsistent results, assuring a uniform, singular determination of rights and liabilities. *Am. Pipe & Constr., Co. v. Utah*, 414 U.S. 538 (1974).
Plaintiffs seek *conditional* certification of only a *liability issue* class pursuant to Rules 1.220(b)(3), (d)(1), and (d)(4). Rule 1.220(d)(1) provides the Court’s class certification order “may be conditional,” and gives the Court continuing jurisdiction to modify class certification to address new evidence, issues, claims, or defenses as they arise. *Clearview Imaging L.L.C. v. Mercury Ins. Co. of Fla.*, 2010 WL 9940700, at *10 (Fla. 13th Cir. Ct. 2010).
Further, Rule 1.220(d)(4)(A) states that “a claim or defense may be brought or maintained on behalf of a class concerning particular issues.” *See also Engle*, 945 So. 2d at 1268–71. *Engle*, a landmark class action decision by the Florida Supreme Court, authorizes the trial court to adopt a phased approach to litigating class action cases. As thoroughly explained in *Engle*, this Court is permitted to separately certify a class for purposes of deciding particular issues such as liability, causation, and damages. Thus, a trial court can place conditions upon class certification, and can separately certify a class for purposes of deciding particular issues such as liability, causation, and damages.
This same phased approach was recently adopted, approved, and successfully completed, in *Las Olas Co. v. Fla. Power & Light Co.*, which applied this rule to certify an “issue class,” to solely determine liability, that was upheld on appeal. *Infratech Corp. v. Las Olas Co.*, 320 So. 3d 751 (Fla. 4th DCA 2021) (*per curiam* affirmance), reh’g denied (Fla. 4th
And beyond Florida, courts consistently certify class claims and phase litigation between common and individual issues arising out of a single catastrophic event or course of conduct, with damages determinations and allocations left to later proceedings. *See In re IKO Roofing Shingle Prods. Liab. Litig.*, 757 F.3d 599, 603 (7th Cir. 2014) (Easterbrook, J.) (fashioning a class remedy to award class members damages in a manner requiring “buyer-specific hearings” would not “run[] afoul of *Comcast Corp. v. Behrend*, 569 U.S. 27 (2013)"); *Allapattah Servs., Inc. v. Exxon Corp.*, 333 F.3d 1248, 1261 (11th Cir. 2003), *aff'd sub nom. Exxon Mobil Corp. v. Allapattah Services, Inc.*, 545 U.S. 546 (2005) (recognizing that the “presence of individualized damages issues does not prevent a finding that the common issues in the case predominate” and affirming lower court's certification of a class with individual damages issues to be dealt with in subsequent proceedings); *Cent. Wesleyan v. W.R. Grace & Co.*, 6 F.3d 177, 188 (4th Cir. 1993) (affirming conditional certification of a nationwide class of colleges and universities with asbestos in their buildings despite the “daunting number of individual issues”, including the ability of each college to prove liability, differing statutes of limitation, differing asbestos products and exposures, present in the case); *In re Oil Spill by Oil Rig Deepwater Horizon in Gulf of Mexico*, 910 F. Supp. 2d 891 (E.D. La. 2012) (certifying class affected by explosions and fire on board Deepwater Horizon for settlement purposes); *Sala v. Nat'l R.R. Passenger Corp.*, 120 F.R.D. 494 (E.D. Pa. 1988) (certifying class action for passengers on train that derailed and finding that “the common issues of defendant's liability and defenses as well as causation predominate over the individual issues of injuries and damages”); *In re Three Mile Island Litig.*, 87 F.R.D. 433 (M.D. Pa. 1980) (certifying class who may have suffered economic harm from nuclear accident); *see also* Manual of Complex Litigation (Fourth) (2004) (“MCL”) § 22.71 (courts have certified mass torts through Federal Rule of Civil Procedure 23(b)(3) and (c)(4) and that most often the cases certified are single event mass torts such as this one).
The CTS Collapse is a classic “single-incident mass tort,” (i.e., a single event causing injuries within a limited time period and within a limited geographic region), which most courts have concluded is well suited for a phased litigation structure, where an initial trial is held on liability and common damages questions, followed by “later proceedings in which the findings on common issues from the first trial would apply.” *Las Olas Co.*, 2020 WL 9874296 at *4 (quoting MCL § 22.93). Moreover, “‘single-event mass accident cases such as this one are considered to be well-suited to class treatment . . . . This is the general consensus, and it has been repeated across the United States for at least three decades’” *Id.* (quoting *Jeffries v. W. Virginia-Am. Water Co.*, No. 17-C-765 (W.Va. Cir. Ct. July 14, 2020)). Thus, Plaintiffs now seek certification of the Liability Class in order to proceed to a trial as to liability and if successful, will propose to the Court a manner to conduct the second damage phase. If the remaining Defendants are successful in obtaining no liability verdicts at trial, this single action may resolve claims against them for all of the proposed victims.
**PROPOSED CLASS DEFINITION**
Rule 1.220 contains no particular requirements for a class definition, but Florida case law requires that the class be “described with some degree of certainty.” *Clearview Imaging L.L.C.*, 2010 WL 9940700, at *10 (citing *Harrell v. Hess Oil & Chem. Corp.*, 287 So. 2d 291, 294 (Fla. 1973); *Paradise Shores Apts., Inc. v. Practical Maint. Co., Inc.*, 344 So. 2d 299, 302 (Fla. 2d DCA 1977)). A class also must be ascertainable. *B.J’s Wholesale Club, Inc. v. Bugliaro*, 273 So. 3d 1119, 1121 (Fla. 3d DCA 2019). It must “‘contain[] objective criteria that allow for class members to be identified’ . . . through a manageable process that does not require much, if any, individual inquiry.’” *Id.*, at 1121–22 (quoting *Karhu v. Vital Pharmas., Inc.*, 621 F. App’x 945, 946 (11th Cir. 2015)).
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6 In *Cherry v. Dometic Corp.*, 986 F.3d 1296 (11th Cir. 2021), the United States Court of Appeals for the Eleventh Circuit disavowed the “administrative feasibility” requirement for
Plaintiffs seek certification of the following Liability Class: All persons and entities located at, residing at, or owning units or personal property lost or destroyed at the Champlain Towers South condominium building, located at 8777 Collins Avenue, Surfside, Florida 33154, at the time of the Champlain Towers South’s collapse on June 24, 2021, together with the personal representatives and statutory survivors of all persons whose lives were lost in or as a result of the CTS Collapse. Excluded from the Liability Class are the Defendants, Plaintiffs’ counsel and their employees, and the judicial officers and their immediate family members and associated court staff assigned to this case.
I. THE CLASS SATISFIES THE REQUIREMENTS OF RULE 1.220(a).
To certify a class, Plaintiffs carry the burden of pleading and proving all elements required by Rule 1.220, including the four elements of rule 1.220(a): numerosity, commonality, typicality, and adequacy. *Sosa v. Safeway Premium Fin. Co.*, 73 So. 3d 91, 106 (Fla. 2011) (citation omitted). Plaintiffs more than satisfy all four of these requirements.
A. The Class is Sufficiently Numerous.
To satisfy numerosity, the Court should consider whether joinder of claims among individuals would be “impracticable.” Fla. R. Civ. P. 1.220(a)(1). Classes as small as twenty-five members satisfy this requirement, see *Est. of Bobinger v. Deltona Corp.*, 563 So. 2d 739, 743 (Fla. 2d DCA 1990), and a precise count of the number of class members is not necessary for class certification purposes. See *Powell v. River Ranch Prop. Owners Ass’n, Inc.*, 522 So. 2d 69, 69 (Fla. 2d DCA 1988), rev. denied, 531 So.2d 1354 (Fla. 1988).
The Class Members are so numerous that joinder of all members is impracticable. The exact size of the Liability Class is unknown, but includes at least the owners, residents,
occupants, and guests of the 136 units destroyed in the collapse of CTS, making joinder impracticable and class treatment appropriate.
B. Plaintiffs and Class Members Share Common Claims.
“The primary concern in determining commonality is whether the representative members’ claims arise from the same course of conduct that gave rise to the other claims, and whether the claims are based on the same legal theory.” *Las Olas Co.*, 2020 WL 9874296, at *6 (citing *Smith v. Glen Cove Apts. Condos. Master Ass’n, Inc.*, 847 So. 2d 1107, 1110 (Fla. 4th DCA 2003), *approved*, *Sosa v. Safeway Premium Fin. Co.*, 73 So. 3d 91 (Fla. 2011)). Commonality is satisfied because Plaintiffs’ and Class Members’ claims arise from the same incident—the CTS Collapse—and are based on the same legal theory: that Defendants’ tortious conduct and/or breach of duty owed to the class members caused and/or contributed to the CTS Collapse, causing Plaintiffs’ and Class Members’ damages. *See id.* (citing *Smith* and finding commonality satisfied where plaintiffs and class members “all have claims arising from the same, exact incident—the Water Main Break—that are based on the same legal theory of negligence or gross negligence.”); *Navelski v. Int’l Paper Co.*, 244 F. Supp. 3d 1275, 1305–06 (N.D. Fla. 2017) (concluding commonality satisfied because questions regarding whether defendant negligently maintained dam that failed and caused flooding were “issues that underlie every claim” of plaintiffs and class).
Once a common course of conduct is established, individual defenses are insufficient to defeat commonality. *See McFadden*, 687 So. 2d at 359. Commonality is met even if there are individual differences with respect to damages. *Id.* Accordingly, the Court should reject any argument that differences with respect to Class Members’ damages defeat commonality, which, as explained below, is not an issue involved in Plaintiffs’ proposed Liability Class. Of course, the Class Members’ damages vary, but these damages will be resolved individually and in a separate phase, as in *Engle*.
C. Plaintiffs’ Claims are Typical of the Claims of All Class Members.
“The key inquiry for a trial court when it determines whether a proposed class satisfies the typicality requirement is whether the class representative possesses the same legal interest and has endured the same legal injury as the class member.” *Sosa*, 73 So. 3d at 114. To determine typicality, Florida courts examine whether the class members seek the same remedy. *Smith*, 847 So. 2d at 1111 (finding typicality where plaintiffs all claimed defendants were negligent, causing their damages). The mere presence of factual distinctions between class members will not defeat typicality. *Id.*; see also *Navelski*, 244 F. Supp. 3d at 1306 (“The claims of the class representatives in this case are typical since they are based on the same legal theories—negligence, trespass, nuisance, and strict liability—and arise from the same event, practice, or course of conduct . . . that give rise to the claims of the other class members.”).
Typicality is satisfied because all class members allege they all were impacted and sustained damages when Defendants negligently caused the CTS Collapse. *See* Comp. Ex. A. Thus, “the claims of the class representatives in this case are typical since they are based on the same legal theory negligence . . . and arise from the same event, practice, or course of conduct . . . that give rise to the claims of the other class members” such that “[t]he Court will not need to make highly individualized legal or factual determinations to assess Defendants’ liability.” *Las Olas Co.*, 2020 WL 9874296 at *6 (citing *Navelski*, 244 F. Supp. 3d at 1306).
D. Plaintiffs Are Adequate Class Representatives.
Adequacy “is met if the named representative has interests in common with the proposed class members and the representative and his or her qualified attorneys will properly prosecute the class action.” *Las Olas Co.*, 2020 WL 9874296, at *7 (citing *Smith*, 847 So. 2d at 1111); *Colonial Penn*, 694 So. 2d at 854; *W.S. Badcock Corp.*, 696 So. 2d at 780). Adequacy of representation embodies concerns which fall into two categories: (1) whether the class representative will competently, responsively, and vigorously prosecute the suit; (2) and
whether the relationship of the representative plaintiff’s interests to those of the absent class members is such that there is not likely to be a divergence in viewpoint or goals in the conduct of the suit. *Hessen v. Metro-Dade Cnty.*, 513 So. 2d 1330 (Fla. 3d DCA 1987), rev. denied, 525 So. 2d 876 (Fla. 1988).
Plaintiffs have already served the Court and the Class in a representative capacity and have evidenced their commitment through their active prosecution of this lawsuit. *See* Comp. Ex. A (indicating that Plaintiffs have reviewed the pleadings, provided information to counsel, will respond to interrogatories and document requests, prepare for deposition, are willing to make themselves available for trial, and are knowledgeable of the case and of their duties to the Class). There is no divergence between Plaintiffs’ interests and those of Liability Class members. *See, e.g., Smith*, 847 So. 2d at 1111 (finding plaintiffs adequate where they “seek the same relief . . . and they have suffered the same injury as the class members”).
Plaintiffs have not only engaged the services of counsel and law firms who are experienced in complex commercial litigation, with specific experience in class action and construction litigation, but this Court has specifically established a comprehensive leadership structure of the region’s top legal professionals to ensure that all victims of the CTS Collapse are represented competently and effectively. *See Dreznier v. Champlain Towers S. Condo. Ass’n, Inc.*, No 2021-015089-CA-01 (July 16, 2021) (order establishing leadership structure). Counsel will adequately prosecute this action, and will assert, protect, and otherwise well represent Plaintiffs and the absent Class Members. Plaintiffs, and their counsel, are clearly adequate.
**II. THE CLASS SATISFIES RULE 1.220(B)(3)’S REQUIREMENTS.**
In addition to the requirements of Rule 1.220(a), “the proponent of class certification must satisfy one of the three subdivisions of [R]ule 1.220(b).” *Sosa*, 73 So. 3d at 106. Plaintiffs seek to certify the Class pursuant to Rule 1.220(b)(3), which provides that a class may be
certified if “the questions of law or fact common to the claim or defense of the representative party and the claim or defense of each member of the class predominate over any question of law or fact affecting only individual members of the class,” and if “class representation is superior to other available methods for the fair and efficient adjudication of the controversy.”
A. Common Questions of Law and Fact Predominate.
“Florida courts have held that common questions of fact predominate when the defendant acts toward the class members in a similar or common way.” *Las Olas Co.*, 2020 WL 9874296, at *7 (citing *Sosa*, 73 So. 3d at 111). To satisfy predominance, “common questions must not only exist but predominate and pervade.” *Sosa*, 73 So. 3d at 111. “[I]f, in examining claims, a trial court finds that common issues of fact and law impact more substantially the efforts of every class member to prove liability than the individual issues that may arise, then class claims predominate.” *Id.*, at 112; see also *Smith*, 847 So. 2d at 1111 (“whether [defendant] was liable for negligence[] predominate[s] over other questions such as, for example, damages, which may be different for each member of the class”).
Common issues predominate in this litigation because all of Plaintiffs’ and the Class’s claims are based on the contention that Defendants negligently caused or contributed to the cause(s) of the CTS Collapse. See, e.g., *Las Olas Co.*, 2020 WL 9874296, at *7; see also *Sterling v. Velsicol Chem. Corp.*, 855 F.2d 1188, 1197 (6th Cir. 1988) (explaining that “where the defendant’s liability can be determined on a class-wide basis because the cause of the disaster is a single course of conduct which is identical for each of the plaintiffs, a class action may be the best suited vehicle to resolve such a controversy.”). Therefore, “[e]very class member’s claims depend on common evidence that will resolve these same liability issues, and
proof of one plaintiff’s claims necessarily will be proof of the others.” *Las Olas Co.*, 2020 WL 9874296, at *7 (citing *Navelski*, 244 F. Supp. 3d at 1309).⁷
Because every aspect of Defendants’ liability can be resolved on a classwide basis, these issues predominate over any damages issues that may require individualized proof, and thus Plaintiffs seek certification of a liability-only class pursuant to Rule 1.220(b)(3) and (d)(4). This phased approach to litigating these proceedings, authorized by the Florida Supreme Court in *Engle*,⁸ was specifically adopted by the Broward County Circuit Court and affirmed on appeal before the Fourth District Court of Appeal in *Las Olas Company v. Florida Power & Light Company*, where some of Plaintiffs’ counsel here were appointed co-lead class counsel and successfully conducted a jury trial on liability issues to a favorable jury verdict, and are now amid the damages phase.
**B. Class Representation is the Superior Method to Adjudicate this Controversy.**
Three factors for courts to consider when deciding whether a class action is the superior method of adjudicating a controversy are (1) whether a class action would provide the class members with the only economically viable remedy; (2) whether there is a likelihood that the
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⁷ That some class members ultimately may not be successful on their damage claims does not defeat certification where common issues otherwise predominate. *Las Olas Co.*, 2020 WL 9874296, at *7 (citing *Navelski*, 244 F. Supp. 3d at 1309 (in turn citing *Torres v. Mercer Canyons Inc.*, 835 F.3d 1125, 1136 (9th Cir. 2016) (“[E]ven a well-defined class may inevitably contain some individuals who have suffered no harm as a result of a defendant's unlawful conduct.”)); *Kohen v. Pac. Inv. Mgmt. Co. LLC*, 571 F.3d 672, 677 (7th Cir. 2009) (observing that it is inevitable “that a class will often include persons who have not been injured by the defendant's conduct;” but “[s]uch a possibility or indeed inevitability does not preclude class certification”))).
⁸ See *Engle*, 945 So. 2d at 1268–71 (explaining that Rule 1.220(d)(4)(A), which provides that “a claim or defense may be brought or maintained on behalf of a class concerning particular issues,” permits the court to separately certify a class for purposes of deciding particular issue such as liability). Moreover, Rule 1.220(d)(1) provides that the Court’s class certification order “may be conditional,” and gives the Court continuing jurisdiction to modify the class certification to address new evidence, issues, claims, or defenses as they arise. *Clearview Imaging L.L.C.*, 2010 WL 9940700, at *10.
individual claims are large enough to justify the expense of separate litigation; and (3) whether a class action cause of action is manageable. *Sosa*, 73 So. 3d at 116 (citation omitted).
Resolving the common issues is economically viable and manageable because the evidence to be presented for these common issues is identical for all class members. *See Jenkins v. Raymark Indus., Inc.*, 782 F.2d 468, 473 (5th Cir. 1986) (finding an accelerated trial plan on class issues “is clearly superior to the alternative of repeating, hundreds of times over, the litigation of the state of the art issues with, as that experienced judge says, ‘days of the same witnesses, exhibits and issues from trial to trial’”); *Navelski*, 244 F. Supp. 3d at 1310 (“[B]ecause proof during the liability phase will not differ among class members, it is unlikely that management of the class action will become overwhelming or unreasonably difficult.”).
Certifying the proposed Liability Class is thus consistent with the goals of Rules 1.220(b)(3) and (d)(4) as it “materially advances the disposition of the litigation as a whole.” MCL, §21.24 at 273; *Jacob v. Duane Reade, Inc.*, 293 F.R.D. 578, 593 (S.D.N.Y. 2013).
**CONCLUSION**
Plaintiffs respectfully request that this Honorable Court certify the Liability Class as defined herein, appoint Plaintiffs as class representatives, and appoint all Undersigned Counsel as Class Counsel, together with such other and further relief as this Honorable Court deems just, equitable, and proper.
Respectfully submitted January 28th, 2022.
/s/ Adam M. Moskowitz
Adam M. Moskowitz (FBN 984280)
Howard M. Bushman (FBN 364403)
Adam A. Schwartzbaum (FBN 93014)
Joseph M. Kaye (FBN 117520)
THE MOSKOWITZ LAW FIRM, PLLC
2 Alhambra Plaza, Suite 601
Coral Gables, FL 33134
Tel: (305) 740-1423
email@example.com
*Plaintiffs’ Economic Loss and Property Damage Track Co-Lead Counsel*
| /s/ Rachel W. Furst | /s/ Harley S. Tropin |
|---------------------|----------------------|
| Rachel W. Furst (FBN 45155) | Harley S. Tropin (FBN 241253) |
| Stuart Z. Grossman | Jorge L. Piedra (FBN 88315) |
| Andrew Yaffa | Tal J. Lifshitz (FBN 99519) |
| Alex Arteaga-Gomez | Eric S. Kay (FBN 1011803) |
| GROSSMAN ROTH YAFFA COHEN, P.A. 2525 Ponce de Leon Boulevard, Suite 1150 | KOZYAK TROPIN & THROCKMORTON LLP |
| Coral Gables, FL 33134 | 2525 Ponce de Leon Boulevard, 9th Floor |
| Tel: (305) 442-8666 | Coral Gables, FL 33134 |
| firstname.lastname@example.org | Tel: (305) 372-1800 |
| Plaintiffs’ Co-Chair Lead Counsel | email@example.com |
| Plaintiffs’ Co-Chair Lead Counsel |
| /s/ Ricardo M. Martínez-Cid | /s/ Javier A. Lopez |
|-----------------------------|---------------------|
| Aaron S. Podhurst (FBN 63606) | Javier A. Lopez (FBN 16727) |
| Ricardo M. Martínez-Cid (FBN 383988) | KOZYAK TROPIN & THROCKMORTON LLP |
| Lea P. Bucciero (FBN 84763) | 2525 Ponce de Leon Boulevard, 9th Floor |
| PODHURST ORSECK, P.A. 1 SE 3rd Avenue, Suite 2300 | Coral Gables, FL 33134 |
| Miami, FL 33131 | Tel: (305) 372-1800 |
| Tel: (305) 358-2800 | firstname.lastname@example.org |
| email@example.com | Plaintiffs’ Economic Loss and Property Damage Track Co-Lead Counsel |
| Plaintiffs’ Personal Injury and Wrongful Death Track Lead Counsel |
| /s/ Stuart Z. Grossman | /s/ Curtis B. Miner |
|-----------------------|---------------------|
| Stuart Z. Grossman (FBN 156113) | Curtis B. Miner (FBN 885681) |
| GROSSMAN ROTH YAFFA COHEN, P.A. 2525 Ponce de Leon Boulevard | COLSON HICKS EIDSON, P.A. |
| Suite 1150 | 255 Alhambra Circle, Penthouse |
| Coral Gables, FL 33134 | Coral Gables, FL 33134 |
| Tel: (305) 442-8666 | Tel: (305) 476-7400 |
| firstname.lastname@example.org | email@example.com |
| Plaintiffs’ Wrongful Death Damage Claim Liaison Counsel | Plaintiffs’ Wrongful Death Charitable Liaison Counsel |
| /s/ Judd G. Rosen | |
|------------------|--|
| Judd G. Rosen (FBN 458953) | |
| GOLDBERG & ROSEN, P.A. 2 S. Biscayne Boulevard, Suite 3650 | |
| Miami, FL 33131 | |
| Tel: (305) 374-4200 | |
| firstname.lastname@example.org | |
| Plaintiffs’ Non-Owner Personal Injury and Wrongful Death Subclass Lead Counsel | |
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that a true and correct copy of the foregoing has been filed on January 28th, 2022, with the Clerk of the Court by using the Florida Courts E-Filing Portal, which will send a Notice of Electronic Filing on all counsel of record.
/s/ Adam M. Moskowitz
Adam M. Moskowitz
Exhibit A
IN THE CIRCUIT COURT OF THE 11TH JUDICIAL
CIRCUIT IN AND FOR MIAMI DADE-COUNTY, FLORIDA
CASE NO.: 2021-015089-CA-01
SECTION: CA43
JUDGE: Michael Hanzman
IN RE: CHAMPLAIN TOWERS SOUTH
COLLAPSE LITIGATION
DECLARATION OF RAYSA RODRIGUEZ
IN SUPPORT OF CLASS CERTIFICATION
I, RAYSA RODRIGUEZ, hereby declare as follows:
1. I am over the age of 18 and fully competent to make this declaration. I make this declaration is in support of the Motion for Class Certification. I have personal knowledge of the facts stated herein and if called upon as a witness, I would and could testify competently to the matters set forth herein.
2. I lived in Unit 907 in the Champlain Towers South Condominium building located at 8777 Collins Avenue, Surfside, Florida 33154, at the time of the Champlain Towers South’s collapse on June 24, 2021. I was the owner of that unit. I moved to the unit in 2003, and was living there until the collapse.
3. At the time of the collapse, I was inside the apartment sleeping. I woke up and discovered that the adjacent tower had collapsed and left a wall of dust. I was able to escape through the stairwell of my building and helped many of my neighbors escape as well.
4. As a result of the tragic collapse caused by the negligence of the Defendants, I lost my home and all of my personal belongings.
5. I am knowledgeable about the nature of this case and I am ready and able to serve as a Plaintiff and a class representative.
6. I seek to be appointed as a representative of the Liability Class (as defined in the Consolidated Second Amended Class Action Complaint). I understand that as a class representative, I will have the duty to represent the interests of all unnamed class members.
7. To my knowledge, I have no conflict with the interests of the other members of the Liability Class. I share the same interests as members of the Liability Class in determining and apportioning fault amongst the Defendants and will carefully guard the interests of absent Liability Class members.
8. I have dedicated a significant amount of time to this matter, including searching for and producing information relevant to this action, promptly responding to questions from my counsel, and reviewing some of the filings and attending hearings in the lawsuit. I have and will continue to keep myself reasonably informed as to the status of the case and will work with my counsel to respond to discovery requests and be prepared for a deposition. In addition to appearing for my deposition, I am willing to make myself available to testify at trial.
9. I have never sought to be appointed as a class representative on behalf of a class in any other litigation.
Date: January 14, 2022
UNDER PENALTIES OF PERJURY, I DECLARE THAT I HAVE READ THE FOREGOING DOCUMENT AND THAT THE FACTS STATED HEREIN ARE TRUE TO THE BEST OF MY KNOWLEDGE AND BELIEF.
Raysa Rodriguez
IN RE: CHAMPLAIN TOWERS SOUTH
COLLAPSE LITIGATION
DECLARATION OF STEVE ROSENTHAL
IN SUPPORT OF CLASS CERTIFICATION
I, STEVE ROSENTHAL, hereby declare as follows:
1. I am over the age of 18 and fully competent to make this declaration. I make this declaration in support of the Motion for Class Certification. I have personal knowledge of the facts stated herein and if called upon as a witness, I would and could testify competently to the matters set forth herein.
2. I lived in Unit 705 in the Champlain Towers South Condominium building located at 8777 Collins Avenue, Surfside, Florida 33154, at the time of the Champlain Towers South’s collapse on June 24, 2021. I am the owner of that unit and was living there.
3. At the time of the collapse, I was inside the apartment sleeping. I was awakened by the loud sounds of the collapse and was rescued from my balcony by first responders.
4. As a result of the tragic collapse caused by the negligence of the Defendants, I lost my home and all of my personal belongings.
5. I am knowledgeable about the nature of this case and I am ready and able to serve as a Plaintiff and a class representative.
6. I seek to be appointed as a representative of the Liability Class (as defined in the Consolidated Second Amended Class Action Complaint). I understand that as a class representative, I will have the duty to represent the interests of all unnamed class members.
7. To my knowledge, I have no conflict with the interests of the other members of the Liability Class. I share the same interests as members of the Liability Class in determining and apportioning fault amongst the Defendants and will carefully guard the interests of absent Liability Class members.
8. I have dedicated a significant amount of time to this matter, including searching for and producing information relevant to this action, promptly responding to questions from my counsel, and reviewing some of the filings and attending hearings in the lawsuit. I have and will continue to keep myself reasonably informed as to the status of the case and will work with my counsel to respond to discovery requests and be prepared for a deposition. In addition to appearing for my deposition, I am willing to make myself available to testify at trial.
9. I have never sought to be appointed as a class representative on behalf of a class in any other litigation.
Date: January 13, 2022
UNDER PENALTIES OF PERJURY, I DECLARE THAT I HAVE READ THE FOREGOING DOCUMENT AND THAT THE FACTS STATED HEREIN ARE TRUE TO THE BEST OF MY KNOWLEDGE AND BELIEF.
Steve Rosenthal
IN THE CIRCUIT COURT OF THE 11TH JUDICIAL
CIRCUIT IN AND FOR MIAMI DADE-COUNTY, FLORIDA
CASE NO.: 2021-015089-CA-01
SECTION: CA43
JUDGE: Michael Hanzman
IN RE: CHAMPLAIN TOWERS SOUTH
COLLAPSE LITIGATION
DECLARATION OF RAQUEL AZEVEDO DE OLIVEIRA
IN SUPPORT OF CLASS CERTIFICATION
I, RAQUEL AZEVEDO DE OLIVEIRA, hereby declare as follows:
1. I am over the age of 18 and fully competent to make this declaration. I make this declaration is in support of the Motion for Class Certification. I have personal knowledge of the facts stated herein and if called upon as a witness, I would and could testify competently to the matters set forth herein.
2. I lived in Unit 512 in the Champlain Towers South Condominium building located at 8777 Collins Avenue, Surfside, Florida 33154, at the time of the Champlain Towers South’s collapse on June 24, 2021. I was renting that unit and lived there with my husband, Alfredo Leone, and five-year-old son, Lorenzo de Oliveira Leone.
3. At the time of the collapse, Alfredo and Lorenzo were inside the apartment and died as a result. I was out of town, visiting family in Colorado.
4. As a result of the tragic collapse caused by the negligence of the Defendants, I lost my husband and my son. I also lost all of my personal belongings, and my family’s belongings.
5. I bring this class action as the Personal Representative of the Estates of Alfredo and Lorenzo. I am knowledgeable about the nature of this case and I am ready and able to serve as a Plaintiff and a class representative.
6. I seek to be appointed as a representative of the Liability Class (as defined in the Consolidated Second Amended Class Action Complaint). I understand that as a class representative, I will have the duty to represent the interests of all unnamed class members.
7. To my knowledge, I have no conflict with the interests of the other members of the Liability Class. I share the same interests as members of the Liability Class in determining and apportioning fault amongst the Defendants and will carefully guard the interests of absent Liability Class members.
8. I have dedicated a significant amount of time to this matter, including searching for and producing information relevant to this action, promptly responding to questions from my counsel, and reviewing some of the filings and attending hearings in the lawsuit. I have and will continue to keep myself reasonably informed as to the status of the case and will work with my counsel to respond to discovery requests and be prepared for a deposition. In addition to appearing for my deposition, I am willing to make myself available to testify at trial.
9. I have never sought to be appointed as a class representative on behalf of a class in any other litigation.
1/25/2022
Date: January ___, 2022
UNDER PENALTIES OF PERJURY, I DECLARE THAT I HAVE READ THE FOREGOING DOCUMENT AND THAT THE FACTS STATED HEREIN ARE TRUE TO THE BEST OF MY KNOWLEDGE AND BELIEF.
Raquel Azevedo de Oliveira
IN THE CIRCUIT COURT OF THE 11TH JUDICIAL
CIRCUIT IN AND FOR MIAMI DADE-COUNTY, FLORIDA
CASE NO.: 2021-015089-CA-01
SECTION: CA43
JUDGE: Michael Hanzman
IN RE: CHAMPLAIN TOWERS SOUTH
COLLAPSE LITIGATION
DECLARATION OF KEVIN FANG
IN SUPPORT OF CLASS CERTIFICATION
I, KEVIN FANG, hereby declare as follows:
1. I am over the age of 18 and fully competent to make this declaration. I make this declaration in support of the Motion for Class Certification. I have personal knowledge of the facts stated herein and if called upon as a witness, I would and could testify competently to the matters set forth herein.
2. I bring this class action in my capacity as the Personal Representative of the Estate of Stacie Fang. Stacie Fang was my sister.
3. Stacie Fang lived in Unit 1002 in the Champlain Towers South Condominium building located at 8777 Collins Avenue, Surfside, Florida 33154, at the time of the Champlain Towers South’s collapse on June 24, 202. She lived there with her 15-year-old son, Jonah Handler.
4. At the time of the collapse, Stacie and Jonah were inside the apartment. Stacie died from the injuries she sustained during the collapse. Her son, Jonah, survived and is the sole beneficiary of her estate.
5. As a result of the tragic collapse caused by the negligence of the Defendants, I lost my sister. Jonah lost his mother. All of Stacie’s personal belongings were also lost in the
6. I am knowledgeable about the nature of this case and I am ready and able to serve as a Plaintiff and a class representative.
7. I seek to be appointed as a representative of the Liability Class (as defined in the Consolidated Second Amended Class Action Complaint). I understand that as a class representative, I will have the duty to represent the interests of all unnamed class members.
8. To my knowledge, I have no conflict with the interests of the other members of the Subclass of non-unit owner victims. I share the same interests as members of the Subclass of non-unit owner victims in determining and apportioning fault amongst the Defendants and will carefully guard the interests of absent Subclass of non-unit owner victim members.
9. I have dedicated a significant amount of time to this matter, including searching for and producing information relevant to this action, promptly responding to questions from my counsel, and reviewing some of the filings and attending hearings in the lawsuit. I have and will continue to keep myself reasonably informed as to the status of the case and will work with my counsel to respond to discovery requests and be prepared for a deposition. In addition to appearing for my deposition, I am willing to make myself available to testify at trial.
10. I have never sought to be appointed as a class representative on behalf of a class in any other litigation.
Date: 01/20/2022
UNDER PENALTIES OF PERJURY, I DECLARE THAT I HAVE READ THE FOREGOING DOCUMENT AND THAT THE FACTS STATED HEREIN ARE TRUE TO THE BEST OF MY KNOWLEDGE AND BELIEF.
Kevin Fang
IN THE CIRCUIT COURT OF THE 11TH JUDICIAL
CIRCUIT IN AND FOR MIAMI DADE-COUNTY, FLORIDA
CASE NO.: 2021-015089-CA-01
SECTION: CA43
JUDGE: Michael Hanzman
IN RE: CHAMPLAIN TOWERS SOUTH
COLLAPSE LITIGATION
DECLARATION OF KEVIN SPIEGEL
IN SUPPORT OF CLASS CERTIFICATION
I, KEVIN SPIEGEL, hereby declare as follows:
1. I am over the age of 18 and fully competent to make this declaration. I make this declaration is in support of the Motion for Class Certification. I have personal knowledge of the facts stated herein and if called upon as a witness, I would and could testify competently to the matters set forth herein.
2. I lived in Unit 603 in the Champlain Towers South Condominium building located at 8777 Collins Avenue, Surfside, Florida 33154, at the time of the Champlain Towers South’s collapse on June 24, 2021. I am the owner of that unit and lived there with my wife, Judith Spiegel.
3. At the time of the collapse, Judith was inside the apartment and died as a result. I was out of town on a work trip.
4. As a result of the tragic collapse caused by the negligence of the Defendants, I lost my wife. I also lost my home and all of my personal belongings. Our three adult children, Rachel Spiegel, Josh Spiegel, and Michael Spiegel, lost their mother. At the time of the collapse, Judith was also a part-time caregiver for our grandchildren.
5. I bring this class action as the Personal Representative of the Estate of Judith Spiegel. I am knowledgeable about the nature of this case and I am ready and able to serve as a Plaintiff and a class representative.
6. I seek to be appointed as a representative of the Liability Class (as defined in the Consolidated Second Amended Class Action Complaint). I understand that as a class representative, I will have the duty to represent the interests of all unnamed class members.
7. To my knowledge, I have no conflict with the interests of the other members of the Liability Class. I share the same interests as members of the Liability Class in determining and apportioning fault amongst the Defendants and will carefully guard the interests of absent Liability Class members.
8. I have dedicated a significant amount of time to this matter, including searching for and producing information relevant to this action, promptly responding to questions from my counsel, and reviewing some of the filings and attending hearings in the lawsuit. I have and will continue to keep myself reasonably informed as to the status of the case and will work with my counsel to respond to discovery requests and be prepared for a deposition. In addition to appearing for my deposition, I am willing to make myself available to testify at trial.
9. I have never sought to be appointed as a class representative on behalf of a class in any other litigation.
Date: January ___, 2022
Jan 14, 2022
UNDER PENALTIES OF PERJURY, I DECLARE THAT I HAVE READ THE FOREGOING DOCUMENT AND THAT THE FACTS STATED HEREIN ARE TRUE TO THE BEST OF MY KNOWLEDGE AND BELIEF.
Kevin Spiegel
"CTS Class Rep Declaration (Kevin Spiegel)" History
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The State as an Unwilling Defendant: Reflections on Nevada v. Hall
Margaret G. Stewart
Chicago-Kent College of Law, firstname.lastname@example.org
Follow this and additional works at: https://digitalcommons.unl.edu/nlr
Recommended Citation
Margaret G. Stewart, The State as an Unwilling Defendant: Reflections on Nevada v. Hall, 59 Neb. L. Rev. (1980)
Available at: https://digitalcommons.unl.edu/nlr/vol59/iss2/4
This Article is brought to you for free and open access by the Law, College of at DigitalCommons@University of Nebraska - Lincoln. It has been accepted for inclusion in Nebraska Law Review by an authorized administrator of DigitalCommons@University of Nebraska - Lincoln.
The State as an Unwilling Defendant: Reflections on *Nevada v. Hall*
I. INTRODUCTION
The doctrine of sovereign immunity provides an absolute defense to any claim brought against a sovereign without its consent. It is an old doctrine\(^1\) which, although modified\(^2\) and attacked,\(^3\) con-
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* Associate Professor of Law, Chicago-Kent College of Law. B.A., 1968, Kalamazoo College; J.D., 1971, Northwestern University.
1. Originally, the doctrine of sovereign immunity was an outgrowth of the medieval fiction that the king could do no wrong and was thus immune from any such allegations as a matter of law. *See generally* 1 W. BLACKSTONE, COMMENTARIES *239; Borchard, *Government Liability in Tort*, 34 YALE L.J. 1 (1924). Although unpopular in the United States, the theory was adopted early by the courts, *see, e.g.*, United States v. Lee, 106 U.S. 196 (1882), The Siren, 74 U.S. (7 Wall.) 152 (1869), Nichols v. United States, 74 U.S. (7 Wall.) 122 (1869), Osborn v. Bank of the United States, 22 U.S. (9 Wheat.) 738 (1824), and persisted as a function of practicality:
Some doubts have been expressed as to the source of the immunity of a sovereign power from suit without its own permission, but the answer has been public property since before the days of Hobbes. (*Leviathan*, c.26, 2.) A sovereign is exempt from suit, not because of any formal conception or obsolete theory, but on the logical and practical ground that there can be no legal right as against the authority that makes the law on which the right depends.
*Kawanakajoa v. Polyblank*, 205 U.S. 349, 353 (1907).
2. The sovereign immunity of both the United States and the states does not extend to certain suits against governmental officers for relief which does not require the expenditure of funds of the government. *Larson v. Domestic & Foreign Corp.*, 337 U.S. 682, 686 (1949) (allegation that federal official acted either in excess of statutory authority or that authority itself was unconstitutional removes any bar immunity might otherwise provide); *Ex Parte Young*, 209 U.S. 123, 155-56, 159-60 (1908) (allegation that state official acted or will act unconstitutionally removes any bar immunity might otherwise provide). Prospective, rather than retrospective relief, and expenses which are ancillary, rather than primary, are the only types of relief available when immunity is denied under this rationale. *See Quern v. Jordan*, 440 U.S. 332 (1979); *Edelman v. Jordan*, 415 U.S. 651 (1974). The primary distinction between the exceptions relates to the officer acting constitutionally but without statutory authority. A federal officer may not claim immunity; whether a state officer is protected depends solely on state law. *See Field, The Eleventh Amendment*
tinues to reflect a legal truism. Legislation carving out exceptions to the doctrine presupposes that the immunity exists.\(^4\) Nowhere, however, does the Constitution of the United States specifically confer such immunity on either the federal or state governments.\(^5\) Whatever the source of the protection, sovereign immunity is sufficient to shield the United States from suits to which it does not consent.\(^6\) However, if the defendant is a state, the source of the immunity will determine its scope. If the Constitution implicitly cloaks the states in all situations with such immunity, their protection is as complete as that of the federal government. If the doctrine has no source other than the common law, then the protection it affords to the states depends upon the extent to which the common law was changed by ratification of the Constitution. In turn, the extent of the change depends upon where the state is being sued and thus differs when the state is called upon to defend in federal court, in its own courts, or in the courts of another state.
The United States Supreme Court's decision in *Nevada v. Hall*\(^7\)
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3. See generally 3 K. Davis, *Administrative Law Treatise* 551-72 (1976); Wall & Childress, *The Law of Restitution and the Federal Government*, 66 Nw. L. Rev. 587 (1971); Note, 61 Geo. L.J. 1535 (1973). The feeling of discomfort with the doctrine is not of recent vintage. It was seen as an anomaly as early as 1793 in *Chisholm v. Georgia*, 1 U.S. (2 Dall.) 419, 471-72 (1793), criticized in *United States v. Lee*, 106 U.S. 196 (1882), and has recently been completely abolished in one state as an obvious contradiction to the American theory of government. *Mayle v. Pennsylvania Dep't of Highways*, 479 Pa. 384, 388 A.2d 709 (1978). Whether the amenability of the state to suit in its own courts also constituted waiver of immunity to suit in the federal courts was at first unclear. Compare *Greenfield v. Vesella*, 457 F. Supp. 316 (W.D. Pa. 1978) with *Hernandez v. Whitesell*, 462 F. Supp. 569 (E.D. Pa. 1978). The issue was resolved by legislation denying such waiver. 1978 PA. LEGIS. SERV. 629-36.
4. See, e.g., Neb. Rev. Stat. § 24-319 (Reissue 1975); Ill. Const. art. 13, § 4; note 6 infra.
5. Prior to union, the immunity of each state was that of a nation. *Nathan v. Virginia*, 1 U.S. (1 Dall.) 77 (Ct. of Common Pleas, Philadelphia County, 1781). See also *The Federalist* No. 81, 548 (A. Hamilton) (J. Cooke ed. 1961).
6. The United States has waived much of its immunity pursuant to three statutes: Act of Oct. 21, 1976, Pub. L. No. 96-574, § 1, 90 Stat. 2721 (amending 5 U.S.C. §§ 702, 703 (1976)); Tucker Act, 28 U.S.C. §§ 1346, 1491 (1970); and Federal Tort Claims Act, 28 U.S.C. § 1346(b) (1970).
7. 440 U.S. 410 (1979). Although the Supreme Court had never decided the issue, the assumption prior to *Hall* was that such a suit could not be maintained. Indeed, the assumption was clearly shared by the Court. In determining that an attempt by a state to escheat certain funds was invalid when, because of the nature of the funds, it could not prevent other such actions by other states and hence double liability of the defendant, the Court stated that the other states could not have been made parties to the action. Only in the Supreme Court could all interested states be forced to appear and be subject to a binding determination. *Western Union Co. v. Pennsylvania*,
determined the source and extent of the immunity of a state sued in the courts of a sister state. California residents, injured in a car accident in California, brought suit in California against the administrator of the estate of the allegedly negligent driver (an employee of the University of Nevada), the University, and the State of Nevada. The latter two defendants sought to quash service of the summons and complaint, arguing that the California courts lacked jurisdiction in the absence of Nevada's waiver of immunity. Although Nevada had statutorily consented to suits based on such tort claims, the waiver only applied to suits brought in the Nevada state courts and the statute placed a $25,000 limit on any recovery against the state.\(^8\) The California Supreme Court upheld the service without determining whether Nevada's statutory waiver en-
\(^{368}\) U.S. 71 (1961). *See also* Cunningham v. Macon & Brunswick R.R., 109 U.S. 446, 451 (1883):
It may be accepted as a point of departure unquestioned, that neither a State nor the United States can be sued as defendant in any court in this country without their consent, except in the limited class of cases in which a State may be made a party in the Supreme Court of the United States by virtue of the original jurisdiction conferred on this court by the Constitution.
In only one instance had a state supreme court confronted such a request for jurisdiction prior to *Hall*. North Dakota was asked to permit a plaintiff to sue the state of South Dakota, his employer, for damages sustained in North Dakota—and refused. The plaintiff claimed to be a resident of South Dakota in his initial attempt to hold South Dakota liable. *Paulus v. South Dakota*, 52 N.D. 84, 201 N.W. 867 (1924). The California Supreme Court distinguished this case from *Hall* because California's interest in protecting its residents differed from whatever interest North Dakota might have had in protecting persons who worked in the state but were not residents. The plaintiff in *Paulus* alleged that he was a resident of North Dakota in his second attempt to recover, and his suit was again dismissed. The court reasoned:
Should the judicial branch of the government of one state undertake to define the legal obligations of a nonconsenting sister state, it would, in effect, be denying sovereignty of the latter. A state cannot remain the supreme master of its own affairs if it must yield to external conceptions in matters of justice and right. . . .
Thus, so carefully have the sovereign prerogatives of a state been safeguarded in the Federal Constitution that no state could be brought into the courts of the United States at the suit of a citizen of another state. Much less would it be consistent with any sound conception of sovereignty that a state might be haled into the courts of a sister sovereign state at the will or behest of citizens or residents of the latter. He who would thus seek recourse should therefore be required to clearly show by his pleadings the unqualified consent of the defendant.
*Paulus v. South Dakota*, 58 N.D. 643, 649, 227 N.W. 52, 54-55 (1929). Until *Hall*, no one disputed either this rationale or result.
\(^8\) Nev. Rev. Stat. § 41.035(1) (1965).
compassed the California suit, holding that when Nevada, through its agents, acted in another state, it did not and could not act in a sovereign capacity since "state sovereignty ends at the state boundary." Therefore, the defendants could not claim immunity as a matter of right, and jurisdiction would fail only if California agreed as a matter of comity to extend immunity. The Court reasoned that the potential embarrassment to Nevada resulting from being sued without its consent was outweighed by California's substantial interest in providing a convenient forum for its injured residents. This interest was bolstered by California's waiver of its
9. Hall v. University of Nev., 8 Cal. 3d 522, 503 P.2d 1363, 105 Cal. Rptr. 355 (1972), cert. denied, 414 U.S. 820 (1973).
10. Id. at 525, 503 P.2d at 1365, 105 Cal. Rptr. at 357. In support of this proposition, the court relied on cases which permitted suit against a sister state when the dispute involved real property owned by the sister state which was located in the forum state. Even though such suits traditionally proceeded in rem, the court reasoned that the sovereign status of the defendant was not affected by the basis for jurisdiction. Id. See, e.g., Georgia v. Chattanooga, 264 U.S. 472 (1924) (the holding seems to rest as much upon notions of consent implied by the purchase of property subject to the authority of the state as it does upon theoretical distinctions as to sovereign status, id. at 479-80). See note 12 infra.
If one state is to obtain in personam jurisdiction over another state on a transitory cause of action, the forum state must possess the authority to force the other state to reenter the forum to defend the merits of its claim or to suffer a default judgment. Irrespective of its status at the time the cause of action arose, when the other state is served with process, it is served within its own borders and hence as a sovereign. In contrast, when land belonging to a state is attached in an in rem proceeding, the status of that state as the owner of property remains constant. Since the forum state is never called upon to act vis-a-vis the defendant state anywhere but within the forum (as jurisdiction is obtained by attachment of the property), it is theoretically not necessary to accord the other state recognition as a sovereign.
To assert jurisdiction over a state which is acting outside its borders, on the theory that such activity cannot constitute sovereign activity, may, however, lead to a result similar to that currently espoused by international law. See Martiniak, Hall v. Nevada: State Court Jurisdiction Over Sister States v. American State Sovereign Immunity, 63 CALIF. L. REV. 1144 (1975). International immunity may protect sovereigns from suit in foreign courts only when the activity giving rise to the plaintiff's claim was undertaken in the sovereign, rather than the commercial, capacity of the defendant. If a sovereign state, which is acting outside its boundaries by definition can act only in a commercial capacity, see, e.g., Hall v. University of Nev., 8 Cal. 3d at 525, 503 P.2d at 1365, 105 Cal. Rptr. at 357, then the restriction imposed by both theories is identical. Unfortunately, this restriction does not necessarily follow from the Supreme Court's opinion in Hall. See notes 19-23 & accompanying text infra. See also Field, The Eleventh Amendment and Other Sovereign Immunity Doctrines: Congressional Imposition of Suit Upon the States, 126 U. PA. L. REV. 1203, 1232-86 (1978) (discussion of the difficulties raised by attempting to distinguish governmental from commercial activities in a different context).
own immunity from like suits.\textsuperscript{11} Since the California jurisdictional statute\textsuperscript{12} had been otherwise properly invoked, the motion to quash was dismissed. The United States Supreme Court denied certiorari,\textsuperscript{13} but later agreed to review\textsuperscript{14} a subsequent California appellate court determination which permitted an award of damages in excess of the Nevada limitation as well as upholding gener-
\begin{itemize}
\item[11.] 8 Cal. 3d at 525-26, 503 P.2d at 1365-66, 105 Cal. Rptr. at 357-58; compare id. with Paulus v. South Dakota, \textit{supra} note 8.
\item[12.] The California statute which was interpreted as permitting service on Nevada treated the operation of a motor vehicle in California as implied consent by the owner or driver of the vehicle to suit in California on a cause of action arising out of the operation of the vehicle. The activity within the state constituted the appointment of a state official as an agent of the defendant for service of process. CAL. VEH. CODE § 17451 (West 1971). A similar statute was upheld by the Supreme Court in Hess v. Pawloski, 274 U.S. 352 (1927), and there is no doubt today that such jurisdiction over a nonresident driver comports with due process. If the requirements of due process are met because the defendant is considered to have consented to the suit, then the activity of Nevada would be equivalent to consent and any defense of sovereign immunity would already have been waived. However, \textit{Hess} was decided prior to International Shoe Co. v. Washington, 326 U.S. 310 (1945) and was rendered when Pennoyer v. Neff, 95 U.S. 714 (1877) constituted the cornerstone of jurisdictional law. Due process under \textit{Pennoyer} required that a state have power over a nonresident defendant in some physical sense before it exercised personal jurisdiction over the nonresident defendant. Thus, the only acceptable bases of jurisdiction were the presence of the defendant at the time process was served, attachment of his property (which provided quasi in rem jurisdiction), the defendant's consent, his domicile, or status under the law of the forum.
In attempting to fit the \textit{Hess} facts into one of the preceding categories, the Court there accepted the "consent" of the defendant as sufficient, although under these circumstances it can by no means be actual and is undoubtedly unknowing as well. Compare \textit{Hess} v. Pawloski, 274 U.S. 352 (1927) with Kane v. New Jersey, 242 U.S. 160 (1916). Under \textit{International Shoe}, due process was redefined to require certain contacts between the defendant and the state. It might have been possible to read the \textit{International Shoe} standard as an expansion of \textit{Pennoyer}, rather than a replacement of it. But Shaffer v. Heitner, 433 U.S. 186 (1977), rejects this possibility. In broad language, \textit{Shaffer} requires minimum contacts between the defendant and the forum state prior to the exercise of any jurisdiction. The majority opinion, in determining that the contacts between defendant directors of a Delaware corporation and Delaware were insufficient to support jurisdiction, did refer to the lack of any Delaware statute equating acceptance of a directorship of a state corporation with consent to the state's jurisdiction. However, the logic of the primary holding precludes recourse to such "forced consent," as well as to any other traditional \textit{Pennoyer} bases of jurisdiction, such as the presence of property. Since the California statute in \textit{Hall} was not drafted to compel waiver of immunity, and since, after \textit{Shaffer}, it is no longer constitutionally sufficient to compel jurisdiction, the statute ought not alone sustain the \textit{Hall} result. See Note, \textit{Quasi in Rem Jurisdiction: A New Era}, 57 NEB. L. REV. 523 (1978).
\item[13.] 414 U.S. 820 (1973).
\item[14.] 436 U.S. 925 (1978).
\end{itemize}
ally the exercise of jurisdiction.\textsuperscript{15}
If it were to reverse the California judgment, the Supreme Court would have had to find that the Constitution prohibited the exercise of unlimited jurisdiction over Nevada, absent its consent.\textsuperscript{16} Unless Nevada's status as a state created constitutional constraints on California's assumption of such jurisdiction, ordinary jurisdictional rules would not preclude the suit. Nevada, acting through its agent, allegedly committed a tort in California, and the plaintiffs' claim was directly related to that activity in the forum. Therefore, minimum contacts sufficient to satisfy traditional notions of fair play and substantial justice existed between the defendant and the forum; due process was not offended by forcing the defendant either to enter the state and defend or to suffer the entry of a default judgment against it.\textsuperscript{17} The Supreme Court did not follow the logic of the California holding, which resolved the issue by stripping Nevada of any distinguishing characteristics when it acts outside its own boundaries. Rather, the Court searched in vain for a general constitutional command that one state recognize another's sovereign immunity. Three possible sources for such a command were suggested. First, Nevada argued that the immunity is implicit in the Constitution. While three Justices agreed with this interpretation,\textsuperscript{18} the majority held that no constitutional provision either granted such immunity or supported its inference.\textsuperscript{19} Possible implications drawn from provi-
\textsuperscript{15} Hall v. University of Nev., 74 Cal.App.3d 280, 141 Cal. Rptr. 439 (1977).
\textsuperscript{16} U.S. Const. art. III, which defines and to some extent vests the judicial power of the United States, also provides the limitations on that power. Only those cases and controversies delineated by article III may be heard by a federal court. Marbury v. Madison, 5 U.S. (1 Cranch) 137 (1803); Hayburn's Case, 2 U.S. (2 Dall.) 409 (1792). State law questions arising in the context of a claim otherwise properly before the Court (\textit{e.g.}, diversity actions, pendent or ancillary claims) may, of course, be reviewed there in the exercise of the Court's appellate jurisdiction. However, even in that context the Court may only determine what the state law is, not what it should be. Erie R.R. v. Tompkins, 304 U.S. 64 (1938). A recent and clear pronouncement by the highest court of the state is, therefore, binding. Thus, California's holding that comity would not compel it to recognize Nevada's sovereign immunity must stand unless the result so reached violates federal law. Absent such a violation, the state's determination not to extend comity is the equivalent of a determination by a sovereign nation and is completely within its discretion. \textit{See} Schooner Exchange v. M'Faddon, 11 U.S. (7 Cranch) 116 (1812).
\textsuperscript{17} International Shoe Co. v. Washington, 326 U.S. 310, 317-20 (1945).
\textsuperscript{18} 440 U.S. 410 (1979) (Blackmun, J., dissenting) (joined by Burger, C.J. & Rehnquist, J.).
\textsuperscript{19} 440 U.S. at 418-21. The majority opinion recognized that the failure to provide immunity from a suit against one state in another's court may well have been an oversight, resulting from the assumption of the framers of the Constitution that such protection would be adequately provided by "prevailing notions of comity" and from their overriding concern with the immunity of the
sions defining the federal judicial power were insufficient to create a presumption of immunity from suit in a state system.\textsuperscript{20} Second, Nevada argued that the full faith and credit clause\textsuperscript{21} specifically required other states to recognize its statutory definition of its own immunity. However, the Court held that the full faith and credit clause did not compel California to subordinate its strong and legitimate public policy of providing a forum for its residents to the conflicting policy of another state.\textsuperscript{22} Finally, Nevada urged that
\begin{quote}
states from suit in the federal system. \textit{Id.} at 418-19. However, there was no reason to read such an assumption into the Constitution. The dissenting Justices in \textit{Hall} argued:
If the Framers were indeed concerned lest the States be haled before the federal courts, . . . how much more must they have reprehended the notion of a State's being haled before the courts of a sister State. The concept of sovereign immunity prevailed at the time of the Constitutional Convention. It is, for me, sufficiently fundamental to our federal structure to have implicit constitutional dimension.
\textit{Id.} at 431 (Blackman, J., dissenting) (joined by Burger, C.J. & Rehnquist, J.). Furthermore, to imply a constitutional right of immunity as an "essential component of federalism" is only to utilize the same logic which supports a constitutional right to travel. \textit{Id.} at 430.
\end{quote}
\textsuperscript{20} \textit{Id.} at 419-21.
\textsuperscript{21} U.S. Const. art. IV, § 1: "Full Faith and Credit shall be given in each State to the public Acts, Records, and judicial Proceedings of every other State. And the Congress may by general Laws prescribe the Manner in which such Acts, Records and Proceedings shall be proved, and the Effect thereof." Congress has provided for the method of authenticating legislative acts and records and judicial proceedings of a state court and has prescribed their effect:
Such Acts, records and judicial proceedings or copies thereof, so authenticated, shall have the same full faith and credit in every court within the United States and its Territories and Possessions as they have by law or usage in the courts of such State, Territory or Possession from which they are taken.
28 U.S.C. § 1738 (1976). The congressional command that state court judgments be afforded full faith and credit in federal courts as well as state courts has led one commentator to argue that in the context of claims under 42 U.S.C. § 1983 (1976), res judicata to some degree provides a federally mandated defense. \textit{See Currie, Res Judicata: The Neglected Defense}, 45 U. CHI. L. REV. 317, 326-27 (1978). \textit{See also Chicago, R.I. & P. Ry. v. Schendel}, 270 U.S. 611 (1926) (barring in a different context a federal claim because of a prior state judgment).
\textsuperscript{22} 440 U.S. at 421-24.
In the context of the discussion of full faith and credit, the majority did indicate that perhaps not all fact situations would be encompassed by its decision:
California's exercise of jurisdiction in this case poses no substantial threat to our constitutional system of cooperative federalism. Suits involving traffic accidents occurring outside Nevada could hardly interfere with Nevada's capacity to fulfill its own sovereign responsibilities. We have no occasion, in this case, to consider whether different state policies, either of California or of Nevada, might require a different analysis or a different result.
\textit{Id.} at 424 n.24. This caveat leaves a good deal to be desired. It intimates that
there are implicit constitutional constraints on a state's exercise of comity, which prevent one state from treating another as an unfriendly sovereign. Again, the Court disagreed, finding that the granting of comity is nowhere controlled and remains entirely within the forum's discretion.\textsuperscript{23}
Standing alone, the majority opinion in \textit{Nevada v. Hall} is both clear and logical. It does, however, contrast oddly with the Court's approach to the issue of state sovereign immunity in other contexts. It may well create a dual doctrine of immunity—one that determines its source in reliance upon the system, federal or state, in which a claim is brought. Furthermore, to the extent that the opinion rests upon an analysis of the full faith and credit clause, it raises more issues than it resolves.
\section*{II. SOVEREIGN IMMUNITY}
The Supreme Court has previously considered the issue of state sovereign immunity in the context of suits brought against a
\begin{quote}
a limitation on California's jurisdiction might exist because of the character of the defendant, but it fails to indicate either the source or scope of that limitation. Given the Court's refusal to elevate state-state immunity to a constitutional level, the full faith and credit clause must support any restriction; yet its analysis of that clause rested solely upon a description of California's interest in providing a remedy without monetary limitation for its injured residents. Why that interest would change depending upon the cause of action is unclear.
The Court's footnote may indicate that if Nevada's activity had either been characterized as governmental or occurred within its own borders, California would not have been free to disregard the defendant's traditional immunity. See note 10 \textit{supra}. To justify such a restriction, however, it would be necessary either to consider Nevada's interest in the dispute (which the Court failed to do in \textit{Hall}) or to determine that there is a limitation on the discretionary exercise of comity which is implicit in the Constitution.
If there is such a restriction on the exercise of comity, its source would almost surely be the full faith and credit clause, which was an attempt to formalize notions of comity in the situations to which the clause applied. See Fauntleroy v. Lum, 210 U.S. 230 (1908). Even if those notions of comity were not to be frozen by the clause, see note 23 & accompanying text \textit{infra}, at the least the clause may provide some restraint on the development of notions of comity by the individual states. Yet Justices White, Harlan, McKenna and Day, dissenting in \textit{Fauntleroy}, made this argument in a different context and lost. Maintaining that comity had never been thought to place any moral obligation on a sovereign to enforce a judgment based on what the forum considered to be an illegal contract, the four dissenting justices denied that the now-constitutional obligation could be invoked to require such enforcement. The majority disagreed. In any event, nowhere in the \textit{Hall} opinion does the Court indicate that the formulation of California's policy is subject to constitutional restraint. Indeed, the majority recognizes that the Court will presume "policies of broad comity," but states bluntly that such a presumption is rebuttable by the states without limitation. 440 U.S. at 425-26.
\end{quote}
\textsuperscript{23} \textit{Id.} at 425-27.
state in federal rather than state courts. The earlier treatment of the issue differs in two respects from *Hall*. First, with one early and discredited exception,\(^{24}\) those opinions do not focus upon express constitutional language to determine that immunity exists, nor do they automatically conclude that the lack of such language precludes a claim of immunity.\(^{25}\) Second, the Court has never clearly defined the source of a state's immunity in the federal system; the opinions support arguments that it is constitutionally compelled and that its existence is based solely upon the common law.\(^{26}\)
States may be sued without their consent in two well-recognized instances.\(^{27}\) A state may sue another state in the Supreme
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\(^{24}\) Chisholm v. Georgia, 2 U.S. (2 Dall.) 419 (1793). *See* notes 26-29 & accompanying text *infra*.
\(^{25}\) *See generally* notes 27-40 & accompanying text *infra*. In one instance, the Court also has not felt bound by specific language forbidding suits against a state to be heard in the federal system. The Constitution states that “[t]he Judicial power of the United States shall not be construed to extend to any suit in law or equity, commenced or prosecuted against one of the United States by Citizens of another State, or by Citizens or Subjects of any Foreign State.” U.S. CONST. amend. XI. The amendment thus modifies article III, section 2, which expressly included such controversies within the judicial power. However, should a state consent to the described suit, subject matter jurisdiction is properly invoked, although the eleventh amendment contains no exception to its prohibition. *See* Employees v. Missouri Pub. Health Dep’t, 411 U.S. 279 (1973). While immunity has always been seen as a defense which the sovereign may assert in its discretion, ordinarily consent to the exercise of subject matter jurisdiction is irrelevant to its existence. *See, e.g.*, Louisville & Nashville R.R. v. Mottley, 211 U.S. 149 (1908).
Of course, the determination of what constitutes consent of a state to be sued must be made before jurisdiction is found. Actual waivers of immunity occur most frequently by statute and are construed narrowly. Only the expressly stated immunity is waived, and it is waived only in accordance with the terms of the legislation. *See, e.g.*, Smith v. Reeves, 178 U.S. 436 (1900); Beers v. Arkansas, 61 U.S. (20 How.) 527 (1857); Skrbina v. Pennsylvania Dep’t of Highways, 468 F. Supp. 215 (W.D. Pa. 1979). Activity by the state may also constitute consent to the suit and hence waiver of immunity, but it is more difficult to define what is sufficient here. *See* Clark v. Barnard, 108 U.S. 436, 448 (1883) (claim by state for funds held by court pursuant to interlocutory decree made the state a party “to the full extent required for its [the litigation’s] complete determination”). *Compare* Parden v. Terminal Ry., 377 U.S. 184 (1964) (conducting railroad subject to congressional legislation constitutes consent to suit under that legislation) *with* Employees v. Missouri Pub. Health Dep’t, 411 U.S. 279 (1973) (operation of hospital does not constitute consent to suit under applicable federal legislation). *See* note 56 *infra*.
\(^{26}\) *See generally* notes 42-69 & accompanying text *infra*.
\(^{27}\) A state may also be made an unwilling appellee, if it instituted the suit in the first instance and won, provided that the subject matter of the dispute is encompassed by article III. Cohens v. Virginia, 19 U.S. (6 Wheat.) 264 (1821). Certain language in the opinion indicates that, because the plaintiff’s claim was one under federal law, the state had waived its immunity by adopting a Constitution which generally placed such claims within the judicial power of
Court, and the United States may sue a state there or elsewhere. Both types of suits fall within the judicial power of the United States as defined by article III, which extends that power to "Controversies between two or more States" and "Controversies to which the United States shall be a Party." Article III could certainly be read to constitute consent by the signatories to the cases confided by it to the federal judiciary. Under this interpretation, the states would have specifically waived any prior immunity. Although this approach most closely parallels that utilized in Hall, as it depends upon express rather than implicit constitutional commands, it nonetheless presupposes the existence of immunity which, absent waiver, would bar the suit. If that immunity is grounded in the common law, immunity could not protect a state from suit in the courts of another state. The common law recognized immunity of the sovereign in its own courts; it did not protect the sovereign in another's courts. In the latter instance, immunity is a function of comity or of constitutional law. Yet if states' immunity is grounded in the Constitution, Hall limited this immunity to suits commenced in a federal court.
Reliance upon the express language of article III, however, is misplaced. In Chisholm v. Georgia, the Supreme Court permitted a South Carolina plaintiff to sue Georgia to recover upon a debt, quoting article III's extension of the judicial power to controversies between a state and citizens of another state. Justification for the abandonment of immunity was found in the abandonment of the distinction between sovereign and subject. Chisolm was overruled by the eleventh amendment, and the Court no longer
the federal government. U.S. Const. art. III, § 2. Furthermore, the Court stated that the eleventh amendment failed to bar the claim, since that amendment was to be confined to its language. Only at the end of the opinion did the Court indicate the difference between a suit commenced against a state and one in which the state is only the appellee. To allow review of a decision in favor of the state is not to permit a demand to be brought against that state. Nonetheless, it is clearly this last distinction which continues to justify the result in Cohens; courts later rejected the general immunity language as unnecessary in light of the availability of such relief in England, where it is not thought to indicate any concomitant ability to initiate suit against the sovereign. Hans v. Louisiana, 134 U.S. 1 (1890).
28. North Dakota v. Minnesota, 253 U.S. 365 (1923); Oklahoma v. Texas, 258 U.S. 574 (1922); Virginia v. West Virginia, 246 U.S. 565 (1918); Kansas v. Colorado, 185 U.S. 125 (1902); Missouri v. Illinois & Chicago Dist., 180 U.S. 208 (1901).
29. See United States v. Mississippi, 380 U.S. 128 (1965). The jurisdiction of the Supreme Court over controversies between two states is original and exclusive; over controversies between the United States and a state, its jurisdiction is original but not exclusive. 28 U.S.C. §§ 1251(a)(1) & (b)(2) (1976).
30. U.S. Const. art. III, § 2.
31. 2 U.S. (2 Dall.) 419 (1793).
32. See note 25 supra.
attempts to read article III as a grant of jurisdiction over claims not traditionally justiciable.\textsuperscript{33} Therefore, recourse is had to the “plan of Convention” to permit a state or the United States to bring suit against an unconsenting state.\textsuperscript{34} Although the language of article III does not constitute a waiver of immunity, such a waiver can, and must, in these two instances, be inferred from the constitutional structure. To disallow suits between states would leave them without a remedy against each other: force being obviously inconsistent with union. Jurisdiction over claims against a state brought by the United States must be implied from the constitutional plan, which postulates a federal authority supreme in its sphere and necessarily capable of enforcing that supremacy.\textsuperscript{35} To the extent the Court continues to discuss the language of article III in these contexts, it is expressing concern not with the immunity of the defendant and its waiver, but with other issues of justiciability presented by the claim.\textsuperscript{36}
\textsuperscript{33} Monaco v. Mississippi, 292 U.S. 313 (1934).
\textsuperscript{34} \textit{Id.} at 322-23 (quoting \textsc{The Federalist} No. 81 (A. Hamilton)(J. Cooke ed. 1961)).
\textsuperscript{35} \textit{Id.} The plan of union, however, did not involve a waiver of the states’ immunity to suits by foreign nations, even though such claims are also recited in article III as being within the federal judicial power. The fabric of government does not demand that such claims be cognizable in any court, and indeed such jurisdiction might conflict with the foreign relations authority of the federal government. \textit{Id.}
\textsuperscript{36} Although article III places no express restraint on the type of claims between the states which may be heard by it, the Court, focusing on the implications of the “controversy” requirement of article III, has continually refused to hear any claim which does not arise directly between the states. Boundary disputes are one obvious example of claims which do arise directly between the states, \textit{see, e.g.,} Ohio v. Kentucky, 100 S. Ct. 558 (1980); Michigan v. Wisconsin, 272 U.S. 398 (1926); Oklahoma v. Texas, 272 U.S. 21 (1926); Georgia v. South Carolina, 257 U.S. 516 (1922); Arkansas v. Tennessee, 246 U.S. 158 (1918), but jurisdiction is not confined to such situations. Louisiana v. Texas, 176 U.S. 1 (1900). If the suit is for an injury to one state by another state in its quasi-sovereign capacity, it represents an interest of the state independent of that of individual citizens, and may be pursued. North Dakota v. Minnesota, 263 U.S. 365 (1923); Missouri v. Illinois & Chicago Dist., 180 U.S. 208 (1901). Provided that the state is seeking to represent a “considerable portion” of its citizenry, its own interest exists, but the assignment to it of individual grievances is insufficient. \textit{See} notes 102-05 & accompanying text \textit{infra}. Compare Kansas v. Colorado, 185 U.S. 125 (1902) \textit{with} New Hampshire v. Louisiana, 108 U.S. 76 (1883). Note that the same argument was made in the context of a suit brought by the United States; the Court agreed without comment that if the federal government had no real and direct interest in the suit, it could not be maintained, but found, on the facts of the case, that such an interest did exist. United States v. Minnesota, 270 U.S. 181 (1926). In both situations, the fact that the individuals represented could not sue is irrelevant to jurisdiction. Finally, once such jurisdiction attaches, it carries with it all the normal incidents of jurisdiction. For example, the Court has the power to enforce its orders, Virginia v. West Virginia, 246 U.S. 565 (1918), and can consider claims
The Court rejected waivers of immunity based upon specific constitutional language at the same time it was refusing to confine successful claims of immunity to such language. For example, the eleventh amendment by its terms only protects states from suits brought in law or equity by citizens of other states or of foreign countries,\textsuperscript{37} though suits brought in federal court by their own citizens are barred,\textsuperscript{38} as are those brought by a federal corporation\textsuperscript{39} and those which invoke the admiralty jurisdiction.\textsuperscript{40}
The Court does not rest its conclusion upon constitutional language when it finds jurisdiction over a state in the federal courts or when it denies jurisdiction. Yet the Court concentrated on the lack of such language rather than on the "plan of Convention" when it denied immunity in \textit{Hall}. It also restricted what constitutional language there is to the situations therein expressly covered. Both article III and the eleventh amendment address federal rather than state judicial power and were thus irrelevant to the \textit{Hall} issue.\textsuperscript{41}
It is clear after \textit{Hall} that states are not constitutionally immune from suit in the courts of other states; extension of protection to them is discretionary with the forum. Whether states are constitutionally immune from suits in the federal courts, however, or whether their protection there too is only that protection granted by the common law, is still in dispute. The logic of an immunity constitutionally commanded in only one system depends upon the rationale given for its existence in that system.\textsuperscript{42} However, even if parallel rules are used in both systems, parallel results need not necessarily follow. Unless its efficacy is destroyed or modified by the Constitution, the common law may shield a state from suit in the federal courts, though it is insufficient to shield the state from suit in another state.
Ratification of the Constitution deprived the states of their prior status as sovereign nations.\textsuperscript{43} It is possible that the document did
\begin{itemize}
\item of individuals to property exclusively under the Court's control, although such claims would ordinarily be precluded by sovereign immunity. Oklahoma v. Texas, 258 U.S. 574 (1922).
\item See note 25 supra.
\item Duhne v. New Jersey, 251 U.S. 311 (1920) (requesting injunctive relief); Hans v. Louisiana, 134 U.S. 1 (1890) (requesting damages).
\item Smith v. Reeves, 178 U.S. 436 (1900).
\item Ex Parte New York, 256 U.S. 490 (1921).
\item 440 U.S. at 421-23.
\item See notes 65-69 & accompanying text infra.
\item "All the rights of the States as independent nations were surrendered to the United States. The States are not nations, either as between themselves or towards foreign nations. They are sovereign within their spheres, but their sovereignty stops short of nationality." New Hampshire v. Louisiana, 108 U.S. 76, 90 (1883).
\end{itemize}
not cloak them with any new immunity. Indeed, it may have affected the common law immunity which they previously enjoyed as nations.\textsuperscript{44} Under this theory, neither article III nor the eleventh amendment addresses the issue of immunity; article III does not codify or deny it, and the eleventh amendment simply restores the status quo as of the time the Constitution was adopted.\textsuperscript{45} Other constitutional provisions, however, are cited as containing agreed-to waivers of common law immunity. Article I, section 8 enumerates areas in which Congress may legislate, and the grant of authority is read to encompass also the federal authority to legislatively subject a state to suit.\textsuperscript{46} The states consented to suits on congressionally created causes of action by their adoption of the Constitution and, therefore, cannot be heard to claim an immunity properly "lifted" by Congress.\textsuperscript{47} Note, however, that this theory would support jurisdiction over a state on a claim based on a congressionally created cause of action even if the plaintiff were from a different state and the suit was, therefore, within the precise language of the eleventh amendment. That amendment only precludes the federal courts from exercising jurisdiction over a state in reliance upon a waiver contained in article III, by denying the existence of such a waiver. It does not affect the waiver of immunity culled from article I. The case is within the federal judicial power because it "arises under the . . . laws . . . of the United States;"\textsuperscript{48} it is justiciable because of the state's consent derived from ratification of article I.
The theory permits suits to be brought against states in both federal and state courts. In the one, common law immunity was waived; in the other, it is irrelevant. However, even if sovereign immunity is derived solely from the common law, it does not necessarily follow that article I, any more than article III, constitutes an irrevocable waiver of that immunity. Just as article III has been interpreted to allow certain claims to be heard if such claims are
\textsuperscript{44} Field, \textit{supra} note 2, at 520.
\textsuperscript{45} Under this theory, the refusal of the Court in \textit{Hans v. Louisiana}, 134 U.S. 1 (1890), to permit a citizen to sue his own state for its alleged impairment of contract in violation of the Constitution was based not on any constitutional infirmity but rather on the retained common law immunity of the state, which had not been changed by either the contract clause or congressional legislation. \textit{See} Field, \textit{supra} note 10, at 1218-80.
\textsuperscript{46} \textit{Peel v. Florida Dep't of Transp.}, 600 F.2d 1070 (5th Cir. 1979); \textit{Mills Music, Inc. v. Arizona}, 591 F.2d 1278 (9th Cir. 1979); Field, \textit{supra} note 10.
\textsuperscript{47} Apparently Justice Brennan would take this logic one step further and hold that article I abolishes immunity in the situations to which it applies. While Congress needs to act to create a cause of action, it need not act again to "lift" immunity. \textit{Employees v. Missouri Pub. Health Dep't}, 411 U.S. 279, 300 (1973) (Brennan, J., dissenting).
\textsuperscript{48} U.S. CONST. art. I, § 2.
otherwise known to the law, so could article I be interpreted to allow certain causes of action to be congressionally created if such causes of action are otherwise proper. The question in each case would be twofold: does the federal legislation attempt to create a right of action against the state, and, if so, has the state in some way waived its common law immunity. Only if both questions are answered affirmatively could a suit proceed, even though the state's immunity is not constitutionally based. The Court adopted a similar rationale to explain the United States' ability to seek to overturn a state plan which allegedly precluded persons from voting on the ground of race in the context of the fifteenth amendment.\textsuperscript{49} Congressional legislation authorizing such a suit was a valid exercise of its power under the second section of the amendment, and, since the suit was prosecuted by the United States, the state was unprotected by immunity.\textsuperscript{50}
It is true the Court subsequently indicated that, when a Civil War amendment is involved, a state's immunity cannot prevent a suit against it pursuant to congressional legislation, even if the suit is brought by an individual. The thirteenth, fourteenth and fifteenth amendments provide that Congress shall have power to enforce their provisions by appropriate legislation, and all contain specific restrictions on state action. In \textit{Fitzpatrick v. Bitzer},\textsuperscript{51} the
\begin{quote}
[W]e think it unimportant to say whether the state conducts its railroad in its 'sovereign' or in its 'private' capacity. That in operating its railroad it is acting within a power reserved to the states cannot be doubted. The only question we need consider is whether the exercise of that power, in whatever capacity, must be in subordination to the power to regulate interstate commerce, which has been granted specifically to the national government. The sovereign power of the states is necessarily diminished to the extent of the grants of power to the federal government in the Constitution.
\textit{Id.} at 183-84 (citations omitted). Since the plaintiff was the United States, it was unnecessary to determine whether the state's immunity was likewise diminished. The same logic bolstered the majority's holding in \textit{Employees v. Missouri Pub. Health Dep't}, 411 U.S. 279 (1973). Although an employee was barred by immunity from suing the state under the Fair Labor Standards Act (Fair Labor Standards Act of 1938, June 23, 1972, Pub. L. No. 92-318, title IV, § 906(b), 86 Stat. 375 (codified in scattered sections of 29 U.S.C.)), the legislative provision permitting such suits by the Secretary of Labor provided a remedy for violations of the Act while at the same time raising no problem of immunity.
\end{quote}
\textsuperscript{49} United States v. Mississippi, 380 U.S. 128 (1965). While the legislation involved specifically authorized such a suit, the opinion made it clear that it was the nature of the plaintiff and not the congressional act which justified the suit. \textit{Id.} at 140-41.
\textsuperscript{50} See also United States v. California, 297 U.S. 175 (1936). The suit was an attempt to recover a statutory penalty for violations of the Federal Safety Appliance Act by a state-owned railroad. The Act, the Court found, did cover the railroad, and the coverage was upheld:
\textsuperscript{51} 427 U.S. 445 (1976).
Court held that the fourteenth amendment constituted a limitation on state sovereign immunity as expressed in the eleventh amendment; its adoption signified consent to suits congressionally created pursuant to it.\textsuperscript{52} However, it does not necessarily follow that a waiver of immunity in article I ought to be found simply because the Court found a waiver of immunity in \textit{Fitzpatrick}. The restrictions upon state action in the fourteenth amendment are expressly stated, as is the congressional power of enforcement. Article I, section 8, however, only grants Congress the power to legislate in designated areas. Although the supremacy clause makes state activity in those areas subject to congressional legislation,\textsuperscript{53} section 8 does not forbid any kind of activity by the states absent such legislation. It is section 10 of article I which speaks in language similar to that of the fourteenth amendment:\textsuperscript{54} to the extent that the restrictions there imposed make no reference to congressional authority, even they may be insufficient to constitute a waiver of common law immunity.\textsuperscript{55} Only when clauses prohibit state activ-
\textsuperscript{52} The Court, however, has been reluctant to hold that Congress intended to permit private suits under other fourteenth amendment legislation. Thus, 42 U.S.C. § 1983 (1976) was recently found not to be intended to overturn traditional immunity, even though the same section does permit suits to be brought against municipalities. Compare Quern v. Jordan, 440 U.S. 332 (1979) with Monell v. Department of Social Serv., 436 U.S. 658 (1978). This reluctance is similar to that expressed by the Court in the context of legislation pursuant to article I, where the authority to "lift" immunity is less clear. See, e.g., Edelman v. Jordan, 415 U.S. 651 (1974); Employees v. Missouri Pub. Health Dep't, 411 U.S. 279 (1973).
\textsuperscript{53} This Constitution, and the Laws of the United States which shall be made in Pursuance thereof; and all Treaties made, or which shall be made, under the Authority of the United States, shall be the supreme Law of the Land; and the Judges in every State shall be bound thereby, any Thing in the Constitution or Laws of any State to the Contrary notwithstanding.
U.S. Const. art. VI, cl. 2.
\textsuperscript{54} No State shall enter into any Treaty, Alliance, or Confederation; grant Letters of Marque and Reprisal; coin Money; emit Bills of Credit; make any Thing but gold and silver Coin a Tender in Payment of Debts; pass any Bill of Attainder, ex post facto Law, or Law impairing the Obligation of Contracts, or grant any Title of Nobility.
U.S. Const., art. I, § 10, cl. 1.
\textsuperscript{55} Justice Brennan argued that only this conclusion logically supports the Court's opinion in \textit{Hans v. Louisiana}, 134 U.S. 1 (1890). \textit{Employees v. Missouri Pub. Health Dep't}, 411 U.S. 279, 319-20 (1973) (Brennan, J., dissenting). He was opposed by Justices Marshall and Stewart, who assumed that a self-executing clause, such as the contract clause, must imply at least the same power of enforcement as do other clauses, such as those contained in section 8 of article I, which are not self-executing. In their view, the adoption of the contract clause, as well as section 8, constituted a waiver of common law immunity; therefore, contrary to Justice Brennan, the refusal of jurisdiction in \textit{Hans} must have rested upon constitutionally compelled immunity.
ity without congressional approval\textsuperscript{56} is it clear that Congress may condition the state's activity upon waiver of its immunity from related suits.\textsuperscript{57} If both restrictive language and congressional authority are necessary to imply waiver of immunity, section 8 does not support the implication but provides only the authority.
If article I only constitutes an agreement by the states that Congress may legislate in the listed areas, the Supreme Court's continuing concern with the existence of a state's consent is understandable.\textsuperscript{58} So too is the Court's apparently growing concern with the nature of the activity which Congress has attempted to regulate.\textsuperscript{59} If a state could reasonably decide not to operate in a regulated area, it may be assumed that activity constitutes consent to the regulation and, therefore, waiver of immunity. However, if the nature of the activity is such that a state either could not easily discontinue it or is under a quasi-governmental requirement to maintain it, then continued activity can hardly be equated with any actual waiver.\textsuperscript{60}
Even if the common law is the only source of a state's immunity in federal court, as it is the source of immunity in the courts of another state, that immunity is not necessarily functionally use-
\begin{itemize}
\item[56.] For example, "No State shall, without the Consent of Congress, lay any Duty of Tonnage, keep Troops, or Ships of War in Time of Peace, enter into any Agreement or Compact with another State, or with a foreign Power, or engage in War . . . ." U.S. CONST., art. I, § 10, cl. 2.
\item[57.] Thus, states may not compact with each other absent the agreement of Congress, \textit{id.}, and Congress may, therefore, condition its consent on the waiver of immunity. Petty v. Tennessee-Missouri Comm'n, 359 U.S. 275 (1959). It should be noted that Justices Frankfurter, Harlan and Whittaker, dissenting, indicated some doubt about not the power of Congress to impose such a restriction but its propriety. Since the required consent was designed to protect national interests, waiver of traditional tort immunity was a condition not geared to the purpose of the provision and ought not, therefore, be assumed to have been intended.
\item[58.] See Employees v. Missouri Pub. Health Dep't, 411 U.S. 279, 281 (1973). Unfortunately, this case, as did Parden v. Terminal Ry., 377 U.S. 184 (1964), substantially confuses the issue by discussing whether congressional action has "lifted" what the Court refers to as "constitutional immunity." 411 U.S. at 285. The question is a contradiction in terms. Professor Field has suggested that the Court may be willing to equate continued activity in a regulated area with consent, once congressional intent to force such a choice on the states is found. Field, \textit{supra} note 10, at 1214 \textit{passim}. This admittedly avoids the otherwise difficult issue of what constitutes consent, but unless the legislation confers some benefit, it is equally difficult to find authority to impose the condition of waiver. \textit{Id.}
\item[59.] See Field, \textit{supra} note 10, at 1218-80.
\item[60.] Compare Parden v. Terminal Ry., 377 U.S. 184 (1964) (operation of railroad begun after passage of regulatory legislation) with Employees v. Missouri Pub. Health Dep't, 411 U.S. 279 (1973) (operation of hospital continued but not begun after passage of regulatory legislation).
\end{itemize}
less in the federal system.\textsuperscript{61} However, it is likely that a majority of the Supreme Court would hold in the federal context that state immunity is a constitutionally compelled doctrine.\textsuperscript{62} The Court agrees that the eleventh amendment places some constitutional restraint on the assumption of unconsented-to jurisdiction.\textsuperscript{63} If a case falls within the specific language of the amendment, consent is a precondition for a justiciable controversy. Only one member of the Court, Justice Brennan, clearly rejects such a restraint in all other cases.\textsuperscript{64} His view is opposed by Justice Marshall, for whom the immunity of the states is a constitutional right within the federal system.\textsuperscript{65} Justice Marshall, however, did join with the majority in \textit{Hall}, thus indicating that he takes the opposite view if litigation is commenced in the state. This duality is a result of his belief in the dual source of the doctrine. To the extent that the
\textsuperscript{61} To confine the source of a state's immunity to the common law does resolve three problems. The language of the eleventh amendment is extraordinarily narrow if it was intended to codify immunity. If, on the other hand, it only denies an assumption of jurisdiction based upon an implied waiver of immunity in article III, it addresses properly the only issue presented. Other cases brought within the judicial power by that article depend for their characterization on the nature of the dispute, not of the parties, and so contain no implication of waiver of immunity. Second, the theory explains why consent of a state is sufficient to permit suit to be brought against it in the federal court, even when the suit precisely fits the prohibitory language of the amendment. The subject matter jurisdiction of the federal system is limited by the Constitution and generally cannot be expanded by consent—yet no one doubts the efficacy of such consent here. If the amendment, however, only precludes courts from removing common law immunity pursuant to article III, then consent places the suit within that article as a justiciable claim. Finally, the theory justifies language in various cases, \textit{supra} note 58, concerning whether Congress has "lifted" a state's immunity. Field, \textit{supra} note 2, at 544-45.
\textsuperscript{62} Of course, if there is a constitutional guarantee of immunity, the argument of an implied waiver of that immunity in article I becomes difficult to sustain. The waiver could logically be implied from one of the Civil War amendments because, to the extent the eleventh amendment is the source or at least the expression of the constitutional guarantee, it could have been modified by the passage of the subsequent amendments. It does, however, postdate article I, which could, therefore, not reasonably modify whatever immunity the eleventh amendment exemplifies.
Thus far, only one circuit has expressly held that, in accord with the Field theory, action by Congress pursuant to one of the article I enumerated powers is sufficient to preclude an immunity defense, even if the state has not consented to be sued (except through implication by ratification of the Constitution). Mills Music, Inc. v. Arizona, 591 F.2d 1278 (9th Cir. 1979). See Peal v. Florida Dep't of Transp., 600 F.2d 1070 (5th Cir. 1979).
\textsuperscript{63} Employees v. Missouri Pub. Health Dep't, 411 U.S. 279, 285 (1973); Ford Motor Co. v. Department of Treasury, 323 U.S. 459, 464 (1945); \textit{Ex parte} Young, 209 U.S. 123, 150 (1908); Chandler v. Dix, 194 U.S. 590, 591 (1904).
\textsuperscript{64} Employees v. Missouri Pub. Health Dep't, 411 U.S. 279, 299-324 (1973) (Brennan, J., dissenting).
\textsuperscript{65} \textit{Id.} at 290-93 (Marshall, J., concurring) (joined by Stewart, J.).
state claims immunity as a common law right, Justice Marshall argues that article I constitutes a waiver of the immunity such that Congress may "lift" it by legislation. Thus, for example, he maintains that it is possible to compel a state to open its own courts to a congressionally created claim against it; in the state systems, the only source of the doctrine of sovereign immunity is the common law.\textsuperscript{66} However, article III elevates sovereign immunity in the federal system to a constitutional level and thus there precludes claims against unconsenting states.\textsuperscript{67} The eleventh amendment is considered merely a narrow and clarifying expression of a much broader doctrine implicit in article III. Since three members of the Court (the Chief Justice and Justices Blackmun and Rehnquist) dissented in \textit{Hall} upon an express finding that immunity is a constitutional doctrine even in the state systems, at least four members of the Court would presumably hold that consent is necessary before a state may be forced to defend or default in a federal court. If another justice joins these four,\textsuperscript{68} the result will be precisely the kind of dual immunity which Justice Marshall has sought.
If the Constitution grants the states immunity from suits against them only when such suits are commenced in the federal courts, it is logically necessary to focus upon article III as Justice Marshall does. Article III and the eleventh amendment address only the judicial power of the United States. Any implicit restrictions which they contain, therefore, can apply only to that power,
\textsuperscript{66} \textit{Id.} See also Douglas v. New Haven R.R., 279 U.S. 377, 387-88 (1929).
\textsuperscript{67} Reading article III as affecting, by implication, the common law powers of the states is not without precedent. In \textit{New Hampshire v. Louisiana}, 108 U.S. 76 (1883), the Court held that the article had deprived the states of at least one previously existing right of a sovereign: to sue on behalf of its individual citizens. \textit{New Hampshire} law, in an attempt to circumvent the eleventh amendment, permitted the Attorney General to sue on behalf of the state's citizens to collect debts owed them by other states. The litigation was paid for and controlled by the individual claimants, the state acting as a collecting agent but authorized to bring suit in its own name. When suit was brought against Louisiana, the Court found that it was barred by article III, though not by sovereign immunity. Reasoning that the article originally contemplated a direct remedy for an aggrieved citizen, permitting him to sue another state directly, the Court held that the grant of that remedy "was equivalent to taking away any indirect remedy he might otherwise have claimed, through the intervention of his State, upon any principle of the law of nations." \textit{Id.} at 91. Even though the eleventh amendment deprived the individual of his special remedy, it did not re-vest the traditional one; the "controversy" created by state law was not, therefore, one within the scope of article III. \textit{See note 36 supra.}
Although Justice Marshall's theory entails an implicit verification of a traditional right rather than an implicit deprivation of one, the same reasoning which supported the \textit{New Hampshire} result would support his theory.
\textsuperscript{68} Justice Stewart, who joined Justice Marshall's concurrence in \textit{Employees}, is the obvious choice. \textit{See note 55 supra.}
leaving untouched the authority of a state court to entertain a claim against another state. However, if, as the *Hall* dissenters argued, state immunity is an unarticulated but binding assumption drawn from the Constitution as a whole, the distinction between suits in federal and state courts is not justifiable. While it is likely that a majority of the Court would hold immunity to be a constitutional right in the federal system, it is also likely that they would not agree on the means of reaching that result.
III. FULL FAITH AND CREDIT
As Nevada, sued in the California courts against its will, could thus not assert sovereign immunity as an implicit constitutional right, it was necessary for the Court to find some specific constitutional clause which compelled recognition of the doctrine. The full faith and credit clause\(^{69}\) was, therefore, claimed to require California to utilize Nevada law.\(^{70}\) That law did permit the state to be made a defendant on certain causes of action, including the one brought by Hall, but only in the state courts of Nevada and only for damages not in excess of $25,000. The California court found the Nevada waiver irrelevant in light of its own policy, interests and statutes\(^{71}\) and the Supreme Court agreed. Citing prior decisions\(^{72}\) for the proposition that "the Full Faith and Credit Clause does not require a State to apply another State's law in violation of its own legitimate public policy,"\(^{73}\) the Court found that California had a legitimate interest in providing its residents with a forum and refused constitutionally to limit California's choice of applicable law.\(^{74}\)
---
69. See note 21 supra.
70. See note 8 supra.
71. *Hall v. University of Nev.*, 8 Cal. 3d 522, 526, 503 P.2d 1363, 1366, 105 Cal. Rptr. 355, 358 (1972).
72. *Pacific Employers Ins. Co. v. Industrial Accident Comm'n*, 306 U.S. 493 (1939); *Alaska Packers Ass'n v. Commission*, 294 U.S. 532 (1935); *Bonaparte v. Tax Court*, 104 U.S. 592 (1881).
73. *Nevada v. Hall*, 440 U.S. at 422.
74. Recently, one commentator has argued forcefully that due process as well as the full faith and credit clause limits the choice of law options of a state. *Kirgis, The Roles of Due Process and Full Faith and Credit in Choice of Law*, 62 CORNELL L. REV. 94 (1976). Beginning with the idea that due process expresses concern not only with fundamental fairness but also with territorial limitations on the state, see *Hanson v. Denckla*, 357 U.S. 235, 251 (1958), Kirgis maintains that both elements of the concept restrain the forum's choice of law. Thus, "[i]f the rule the state seeks to impose applies to an event within the state's territory, or to a person who has some relatively stable relationship with the state (such as residence, domicile, or place of business), an observable link exists to justify the exercise of power" by the forum necessary to the use of its own laws. *Kirgis, supra*, at 97. Such use then accords with due process unless it would be "manifestly unfair to the party resisting
A. The Constitution
The validity of the Court's holding depends in part upon how it." *Id.* at 103. Activity in the forum related to the cause of action precludes that unfairness; absent such activity, the unfairness results if either (1) no benefit is derived, (2) no benefit was expected to be derived and the defendant's contact with the state was not foreseeable, or (3) the severity of the forum law is out of proportion to an expected benefit actually derived. *Id.* at 103-04. Governmental interests of the forum are irrelevant here; the key is a nexus between the state and the party resisting its law sufficient to make application of that law fair.
The logic of the restriction thus imposed on a state's choice of law is remarkably parallel to that restricting its exercise of personal jurisdiction over a nonresident defendant. In *Hanson*, as a result of the territorial limitation which the Court found inherent in due process, the Court also held that, in order to satisfy the clause, jurisdiction had to be based on "some act by which the defendant purposefully avails itself of the privilege of conducting activities within the forum State, thus invoking the benefits and protections of its laws." 357 U.S. at 253. The test is easy enough to apply to a defendant who actually comes into the state and acts there, either in person or through an agent, in such a manner as to give rise to the claim brought against him. Many states have codified the jurisdictional results of such activity in their "long-arm" statutes. *See, e.g.*, N.Y. [Civ. Prac.] Law § 302(a) (1972). However, even as to a nonresident who never enters the state, jurisdiction may be taken if he, in effect, complies with Kirgis' above analysis. For example, a product which causes injury in the forum, although not manufactured there or sold directly by the defendant to anyone in the state, may expose the manufacturer to jurisdiction if he obtained benefits indirectly from the state and the presence of the product in the state was foreseeable. *See* Buckeye Boiler Co. v. Superior Court, 71 Cal. 2d 893, 458 P.2d 57, 80 Cal. Rptr. 113 (1969); Gray v. American Radiator & Standard Sanitary Corp., 22 Ill. 2d 432, 176 N.E.2d 761 (1961). Of course, "stable relationships" with the state have long been sufficient to satisfy jurisdictional requirements.
The Court in *Hall* made no mention of due process, and, on the facts, had no need to do so. *See* note 17 & accompanying text *supra*. All parties agreed that the employee-driver had been acting in the scope of his employment and, therefore, as an agent of Nevada when the accident occurred. Absent the unique status of the defendant, there would have been no jurisdictional dispute, and due process could have placed no restriction on California's choice of law. If an attempt is made to exert that jurisdiction over another state in a different context, however, due process might well become relevant. Assume that activity in State *X* by State *X* causes damage to privately-owned property in State *Y*. State *Y* cannot maintain suit on behalf of its citizens to redress their individual injuries, *see* note 36 *supra*, but after *Hall*, it is possible that the citizens themselves could sue in State *Y*. But once a determination is made that jurisdiction over the defendant comports with due process, it is inevitable that the law of State *Y* will apply. The utility of due process as a constraint on choice of law is most apparent when, as in *Home Ins. Co. v. Dick*, 281 U.S. 397 (1930), jurisdiction over the defendant is quasi-in-rem, based upon the presence of its property in the forum rather than on any contacts between the defendant and the forum related to the cause of action. However, subsequent to *Shaffer v. Heitner*, 433 U.S. 186 (1977), such jurisdiction no longer meets the requirements of due process. All jurisdiction must be based upon contacts (or, presumably, stable relationships), and so Kirgis'
the Nevada statute is interpreted. To the extent that it provides for and limits the personal jurisdiction which the state courts may exercise, it is irrelevant to a defendant sued in another state. So long as jurisdiction comports with due process, it may be exercised in the discretion of the forum state.\textsuperscript{75} To the extent that the statute attempts to confine causes of action there created to a single court, the general efficacy of such an attempt has previously been denied by the Court:
The courts of the sister State trying the case would be bound to give full faith and credit to all those substantial provisions of the statute which inhered in the cause of action or which name conditions on which the right to sue depend. But venue is no part of the right; and a State cannot create a transitory cause of action and at the same time destroy the right to sue on that transitory cause of action in any court having jurisdiction. That jurisdiction is to be determined by the law of the court's creation and cannot be defeated by the extraterritorial operation of a statute of another State, even though it created the right of action.\textsuperscript{76}
However, when waiver of immunity is necessary to the creation of a cause of action, precisely such confinement has been upheld. A waiver with respect to claims brought against a state in its own courts does not necessarily encompass, and may properly exclude, jurisdiction over the same claims in federal court.\textsuperscript{77} Of course, to the extent immunity from suit in the federal system is a constitutional right,\textsuperscript{78} a denial of consent by the defendant prevents the claim from becoming constitutionally justiciable. A state is free in that context to deny consent for whatever reason it chooses; similar freedom may not necessarily be granted to the states on the \textit{Hall} facts. Nonetheless, the fact that such limitations are treated differently when they arise in a statute waiving immunity indicates
\textsuperscript{75} See note 74 \textit{supra}.
\textsuperscript{76} Tennessee Coal Co. v. George, 233 U.S. 354, 360 (1914). \textit{See also} Atchison, T. & S.F. Ry. v. Sowers, 213 U.S. 55, 71 (1909) (Holmes, J., dissenting; McKenna, J., concurring in dissent)(arguing that any conditions placed by the creating state on a cause of action, made absolute and precedent to recovery, must be complied with before a right to that recovery exists). \textit{Cf.} Galveston, H. & S.A. Ry. v. Wallace, 223 U.S. 481, 490 (1912) (“[w]here the statute creating the right provides an exclusive remedy, to be enforced in a particular way, \textit{or before a special tribunal}, the aggrieved party will be left to the remedy given by the statute which created the right.” (emphasis added)). Since the \textit{Galveston} holding caused the Court no qualms in \textit{George} and postdated \textit{Sowers}, perhaps the Court meant its language to address claims confided to tribunals other than courts of general jurisdiction.
\textsuperscript{77} \textit{See} Great N. Ins. Co. v. Read, 322 U.S. 47 (1944) (expressly distinguishing cases such as those discussed in note 72 \textit{supra}); Smith v. Reeves, 178 U.S. 436 (1900) (same).
\textsuperscript{78} \textit{See} notes 61-65 & accompanying text \textit{supra}.
that reliance ought not to be placed automatically upon case law generated by claims arising between individuals.
In any event, the Nevada statute, as it was attempted to be used in *Hall*, is best characterized not as imposing jurisdictional restrictions, but as providing two defenses to the plaintiffs' claim: sovereign immunity would continue to preclude any suit not within the literal terms of the statute, and a verdict on the claim could in no event exceed $25,000. The policies of California and Nevada were clearly opposed with respect to the second defense. Nevada restricted recoveries against it, California did not.\footnote{79}{440 U.S. at 424.} It is not surprising that the Court found no impediment to the use of California's policy. Assuming that an action could be maintained in California at all, there would be no basis to hold that a foreign state's limitation on such actions in that state governs California's own definition of its cause of action.\footnote{80}{The situation is somewhat analogous to that presented in three cases involving fraternal benefit societies. *Order of Travelers v. Wolfe*, 331 U.S. 586 (1947); *Modern Woodmen v. Mixer*, 267 U.S. 544 (1925); *Royal Arcanum v. Green*, 237 U.S. 531 (1915). In each, forum beneficiaries claimed against the company, relying on an aspect of forum law; each was met by a defense based on contradictory rules of the foreign society permitted under its incorporating laws; each was resolved in favor of the society. Thus, limitations on the claim could not be changed by reference to a separate body of law. *See Martin, Constitutional Limitations on Choice of Law*, 61 CORNELL L. REV. 185, 186-230 (1976). *See also Aetna Life Ins. Co. v. Dunken*, 266 U.S. 389 (1924). *But see Home Ins. Co. v. Dick*, 281 U.S. 397 (1930). Of course, in all these cases only one state could provide the cause of action.}
Even when the plaintiff's claim is based upon the foreign law which contains the limitation, at least one state refuses to recognize that limit in its damage awards.\footnote{81}{Rosenthal v. Warren, 475 F.2d 438 (2d Cir. 1973); Pearson v. Northeast Airlines, Inc., 309 F.2d 553 (2d Cir. 1962); Davenport v. Webb, 11 N.Y.2d 392, 183 N.E.2d 902 (1962); Kilberg v. Northeast Airlines, Inc., 9 N.Y.2d 34, 172 N.E.2d}
Whether the action could be maintained in California or rather whether the Nevada statute created an exclusive cause of action, is the more basic and more confusing issue. Prior decisions of the Court in the area of workmen's compensation have made it clear that more than one state may have connections with a single transaction sufficient to permit them to apply their own law. If an employment contract, for example, is entered into in State $X$ and a related injury occurs in State $Y$, the employee may claim against his employer in either state under the law of the forum.\footnote{526 (1961). All four suits involved the death in Massachusetts of a New York citizen and a subsequent claim in New York courts under the Massachusetts wrongful death act. Massachusetts limited recovery pursuant to its wrongful death act; New York law contained no such limitation on claims it created. The strength of New York's policy overrode the limit, aided in \textit{Kilberg} by a definition of the limit as "procedural," and in \textit{Pearson} by the rationale that, since New York could have itself created a cause of action for the plaintiff, it could judicially borrow as much or as little of Massachusetts law as it chose. See \textit{Martin}, supra note 76, at 223-27. Compare \textit{Slater v. Mexican Nat'l R.R.}, 194 U.S. 120 (1904) (disallowing a lump sum award for wrongful death on claim brought in Texas pursuant to Mexican statute creating a civil remedy but confining it to damages in the nature of alimony, which the Texas court could not give at common law) \textit{with Stewart v. Baltimore & O. R.R.}, 168 U.S. 445, 448 (1897).}
Thus, setting aside the issue of sovereign immunity, the fact of injury in California to California residents by activity in that state would certainly be sufficient to permit the application of California law in California.\footnote{See Carroll v. Lanza, 349 U.S. 408 (1955); Cardillo v. Liberty Mut. Co., 330 U.S. 469 (1947); Pacific Employers Ins. Co. v. Commission, 306 U.S. 493 (1939) (state where injury occurred may apply its law); Alaska Packers Ass'n v. Commission, 294 U.S. 532 (1935) (same). Compare \textit{id.} \textit{with Bradford Elec. Co. v. Clapper}, 286 U.S. 145 (1932).}
Indeed, putting aside the question of immunity, it could be argued that if the plaintiff sued in Nevada, Nevada would have been compelled to refer to California law. Nevada's only contact with the claim is the citizenship of the defendant; California's strong interest in the protection of its citizens remains the same.\footnote{See also Watson v. Employers Liab. Corp., 348 U.S. 66 (1954).}
Sovereign immunity, however, does distinguish the preceding hypothetical from other full faith and credit cases. California's interest is admittedly unchanged by the nature of the defendant, but Nevada's is \textit{not}. The interest of Nevada is not in the substantive law of negligence to be applied to determine liability; it is in the availability of a defense based upon its sovereign status. It is diffi-
\footnote{On the other hand, the Court is demonstrably reluctant to forbid reference to forum law, and Nevada might well claim an interest in protecting its treasury, one which is sufficient to justify use of its own law. \textit{See, e.g.}, Lilienthal v. Kaufman, 239 Or. 1, 395 P.2d 543 (1964) (voiding the contract of an Oregon spendthrift which was validly entered into and to be performed in California).}
cult to conceive of any other state with a comparable interest in Nevada's immunity. If the claim had been brought in Nevada, the state courts surely would have followed the requirements of Nevada law with respect to waiver of immunity, whether or not they applied California's law to determine negligence. According to state law, they would have lacked jurisdiction to do anything else. Since the claim involved was one based on common law, no federal authority would be sufficient to "lift" immunity, and the full faith and credit clause would be inapplicable: no California statute does, or could logically, speak to the immunity of another state in that state's courts. The *Hall* majority, however, reached its conclusion with no reference to the interests of either California or Nevada in Nevada's sovereign immunity.
The extent to which either prior case law or the purpose of the full faith and credit clause compels a consideration of Nevada's interest is unclear. It is not disputed that the clause embodies concepts of mutual respect among sovereigns and some degree of deference to their legitimate interests.\(^{85}\) Although early language of the Court indicated that only by balancing conflicting interests could a determination be made,\(^{86}\) subsequent opinions severely weakened that indication, focusing only on the legitimacy of the forum's interest.\(^{87}\) But it is possible that that legitimacy may itself be affected by the interests of another state. Thus, while rejecting
---
\(^{85}\). See Martin, *supra* note 80, at 186; Kirgis, *supra* note 74, at 110-11.
\(^{86}\). [T]he conflict is to be resolved, not by giving automatic effect to the full faith and credit clause, compelling the courts of each state to subordinate its own statutes to those of the other, but by appraising the governmental interests of each jurisdiction, and turning the scale of decision according to their weight.
Alaska Packers Ass'n v. Commission, 294 U.S. 532, 547 (1935). See also State Farm Ins. Co. v. Duel, 324 U.S. 154 (1945).
\(^{87}\). See, e.g., Pacific Employers Ins. Co. v. Commission, 306 U.S. 493 (1939). Professor Martin has suggested that this focus on the legitimacy of the forum's interest ought to be "confined to cases in which there is a clear critical event within the state whose law is being applied." Martin, *supra* note 80, at 201. Otherwise, there is a need to weigh the strengths and legitimacy of that interest against those of other states. Thus, a forum
may apply its law to a case whenever (a) the party resisting application of that law has acted in the state or derived relatively direct benefits from the forum, or (b) there is some weaker connection between the defendant and the forum, and the forum's interests are relatively strong compared to the interests of other states that would be dis-served by the application of forum law.
*Id.* at 211. However, even using this approach it would not be necessary to consider Nevada's interest on the *Hall* facts; the defendant had acted in California through an agent and therefore only that state's interests need by considered. It would be permissible to refer to Nevada's interests if injury in California had been caused indirectly by activity in Nevada.
any balancing of interests, one commentator has suggested other limitations on a forum's use of its own law\textsuperscript{88} and has justified both the existence of the proposed limitations and their relatively narrow scope as follows:
Unless a forum state directly challenges the requirements of federalism . . . , one must clearly identify the other state or states having an interest and determine the extent of the insult they would suffer from having their law ignored. The problem is more difficult than with full faith and credit to judgments, where the focus on, and sensitivity of, the rendering state is clear. Something must take the place of the judgment to provide the necessary focus on the law of a particular state, unless the case involves a significant question of nationwide harmony. Moreover, unless a failure to defer to a given state's law would represent a clear slap in the face to that state or to the federal system itself, the full faith and credit clause and the Supreme Court simply cannot assume the day-to-day task of sorting out the provincialism still at large.\textsuperscript{89}
If sovereign immunity of one state in the courts of another is not a "requirement of federalism" because it is not constitutionally compelled, it does at least involve a "significant question of nationwide harmony." Furthermore, the "focus on and sensitivity of" Nevada in these circumstances is certainly as great as with respect to a Nevada judgment, and to force an unconsenting sovereign to ac-
\textsuperscript{88.} (A) The forum state cannot devise a policy or rule for a particular case or discrete class of cases that defeats a claim for relief or a defense created by the law . . . of another state whose law the forum would apply under its normal choice-of-law approach. Thus:
(1) It cannot refuse to provide a forum for adjudication of a transitory dispute arising out of an occurrence or relationship in another state, solely because it arose in another state or solely as a subterfuge for some disguised policy applicable to the merits of the dispute. It may, however, refuse to provide a forum if its refusal would effectuate a genuine policy for the orderly administration of justice or a genuine moral standard it considers fundamental—provided that its policy or standard is not so aberrational as to be thoroughly out of line with prevailing norms among virtually all other states.
(2) The forum state cannot defeat an otherwise enforceable claim or applicable defense based on another state's law by blatantly manipulating its professed choice-of-law method to apply its own law.
(B) The forum cannot choose its own law on a particular issue when, on the specific facts:
(1) Another state has an interest in applying its law that is overwhelming by comparison with the interest of the forum; or
(2) There is an overwhelming reason to decide all similar claims according to one legal system, and one state other than the forum clearly would be the bellwether.
(C) The forum cannot apply a statute of another state in a way that seriously distorts a nondivisible statutory scheme formulated by that state's legislature, unless the forum can justify its action by simply applying its own law to reach the same result.
Kirgis, \textit{supra} note 74, at 119-20. Either (B)(1) or (2) would arguably sustain application of Nevada's law of immunity.
\textsuperscript{89.} \textit{Id.} at 111 (footnotes omitted).
cept foreign jurisdiction is equally as certain a "slap in the face." The effect of applying the forum law, therefore, brings into question the legitimacy of the forum's interest, which is necessary to justify its application.
Absent some references to the interest of the state whose law is being rejected, either by a balancing of those interests and the forum's or by considering them as affecting the legitimacy of the forum's interests, analysis under the full faith and credit clause becomes hardly distinguishable from a jurisdictional analysis.\textsuperscript{90} Although activity in the state is used to demonstrate the state's interest in the resulting litigation, rather than the contacts between the state and the defendant, the same activity justifies both choice of law and jurisdiction over nonresident, nonconsenting defendants. While such a result may be justifiable in other contexts, it begs the question presented by a defense of sovereign immunity. The issues thus raised cannot be resolved either by reference to the interests of another state or by considering the defendant as though it were an individual. The entire point of the defense is that the state is not an individual but a sovereign and, as such, may command special treatment. In light of the Court's past pronouncements under the full faith and credit clause, that clause clearly does not provide an ideal vehicle for the resolution of this issue. But, in the absence of an implicit constitutional recognition of the doctrine, it was the only vehicle available. Unfortunately, the Court failed to consider to what extent its usual analysis might need to be altered to accommodate the unique facts presented.
B. Statutory Law
The Constitution does not provide the only command to the states that full faith and credit be given to the statutes of other states. Congressional legislation also requires full faith and credit.\textsuperscript{91} Originally, Congress required only that such recognition be given to foreign judgments;\textsuperscript{92} the reason the statute was amended is as unclear as the original reason for the limitation.\textsuperscript{93} The Court has not seemed perturbed by either version of the statute. It compelled one state to utilize the substantive law of another when the statute related only to judgments;\textsuperscript{94} nowhere in \textit{Hall} does it indicate that the statute as amended affects the valid-
\textsuperscript{90} See note 70 supra.
\textsuperscript{91} 28 U.S.C. § 1738 (1976).
\textsuperscript{92} Act of May 26, 1790, ch. XI, 1 Stat. 122 (1790).
\textsuperscript{93} See Nadelmann, \textit{Full Faith and Credit to Judgments and Public Acts}, 56 Mich. L. Rev. 33 (1957); Reese, \textit{Full Faith and Credit to Statutes: The Defense of Public Policy}, 19 U. Chi. L. Rev. 339 (1952); Sumner, \textit{The Full-Faith-and-Credit Clause—Its History and Purpose}, 34 Ore. L. Rev. 224 (1955).
\textsuperscript{94} Bradford Elec. Co. v. Clapper, 286 U.S. 145 (1932).
ity of holdings prior to its passage. Apparently, if Congress wishes to demand full faith and credit for state legislation greater than that which the Court believes to be constitutionally compelled, it must do so specifically. While creating an entire body of conflicts rules presents obvious problems for both Congress and the courts,\textsuperscript{95} drafting legislation which compels recognition of a state's own sovereign immunity statutes would be relatively easy. It may also be the only practical way to avoid the problems discussed below, until the states themselves decide to waive their immunity in all courts.\textsuperscript{96}
IV. IMPLICATIONS AND CONCLUSION
As already indicated, the Court's reasoning in \textit{Hall v. Nevada} permits a suit against one state, brought in another state, to be treated more or less as is a suit against any other nonresident defendant. It is possible that the nature of the defending state's activity which gives rise to the cause of action will limit permissible suits, but it is not necessary.\textsuperscript{97} Similarly, it is possible that contacts between the defending state and the forum state that are suf-
\textsuperscript{95}. See Reese, \textit{supra} note 93, at 339-41.
\textsuperscript{96}. Of course, it might also be thought to imply that \textit{only} in the designated area need such recognition be given. However, the constitutional provision is arguably self-executing to the extent it confines the states, \textit{see} note 90 & accompanying text \textit{supra}; specific legislation would therefore only limit, not expand, a state's ability to choose its own law. But such a result was considered by Justice Stone:
The mandatory force of the full faith and credit clause as defined by this Court may be, in some degree not yet fully defined, expanded or contracted by Congress. Much of the confusion and procedural deficiencies which the constitutional provision alone has not avoided may be remedied by legislation. The Constitutional provision giving Congress power to prescribe the effect to be given to acts, records and proceedings would have been quite unnecessary had it not been intended that Congress should have a latitude broader than that given the courts by the full faith and credit clause alone. It was remarked on the floor of the Constitutional Convention that without the extension of power in the legislature, the provision 'would amount to nothing more than what now takes place among all Independent Nations.' Hunt and Scott, Madison's Reports of the Debates in the Federal Convention of 1787, p. 503. The play which has been afforded for the recognition of local public policy in cases where there is called in question only a statute of another state, as to the effect of which Congress has not been legislated, compared with the more restricted scope for local policy where there is a judicial proceeding, as to which Congress has legislated, suggests the Congressional power.
Yarborough v. Yarborough, 290 U.S. 202, 215 n.2 (1933) (Stone, J., dissenting) (citations omitted). The legislation which Congress eventually passed did not have the effect he predicted, but it was generally drawn and since its wording nearly parallels that of the Constitution, may properly have been thought to add nothing to the clause.
\textsuperscript{97}. \textit{See} note 10 & accompanying text \textit{supra}.
ficient to obtain jurisdiction in other contexts may not be sufficient to justify the use of forum law. This may make available the defense of sovereign immunity but it is not necessary.\textsuperscript{98} If states are to become frequent defendants in foreign courts, two issues not addressed by the \textit{Hall} majority should be considered: is another forum or body of law available if the forum is biased, or if fear of such bias is likely to cause discontent; and if judgment is entered against a state which is not paid, and if the state has no property in the forum, how, if at all, can that judgment be enforced.
Generally, a defendant sued in a state court on a claim originally cognizable in the federal system may remove the suit to a federal court.\textsuperscript{99} Federal subject matter jurisdiction extends to suits brought against a state by citizens of a different state,\textsuperscript{100} if the state consents to such jurisdiction.\textsuperscript{101} A defending state, fearful of bias against it in the forum, therefore has the choice of locating the dispute in a national tribunal. However, such removal will not change the substantive law applicable to that dispute. It has been suggested that since the tension between the two states (the forum and the defendant) is inevitably greater here than in the ordinary conflict of laws situation, and in fact more closely resembles the tension inherent in suits between states, federal common law rather than the law of the forum ought to govern the outcome.\textsuperscript{102} The Supreme Court has held that, in disputes between states, it sits as “an international, as well as a domestic tribunal” and so applies “Federal law, state law, and international law, as the exigencies of the particular case may demand.”\textsuperscript{103} But it is doubtful that the Court has not felt compelled to follow state law in such cases because of the nature of the parties before it. While the language of article III apparently grants subject matter jurisdiction here by reference to the status of the parties, the Court is also concerned with the nature of the dispute. Only when states are involved in a controversy in their quasi-sovereign capacity will the Court find a “controversy” within the meaning of article III which is capable of decision.\textsuperscript{104} Thus it is not the tension between the states but the lack of any single state body of law rationally capa-
\begin{itemize}
\item \textsuperscript{98} See notes 87-89 & accompanying text supra.
\item \textsuperscript{99} 28 U.S.C. § 1441 (1976).
\item \textsuperscript{100} U.S. Const. art. III, § 2.
\item \textsuperscript{101} See note 25 & accompanying text supra.
\item \textsuperscript{102} Martiniak, \textit{supra} note 10, at 166. Even if the states were to utilize federal common law, lack of uniformity or clear standards would result in a continuing fear of bias, so removal to the federal system would still be desirable from the defendant’s point of view. \textit{Id.}
\item \textsuperscript{103} Kansas v. Colorado, 185 U.S. 125, 146-47 (1902). See also Parden v. Terminal Ry., 377 U.S. 184, 196 (1964); Petty v. Tennessee-Missouri Bridge Comm’n, 359 U.S. 275, 278-79 (1959) (indicating that whether state action constitutes a waiver of immunity is also a federal law question).
\item \textsuperscript{104} See note 36 & accompanying text supra.
\end{itemize}
ble of determining the outcome which justifies the use of federal common law. This is consistent with the Court's holding in *Erie R.R. v. Tompkins*, article III jurisdiction based upon diversity of citizenship between the parties does not constitute a concomitant grant of authority to the federal system to determine substantive rules of decision for those controversies. Unless the dispute arises under federal law or involves concerns unique to the federal system, article III cannot be read to permit creation of applicable law. In a case such as *Hall*, the plaintiffs' cause of action is based upon state, not federal, law; the fact that the defendant is a state and, therefore, capable of removing the suit to the federal system cannot change that.
The enforcement of a judgment rendered by one state in the courts of another is a function of the full faith and credit clause
105. 304 U.S. 64 (1938).
106. *See, e.g.*, Banco Nacional de Cuba v. Sabbatino, 376 U.S. 398 (1964) (foreign affairs); Bank of America Nat. Trust & Sav. Ass'n v. Parnell, 352 U.S. 29 (1956) (federal paper); Clearfield Trust Co. v. United States, 318 U.S. 363 (1943) (same).
107. There is no reason why the federal courts also cannot be requested to enforce a state judgment provided that ordinary jurisdictional requirements are met. Personal jurisdiction must be obtained over the defendant, and Fed. R. Civ. P. 4(e) generally compels a finding of such jurisdiction in the state in which the federal court sits. Jurisdiction should not be assumed because there is jurisdiction at the time of the original suit, but it is unclear what additional contacts are required. For example, in *Threlkeld v. Tucker*, 496 F.2d 1101 (9th Cir. 1974), a state counterclaim for malicious prosecution resulted in a verdict; enforcement was allowed in a district court sitting in the state which rendered the verdict although the counterclaim defendant had no contacts with the state subsequent to the filing of the counterclaim against him. However, the claim was for an intentional, rather than a negligent, tort; the original contacts were continuous and systematic rather than single and isolated; and the judgment was not "stale." While the last factor is one within the control of the prevailing party, the first two are not. Nor are they frequently present. If together they must be shown (in the absence of new contacts), personal jurisdiction will rarely be found in an enforcement action against a nonresident defendant.
In addition, the federal court must have jurisdiction over the subject matter of the action. In *Threlkeld*, such jurisdiction was based upon diversity of citizenship. But unless the state consents, no such jurisdiction would exist on facts similar to *Hall*; it would be barred by the eleventh amendment. *See* notes 62-65 & accompanying text infra. If the original claim had been properly heard in the federal courts, the federal court would have ancillary jurisdiction to enforce the judgment. *Virginia v. West Virginia*, 246 U.S. 565 (1918).
It should be noted that while suits against states in the federal system are enforceable in the federal system, suits against states in state courts, absent consent of the state, are not enforceable. *See, e.g.*, Railroad Co. v. Tennessee, 101 U.S. 337 (1879) (A state was permitted to repeal waiver of its immunity which was based on a debt that accrued while the waiver was in force: there was no impairment of contract because no "remedy" had been revoked; the original right to sue did not encompass a right to enforce the judgment). The distinction between waiver of immunity from liability and waiver of immunity from execution is one which is also recognized in the context of suits
of the Constitution and legislation passed pursuant to it.\textsuperscript{108} Although the Court has been willing to accept numerous evasions of the commands embodied therein when one state is asked to utilize the law of another to determine a dispute, it has consistently upheld the language of the clause when a judgment is brought to another state for enforcement. The clause does not require that a state treat the judgment of another state as though it were rendered in the forum.\textsuperscript{109} It does require, however, that when such a judgment is attempted to be made a judgment of the forum, it must be given the “same credit, validity, and effect . . . which it had in the state where it was pronounced, and that whatever pleas would be good to a suit thereon in such state, and none others, could be pleaded in any other court in the United States.”\textsuperscript{110} Lack of either personal jurisdiction over the defendant or subject matter jurisdiction over the dispute in the rendering court will preclude enforcement; in the one instance, due process compels the limitation,\textsuperscript{111} and in the other, the judgment is void.\textsuperscript{112} Of course, the judgment only affects that which it decides\textsuperscript{113} and must be considered final and conclusive by the rendering court.\textsuperscript{114} However, defenses to the enforcement of a foreign judgment which are based on the underlying civil\textsuperscript{115} cause of action inevitably fail. Thus, a judgment of State $Y$, based upon a contract in State $X$ between residents of
\begin{itemize}
\item against the United States or against foreign nations. See generally Stewart, The Enforcement of Judgments Against the United States, 12 CREIGHTON L. REV. 815 (1979). With respect to suits in state court, one exception may exist; if a state can be forced to permit a federal claim to be heard against it in its own courts, it may also be forced to permit enforcement of any resulting judgment. See note 66 & accompanying text supra.
\end{itemize}
\textsuperscript{108} See note 21 supra.
\textsuperscript{109} Gasquet v. Fenner, 247 U.S. 16 (1918); M'Elmoyle v. Cohen, 38 U.S. (13 Pet.) 312 (1839).
\textsuperscript{110} Hampton v. M'Connel, 16 U.S. (3 Wheat.) 234, 235 (1818).
\textsuperscript{111} Williams v. North Carolina, 317 U.S. 287 (1942); Haddock v. Haddock, 201 U.S. 562 (1906) (reversed on other grounds by Williams); National Exch. Bank v. Wiley, 195 U.S. 257 (1904); Pennoyer v. Neff, 95 U.S. 714 (1877).
\textsuperscript{112} Hodd v. McGehee, 237 U.S. 611 (1915); Olmsted v. Olmsted, 216 U.S. 386 (1910); Fall v. Eastin, 215 U.S. 1 (1909); Clarke v. Clarke, 178 U.S. 186 (1900).
\textsuperscript{113} For example, a judgment permitting a fraternal benefit society to raise its assessments on members binds all members but does not preclude them from raising defenses personal to themselves in suits to collect such assessments. Royal Arcanum v. Green, 237 U.S. 531 (1915). Similarly, a judgment assessing stockholders of insolvent corporations does not prevent recourse to personal defenses, although it does foreclose attack on the validity of the assessment. Chandler v. Peketz, 297 U.S. 609 (1936); Marin v. Augedahl, 247 U.S. 142 (1918); Converse v. Hamilton, 224 U.S. 243 (1912); Hancock Nat'l Bank v. Farnum, 176 U.S. 640 (1900). See also Pink v. A.A.A. Highway Express, Inc., 314 U.S. 201 (1941); Clark v. Williard, 292 U.S. 112 (1934).
\textsuperscript{114} Compare Magnolia Petroleum Co. v. Hunt, 320 U.S. 430 (1943) with Industrial Comm'n v. McCartin, 330 U.S. 622 (1947).
\textsuperscript{115} Judgments based on foreign penal laws are not enforceable elsewhere (Huntington v. Attrill, 146 U.S. 657 (1892); Wisconsin v. Pelican Ins. Co., 127 U.S. 265
that state, and illegal in State $X$ must be enforced in State $X$. An allegation that the judgment was procured by fraud will not affect its enforceability unless it was fraudulently procured according to the law of the state rendering judgment and unless that state would permit collateral attack of the judgment on the ground of fraud. Even though the state rendering the original judgment would no longer allow its enforcement, if a second state has rendered judgment enforcing the first judgment, that judgment itself must be given full faith and credit in the rendering state.
The court requested to enforce a foreign judgment must of course have jurisdiction to enforce it and, as a general proposition, control of state court jurisdiction is for the state. Thus, in the Hall situation, should Nevada be requested to enforce in its own courts the California judgment against it, Nevada's inevitable response will be that its courts lack subject matter jurisdiction over such a claim, not because the judgment is foreign to the forum but because no act of the state constitutes a waiver of immunity in actions to enforce or execute a judgment rather than merely to determine liability. The success of the response will depend upon the Court's willingness to accept the jurisdictional limitation.
(1888)), while judgments based on tax liabilities are (Milwaukee County v. M.E. White Co., 296 U.S. 268 (1935)).
116. Fauntleroy v. Lum, 210 U.S. 230 (1908). It makes no difference that the rendering state apparently entered the judgment based upon its misconception of the law of the enforcing state, which it applied. See also American Express Co. v. Mullins, 212 U.S. 311 (1909). State $X$ would not be compelled to hear an original claim based on such contract entered into elsewhere and legal there. Loughran v. Loughran, 292 U.S. 216 (1934). Cf. Bond v. Hume, 243 U.S. 15 (1917) (federal court sitting in Texas could enforce a contract entered into and valid in New York, as enforcement of that contract did not violate the public policy of Texas).
117. Titus v. Wallick, 306 U.S. 282 (1939).
118. Roche v. McDonald, 275 U.S. 449 (1928). Neither can an enforcing state refuse to recognize a judgment based on a cause of action which arose there in reliance on the fact that its statute of limitations had run on the cause when the original suit was filed. Christmas v. Russell, 72 U.S. (5 Wall.) 290 (1866). But see note 80 supra. Of course, a state can place a limit on the time within which a judgment must be enforced; an early case permitted such a limit to differ depending on whether the judgment was that of the forum or of a foreign state. M'Elmoyle v. Cohen, 38 U.S. (13 Pet.) 312 (1839). But some time must be given.
119. Missouri v. Lewis, 101 U.S. 22 (1879), indicated that such control may not encroach upon the proper jurisdiction of the United States, . . . abridge the privileges and immunities of citizens of the United States, . . . deprive any person of his rights without due process of law, [or] deny to any person the equal protection of the laws, including the equal right to resort to the appropriate courts for redress. 101 U.S. at 30. In addition to the provisions mentioned, a denial of jurisdiction which places an unconstitutional burden on interstate commerce is also invalid. International Textbook Co. v. Pigg, 217 U.S. 91 (1910).
120. See note 107 supra.
are intimations that a removal of jurisdiction may preclude enforcement of a judgment, at least in some circumstances,\textsuperscript{121} but the Court has been extraordinarily reluctant to define or find those circumstances.\textsuperscript{122} The nature of the underlying judgment cannot be used here to deny jurisdiction of an action to enforce it,\textsuperscript{123} nor can jurisdictional statutes, even with respect to an original claim based on foreign law, be used to mask invalid public policy\textsuperscript{124} or to discriminate against claims based on foreign law.\textsuperscript{125} However, if a state refuses to permit its courts to hear any actions to enforce judgments against it, the jurisdictional limitation\textsuperscript{126} thus imposed does not reflect discrimination based upon either the original cause of action or its legal source, nor does it constitute invalid public policy. The state would give precisely the same effect to the foreign judgment as it would to its own. Furthermore, to disallow the limit would lead to an absurd result: foreign judgments, but only foreign judgments, would be cognizable in the state courts, where they, and only they, would be enforceable for an amount greater than anyone could collect in any way from a forum judgment. The full faith and credit clause need not, nor should it, compel such a dichotomy.\textsuperscript{127}
The Court in \textit{Hall} permitted an unconsenting state to be sued in the courts of another state because it focused on the continued implications of international law governing relationships between
\begin{itemize}
\item \textsuperscript{121} Fauntleroy v. Lum, 210 U.S. 230 (1908), in fact rested upon a finding that a state statute precluding enforcement of certain judgments was not jurisdictional; it went not to the power of the court but to its duty, and so only established a rule of substantive law—a rule in conflict with the full faith and credit clause and, therefore, invalid. \textit{See also} Magnolia Petroleum Co. v. Hunt, 320 U.S. 430, 440 (1943).
\item \textsuperscript{122} Thus far, only facts justifying dismissal under the common law doctrine of forum non conveniens have been held sufficient to sustain a statute denying enforcement jurisdiction. Anglo Am. Prov. Co. v. Davis Prov. Co. No. 1, 191 U.S. 373 (1903) (statute precluded suit by one foreign corporation against another unless the cause of action arose in the forum).
\item \textsuperscript{123} Kenney v. Supreme Lodge, 252 U.S. 411 (1920).
\item \textsuperscript{124} Broderick v. Rosner, 294 U.S. 629 (1935).
\item \textsuperscript{125} First Nat'l Bank v. United Air Lines, 342 U.S. 396 (1952); Hughes v. Fetter, 341 U.S. 609 (1951) (if state accepts jurisdiction over claims for wrongful death in state, it cannot deny jurisdiction over claims arising outside the state and based on foreign wrongful death statute). \textit{See} Chambers v. Baltimore & O. R.R., 207 U.S. 142 (1907). \textit{See also} McKnett v. St. Louis & S.R. Ry., 292 U.S. 230 (1934) (if jurisdiction granted when claim brought by foreign corporation based on law of another state, it cannot be denied because the claim is based on federal law).
\item \textsuperscript{126} Traditionally, all limitations placed on waiver of immunity are jurisdictional. \textit{See generally} note 25 \textit{supra}.
\item \textsuperscript{127} While it is possible that congressional legislation could overturn the Court's refusal to compel one state to recognize another's immunity statutes, should the Court find that full faith and credit requires a defending state to enforce a foreign judgment against it, legislation might be of no aid; the result could be constitutionally commanded. \textit{See} notes 95-96 \& accompanying text \textit{supra}.
\end{itemize}
totally independent sovereigns and avoided any consideration of the changed status of the states in a federal system. While recognizing that the full faith and credit clause somehow affected that status, the Court limited its impact in deference to the interests of the forum. Although this approach produced a logical opinion with respect to the specific questions presented, it is questionable in so many other contexts that its application in *Hall* may create more difficulties than it resolves. It certainly creates a number of contradictions. For example, the Constitution is to be read literally to determine the existence of state immunity in the courts of other states; it is to be read in light of the "plan of Convention" to determine the existence of state immunity in the federal courts. The Constitution does not include a guarantee of states' immunity from suit in other state courts; it may include such a guarantee when suit is commenced in the federal courts. The Constitution grants original jurisdiction to the Supreme Court to hear controversies between the states, and by legislation such jurisdiction is exclusive, in an attempt to ease whatever indignity a sovereign suffers by being forced to defend against its will; there is no way in which the same sovereign can prevent itself from being brought before the lower courts of an equal, not superior, sovereign at the behest of individuals. In a conflict between the states, bias is avoided not only by the nature of the forum but by use of a neutral body of law; in a conflict between an individual and a state, only that bias which is a function of the forum can be avoided. Full faith and credit is satisfied when a forum, refusing to utilize the substantive law of another state, can demonstrate contacts which give rise to jurisdiction in other situations; though the contacts justify activity of the forum as though it were an independent nation, they may compel enforcement of a jurisdictionally permissible judgment in another state through invocation of federal authority.
Sovereign immunity is an unpopular doctrine. No plaintiff enjoys being confronted with it, and nearly everyone agrees that it ought to be abolished—except the sovereign claiming it. Its logic is anathema to our theory of government, and, as governments act to a greater degree in a greater number of spheres than before, it becomes a more and more insulting anachronism. However, if it is to be abolished, it ought to be abolished directly, by each sovereign. To destroy it piecemeal is to produce confusing precedent and continuing problems.
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The Small Town in Rural America
Aggressive leadership, absence of controversies, a willingness to work, and a program for development could mean the difference between a stagnant and a thriving small town
GLENN V. FUGUITT
Despite continuing urbanization, the small town is still an important part of the rural settlement fabric. These centers serve perhaps one-fourth of the nation's population living on over one-half of its land area. In 1960, incorporated centers under 2500 in size included about six per cent of the population of the United States. Perhaps more significant, however, is the fact that these make up fully three-fourths of all incorporated centers in the nation. This paper considers recent changes taking place in the small town, especially as they pertain to population size. Social and economic trends in the setting of the small town are related to these changes, and possible courses of action for individual small towns are explored.
For many years writers have predicted the doom of the small town. Yet small towns have persisted up to the present, and in most cases grown. This is particularly true of incorporated places over about 1000 in size. Table 1 shows recent trends for such places considered together. Places 1000 to 2500 in 1950 (all taken together) increased 27 per cent, while places 2500 to 10,000 increased 32 per cent. This compares favorably with the 29 per cent growth of the U.S. urban population over this decade. Places under 1000, however, are together growing at about one-half this rate.
Despite these aggregate increases, many individual small towns are declining, especially smaller ones in remote rural areas. Many others are facing a real challenge as a result of current changes in
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GLENN V. FUGUITT is Associate Professor of Rural Sociology, University of Wisconsin, Madison, Wisconsin. The research of the author presented in this paper was supported in part by Research Grant No. NSF G-S 444 from the Division of Social Services of the National Science Foundation, and by the Research Committee of the Graduate School from special funds raised by the State Legislature.
population and technology. In any event, population growth at a slow rate is no cause for complacency. If growth over a decade is less than natural increase (births minus deaths), then there has been a net migration out of the community. Little research has been done on migration to and from small towns. Work now underway at Wisconsin, however, indicates that of 277 Wisconsin places under 2500 in 1950 which increased between 1950 and 1960, 147 (over one-half) had a net migration loss over the decade.
Table 1. Total population change 1950–1960, for small places classified by size in 1950, United States.
| Size in 1950 | Number of places | Per cent change |
|--------------------|------------------|-----------------|
| Under 1000 | 9714 | 15 |
| 1000–2500 | 3398 | 27 |
| 2500–10,000 | 2642 | 32 |
The Centralization of Activities
To understand the changing status of the small town today, it is necessary to move in for a closer view of its setting. The typical small town in most parts of the country functions as a trade and service center for an agricultural hinterland. The majority of small towns grew up during or shortly after the initial settlement of the open country. Hence their location was strongly influenced by the transportation of an earlier era. Important considerations were location on a railroad and easy access by horse and wagon for farmers being served.
These places are interrelated with larger towns and the open country through trade and service activities. Nearby larger places provide more specialized goods and services and may serve as wholesale centers. This system is sometimes viewed as a hierarchy of places by geographers and sociologists.
Changes in this system of relationships, particularly since about 1920, appear to have inhibited the growth of small places. Trade and service activities have tended to centralize. With improved transportation, rural people have a wider range of choices of places to go for goods and services. At the same time, the demand for goods and services becomes so varied and specialized that their satisfaction is far beyond the scope of an individual small town. So-called “economies of scale” operate to put the small store, creamery, or cheese factory at a competitive disadvantage. The growing complexity of farm machinery means that a store offering complete
sales and services must be a relatively large one, drawing on a wide clientele. Hence, one cannot be located in every small town. Technological changes making for fewer but larger farms, then, seem also to encourage fewer but larger establishments to furnish inputs and to serve as markets for farm products. The operation of the same kinds of constraints, moreover, has led to the centralization of professional services (such as private medical practice) and public institutions, such as high schools and hospitals.
In the economic sphere, evidence of centralization was reported as far back as the twenties with studies showing smaller places losing establishments, especially those selling more specialized goods. Recent studies in the Middle West also support the proposition that the market radius of small towns is declining at the expense of larger towns, and that small towns are more and more becoming centers for convenience goods and services in the same way as the corner neighborhood stores perform this function in big cities.
An apparent effect of this centralization trend is shown by all studies of small towns. No matter where they were done, such studies have shown larger places to be more likely to grow, and to grow at a faster rate, than smaller places. This was evident in Table 1 for places under 10,000 between 1950 and 1960. The situation for smaller places in Wisconsin over the 1950-60 decade is given in Table 2. While only one place in five, 1000-2499 in 1950, was losing, almost half of the places under 500 population were losing. These findings are typical of the situation in other parts of the country. From a dynamic point of view, they bring to mind the old saying "growth attracts growth." A town may well obtain new economic or public service activities as it develops more retail estab-
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1 For a general discussion of many of these trends see Harlan W. Gilmore, *Transportation and the Growth of Cities* (Glencoe, Illinois: The Free Press, 1958); and John H. Kolb, *Emerging Rural Communities* (Madison: The University of Wisconsin Press, 1959). The economic side is discussed in Philip M. Haag, "Economic Aspects of Population Decline in Rural Communities," *Labor Mobility and Population in Agriculture* (Ames: Iowa State University Press, 1960), pp. 95-106.
2 For example see C. R. Hoffer, *Changes in Retail and Service Facilities of Rural Trade Centers in Michigan 1900 and 1930*, Michigan Agricultural Experiment Station Special Bulletin 279 (East Lansing: Michigan State University, 1957).
3 John R. Borchart and Russell B. Adams, *Trade Centers and Trade Areas of the Upper Midwest*, Upper Midwest Economic Study, Urban Report No. 3 (Minneapolis: University of Minnesota, 1963), pp. 21-22; and A. H. Anderson, *The Expanding* Rural Community, Agricultural Experiment Station Bulletin SB 10 (Lincoln: University of Nebraska), pp. 19-23.
4 For a more complete analysis of Wisconsin villages, see Glenn V. Fuguitt, *Growing and Declining Villages in Wisconsin 1950-1960*, Department of Rural Sociology Population Report No. 8 (Madison: University of Wisconsin, 1963).
lishments and commercial services, builds churches and schools, provides adequate community services, and develops active voluntary organizations—the result of being more attractive than its competitors.
Table 2. Per cent of places losing, 1950–1960, by size of place in 1950, Wisconsin.
| Size of place 1950 | Number of places | Per cent places losing 1950–1960 |
|--------------------|------------------|---------------------------------|
| Under 500 | 177 | 46 |
| 500–1000 | 135 | 33 |
| 1000–2500 | 112 | 20 |
| All places under 2500 in 1950 | 424 | 34 |
Research also has shown that proximity and size of competing service centers is important in explaining population growth. Small towns in southern Minnesota (under 2000 population) which were near centers slightly larger (2000-5000) were less likely to grow than other small places not so near competing centers.\(^5\) In a more recent study of the Upper Midwest, it was concluded that wherever two centers with similar retail facilities are separated by less than 20 or 25 miles, the smaller center is typically losing an appreciable part of its trade area to the larger. More remote centers, on the other hand, appeared to strengthen their trade areas over time.\(^6\)
In summary, at the local level there is a centralization process going on, with smaller towns in many instances losing out to larger ones nearby. Smaller towns are not growing as rapidly as larger ones as a rule, and neighboring places may often be in competition with each other for trade or public or private institutions.
**Population Change in the Local Area**
Another important consideration for the small town is the population changes taking place throughout the setting in which it is located. Thus general rural and urban population trends strongly affect the population past and future of these places. The connection is most obvious with respect to the loss of the farm population. If most small towns are service centers for rural America, then the decline of the open country farm population should spell decline for these places as they fight over smaller and smaller numbers of cus-
\(^5\) Edward W. Hassinger, “Trade Center Population Change and Distance From Larger Centers,” *Rural Sociology*, XXII (June, 1957), 131-36.
\(^6\) Borchert and Adams, *op. cit.*, p. iii.
farmers. This evidently has happened, but perhaps not to the extent that one might first suppose.
Economists have noted that decline of the farm population is generally accompanied by consolidation of farms into larger units, with attendant added mechanization. Thus, sales of farm inputs may actually increase, and the marketing volume of farm output may also increase as productivity rises with fewer, larger farm units. Consumer goods stores in small towns, however, may experience changes in the blend of farm-family spending. If the remaining fewer farmers gain larger net incomes, there should be less spent overall for groceries, but more for housing, furniture, appliances, and recreation.\(^7\) If this proposition is valid, it should help to explain the expansion of many medium-sized small towns even in areas losing farmers. On the other hand, it holds little comfort for the hamlet unable to offer specialized services.
The total population trends of areas in which small towns are located are closely associated with village growth. A study in progress, for example, considers the United States divided into economic areas as designated by the census. With these units, total population change over the 1950-60 decade is highly correlated with average change of towns 1000 to 10,000 in size.
In Wisconsin, the 72 villages under 2500, located in counties where the non-village population increased more than 20 per cent, grew, with one exception, between 1950 and 1960. On the other hand, of the 201 villages in counties where the non-village population is declining, over half lost population. (See Table 3.) Studies in other states have yielded similar findings. The facts that the farm population continues to decline and that each recent decade has seen more counties experiencing heavy total population loss cannot
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\(^7\) Arnold Paulsen and Jerry Carlson, “Is Rural Main Street Disappearing?” *Farming Methods*, XXXIII (December, 1961), 12-13 ff. See also Dean S. Mason, “A Study of Changes in Retail Sales Patterns by City Size Classes,” Clyde F. Kohn (ed.), *Urban Responses to Agricultural Change* (Iowa City: University of Iowa, 1961), pp. 141-49.
speak well for the future of small towns in remote rural areas, particularly those of hamlet size.
Small towns of all sizes near large cities, however, have tended to grow. There is evidence that such towns can take on a new function. Many are shifting from strictly agricultural service centers to serving also as commuter towns. In Wisconsin, only 4 out of 91 small towns located within 30 miles of a center of 50,000 or more declined between 1950 and 1960, according to Table 4. In marked contrast, 62 per cent of the small towns located more than 30 miles from a center of 10,000 or more declined. (Here, as before, incorporated places under 2500 population in 1950 are under consideration.)
Table 4. Per cent of places losing, 1950–1960, by size of largest center within 30 miles, Wisconsin.
| Size center within 30 miles | Number of places | Per cent places losing 1950–1960 |
|-----------------------------|------------------|---------------------------------|
| Under 10,000 | 145 | 62 |
| 10,000–50,000 | 188 | 28 |
| 50,000 up | 91 | 4 |
| All places under 2500 in 1950| 424 | 34 |
A number of studies in other areas have shown similar relationships, including work covering Iowa, Southern Minnesota, and the entire Upper Midwest area.\(^8\) In the Upper Midwest area, 85 per cent of isolated towns under 1000 lost population between 1950 and 1960, compared with only 55 per cent of the more accessible places in this size group. The author of the Upper Midwest study concluded that small towns within future commuting ranges (say, 50 miles) of thriving urban centers have good chances for survival and growth.
**Community Action**
If the inhabitants of small towns in rural areas view population stability or decline with alarm, what are they to do? If their reason for existence has been to serve a clientele primarily engaged in extractive industries such as farming, forestry, or mining (which is
\(^8\) Jon Doerflinger, *Geographic and Residential Distribution of Iowa's Population and Change 1950-1960* (Ames: Iowa State University Department of Economics and Sociology, 1962); Hassinger, *op. cit.*, pp. 131-36; and Russell B. Adams, *Population Mobility in the Upper Midwest*, Upper Midwest Economic Study, Urban Report No. 6 (Minneapolis: University of Minnesota, 1964), pp. 43-51.
now declining in numbers if not in volume of business) adding new functions would appear to be necessary. For example, the possible transformation to a commuter town, or "dormitory community," has already been discussed. This new role, however, is more likely to be imposed on the town by its location than obtained by activities of its townspeople.
Certainly the most commonly mentioned course of action is to try to obtain new industry. The view of many seems to be that new industry is a panacea for the "ills" of the small town. Some industry is of course moving into rural areas. But it seems unlikely that the magnitude of this shift, now and in the future, will be sufficient to bring added life to some 20,000 odd places. Such prospects run counter to the general trend of industrial centralization in and around large cities. Among small towns themselves, the larger places have it all over smaller places. If a town has a hospital, a high school, and adequate commercial services, it will be much more attractive to prospective small industry. Again size attracts growth, and the small hamlet is left farther behind.
A third new function for many communities is recreation. Recreational activities are expanding, and many small places have locations which would allow them to move into this field—especially in light of continuing transportation improvements. Beale and Bogue give the interesting example of a remote rural county transformed through the building of a dam. Camden County, Missouri, had a 16 per cent increase in population during the 1950's as the result of business and retirement homes fostered by the Bagnell Dam and its reservoir, the Lake of the Ozarks. Yet the population had been declining in this county for the 50 previous years.
Acting as service centers for persons engaged in recreational activities is no more a panacea for all small towns than is attracting industry. Increased population densities in and around the cities of our nation, however, puts a higher premium on what is in abundance over much of the countryside—land, space, water, and wildlife. Further, the increasing level of living and mobility of urban people certainly suggest a future expansion of recreation in selected rural areas.
Individuals can and do make a difference in any community. Aggressive leadership, the absence of controversies which may divert
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8Dwight A. Nesmith, "The Small Rural Town," in Alfred Stefferud (ed.), *A Place to Live: The Yearbook of Agriculture 1963* (Washington: U. S. Government Printing Office, 1963), pp. 177-84.
9Calvin L. Beale and Donald J. Bogue, *Recent Population Trends in the United States with Emphasis on Rural Areas*, Agriculture Economic Report No. 33 (Washington: United States Department of Agriculture), p. 39.
energy from community goals, a willingness to work, and a program for development could well mean the difference between a stagnant and a thriving small town. But there is danger that a vicious circle may evolve, with decline leading to pessimism on the part of inhabitants, which may lead to further decline.
Without denying all this, it is striking that recent population trends of villages are closely associated with several factors that are simply beyond the control of the residents of individual villages. In the Wisconsin study, there were 21 villages which had optimum growth potential in terms of the three population variables considered. They were all larger, with populations between 1000 and 2000, in counties with non-village growth of over 20 per cent during the 1950's, and located less than 30 miles from a city of 50,000 or more. All of these 21 places were growing, eight by more than 50 per cent over the decade, and only one by less than 10 per cent. At the other extreme of growth potential, there were 12 places under 500 in size, in counties losing non-village population, and located more than 30 miles from a city of over 10,000. Nine of these places declined in size, and the other three grew less than 10 per cent. This illustrates how growth or decline may be strongly influenced by the town's setting, and by its place in that setting as indicated by its initial size. Villages, then, need to work in close contact with other population groups over a wide area, if they are to solve problems arising through population growth or decline.
**CONCLUSION**
This review has shown that the future of the small town is tied up with the processes of urbanization and population redistribution taking place in America. If these trends continue as at present, most villages in areas where population is concentrating will grow, and some will even become cities. No doubt many of these will be dormitory communities for families of persons who work in nearby cities, as well as trade and service centers for a growing, open-country, non-farm population. Elsewhere, slow growth or decline may well continue to be the rule for most population segments, including the small town.
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**ALL HIGHER** motives, ideals, conceptions, sentiments in a man are no account if they do not come forward to strengthen him for the better discharge of the duties which devolve upon him in the ordinary affairs of life. —Henry Ward Beecher.
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Direct measurement of neutral gas heating in a radio-frequency electrothermal plasma micro-thruster
A. Greig, C. Charles, R. Hawkins, and R. Boswell
Citation: Appl. Phys. Lett. 103, 074101 (2013); doi: 10.1063/1.4818657
View online: http://dx.doi.org/10.1063/1.4818657
View Table of Contents: http://apl.aip.org/resource/1/APPLAB/v103/i7
Published by the AIP Publishing LLC.
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Direct measurement of neutral gas heating in a radio-frequency electrothermal plasma micro-thruster
A. Greig, C. Charles, R. Hawkins, and R. Boswell
1Space Plasma, Power and Propulsion Laboratory, Research School of Physics and Engineering, The Australian National University, Canberra ACT 0200, Australia
2Supercomputer Facility, The Australian National University, Canberra ACT 0200, Australia
(Received 17 April 2013; accepted 1 August 2013; published online 13 August 2013)
Direct measurements and modelling of neutral gas heating in a radio-frequency (13.56 MHz) electrothermal collisional plasma micro-thruster have been performed using rovibrational band matching of the second positive system of molecular nitrogen ($N_2$) for operating pressures of 4.5 Torr down to 0.5 Torr. The temperature measured with decreasing pressure for 10 W power input ranged from 395 K to 530 K in pure $N_2$ and from 834 K to 1090 K in argon with 1% $N_2$. A simple analytical model was developed which describes the difference in temperatures between the argon and nitrogen discharges. © 2013 AIP Publishing LLC. [http://dx.doi.org/10.1063/1.4818657]
Although mono- or bi-propellant chemical thrusters are the basis of space propulsion, electric thrusters have become more prevalent over recent years with several hundred now in operation on commercial satellites. Micro-satellites, generally with a total weight less than 120 kg, require low power, small, lightweight micro-thrusters. Presently, the majority of micro-thrusters in use are cold gas thrusters or resistojets. Cold gas thrusters, while not technically an electric thruster, are the simplest form of propulsion where an inert gas is expelled through a nozzle. However, as there is no combustion or heating of the gas, thrust produced per kilogram of propellant is low. Resistojets heat propellant through contact with heated walls or a coil but this leads to shortened lifetimes due to thermal fatigue and requires power on the order of $10^5$ W.
Recently a low power radiofrequency (rf) capacitively coupled plasma (CCP) micro-thruster, known as “Pocket Rocket” has been discussed. The 20 mm long, 4.2 mm-diam discharge operates at pressures around a few Torr and is weakly ionized (less that 1%). Typical plasma densities for a 1.5 Torr argon plasma have been estimated at $2 \times 10^{12}$ cm$^{-3}$. However, ions in the discharge would typically reach a Bohm velocity on the order of a few thousand ms$^{-1}$, an order of magnitude greater than a typical thermal gas velocity of a few hundred ms$^{-1}$, and ion-neutral charge exchange collisions would yield neutral gas heating within the discharge, hence thrust. It is expected the majority of ion-neutral charge exchange collisions are occurring within the main plasma bulk inside the discharge tube, with collisions continuing into the expansion plume region downstream of the thruster, with decreasing frequency as distance from the tube increases.
Thrust from collisional plasmas has been analytically discussed by Fruchtmann and referred to as “neutral pumping” which is effectively neutral gas heating. The qualitative results are in agreement with the development of “Pocket Rocket” as a potential rf electrothermal collisional plasma micro-thruster. Power balance calculations relating the input power to discharge velocity (assuming 100% efficiency) reported an estimated neutral gas temperature of 1430 K for a 10 W, 1.5 Torr argon plasma. Here direct measurements of neutral gas heating are carried out using optical emission spectroscopy (OES) and a basic model of gas heating is derived for atomic and molecular gases.
The Pocket Rocket device, previously described in depth, is shown in its present form in Figure 1, consisting of a 4.2 mm inside diameter, 1 mm thick, 20 mm long alumina sleeve connecting an upstream plenum cavity and downstream expansion tube. Constant rf power of 10 W at 13.56 MHz is capacitively coupled into the plasma through a copper rf electrode surrounding the sleeve at the midpoint, with two grounded aluminium electrodes placed at either end of the tube. The discharge gas, pure nitrogen ($N_2$) or argon with 1% $N_2$, is injected through the plenum chamber with operating plenum pressures ranging from 0.5 Torr to 4.5 Torr.
The plenum cavity has a rear view port to allow optical diagnostics of the discharge. Digital images, captured using a digital camera in conjunction with a bandpass filter looking through the view port, give radial intensity profiles of visible emission lines across the discharge diameter. Depending on the ionization model for the emission line imaged, the radially distribution of electrons can be determined. The OES system consists of a SPEX 500 M monochromator with 50 μm slit width and 1200 groove/mm grating used in conjunction with a 4 mm diameter fused silica fiber-optic cable to direct light from the discharge onto an Ames Photonics Garry 3000 S charged couple device (CCD) array. The CCD array captures a 34 nm wavelength range spectra with 0.02 nm resolution. The optical fiber was positioned looking though the plenum view port directly down the alumina sleeve. As the optical fiber diameter is approximately the same as the discharge diameter, the resulting spectra are spatially averaged over the discharge volume.
The non-invasive OES method used to determine the neutral gas temperature of the discharge involves fitting computer generated spectra to experimentally determined rovibrational band spectra, produced by electronic transitions from upper states (denoted by $'$) to lower states (denoted by $''$) of diatomic molecules. The fitting estimates the rotational temperature of the discharge gas, which is...
approximately equal to the neutral gas temperature for the conditions tested.\textsuperscript{10} This technique has been previously used to determine the temperature of discharges ranging from atmospheric pressure\textsuperscript{11} to around a Torr.\textsuperscript{12,13} Atomic species do not produce rovibrational bands as no rotational and vibrational modes exist. An alternate spectroscopic method for determining gas temperature, including directly from atomic species, is Doppler broadening where the change in width of a spectral line is measured to infer temperature.\textsuperscript{14} However, for this discharge, an estimated temperature increase of 1000 K results in an increase in line width of the order of 1 pm, below the equipment resolution of 20 pm, hence this method cannot be used. Therefore, to use the rovibrational OES technique for an argon plasma, trace amounts of N\textsubscript{2} (\(\sim\)1%) were added to the discharge instead.
The second positive system of N\textsubscript{2} (C\(^1\Pi_u \rightarrow\) B\(^3\Pi_g\)) in the wavelength region 372–381 nm to include the (0,2) and (1,3) vibrational transitions was chosen for this work as this region presents minimal interference from strong argon lines and the required constants are readily available. The (2,4) and (3,5) vibrational transition intensities were too low for some pressures tested to allow a fitting, so for consistency these transitions were omitted. Generation of the simulated spectra is achieved by calculating the wavelengths of the required transition lines and the related intensities, then broadening the lines to match the experimentally determined spectra.\textsuperscript{10} The wavelength (\(\lambda\)) of an electronic transition from the C\(\nu J'\) to B\(\nu''J''\) state is
\[
\lambda_{B\nu''J''}^{C\nu'J'} = \left[ n_a \sum_{pq} Y_{pq}^C \left( v' + \frac{1}{2} \right)^p [J'(J'+1)]^q - Y_{pq}^B \left( v'' + \frac{1}{2} \right)^p [J''(J''+1)]^q \right]^{-1},
\]
where \(J\) represents the rotational state, \(v\) represents the vibrational state, \(n_a\) is the refractive index of air. The constants \(Y_{pq}\) are Dunham coefficients,\textsuperscript{15} taken from Bai \textit{et al.}\textsuperscript{12} For each wavelength calculated, the intensity of the spectrum is determined using
\[
I_{B\nu''J''}^{C\nu'J'} = \frac{D}{\lambda^4} q_{\nu',\nu''} e^{-\frac{E_{\nu'}}{kT}} S_{J',J''} e^{-\frac{E_{J'}}{kT}},
\]
where \(D\) is an arbitrary scaling constant, \(k\) is Boltzmann’s constant, \(q_{\nu',\nu''}\) are Franck-Condon factors (taken from Zare \textit{et al.})\textsuperscript{16} and \(S_{J',J''}\) are Holm-London factors calculated from Herzberg\textsuperscript{17} (p. 208). The rotational energy (\(E_{J'}\)) and vibrational energy (\(E_{\nu'}\)) are also calculated from Herzberg\textsuperscript{17} (pp. 106–107, 552).
A Gaussian convolution kernel was used to broaden the simulated spectral lines to match the equipment based line broadening of the experimental spectra. An example fit between experimental data and simulated spectrum is shown in Figure 2 for a 10 W argon plasma with 1% N\textsubscript{2} addition at 1.5 Torr. Monte Carlo Markov chains were used for fitting the experimental and simulated data resulting in a range of credible values for T\textsubscript{e}. For this example fit, the estimated temperature was 1090 ± 35 K. Weak argon lines produced minor interference at 373.8 nm, 376.5 nm, and 378.1 nm and slightly enhanced rotational tail structures at lower wavelengths were caused by excess kinetic energy from Ar-N\textsubscript{2} collisions being transferred into higher rotational states for both vibrational bands.\textsuperscript{18} The estimated experimental error is ± 50 K based on repeatability of results giving a neutral gas temperature estimate of 1090 ± 85 K for a 10 W, 1.5 Torr argon discharge, which is lower than, but of the order of, the gas temperature estimated through power balance calculations discussed previously\textsuperscript{6} (\(\sim\)1430 K). The power balance calculations assumed 100% efficiency, whereas the experimental power transfer efficiency would be considerably lower, explaining the difference between the two temperature values.
Applying this method to pure N\textsubscript{2} and argon (with 1% N\textsubscript{2}) discharges at 10 W for pressures ranging from 0.5 Torr to 4.5 Torr gave estimated neutral gas temperatures as shown in Figure 3. The temperature of the N\textsubscript{2} plasma decreased from 430 K to 360 K as pressure increased from 0.5 to 4.5 Torr. The temperature of the argon plasma is consistently 600–700 K (or about 2.2–2.5 times) higher than the N\textsubscript{2} plasma for all pressures tested with temperatures ranging from 780 K to 1120 K. Comparing these results to other works, Huang \textit{et al.}\textsuperscript{13} found gas temperatures between 350 K and 600 K for a 5 to 200 W mTorr dual frequency N\textsubscript{2} CCP discharge and Bai, Swann, and Cruden\textsuperscript{12} found gas temperatures around 1860 K for a transformer coupled argon discharge between 0.5 and 1 Torr at 1.6 kW. Interestingly, comparison of the results to atmospheric pressure plasma jet (APPJ) works with similar geometries to the Pocket Rocket
device but with smaller discharge diameters and different discharge gasses gave very different results, with air mixtures usually reaching higher temperatures than noble gas discharges of Helium and Neon,\textsuperscript{19,20} suggesting gas mixture, pressure, discharge cavity dimensions, and power density play a large role in the gas temperatures achieved.
To understand the difference in temperatures between the N\textsubscript{2} and argon discharges, a simplistic model of the neutral gas heating mechanism was developed. The ionization energies of argon (Ar) and N\textsubscript{2} are 15.76 eV and 15.58 eV, respectively, giving 0.18 eV of excess energy during an Ar–N\textsubscript{2} ion-neutral charge exchange collision, three orders of magnitude lower than the translational kinetic energy of the ion. As the N\textsubscript{2} trace comprises only 1% of the total discharge gas the resulting effects are expected to be negligible and the argon with 1% N\textsubscript{2} discharge model was based on pure argon.
During an ion-neutral charge exchange collision with a low energy ion, it is assumed that half the kinetic energy (KE) is transferred from the hot ion to the cold molecule,\textsuperscript{21} with KE = \frac{1}{2}mv^2 where m and v are the molecules mass and velocity, respectively. The initial KE of the ions is based on the Bohm velocity (v\textsubscript{B}), calculated using v\textsubscript{B} = \sqrt{\frac{eT_e}{m}}, where e is the electron charge, T\textsubscript{e} is the electron temperature, and m is the ion mass. The electron temperature was taken as 2.5 eV for both Ar and N\textsubscript{2}, based on previous reports,\textsuperscript{6} giving v\textsubscript{B,Ar} = 2450 ms\textsuperscript{-1} and v\textsubscript{B,N\textsubscript{2}} = 2930 ms\textsuperscript{-1}. The KE for an n-degree of freedom molecule is \frac{n}{2}kT, where T is the temperature of the molecule. Argon gas contains atomic molecules with three translational degrees of freedom to store energy (n\textsubscript{Ar} = 3), while nitrogen gas contains diatomic molecules with three translational, two rotational, and one vibrational degrees of freedom (n\textsubscript{N\textsubscript{2}} = 6), resulting in overall lower temperatures for N\textsubscript{2} when compared with Ar for the same collisional KE transfer. This gives estimates of 4980 K and 2640 K for the temperature of the hot neutrals after the ion-neutral charge exchange collision for Ar and N\textsubscript{2}, respectively. However, as the discharge is weakly ionized not all cold neutrals undergo a charge exchange collision with a hot ion. Ionization fractions (\frac{n_i}{n}) were calculated from ion saturation currents (I\textsubscript{sat}), measured using a Langmuir probe inserted through the plenum view port, with the 1 mm diameter circular disc probe tip biased at −28 V, located on the central axis of the discharge, directly in line with the center of the rf electrode. Using \frac{n_i}{n} = \frac{I_{sat}}{\kappa I_{sat}/A_{LP}}, where A\textsubscript{LP} is the area of the Langmuir probe tip and κ is a sheath collection area scaling factor taken as 0.55,\textsuperscript{22} the calculated ionization fractions at 1.5 Torr and 10 W were 0.44% for Ar and 0.19% for N\textsubscript{2}.
The mean free path (\lambda) for an ion-neutral charge exchange collision is \lambda = \frac{1}{n\sigma_{CE}}, where n\textsubscript{g} is the neutral gas density and σ\textsubscript{CE} is the ion-neutral charge exchange collision cross section taken from Phelps\textsuperscript{23} as 46 μm in Ar and 40 μm in N\textsubscript{2}. This gives the total number of collisions across the discharge diameter as 90 in Ar and 80 in N\textsubscript{2} at 1.5 Torr. However, the cross sections for elastic and ion-neutral charge exchange collisions are approximately equal for both Ar and N\textsubscript{2}, meaning half the collisions would be elastic, resulting in 45 and 40 ion-neutral charge exchange collisions across the discharge diameter for Ar and N\textsubscript{2}, respectively. Combined with the ionization fraction, an estimated 20% Ar and 8% N\textsubscript{2} neutrals undergo an ion-neutral collision and become hot neutrals in a 1.5 Torr discharge.
For the spatially averaged neutral gas temperature, as measured by the OES method, it is assumed a sufficient number of collisions between hot and cold molecules occur for thermalization of the hot and cold neutral populations. Assuming the majority of neutrals become heated at the location of the rf electrode, there is 10 mm to travel before exiting the discharge volume. Based on the hot neutral temperatures above, the average velocity (v) of hot molecules is 1760 ms\textsuperscript{-1} and 1533 ms\textsuperscript{-1} for Ar and N\textsubscript{2}, respectively, and 432 ms\textsuperscript{-1} and 516 ms\textsuperscript{-1} for cold Ar and N\textsubscript{2}, respectively (based on 300 K temperature). Using the average velocity of the hot and cold molecules, to find the time between collisions (τ = \frac{1}{n\sigma_v}), where σ is the neutral-neutral collision cross section) gives approximately 15 thermalizing neutral-neutral collisions at 1.5 Torr for both Ar and N\textsubscript{2} which is sufficient to assume thermalization occurs.
The estimated neutral gas temperatures using this simplified model for Ar and N\textsubscript{2} discharges with pressures from...
1 Torr to 4.5 Torr are shown in Figure 3. Measurements of the ion saturation current for pressures less than 1 Torr were not possible in Ar as the discharge could not be maintained at lower pressures with the Langmuir probe in place. For N\textsubscript{2}, the discharge could not be maintained for pressures under 2 Torr with the Langmuir probe in place. Instead, the ion saturation currents for 1 and 1.5 Torr in N\textsubscript{2} were estimated using the trend of the remaining results to allow the model to be extended down to 1 Torr for both discharge gases. The model predicts temperatures around 1200 K in Ar and 500 K in N\textsubscript{2} which are slightly higher than but similar to the experimental results, with the Ar temperatures just over 2 times higher than the N\textsubscript{2} temperatures, also in agreement with the experimental results. From the model, the difference between Ar and N\textsubscript{2} temperatures arises from the additional degrees of freedom of N\textsubscript{2} and the ionization fraction of N\textsubscript{2} being just under half the ionization fraction of Ar.
In the Ar model, the predicted temperature drops rapidly from 1200 K at 3 Torr to 780 K at 4.5 Torr. For an Ar discharge with pressures less than 3 Torr, the electron distribution forms a peak on the central axis, but as the pressure increases to over 3 Torr the electron distribution changes to an annular configuration.\textsuperscript{6} When measuring the ion saturation current, the Langmuir probe was inserted with the probe tip lying on the central axis. For pressures over 3 Torr, the majority of ions are located in the annular ring with the electrons and not on the central axis, resulting in underestimates of the ion saturation current, hence underestimates of the neutral gas temperature by the model.
To confirm a similar issue is not occurring in the N\textsubscript{2} model, radial intensity profiles across the discharge diameter of the N\textsubscript{2} \textsuperscript{391} nm line were captured using a digital camera in conjunction with a 390 nm filter with 10 nm bandwidth looking through the rear plenum view port, with the results shown in Figure 4 for a 20 W N\textsubscript{2} plasma. Assuming two step ionization, the intensity profile represents $n_e^2$, where $n_e$ is the electron density. A mode change from a central peak electron density to annular electron density occurs, similar to the Ar discharge, but the mode change occurs at a higher pressure (between 4.8 and 6 Torr), outside the pressures used for the experiment and model, therefore the mode change does not affect the results for the N\textsubscript{2} plasma.
In summary, the neutral gas temperature of an N\textsubscript{2} discharge at 10 W was found to be only slightly higher than the temperature of a cold gas thruster ($\sim$300 K) for pressures ranging from 0.5 Torr to 4.5 Torr. However, when using Ar as the discharge gas, with pressures from 0.5 Torr to 4.5 Torr, the neutral gas temperature is between two to three times higher than a cold gas thruster reaching temperatures over 1100 K for 10 W input power. A simplistic model based on collisional and kinetic effects within the discharge was developed, showing the lower temperatures of the N\textsubscript{2} discharges being due to nitrogen gas having a lower ionization fraction compared to argon gas and the additional degrees of freedom in diatomic nitrogen molecules compared to atomic argon molecules. Both the experimental results and the model show that neutral gas heating is occurring within the Pocket Rocket discharge for Ar. Confirmation of neutral gas heating occurring within the discharge for Ar, combined with the low power input, small volume, lack of exposed electrodes and no requirement for an external neutralizer, validates the Pocket Rocket concept as a viable radio-frequency electrothermal plasma micro-thruster.
Aspects of this research made use of software developed by the Inversion Laboratory (ilab). Ilab is part of the Auscope AGOS project—an initiative of the Australian Government funded through the Education Investment Fund.
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\begin{figure}[h]
\centering
\includegraphics[width=\columnwidth]{image.png}
\caption{N\textsubscript{2}\textsuperscript{+} 391 nm emission line intensity imaged with the digital camera as a function of radial distance (from centerline) of a N\textsubscript{2} plasma for upstream pressures ranging from 0.73 Torr to 6 Torr at 20 W input power.}
\end{figure}
|
Evaluation of bond stress-slip models for FRP reinforcing bars in concrete
Xiaoshan Lin, Y.X. Zhang*
School of Engineering and Information Technology, The University of New South Wales at the Australian Defence Force Academy, Northcott Drive, Canberra, ACT 2600, Australia
ARTICLE INFO
Article history:
Available online 1 August 2013
Keywords:
Bond stress-slip model
FRP reinforcing bar
Concrete
Finite element analysis
Surface condition
ABSTRACT
In this paper several currently available bond stress-slip models for steel and FRP reinforcing bars in concrete are firstly reviewed, and both merits and demerits of these models are discussed. The models which are promising to be used for describing the bond-slip behaviour of FRP reinforcing bars in numerical analysis are evaluated through finite element analysis of FRP-reinforced concrete beams with bond-slip effect taken into account. A newly developed composite beam element with bond-slip is employed for finite element analysis of a GFRP-reinforced concrete beam and a CFRP-reinforced concrete beam with the selected bond stress-slip models built in the finite element model. The suitability and capability of the bond stress-slip models informed from the finite element analyses are summarised and concluded. Finally, parametric study is carried out on the most appropriate bond stress-slip model to investigate the effect of different surface conditions of reinforcing bars on the structural behaviour.
© 2013 Elsevier Ltd. All rights reserved.
1. Introduction
In recent years, fibre reinforced polymer (FRP) has been widely used in reinforced concrete structures due to its superior material properties, such as high tensile strength, excellent electrochemical corrosion resistance and cost effective fabrication, over the traditional steel reinforcements. Despite the obvious advantages of FRPs, they are not without drawbacks, and one major disadvantage is the comparatively weaker bond strength of FRP reinforcing bars (rebars) in concrete compared with traditional steel rebars.
In fact, bond between concrete and the reinforcing bars plays an important role in stress transferring from the former to the latter, and debonding has become one of the thorny issues in analysis of reinforced concrete structures. Bond between FRP reinforcing bars and the surrounding concrete is complicated and various factors may influence the bond characteristics of FRP reinforcements to concrete. For example, geometry and surface conditions of FRP rebars, concrete compressive strength, confinement pressure, rebar diameter and the position in the cast and specimen, embedment length, temperature changes and environmental conditions [1] will all affect the bonding capability between FRP rebars and the concrete.
So far, numerous experimental studies have been conducted to investigate the bond strength of FRP rebars in concrete as well as the influences of parameters, such as fibre type, surface treatment, bar diameter and temperature, on the bond characteristics of FRP rebars [2–6]. However, very few studies have been carried out to determine the bond stress-slip constitutive law for FRP rebars, which is essential to finite element analysis of FRP-reinforced concrete structures. Therefore, perfect bonding was assumed in most of the numerical studies of FRP-reinforced concrete structures [7–12], resulting in non-realistic and imprecise predictions of the structural behaviour. In order to obtain a more accurate structural analysis, the bond-slip behaviour of FRP rebars in concrete should be considered in the numerical model. However, only several FRP bond stress-slip models have been reported so far, and the suitability and capability of these models for numerical modelling of FRP-reinforced concrete structures have not been justified yet.
This paper aims to give a review of the currently available bond stress-slip models for FRP rebars in concrete, as well as some models for traditional steel rebars which may be suitable for numerical analysis of FRP-reinforced concrete structures. Then the appropriateness and capability of the most promising and often used bond stress-slip models are investigated for FRP rebars. The paper is structured as follows. A brief review and introduction of the currently available bond stress-slip models for FRP rebars in concrete is given in Section 2, and both their merits and demerits are discussed. A few bond stress-slip models for steel rebars in concrete are presented in Section 3. In Section 4, three bond stress-slip models, i.e. the Elieghausen, Popov and Bertero (BPE) Model [13], the BPE Modified Model [1], and the Cosenza, Manfredi and Realfonzo (CMR) Model [14], which have been often used and seem to be the promising FRP bond stress-slip models for numerical analysis, are discussed in more details, and their appropriateness and capability are evaluated via finite element analysis of FRP-reinforced concrete beams by implementing them in a newly developed finite element model [15]. In addition, the appropriateness of two bond stress-slip...
models, which were proposed by Harajli et al. [16] and Haskett et al. [17] for steel rebars, for finite element analyses of FRP-reinforced concrete structures is also evaluated in Section 4. Section 5 presents a parametric study using the most suitable bond stress-slip model for FRP rebars, and the effect of different rebar surfaces on the structural behaviour is investigated. Conclusions are drawn in the final section.
2. Bond stress-slip models of FRP rebars in concrete
At present, several bond stress-slip models for FRP rebars in concrete have been proposed in literature. An analytical expression for a monotonic bond stress-slip curve, which describes the bond stress between FRP rebars and concrete, was proposed based on experimental data by Malvar [18]. A bond-slip constitutive law known as the BPE Model, which was developed by Elieghaeusen et al. [13] for deformed steel bars, has been the most well-known and commonly used model in analysis of traditional steel-reinforced concrete structures [19–23]. This model was applied to represent the local bond stress-slip relationship of FRP rebars by Rossetti et al. [24] and Cosenza et al. [14] through calibrating the parameters based on the experimental results. Later, based on the BPE Model, Cosenza et al. [11] developed the BPE Modified Model, which describes the bond stress-slip relationship for FRP rebars, with the effects of different FRP rebar surfaces taken into account. After that, the BPE Modified Model has been utilised in a number of studies on FRP-reinforced concrete structures [25–27]. The CMR Model was proposed to be used as an alternative to the BPE Model by Cosenza et al. [14], but it is only for the ascending branch of the bond stress-slip curve. In addition, Tighiouart et al. [5] also proposed a model for the ascending part of the bond stress-slip relationship based on experimental data and calibration of the parameters in the CMR Model.
In this section, these currently available bond stress-slip models for FRP rebars are introduced and reviewed, and their merits and drawbacks are discussed.
2.1. Malvar’s Model
The bond stress-slip relationship of FRP rebars in concrete proposed by Malvar [18] based on the pullout test data is supposed to be the first FRP bond stress-slip model. FRP rebars with three different types of surfaces (deformed and indented surface, indented surface and deformed surface) were tested in his study, and the effects of confinement and indentation depth on the bond strength were investigated. The bond stress-slip curve was then derived in a two-step procedure. First, the peak bond stress $\tau_1$ and slip $s_1$ were defined as a function of confining axisymmetrical radial pressure $\sigma_r$, as shown in Eqs. (1) and (2). Second, the expression of the complete bond stress-slip curve was defined as $\tau = \tau(s, \sigma_r)$ given by Eq. (3). In addition, seven empirical constants were required to determine the shape of the curve which describes the entire bond stress versus loaded-end slip response.
$$\tau_1/f_t = A + B(1 - e^{-C\sigma_r/\beta})$$ \hspace{1cm} (1)
$$s_1 = D + E\sigma_r$$ \hspace{1cm} (2)
where $f_t$ is concrete tensile strength; $A, B, C, D$ and $E$ are empirical constants for different bar types.
$$\tau = \tau_1 \frac{F\left(\frac{s}{s_1}\right) + (G - 1)\left(\frac{s}{s_1}\right)^2}{1 + (F - 2)\left(\frac{s}{s_1}\right) + G\left(\frac{s}{s_1}\right)^2}$$ \hspace{1cm} (3)
where $\tau_1$ is the peak bond stress and $s_1$ the slip at the peak bond stress. $F$ and $G$ are the empirical constants for different bar types.
In Malvar’s study [18], those empirical constants were only evaluated for FRP rebars composed of E-glass fibres with two types of rebar surface treatment, and the effects such as fibre type and rebar diameter were not considered. Also, the value of confining axisymmetrical radial pressure $\sigma_r$ is hard to be determined when analysing structures under bending load. Furthermore, Malvar’s Model was assessed as being less reliable for modelling the ascending branch of the bond stress-slip relation curve of FRP [1].
2.2. BPE Model
BPE Model was first proposed for deformed steel bars by Elieghaeusen et al. [13], and then applied to represent the local bond stress-slip relationship of FRP rebars by Rossetti et al. [24] and Cosenza et al. [14] through calibrating the parameters based on experimental results. It has an ascending curve that represents the bond mechanism of chemical adhesion, a plateau interval with constant maximum bond stress, a linear descending branch and a final horizontal branch with a constant frictional response [27]. The model is adopted by the CEB-FIP Model Code 1990 [28] for traditional steel reinforcements based on a series of parameters (i.e. the peak bond stress $\tau_{\text{max}}$, the slip corresponding to the peak bond stress $s_1$ and the parameters $s_2$, $s_3$, $\alpha$ and $\beta$) which depend on the amount of confinement, bond conditions and concrete strength. Fig. 1 and Eqs. (4a)–(4d) describe the bond stress-slip relation curve of this model in which the bond stress is a function of the bond-slip $s$.
$$\tau = \tau_{\text{max}}(s/s_1)^\alpha \quad \text{for} \quad 0 \leq s \leq s_1$$ \hspace{1cm} (4a)
$$\tau = \tau_{\text{max}} \quad \text{for} \quad s_1 < s \leq s_2$$ \hspace{1cm} (4b)
$$\tau = \tau_{\text{max}} - (\tau_{\text{max}} - \tau_f)\left(\frac{s - s_2}{s_3 - s_2}\right) \quad \text{for} \quad s_2 < s \leq s_3$$ \hspace{1cm} (4c)
$$\tau = \tau_f = \beta\tau_{\text{max}} \quad \text{for} \quad s_3 < s$$ \hspace{1cm} (4d)
In order to describe the bond-slip behaviour of FRP rebars in concrete by using the BPE Model, the parameters of the BPE Model need to be recalibrated specifically for the FRP rebars. In Rossetti et al.’s study [24], the parameters for GFRP rebars with smooth and rough surfaces and embedded in concrete with different compressive strengths were evaluated. The peak bond stress and the slip corresponding to the peak bond stress were obtained through experimental tests. The parameters $s_2$, $s_3$, $\alpha$ and $\beta$ were determined through a special identification technique. However, their test results were quite scattered, and the diameter of rebar showed to have no influence on the bond-slip behaviour in their tests.
Cosenza et al. [14] also carried out experimental studies to determine the parameters of the BPE Model for FRP rebars with various fibre types, rebar surface treatments and confining pressures. The test results for both indented and grain covered rebars were good in terms of bond strength, while those for the spirally wounded rebars were very scattered [14].
2.3. BPE Modified Model
The BPE Modified Model (Fig. 2) was proposed by Cosenza et al. [1], and the effect of various rebar surfaces on the bond strength of FRP rebars has been considered in this model. To better describe the bond stress–slip relationship of FRP rebars, the second branch with a constant maximum bond stress in the BPE Model is omitted in the BPE Modified Model. This model also gives a complete bond stress–slip constitutive curve for FRP rebars, and it is more suitable for FRP rebars. However, it should be noted that the effects of different rebar diameter and FRP fibre type have not been taken into account in this model. Eqs. (5a)–(5c) express each part of this curve respectively.
\[
\frac{\tau}{\tau_1} = \left(\frac{s}{s_1}\right)^x \quad \text{for} \quad 0 \leq s \leq s_1 \tag{5a}
\]
\[
\frac{\tau}{\tau_1} = 1 - p\left(\frac{s}{s_1} - 1\right) \quad \text{for} \quad s_1 < s \leq s_3 \tag{5b}
\]
\[
\tau = \tau_3 \quad \text{for} \quad s_3 < s \tag{5c}
\]
2.4. CMR Model and Tighiouart et al.’s Model
The CMR Model proposed by Cosenza et al. [14] is a refined model for only the ascending branch of the bond–slip law. This model describes the bond stress–slip constitutive relation of FRP rebars at the serviceability state level, and it is expressed as:
\[
\frac{\tau}{\tau_1} = \left[1 - \exp\left(-\frac{s}{s_r}\right)\right]^{\varphi} \tag{6}
\]
where \(s_r\) and \(\varphi\) are parameters based on the curve-fitting of the test data.
FRP rebars with different fibre types and rebar surface treatments were tested in order to determine the parameters in the CMR Model. Some of the test results were very scattered, and the effect of rebar diameter on the bond strength was not investigated.
Tighiouart et al. [5] proposed an alternative model for the ascending branch of the bond stress–slip relationship of FRP rebars. The expression of this curve is given by:
\[
\frac{\tau}{\tau_1} = [1 - \exp(4s)]^{0.5} \tag{7}
\]
It can be seen from Eq. (7) that this model depends on the peak bond stress \(\tau_1\) only. However, according to Tighiouart et al.’s [5] test data, this peak bond stress is affected by some integrated factors, including rebar surface treatment, rebar diameter and embedment length. Therefore, in order to implement this model in the numerical analysis, experimental test has to be conducted based on different cases to determine the peak bond stress \(\tau_1\). Also, from the mathematic point of view, to have the expression of Eq. (7) make sense, \(1 - e^{4s} \geq 0 \rightarrow e^{4s} \leq 1 \rightarrow s \leq 0\). Thus, the slip \(s\) in Eq. (7) has to be less than 0. However, it is physically impossible that a slip has a negative value. There must be some mistake in this equation.
It should be mentioned that both CMR Model and Tighiouart et al.’s Model are for the ascending part of the bond–slip relation of FRP only, which may be suitable for modelling of bond at serviceability state level [14] whereas it is insufficient for a complete and accurate numerical analysis of structures till failure.
3. Bond stress–slip models of steel rebars in concrete
So far, extensive investigations of the bond–slip behaviour between steel reinforcements and concrete have been reported, and the bond stress–slip constitutive relationships for steel rebars have been derived in a number of studies in addition to the famous BPE Model. In this section, several bond stress–slip models for steel rebars, which may also be suitable for describing the bond–slip behaviour of FRP rebars in concrete, are reviewed and discussed.
3.1. Harajli et al.’s Model
An analytical model was proposed by Harajli et al. [16] for describing the local bond stress–slip relationship of steel rebars in plain and fibre reinforced concrete. For pullout bond failure, the shape of the proposed bond stress–slip relation curve is the same as the BPE Model as shown in Fig. 1. The slip \(s_{\text{max}}\) at which the peak bond resistance is mobilised is determined by the clear distance \(c_0\) between the lugs of the steel reinforcing bars by Eq. (8), and it is independent of the concrete strength, confinement and fibre parameters.
\[
s_{\text{max}} = 0.2c_0 \tag{8}
\]
The four-stage equations for describing the relation between the local bond stress \(\tau\) and slip \(s\) are similar in form to those of the BPE model except for the characteristic parameters. In this model, it is assumed that the influence of rebar diameter on the bond strength is insignificant, and that the model is applicable for rebars with diameter of 8–30 mm. In addition, the effects of other parameters, such as different rebar surfaces, on the bond strength are not included in this model.
3.2. Haskett et al.’s Model
A local bond stress–slip model for steel rebars was derived by Haskett et al. [17] from the experimental global load–slip responses obtained from pullout tests. In this model as shown in Fig. 3, the plateau region with a constant peak bond stress in the BPE Model is removed and the frictional component of the bond stress–slip relationship is ignored. The characteristic parameters in the bond stress–slip model were suggested based on the averaged values from experimental test [13], and the effects of different factors, such as rebar diameter, rebar type and rebar surface, on the bond strength have not been taken into account.
The ascending branch of the Haskett et al.’s Model is given by
\[
\tau = \tau_{\text{max}}(s/s_1)^{0.4} \tag{9}
\]
This equation is the same as the expression suggested by the BPE Model for confined concrete under good bond conditions.
3.3. Soroushian and Choi’s Model
Soroushian and Choi [29] investigated the bond-slip behaviour of steel bars in confined concrete, and considered the effect of rebar diameter. It was found that the ultimate local bond stress increased with decreasing bar diameter, whereas the effect of rebar diameter was less significant at larger deformations in the post-peak region. The local bond stress–slip relationship was proposed by Soroushian and Choi [29] based on the experimental results, and its shape is similar to that of the BPE Model (Fig. 1). The ascending curvilinear segment is expressed by
\[ \tau = \tau_{\text{max}}(s/s_1) \cdot e^{[1-(s/s_1)^2]} \]
However, the effects of other parameters on the bond strength were not taken into account in this model. Later, Soroushian et al. [30] further investigated the bond-slip behaviour of steel bars in confined concrete with the effects of confinement and concrete compressive strength taken into account. The influence of confinement was found to be insignificant in their study. The peak bond stress \( \tau_{\text{max}} \) in the Soroushian and Choi’s Model was modified to be determined by both rebar diameter and concrete compressive strength. However, the expression of the ascending curvilinear branch of the Soroushian and Choi’s Model reported in Soroushian et al.’s study [30] [Eq. (10b)] is inconsistent with the one given in reference [29] [Eq. (10a)], and the coefficient \( \alpha \) was not given in both studies [29,30].
\[ \tau = \tau_{\text{max}}(s/s_1) \cdot e^{[1-(s/s_1)^2]/\alpha} \]
3.4. Yankelevsky’s Model
Yankelevsky [31] proposed a local bond stress–slip law which is described by a piecewise linear curve as shown in Fig. 4 and Eqs. (11a)–(11d). However, the characteristic parameters of the model have to be determined by test results, and this makes the model inconvenient to be employed in the finite element analysis directly without doing bond-slip test.
\[ \tau = \frac{\tau_{\text{max}}}{s_1} \cdot s \quad \text{for} \quad 0 \leq s \leq s_1 \]
\[ \tau = \tau_{\text{max}} \quad \text{for} \quad s_1 < s \leq s_2 \]
\[ \tau = \tau_1 - \frac{\tau_{\text{max}} - \tau_f}{s_3 - s_2} \cdot s \quad \text{for} \quad s_2 < s \leq s_3 \]
\[ \tau = \tau_f \quad \text{for} \quad s_3 < s \]
3.5. Trilinear bond stress–slip model
A simple trilinear bond stress–slip model (Fig. 5) was employed in Kwak and Kim’s study [32], in which the parameters were derived from the material properties of specimens from the tests. However, the application of this model is restricted to the cases which do not exhibit significant bond-slip and associated bond damage.
4. Evaluation of bond stress–slip models
Based on the above discussion, the BPE Modified Model seems to be the most suitable bond stress–slip model for FRP rebars in concrete. The BPE Model, the parameters of which were calibrated by Rossetti et al. [24] and Cosenza et al. [14], is also a promising bond stress–slip model to be used in the numerical analysis of FRP-reinforced concrete structures. Although the CMR Model provides only the ascending part of the bond stress–slip constitutive curve, it is of great interest to evaluate it by using it as a substitute for the ascending branch of the BPE Model. In this section, these three bond stress–slip models for FRP rebars are evaluated by building them in a newly-developed finite element model [15] with bond-slip effect for finite element analysis of FRP-reinforced concrete beams. In addition, Harajli et al.’s Model and Haskett et al.’s Model for steel rebars are also implemented in the finite element model to investigate their suitability of being used to model the bond-slip behaviour of FRP rebars in concrete.
4.1. Finite element model
A newly developed composite beam element with the BPE Modified Model representing the bond-slip effect has been demonstrated to be accurate and effective for finite element analysis of
FRP-reinforced concrete beams [15]. The element is utilised in the current finite element analysis to evaluate the capabilities of various bond stress-slip models. The element is briefly introduced herein for completeness and convenience of referring.
The new composite beam element is shown in Fig. 6. It is a one-dimensional (1D) two-node layered composite beam element with its cross-section composed of a number of concrete layers and reinforcing layers representing the reinforcements. There are four degrees of freedom per node, i.e. transverse displacement $w$ and rotation $\theta$ for the concrete beam, and axial displacement $u$ for each of the reinforcing layers with bond-slip. In order to model the bond-slip effect between the reinforcing bars and surrounding concrete, the nodal degrees of freedom for the reinforcing layers are separated from those for the concrete beam to permit slip, and the reinforcing layer is regarded as a system consisting of two parts: reinforcing bars and the interface between reinforcing bars and the concrete. Thus, a slip is the relative displacement between the reinforcing layer and the concrete.
The element bending strain, shear strain and the strain of the reinforcing layers with bond-slip are expressed as:
$$\varepsilon_b = [B_b] \{q^{(e)}\} \quad \gamma = [B_s] \{q^{(e)}\} \quad \varepsilon_s = [B_{bar}] \{q^{(e)}\}$$
(12)
in which
$$[B_b] = \begin{bmatrix}
\frac{6\mu_e}{L} & \left(\frac{1}{L} - \frac{2x}{L^2}\right) & \frac{3\mu_e + 1}{L} & -6\mu_e & \frac{x}{L^2} & -\frac{6\mu_e}{L} & \left(\frac{1}{L} - \frac{2x}{L^2}\right) \\
-\frac{1}{L} & -3\mu_e & -6\mu_e & \frac{x}{L^2} & 0 & 0 & 0 & 0 & 0
\end{bmatrix}$$
(13a)
$$[B_s] = \begin{bmatrix}
-\frac{1}{L} + \frac{\mu_e}{L} & \frac{\mu_e}{2} & -\frac{1}{2} & \frac{1}{L} - \frac{\mu_e}{L} & -\frac{1}{2} + \frac{\mu_e}{2} & 0 & 0 & 0 & 0 & 0
\end{bmatrix}$$
(13b)
For tensile reinforcement: $[B_{bar}] = \begin{bmatrix} 0 & 0 & 0 & 0 & -\frac{1}{L} & \frac{1}{L} & 0 & 0 \end{bmatrix}$
(13c)
For compressive reinforcement: $[B_{bar}] = \begin{bmatrix} 0 & 0 & 0 & 0 & 0 & 0 & -\frac{1}{L} & \frac{1}{L} \end{bmatrix}$
(13d)
where $[B_b]$ is the curvature-displacement matrix of the concrete beam, $[B_s]$ the shear strain–displacement matrix of the concrete beam, and $[B_{bar}]$ the axial strain–displacement matrix of the reinforcing layers with bond-slip, $L$ is the length of the beam element, $x$ the coordinate along the beam element, and $\mu_e$ the coefficient which depends on the element bending stiffness and shear stiffness. $\{q^{(e)}\}$ is the element nodal displacement vector as follows.
$$\{q^{(e)}\} = \begin{bmatrix} q_1 \\ q_2 \end{bmatrix} \quad \text{with} \quad \{q_i\} = \begin{bmatrix} w_i \\ \theta_i \\ u_{i1} \\ u_{i2} \end{bmatrix} \quad (i = 1, 2)$$
(14)
where $u_{i1}$ and $u_{i2}$ are the axial displacements for each of the reinforcing layers with bond-slip.
In order to build the bond stress-slip model into the finite element model, the slip $s$ is expressed in terms of the bond strain $\varepsilon_{bond}$ as follows.
$$s = \varepsilon_{bond} L_{GP}$$
(15)
where $L_{GP}$ is the distance between Gaussian points.
The modulus of the bond $E_{bond}$ is given by:
$$E_{bond} = \frac{\tau}{s} L_{GP}$$
(16)
The finite element equation for this composite beam element is expressed as:
$$[K_T^{(e)}] \{\Delta q^{(e)}\} = \{R^{(e)}\} - \int [B]^T \{\sigma\} dx - \int [B_{bar}]^T \{\sigma_{bar}\} dx$$
(17)
where $\{R^{(e)}\}$ is the element equivalent nodal loadings, and $[B]$ consisting of $[B_b]$ and $[B_s]$ is the strain matrix of the concrete beam, $\{\sigma\}$ is the internal stress vector of the concrete beam, and $\{\sigma_{bar}\}$ is the internal stress vector of the reinforcements with bond-slip which is given in the following equation.
$$\{\sigma_{bar}\} = \sum E_{sj} A_{sj} \{e_{sj}\} + \sum E_{bond,j} p_j \{e_{bond,j}\}$$
(18)
where $E_{sj}$ is the elastic modulus of the $j$th reinforcing layer, and $E_{bond,j}$ the modulus of the bond, which is obtained from the bond stress-slip model. $A_{sj}$ and $p_j$ are the area and perimeter of the $j$th reinforcing layer respectively.
The total tangential stiffness matrix of the element $[K_T^{(e)}]$ is partly contributed by the concrete beam and partly by the reinforcements with bond-slip as follows.
$$[K_T^{(e)}] = [K_c^{(e)}] + \sum [K_s^{(e)}]$$
(19)
More details about this element can be found from the Ref. [15]. FRP-reinforced concrete beams analysed in this study are discretized using this 1D composite beam element.
### 4.2. Finite element analysis of a GFRP-reinforced concrete beam
A 2100 mm long GFRP-reinforced concrete beam tested by Qu et al. [33] is modelled using 12 composite beam elements in this study. A four-point bending load is applied to the concrete beam, giving a 600 mm shear span. The beam is reinforced with four 12.7 mm-diameter sand coated GFRP rebars in the bottom area, two steel bars of 10 mm-diameter are placed in the compression zone and 10 mm-diameter steel stirrups are used as shear reinforcement at 100 mm spaces in the shear span. The cubic compressive strength of the concrete is 30.95 MPa, and the tensile strength and elastic modulus of GFRP 782 MPa and 45 GPa respectively.
#### 4.2.1. Finite element analysis of a GFRP-reinforced concrete beam using the BPE Modified Model
The BPE Modified Model is firstly employed in the current finite element analysis to investigate its suitability for FRP rebars. The required parameters in the BPE Modified Model for defining the bond stress-slip relationship of FRP rebars with ribbed, braided, grain-covered and smooth surfaces were calibrated based on the available experimental tests [1], and they are given in Table 1. It should be noted that a grain-covered surface type for FRP reinforcements is selected due to the lack of parameters for FRP rebars with sand-coated surfaces.
| Reinforcement type | Ribbed | Braided | Grain-covered | Smooth |
|--------------------|--------|---------|---------------|--------|
| $\alpha$ | 0.283 | 0.177 | 0.067 | 0.145 |
| $p$ | 14.88 | 12.80 | 3.11 | 1.87 |
| $s_1$ | 1.23 mm| 2.14 mm | 0.13 mm | 0.26 mm|
| $\tau_1$ | 11.61 MPa | 10.20 MPa | 12.05 MPa | 1.19 MPa |
| $\tau_3$ | 7.79 MPa | 6.26 MPa | 3.17 MPa | 0.99 MPa |
The relationships between the applied load and mid-span deflection obtained from the current model, experimental study [33] and theoretical solution [33] are compared in Fig. 7. It can be seen that the load–deflection curve obtained from the present model matches very well with the test results and theoretical solution attained by Qu et al. [33]. This example illustrates that the BPE Modified Model is appropriate for the current finite element analysis and can model the structural behaviour of the FRP-reinforced concrete beam accurately.
4.2.2. Finite element analysis of a GFRP-reinforced concrete beam using the BPE Model
In this section, the BPE Model is integrated into the finite element model to analyse the GFRP-reinforced concrete beam. The main parameters in the BPE Model based on the experimental tests conducted by Rossetti et al. [24] are given in Table 2. In the current finite element model, reinforcing bars with rough surfaces are used, and the concrete is with low strength.
From the experimental test data, parameters for the BPE Model calibrated by Cosenza et al. [14] are given in Table 3. In this example, the GFRP rebars are sand coated to increase the bond with the concrete, however, the parameters for sand coated braided CFRP rebars are chosen for the current finite element analysis as there is no data available for sand coated GFRP rebars from Cosenza et al.’s [14] test.
The load versus mid-span deflection relationships obtained from numerical analyses with the BPE Models calibrated by Rossetti et al. [24] and Cosenza et al. [14] respectively are compared with the experimental results [33] and Qu et al.’s theoretical solution [33] in Fig. 8. As can be seen, the load versus mid-span deflection relation curve obtained from the finite element model using the bond stress-slip model calibrated by Rossetti et al. [24] deviates from the test results immediately after concrete cracks. On the contrary, the load–deflection curve calculated from the numerical model with the bond stress-slip model given by Cosenza et al. [14] is found to have a good agreement with the test data [33] and Qu et al.’s theoretical solution [33]. Therefore, the BPE Model calibrated by Cosenza et al. [14] also appears to be suitable for the finite element analysis of FRP-reinforced concrete beams, whereas the one calibrated by Rossetti et al. [24] seems not to be a good alternative.
4.2.3. Finite element analysis of a GFRP-reinforced concrete beam using the CMR Model
As the CMR Model was proposed as a refined model for the ascending branch of the BPE Model, in order to investigate the appropriateness of the CMR Model in finite element analysis of FRP-reinforced concrete beams, the ascending part of the bond stress-slip curve in the BPE Model is expressed by Eq. (6), and the finite element analysis of the GFRP-reinforced concrete beam is carried out using this model.
The parameters in the CMR Model were calibrated by Cosenza et al. [14] based on their experimental tests and they are shown in Table 4. In the present analysis, parameters for sand coated braided CFRP rebars are selected. The load–deflection relationship at mid-span calculated using the current finite element model is illustrated in Fig. 9 and compared with those obtained from experimental test and theoretical study [33].
It can be found that the predicted load–deflection curve is in good agreement with the test data and the theoretical solution [33]. However, the calculation terminates when the applied load just exceeds 100 kN which is much lower than the experimental test. In this example, the CMR Model performs not as well as the BPE Modified Model and the BPE Model calibrated by Cosenza et al. [14] when being used as bond stress-slip model for FRP rebars.
4.2.4. Finite element analysis of a GFRP-reinforced concrete beam using the Harajli et al.’s Model
The appropriateness of using the bond stress-slip model proposed by Harajli et al. [16] for steel rebars to simulate the bond-slip behaviour of FRP rebars is studied in this section. Eqs. (4a)–(4d) describe the bond stress-slip curve, where \( \alpha = 0.30, \tau_{\text{max}} = 2.57 \sqrt{f_c} \) MPa, \( \tau_f = 0.35 \tau_{\text{max}}, s_1 = 0.75 s_{\text{max}} = 0.15 c_0, s_2 = 1.75 s_{\text{max}} = 0.35 c_0, s_3 = c_0 \). In the absence of information about the rebar deformation properties, \( s_1, s_2 \) and \( s_3 \) are taken equal to 1.5 mm, 3.5 mm and 10 mm respectively [34].
The load–deflection relationship at the mid-span of the GFRP-reinforced concrete beam is calculated and compared with the test results [33] and theoretical solution [33] in Fig. 10. As can be seen, the prediction obtained from the current finite element model using Harajli et al.’s [16] bond stress-slip model agrees very well with the experimental results [33] until the applied load exceeds 100 kN. After that, the slope of the calculated load–deflection curve obviously drops and deviation develops. Therefore, the current finite element model using Harajli et al.’s Model could not produce...
accurate prediction at the end of loading process. However, it can be found from this example that Harajli et al.’s Model for steel rebars may be possible to be used for FRP rebars provided that its characteristic parameters are modified based on the experimental tests of FRP rebars in concrete.
4.2.5. Finite element analysis of a GFRP-reinforced concrete beam using the Haskett et al.’s Model
Haskett et al.’s Model for steel rebars in concrete is lastly employed in this numerical example to investigate its applicability for FRP rebars. The values of characteristic parameters in Haskett et al.’s Model were obtained from test data [13]. It is recommended that $\tau_{\text{max}} = 2.5 \sqrt{f'_c}$, $s_1 = 1.5$ mm, and $s_2 = 15$ mm, where $f'_c$ is the concrete compressive strength.
The load versus mid-span deflection relationship of the GFRP-reinforced concrete beam obtained from the finite element model using Haskett et al.’s [17] bond stress-slip model is illustrated in Fig. 11. The results from the experimental test [33] and theoretical study [33] are also shown in Fig. 11 for comparison. As can be seen, the discrepancy between the predicted results and the test data [33] starts at the applied load of about 60 kN, and it develops with the increase of load. The phenomenon obtained by using the Haskett et al.’s Model in this example is similar to that using Harajli et al.’s Model, but the performance of the Haskett et al.’s Model is worse than that of the Harajli et al.’s Model.
4.3. Finite element analysis of a CFRP-reinforced concrete beam
In order to further evaluate the bond stress-slip models for FRP rebars, a CFRP-reinforced concrete beam tested by Rafi et al. [35] is modelled in this section. The beam has an overall length of 2000 mm and a cross-section of $120 \text{ mm} \times 200 \text{ mm}$. Two 9.5 mm-diameter CFRP bars are placed in the tension zone and two 8 mm-diameter steel bars in the compression area. A 20 mm concrete cover is used all around the beam. The beam is simply supported with a span of 1750 mm under a four-point bending load. The compressive strength of the concrete is 41.71 MPa, the ultimate strength and elastic modulus of the CFRP rebars are 1676 MPa and 135.9 GPa respectively, and the yield strength and elastic modulus of the steel rebars are 566 MPa and 194 GPa respectively. The surfaces of the CFRP rebars are textured to increase their bond with the concrete. Eight composite beam elements with 100 concrete layers are used to discretize the CFRP-reinforced concrete beam.
4.3.1. Finite element analysis of a CFRP-reinforced concrete beam using the BPE Modified Model
A grain-covered surface for CFRP rebar is assumed in the finite element analysis since there is no data available for a textured FRP rebar surface in the bond stress-slip model. The load–deflection relationships at the mid-span obtained from the test data [35] and the current modelling with the BPE Modified Model are shown in Fig. 12. Very good agreement between the results obtained from the present model and test data [35] is observed. This example further demonstrates the capability of the BPE Modified Model for accurately modelling the bond-slip behaviour of FRP rebars in concrete and its applicability of being used in the finite element analysis.
Moreover, in addition to the global structural behaviour, local strain distribution on the reinforcing bars which can be used to monitor the bond behaviour between the FRP rebars and surrounding concrete is also calculated. Fig. 13 shows the relationships between the applied load and tensile strain distributions on the surface of the FRP rebar at the mid-span and 275 mm from the support in the shear span of the CFRP-reinforced concrete beam obtained from the current finite element model and experimental test [36]. It should be noted that the locations, from which the
load–strain curves for the current model are obtained, are the Gaussian Points closest to the measured locations. It can be seen that the predicted results from the finite element modelling agree very well with those from the test data [36]. The strain in the CFRP rebars is almost linear up to failure of the beam, which is very similar to its load–deflection relationship. This phenomenon indicates a good transfer of load from the concrete to the reinforcing bars, which agrees well with the findings from the experimental study [36]. The comparison of load–strain curves again validates the appropriateness of using the BPE Modified Model to describe the bond stress–slip relationship of FRP rebars in finite element analysis.
4.3.2. Finite element analysis of a CFRP-reinforced concrete beam using the BPE Model
For finite element analysis using the BPE Model calibrated by Rossetti et al. [24], parameters for reinforcing bars with rough surfaces and embedded in the concrete with low strength are chosen. On the other hand, when employing the BPE Model calibrated by Cosenza et al. [14] in the analysis, parameters for spirally wounded CFRP rebars are selected due to the lack of information for CFRP rebars with textured surfaces in Cosenza et al.’s [14] study.
Fig. 14 shows the load–deflection relationships at mid-span of the CFRP-reinforced concrete beam calculated using the finite element model with the BPE Model, as well as the test data from Rafi et al.’s study [35]. The relationships between the applied load and tensile strain distribution on the surface of the CFRP rebar obtained from the finite element model and the test results [36] are illustrated in Fig. 15.
For the finite element model using the BPE Model calibrated by Cosenza et al. [14], it can be seen from Fig. 14 that the load–deflection curve is in good agreement with the test results from the beginning till the applied load at around 50 kN. After that, a deviation develops. In Fig. 15, it can be seen that the load–strain curve calculated at 275 mm from support of the CFRP-reinforced concrete beam agrees well with the test data until the termination of the calculation while the strains obtained at the mid-span of the beam from the finite element model do not agree as well as the one obtained at 275 mm from support with the test results especially when the applied load exceeds 50 kN, which may be attributed to more bond-slip calculated to take place in the mid-span of the beam. The discrepancies found at the end of loading stage in both load–deflection and load–strain curves maybe because more bond-slip is calculated to take place than the experimental test.
As for the finite element model using the BPE Model calibrated by Rossetti et al. [24], both load–deflection relationship and rebar strain distribution obtained from the finite element model do not agree with the test data [36], which can be seen in Figs. 14 and 15. Therefore, the BPE Model calibrated by Rossetti et al. [24] is not suitable to be employed in the current finite element model.
4.3.3. Finite element analysis of a CFRP-reinforced concrete beam using the CMR Model
In the CMR Model, parameters for CFRP rebars with spirally wounded surface are selected for the present analysis. The load–deflection relationship at mid-span and the rebar strain distribution at mid-span and 275 mm from support calculated
from the finite element model are illustrated in Figs. 16 and 17 respectively, and compared with those obtained from experimental test [35,36].
As can be seen from Figs. 16 and 17, the predicted results agree well with the test data till the applied load at around 40 kN, however, the calculation terminated at the same load level which is much lower than the test result [35,36]. This finding is similar to the one reported in Section 4.2.3, thus it can be concluded that the CMR Model is also not appropriate for being implemented in the finite element analysis.
### 4.3.4. Finite element analysis of a CFRP-reinforced concrete beam using the Harajli et al.’s Model
In this section, the bond stress-slip model proposed by Harajli et al. [16] for steel rebars is employed in the present finite element model to analyse the CFRP-reinforced concrete beam. The load versus mid-span deflection relationship obtained from the current prediction is compared with that from experimental test [35] and shown in Fig. 18. Fig. 19 shows the relationships between the applied load and the rebar strain distribution at mid-span and at 275 mm from support obtained from both finite element analysis and experimental results [36].
It can be seen from Fig. 18 that the predicted results obtained from the current finite element model are in excellent agreement with the test data [35] until the applied load at around 60 kN. The discrepancy between the calculated results and test results [35] is found after that. This phenomenon is similar to that observed in Section 4.2.4. In Fig. 19, there is a very good agreement between the numerical results and test data [36] for the rebar strain at 275 mm from the support, whereas a small amount of discrepancy is found between the two studies at mid-span of the beam, and this discrepancy increases at the end of loading stage. This may be attributed to more bond-slip is predicted to take place in the mid-span, and the capacity of the Harajli et al.’s Model is limited. Based on the above two examples, the Harajli et al.’s Model is found to have potential to be used for modelling of bond-slip behaviour of FRP rebars in concrete, but more efforts are needed to improve this model.
4.3.5. Finite element analysis of a CFRP-reinforced concrete beam using the Haskett et al.’s Model
Haskett et al.’s Model is applied in this section for analysis of the CFRP-reinforced concrete beam. The load–deflection relationship and the load–rebar strain relationships are calculated and shown in Fig. 20 and Fig. 21 respectively. The results from the experimental test [35,36] are also given for comparison.
As can be seen from Fig. 20 that the discrepancy between the predicted load–deflection relation curve and the test data [35] can be found at the applied load of about 45 kN, and it increases with the increase in load. And the predicted maximum bearing load is much lower than the test result [35]. Fig. 21 also shows the imprecise predictions given by the model using Haskett et al.’s [17] bond stress–slip model. This example further demonstrates that the performance of Haskett et al.’s Model is worse than that of Harajli et al.’s Model when being used to model the bond-slip behaviour of FRP rebars in concrete.
5. Parametric study
Based on the numerical evaluation in Section 4, the BPE Modified Model is demonstrated to be the most appropriate bond stress–slip model that currently available for numerical analysis of FRP-reinforced concrete structures, though it has only considered the effect of different rebar surfaces on the bond strength. In order to show the sensitivity of structural behaviour of FRP-reinforced concrete structures to the rebar surface treatment, parametric study is carried out in this section by using four different types of rebar surface. The CFRP-reinforced concrete beam in Section 4.3 is used as the basic model. Four beams, named Beam-R, Beam-B, Beam-G and Beam-S, for CFRP rebars with ribbed, braided, grain-covered and smooth surfaces respectively are analysed. All beams have the same dimensions and loading systems. The load–deflection relationships at mid-span obtained from the current finite element model with the BPE Modified Model are shown in Fig. 22.
It can be seen that CFRP-reinforced concrete beams with different rebar surfaces differ greatly in terms of their flexural behaviour under loading. The concrete beam reinforced with grain-covered CFRP rebars shows the best structural performance and can sustain the most loads with the least deflection whereas the beam reinforced with smooth CFRP rebars performs the worst, which can only bear a small amount of load and fails earlier than the others. The load–deflection curve for Beam-G is almost linear before concrete cracking and there is only a very minor change in the slope of the curve at the end of the loading stage which indicates that a small amount of slippage may take place. Therefore, it can be concluded that a good bond exists between the CFRP bars with grain-covered surfaces and the surrounding concrete.
The load–deflection curves for Beam-R and Beam-B are very close to each other, with both showing linear behaviour at the early stage of loading and being both close to that of Beam-G. Good bonds in both Beam-R and Beam-B are observed until a load of about 53 kN when obvious changes in the slopes of their load–deflection curves are found. This means that the stiffness of each structure decreases suddenly at that point, which may be caused by slip between the reinforcing bars and the surrounding concrete, thereby causing failure in the force transfer across the interface between the two components.
For FRP rebars with smooth surfaces, due to the lack of bonding action between rebar surfaces and the concrete, large slip may take
place as soon as the concrete cracks, even at the initial loading stage. Thus, a sharp increase in deflection occurs which may cause the early failure of the whole structure.
The strain distributions of the rebars at the mid-spans of all these four beams are also computed using the current finite element model and shown in Fig. 23. They also indicate a good bond condition in CFRP rebars with grain-covered surfaces while noticeable slips occur in both Beam-R and Beam-B, and Beam-S fails at a very early loading stage.
6. Conclusions
In order to generate more accurate results for structural analysis of FRP-reinforced concrete structures, it is of great importance to include bond-slip effect of FRP rebars in the finite element model. However, very few mature bond stress-slip models for FRP rebars have been reported so far. In this paper, several currently available bond stress-slip models for steel and FRP rebars are reviewed, and three most promising models for FRP rebars and two models for steel rebars are evaluated by building them into a newly-developed finite element model for analysis of FRP-reinforced concrete beams. Although the Malvar’s Model gives a complete description of the bond stress-slip relation curve of FRP rebars, it is assessed to be less comprehensive and less reliable. The Tighiouhart et al.’s Model describes the ascending part of the bond stress-slip curve, but it is found to have mistake in its expression. By comparing the numerical results, the BPE Model calibrated by Rossetti et al. [24] has found to be not applicable to be implemented in numerical analysis. The BPE Model calibrated by Cosenza et al. [14] can produce much better results than the one calibrated by Rossetti et al. [24] when being used to model the bond-slip behaviour of FRP rebars in numerical model, however, the results are not consistent for different cases. In addition, good predictions can only be generated at the beginning of loading by using the CMR Model, and the predicted bearing capacity is much lower than the test data. The predictions given by the finite element analysis using bond stress-slip models for steel rebars, i.e. Harajli et al.’s Model and Haskett et al.’s Model, are not accurate enough, and the discrepancies develop with the increase in load. From this study, the BPE Modified Model is demonstrated to be the best bond stress-slip model for FRP rebars among the others. In the numerical analyses of GFRP and CFRP-reinforced concrete beams, the finite element model with the BPE Modified Model gives very good predictions for both the global structural behaviour of concrete beams and the local strain on the reinforcing bars, and the calculated results are more accurate and consistent than the others. However, the BPE Modified Model is not without its deficiencies, such as the negligence of the effects of rebar diameter and fibre type in the model, therefore further work on the bond strength and bond stress-slip constitutive relationship of FRP rebars is still in demand, especially the effects of various factors on the bond behaviour should be taken into account.
Parametric study is also carried out based on the BPE Modified Model to investigate the effect of rebar surface on the structural behaviour of FRP-reinforced concrete structures. It is found that the type of rebar surface has a significant influence on bond strength and structural behaviour. The grain-covered surface provides the best bond between the FRP rebars and concrete, the smooth surface the worst, and FRP rebars with ribbed and braided surfaces perform similarly.
References
[1] Cosenza E, Manfredi G, Realfonzo R. Behavior and modeling of bond of FRP rebars to concrete. J Compos Constr 1997;1(2):40–51.
[2] Achillides Z, Pilakoutas K. Bond behavior of fiber reinforced polymer bars under direct pullout conditions. J Compos Constr 2004;8(2):173–81.
[3] Aiello MA, Leone M, Pecce M. Bond performances of FRP rebars-reinforced concrete. J Mater Civ Eng 2007;19(3):205–13.
[4] Okelo R, Yuan RL. Bond strength of fiber reinforced polymer rebars in normal strength concrete. J Compos Constr 2005;9(3):203–13.
[5] Tighiouart B, Benmokrane B, Gao D. Investigation of bond in concrete member with fibre reinforced polymer (FRP) bars. Constr Build Mater 1998;12(8):453–62.
[6] Malvar LJ, Cox JR, Cochran KB. Bond between carbon fiber reinforced polymer bars and concrete: I-experimental. J Compos Constr 2001;7(2):134–63.
[7] Rafi MM, Nadjai A, Ali F. Analytical modeling of concrete beams reinforced with carbon FRP bars. J Compos Mater 2007;41(22):2875–90.
[8] Nour A, Massicotte B, Yildiz E, Koval V. Finite element modeling of concrete structures reinforced with internal and external fibre-reinforced polymers. Can J Civ Eng 2007;34(3):340–54.
[9] Gomes HM, Awruch AM. Some aspects on three-dimensional numerical modelling of reinforced concrete structures using the finite element method. Adv Eng Softw 2001;32(4):257–77.
[10] Ferreira AJM, Camanho P, Marques AT, Fernandes AA. Modelling of concrete beams reinforced with FRP bars. Compos Struct 2001;52(1):107–16.
[11] Ferreira AJM, Ribeiro MCS, Marques AT. Analysis of hybrid beams composed of GFRP profiles and polymer concrete. Int J Mech Mater Des 2004;1(2):143–55.
[12] Rafi MM, Nadjai A, Ali F. Finite element modeling of carbon fiber-reinforced polymer reinforced concrete beams under elevated temperatures. ACI Struct J 2008;105(6):710–10.
[13] Elgiehousen R, Popov EP, Bertero VV. Local bond stress-slip relationships of deformed bars under generalized excitations: experimental results and analytical model. Berkeley: Earthquake Engineering Research Center, University of California; 1983.
[14] Cosenza E, Manfredi G, Realfonzo R. Analytical modeling of bond between FRP reinforcing bars and concrete. In: Taerwe L, editor. Nonmetallic (FRP) reinforcement for concrete structures. London: & FN Spon; 1995. p. 164–71.
[15] Lin X, Zhang YX. A novel composite beam element with bond-slip for nonlinear finite element analyses of steel/FRP-reinforced concrete beams. J Struct Eng 2013. http://dx.doi.org/10.1061/(ASCE)ST.1943-541X.0000829.
[16] Harajli MH, Hout M, Jalikh W. Local bond stress-slip behavior of reinforcing bars embedded in plain and fiber concrete. ACI Mater J 1995;92(4):343–53.
[17] Haskett M, Oehlers DJ, Ali MSM. Local and global bond characteristics of steel reinforcing bars. Eng Struct 2008;30(2):376–83.
[18] Malvar LJ. Bond stress-slip characteristics of FRP rebars. California: Naval Facilities Engineering Service Center; 1994.
[19] Monti C, Spacone E. Reinforced concrete fiber beam element with bond-slip. J Struct Eng 2000;126(6):654–61.
[20] Salari MR, Spacone E. Finite element formulations of one-dimensional elements with bond-slip. Eng Struct 2001;23(7):815–26.
[21] Oliveira RS, Ramalho MA, Corrêa MRS. A layered finite element for reinforced concrete beams with bond-slip effects. Cem Concr Compos 2008;30(3):245–52.
[22] Jendele L, Cervenka J. Finite element modelling of reinforcement with bond. Comput Struct 2006;84(28):1780–91.
[23] Langergren J, Ståhl P, Hanjari KZ, Schluhe H, Roman ASJ. Analytical model for the bond-slip behaviour of corroded ribbed reinforcement. Struct Infrastruct Eng 2012;8(2):157–69.
[24] Rossetti VA, Galeota D, Giannatteo MM. Local bond stress-slip relationships of glass fibre reinforced plastic bars embedded in concrete. Mater Struct 1995;28(6):340–4.
[25] Pecce M, Manfredi G, Realfonzo R, Cosenza E. Experimental and analytical evaluation of bond properties of GFRP bars. J Mater Civ Eng 2001;13(4):282–90.
[26] Focacci F, Nanini A, Bakis CE. Local bond–slip relationship for FRP reinforcement in concrete. J Compos for Constr 2000;4(1):24–31.
[27] Comite Euro-International du Beton. CEB-FIP model code 1990. Lausanne: Thomas Telford Services Ltd.; 1993.
[28] Soroushian P, Choi K-B. Local bond of deformed bars with different diameters in confined concrete. ACI Struct J 1989;86(2):217–22.
[29] Soroushian P, Choi K-B, Park G-H, Aslani F. Bond of deformed bars to concrete: effects of confinement and strength of concrete. ACI Mater J 1991;88(3):227–32.
[30] Yankeelov TE. New finite element for bond-slip analysis. J Struct Eng 1989;115(7):1433–42.
[31] Kwak J-C, Kim S-P. Bond-slip behavior under monotonic uniaxial loads. Eng Struct 2001;23(3):298–309.
[32] Qu W, Zhang X, Huang H. Flexural behavior of concrete beams reinforced with hybrid (GFRP and steel) bars. J Compos Constr 2009;13(5):350–9.
[33] Harajli M, Hamad B, Karam K. Bond-slip response of reinforcing bars embedded in plain and fiber concrete. J Mater Civ Eng 2002;14(6):503–11.
[34] Rafi MM, Nadjai A, Ali F, Talamona D. Aspects of behaviour of CFRP reinforced concrete beams in bending. Constr Build Mater 2008;22(3):277–85.
[35] Rafi MM, Nadjai A, Ali F. Experimental testing of concrete beams reinforced with carbon FRP bars. J Compos Mater 2007;41(22):2657–73.
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EDITOR’S NOTE
It gives me great pleasure to present the spring issue of PHL newsletter. We will soon be meeting at the beautiful city of Peshawar to participate in the 23rd annual symposium of PHL. Prof. Amber Ashraf and her team is busy in organising an excellent scientific moot. We had a meeting in this connection at PHL house with Pharma friends and senior colleagues to ensure a very successful symposium. During the Cardiocon 2019 a meeting of the PHL co ordinators was held to discuss the chapter activities. This proved very productive and the co ordinators came up with excellent ideas to boost the activities. The second certificate course on hypertension management was commenced in December and is well in progress with 15 enthusiastic Family physicians. I request all the worthy members to make it convenient to attend the coming symposium. Chapter co ordinators are expected to bring sizeable delegations and take part in all sessions.
I am sure you will enjoy the start of spring in the beautiful valley of Peshawar and avail the local hospitality.
PHL zindabad
Pakistan paintda bad
Prof. Mohammad Ishaq
We, the Cardiology Department in collaboration with Pakistan Hypertension League, World Hypertension congress has observed World Hypertension Day.
Following activities were conducted:
At Cardiology department, Khyber Medical College and Khyber Teaching Hospital, Peshawar.
1. BP measurement in Khyber Teaching Hospital (different OPD’s) May Month
2. Public awareness walk- regarding checking your BP. (03-05-2019)
3. Symposium on public awareness hypertension. (04-05-2019)
World Hypertension Day walk followed by awareness symposium at CPC basement Khyber Teaching Hospital,
4. May Measurement Month- 2019, Cardiology female doctors checked the BP of all nursing students at nursing school, and different teams of male doctors checked BP at town Mosque, Chief Burger restaurant, Fawad plaza University road and Dean s Shopping mall.
At Cardiology department, Hayatabad Medical Complex, Peshawar
1. BP measurement in Cardiology OPD- May Month
2. Public awareness walk- regarding checking your BP. (03-05-2019)
At Cardiology department, Lady Reading Hospital, Peshawar
1. BP measurement in Cardiology OPD- May Month
2. Public awareness walk- regarding checking your BP. (03-05-2019)
1. Symposium on Hypertension at KPK Level.
Venue: PC Peshawar
Date: 20th June 2019.
Chief Guest: Prof Dr Hafizullah and Prof Dr Adnan Gul
Team: Cardiology Department LRH, KTH, HMC and Preventive section of Cardiology department LRH.
Speakers and talks including
State of art lecture by Prof M. Hafizullah,
Recent updates by Dr Adnan Gul,
Hypertension in Pakistan and introduction about WHD by Dr Amber Ashraf,
Prevention is better than cure by Dr Shazia, Management by Dr Hikmat,
Followed by interactive session, on prevention life style modification and medication.
Target audience GP’s from all KPK districts, nurses, medical college students, students and teachers of different women colleges, TMO, general public.
Participants more than 250.
2. Walk
Venue: University road in front of Khyber Teaching Hospital, Peshawar.
Date: 3rd May 2019
Team: Cardiology department along with Pulmonology department, Nursing Students Khyber Medical College n Khyber Teaching Hospital. Peshawar,
Theme: Know Your Blood Pressure, for general public awareness.
Participants more than 70
3. Free Medical and BP checking camp,
Venue: Cardiology OPD, KTH, Peshawar
Date: 2nd May 2019
Team: Cardiology department KTH,
Theme: MMM- (May Measurement Month) and Know Your Blood Pressure, for general public awareness.
Participants more than 120
4. Symposium on Hypertension.
Venue: Cardiology OPD, KTH, Peshawar
Date: 4th May 2019
Team: Cardiology department KTH,
Theme: MMM- (May Measurement Month) Know Your Blood Pressure,
Target audience: TMO’s Nurses and HO at KTH -MTI,
Participants more than 110
Speaker: Dr Amber Ashraf and Dr Farooq.
The program focused on awareness of hypertension diseases in women. The importance of healthy lifestyle changes was highlighted. Useful tips were given how to reduce mental stress and importance of heart healthy diet was emphasized. Q&A session with nurses students and female technicians.
Focal person PHL- KP Chapter was identified, For observing World Hypertension Day, at all district level and we arranged following activities:
a) Walk for public awareness regarding hypertension its prevention and complication.
b) Regarding MMM (May Measurement Month, 2019), arrangement for BP measurement camps for general population screening at all district, (trained team join and work together) and information recorded on data sheets, supervised by focal person and chapter co-ordinator.
Press Conference and Media motivation for general public awareness
PHL Hyderabad Chapter and Celebrations of Other Societies
Pakistan Hypertension League, Hyderabad Chapter organised the celebrations of World Heart Day and World Diabetes Day.
On 10th October 2019, PHL Hyderabad Chapter arranged World Heart Day Celebrations at DHQ Jamshoro (Kotri), where Prof. Feroz Memon gave an excellent talk on Heart Diseases. The event was observed attended by Professors and Faculty Members followed by a walk and tree plantation.
On 15th November 2019, PHL Hyderabad Chapter celebrated World Diabetes Day. Prof. Sami Ullah Shaikh gave a speech on updates in diabetes and its management. Many doctors, postgraduates, and faculty members attended the programme.
Target Blood Pressure and Blood Pressure Measurement
On 28th November 2019, PHL Hyderabad Chapter arranged a talk on Target Blood Pressure and Blood Pressure Measurement, presented by Dr. Abdul Rab Shaikh.
Hypertension and its complications and proper blood pressure measurement methods were discussed.
The presentation was attended by 35 postgraduates. The presentation was interactive and case-based, followed by a Q&A session.
PHL NEWSLETTER
WORLD HYPERTENSION DAY 2019
HYDERABAD CHAPTER
Dr. Fakhruddin Shaikh
HYPERTENSION BOOTH
On 10th November 2019, PHL Hyderabad Chapter arranged a local free Blood Pressure, Blood Sugar and Blood Cholesterol checking camp at Jamia Cloth Market, Latifabad unit No. 8, Hyderabad with the cooperation of local authority.
We have screened the local people, shopkeepers, and found newly diagnosed cases of HTN. 348 patients were screened and checked, and we gave them free consultation check-up at hospitals for further management.
Phase 1.0 of this booth done. Other booths will soon be launched around Hyderabad at 8 different spots to collect the local data.
NAWABSHAH CHAPTER
Dr. Qurban Ali Rahu
A walk was arranged to celebrate WHD. All department doctors, industry people, paramedic joined the walk. Public awareness talk was delivered at different points during the walk. A talk on hypertension was given by faculty for postgraduate students. Hypertension clinic was arranged for the whole month of May.
The secretary general of PHL, Prof Dr Mohammad Ishaq Sb inaugurated Swat chapter of PHL, on 5th October 2019.
The activity was organized by Cardiology Deptt; Saidu Teaching Hospital (STH), Swat. The inauguration ceremony was held in Cardiology Deptt, STH, Swat.
The ceremony was presided by Prof Dr Mohammad Ishaq Sb. Medical Superintendent of STH, Swat, Prof Dr Gulshan Hussain Farooqi was the Chief guest and former Coordinator of PHL Swat Chapter, Prof Dr Aziz Ahmad was the guest of honor. A good number of house officers, post graduate trainees and faculty of Deptt; of Medicine and Allied attended the function.
The session was addressed by former Swat Chapter Coordinator, new coordinator of Swat Chapter and then a detail presentation on Aims & Objectives, organizational structure and activities of PHL were presented by Prof Dr Mohammad Ishaq Sb. The Secretary General PHL also discussed in detail the epidemiological details of Hypertension, its preventive strategies, drug treatment and future research prospects in the field of Hypertension.
At the end of the session, the Secretary General presented souvenirs to the dignitaries. All the participants were offered lunch after the session.
THE FOLLOWING WILL BE THE ORGANIZATIONAL STRUCTURE OF PHL SWAT CHAPTER
1. **Coordinator**
Assoc. Prof. Dr. Hafiz Ur Rehman
2. **Secretary**
Assiss. Prof. Dr. Abdul Hadi
3. **Treasurer**
Senior Registrar Dr. Bilal Ahmad
4. **Chairman Scientific Committee**
Senior Registrar Dr. Sayed Javed Bacha
5. **Executive Members**
Assiss. Prof. Dr. Iftikhar Ahmad and Dr. Amjad Ali Shah
A meeting held in Hyatt Place Dubai hotel on 4th October 2019 of PHL and PCS council with cardiologists from UAE and Gulf region. 15 to 20 cardiologist of Pakistani origin attended meeting they were from Dubai, Abu Dhabi, Alain, Sharja, Bahrain and a group of 20 cardiologists from Pakistan. In this meeting finally long awaited PCS and PHL Gulf chapter announced.
Dr. ABDUL REHMAN Interventional Cardiologist from PRIME HEALTH CARE GROUP Dubai is announced as the COORDINATOR, Dr Mohammad Arif from Zayed Military Hospital Abu Dhabi as the Secretary, Dr Zubair Memon from Aster Clinic Dubai as treasurer and Dr. Yasir from Canadaian Hospital Dubai as a chairman scientific committee.
Dr Abdul Rehman briefly discussed the need of Gulf Chapter in this region. Prof Mohammad Ishaq SECRETARY GENERAL OF PAKISTAN HYPERTENSION LEAGUE and Prof Feroz Memon the PRESIDENT PAKISTAN CARDIAC SOCIETY Briefly presented the activities of PHL and PCS all over the Pakistan and abroad. Finally Dr ABDUL REHMAN the CORODINATOR of PCS AND PHL Gulf chapter paid a vote of thanks to all participants. Later the participants were served with tea and refreshments.
PHL NEWSLETTER
WORLD HYPERTENSION DAY 2019
CALENDAR OF EVENTS
17th Malaysian Annual Hypertension Congress 2020
February 14-16, 2020
Kuala Lumpur, Malaysia
World Congress of Nephrology
March 26-29, 2020
Abu Dhabi, UAE
WHL-ISN Joint Session
March 26-29, 2020
Abu Dhabi, UAE
PreHT Conference 2020
April 2-5, 2020
Vilnius, Lithuania
ESO-WSO 2020
May 15-20, 2020
Vienna, Austria
Joint ESH-ISH 2020 Meeting
May 29 - June 1, 2020
Glasgow, Scotland
5th Global Summit on Circulatory Health
June 15-17, 2020
Washington DC
PHL COUNCIL
President: Prof. Saulat Siddique
Vice President: Prof. Abid Amin Khan
Secretary General: Prof. Mohammad Ishaq
Joint Secretary: Prof. Abdul Rasheed Khan
Treasurer: Prof. Khalida Soomro
Editor: Prof. Mohammad Ishaq
Assistant Editor: Dr. Fawad Farooq
Circulation Assistant: Malik Muhammad Javed
Publication Assistant: Attiq ur Rehman
Supported by:
An educational grant from PharmEvo (Pvt.) Ltd.
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The Clinton County Board of Commissioners convened in open session in the Commissioners Meeting Room at the Clinton County Courthouse, Frankfort, Indiana, on March 6, 2017 at 9:00 A.M.
On call to order the following members were shown to be present or absent:
**PRESENT**
Scott Shoemaker
Josh Unitts
**ABSENT**
Steve Woods
Others in attendance were Kevin Myers, Wanda Mitchell, Sheriff Jeff Ward, Ron Gascho, Chris Overman, Clark Beard, Leanne Doerlein, Carol Bartley, Sherri Crews, Ken Hartman, Greg Miller, Dan Sheets, Darrell Sanders and others as listed in the minutes. Auditor Cathy J. Hamilton recorded the proceedings of the meeting.
**PLEDGE OF ALLEGIANCE**
Commissioner Shoemaker led the Pledge of Allegiance.
**IN THE MATTER OF PUBLIC COMMENT**
Commissioner Shoemaker asked for public comment and none was received.
**IN THE MATTER OF TREASURER BOND**
Treasurer Carol Bartley presented her bond for signature.
**IN THE MATTER OF 2017 CERTIFICATE SALE**
Treasurer Carol Bartley reported the two properties to be condemned will be kept on the March 15, 2017 certificate sale.
Surveyor Dan Sheets reported the Drainage Board moved to remove parcel 12-10-01-353-001-000-021 Sycamore Run pond area from the March 15, 2017 certificate sale. Commissioner Shoemaker seconded. Motion carried 2-0.
**IN THE MATTER OF EMS**
EMS Director Greg Miller presented contract with Arbor Professional Solutions that work through AccuMed for collections. No objection was received.
**IN THE MATTER OF HIRAM HASH**
Clerk Sherri Crews presented 12-MONTH SERVICE AGREEMENT with Hiram J. Hash & Sons, Inc. in the amount of $659.00.
No objection was received.
**COMMISSIONER REPORTS**
Commissioner Unitts reported American Structure Point is working with the Sheriff Dept jail roof. EMS will be developing a budget for personnel and equipment to present to the Council.
Commissioner Shoemaker reported they have received Bridge 36 documents for review.
**IN THE MATTER OF MINUTES**
No objection to the minutes of the February 21, 2017 meeting, the February 28, 2017 Special Session and the February 28, 2017 Executive Session.
IN THE MATTER OF CLAIMS
Commissioner Shoemaker reported the claims were presented to the Commissioners last week for review and asked if there were any objections to the claims. None was received.
All claims are approved as presented:
February 24, 2017 Friday claims in the amount of $7,791.46.
February 24, 2017 Friday claims in the amount of $9.50.
March 3, 2017 Friday claims in the amount of $31,544.40.
March 6, 2017 court claims in the amount of $23,091.93.
March 6, 2017 bi-weekly claims in the amount of $153,344.41.
IN THE MATTER OF PAYROLL
Commissioner Shoemaker asked for any objections to the payroll claims. None was received.
Payroll claims pass as presented:
Payroll period ending February 17, 2017 payroll claims in the amount of $330,871.59.
Payroll change notices for EMS and Clerk were presented for review.
Commissioner Uitts moved to adjourn at 9:09 a.m. Commissioner Shoemaker seconded. Motion carried 2-0.
THE BOARD OF COMMISSIONERS OF CLINTON COUNTY
Scott T. Shoemaker, President
Josh Uitts
Steve Woods
ATTEST:
Cathy J. Hamilton, Auditor
The Clinton County Board of Commissioners convened in open session in the Commissioners Meeting Room at the Clinton County Courthouse, Frankfort, Indiana, on March 20, 2017 at 9:00 A.M.
On call to order the following members were shown to be present or absent.
PRESENT
Steve Woods
Josh Utits
ABSENT
Scott Shoemaker
Others in attendance were: Commissioner Assistant Theresa Martin, Attorney Tom Little, Kevin Myers, Wanda Mitchell, Sheriff Jeff Ward, Ron Gascho, Clark Beard, Leanne Doerfllein, Ken Hartman, Greg Miller, Dan Sheets, Joe Mink, Mark Mills, Mike Waldron, Brock Walker, Shan Sheridan and others as listed in the minutes. Auditor Cathy J. Hamilton recorded the proceedings of the meeting.
PLEDGE OF ALLEGIANCE
Commissioner Utits led the Pledge of Allegiance.
IN THE MATTER OF PUBLIC COMMENT
Commissioner Utits asked for public comment and none was received.
IN THE MATTER OF HIGHWAY
Highway Superintendent Kevin Myers reported:
The trucks have been hauling stone in preparation of starting to spread the gravels very soon. We have been able to keep them in pretty good shape. The drugs are widening the roads out as they go down them. We will continue to do this until we spread them. Hopefully we can get the dust control down in early May.
We had to deal with snow on a couple occasions but have yet to plow any this winter.
I will be on vacation from March 27th to March 31st. If anything is needed at the Highway, please call Rick Campbell, 765-652-0851. I will still be answering calls and emails too.
Two new trucks will be in this week.
IN THE MATTER OF AREA PLAN
Mark Mills reported:
Three structures for demolition have been posted.
The owner of the Sedalia School property reported work is progressing and he recommended having the owner appear at the next meeting.
The tall grass ordinance needs to be updated soon.
Commissioner Woods stated the cost of mowing locations in unincorporated towns is extremely expensive and moved to revise the ordinance to say within a cluster of homes. Commissioner Utits seconded. Motion carried 2-0.
Attorney Little will revise the ordinance.
IN THE MATTER OF PAUL PHILIPPE VEHICLE GRANT
Commissioner Woods moved to accept the Purchase Order for three vehicles for the Paul Phillipe Resource Center to be paid from a grant. Commissioner Utits seconded. Motion carried 2-0.
IN THE MATTER OF FAIR COUNCIL
Fair Council President Brock Walker gave the following report:
Actively pursuing building sponsorships.
The Horseman’s Association has submitted a grant request to the State for new siding on two of the horse barns and new venting on an additional barn.
Structural contractor evaluated the grandstands and were pleased with the structural integrity.
Created parking around the 4-H Community building by removing sod and the old concrete.
Will be removing the diesel and gasoline fuel tanks off our property and setting up a fleet card for diesel fuel.
The manure pits will be consolidated to a permanent location.
Construction continues on the 4-H Community building and is nearing its end for the inside.
May 20th will be an environmental day at the fairgrounds for all 4-H club kids and parents.
The Council is looking at some ground projects and seeking additional funding from the County.
Removal and replacement of fencing along Jackson St. and grandstands.
Infield drainage, removal of fencing, remove and dispose of old bleachers and removal of one telephone pole.
Removal of all mulch on the property.
Removal of seven to ten dead trees.
Re-working the ground and drainage around the 4-H Community building.
Pour concrete for new centralized manure pit with proper drainage.
Commissioner Woods recommended Mr. Walker to advise the County Council of projects and request for additional funds.
IN THE MATTER OF DEPARTMENT REPORTS
SHERIFF
Sheriff Ward and Joe Mink presented a vehicle replacement plan with a lease agreement for seven vehicles on a two year cycle. The price is locked in and purchase of vehicles for $1 at the end of the lease. Warranty will be available. The vehicle maintenance budget should decrease. Commissioner Woods moved to back the lease and moved forward with ordering vehicles. Commissioner Uitts seconded. Motion carried 2-0.
EMS
Director Greg Miller reported the County Council has approved a three year leasing program for two ambulances with ownership at the end of lease.
Mr. Miller presented BITCO insurance report on the EMS building.
Mulberry Volunteer EMS is requesting $2,500 for interior work on their station and $1,000 for replacement of chairs. Commissioners Uitts and Woods support $3,500 for building rent to come from the courthouse maintenance budget.
IN THE MATTER OF MINUTES
Commissioner Woods moved to approve minutes of the March 6, 2017 meeting. Commissioner Uitts seconded. Motion carried 2-0.
IN THE MATTER OF CLAIMS
Commissioner Uitts reported the claims were presented to the Commissioners last week for review.
Commissioner Woods moved to approve all claims as presented. Commissioner Uitts seconded. Motion carried 2-0.
March 10, 2017 Friday claims in the amount of $17,250.90.
March 17, 2017 Friday claims in the amount of $1,2151.48.
March 10, 2017 Friday claims in the amount of $61,193.55.
March 20, 2017 court claims in the amount of $16,005.49.
March 20, 2017 bi-weekly claims in the amount of $69,916.74.
March 20, 2017 bi-weekly claims in the amount of $3,697.60.
March 20, 2017 bi-weekly claims in the amount of $339,100.29.
10 minute recess at 9:25 a.m.
Meeting reconvened at 9:45 a.m.
IN THE MATTER OF PIONEER RESTORATION
John Reed of Pioneer Restoration presented photos of repair work needed on the courthouse including the north elevation clock, painting and statue on the east side. He has a county paid replacement statue in his shop.
Commissioner Woods moved to adjourn at 9:55 a.m. Commissioner Uitts seconded. Motion carried 2-0.
THE BOARD OF COMMISSIONERS OF CLINTON COUNTY
Scott T. Shoemaker, President
Josh Uitts
ATTEST:
Cathy J. Hamilton, Auditor
MEMORANDUM AND CERTIFICATION
OF
EXECUTIVE SESSION CLINTON COUNTY BOARD OF COMMISSIONERS
March 28, 2017
The undersigned President and members of the Board of Commissioners, gathered at 8:30 a.m., on March 28, 2017, for an executive session pursuant to notice duly given and posted.
The executive session was held in the Commissioners’ Room, 125 Courthouse Square, Frankfort, Indiana, pursuant to I.C. 5-14-1.5-6, (b)(2)(B) for discussion referencing litigation that is either pending or has been threatened specifically in writing. The undersigned certify that no subject matter was discussed in the executive session other than the subject matter specified in the public notice, as recited above.
CLINTON COUNTY BOARD OF COMMISSIONERS
Scott Shoemaker
Josh Kitts
Steve Woods
ATTEST:
Cathy J. Hamilton, Auditor
IN THE MATTER OF PIONEER RESTORATION
John Reed of Pioneer Restoration presented photos of repair work needed on the courthouse including the north elevation clock, painting and statue on the east side. He has a county paid replacement statue in his shop.
Commissioner Woods moved to adjourn at 9:55 a.m. Commissioner Utits seconded. Motion carried 2-0.
THE BOARD OF COMMISSIONERS OF CLINTON COUNTY
Scott T. Shoemaker, President
Josh Utits
Steve Woods
ATTEST:
Cathy J. Hamilton, Auditor
|
The Evolving Forum Shopping System
Christopher A. Whytock
Follow this and additional works at: http://scholarship.law.cornell.edu/clr
Part of the Law Commons
Recommended Citation
Christopher A. Whytock, The Evolving Forum Shopping System, 96 Cornell L. Rev. 481 (2011)
Available at: http://scholarship.law.cornell.edu/clr/vol96/iss3/8
This Article is brought to you for free and open access by the Journals at Scholarship@Cornell Law: A Digital Repository. It has been accepted for inclusion in Cornell Law Review by an authorized administrator of Scholarship@Cornell Law: A Digital Repository. For more information, please contact email@example.com.
THE EVOLVING FORUM SHOPPING SYSTEM
Christopher A. Whytock†
This Article uses empirical analysis to provide a new understanding of transnational litigation in U.S. courts. According to conventional wisdom, the United States has a forum shopping system with two features that encourage plaintiffs to file claims in U.S. courts, even when those claims involve foreign parties or foreign activity: a permissive approach to personal jurisdiction, giving plaintiffs broad court access, and a strong tendency of U.S. judges to apply plaintiff-favoring domestic law. This forum shopping system purportedly contributes to a rising tide of transnational litigation in the United States. Scholars and interest groups have therefore proposed new anti–forum shopping measures aimed at curtailing transnational litigation in U.S. courts.
This Article shows that the forum shopping system has evolved and that it no longer encourages plaintiffs to pursue transnational claims in U.S. courts to the extent it supposedly once did. It also presents empirical evidence that transnational litigation in the United States may have actually decreased, not increased, over the last two decades. The analysis suggests that new anti–forum shopping measures may not be as urgent or necessary as their advocates claim. If adopted, such measures could unduly limit access to justice for both American and foreign citizens who, in our era of globalization, are increasingly affected by transnational activity.
INTRODUCTION ................................................................. 482
I. A THEORY OF FORUM SHOPPING .................................. 485
II. THE FORUM SHOPPING SYSTEM AND ITS CONSEQUENCES:
THE CONVENTIONAL UNDERSTANDING ............................. 490
A. The American Forum Shopping System ....................... 490
1. Court Access .................................................. 491
2. Choice of Law .............................................. 493
B. The Transnational Litigation Explosion ..................... 495
† Acting Professor of Law and Political Science, University of California, Irvine School of Law. For very helpful suggestions, I thank Tim Büthe, Paul Cassell, Kevin Clermont, Lincoln Davies, Kevin Johnson, Ralf Michaels, Rachel Moran, Austen Parrish, Tonya Putnam, Kirk Randazzo, Tony Smith, Michael Solimine, Alan Tauber, Louise Weinberg, and Jennifer Whytock. I also thank participants at the 2009 Annual Meeting of the American Political Science Association and the 2010 Southern California Junior Law Faculty Workshop, and participants at workshops at BYU Law School, University of California, Irvine School of Law, and the University of Utah S.J. Quinney College of Law, where I presented earlier drafts of this Article. Finally, I thank Christine Poleshuk and Carter Maudsley for excellent research assistance, Meredith McNett for tracking down hard-to-find sources, and Mary Wheeler for help with the manuscript.
III. The Forum Shopping System and Its Consequences: A New Understanding ........................................ 497
A. The Current Forum Shopping System .................. 498
1. Court Access ........................................... 498
2. Choice of Law ......................................... 504
B. Transnational Litigation: An Empirical Assessment .. 506
1. The Importance of Alienage Litigation .............. 506
2. The Decline of Alienage Litigation .................. 507
IV. A Closer Look at the System: Forum Non Conveniens in Action .................................................. 516
A. Potential Determinants of Forum Non Conveniens Decisions ....................................................... 517
B. Empirical Findings ....................................... 522
Conclusion ................................................................ 529
INTRODUCTION
The claim that the United States is experiencing a litigation explosion has long been a fixture of American discourse.\(^1\) Using careful empirical analysis, legal scholars and social scientists have challenged this claim and provided a more realistic picture of the American legal system.\(^2\) As one scholar puts it, the litigation explosion is “more rhetorical than real.”\(^3\)
In our era of globalization, however, this claim has taken on a new twist. It is now widely believed that the United States is experiencing an explosion of transnational litigation—litigation involving foreign parties or foreign activity.\(^4\) Far from being merely rhetorical, a highly plausible logic supports this belief: Globalization entails increasingly frequent interactions between U.S. and foreign citizens,
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\(^1\) See, e.g., Walter K. Olson, *The Litigation Explosion: What Happened When America Unleashed the Lawsuit* (1991); see also Marc Galanter, *Reading the Landscape of Disputes: What We Know and Don’t Know (and Think We Know) About Our Allegedly Contentious and Litigious Society*, 31 UCLA L. Rev. 4, 5–10 (1983) (surveying the history of the litigation explosion claim).
\(^2\) See generally William Haltom & Michael McCann, *Distorting the Law: Politics, Media, and the Litigation Crisis*, 74 (2004) (reviewing scholarly research and concluding that it has “significantly qualified if not refuted claims about mushrooming litigation . . . and [has] provided a far more reasonable portrait of our civil legal system and its workings”); Marc Galanter, *The Day After the Litigation Explosion*, 46 Md. L. Rev. 3, 5–10 (1986) (using litigation-rate data to challenge the litigation explosion claim).
\(^3\) Michael J. Saks, *If There Be a Crisis, How Shall We Know It?*, 46 Md. L. Rev. 63, 63 (1986).
\(^4\) See, e.g., Spencer Weber Waller, *A Unified Theory of Transnational Procedure*, 26 Cornell Int’l L.J. 101, 102 (1993) (noting “explosive growth of transnational litigation” in U.S. courts); see also infra Part II.B (documenting this belief).
thus leading to more transnational disputes.\textsuperscript{5} The United States has substantive and procedural laws that are more advantageous to plaintiffs than the laws of other countries.\textsuperscript{6} And, according to the conventional understanding, two features of the U.S. legal system encourage plaintiffs to bring transnational disputes to the United States by promising access to these advantages.\textsuperscript{7} First, the United States employs a permissive approach to personal jurisdiction, giving plaintiffs—both domestic and foreign—broad access to U.S. courts. Second, U.S. judges have a strong tendency to apply the U.S. substantive law that plaintiffs often prefer, even in lawsuits arising out of events occurring in foreign countries.\textsuperscript{8} Together, these features constitute what Louise Weinberg has aptly called a “forum shopping system.”\textsuperscript{9}
Unlike the standard version of the litigation explosion claim, this more recent transnational variant has so far escaped empirical scrutiny, perhaps precisely because of its plausibility. Yet such scrutiny is sorely needed. Based on legitimate concerns about the potentially adverse economic and political consequences of excessive transnational forum shopping, scholars and interest groups are calling for legal reforms aimed at reducing the flow of transnational litigation into U.S. courts.\textsuperscript{10} But these reforms could themselves entail significant costs, such as reduced access to justice, negative repercussions for foreign relations, and underregulation of transnational activity.\textsuperscript{11} The risk is that exaggerated perceptions of transnational litigation in the United States could result in exaggerated policy responses that carry their own adverse consequences.
This Article uses empirical analysis to provide a new, more up-to-date understanding of the American forum shopping system and its impact on transnational litigation in U.S. courts. Specifically, it argues that the forum shopping system has evolved and no longer encourages plaintiffs to file transnational suits in U.S. courts to the extent it
\textsuperscript{5} See Andrew S. Bell, \textit{Forum Shopping and Venue in Transnational Litigation} 335 (2003) (“[T]he . . . emergence of a global economy[ is] a factor which has been apt to generate an increased number of disputes with a transnational dimension . . . .”).
\textsuperscript{6} See Russell J. Weintraub, \textit{Introduction to Symposium on International Forum Shopping}, 37 Tex. Int’l L.J. 463, 463–64 (2002) (describing proplaintiff features of the U.S. legal system).
\textsuperscript{7} See infra Part II.A (documenting and explaining this understanding).
\textsuperscript{8} As used in this Article, \textit{U.S. law} refers to either U.S. state law or U.S. federal law.
\textsuperscript{9} Louise Weinberg, \textit{Against Comity}, 80 Geo. L.J. 53, 68 (1991).
\textsuperscript{10} See, e.g., Inst. for Legal Reform, \textit{Global Forum Shopping Fact Sheet} (2008), http://www.instituteforlegalreform.com/images/stories/documents/pdf/GlobalForumShoppingFactSheet.pdf (advocating reforms to reduce global forum shopping into U.S. courts); Alan O. Sykes, \textit{Transnational Forum Shopping as a Trade and Investment Issue}, 37 J. Legal Stud. 339, 368–74 (2008) (proposing doctrinal changes to reduce forum shopping); see also infra Conclusion (discussing proposed anti-forum shopping measures).
\textsuperscript{11} See generally Cassandra Burke Robertson, \textit{Transnational Litigation and Institutional Choice}, 51 B.C. L. Rev. 1081 (2010) (discussing these costs); infra Conclusion (same).
supposedly once did. Moreover, this Article presents evidence suggesting that there actually has been less—not more—transnational forum shopping into U.S. courts over the last two decades. Thus, new anti-forum shopping measures may not be as appropriate or urgent as advocates of these measures suggest, particularly in light of the potential costs of such measures.
This Article proceeds in four main parts. Part I outlines the theoretical foundations for understanding forum shopping behavior and forum shopping systems. Drawing on strategic choice theory, it argues that, other things being equal, the greater plaintiffs' expectations of favorable court access and choice-of-law decisions in a particular legal system, the more likely they are to file transnational suits in that system's courts, thus increasing levels of transnational litigation in those courts. Generalizing from Weinberg's concept, Part I defines a forum shopping system as the features of a legal system that influence forum shopping behavior by shaping these expectations.
Part II explains the conventional understanding of the American forum shopping system and its effects on transnational litigation in U.S. courts. The system's permissive approach to personal jurisdiction raises expectations of favorable court access decisions, and its pro-domestic-law bias creates high expectations of favorable choice-of-law decisions. The system is therefore said to encourage plaintiffs to forum shop into the United States, thus contributing to a transnational litigation explosion.
Part III empirically evaluates the conventional understanding and finds that it is no longer accurate. First, in the current American forum shopping system, U.S. judges aggressively use the doctrine of forum non conveniens to dismiss transnational suits, thereby offsetting the effects of permissive personal jurisdiction, and they no longer exhibit pro-domestic-law bias. Second, at least one major form of transnational litigation in the United States has become less, not more, frequent over the last two decades: alienage litigation—litigation over which U.S. federal courts have jurisdiction because the dispute is between a U.S. citizen and a foreign citizen.\(^{12}\) This finding cuts against the claim that transnational litigation in U.S. courts is increasing.
As Part III argues, the forum non conveniens doctrine plays a central role in the current forum shopping system. However, we know very little about how judges actually make forum non conveniens decisions. Part IV addresses this gap in our understanding of the American forum shopping system by presenting a systematic empirical analysis of forum non conveniens decision making. The results sug-
\(^{12}\) See 28 U.S.C. § 1332(a)(2) (2006) (providing for alienage jurisdiction in controversies between "citizens of a [U.S.] State and citizens or subjects of a foreign state").
gest that judges’ forum non conveniens decisions do a better job distinguishing between appropriate and inappropriate forum shopping, are more predictable, and are less influenced by caseload and ideology than the doctrine’s critics indicate. However, the results also reveal evidence of significant discrimination against foreign plaintiffs, at least in decisions by judges nominated by Republican presidents. This finding may raise questions about the United States’ compliance with equal-access provisions in bilateral friendship, commerce, and navigation treaties.
The Article concludes by drawing out the broader implications of its analysis for legal scholarship and for proposed new anti-forum shopping measures.
I
A THEORY OF FORUM SHOPPING
Forum shopping is a plaintiff’s decision to file a lawsuit in one court rather than another potentially available court.\textsuperscript{13} Domestic forum shopping occurs when a plaintiff chooses between two or more courts within a single country’s legal system, whereas transnational forum shopping occurs when the choice is between the courts of two or more countries’ legal systems.\textsuperscript{14} Some commentators use the term \textit{forum shopping} to refer to lawsuits filed by foreign plaintiffs in U.S. courts.\textsuperscript{15} However, a U.S. plaintiff’s decision to file a transnational suit in a U.S. court is also forum shopping insofar as the decision represents a choice between that court and an available court in another country.\textsuperscript{16}
\textsuperscript{13} See Friedrich K. Juenger, \textit{Forum Shopping, Domestic and International}, 63 Tul. L. Rev. 553, 554 (1989) (“[F]orum shopping connotes the exercise of the plaintiff’s option to bring a lawsuit in one of several different courts.”). The term \textit{forum shopping} is sometimes used pejoratively. See Note, \textit{Forum Shopping Reconsidered}, 103 Harv. L. Rev. 1677, 1683–89 (1990) (discussing, but challenging, reasons for this negative view). However, it is important not to embed the definition of forum shopping with assumptions about whether it is an appropriate behavior. To do so would conflate two distinct modes of analysis: (1) descriptive analysis of forum shopping and its consequences, and (2) normative analysis of forum shopping. Because sound normative analysis of forum shopping depends on accurate evidence regarding actual forum shopping behavior and its consequences, these two modes of analysis should be kept distinct.
\textsuperscript{14} See Sykes, \textit{supra} note 10, at 339; cf. Juenger, \textit{supra} note 13, at 560 (distinguishing domestic and international forum shopping).
\textsuperscript{15} See, e.g., \textit{Global Forum Shopping}, Inst. for Legal Reform, http://www.instituteforlegalreform.com/component/irl_issues/29/item/GFS.html?expand=1 (last visited Nov. 9, 2010) (“Global forum shopping is a disturbing new trend in which foreign plaintiffs take advantage of the unusually expansive features of the American judicial system to file lawsuits in U.S. courts.”).
\textsuperscript{16} See Daniel J. Dorward, \textit{The Forum Non Conveniens Doctrine and the Judicial Protection of Multinational Corporations from Forum Shopping Plaintiffs}, 19 U. Pa. J. Int’l Econ. L. 141, 165 (1998) (noting that “a domestic plaintiff injured abroad is as likely to forum shop in the United States as is a foreign plaintiff”); Linda J. Silberman, \textit{Developments in Jurisdiction}
Forum shopping depends on two conditions: First, as the foregoing definition implies, more than one court must be potentially available for resolving the plaintiff's claim.\textsuperscript{17} Second, the potentially available legal systems must be heterogeneous.\textsuperscript{18} If all legal systems were the same, plaintiffs would have little reason to prefer one court instead of another.\textsuperscript{19} In contrast, the heterogeneity of legal systems means that a plaintiff may be more likely to win (and likely to recover more) in some legal systems than others, thus creating an incentive to forum shop.\textsuperscript{20}
In transnational disputes, these two conditions are frequently satisfied. By definition, transnational disputes have connections to more than one country.\textsuperscript{21} These connections may be territorial when the activity or its effects touch the territory of more than one country; or they may be based on legal relationships between a country and the actors engaged in or affected by that activity, such as citizenship.\textsuperscript{22} Because of these multicountry connections, there will often be a potentially available court in more than one country.\textsuperscript{23} And because the world's legal systems are not uniform, transnational disputes will also generally satisfy the heterogeneity condition.\textsuperscript{24}
By comparing potentially available courts, a plaintiff can determine the court in which she prefers to pursue her claim. From a simple rational choice perspective, she will choose the court in which the
\textsuperscript{17} Andrew Bell refers to this condition as "concurrent jurisdiction." \textit{See} Bell, \textit{supra} note 5, at 5 ("The existence of concurrent jurisdiction is the \textit{sine qua non} for [forum shopping].").
\textsuperscript{18} \textit{See id.} at 25 ("The raison d'être for forum shopping lies in lack of uniformity throughout the world's legal systems . . . .").
\textsuperscript{19} Even if legal systems were formally homogeneous, nonlegal differences could motivate forum shopping. \textit{See} Arthur Taylor von Mehren, \textit{Theory and Practice of Adjudicatory Authority in Private International Law: A Comparative Study of the Doctrine, Policies and Practices of Common- and Civil-Law Systems} 194 (2003) ("A party will, other things being equal, prefer to litigate in a forum that is, geographically speaking, readily accessible, impartial (or even inclined to favour him), and whose administration of justice is within his cultural and legal tradition.").
\textsuperscript{20} \textit{See} Bell, \textit{supra} note 5 ("[T]he venue in which a transnational dispute is to be resolved may be of vital importance for the ultimate outcome of the dispute. This will especially be so the greater the differences, whether in matters of procedure, substantive principles of law, or conflict of law rules, between potentially available forums.").
\textsuperscript{21} \textit{See} Merriam-Webster's Collegiate Dictionary 1329 (11th ed. 2004) (defining "transnational"); Christopher A. Whytock, \textit{Domestic Courts and Global Governance}, 84 Tul. L. Rev. 67, 71 n.11 (2009) (same).
\textsuperscript{22} \textit{See} Whytock, \textit{supra} note 21.
\textsuperscript{23} \textit{See} Bell, \textit{supra} note 5, at 5 (noting that in transnational litigation, "there will invariably be a number of potential forums whose jurisdictional rules would, prima facie at least, permit the dispute to be entertained").
\textsuperscript{24} \textit{See id.} at 15 (noting "lack of uniformity . . . in states' internal laws").
expected value of her claim (less the costs of litigation) is the highest based on the substantive and procedural rules of that court’s legal system.\textsuperscript{25} For example, commentators generally believe that “compared with foreign courts, United States forums offer a plaintiff both lower costs and higher recovery.”\textsuperscript{26}
But forum shopping is not simply a matter of analyzing substantive and procedural law to estimate the comparative expected values of claims. It also depends on plaintiffs’ expectations about two types of court decisions: court access decisions and choice-of-law decisions. In a court access decision, a court determines whether it will allow a plaintiff’s claim to proceed in that court. For example, court access decisions in the United States include subject matter jurisdiction, personal jurisdiction, and forum non conveniens decisions. If a court grants a motion to dismiss for lack of subject matter or personal jurisdiction or based on the forum non conveniens doctrine, the plaintiff’s claim cannot proceed in that court.\textsuperscript{27} A plaintiff is unlikely to incur the costs of filing a lawsuit in a particular court unless she believes that there is some chance of a favorable court access decision.\textsuperscript{28} Stated more generally, other things being equal, the higher a plaintiff’s expectation that a particular court will make a favorable court access decision, the more likely she is to file a lawsuit in that court.\textsuperscript{29}
\textsuperscript{25} This perspective is based on the standard rational-choice model of the decision to sue, according to which a plaintiff will only file a claim if the expected value of the claim (the probability that the plaintiff will win, $p$, times the amount of recovery if it wins, $w$, less the costs of suit, $c$) is greater than zero. The so-called “filing condition” is thus $(p*w) - c > 0$. \textit{Robert G. Bone}, \textit{Civil Procedure: The Economics of Civil Procedure} 33–34 (2003). Extending this basic model to transnational forum shopping, a rational plaintiff will file her claim in the legal system that maximizes $(p*w) - c$. \textit{See} Debra Lyn Bassett, \textit{The Forum Game}, 84 N.C. L. Rev. 333, 383 (2006) (“The law regularly provides more than one authorized, legitimate forum in which a litigant’s claims may be heard. To shop among those legitimate choices for the forum that offers the potential for the most favorable outcome is the only rational decision under rational choice theory and game theory because forum shopping maximizes the client’s expected payoff.”); Nita Ghei & Francesco Parisi, \textit{Adverse Selection and Moral Hazard in Forum Shopping: Conflicts Law as Spontaneous Order}, 25 Cardozo L. Rev. 1367, 1372 (2004) (“[P]laintiffs will generally seek to file claims in jurisdictions where the expected net gain is the largest.”).
\textsuperscript{26} Russell J. Weintraub, \textit{International Litigation and Forum Non Conveniens}, 29 Tex. Int’l L.J. 321, 323 (1994).
\textsuperscript{27} \textit{See generally} Allan R. Stein, \textit{Forum Non Conveniens and the Redundancy of Court-Access Doctrine}, 133 U. Pa. L. Rev. 781, 786–94 (1985) (arguing that these different types of court-access decisions are largely redundant).
\textsuperscript{28} In terms of the rational-choice model, other things being equal, the lower the expectation of a favorable court-access decision, the lower the value of $p$, and the lower the value of $p$, the less likely the filing condition will be satisfied in a particular legal system and the less likely that $(p*w) - c$ will be maximized in that system.
\textsuperscript{29} \textit{Cf.} Michael E. Solimine, \textit{The Quiet Revolution in Personal Jurisdiction}, 73 Tul. L. Rev. 1, 12 (1998) (“Rational litigants will take into account the prevailing (and shifting) biases of personal jurisdiction in deciding whether to bring a case at all, and in what forum, and whether (and how far) to litigate the personal jurisdiction defense, once suit is brought.”).
In a choice-of-law decision, a court decides whether to apply its own legal system’s substantive law or a foreign system’s substantive law.\textsuperscript{30} Like court access decisions, choice-of-law decisions can have important implications for forum shopping, particularly transnational forum shopping.\textsuperscript{31} For example, even if a plaintiff files a transnational suit in a U.S. court because she prefers U.S. substantive law, and even if the court makes a favorable court access decision, the plaintiff will not obtain the sought-after benefits of U.S. substantive law unless the court also decides to apply U.S. law rather than the substantive law of another country that also has connections to the dispute. In this sense, choice-of-law decisions can be understood as “law access” decisions. Insofar as a plaintiff’s preference for a court in a particular legal system stems from a preference for that system’s substantive law, then, other things being equal, the higher the plaintiff’s expectation that the court will apply its own domestic law, the higher the likelihood that the plaintiff will select that court.\textsuperscript{32}
In these ways, forum shopping is strategic behavior—that is, behavior by one actor that depends not only on that actor’s preferences but also on her expectations about the behavior of other actors.\textsuperscript{33} Forum shopping behavior is based not only on a plaintiff’s preference for a particular legal system’s substantive and procedural law but also on the court access and choice-of-law decisions of courts. After all, those decisions will determine whether a plaintiff will be able to ob-
\textsuperscript{30} Christopher A. Whytock, \textit{Myth of Mess? International Choice of Law in Action}, 84 N.Y.U. L. Rev. 719, 724 (2009). Ordinarily, domestic courts apply domestic procedural law without making a choice-of-law decision. Eugene F. Scoles et al., \textit{Conflict of Laws} 128 (4th ed. 2004).
\textsuperscript{31} See Ralph U. Whitten, \textit{U.S. Conflict-of-Laws Doctrine and Forum Shopping}, \textit{International and Domestic (Revisited)}, 37 Tex. Int’l L.J. 559, 567–68 (2002) (noting the impact of choice-of-law doctrine on international forum shopping and arguing that it is stronger than the impact on domestic forum shopping). In addition to the relatively simple relationship between choice of law and forum shopping described here, there can be more complex forum shopping behavior, such as where a plaintiff selects a court because its choice-of-law rules point to the preferred substantive law of another legal system.
\textsuperscript{32} Cf. Ghei & Parisi, \textit{supra} note 25, at 1372 (“[T]he certainty of knowing that forum law will always apply could . . . encourage[e] forum shopping.”).
\textsuperscript{33} Cf. Robert Cover, \textit{The Uses of Jurisdictional Redundancy: Interest, Ideology, and Innovation, in Narrative, Violence, and the Law: The Essays of Robert Cover} 51, 58–59 (Martha Minow et al. eds., 1992) (describing “strategic behavior entailed in forum shopping”). Strategic behavior occurs when one actor’s ability to further his or her goals depends on how other actors behave. Under these conditions, each actor’s decisions must take into account the expected actions of those other actors. See David A. Lake & Robert Powell, \textit{International Relations: A Strategic-Choice Approach}, in \textit{Strategic Choice and International Relations} 3, 3–6 (David A. Lake & Robert Powell eds., 1999) (noting that “choices . . . are frequently strategic; that is, each actor’s ability to further its ends depends on how other actors behave, and therefore each actor must take the actions of others into account”). Thus, the strategic behavior of an actor is a function not only of that actor’s preferences but also of that actor’s expectations about the behavior of other relevant actors.
tain the substantive and procedural benefits of her preferred legal system. If the court decides to deny access, the plaintiff will not be able to pursue her claim in that court at all; if the court allows access but decides not to apply its own domestic substantive law, she will not secure the benefits of that law.
Generalizing from Weinberg’s concept,\textsuperscript{34} I define a forum shopping system as those features of a legal system that influence levels of forum shopping into that system by shaping plaintiffs’ expectations of favorable court access and choice-of-law decisions. According to strategic choice theory, an actor’s expectations about the behavior of another actor are based largely on inferences about the other actor’s future behavior drawn from that other actor’s past behavior.\textsuperscript{35} For this reason, strategic behavior is largely a function of available information about the past behavior of other actors. In forum shopping, this information includes published court access and choice-of-law decisions.\textsuperscript{36} By publishing such decisions—either in official reporters or in widely available electronic databases such as LexisNexis or Westlaw—a court signals how it likely will decide similar future cases, influencing plaintiffs’ expectations of favorable court access and choice-of-law decisions.\textsuperscript{37} Thus, the key features of a forum shopping system may include not only prominent published opinions but also
\textsuperscript{34} See Weinberg, \textit{supra} note 9, at 68 (“What has evolved seems to be a forum shopping system. The plaintiff can sue the defendant in any number of states having ‘minimum contacts’ with, or general jurisdiction over, the defendant . . . [and] [t]he forum is free to apply its own law to any issue it has some interest in governing.” (footnotes omitted)).
\textsuperscript{35} See Lake & Powell, \textit{supra} note 33, at 9 (observing that without knowing how the other party will act, “the [actor] has to base her decision on the [other party’s] past behavior”).
\textsuperscript{36} Court decisions are not necessarily the only source of information. Repeat players may develop intuitions based on their own direct litigation experience, regardless of publication, with these intuitions giving repeat players an advantage over other parties in transnational litigation. See generally Marc Galanter, \textit{Why the “Haves” Come Out Ahead: Speculations on the Limits of Legal Change}, 9 \textit{Law \& Soc’y Rev.} 95, 97–104 (1974) (discussing the advantages of repeat players in litigation).
\textsuperscript{37} In the United States, most court decisions are not published. See Kevin M. Clermont \& Theodore Eisenberg, \textit{Litigation Realities}, 88 \textit{Cornell L. Rev.} 119, 125–26 (2002) (explaining that published decisions are a small percentage of total court decisions and are not necessarily representative of unpublished decisions). Unpublished decisions are, of course, important and known to the parties to the particular suits in which courts make the decisions. However, because parties beyond these particular suits are unlikely to have widespread knowledge of these decisions, unpublished decisions are unlikely to be as important as published decisions in shaping the expectations of plaintiffs in general. See Hillel Y. Levin, \textit{Making the Law: Unpublication in the District Courts}, 53 \textit{Vill. L. Rev.} 973, 988 (2008) (“[Unpublished] opinions cannot be systematically reviewed and researched without immense resources.”); Stephen L. Wasby, \textit{Unpublished Court of Appeals Decisions: A Hard Look at the Process}, 14 \textit{S. Cal. Interdisc. L.J.} 67, 96 (2004) (noting that “[a]n unpublished disposition is, more or less, a letter from the court to parties familiar with the facts’ . . . [and] ‘is not written in a way that will be fully intelligible to those unfamiliar with the case’” (quoting Hart v. Massanari, 266 F.3d 1155, 1176, 1178 (9th Cir. 2001))).
more general patterns of court access and choice-of-law decision making in published decisions.
In summary, forum shopping is a form of strategic behavior that depends, among other things, on expectations about favorable court access and choice-of-law decisions. A forum shopping system refers to those features of a legal system—including published court decisions—that affect levels of litigation in that system by shaping plaintiffs’ expectations of favorable court access and choice-of-law decisions. A forum shopping system affects transnational litigation levels because, other things being equal, the higher plaintiffs’ expectations of favorable court access and choice-of-law decisions by courts in a particular legal system, the more lawsuits plaintiffs will file there.
II
THE FORUM SHOPPING SYSTEM AND ITS CONSEQUENCES: THE CONVENTIONAL UNDERSTANDING
Using the theoretical framework developed in Part I, this Part explains the conventional understanding of the American forum shopping system and its consequences for transnational litigation in the United States. According to this understanding, the system has two key features that encourage plaintiffs to file transnational suits in U.S. courts: a permissive approach to personal jurisdiction (which fosters high expectations of favorable court access decisions) and pro-domestic-law bias in choice-of-law decision making (which creates high expectations of favorable choice-of-law decisions). This system is said to have contributed to a transnational litigation explosion.
A. The American Forum Shopping System
When making forum shopping decisions, plaintiffs involved in transnational disputes will often prefer to litigate in the United States because the substantive and procedural laws of the United States often are more favorable to plaintiffs than those of other countries. Substantively, U.S. law is “more likely than foreign law to allow recovery and allow it for more elements of harm.” For example, the United States offers not only theories of strict liability but also punitive
38 See infra Part II.A.
39 See infra Part II.B.
40 See Weintraub, supra note 26, at 323–24 (explaining reasons for this preference).
41 See Jack L. Goldsmith & Alan O. Sykes, Lex Loci Delictus and Global Economic Welfare: Spinozzi v. ITT Sheraton Corp., 120 HARV. L. REV. 1137, 1137 (2007) (“The substantive tort law and related procedural mechanisms available in U.S. courts are generally much more favorable to plaintiffs, and produce much larger recoveries, than the law and procedures available in foreign courts.”).
42 Weintraub, supra note 26, at 323; see also Whitten, supra note 31, at 567 (comparing foreign “substantive law of liability or remedies that is either anti-recovery or that would
damages.\textsuperscript{43} Procedurally, the United States offers advantages including liberal pretrial discovery, trial by jury, contingency fee arrangements, and the so-called “American rule,” whereby a losing plaintiff ordinarily is not liable for the defendant’s attorney fees.\textsuperscript{44} Together, these substantive and procedural advantages for plaintiffs purportedly make the United States a “magnet forum,” a forum that “attract[s] the aggrieved and injured of the world.”\textsuperscript{45}
However, as indicated by the theory of forum shopping developed in Part I, forum shopping behavior depends not only on plaintiffs’ substantive and procedural law preferences but also on their expectations about court access decisions and choice-of-law decisions—expectations that the forum shopping system shapes.\textsuperscript{46} According to the conventional understanding, two features of the American forum shopping system encourage transnational forum shopping into U.S. courts by raising plaintiffs’ expectations that U.S. courts will grant them court access and give them the benefits of favorable U.S. substantive and procedural rules: a permissive approach to personal jurisdiction and a pro-domestic-law bias in choice-of-law decision making.
1. \textit{Court Access}
The first feature of the American forum shopping system is said to be a permissive approach to personal jurisdiction. One can best understand this feature by comparing it to an earlier approach to personal jurisdiction that was based on the Supreme Court’s 1878 decision in \textit{Pennoyer v. Neff}.\textsuperscript{47} In \textit{Pennoyer}, the Supreme Court adopted a strict territorial approach to personal jurisdiction that provided for two primary grounds of jurisdiction over nonconsenting foreign defendants: seizure of the defendant’s property within the forum state’s territory or service of process on the defendant within the forum state’s territory.\textsuperscript{48} Under this approach, a plaintiff ordinarily could
\textsuperscript{43} See Russell J. Weintraub, \textit{Choice of Law for Products Liability: Demagnetizing the United States Forum}, 52 ARK. L. REV. 157, 163 (1999) (noting advantages of strict liability and punitive damages in the United States).
\textsuperscript{44} See Weintraub, \textit{supra} note 26 (discussing these advantages); see also Silberman, \textit{supra} note 16, at 502 (“Courts in the United States attract plaintiffs, both foreign and resident, because they offer procedural advantages beyond those of foreign forums . . . ”).
\textsuperscript{45} Weintraub, \textit{supra} note 6, at 463; see also Bell, \textit{supra} note 5, at 28 (calling the United States “a forum shopper’s delight”).
\textsuperscript{46} See \textit{supra} Part I.
\textsuperscript{47} 95 U.S. 714, 722 (1878).
\textsuperscript{48} See id. (“[N]o State can exercise direct jurisdiction and authority over persons or property without its territory.”). Courts did not require territorial presence when there was express or implied consent of the defendant. Jack H. Friedenthal et al., \textit{Civil Procedure} 106 (4th ed. 2005). Eventually, the concept of implied consent developed into “a
pursue litigation against a nonconsenting defendant only in those U.S. states in which the defendant either had property or could be served—and if no such states existed, the plaintiff would not have access to any U.S. court to sue the defendant.\textsuperscript{49} The ruling in \textit{Pennoyer} thus “created a system in which . . . a plaintiff’s choice of forum was severely limited.”\textsuperscript{50}
The current U.S. approach to personal jurisdiction—derived from the Supreme Court’s 1945 decision in \textit{International Shoe Co. v. Washington}\textsuperscript{51}—is considerably more permissive than its approach under \textit{Pennoyer}.\textsuperscript{52} In \textit{International Shoe}, the Court held that
due process requires only that in order to subject a defendant to a judgment \textit{in personam}, if he be not present within the territory of the forum, he have certain minimum contacts with it such that the maintenance of the suit does not offend “traditional notions of fair play and substantial justice.”\textsuperscript{53}
Thus, physical presence of the defendant’s property or person in the forum state’s territory is no longer required.\textsuperscript{54}
This approach makes it easier for a plaintiff to establish personal jurisdiction over a defendant even when the defendant is outside the United States, even when the activity that gave rise to the dispute occurred outside the United States, and regardless of whether the plaintiff
\textsuperscript{49} As William Richman and William Reynolds explain:
Absent in-state service, courts upheld jurisdiction over non-domiciliary natural persons only if they could infer consent from the defendant’s engaging in activities that were closely regulated by the state. If defendant caused personal or economic injury as a result of simply travelling through the state or engaging in unregulated business activity in the state, the state courts could not compel him to appear and defend. The resident plaintiff was forced to travel to defendant’s home to litigate.
The ability of the territorial theory to reach the corporate defendant was similarly limited; if the corporation was not doing business locally, the state could not exercise jurisdiction. “Doing business” meant activity of a systematic and continuous nature, but a corporation by dint of a modern chain of distribution could derive very substantial economic benefit from a state without doing business there.
\textit{William M. Richman & William L. Reynolds, Understanding Conflict of Laws} 29 (3d ed. 2002) (footnotes omitted).
\textsuperscript{50} Stein, \textit{supra} note 27, at 802.
\textsuperscript{51} 326 U.S. 310 (1945).
\textsuperscript{52} See Shaffer v. Heitner, 433 U.S. 186, 204 (1977) (“The immediate effect of this departure from \textit{Pennoyer’s} conceptual apparatus was to increase the ability of the state courts to obtain personal jurisdiction over nonresident defendants.”); von Mehren, \textit{supra} note 19, at 399 (arguing that “American jurisdictional theory became even more embracive and, in the view of some, more aggressive” after \textit{International Shoe}).
\textsuperscript{53} \textit{Int’l Shoe}, 326 U.S. at 316 (quoting Milliken v. Meyer, 311 U.S. 457, 463 (1940)).
\textsuperscript{54} See id. (allowing for jurisdiction even “if [defendant] be not present within the territory of the forum”).
tiff is a U.S. or foreign citizen.\textsuperscript{55} For example, under the theory of specific jurisdiction, personal jurisdiction may be based on slight contacts with a U.S. state’s territory if those contacts are related to the plaintiff’s claim.\textsuperscript{56} And under the theory of general jurisdiction, personal jurisdiction may exist in a U.S. state even if the defendant’s contacts with that state are unrelated to the plaintiff’s claim provided that those contacts are sufficiently extensive.\textsuperscript{57}
A plaintiff can access the substantive and procedural advantages of the U.S. legal system only if a U.S. court has personal jurisdiction over the defendant.\textsuperscript{58} The United States’ permissive approach to personal jurisdiction increases the likelihood that a plaintiff will have access to these advantages, thereby encouraging plaintiffs to file transnational lawsuits in U.S. courts.\textsuperscript{59}
2. \textit{Choice of Law}
According to the conventional understanding, the second feature of the forum shopping system is strong pro-domestic-law bias in choice-of-law decision making. Until the 1950s, territoriality dominated choice of law just as it had dominated personal jurisdiction. Joseph Story’s influential \textit{Commentaries on the Conflict of Laws}, pub-
\textsuperscript{55} See Goldsmith & Sykes, \textit{supra} note 41, at 1144 (noting that “U.S. firms and firms with close U.S. connections can be sued in U.S. courts for torts committed outside the United States”); Linda J. Silberman, \textit{The Impact of Jurisdictional Rules and Recognition Practice on International Business Transactions: The U.S. Regime}, 26 \textit{Hous. J. Int’l L.} 327, 336 (2004) (noting that “multinational defendants with offices or extensive activities in the United States can be sued here even on claims that bear no relationship to the activities in the United States”).
\textsuperscript{56} See Friedenthal et al., \textit{supra} note 48, at 129–30.
\textsuperscript{57} See id.
\textsuperscript{58} Without personal jurisdiction, a plaintiff’s transnational lawsuit is subject to dismissal. \textit{Fed. R. Civ. P.} 12(b)(2).
\textsuperscript{59} See von Mehren, \textit{supra} note 19, at 191 (“The analysis employed [in \textit{International Shoe}] increases the number of available forums, with the result that ordinarily a plaintiff’s forum is produced.”); Juenger, \textit{supra} note 13, at 557 (arguing that \textit{International Shoe} “enhanced the potential for forum shopping” because it was “intended to expand rather than to constrict” personal jurisdiction); Peter Huber, \textit{Courts of Convenience or Have Lawsuit, Will Travel}, \textit{Regulation}, Sept./Oct. 1985, at 18, 20 (arguing that \textit{International Shoe’s} minimum-contacts test allows many large corporations to “be sued everywhere”). Some litigants and interest groups use this logic as part of their legal strategies. For example, in \textit{Goodyear Luxembourg Tires, S.A. v. Brown}, now pending before the Supreme Court, the petitioners and their amici curiae supporters are using claims about permissive personal jurisdiction and its impact on forum shopping to argue for a more restrictive approach to general jurisdiction in transnational product liability actions. \textit{See} Brief for Petitioners at 9, \textit{Goodyear}, No. 10-76 (U.S. Nov. 19, 2010), 2010 WL 4624153 at *9 (arguing that approving North Carolina’s approach to general jurisdiction—based on which it asserted jurisdiction over petitioners—would be an “invitation to rampant forum shopping”); Brief of the Org. for Int’l Inv. & Ass’n of Int’l Auto. Mfrs. Inc. as Amici Curiae in Support of Petitioner at 16, \textit{Goodyear}, No. 10-76 (U.S. Nov. 19, 2010), 2010 WL 4803149 at *16 (asserting that “[t]he U.S. legal system has had a problem with forum shopping” and that affirming the state court’s decision “would dramatically expand opportunities for forum shopping”).
lished in 1834, began with the premise that the laws of each state bind persons within that state’s territory but not beyond.\textsuperscript{60} To justify a domestic court’s application of foreign law, Story relied on a theory of comity.\textsuperscript{61} The reporter for the American Law Institute’s 1934 First Restatement of Conflict of Laws, Joseph Beale, adopted Story’s territorial approach but rejected the theory of comity in favor of a theory of vested rights to justify the application of foreign law by a domestic court.\textsuperscript{62} Reflecting Beale’s twin principles of territoriality and vested rights, the First Restatement’s general choice-of-law rule for tort cases was that a court should apply “the law of the place of wrong.”\textsuperscript{63} The First Restatement defines the “place of wrong” as “the state where the last event necessary to make an actor liable for an alleged tort takes place.”\textsuperscript{64} Usually this was the location where the plaintiff was injured since liability does not arise without injury.\textsuperscript{65} For contract cases, the rule was that the law of the place of contracting should apply.\textsuperscript{66} The First Restatement’s territorial choice-of-law rules are widely understood to have limited the substantive-law incentive for plaintiffs to forum shop into U.S. courts.\textsuperscript{67} After all, “[i]t would do the plaintiff no good to sue in a forum with favorable domestic law if a court there would apply the law of some other jurisdiction.”\textsuperscript{68}
However, beginning in the 1950s, U.S. courts increasingly discarded the classic territorial approaches to choice of law embodied in Story’s Commentaries and the First Restatement; instead, courts began replacing them with various modern choice-of-law methods,\textsuperscript{69} the most prominent of which is the “most significant relationship”
\textsuperscript{60} See Joseph Story, Commentaries on the Conflict of Laws 7 (Boston, Hilliard, Gray, & Co. 1834) (“It is plain, that the laws of one country can have no intrinsic force . . . except within the territorial limits and jurisdiction of that country.”).
\textsuperscript{61} Id. at 7–8 (“Whatever extra-territorial force [a nation’s laws] are to have, is the result, not of any original power to extend them abroad, but of that respect, which from motives of public policy other nations are disposed to yield to them . . . .”); see also Scoles et al., supra note 30, at 18–20 (describing this approach and noting that it “was generally accepted as an operational theory in the courts during the half century from 1850–1900”).
\textsuperscript{62} See Scoles et al., supra note 30, at 20–21 (explaining Beale’s vested-rights theory).
\textsuperscript{63} Restatement (First) of Conflict of Laws §§ 377–378 (1934).
\textsuperscript{64} Id. § 377.
\textsuperscript{65} Scoles et al., supra note 30, at 713.
\textsuperscript{66} Restatement (First) of Conflict of Laws § 311.
\textsuperscript{67} See Ghei & Parisi, supra note 25, at 1374 (arguing that, in theory at least, “[a]s long as the rules [of the First Restatement] are applied consistently, the same substantive law should apply to identical facts, resulting in identical outcomes . . . [and that t]his rules-based system would eliminate forum shopping by ensuring uniform and predictable results.”). But see Juenger, supra note 13, at 559 (noting the anti-forum shopping purpose of a place-of-wrong approach but arguing that various “escape devices” enabled judges to deviate from strict territoriality, thus diluting its anti-forum-shopping effects).
\textsuperscript{68} Weintraub, supra note 26, at 323.
\textsuperscript{69} See generally Richman & Reynolds, supra note 49, at 180 (noting that the traditional First Restatement choice-of-law system “prevailed in most American courts until the work of a new generation of judges and scholars began to supplant it in the [1950s] and
method set forth in the Second Restatement of Conflict of Laws.\textsuperscript{70} Rather than emphasizing a single territorial connecting factor—as was the case under the First Restatement—the modern approaches generally involve more flexible multifactor tests.\textsuperscript{71}
According to choice-of-law scholars, this “choice-of-law revolution” gave rise to a strong bias in favor of applying domestic law.\textsuperscript{72} This bias is said to be the second key feature of the forum shopping system. As one leading choice-of-law scholar argues, the modern approaches have an “inherent forum law preference.”\textsuperscript{73} As another puts it, “if [plaintiffs’ attorneys] are competent they will at least be generally aware that the U.S. court selected will apply a modern conflicts approach that has . . . pro-forum, pro-recovery tendencies . . . .”\textsuperscript{74} This pro-domestic-law bias purportedly encourages transnational forum shopping into U.S. courts by raising plaintiffs’ expectations that judges will apply plaintiff-favoring U.S. substantive law in transnational litigation.\textsuperscript{75}
B. The Transnational Litigation Explosion
By encouraging plaintiffs to file transnational lawsuits in U.S. courts, the American forum shopping system is said to have combined with the process of globalization to create a transnational litigation explosion.\textsuperscript{76} Globalization entails increasingly numerous transna-
\textsuperscript{70} \textit{Restatement (Second) of Conflict of Laws} § 145 (1971).
\textsuperscript{71} See Whytock, \textit{supra} note 30, at 725–28 (describing these modern methods).
\textsuperscript{72} See, e.g., Scoles et al., \textit{supra} note 30, at 107 (noting “homeward trend” in American choice of law); Goldsmith & Sykes, \textit{supra} note 41, at 1137 (“[C]ompared to the \textit{lex loci} rule, the modern rules have one unmistakable consequence: they make it more likely that the forum court will apply local tort law to wrongs that occurred in another jurisdiction.”); Whitten, \textit{supra} note 31, at 560 (arguing that “[b]oth the empirical evidence and the existing scholarly consensus . . . indicate that there is a strong tendency under all modern conflicts systems to apply forum law”); see also Symeonides, \textit{supra} note 69, at 334 (noting “widely held assumption” that courts applying modern methods have strong pro-forum-law bias).
\textsuperscript{73} Friedrich K. Juenger, \textit{Choice of Law and Multistate Justice} 148 (spec. ed. 2005).
\textsuperscript{74} Whitten, \textit{supra} note 31, at 568.
\textsuperscript{75} See Juenger, \textit{supra} note 13, at 558 (arguing that modern choice-of-law methods’ forum-law tendency “present[s] yet another incentive to the forum shopper”); Whitten, \textit{supra} note 31 (describing the impact of pro-domestic-law bias on transnational forum shopping).
\textsuperscript{76} See, e.g., Harold Hongju Koh, \textit{Transnational Public Law Litigation}, 100 Yale L.J. 2347, 2365 (1991) (referring to the post-1970s “explosion of transnational commercial litigation in United States courts” (emphasis omitted)); Waller, \textit{supra} note 4, at 102 (noting “explosive growth of transnational litigation” in U.S. courts); John Bies, Comment, \textit{Conditioning Forum Non Conveniens}, 67 U. Chi. L. Rev. 489, 489 (2000) (noting the “explosion of international civil litigation in U.S. courts”).
tional interactions.\textsuperscript{77} More transnational interactions give rise to more transnational disputes.\textsuperscript{78} And plaintiffs purportedly bring a disproportionately large number of these disputes to U.S. courts because the American forum shopping system promises them access to favorable U.S. substantive and procedural laws.\textsuperscript{79} The theory of forum shopping presented in Part I supports this logic: the permissive approach to personal jurisdiction should create high expectations of favorable court access decisions, and the pro-domestic-law bias should create high expectations of favorable choice-of-law decisions, thus encouraging plaintiffs to file transnational claims in U.S. courts.
Thus, many observers assume that transnational litigation in U.S. courts is increasing.\textsuperscript{80} As one observer puts it, “certain facts on the ground are clear: [i]n recent decades, litigation in U.S. courts with a foreign or international component has been growing in volume and
\textsuperscript{77} \textit{Cf.} David Held & Anthony McGrew, \textit{Globalization/Anti-Globalization} 1 (2002) (defining globalization as “expanding scale, growing magnitude, speeding up and deepening impact of transcontinental flows and patterns of social interaction”).
\textsuperscript{78} See Bell, \textit{supra} note 5, at 4 (“Quite simply, more international trade means more transnational disputes, contractual, quasi-contractual, and arising from the negligent provision of goods and services.”); David W. Robertson, \textit{The Federal Doctrine of Forum Non Conveniens: “An Object Lesson in Uncontrolled Discretion,”} 29 Tex. Int’l L.J. 353, 367–68 (1994) (“[D]evelopments in industrial, communications, and transportation technology have facilitated international activity, which in turn has multiplied the number of international disputes.”); Frank Eric Marchetti, Comment, \textit{Alienage Jurisdiction over Stateless Corporations: Revealing the Folly of Matimak Trading Company v. Khalily}, 36 San Diego L. Rev. 249, 250 (1999) (“One unavoidable consequence of increased interaction between citizens of the United States and . . . foreign businesses will be an increase in legal disputes involving parties from foreign countries.”).
\textsuperscript{79} See Sykes, \textit{supra} note 10, at 339 (“Plaintiffs regularly bring tort and tortlike cases in U.S. courts seeking damages for harms that have occurred abroad, attracted by higher expected returns than are available in the jurisdiction in which the harm arose.”); Weintraub, \textit{supra} note 6, at 463 (describing the United States as “first among the world’s magnet forums”).
\textsuperscript{80} See, e.g., Société Nationale Industrielle Aérospatiale v. U.S. Dist. Court for the S. Dist. of Iowa, 482 U.S. 522, 552 (1987) (Blackmun, J., concurring in part and dissenting in part) (noting that “transnational litigation is increasing”); Jenny S. Martinez, \textit{Towards an International Judicial System}, 56 Stan. L. Rev. 429, 441–42 (2003) (stating that “with the ‘globalization’ of any number of aspects of human endeavor—commerce, communications including the Internet, crime, human rights—the importance of transnational issues in national courts has grown,” and that “the number of cases with transnational elements has also continued to increase”); Eugene J. Silva, \textit{Practical Views on Stemming the Tide of Foreign Plaintiffs and Concluding Mid-Atlantic Settlements}, 28 Tex. Int’l L.J. 479, 480 (1993) (“Over the last fifteen years . . . multinational litigation has demonstrated particularly sustained growth.”); Molly M. White, \textit{Home Field Advantage: The Exploitation of Federal Forum Non Conveniens by United States Corporations and Its Effects on International Environmental Litigation}, 26 Loy. L.A. L. Rev. 491, 493 (1993) (“As the world has become more interdependent, the amount of litigation between foreign citizens and United States nationals also has escalated.”). In prior scholarship, I also made this assumption. See Whytock, \textit{supra} note 21, at 74 (noting that “legal scholars speculate that globalization and the intensifying transnational interactions it entails have caused transnational litigation to grow in recent decades”).
also in complexity."81 According to another, "the last thirty years have seen a growing torrent of cases with international and foreign issues."82 Although both U.S. plaintiffs and foreign plaintiffs can forum shop transnational claims into U.S. courts, some commentators focus specifically on the latter.83 For example, one scholar describes a "tide of foreign plaintiffs against United States shores."84 According to another, "[t]he number of lawsuits filed in the United States by foreign plaintiffs against U.S. corporations has increased considerably over the past fifteen years."85
III
THE FORUM SHOPPING SYSTEM AND ITS CONSEQUENCES: A NEW UNDERSTANDING
The conventional understanding of the American forum shopping system and its consequences is highly plausible. However, perhaps precisely because of its plausibility, it has largely escaped empirical scrutiny.86 This Part empirically evaluates the conventional understanding and finds that it is no longer accurate. This Part therefore provides a new and more up-to-date understanding of the American forum shopping system and its impact on transnational litigation in U.S. courts. It argues that the forum shopping system has evolved
---
81 Paul R. Dubinsky, The Future of Transnational Litigation in U.S. Courts: Distinct Field or Footnote?, 101 Am. Soc'y Int'l. L. Proc. 365, 366 (2007).
82 Harold Hongju Koh, Transnational Litigation in United States Courts v (2008).
83 See, e.g., John M. Barcus, Money (It's What They Want): Quantifying Damage Awards for Foreign Tort Victims in United States Admiralty Courts, 21 Rev. Litig. 635, 658 (2002) (noting but not necessarily agreeing with the claim that there is a "tidal wave of foreign plaintiffs clogging up the dockets in our courts"); Douglas W. Dunham & Eric F. Gladbach, Forum Non Conveniens and Foreign Plaintiffs in the 1990s, 24 Brook. J. Int'l L. 665, 665–66 (1999) (claiming that number of product-liability claims filed by foreign plaintiffs in U.S. courts increased in the 1990s); Paul G. Cereghini & John D. Sear, Huddled Masses Yearning to Strike It Rich: Foreign Plaintiffs Shopping for Gold in American Courts, Law.com (July 17, 2009), http://www.law.com/jsp/article.jsp?id=1202432312841 ("With increased frequency, American companies conducting operations abroad face lawsuits in American courts by foreign plaintiffs seeking the benefits of the American system of justice."); Global Forum Shopping, supra note 15 (identifying "global forum shopping" as a "disturbing new trend in which foreign plaintiffs take advantage of the unusually expansive features of the American judicial system to file lawsuits in U.S. courts"); John Niblock, Obscure Statute Has Prompted Flood of Foreign Claims in U.S. Courts, Roll Call (Sept. 3, 2003), http://www.rollcall.com/features/Global-Trade_2003/global_trade/2661-1.html (claiming that "U.S. plaintiffs' lawyers are crowding U.S. court dockets with product liability, environmental tort, unfair wage, and human rights claims on behalf of hundreds of thousands of foreign plaintiffs").
84 Silva, supra note 80, at 481.
85 Don Mayer & Kyle Sable, Yes! We Have No Bananas: Forum Non Conveniens and Corporate Evasion, 4 Int'l. Bus. L. Rev. 130, 131 (2004).
86 In fact, there is a general lack of empirical analysis of forum shopping and its consequences. See Juenger, supra note 13, at 553–54 (noting the absence of "in-depth study, empirical or otherwise, that focuses on [forum shopping]").
in a manner that no longer encourages transnational forum shopping into U.S. courts to the extent it supposedly once did; and, contrary to claims that there is a transnational litigation explosion, it demonstrates that at least one important form of transnational litigation—alienage litigation—has actually been decreasing.
A. The Current Forum Shopping System
The conventional understanding of the American forum shopping system is based largely on developments that took place decades ago, particularly the Supreme Court’s 1945 decision in *International Shoe* and the American choice-of-law revolution that began in the 1950s.\(^{87}\) In this subpart, I use a combination of doctrinal and empirical analysis to update our understanding of the American forum shopping system. Specifically, I identify two key differences between the current American forum shopping system and the system described by the conventional understanding. First, by aggressively using the forum non conveniens doctrine to dismiss transnational litigation, the U.S. district courts have significantly offset the incentives that permissive personal jurisdiction created. Second, there no longer appears to be a pro-domestic-law bias in international choice-of-law decision making. The evidence indicates that the American forum shopping system has evolved in a direction that has made it less likely to encourage transnational forum shopping into U.S. courts than it supposedly once did.
1. Court Access
A key feature of the current American forum shopping system is the forum non conveniens doctrine. Although this doctrine is relatively obscure and often neglected, it plays a central role in transnational litigation.\(^{88}\) Existing forum non conveniens scholarship is largely doctrinal and emphasizes the implications of the doctrine for litigants after they have filed their lawsuits.\(^{89}\) In contrast, my goal here is to highlight the signals sent by U.S. federal courts in their forum non conveniens decisions and the impact of those signals on transna-
\(^{87}\) See *supra* Part II.A.
\(^{88}\) See Frederic M. Bloom, *Jurisdiction’s Noble Lie*, 61 Stan. L. Rev. 971, 985 (2009) (referring to the doctrine as “strange and understudied”); Silberman, *supra* note 55, at 341 (noting that the “doctrine of forum non conveniens occupies a central role in international litigation”).
\(^{89}\) For some of the best scholarship on the forum non conveniens doctrine, see generally Martin Davies, *Time to Change the Federal Forum Non Conveniens Analysis*, 77 Tul. L. Rev. 309 (2002); Elizabeth T. Lear, *Congress, the Federal Courts, and Forum Non Conveniens: Friction on the Frontier of the Inherent Power*, 91 Iowa L. Rev. 1147 (2006); David W. Robertson, *Forum Non Conveniens in America and England: “A Rather Fantastic Fiction”*, 103 Law Q. Rev. 398 (1987); Stein, *supra* note 27; and Weintraub, *supra* note 26.
tional forum shopping behavior—that is, on the decisions of plaintiffs to file transnational suits in U.S. courts in the first place. Specifically, I argue that U.S. federal courts have signaled that they will aggressively use the forum non conveniens doctrine to dismiss transnational litigation when they deem a foreign court to be a more appropriate forum. This signal offsets the incentive created by the forum shopping system’s permissive approach to personal jurisdiction by lowering expectations of court access, thus reducing plaintiffs’ incentives to file transnational claims in U.S. courts.
Under the forum non conveniens doctrine, a U.S. district court may dismiss a transnational suit “on the ground that a court abroad is the more appropriate and convenient forum for adjudicating the controversy.”\textsuperscript{90} It may do so even if it has subject matter jurisdiction and personal jurisdiction; in fact, it may do so without even determining whether it has jurisdiction.\textsuperscript{91} However, dismissal on forum non conveniens grounds is not permitted unless the proposed foreign court provides an adequate alternative forum.\textsuperscript{92} The adequacy requirement is ordinarily satisfied unless the defendant is not amenable to process in the foreign jurisdiction or in “rare circumstances . . . where the remedy offered by the other forum is clearly unsatisfactory.”\textsuperscript{93} To guide judges’ forum non conveniens decisions, the Supreme Court has specified a variety of private and public interest factors. The former relate to the convenience of the litigants\textsuperscript{94} while the latter relate to the convenience of the court.\textsuperscript{95}
\textsuperscript{90} Sinochem Int’l Co. v. Malay. Int’l Shipping Corp., 549 U.S. 422, 425 (2007).
\textsuperscript{91} See id. (holding that “a court need not resolve whether it has . . . subject-matter jurisdiction[ ] or personal jurisdiction” before dismissing on forum non conveniens grounds).
\textsuperscript{92} See Piper Aircraft Co. v. Reyno, 454 U.S. 235, 254–55 (1981) (describing the adequate-alternative-forum requirement).
\textsuperscript{93} Id. at 254 n.22. For example, “dismissal would not be appropriate where the alternative forum does not permit litigation of the subject matter of the dispute.” Id.
\textsuperscript{94} These “private interest” factors include:
relative ease of access to sources of proof; availability of compulsory process for attendance of unwilling, and the cost of obtaining attendance of willing, witnesses; possibility of view of premises, if view would be appropriate to the action; and all other practical problems that make trial of a case easy, expeditious and inexpensive.
Id. at 241 n.6 (quoting Gulf Oil Corp. v. Gilbert, 330 U.S. 501, 508 (1947)).
\textsuperscript{95} These “public interest” factors include:
the administrative difficulties flowing from court congestion; the “local interest in having localized controversies decided at home”; the interest in having the trial of a diversity case in a forum that is at home with the law that must govern the action; the avoidance of unnecessary problems in conflict of laws, or in the application of foreign law; and the unfairness of burdening citizens in an unrelated forum with jury duty.
Id. (quoting Gulf Oil, 330 U.S. at 509).
The Supreme Court's seminal forum non conveniens cases were decided in 1947 and involved domestic litigation.\textsuperscript{96} Until the 1980s, "the federal courts confronted only a handful of international forum non conveniens disputes."\textsuperscript{97} Moreover, during this period, the lower courts took a restrictive "abuse of process" approach to the forum non conveniens doctrine, according to which they generally would refuse to dismiss the action unless the defendant would be "'unfairly prejudiced' or 'deprived of substantial justice' by being tried in the United States."\textsuperscript{98} Simply put, the doctrine was rarely used in transnational litigation and, when used, dismissal was unlikely.\textsuperscript{99}
This changed in 1981. That year, the Supreme Court in \textit{Piper Aircraft Co. v. Reyno} specifically applied the forum non conveniens doctrine to dismiss a transnational claim.\textsuperscript{100} \textit{Piper}'s key holdings were twofold. First, "dismissal on grounds of forum non conveniens may be granted even though the law applicable in the alternative forum is less favorable to the plaintiff's chance of recovery" than the law applicable in the U.S. court.\textsuperscript{101} The Court explicitly linked this holding to a pol-
\textsuperscript{96} \textit{Gulf Oil}, 330 U.S. at 501; Koster v. Lumbermens Mut. Cas. Co., 330 U.S. 518 (1947). In fact, the forum non conveniens doctrine can be traced back even earlier to admiralty cases. \textit{See generally} Alexander M. Bickel, \textit{The Doctrine of Forum Non Conveniens as Applied in the Federal Courts in Matters of Admiralty: An Object Lesson in Uncontrolled Discretion}, 35 \textit{Cornell L.Q.} 12 (1949) (discussing the admiralty origins of the doctrine). In domestic litigation in the federal court system, decisions once made under the forum non conveniens doctrine are now made under the federal transfer rules. \textit{See} 28 U.S.C. § 1404 (2006).
\textsuperscript{97} Robertson, \textit{supra} note 78, at 370.
\textsuperscript{98} Robertson, \textit{supra} note 89, at 403 (footnotes omitted).
\textsuperscript{99} \textit{See id.} (noting that "[o]nly a handful of reported decisions resulted in forum non conveniens dismissals" during this period).
\textsuperscript{100} 454 U.S. 235 (1981) (applying forum non conveniens doctrine to the suit of Scottish real parties in interest against U.S. defendants arising out of an air crash in Scotland); \textit{see} von Mehren, \textit{supra} note 19, at 319 (noting that "the Court [in \textit{Piper}] approved the use of the [forum non conveniens] doctrine by federal courts in international cases"). In addition to \textit{Piper}, there were two personal-jurisdiction decisions by the Supreme Court in the 1980s involving transnational litigation, both of which resulted in dismissal of a transnational suit filed in a U.S. court against a foreign defendant. \textit{See} Asahi Metal Indus. Co. v. Superior Court of Cal., 480 U.S. 102 (1987); Helicopteros Nacionales de Colombia v. Hall, 466 U.S. 408 (1984). These prominent personal-jurisdiction decisions may also have contributed to the signal that the U.S. federal courts would be less likely than before to grant court access for transnational suits. The Supreme Court's recent reinvigoration of the presumption against the extraterritorial application of legislation, and its use of that presumption to dismiss a transnational securities fraud suit, might also be considered part of this trend. Morrison v. Nat'l Austl. Bank Ltd., 130 S. Ct. 2869 (2010). A decision by the Court in \textit{Goodyear Luxembourg Tires, S.A. v. Brown} to reverse a North Carolina court's assertion of general jurisdiction in a transnational product liability case would contribute further to this trend. \textit{See} Brown v. Meter, 695 S.E.2d 756 (N.C. 2010), \textit{cert. granted sub nom. Goodyear Lux. Tires, S.A. v. Brown}, 131 S. Ct. 63 (2010) (No. 10-76).
\textsuperscript{101} \textit{Piper}, 454 U.S. at 250. However, the Court clarified:
We do not hold that the possibility of an unfavorable change in law should \textit{never} be a relevant consideration in a \textit{forum non conveniens} inquiry. Of course, if the remedy provided by the alternative forum is so clearly inadequate or unsatisfactory that it is no remedy at all, the unfavorable change in
icy of deterring transnational forum shopping into U.S. courts: because plaintiffs shop for the forum with the most favorable law, a dismissal to a different court will almost inevitably entail a change to less favorable law.\textsuperscript{102} Therefore, if dismissal were allowed only in the absence of such a change, “dismissal would rarely be proper”\textsuperscript{103} and “American courts, which are already extremely attractive to foreign plaintiffs, would become even more attractive. The flow of litigation into the United States would increase and further congest already crowded courts.”\textsuperscript{104}
The second key holding in \textit{Piper} differentiates between domestic and foreign plaintiffs. While there is “ordinarily a strong presumption in favor of the plaintiff’s choice of forum,” a foreign plaintiff’s choice “deserves less deference” than that of a U.S. plaintiff.\textsuperscript{105} The Court explained:
When the home forum has been chosen, it is reasonable to assume that this choice is convenient. When the plaintiff is foreign, however, this assumption is much less reasonable. Because the central purpose of any \textit{forum non conveniens} inquiry is to ensure that the trial is convenient, a foreign plaintiff’s choice deserves less deference.\textsuperscript{106}
Thus, according to \textit{Piper}, the plaintiff’s citizenship is, in effect, a proxy for convenience.
As David Robertson argues, the Court in \textit{Piper} essentially replaced the abuse-of-process approach to \textit{forum non conveniens} with a more aggressive “most suitable forum” approach.\textsuperscript{107} The endorsement of this approach gave the lower courts “much broader discretion to decline jurisdiction,” allowing them to dismiss transnational litigation “whenever it appeared to the court on balance . . . that trial elsewhere would . . . be more appropriate.”\textsuperscript{108} In addition, the lower courts “began seeing a large number of international \textit{forum non conveniens} cases” after the \textit{Piper} decision.\textsuperscript{109}
As explained above, the key features of a forum shopping system include not only prominent precedents—like \textit{Piper—but also broader patterns of court decisions that send signals that can influence plain-
\textsuperscript{102} \textit{Id.} at 254. According to the Court, this will only be the case in “rare circumstances.” \textit{Id.} at 254 n.22.
\textsuperscript{103} \textit{Id.}
\textsuperscript{104} \textit{Id.} at 252 (footnote omitted).
\textsuperscript{105} \textit{Id.} at 255–56.
\textsuperscript{106} \textit{Id.}
\textsuperscript{107} See Robertson, \textit{supra} note 89, at 405.
\textsuperscript{108} \textit{Id.} at 399.
\textsuperscript{109} See Robertson, \textit{supra} note 78, at 370.
tiffs’ expectations about court access.\textsuperscript{110} What signals do the lower courts send in their published forum non conveniens decisions? Prior studies describe a signal that “the vast majority of forum non conveniens motions [will be] granted by the federal courts”\textsuperscript{111} and that “[f]oreign plaintiffs . . . [will] find their claims almost uniformly dismissed.”\textsuperscript{112} However, these studies did not employ random sampling, and they relied on only a small number of decisions.\textsuperscript{113}
To obtain more reliable estimates, I created a data set consisting of a random sample of more than 200 published forum non conveniens decisions by U.S. district court judges between 1990 and 2005.\textsuperscript{114} I then created the variable \textit{Decision}, and for each case, I coded it as 1 (motion granted) if the court granted the motion to dismiss on forum non conveniens grounds and 0 (motion denied) if the court denied the motion. I also coded each case to indicate whether the plaintiffs were all domestic, mixed, or foreign.
According to my analysis, published U.S. district court decisions signal that judges will aggressively use the forum non conveniens doctrine to dismiss transnational litigation. However, the signal is not as discouraging to plaintiffs as the prior studies suggest. As Table 1 indicates, the U.S. district courts dismiss transnational claims on forum non conveniens grounds at an estimated rate of 47.1% in their published decisions, with 95% confidence that the actual dismissal rate is between 40.5% and 53.9% (hereinafter, I indicate estimates and their 95% confidence intervals as follows: 47.1% [40.5, 53.9]).\textsuperscript{115}
\begin{footnotesize}
\begin{itemize}
\item[110] See supra Part I.
\item[111] Elizabeth T. Lear, \textit{Federalism, Forum Shopping, and the Foreign Injury Paradox}, 51 Wm. & Mary L. Rev. 87, 101 (2009); see also David W. Robertson & Paula K. Speck, \textit{Access to State Courts in Transnational Personal Injury Cases: Forum Non Conveniens and Antisuit Injunctions}, 68 Tex. L. Rev. 937, 940 (1990) (claiming that the forum non conveniens doctrine “effectively closes the federal courts” to most transnational personal injury litigation and that “forum non conveniens has led to the dismissal of most federal-court actions brought on behalf of transnational personal injury victims”).
\item[112] Elizabeth T. Lear, \textit{National Interest, Foreign Injuries, and Federal Forum Non Conveniens}, 41 U.C. Davis L. Rev. 559, 561 (2007).
\item[113] See id. at 568 n.49, 570 n.58 (listing forty-four cases upon which estimates were based); Robertson & Speck, \textit{supra} note 111, at 940 n.19 (citing only one case in support of the proposition that forum non conveniens has led to the dismissal of “most” transnational personal injury cases). Random sampling is a standard technique for reducing the risk of selection bias. See Lee Epstein & Gary King, \textit{The Rules of Inference}, 69 U. Chi. L. Rev. 1, 110 (2002) (explaining how random sampling avoids selection bias).
\item[114] I generated the sample in three steps: First, I searched the LexisNexis Academic database of U.S. district court decisions for the term “forum non conveniens” between 1990 and 2005. Second, I randomly sorted the results. Third, I analyzed each case in the randomly generated order, discarding those decisions that were not actual decisions by U.S. district court judges to either grant or deny a motion to dismiss in favor of a foreign court on forum non conveniens grounds. I continued this process until I had a sample of approximately 200 decisions (the exact number was 210).
\item[115] Similarly, another recent study found that the dismissal rate in 769 forum non conveniens decisions published by the U.S. district courts between 1982 and 2006 was 52%.
\end{itemize}
\end{footnotesize}
Table 1
Forum Non Conveniens Decisions
| Decision | Domestic Plaintiffs | Mixed | Foreign Plaintiffs | Total |
|----------------|---------------------|-------|--------------------|-------|
| Motion Denied | N=64 | N=9 | N=37 | N=111 |
| | 69.6% [59.5, 78.1] | 64.3% [38.6, 83.8] | 36.6% [27.9, 46.4] | 52.9% [46.1, 59.5] |
| Motion Granted | N=28 | N=5 | N=64 | N=99 |
| | 30.4% [21.9, 40.5] | 35.7% [16.2, 61.4] | 63.4% [53.6, 72.1] | 47.1% [40.5, 53.9] |
| Total | N=92 | N=14 | N=101 | N=210 |
| | 100.0% | 100.0%| 100.0% | 100.0%|
Notes: This table shows the number of motions to dismiss on forum non conveniens grounds denied and granted by U.S. district court judges between 1990 and 2005 in my sample of published decisions. It also shows estimates of the percentage of motions denied and granted in the overall population of published forum non conveniens decisions. The figures in brackets are the lower and upper bounds of each estimate’s 95% confidence interval. Due to lack of citizenship information for one case in which a forum non conveniens motion was denied and for two cases in which a forum non conveniens motion was granted, the totals in the far right column do not equal the sum of the number of observations in the columns to the left.
rates appear to be even higher since the Supreme Court’s most recent forum non conveniens opinion, *Sinochem International Co. v. Malaysia International Shipping Corp.*\(^{116}\)
Table 1 also indicates that the dismissal rate for claims filed by foreign plaintiffs (63.4% [53.6, 72.1]) is higher than the dismissal rate for claims filed by domestic plaintiffs (30.4% [21.9, 40.5]). Given the Supreme Court’s holding in *Piper*, the difference between dismissal rates for domestic and foreign plaintiffs is doctrinally unsurprising. However, the extent of the disparity between domestic and foreign
---
\(^{116}\) Michael T. Lii, *An Empirical Examination of the Adequate Alternative Forum in the Doctrine of Forum Non Conveniens*, 8 Rich. J. Global L. & Bus. 513, 526 (2009). Two notes are in order regarding the interpretation of these results: First, although published forum non conveniens decisions are likely to have the strongest influence on plaintiffs’ expectations of court access, estimates based on those decisions may not accurately describe unpublished forum non conveniens decisions. *See supra* Part I. Second, the overall dismissal rate approaches 50%—a tendency consistent with the so-called “50% hypothesis,” according to which litigation win rates naturally converge on 50%. *See generally* George L. Priest & Benjamin Klein, *The Selection of Disputes for Litigation*, 13 J. Legal Stud. 1 (1984) (developing the 50% hypothesis). *But see* Steven Shavell, *Any Frequency of Plaintiff Victory at Trial Is Possible*, 25 J. Legal Stud. 493, 499–501 (1996) (arguing that the 50% plaintiff win rate is not a “central tendency, either in theory or in fact”). Whether or not the 50% hypothesis explains why forum non conveniens dismissal rates approach 50%, the signal sent to plaintiffs would seem to remain the same: dismissals are frequent, not rare.
\(^{116}\) 549 U.S. 422 (2007); *see* Donald Earl Childress III, *When Erie Goes International*, 105 Nw. U. L. Rev. (forthcoming 2011) (finding that since 2007, the dismissal rate is 62%).
plaintiffs is striking: the signal seems to be that foreign plaintiffs are twice as likely to have their suits dismissed.
In summary, the court access component of the American forum shopping system has evolved. Until 1981, the forum non conveniens doctrine was infrequently used in transnational litigation.\textsuperscript{117} When used, courts applied it cautiously to dismiss cases only when necessary to avoid an abuse of process.\textsuperscript{118} The permissive approach to personal jurisdiction that emerged in the wake of \textit{International Shoe} was thus left largely unchecked, fostering high expectations of favorable court access decisions. The current system—a centerpiece of which is an aggressively applied forum non conveniens doctrine—is likely to foster lower expectations of favorable court access decisions, thus reducing the incentive to file transnational lawsuits in U.S. courts.
2. \textit{Choice of Law}
The choice-of-law component of the American forum shopping system has also evolved. According to the conventional understanding, strong pro-domestic-law bias in choice-of-law decision making emerged in the wake of the American choice-of-law revolution.\textsuperscript{119} This bias is said to encourage transnational forum shopping into U.S. courts by plaintiffs seeking favorable U.S. substantive law.\textsuperscript{120}
But empirical analysis suggests that in the current forum shopping system, courts are sending a different signal. To perform this analysis, I created a data set consisting of a random sample of more than 125 published choice-of-law decisions by U.S. district court judges in transnational tort cases between 1990 and 2005.\textsuperscript{121} I then
\textsuperscript{117} See Robertson, \textit{supra} note 78, at 370.
\textsuperscript{118} See Robertson, \textit{supra} note 89, at 403.
\textsuperscript{119} See \textit{supra} Part II.A.2.
\textsuperscript{120} \textit{Id.}
\textsuperscript{121} I generated the sample in three steps: First, I searched the LexisNexis U.S. District Court database for decisions between 1990 and 2005 in which a judge decided whether domestic law or foreign law should apply to a tort claim. I used the following search query: “([COUNTRY SEARCH TERM] w/3 law) w/200 ((choice or conflict or appli! or govern!) w/2 law) and tort!” I used the first element of the query to identify cases involving foreign law; I repeated the search for each country in the world, inserting appropriate country search terms into the query. I used the second element of the query to limit the search to choice-of-law decisions. The third element limited the search to tort cases. Second, I consolidated the results of these searches and randomly sorted them. Third, I analyzed each case in the randomly generated order, discarding those that did not actually decide whether domestic or foreign law should apply to a tort claim. I continued this process until I had a sample of approximately 200 decisions (the exact number was 213). See Whytock, \textit{supra} note 30, at 755 nn. 187–88. I then also discarded 85 decisions made in the context of a forum non conveniens analysis because these decisions are highly skewed in favor of foreign law. \textit{See id.} at 756. The result was a sample of 128 cases. Analysis of choice-of-law decisions in contract cases would likely be less illuminating because of the prevalence of choice-of-law clauses, which courts generally enforce. Scoles et al., \textit{supra} note 30, at 947.
created the variable *Decision*, and for each case, I coded it as 1 if the court applied foreign law and 0 if the court applied U.S. law.
**Table 2**
**International Choice-of-Law Decisions**
| Law Applied | Number of Decisions | Estimated Percentage | 95% Confidence Interval |
|-------------|---------------------|----------------------|-------------------------|
| U.S. Law | 71 | 55.5% | [46.8, 63.8] |
| Foreign Law | 57 | 44.5% | [36.2, 53.2] |
| Total | 128 | 100.0% | |
Notes: This table shows the number of decisions to apply U.S. and foreign law by U.S. district court judges between 1990 and 2005 in my sample of published choice-of-law decisions in transnational tort cases. It also shows estimates of the percentage of decisions to apply U.S. law and foreign law in the overall population of published choice-of-law decisions in transnational tort cases. The figures in brackets are the lower and upper bounds of each estimate’s 95% confidence interval.
As Table 2 shows, in their published decisions—those most likely to influence the expectations of forum shopping plaintiffs—U.S. district court judges apply foreign law in almost half of all cases. Specifically, they apply foreign law rather than U.S. law at an estimated rate of 44.5% [36.2, 53.2]. These decisions are driven primarily by two factors: the territorial locus of the activity giving rise to the litigation and the citizenship of the parties. Other things being equal, the greater the extent to which these factors point toward a foreign country, the less likely a U.S. district court judge is to apply U.S. law.
Contrary to the conventional understanding, the current forum shopping system does not exhibit strong pro-domestic-law bias. Plaintiffs’ expectations of favorable choice-of-law decisions in U.S. courts therefore are likely to be lower than they were under the prior system, thus reducing the incentive to forum shop into U.S. courts to obtain the advantages of U.S. substantive law.
In summary, the American forum shopping system has evolved. This subpart has provided an updated understanding of the system’s key features. After *International Shoe*, the system’s permissive approach to personal jurisdiction may have fostered high expectations of
---
122 See Whytock, *supra* note 30, at 765 tbl.2 (comparing pro-domestic-law and pro-foreign-law decision rates). Due to potential selection effects, the pro-forum-law decision rates alone cannot conclusively demonstrate lack of bias. Therefore, in an earlier analysis I applied methods to take these effects into account. See id. at 765–69 (describing these methods and the resulting findings confirming lack of pro-forum-law bias). The notes regarding interpretation of the forum non conveniens estimates, *supra* note 115, apply equally to the choice-of-law estimates.
123 See Whytock, *supra* note 30, at 772.
124 See id. at 768 tbl.3.
favorable court access decisions. In the current system, however, those expectations are offset by aggressive use of the forum non conveniens doctrine to dismiss transnational suits. After the choice-of-law revolution, the system’s pro-domestic-law bias may have fostered high expectations of favorable choice-of-law decisions; but at least since the 1990s, there does not appear to be such a bias. As a result, the current forum shopping system is less likely to encourage transnational forum shopping into U.S. courts than the system described by the conventional understanding.
B. Transnational Litigation: An Empirical Assessment
The second pillar of the conventional understanding of the American forum shopping system is that it has contributed to a transnational litigation explosion in the United States. Consistent with the finding that the forum shopping system has evolved, this subpart argues that transnational forum shopping into U.S. courts might not be increasing after all. Specifically, this subpart explains that one of the principal forms of transnational litigation in the United States—alienage litigation—has been decreasing. This subpart begins by defining alienage litigation and explaining its importance. It then presents empirical evidence of alienage litigation’s decline. By doing so, this subpart challenges the claim that there is a transnational litigation explosion in U.S. courts.
1. The Importance of Alienage Litigation
The two principal types of subject matter jurisdiction in U.S. district courts are federal question jurisdiction and diversity jurisdiction.\(^{125}\) Alienage jurisdiction is one type of diversity jurisdiction and is a primary basis for subject matter jurisdiction in transnational litigation. Under § 1332(a) of the United States Code, alienage jurisdiction exists over “all civil actions where the matter in controversy exceeds the sum or value of $75,000, exclusive of interest and costs, and is between . . . citizens of a [U.S.] State and citizens or subjects of a foreign state.”\(^{126}\) I use the term *alienage litigation* to refer to litigation over which the U.S. district courts have subject matter jurisdiction on this basis.
Alienage litigation presumably represents the bulk of transnational tort and contract litigation in U.S. district courts because the other leading basis for federal subject matter jurisdiction in transna-
\(^{125}\) See 28 U.S.C. § 1331 (2006) (federal-question jurisdiction); id. § 1332 (diversity jurisdiction).
\(^{126}\) Id. § 1332(a). For alienage jurisdiction purposes, “an alien admitted to the United States for permanent residence shall be deemed a citizen of the State in which such alien is domiciled.” Id.
tional litigation, federal question jurisdiction, generally is not available for such claims. Tort and contract claims ordinarily arise under U.S. state law, not U.S. federal law.\textsuperscript{127}
Historically, the central concern motivating alienage jurisdiction in the federal courts was to avoid “the potentially adverse foreign relations consequences” of having U.S. state courts, with their supposed antiforeigner bias, adjudicate disputes involving foreign citizens.\textsuperscript{128} Another motivation was the prospect that by providing a more neutral federal forum for disputes involving foreign citizens, the United States could attract more foreign investment.\textsuperscript{129} Scholars today emphasize the continued importance of alienage jurisdiction for similar reasons.\textsuperscript{130}
\section*{2. The Decline of Alienage Litigation}
If there is a transnational litigation explosion in the United States, then one would expect alienage litigation to be increasing. To the contrary, analysis of data collected by the Administrative Office of the U.S. Courts (AO) indicates that alienage litigation actually has declined over the last two decades.\textsuperscript{131}
\textsuperscript{127} Nevertheless, alienage litigation does not account for all transnational tort and contract claims. Plaintiffs may file such claims in federal courts on the basis of supplemental jurisdiction if these claims are so closely related to a federal claim that “they form part of the same case or controversy.” \textit{Id.} § 1367(a). Moreover, aliens may file civil actions in federal courts under the Alien Tort Statute (ATS) for torts committed in violation of international law. \textit{Id.} § 1350.
\textsuperscript{128} See Kevin R. Johnson, \textit{Why Alienage Jurisdiction? Historical Foundations and Modern Justifications for Federal Jurisdiction over Disputes Involving Noncitizens}, 21 \textit{Yale J. Int’l L.} 1, 6 (1996):
By providing for alienage jurisdiction in the national courts, the Framers acted to avoid the potentially adverse foreign relations consequences caused by allowing state courts, fueled by a mixture of anti-British and anticreditor sentiment, to resolve disputes involving noncitizens. Instead, the Framers ensured that foreigners had access to a national court system perceived as less susceptible to the democratic impulse than the state courts.
\textsuperscript{129} See \textit{id.} (“Many, particularly the Federalists, hoped that alienage jurisdiction would attract much needed foreign capital to the fledgling nation.”).
\textsuperscript{130} See, e.g., Erwin Chemerinsky & Larry Kramer, \textit{Defining the Role of the Federal Courts}, 1990 \textit{BYU L. Rev.} 67, 92 (arguing that “cases involving foreign citizens should have a high priority in the jurisdiction of the federal courts” because of foreign-relations risks raised by such cases); Johnson, \textit{supra} note 128, at 48–49 (arguing that “other things being equal, access to a federal forum should increase the attractiveness of the United States to foreign business” and that, “[t]o the extent that the United States takes steps to promote the perception that foreign businesses are entitled to procedural fairness in its court systems, other nations might be expected to reciprocate . . . result[ing] in fairer treatment of this nation’s businesses by foreign nations”).
\textsuperscript{131} The AO is the administrative branch of the federal judiciary. For an overview of the AO data, see \textit{Inter-university Consortium for Political and Social Research, Federal Court Cases: Integrated Data Base, 1970–2000, Civil Terminations, 1995}, at 19–20 (2005) [hereinafter 1995 Codebook], \textit{available} at http://dx.doi.org/10.3886/ICPSR08429 (follow “Browse Documentation” hyperlink; after creating or entering username and password, follow “DS98: Civil Terminations, 1995” hyperlink and download codebook). For
The AO collects data on every case filed in the U.S. district courts.\textsuperscript{132} For each statistical year, the Federal Judicial Center (FJC) consolidates the AO data into two separate data sets: one including all cases terminated in that year (Civil Terminations) and the other including all cases pending at the end of that year (Civil Pending).\textsuperscript{133} Both the Civil Terminations data and the Civil Pending data indicate the filing date and the basis for subject matter jurisdiction for each case.\textsuperscript{134} Since 1986, for diversity cases only, the Civil Terminations data and Civil Pending data also has included a citizenship variable that indicates whether the plaintiff is a citizen of a U.S. state or of a foreign country and whether the defendant is a citizen of a U.S. state.
\textsuperscript{132} See Inter-university Consortium for Political and Social Research, Federal Court Cases: Integrated Database, 2008, Civil Terminations Data, 2008, at 5, 15–16 (2010) [hereinafter 2008 Civil Terminations Codebook], available at http://dx.doi.org/10.3886/ICPSR25002 (follow “Browse Documentation” hyperlink; after creating or entering username and password, download “Codebook” under “DS2: Civil Terminations Data, 2008” folder) (“The Civil Cases Terminations File contains one record for every civil case terminated in the Federal Court System in 2008.”); Theodore Eisenberg & Margo Schlanger, The Reliability of the Administrative Office of the U.S. Courts Database: An Initial Empirical Analysis, 78 Notre Dame L. Rev. 1455, 1462–63 (2003) (“Unlike any other data set covering the federal courts, [the AO data] purports to cover every case filed. And it seems more than likely that this is indeed its coverage.”). This distinguishes the AO data from data available from online databases such as Westlaw and Lexis, which only include decisions that are published in official reporters or otherwise made available by judges for electronic publication.
\textsuperscript{133} From 1987 to 1991, the statistical year ends on June 30. For subsequent years, the statistical year ends on September 30. See 1995 Codebook, supra note 131, at 12.
\textsuperscript{134} See 2008 Civil Terminations Codebook, supra note 132, at 12 (describing the JURIS variable).
or of a foreign country.\textsuperscript{135} I use this variable to identify alienage cases.\textsuperscript{136} In addition, the Civil Terminations data includes the date on which each case terminated, by judgment or otherwise.
Like any large data set, the AO data is not perfectly reliable.\textsuperscript{137} However, “both field studies and other data sets confirm the general picture of district court litigation suggested by the AO data.”\textsuperscript{138} Moreover, unlike databases such as LexisNexis and Westlaw, the AO data includes all cases filed in U.S. district courts, not simply those with published decisions.\textsuperscript{139} Therefore, the AO data, even if imperfect, appears to be the best available source of data for analysis of general trends in civil litigation.\textsuperscript{140}
\textsuperscript{135} See Kevin M. Clermont & Theodore Eisenberg, \textit{Xenophilia or Xenophobia in U.S. Courts? Before and After 9/11}, 4 J. Empirical Legal Stud. 441, 452 (2007) (noting that “[s]ince fiscal year 1986, the [data] . . . specifies whether the two principal parties in diversity and alienage cases were American or foreign”). In the AO data set, the citizenship variable is named \textit{residenc}. The variable is coded as a two-digit number. The first digit indicates the citizenship of the principal plaintiff, and the second digit indicates the citizenship of the principal defendant. The following values are used: 1 = Citizen of this State; 2 = Citizen of another State; 3 = Citizen or Subject of a foreign country; 4 = Incorporated or principal place of business in this State; 5 = Incorporated or principal place of business in another State; and 6 = Foreign Nation. 2008 Civil Terminations Codebook, \textit{supra} note 132, at 15–16.
\textsuperscript{136} I counted a case as an alienage case only if the plaintiff was a citizen of a U.S. state and the defendant was a foreign citizen or if the plaintiff was a foreign citizen and the defendant was a citizen of a U.S. state. Thus, I counted a case as an alienage case only if the citizenship variable equals 13, 23, 43, 53, 31, 32, 34, or 35. I did not count a case as an alienage case if a foreign nation was a party or if the plaintiff and the defendant were both foreign citizens because these party configurations are not included in alienage litigation. \textit{See} 28 U.S.C. § 1332(a)(2) (2006) (covering only controversies between “citizens of a [U.S.] State and citizens or subjects of a foreign state”); \textit{cf.} Clermont & Eisenberg, \textit{supra} note 135, at 452 n.39 (taking the same approach). This means that my count of alienage cases does not include suits under 28 U.S.C. § 1332(a)(3) (suits between “citizens of different [U.S.] States and in which citizens or subjects of a foreign state are additional parties”) or suits under 28 U.S.C. § 1332(a)(4) (suits between “a foreign state . . . as plaintiff and citizens of a [U.S.] State or of different [U.S.] States”). \textit{See} 28 U.S.C. § 1332(a)(3), (a)(4).
\textsuperscript{137} See Eisenberg & Schlanger, \textit{supra} note 132, at 1458 (“Like many large data sets, the AO data are not completely accurate.” (footnote omitted)). For example, when new coding procedures are introduced, complete and proper implementation of those procedures might not be immediate. I am not aware of any implementation problems regarding the foreign-citizen coding introduced in fiscal year 1986. Out of an abundance of caution, however, my analysis begins with 1987 to account for the possibility of an implementation lag. Insofar as such a lag may have persisted into 1987 or even 1988, data for those years may not be as reliable as for subsequent years.
\textsuperscript{138} \textit{Id.} at 1464. However, there is evidence suggesting reliability problems with the AO’s bankruptcy-court data, as well as with the AO data on class actions, patent cases, and amounts awarded following trials. \textit{Id.} at 1464 & n.46. My analysis does not use these types of data.
\textsuperscript{139} See id. at 1462–63 (“[O]ne strength of the AO data set is its completeness. Unlike any other data set covering the federal courts, it purports to cover every case filed. And it seems more than likely that this is indeed its coverage. Cases get entered into the database on filing, and there is a built-in check because they get entered again, on termination.”).
\textsuperscript{140} See id. at 1463–64 (“[F]or researchers seeking to identify all federal district court cases in a certain subject matter category, it is clear that the AO database is the easiest, and
My analysis of the AO data indicates that alienage filings, pending alienage cases, and alienage terminations all have been declining. First, as Figure 1 shows, the estimated number of alienage filings declined dramatically in the late 1980s (from 9,276 in 1987 to 4,806 in 1989).\textsuperscript{141} The decline continued at a more modest rate through the 1990s—the “decade of globalization” (from 3,618 in 1990 to 2,610 in 1999).\textsuperscript{142} After a one-year uptick to an estimated 3,131 alienage filings in 2000,\textsuperscript{143} the decline continued into the 2000s (from 2,342 in 2001 to 1,637 in 2005).
As Figure 2 shows, both U.S.-plaintiff and foreign-plaintiff alienage filings have exhibited this same general downward trend. Between 1987 and 1989, U.S.-plaintiff alienage filings fell from approximately 5,693 to 3,226, and foreign-plaintiff alienage filings fell from approximately 3,583 to 1,580. Between 1990 and 1999, U.S.-plaintiff alienage filings fell from approximately 2,296 to 1,433, and foreign-plaintiff alienage filings fell from approximately 1,322 to 1,177 (although with significant fluctuation). Between 2000 and 2005, U.S.-plaintiff alienage filings fell from approximately 1,142 to 744, and foreign-plaintiff alienage filings, after a spike to 1,989 in 2000, fell to approximately 893 in 2005.\textsuperscript{144} Until the late 1990s, the number of U.S.-plaintiff alienage filings exceeded the number of foreign-plaintiff alienage filings, but more recently, the annual number of foreign-plaintiff filings has been slightly higher.
Might the decline in alienage filings merely reflect a broader decline in litigation in U.S. district courts? Figure 3 suggests that this is not the case. There are signs of a decline in total litigation, federal question, and domestic-diversity filing rates in 2005, but the general trend in both total and federal question filings is upward, and domestic-diversity filing rates have held roughly steady. Compared to other types of litigation, then, the decline in alienage litigation is unusual.
Figure 3 also indicates that alienage litigation constitutes a very small portion of the total civil workload of the U.S. district courts—so perhaps the most reliable, method of doing so, provided that the subject matter of interest matches one or a group of the AO case categories.”).
\textsuperscript{141} The annual filings figures are extracted from the Civil Terminations data sets. As explained below, they likely underestimate the total number of cases filed each year, especially in the most recent years. \textit{See infra} notes 146–47 and accompanying text. Therefore, the raw estimates should be treated with caution.
\textsuperscript{142} See Paul Krugman, \textit{Once and Again}, \textit{N.Y. Times}, Jan. 2, 2000, at WK9 (“Whatever else they may have been, the 90’s were the decade of globalization.”); Barry Eichengreen, \textit{One Economy, Ready or Not: Thomas Friedman’s Jaunt Through Globalization}, \textit{Foreign Affairs} (May–June 1999) (suggesting that it is now “obvious that historians will look back on the 1990s as the decade of globalization”).
\textsuperscript{143} My analysis of the AO’s nature-of-suit codes indicates that this uptick consisted principally of a cluster of asbestos product-liability claims filed by foreign plaintiffs in 2000.
\textsuperscript{144} The spike appears to reflect an increase in asbestos product-liability claims. \textit{See supra} note 143.
small a portion that the trends over time in alienage filings are barely discernible in the figure. As Table 3 shows, in the decade ending in 2005, alienage filings represented an estimated 0.97% of total civil actions filed in U.S. district courts. This percentage has declined from an estimated 1.26% in 1996 to 0.71% in 2005. Alienage suits by foreign plaintiffs against U.S. defendants—the focus of some observers concerned about the supposed rise of transnational suits—constitute only about one half of one percent of all civil actions filed in the U.S. district courts. Contrary to some claims, these results suggest that there is not a “tidal wave of foreign plaintiffs clogging up the dockets in our courts”\textsuperscript{145}—and if there is such a wave, it does not consist of alienage filings and thus most likely does not consist of tort or contract claims either.\textsuperscript{146}
\textsuperscript{145} Barcus, \textit{supra} note 83, at 658.
\textsuperscript{146} \textit{See supra} text accompanying note 127 (linking alienage litigation to transnational tort and contract claims).
Figure 2
Alienage Filings by Citizenship of Parties (1987–2005)
Table 3
Alienage Filings (1996–2005)
| Year | Total | Alienage | Alienage (% of Total) | Domestic Plaintiff | Domestic Plaintiff (% of Total) | Foreign Plaintiff | Foreign Plaintiff (% of Total) |
|------|---------|----------|-----------------------|--------------------|---------------------------------|-------------------|-------------------------------|
| 1996 | 261,270 | 3,293 | 1.26% | 1,909 | 0.73% | 1,384 | 0.53% |
| 1997 | 273,773 | 3,051 | 1.11% | 1,697 | 0.62% | 1,354 | 0.49% |
| 1998 | 251,684 | 2,645 | 1.05% | 1,387 | 0.55% | 1,258 | 0.50% |
| 1999 | 258,429 | 2,610 | 1.01% | 1,433 | 0.55% | 1,177 | 0.46% |
| 2000 | 253,698 | 3,131 | 1.23% | 1,142 | 0.45% | 1,989 | 0.78% |
| 2001 | 263,737 | 2,342 | 0.89% | 1,096 | 0.42% | 1,246 | 0.47% |
| 2002 | 252,445 | 2,308 | 0.91% | 984 | 0.39% | 1,324 | 0.52% |
| 2003 | 254,578 | 2,167 | 0.85% | 925 | 0.36% | 1,242 | 0.49% |
| 2004 | 270,178 | 1,818 | 0.67% | 848 | 0.31% | 970 | 0.36% |
| 2005 | 230,282 | 1,637 | 0.71% | 744 | 0.32% | 893 | 0.39% |
| Average | 257,007 | 2,500 | 0.97% | 1,217 | 0.47% | 1,284 | 0.50% |
Notes: This table presents estimates of the annual number of civil cases, alienage cases, “domestic plaintiff versus foreign defendant” alienage cases, and “foreign plaintiff versus domestic defendant” alienage cases filed each year from 1996 to 2005. The annual filing rates are extracted from the Civil Terminations datasets.
Alienage filings are a more direct measure of transnational forum shopping into U.S. courts than are pending alienage cases or alienage terminations. However, this measure has a significant disadvantage.
The annual filings figures used for Figure 1, Figure 2, Figure 3, and Table 3 are extracted from the Civil Terminations data sets. The record for a case does not appear in those data sets until the case has terminated.\textsuperscript{147} As a result of this lag, the Civil Terminations data may understate the annual number of alienage cases filed, particularly in recent years, and the estimates of raw alienage filing numbers should be treated with caution.\textsuperscript{148}
Therefore, I analyzed a second alienage litigation trend that is not subject to this lag: the annual number of pending alienage cases.\textsuperscript{149} The results, presented in Figure 4, confirm the downward trend in alienage litigation: the number of pending alienage cases in
\textsuperscript{147} For example, cases filed in 2004 or in 2005 that were still pending in 2005 would not be counted in the Civil Terminations data sets as of 2005.
\textsuperscript{148} The earlier the year, the less significant the lag, and the more accurate the estimate. For example, my analysis indicates that the filing figures extracted from the Civil Terminations data sets underestimate actual filings by approximately 6.2% in 2005, 2.4% in 2004, and between 0.5% and 1.6% in earlier years. Assuming that the extent of lag on average is the same for alienage cases and civil cases in general, the lag should not affect the percentage calculations in Table 3. Because my analysis indicates that by 2006 the Civil Terminations data sets substantially underestimate actual filings (by more than 15.6% for 2006), I do not report filings data based on the 2006, 2007, or 2008 Civil Terminations data sets.
\textsuperscript{149} I extracted the pending-cases figures from the Civil Pending data sets, which are available for statistical years 1987–89, 1991, 1994–95, 1997, and 2000–2007, and calendar year 2008.
the U.S. district courts declined from 26,506 in 1987, to 3,287 in 2000, to 2,029 in 2008. Moreover, as Table 4 confirms, alienage litigation constitutes only a small fraction of the civil caseload of the U.S. district courts.
**Figure 4**
**Alienage Cases Pending (1987–2008)**
Finally, in an earlier study using the AO Civil Terminations data, Kevin Clermont and Theodore Eisenberg were the first to discover a “plummeting” number of alienage cases terminating—by settlement, judgment, or otherwise—in the U.S. district courts each year.\(^{150}\) Specifically, Clermont and Eisenberg found that the number of alienage terminations declined from 24,202 in 1986 to 8,092 in 1989; from 6,374 in 1990 to 2,725 in 1999; and from 3,230 in 2000 to 1,976 in 2005.\(^{151}\) This finding is further evidence that, contrary to claims of a transnational litigation explosion, alienage litigation has been on the decline.
\(^{150}\) See Clermont & Eisenberg, *supra* note 135, at 462 tbl.4 (noting that “alienage terminations plummeted” between 1986 and 2005). Clermont and Eisenberg also discovered a decline in the number of alienage judgments. *See id.* at 461 tbl.3 (noting the “dramatically decreasing number of . . . alienage judgments over the last two decades”).
\(^{151}\) *Id.* at 462 tbl.4. My own analysis of the most recent version of the Civil Terminations data indicates that a more accurate estimate of alienage terminations in 2005 is 1,868 and that the number of alienage terminations in 2006 and 2007 was approximately 1,929 and 1,978, respectively.
### Table 4
**Alienage Cases Pending (2000–2008)**
| Year | Total | Alienage | Alienage (% of Total) | Domestic Plaintiff | Domestic Plaintiff (% of Total) | Foreign Plaintiff | Foreign Plaintiff (% of Total) |
|------|---------|----------|-----------------------|--------------------|---------------------------------|-------------------|-------------------------------|
| 2000 | 249,261 | 3,287 | 1.32% | 1,697 | 0.68% | 1,590 | 0.64% |
| 2001 | 252,935 | 2,619 | 1.04% | 1,339 | 0.53% | 1,280 | 0.51% |
| 2002 | 265,926 | 2,439 | 0.92% | 1,161 | 0.44% | 1,278 | 0.48% |
| 2003 | 261,065 | 2,466 | 0.94% | 1,119 | 0.43% | 1,347 | 0.52% |
| 2004 | 267,270 | 2,245 | 0.84% | 993 | 0.37% | 1,252 | 0.47% |
| 2005 | 266,216 | 2,125 | 0.80% | 948 | 0.36% | 1,177 | 0.44% |
| 2006 | 251,832 | 2,144 | 0.85% | 973 | 0.39% | 1,171 | 0.46% |
| 2007 | 265,082 | 1,997 | 0.75% | 903 | 0.34% | 1,094 | 0.41% |
| 2008 | 304,869 | 2,029 | 0.67% | 864 | 0.28% | 1,165 | 0.38% |
| Average | 264,940 | 2,372 | 0.90% | 1,111 | 0.42% | 1,262 | 0.48% |
Notes: This table presents the number of total civil cases, alienage cases, “domestic plaintiff versus foreign defendant” alienage cases, and “foreign plaintiff versus domestic defendant” alienage cases pending as of September 30, 2000 through September 30, 2007 and December 31, 2008. The pending cases figures are extracted from the Civil Pending datasets.
What about other types of transnational litigation in U.S. courts? Unfortunately, the AO data does not separately identify transnational litigation over which the U.S. district courts have subject matter jurisdiction on grounds other than alienage.\(^{152}\) For example, it does not identify diversity cases between citizens of different U.S. states arising out of activity with connections to one or more foreign countries; cases involving foreign citizens as additional parties;\(^{153}\) or transnational suits over which there is federal question,\(^{154}\) admiralty,\(^{155}\) or bankruptcy jurisdiction,\(^{156}\) or jurisdiction based on the Alien Tort
\(^{152}\) See id. at 461 n.50 (noting that AO “has chosen to code foreign citizenship only for [alienage cases]”); see also Dubinsky, supra note 81, at 366 n.10 (“Surprisingly, little has been done by the Federal Judicial Center, the National Center for State Courts, or the Judicial Conference of the United States to provide Congress or the public with hard data on the number and kind of suits in the system with a transnational component . . . .”).
\(^{153}\) 28 U.S.C. § 1332(a)(1) (2006) (domestic diversity jurisdiction); id. § 1332(a)(3) (domestic diversity jurisdiction with foreign citizens as additional parties).
\(^{154}\) Id. § 1331. Thus, the alienage data probably does not include most transnational regulatory litigation in U.S. courts. See generally Hannah L. Buxbaum, Transnational Regulatory Litigation, 46 Va. J. Int’l L. 251 (2006) (providing seminal analysis of transnational regulatory litigation).
\(^{155}\) 28 U.S.C. § 1333.
\(^{156}\) Id. § 1334.
Statute\textsuperscript{157} or the Foreign Sovereign Immunities Act.\textsuperscript{158} Moreover, because the AO data includes only filings in U.S. federal courts, it cannot capture transnational litigation in U.S. state courts. Although the AO data therefore leaves open the possibility that the decline in alienage filings extends to other types of transnational litigation in U.S. courts,\textsuperscript{159} it also leaves open the possibility that one or more of these other types of transnational litigation may be increasing even as alienage litigation is decreasing. Without more comprehensive data, inferences about broader trends in transnational litigation in U.S. courts must remain uncertain.\textsuperscript{160} Nevertheless, my findings challenge the widely held assumption that transnational forum shopping into U.S. courts is on the rise.
IV
A Closer Look at the System: Forum Non Conveniens in Action
As argued in Part III, the forum non conveniens doctrine plays a central role in the current forum shopping system. In general, aggressive use of the doctrine to dismiss transnational litigation should reduce expectations of favorable court access decisions, thus reducing the incentives to file transnational lawsuits in U.S. courts.\textsuperscript{161} However, we know very little about how judges actually make forum non conveniens decisions. In particular, we know very little about whether the doctrine, as applied, is a well-tailored anti–forum shopping device that
\textsuperscript{157} See id. § 1350 (“The district courts shall have original jurisdiction of any civil action by an alien for a tort only, committed in violation of the law of nations or a treaty of the United States.”). Although lawsuits brought under the ATS have attracted considerable attention and appear to have increased since the 1980s, existing studies suggest that they remain relatively uncommon. See, e.g., Jeffrey Davis, Justice Without Borders: Human Rights Cases in U.S. Courts, 28 Law & Pol’y 60, 73–74 (2006) (finding that federal courts of appeals decided fourteen ATS cases between 2000 and 2004 but decided only thirty-one cases between 1976 and 1999 and that federal district courts have decided thirty-six ATS cases between 2000 and 2004 but only forty before then); Beth Stephens, Judicial Deference and the Unreasonable Views of the Bush Administration, 33 Brook. J. Int’l L. 773, 810–11 (2008) (noting that since 1980, approximately 185 cases have been litigated under the ATS, about 105 of which have been filed since 2004, and about 123 of which were dismissed).
\textsuperscript{158} See 28 U.S.C. § 1330 (jurisdiction over civil suits against foreign sovereigns if there is no sovereign immunity). Nor does the AO data identify cases over which jurisdiction exists because the dispute is between a foreign state as a plaintiff and a citizen of a U.S. state, id. § 1332(a)(4), or where the suit is against a foreign consul or diplomat, id. § 1351.
\textsuperscript{159} Cf. Clermont & Eisenberg, supra note 135, at 461 n.50 (noting that the “drop in terminations involving foreign litigants could extend well beyond alienage cases” and that AO data may therefore “be hiding a drop in foreigners litigating on other jurisdictional bases”).
\textsuperscript{160} Christopher A. Whytock, Litigation, Arbitration, and the Transnational Shadow of the Law, 18 Duke J. Comp. & Int’l L. 449, 461 (2008) (“For now, it is difficult to do more than speculate about whether transnational litigation in general is characterized by the same trends that characterize alienage cases in the U.S. federal district courts.”).
\textsuperscript{161} See supra Part III.A.1.
focuses on discouraging suits that would more appropriately be resolved in a foreign court, as judicial statements of the doctrine suggest; or whether it is instead incoherent, unpredictable, or driven by judges’ individual preferences, as the doctrine’s critics suggest. In this Part, I address this gap in our understanding and attempt to shed further light on the operation of the current forum shopping system by presenting a systematic empirical analysis of forum non conveniens in action.
A. Potential Determinants of Forum Non Conveniens Decisions
My analysis focuses on two questions. First, to what extent does the forum non conveniens doctrine, as actually applied by judges, further the doctrine’s stated goals? According to the U.S. Supreme Court’s most recent discussion of the doctrine, dismissal on forum non conveniens grounds is for cases in which “the court abroad is the more appropriate and convenient forum for adjudicating the controversy.” It is widely accepted that the appropriateness of a forum depends largely on the extent of the forum’s connections to the dispute. Ordinarily, the most important connections are thought to be the citizenship of the parties to the dispute and the territorial locus of the events giving rise to the dispute—particularly the place of conduct and the place of injury. The private interest and public inter-
162 See, e.g., Sinochem Int’l Co. v. Malay. Int’l Shipping Corp., 549 U.S. 422, 425 (2007) (noting that dismissal on forum non conveniens grounds is for cases in which a “court abroad is the more appropriate and convenient forum for adjudicating the controversy”).
163 See, e.g., Lear, supra note 112, at 602–03 (“Federal forum non conveniens decisions appear to depend more on the individual biases of district court judges than any identifiable legal standard.”); Stein, supra note 27, at 785 (describing “crazy quilt of ad hoc, capricious, and inconsistent [forum non conveniens] decisions”).
164 See Roscoe Pound, Law in Books and Law in Action, 44 Am. L. Rev. 12, 15 (1910) (distinguishing between “law in the books” and “law in action”). For an empirical analysis of judicial application of the doctrine’s adequate alternative-forum requirement, see Lii, supra note 115.
165 See, e.g., Sinochem, 549 U.S. at 425.
166 See, e.g., Bell, supra note 5, at 337 (arguing that appropriate forum is “that forum with which the dispute has the closest and most real connection”); Robert A. LeFlar et al., American Conflicts Law 152–53 (Michie Co. 4th ed. 1986) (discussing that under forum non conveniens doctrine, courts “refuse to hear actions in which the cause of action sued on . . . has little or no connection with the state in which suit is brought and can more fairly be tried elsewhere”); Bassett, supra note 25, at 379–80 (describing the most convenient forum as the forum with the “most obvious connection to the litigation”); Stewart E. Sterk, The Marginal Relevance of Choice of Law Theory, 142 U. Pa. L. Rev. 949, 1013–14 (1994) (describing an inappropriate forum as a “forum with little or no connection to the dispute at hand”); Bies, supra note 76, at 517 (arguing that forum choice is legitimate when there is “some clear connection of the cause of action to the forum”).
167 See Restatement (Second) of Conflict of Laws § 84 cmt. f (1971) (stating that in the “great majority” of cases, three forums will be “appropriate”: the state where occurrence took place; the state of the defendant’s domicile; or the state of the plaintiff’s domicile); Silberman, supra note 16, at 527 (referring to “the more relevant jurisdiction” as “the place of residence, injury, or sale”); Silberman, supra note 55, at 336 (referring to “most
est factors that the Supreme Court enumerated to evaluate the convenience of a forum are themselves closely related to these types of connections.\textsuperscript{168}
But to what extent do these connections influence judges' actual forum non conveniens decisions? In other words, how effectively does the doctrine, as applied, distinguish between appropriate and inappropriate transnational forum shopping into U.S. courts? If judges are effectively making this distinction, then, other things being equal, the probability of a forum non conveniens dismissal should be higher when the parties are foreign and when the territorial locus of the activity giving rise to the dispute is foreign. To estimate these influences, I created four variables and coded them for each case in my forum non conveniens data set as follows: \textit{Foreign Plaintiffs} (1 if the plaintiffs are all foreign, 0 otherwise); \textit{Foreign Defendants} (1 if the defendants are all foreign, 0 otherwise); \textit{Foreign Conduct} (1 if the conduct giving rise to the dispute occurred entirely outside U.S. territory, 0 otherwise); and \textit{Foreign Injury} (1 if the injury giving rise to the dispute occurred entirely outside U.S. territory, 0 otherwise).\textsuperscript{169} These variables and the other variables in my analysis are summarized below in Table 5.
However, scholars have suggested at least three factors unrelated to the appropriateness of a plaintiff's choice of a U.S. court that may nevertheless influence forum non conveniens decision making: caseload, foreign country regime type, and judges' ideological attitudes. Regarding caseload, one of the forum non conveniens doc-
\textsuperscript{168} See Gulf Oil Corp. v. Gilbert, 330 U.S. 501, 508–09 (1947). For example, ease of access to proof and witnesses—which is among the doctrine's private interest factors—depends on the location of the parties and other relevant sources of evidence, which in turn will often overlap with the parties' countries of citizenship and with the place of the activity giving rise to the litigation. In addition, one of the public interest factors is whether the underlying dispute is a "localized controversy." See id. at 509. The Court does not define the meaning of the phrase, but the phrase implies that one of the parties or some part of the underlying activity is local.
\textsuperscript{169} I coded these variables based on the published opinions in the data set. This "connecting factor" approach is widely accepted as a method of gauging appropriateness. See supra notes 165–67 and accompanying text. However, it is not necessarily the best or only possible approach. Indeed, in one of its seminal forum non conveniens decisions, the U.S. Supreme Court avoided specifying particular connecting factors, explaining that it was "[w]ise[]" to avoid any attempt "to catalogue the circumstances which will justify or require either grant or denial" of motions to dismiss on forum non conveniens grounds and preferring case-by-case analysis based on the court's discretion. \textit{Gulf Oil}, 330 U.S. at 508. The Court instead articulated the private interest and public interest factors discussed above. Id. at 508–09. As a practical matter of empirical methodology, it would be difficult to measure these factors and test their distinct influences on forum non conveniens decision making. However, the citizenship and territoriality variables used in my analysis, being correlated with those factors, should be reasonable proxies.
trine’s public interest factors is “administrative difficulties flowing from court congestion.”\textsuperscript{170} Some critics argue that this factor has led judges to use the doctrine as a caseload-management tool. As one of the doctrine’s critics argues, “The American courts’ overt reliance on calendar congestion as a standard reason for dismissing cases tips the scales far too heavily against retaining jurisdiction.”\textsuperscript{171} One would expect the busiest judges to feel the greatest pressure to use the forum non conveniens doctrine in this manner. Thus, if judges are in fact using the forum non conveniens doctrine to reduce their caseloads, then, other things being equal, the larger the judge’s caseload, the higher the probability that the judge will dismiss on forum non conveniens grounds. To estimate this influence, I created the variable \textit{Caseload} using the Federal Court Management Statistics maintained by the AO.\textsuperscript{172}
Liberal international law theory suggests another factor that may influence forum non conveniens decision making: whether the foreign country in which the proposed alternative forum is located is a liberal democracy. According to this theory, the “courts of liberal [countries] handle cases involving other liberal [countries] differently from the way they handle cases involving nonliberal [countries].”\textsuperscript{173} In particular, within the community of liberal countries, courts see themselves as “cooperating in an effort to direct the [transnational] litigation to the natural or most appropriate forum.”\textsuperscript{174} Critics of liberal international law theory reject the claim that U.S. courts relate differently to liberal democracies than to other countries.\textsuperscript{175} But if the theory is correct, then, other things being equal, U.S. judges
\textsuperscript{170} Piper Aircraft Co. v. Reyno, 454 U.S. 235, 241 n.6 (1981).
\textsuperscript{171} Robertson, \textit{supra} note 89, at 417; \textit{see also} Henry J. Friendly, \textit{Indiscretion About Discretion}, 31 Emory L.J. 747, 750 n.10 (1982) (“[T]he explosion of litigation has created a strong incentive for district courts to [use the forum non conveniens doctrine] to shunt burdensome business elsewhere.”).
\textsuperscript{172} \textit{Federal Court Management Statistics 2008: U.S. District Court—Judicial Caseload Profile}, U.S. Courts, http://www.uscourts.gov/viewer.aspx?doc=/cgi-bin/cmsd2008.pl (last visited Nov. 9, 2010) (select “All District Courts” from drop-down menu, then follow “Generate” hyperlink). I used the “weighted filings” per judgeship figure. I used a one-year lag because, due to the typical duration of cases, the prior year’s filings are likely to be a more accurate measure of the district’s current workload.
\textsuperscript{173} Anne-Marie Burley, \textit{Law Among Liberal States: Liberal Internationalism and the Act of State Doctrine}, 92 Colum. L. Rev. 1907, 1917 (1992). Anne-Marie Burley (later Anne-Marie Slaughter Burley and now Anne-Marie Slaughter) specifically claims that the theory applies to forum non conveniens decision making. Anne-Marie Slaughter Burley, \textit{International Law and International Relations Theory: A Dual Agenda}, 87 Am. J. Int’l L. 205, 232 (1993).
\textsuperscript{174} Anne-Marie Slaughter, \textit{A Typology of Transjudicial Communication}, 29 U. Rich. L. Rev. 99, 105 (1994); \textit{see also id.} at 131 (arguing that this tendency is “likely to be stronger among the courts of liberal democracies”).
\textsuperscript{175} \textit{See generally} José E. Alvarez, \textit{Do Liberal States Behave Better? A Critique of Slaughter’s Liberal Theory}, 12 Eur. J. Int’l L. 183, 217 (2001) (arguing that regime type does not determine interactions by U.S. courts with other courts).
should be more likely to dismiss cases in favor of the courts of other liberal democracies than in favor of courts outside the community of liberal countries. To estimate this influence, I created the variable *Liberal Democracy* based on the annual Freedom House *Freedom in the World* survey.\(^{176}\) I coded the variable as 1 (yes) if the proposed alternative forum is in a country rated “free” in the survey for the year prior to the court’s decision; otherwise, I coded it as 0 (no).\(^{177}\)
Finally, some scholars argue that “[f]ederal forum non conveniens decisions appear to depend more on the individual biases of district court judges than any identifiable legal standard.”\(^{178}\) The predominant political science theory of judicial decision making—the attitudinal model—provides support for this claim. According to the attitudinal model, the most important factor influencing a judge’s decision is the judge’s conservative or liberal ideological attitude.\(^{179}\) The attitudinal model thus implies that the probability that a judge will dismiss a case on forum non conveniens grounds depends at least partly on whether the judge is conservative or liberal. As George Brown has argued, conservative judges should have a particularly strong aversion to forum shopping.\(^{180}\) If this is correct, then, other
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\(^{176}\) The *Freedom in the World* survey is a leading annual survey on national levels of democracy. For information about the survey, see *Freedom in the World*, FREEDOM HOUSE, http://www.freedomhouse.org/template.cfm?page=15 (last visited Nov. 9, 2010).
\(^{177}\) Although these ratings generally are stable over the time period covered by my data set, I use a one-year lag based on the theory that a judge is unlikely to become immediately aware of changes in a foreign country’s politics. For purposes of liberal international-law theory, Slaughter defines “liberal” states as those “with juridical equality, constitutional protections of individual rights, representative republican governments, and market economies based on private property rights.” Burley, *supra* note 173, at 1909. The Freedom House rankings capture these characteristics by explicitly accounting for equal treatment under the law, protection of individual rights (including freedoms of assembly, open public discussion, and defendants’ rights), representative government (including election of representatives through free and fair elections and other political rights), and private-property rights. *See Methodology*, FREEDOM HOUSE, http://www.freedomhouse.org/template.cfm?page=351&ana_page=363&year=2010 (last visited Nov. 9, 2010). The other leading measure, the POLITY IV PROJECT, http://www.systemicpeace.org/polity/polity4.htm (last visited Nov. 9, 2010), captures the concept of representative government well, but it only indirectly captures the other elements of Burley’s definition. Therefore, for testing Slaughter’s liberal theory of international law, the Freedom House measure appears more appropriate.
\(^{178}\) Lear, *supra* note 112, at 602–03.
\(^{179}\) According to two of the theory’s leading proponents, “[t]his model holds that the Supreme Court decides disputes in light of the facts of the case vis-à-vis the ideological attitudes and values of the justices.” JEFFREY A. SEGAL & HAROLD J. SPAETH, THE SUPREME COURT AND THE ATTITUDINAL MODEL REVISITED 86 (2002). As Segal and Spaeth put it, “Rehnquist votes the way he does because he is extremely conservative; Marshall voted the way he did because he was extremely liberal.” *Id.*
\(^{180}\) See George D. Brown, *The Ideologies of Forum Shopping—Why Doesn’t a Conservative Court Protect Defendants?*, 71 N.C. L. Rev. 649, 651 (1993). Brown argues that “[a]nything other than a broad condemnation” of forum shopping from conservative judges would be surprising because
things being equal, conservative judges should be more likely than liberal judges to dismiss transnational litigation on forum non conveniens grounds. To estimate the influence of judges’ ideological attitudes, I created the variable *Judge Nominated by Republican* and coded it as 1 (yes) if a Republican president nominated the deciding judge, and 0 (no) otherwise.\(^{181}\)
My analysis also asks a second question about forum non conveniens in action: To what extent are judges’ forum non conveniens decisions predictable? According to some of the doctrine’s critics, these decisions are very unpredictable.\(^{182}\) If that is correct, then the forum non conveniens doctrine would generate considerable forum non conveniens litigation, but it would not be an effective anti–forum shopping instrument.\(^{183}\) So far, however, scholars have not attempted to estimate the extent to which forum non conveniens decision mak-
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\[^{181}\] [f]orum-shopping threatens such conservative values as the desire to avoid the proliferation of lawsuits, a distrust of manipulation of the system to achieve substantive ends (at least by plaintiffs), and a general pro-defendant tilt. The principal victims of state-state forum-shopping are interstate corporate entities, an interest group that [conservative judges] might be expected to favor.
*Id.* (footnote omitted).
\[^{181}\] This is a common measure of judges’ ideological attitudes. *See* Tracey E. George & Lee Epstein, *On the Nature of Supreme Court Decision Making*, 86 *Am. Pol. Sci. Rev.* 323, 328 (1992) (using the party of the nominating president as a proxy for ideological attitudes); *see also* Tracey E. George, *Developing a Positive Theory of Decisionmaking on U.S. Courts of Appeals*, 58 *Ohio St. L.J.* 1635, 1650–55 (1998) (defending this approach and introducing alternatives). However, tests using the party of the nominating president as a proxy for a judge’s ideological attitudes may underestimate the impact of those attitudes. *See* Joshua B. Fischman & David S. Law, *What Is Judicial Ideology, and How Should We Measure It?*, 29 *Wash. U. J.L. & Pol’y* 133, 170–71 (2009). Therefore, such tests are “best interpreted as providing only a lower bound on ideology.” *Id.* at 171. I obtained the data on nominating presidents from the *Biographical Directory of Federal Judges*, *Federal Judicial Center*, http://www.fjc.gov/history/home.nsf/page/judges.html (last visited Nov. 9, 2010).
\[^{182}\] *See, e.g.*, Gulf Oil Corp. v. Gilbert, 330 U.S. 501, 516 (1947) (Black, J., dissenting):
The broad and indefinite discretion left [by the forum non conveniens doctrine] to federal courts to decide the question of convenience from the welter of factors which are relevant to such a judgment, will inevitably produce a complex of close and indistinguishable decisions from which accurate prediction of the proper forum will become difficult, if not impossible.
*See also* Robertson & Speck, *supra* note 111, at 971, 975 (arguing that the forum non conveniens doctrine “is vague and amorphous, yielding little predictability and virtually guaranteeing against clear explanation of the outcomes achieved under it”); Stein, *supra* note 27, at 785 (describing “crazy quilt of ad hoc, capricious, and inconsistent [forum non conveniens] decisions”).
\[^{183}\] *See* Am. Dredging Co. v. Miller, 510 U.S. 443, 455 (1994) (arguing that because of its unpredictability, “forum non conveniens cannot really be relied upon . . . in deciding . . . where to sue”); *Gulf Oil*, 330 U.S. at 516 (Black, J., dissenting) (arguing that due to its unpredictability, the forum non conveniens doctrine will “clutter the very threshold of the federal courts with a preliminary trial of fact concerning the relative convenience of forums”); von Mehren, *supra* note 19, at 324 (noting criticism that “the doctrine compromises legal security and predictability and breeds litigation”).
### Table 5
**Explanatory Variables: Factors Potentially Influencing Forum Non Conveniens Decisions**
| Variable | Coding | Source |
|---------------------------------|----------------------------------------------------------------------|------------------------------------------------------------------------|
| **Foreign Plaintiffs** | 1 (yes) if plaintiffs all foreign, 0 (no) otherwise. | Court’s published opinion. |
| **Foreign Defendants** | 1 (yes) if defendants all foreign, 0 (no) otherwise. | Court’s published opinion. |
| **Foreign Conduct** | 1 (yes) if conduct giving rise to dispute occurred entirely outside U.S. territory, 0 (no) otherwise. | Court’s published opinion. |
| **Foreign Injury** | 1 (yes) if injury giving rise to dispute occurred entirely outside U.S. territory, 0 (no) otherwise. | Court’s published opinion. |
| **Caseload** | Log of caseload of judicial district in year prior to decision. | Administrative Office of the U.S. Courts, Federal Court Management Statistics. |
| **Liberal Democracy** | 1 (yes) if foreign state rated “free” by Freedom House, 0 (no) if rated “partly free” or “not free,” in year before decision. | Freedom House, *Freedom in the World Survey*. |
| **Judge Nominated by Republican** | 1 (yes) if judge nominated by Republican president, 0 (no) otherwise. | Federal Judicial Center, *Biographical Directory of Federal Judges*. |
ing is unpredictable. I will attempt to do so using a number of standard statistical measures.
### B. Empirical Findings
To estimate the effects of these factors on the probability that a judge will grant a motion to dismiss on forum non conveniens grounds, I used logit analysis—a standard statistical method for estimating the effects that hypothesized explanatory variables have on dependent variables with only two possible values.\(^{184}\) The results are presented below in Table 6.\(^{185}\) As the table indicates, I estimated
---
\(^{184}\) Here, the dependent variable is *Decision*, which either has the value of Yes (1) for decisions to grant a motion to dismiss on forum non conveniens grounds or No (0) for decisions to deny such motions. For further information on logit analysis, see generally David W. Hosmer & Stanley Lemeshow, *Applied Logistic Regression* (2d ed. 2000). I used the Clarify software program in Stata to simulate a change in the expected value of the dependent variable caused by increasing each dichotomous explanatory variable from 0 to 1 (and *Caseload*, a continuous variable, from its 25th to 75th percentile), setting each of the other variables at its mode (for dichotomous variables) or mean (for *Caseload*). Michael Tomz et al., *Clarify: Software for Interpreting and Presenting Statistical Results* (2001).
\(^{185}\) As noted above, my sample consists only of published decisions and therefore might not be representative of unpublished decisions. However, because I am interested in the impact of domestic court decisions on plaintiffs’ decisions to forum shop into U.S. courts, published decisions are the most relevant. See *supra* Part I. Moreover, any unrepresentativeness that may result from relying only on published decisions does not create
these effects using two different models. Model 1 includes all explanatory variables except the *Judge Nominated by Republican* variable. By excluding this variable, I am able to estimate Model 1 in three different ways: with all judges included; with only judges nominated by Democrats; and with only judges nominated by Republicans. This in turn allows me to estimate whether the factors influencing the forum non conveniens decisions of conservative judges differ from the factors influencing the forum non conveniens decisions of liberal judges. To estimate whether judges’ ideological attitudes influence the probability of a forum non conveniens dismissal, the *Judge Nominated by Republican* variable is included in Model 2.
Are forum non conveniens decisions based on factors of citizenship and territoriality—factors that are widely understood as distinguishing between appropriate and inappropriate transnational forum shopping into U.S. courts? The results suggest that such factors do have a considerable influence on judges’ forum non conveniens decisions. In both Model 1 (with all judges included) and Model 2, the impact of one of the citizenship variables (*Foreign Plaintiffs*) and both of the territoriality variables (*Foreign Conduct* and *Foreign Injury*) are statistically significant and, as expected, have a positive effect on the probability of dismissal. For example, in Model 1, the probability of dismissal is an estimated 24.1% [6.5, 42.2] higher when the plaintiffs are all foreign, 18.8% [1.6, 36.7] higher when the conduct occurred outside U.S. territory, and 30.5% [11.0, 49.1] higher when the injury occurred outside U.S. territory. As Model 2 shows, these effects remain even after controlling for the judge’s ideological attitudes.\(^{186}\)
\(^{186}\) Specifically, with the *Judge Nominated by Republican* variable included, the probability of dismissal is an estimated 26.5% [7.9, 45.1] higher when the plaintiffs are all foreign, 20.3% [1.9, 38.6] higher when the conduct occurred outside U.S. territory, and 27.5% [8.4, 47.8] when the injury occurred outside U.S. territory. The impact of the *Foreign Defendants* variable is not statistically significant at traditionally accepted levels. *See generally Hosmer & Lemeshow, supra* note 184, at 36–43 (discussing methods for testing statistical significance of models and estimating confidence intervals, using a 95% confidence interval as a baseline).
### Table 6
**Estimated Effects on Probability of Forum Non Conveniens Dismissal**
| Explanatory Variables | Estimated Effects on Probability of Forum Non Conveniens Dismissal |
|-----------------------|---------------------------------------------------------------------|
| | Model 1 | Model 2 |
| | All | Dem. | Rep. | All | Dem. | Rep. |
| **Foreign Plaintiffs** | | | | | | |
| | 24.1%*** [6.5, 42.2] | 17.3% [-5.6, 48.8] | 32.6%** [8.2, 57.0] | 26.5%*** [7.9, 45.1] |
| **Foreign Defendants** | 9.7% [-10.8, 28.0] | -0.01% [-25.9, 22.4] | 13.6% [-10.8, 40.3] | 8.4% [-9.9, 27.0] |
| **Foreign Conduct** | 18.8%** [1.6, 36.7] | 8.2% [-11.7, 35.4] | 31.0%** [4.6, 56.2] | 20.3%** [1.9, 38.6] |
| **Foreign Injury** | 30.5%*** [11.0, 49.1] | 40.7%*** [8.2, 66.4] | 17.1% [-5.0, 43.1] | 27.5%*** [8.4, 47.8] |
| **Caseload** | -1.4% [-10.9, 7.8] | -8.2% [-23.7, 2.5] | 4.6% [-7.4, 16.9] | -2.2% [-11.4, 7.7] |
| **Liberal Democracy** | 26.6%*** [8.1, 44.0] | 25.5%* [-2.5, 53.7] | 28.5%*** [9.4, 49.7] | 25.4%*** [8.3, 40.9] |
| **Judge Nominated by Republican** | | | | | | |
| **Number of Observations** | 196 | 89 | 105 | 194 |
| **Prob > Chi2** | 0.000 | 0.000 | 0.000 | 0.000 |
| **Correctly Classified** | 70.9% | 76.4% | 71.4% | 71.1% |
| **Adjusted Count R-Squared** | .394 | .500 | .348 | .398 |
| **Area Under ROC Curve** | .788 | .827 | .785 | .793 |
Notes: This table presents estimates of the effects of the listed explanatory variables on the probability that a U.S. district court judge will grant a motion to dismiss a transnational lawsuit based on the forum non conveniens doctrine. The 95% confidence interval for each estimate is provided in brackets. Standard indicators of statistical significance are also provided (*p < .10, **p < .05, ***p < .01).
Controlling for other factors, the defendant's nationality does not significantly affect the probability of dismissal.\(^{187}\)
The *Caseload* variable does not have a significant impact on judges' forum non conveniens decisions. Of course, this finding does not disprove the claim that judges improperly use the forum non conveniens doctrine to limit their caseloads. However, it would seem to alleviate this concern.
\(^{187}\) No models showed 95% confidence that the effect of the *Foreign Defendants* variable is either positive or negative.
The *Liberal Democracy* variable has a strong positive effect: the probability of dismissal is an estimated 26.6% [8.1, 44.0] higher in Model 1 (with all judges included) and 25.4% [8.3, 40.9] higher in Model 2 when the alternative foreign court is in a liberal democracy than when it is not.\textsuperscript{188} This result provides support for the liberal international law theory hypothesis that U.S. judges are more likely to dismiss cases in favor of the courts of other liberal democracies than in favor of courts outside the community of liberal countries.\textsuperscript{189}
As Model 2 shows, the *Judge Nominated by Republican* variable does not have a significant impact. Thus, my results do not support the attitudinal model hypothesis that judges’ ideological attitudes affect the probability of dismissal.\textsuperscript{190}
However, the results do suggest that the factors influencing the forum non conveniens decisions of conservative judges may differ from those influencing the forum non conveniens decisions of liberal judges. When Model 1 is limited to nominees of Democratic presidents, the only significant connecting factor is the place of the injury (40.7% [8.2, 66.4]).\textsuperscript{191} The plaintiff’s nationality does not have a significant effect on the probability of dismissal. In contrast, when Model 1 is limited to nominees of Republican presidents, the place of the injury is not statistically significant, but the place of conduct is significant (31.0% [4.6, 56.2]). Notably, the plaintiff’s nationality has a strong positive impact on the probability of dismissal (32.6% [8.2, 57.0]) when the sample includes only Republican nominees.
These results do not support the theory that conservative judges have a stronger aversion to forum shopping than liberal judges (at
\textsuperscript{188} When the variable *Liberal Democracy* is replaced with a variable equal to 1 if the Polity IV democracy rating is greater than or equal to 5 on a -10 to +10 scale, the effect is statistically significant at a 90% (but not a 95%) level of confidence.
\textsuperscript{189} The impact of the *Liberal Democracy* variable may reflect not a concern about regime type per se but rather a concern with the perceived adequacy of the proposed alternative forum. Judges may intuitively be more comfortable dismissing cases in favor of countries in which there likely would be a fair judicial process. To that extent, the *Liberal Democracy* variable might indeed be considered relevant to the determination of whether the foreign court would be an appropriate alternative. However, in the twenty-two cases in the sample in which a judge concluded that the alternative forum requirement was not satisfied, the foreign country was a liberal democracy in ten cases and not a liberal democracy in twelve cases, suggesting that judges do not use regime type as a proxy for forum adequacy. \textit{But see} Lii, \textit{supra} note 115, at 537–38 (finding that “district courts are less apt to find an adequate forum in countries with fewer political rights and fewer civil liberties”).
\textsuperscript{190} As noted above, however, my use of the party of the nominating president as a measure of the judge’s ideological attitude may underestimate the impact of ideology. \textit{See supra} note 181.
\textsuperscript{191} This is the sort of “situs” tendency that Elizabeth Lear has argued largely explains forum non conveniens decision making in general. \textit{See} Lear, \textit{supra} note 111, at 103 (referring to “the strength of the federal courts’ situs presumption” in forum non conveniens decision making).
least not in the forum non conveniens context). But they do suggest that conservative and liberal judges may have different conceptions of what constitutes inappropriate transnational forum shopping into U.S. courts. Judges nominated by Republicans appear more concerned with keeping foreign plaintiffs from forum shopping into the U.S. federal courts than those nominated by Democrats; and, in terms of territorial factors, Republican nominees appear more concerned with the place of conduct, and Democratic nominees appear more concerned with the place of injury.
The impact of the *Foreign Plaintiffs* variable may have implications for U.S. compliance with equal-access provisions in bilateral friendship, commerce, and navigation treaties. These provisions require each signatory to give the other signatory's citizens access to its courts equal to that given to its own citizens. As previously explained, one of the Supreme Court's key holdings in *Piper Aircraft Co. v. Reyno* was that a foreign plaintiff's choice of a U.S. court "deserves less deference" than that of a U.S. plaintiff. The Court justified this distinction as a nondiscriminatory proxy for the convenience of litigating in a U.S. court. Some lower courts have nevertheless held that the distinction violates the guarantee of equal access.
If the plaintiff's nationality is indeed merely a proxy for convenience, then after controlling for other factors affecting convenience—such as the defendant's citizenship (which generally should be correlated with how convenient it would be for the defendant to litigate in a U.S. court) and the place of the plaintiff's injury and the defendant's conduct (which generally should be correlated with the location of evidence and witnesses)—the plaintiff's citizenship should not have a significant and strong independent effect on forum non
---
192 See supra note 180 and accompanying text.
193 See Russell J. Weintraub, Commentary on the Conflict of Laws 281–82 (5th ed. 2006) (noting approximately twenty-five such treaties and arguing that discrimination in forum non conveniens decision making could violate them). See generally Allan Jay Stevenson, Forum Non Conveniens and Equal Access Under Friendship, Commerce, and Navigation Treaties: A Foreign Plaintiff's Rights, 13 Hastings Int'l & Comp. L. Rev. 267 (1990) (analyzing the relationship between the forum non conveniens doctrine and equal-access provisions).
194 Weintraub, supra note 193.
195 See supra text accompanying notes 100–09.
196 454 U.S. 235, 255–56 (1981).
197 See id.:
When the home forum has been chosen, it is reasonable to assume that this choice is convenient. When the plaintiff is foreign, however, this assumption is much less reasonable. Because the central purpose of any *forum non conveniens* inquiry is to ensure that the trial is convenient, a foreign plaintiff's choice deserves less deference.
198 See Gary B. Born & Peter B. Rutledge, International Civil Litigation in United States Courts 380 (4th ed. 2007) (discussing cases holding that courts must treat foreign plaintiffs as U.S. citizens for forum non conveniens purposes if they are citizens of signatories of treaties with equal-access provisions).
conveniens decisions.\textsuperscript{199} Yet it does: other things being equal, U.S. district court judges are approximately 25\% more likely to dismiss on forum non conveniens grounds when the plaintiff is foreign than when the plaintiff is a U.S. citizen.\textsuperscript{200} Moreover, if the doctrine’s goal is indeed to measure convenience, then the defendant’s citizenship should also have an impact—but this does not appear to be the case.\textsuperscript{201} Although further analysis would be necessary to reach a more definitive conclusion, this finding suggests that the \textit{Piper} distinction between U.S. and foreign plaintiffs, as applied by the U.S. district courts, is not merely a proxy for convenience, but instead may discriminate against foreign plaintiffs as such, thus raising significant questions about compliance with equal-access provisions.
Finally, my analysis suggests that forum non conveniens decision making might not be as unpredictable as widely believed. Model 2 correctly classifies decisions at a rate of 71.1\%,\textsuperscript{202} and the adjusted count R-squared figure indicates that this represents a 39.8\% improvement over the rate at which decisions would be correctly classified by always guessing the more frequent outcome.\textsuperscript{203} The 0.793 area under the Receiver Operating Characteristic (ROC) curve suggests that this model does an acceptable job discriminating between grants and denials of forum non conveniens motions.\textsuperscript{204}
\textsuperscript{199} Cf. Paula K. Speck, \textit{Forum Non Conveniens and Choice of Law in Admiralty: Time for an Overhaul}, 18 J. MAR. L. & COM. 185, 194 (1987):
[A] court should not grant an FNC dismissal to a defendant who has shown only slight inconvenience, merely because the opposite party is not a U.S. citizen or resident. Such a doctrine would place foreigners in an unfavorable position \textit{qua} foreigners, and they should be able to successfully counter it by appealing to a treaty designed to protect them in such situations.
\textsuperscript{200} The estimated effect is 24.1\% [6.5, 42.2] in full Model 1 and 26.5\% [7.9, 45.1] in Model 2.
\textsuperscript{201} As Table 6 shows, the \textit{Foreign Defendants} variable is not statistically significant.
\textsuperscript{202} This “correctly classified” figure indicates the proportion of outcomes that the model correctly classified using a 0.5 probability cutoff to translate predicted probabilities into dichotomous predictions. See Lawrence C. Hamilton, \textit{Statistics with Stata: Updated for Version 9}, at 270–71 (2006) (explaining the correctly classified statistic). Thus, it indicates the proportion of outcomes for which the model estimated at least a 0.5 probability of a dismissal and in which the court in fact granted a dismissal.
\textsuperscript{203} When a dependent variable has only two possible outcomes (as is the case here), one can correctly predict at least 50\% of outcomes without any explanatory variables by always guessing the outcome that is most frequent. See J. Scott Long & Jeremy Freese, \textit{Regression Models for Categorical Dependent Variables Using Stata} 111 (2d ed. 2006). \textit{Adjusted count R-squared} uses this guessing strategy as a baseline to measure the improvement in predictive power provided by a statistical model. More precisely, \textit{adjusted count R-squared} is the proportion of correct predictions beyond the number that would be correctly predicted simply by choosing the outcome with the largest percentage of observed cases, using a 0.5 probability cutoff. \textit{Id.} at 111–12.
\textsuperscript{204} The ROC curve plots 1 minus specificity (the false positive rate) on the x-axis and sensitivity (the true positive rate) on the y-axis for each possible probability cutoff. See Douglas G. Altman & J. Martin Bland, \textit{Diagnostic Tests 3: Receiver Operating Characteristic Plots}, 309 BRIT. MED. J. 188, 188 (1994) (explaining the ROC curve in the medical-diagnostic
including only factors that can be discerned relatively easily by a forum shopper—the citizenship of the parties and the territorial locus of the underlying transnational activity—correctly classifies decisions at a rate of 72.1%, and the adjusted count R-squared figure indicates that this represents a 40.0% improvement over the rate at which decisions would be correctly classified by always guessing the more frequent outcome. The area under the ROC curve for the stripped down model is 0.763, suggesting that it also does an acceptable job discriminating between grants and denials of forum non conveniens motions.
Overall, my findings suggest that judges apply the forum non conveniens doctrine fairly well. Their decisions appear to be more influenced by factors widely thought to be relevant to the appropriateness of a U.S. court,\textsuperscript{205} more predictable,\textsuperscript{206} and less influenced by caseload and ideology than critics of the doctrine indicate. Moreover, although the level of democracy in the country of a proposed alternative foreign court is not directly relevant to the appropriateness of a plaintiff’s choice of a U.S. court, this factor may reduce the likelihood of dismissals in favor of countries with legal systems that lack fair judicial processes.\textsuperscript{207}
But my findings also suggest potential problems. Liberal and conservative judges may emphasize different factors when making forum non conveniens decisions. And contrary to justifications of \textit{Piper’s} distinction between U.S. and foreign citizens as a proxy for convenience, the results suggest that forum non conveniens decisions may discriminate against foreign plaintiffs.
\textsuperscript{205} To be clear, I am not suggesting that connections such as territoriality and citizenship are the only, or even the best, measures of appropriateness. To the contrary, there are almost surely more sophisticated and refined measures. However, these other measures would be difficult to test empirically and for judges to apply.
\textsuperscript{206} Of course, while even more predictability might be desirable, it is unclear whether this could be accomplished without significant tradeoffs in terms of fairness in individual cases. \textit{Cf.} Erwin Chemerinsky, \textit{Assessing Minimum Contacts: A Reply to Professors Cameron and Johnson}, 28 U.C. Davis L. Rev. 863, 866–67 (1995) (arguing that in the context of personal jurisdiction, uncertainty is “inevitable and desirable” because personal jurisdiction is ultimately about fairness and fairness cannot be reduced to “a formula or a clear rule”).
\textsuperscript{207} \textit{Cf.} Lii, \textit{supra} note 164, at 542 (arguing that “even though the definition of an adequate forum does not explicitly require it, there is evidence that district courts are less likely to find foreign forums adequate in countries with ineffective and corrupt governments and countries that lack the rule of law”).
CONCLUSION
"As a moth is drawn to the light, so is a litigant drawn to the United States." Notwithstanding Lord Denning's widely cited aphorism, this Article suggests that the draw may no longer be as strong as it once was. According to the conventional understanding, two features of the American forum shopping system encourage plaintiffs to file transnational claims in U.S. courts: a permissive approach to personal jurisdiction, which increases plaintiffs' expectations of favorable court access decisions; and pro-domestic-law bias in choice-of-law decision making, which increases plaintiffs' expectations that U.S. judges will apply plaintiff-favoring U.S. substantive law. In our era of globalization, this system is said to have contributed to a transnational litigation explosion.
But this Article has argued that the forum shopping system has evolved. In the current system, U.S. district court judges aggressively use the forum non conveniens doctrine to dismiss transnational litigation, thereby offsetting the incentives created by permissive personal jurisdiction doctrine; and there no longer appears to be pro-domestic-law bias in international choice-of-law decision making. Thus, the current system is unlikely to encourage transnational forum shopping into U.S. courts to the extent suggested by the conventional understanding. In addition, this Article has provided evidence that one important form of transnational litigation—alienage litigation—actually has been decreasing. Due to lack of data, it is unclear whether other types of transnational litigation in U.S. courts—such as transnational litigation in U.S. state courts and transnational litigation in U.S. federal courts based on federal question jurisdiction—are on the same trajectory or not. Nevertheless, the decline of alienage litigation raises substantial doubts about the claim that the United States is experiencing a transnational litigation explosion.
However, unlike some of the broader claims about a litigation explosion in the United States, the assumption that there is a transnational litigation explosion is based on a highly plausible logic. Thus, this Article's findings pose a genuine puzzle for legal scholars: Why, in an age of globalization in which one would expect an increase in disputes between U.S. citizens and foreign citizens—and why, given the well-documented attractions that the U.S. legal system offers to plaintiffs—would the number of alienage filings be decreasing?
208 Smith Kline & French Labs. Ltd. v. Bloch, [1983] 1 W.L.R. 730, 733 (C.A. 1982).
209 See supra Part II.
210 See supra notes 1–3 and accompanying text.
211 See supra notes 76–85 and accompanying text.
212 See supra Part II.B.
213 Id.
There are several intriguing possibilities for scholars to explore as they work to improve their understanding of the current forum shopping system and its consequences for transnational litigation. For example, perhaps the evolution of the forum shopping system has itself contributed to the decline in alienage filings by reducing plaintiffs' expectations of favorable court access and choice-of-law decisions.\textsuperscript{214} However, even if this is one piece of the alienage litigation puzzle, other factors are almost surely at play as well. Perhaps transnational disputes that would once have been filed in the U.S. federal courts are increasingly being filed in U.S. state courts\textsuperscript{215} or submitted to transnational arbitration.\textsuperscript{216} Perhaps "tort reform" in the United States has reduced the attractiveness of the U.S. legal system for plaintiffs relative to other legal systems;\textsuperscript{217} or perhaps changes to foreign legal sys-
\textsuperscript{214} From this perspective, the role of domestic courts in shaping patterns of transnational forum shopping would be an example of transnational judicial governance. \textit{See} Whytock, \textit{supra} note 21, at 100–01 (describing the impact of judicial allocation of adjudicative authority on transnational forum shopping). In addition to the changes in the American forum-shopping system described above, the amount-in-controversy requirement for diversity jurisdiction increased from $10,000 to $50,000 in 1988 and to $75,000 in 1996. Friedenthal et al., \textit{supra} note 48, at 45. However, if this were a substantial cause of the decline in alienage filings, one would expect to see a similar drop in domestic diversity cases, which did not occur. \textit{See supra} Figure 3. Second, in 1988, permanent-resident aliens were classified as U.S. state citizens for diversity purposes, arguably reducing the number of transnational suits covered by alienage jurisdiction. \textit{Cf.} Clermont & Eisenberg, \textit{supra} note 135, at 461 (noting this possibility). However, this possibility is difficult to assess without data on the proportion of transnational suits brought by permanent-resident aliens based on alienage jurisdiction prior to this change.
\textsuperscript{215} \textit{See, e.g.}, Robertson & Speck, \textit{supra} note 111, at 940 (arguing that more transnational personal-injury claims are being filed in state courts precisely because of federal courts' aggressive use of the forum non conveniens doctrine). \textit{But see} 28 U.S.C. § 1441(b) (2006) (allowing removal in non-federal-question cases "only if none of the parties in interest properly joined and served as defendants is a citizen of the State in which such action is brought"); Koh, \textit{supra} note 82, at 15 (arguing that transnational commercial litigation is concentrated in the U.S. federal courts rather than U.S. state courts); Solimine, \textit{supra} note 29, at 37 (providing empirical evidence that "appears to confirm the assumption that foreign defendants see federal courts as more congenial [than state courts], and when able will remove the case to that forum"). Unfortunately, there is no existing data on transnational litigation rates in U.S. state courts that permits empirical testing of this explanation.
\textsuperscript{216} \textit{See} Christopher A. Whytock, \textit{The Arbitration-Litigation Relationship in Transnational Dispute Resolution: Empirical Insights from the U.S. Federal Courts}, 2 \textit{World Arb. \& Mediation Rev.} 39, 48 (2008) (empirically documenting an upward trend in transnational arbitration but concluding that this does not substantially account for the decline in alienage litigation); \textit{see also} Koh, \textit{supra} note 82, at 15 (arguing that the "vast bulk of the international commercial dispute resolution in the United States has tended to transpire not through arbitration, but through lawsuits in the national courts").
\textsuperscript{217} \textit{See generally} Linda Lipsen, \textit{The Evolution of Products Liability as a Federal Policy Issue}, in \textit{Tort Law and the Public Interest} 247 (Peter H. Schuck ed., 1991) (surveying tort-reform efforts); Glenn Blackmon & Richard Zeckhauser, \textit{State Tort Reform Legislation: Assessing Our Control of Risks}, in \textit{Tort Law and the Public Interest}, \textit{supra}, at 272. \textit{But see} Weintraub, \textit{supra} note 43, at 163 ("[A]lthough 'tort reform' is spreading in the United States, American law is nevertheless more likely than foreign law to create liability, permit recovtems have increased the attractiveness of those systems compared to the United States.\textsuperscript{218} It is also possible that foreigners attempt to avoid litigating in U.S. courts in fear of antiforeigner bias.\textsuperscript{219} By moving toward an answer to the alienage litigation puzzle, legal scholars will develop a better understanding of transnational forum shopping behavior and the factors that influence it.
An improved understanding is important for legal policy because there are legitimate concerns about the potentially adverse economic and political consequences of transnational forum shopping into U.S. courts.\textsuperscript{220} Based on these concerns, some legal scholars and policy advocates have called for legal reforms aimed at curtailing transnational litigation, including the enhanced use of the forum non conveniens doctrine and modified choice-of-law methods that would guard against pro-domestic-law bias.\textsuperscript{221} And in \textit{Goodyear Luxembourg}
\textsuperscript{218} See Mark A. Behrens et al., \textit{Global Litigation Trends}, 17 Mich. St. J. Int’l L. 165, 193–94 (2009) (noting the growing list of countries recognizing multiclaimant litigation and gradually moving away from prohibitions on contingent fees and punitive damages); R. Daniel Kelemen & Eric C. Sibbitt, \textit{The Globalization of American Law}, 58 Int’l Org. 103, 131 (2004) (arguing that American legal style is spreading globally); Eugene Gulland, \textit{All the World’s a Forum}, Nat’l L.J., Feb. 11, 2002, at B13 (arguing that “[r]ecent court decisions . . . suggest a more aggressive tendency to prefer non-U.S. forums and apply non-U.S. law to disputes involving U.S. companies”).
\textsuperscript{219} See Utpal Bhattacharya et al., \textit{The Home Court Advantage in International Corporate Litigation}, 50 J.L. & Econ. 625, 629 (2007) (concluding that foreign firms are disadvantaged in U.S. courts). But see Clermont & Eisenberg, \textit{supra} note 135, at 464 (finding no support for the existence of antiforeigner bias in U.S. courts). However, regardless of whether there is in fact an antiforeigner bias, the perception of antiforeigner bias could affect transnational litigation rates in U.S. courts. See Austen L. Parrish, \textit{Sovereignty, Not Due Process: Personal Jurisdiction over Nonresident Alien Defendants}, 41 Wake Forest L. Rev. 1, 45 (2006) (“Foreign defendants believe that U.S. courts favor U.S. litigants.”).
\textsuperscript{220} See Dorward, \textit{supra} note 16, at 142 (arguing that “tolerance of international forum shopping creates inefficiencies and conflicts with basic notions of comity and respect for foreign sovereignty”); Parrish, \textit{supra} note 219, at 47–48 (noting potential foreign-relations consequences of transnational litigation in U.S. courts); Sykes, \textit{supra} note 10, at 340 (arguing that transnational forum shopping into U.S. courts may cause global and national economic welfare to decline); cf. Silberman, \textit{supra} note 16, at 507 (noting the U.S. Solicitor General’s argument in \textit{Helicopteros Nacionales de Colombia v. Hall} that assertion of personal jurisdiction over a foreign corporation in U.S. court based on the corporation’s transactions with a U.S. corporation in the United States would have “significant potential for discouraging foreign forums from purchasing American products” and “would thwart positive efforts of Congress and the Executive Branch to make American firms and products more competitive internationally”) (quoting Brief for the United States as Amicus Curiae at 9–10, 11–12, \textit{Helicopteros Nacionales}, 466 U.S. 408 (1984) (No. 82-1127)).
\textsuperscript{221} See, e.g., Sykes, \textit{supra} note 10, at 340 (arguing “for limiting foreign tort plaintiffs to the law and forum of the jurisdiction in which their harm arose” in appropriate cases); \textit{Global Forum Shopping}, \textit{supra} note 15 (advocating reforms to reduce global forum shopping into U.S. courts); see also Dorward, \textit{supra} note 16, at 168 (arguing for continued evolution of the forum non conveniens doctrine to respond to problems posed by international forum shopping); Weintraub, \textit{supra} note 43, at 161 (arguing for elimination of “choice-of-law rules that select American liability law”); cf. Piper Aircraft Co. v. Reyno, 454 U.S. 235,
Tires, S.A. v. Brown, now pending before the Supreme Court, the petitioners and their amici curiae supporters are using concerns about forum shopping to argue for limitations on general jurisdiction in transnational product liability actions.\textsuperscript{222} However, according to this Article’s updated understanding of the American forum shopping system, new anti–forum shopping measures might not be as urgent or necessary as their advocates claim. Judges are already using the forum non conveniens doctrine aggressively to dismiss transnational suits, and they do not appear to display pro-domestic-law bias in international choice-of-law decision making.\textsuperscript{223}
More fundamentally, this Article has presented empirical evidence that raises questions about the need for new anti–forum shopping measures in the first place. Alienage litigation—one of the principal forms of transnational litigation—is decreasing and constitutes only a small fraction of the total caseload of U.S. district
\textsuperscript{222} See Brief for Petitioners, \textit{supra} note 59, at 9 (arguing that affirming North Carolina’s assertion of general jurisdiction would be an “invitation to rampant forum shopping”); Brief of the Org. for Int’l Inv. & Ass’n of Int’l Auto. Mfrs. Inc. as Amici Curiae in Support of Petitioner, \textit{supra} note 59, at 16 (asserting that “[t]he U.S. legal system has had a problem with forum shopping” and that affirming the state court’s decision “would dramatically expand opportunities for forum shopping”). As suggested \textit{supra} note 215 and accompanying text, it is possible that these concerns may be more serious with respect to transnational claims that are filed in state courts with versions of the forum non conveniens doctrine that are not as robust as the federal doctrine and that are not removable to federal court. Concern about forum shopping was an explicit factor in the Supreme Court’s 1981 adoption of a more robust forum non conveniens doctrine in \textit{Piper Aircraft Co. v. Reyno}. See 454 U.S. 235 (1981) (asserting that “[t]he American courts, which are already extremely attractive to foreign plaintiffs, would become even more attractive” and “[t]he flow of litigation in to the United States would increase and further congest already crowded courts”).
\textsuperscript{223} See \textit{supra} Part III. Clermont has suggested that the courts may be moving back toward a stricter abuse-of-process approach to forum non conveniens. Kevin M. Clermont, \textit{The Story of Piper: Forum Matters}, in \textit{CIVIL PROCEDURE STORIES} 199, 224 (Kevin M. Clermont ed., 2d ed. 2009). My data is not inconsistent with this possibility: forum non conveniens dismissal rates in the published decisions of the U.S. district courts have declined from an estimated 61.3% [48.8, 72.4] in 1990–94, to 45.0% [33.1, 57.5] in 1995–99, to 38.6% [29.1, 49.1] in 2000–2005. But see Childress, \textit{supra} note 116 (presenting evidence of an increase in the dismissal rate to 62% since 2007). The overlapping confidence intervals indicate that these comparative estimates are somewhat uncertain. However, if there has in fact been such a decline, it may be partly due to selection effects. Having received the judicial signal that dismissal of transnational suits on forum non conveniens grounds is likely and aware that the likelihood of dismissal increases as the connections between the litigation and the United States decrease, plaintiffs may now be filing transnational suits in U.S. courts that, on average, have closer connections to the United States (and which are therefore less likely to be dismissed) than previously. In other words, plaintiffs may be learning: the cases most likely to be dismissed on forum non conveniens grounds may increasingly be selected out by plaintiffs’ filing decisions, thus depressing forum non conveniens dismissal rates.
courts.\textsuperscript{224} Trends in other forms of transnational litigation may be different. However, the low and declining levels of alienage litigation strongly suggest that new anti–forum shopping measures are not advisable absent empirical evidence that transnational forum shopping into U.S. courts has actually reached levels that are likely to have a net negative effect on foreign relations or economic welfare. Without such evidence, the risk is that exaggerated perceptions of transnational litigation in the United States will lead to exaggerated policy responses.
This risk must be taken seriously because anti–forum shopping measures aimed at curtailing transnational litigation in U.S. courts may entail significant costs in terms of access to justice, foreign relations, and regulation of transnational activity.\textsuperscript{225} For plaintiffs suffering from transnational harms, a forum non conveniens dismissal may be tantamount to no remedy at all.\textsuperscript{226} And from a global governance perspective, transnational litigation in U.S. courts under U.S. substantive law may play an essential role in deterring harmful transnational activity and ensuring internalization of the negative externalities of that activity by those engaging in it.\textsuperscript{227} Anti–forum shopping measures may inhibit these potentially important functions.
The extent of these costs and whether they outweigh the benefits of additional anti–forum shopping measures are questions that are not easily answered. Nevertheless, before we adopt such measures, it is important to take full advantage of available empirical evidence. As one prominent group of legal scholars puts it, “[i]mproving the civil justice system requires thoughtful, objective analysis based on sound
\textsuperscript{224} \textit{See supra} Part III.B.2.
\textsuperscript{225} \textit{Cf.} John R. Wilson, \textit{Coming to America to File Suit: Foreign Plaintiffs and the Forum Non Conveniens Barrier in Transnational Litigation}, 65 \textit{Ohio St. L.J.} 659, 661 (2004) (arguing that the forum non conveniens doctrine “makes American justice less accessible to foreign plaintiffs”). For a discussion of the potential costs to foreign relations and the regulatory costs of limiting court access in transnational disputes using instruments such as the forum non conveniens doctrine, see Robertson, \textit{supra} note 11.
\textsuperscript{226} \textit{See} Stephen B. Burbank, \textit{Jurisdictional Conflict and Jurisdictional Equilibration: Paths to a Via Media?}, 26 \textit{Hous. J. Int’l L.} 385, 398 (2004) (arguing that forum non conveniens dismissals are often insuperable barriers to transnational claims); Robertson, \textit{supra} note 89, 417–21 (finding that after forum non conveniens dismissals, plaintiffs rarely refile in the proposed alternative forum).
\textsuperscript{227} \textit{See} Lear, \textit{supra} note 112, at 562 (arguing that liberal use of forum non conveniens doctrine undermines an important national interest in deterring harmful transnational activity); Weinberg, \textit{supra} note 9, at 70–71 (arguing that application of foreign law rather than U.S. law both undermines regulation and risks eroding national and worldwide safety and security); Stephen J. Darmody, Note, \textit{An Economic Approach to Forum Non Conveniens Dismissals Requested by U.S. Multinational Corporations—The Bhopal Case}, 22 \textit{Geo. Wash. J. Int’l L. & Econ.} 215, 240–51 (1988) (arguing that by sending transnational suits to jurisdictions that will not ensure that defendants adequately internalize negative externalities of their transnational activity, forum non conveniens dismissals can reduce economic efficiency).
empirical data."228 This Article's findings are a step toward building the empirical foundations needed for well-informed deliberation about the proper legal responses to transnational forum shopping into U.S. courts.
The debate over transnational litigation in the United States is marked by one of the basic dilemmas of litigation policy: How should we balance the goal of ensuring access to justice with concerns about the economic costs of litigation? Recent developments in civil procedure—including shifts toward more prodefendant, litigation-limiting standards of summary judgment and pleading—indicate that the balance may be tilting away from access to justice.229 This Article's analysis suggests that the evolution of the American forum shopping system may be part of this broader trend.
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228 Marc Galanter et al., How to Improve Civil Justice Policy: Systematic Collection of Data on the Civil Justice System Is Needed for Reasoned and Effective Policy Making, 77 JUDICATURE 185, 185 (1994).
229 See, e.g., Ashcroft v. Iqbal, 129 S. Ct. 1937, 1949–54 (2009) (adopting more restrictive pleading standards); Celotex Corp. v. Catrett, 477 U.S. 317, 322–28 (1986) (reducing moving party's burden in summary judgment context). See generally Robertson, supra note 11 (documenting reduced court access in transnational litigation); A. Benjamin Spencer, Iqbal and the Slide Toward Restrictive Procedure, 14 LEWIS & CLARK L. REV. 185, 200 (2010) (referring to "a shift toward a restrictive ethos in civil procedure, meaning an ethos oriented more towards protecting the interests of defendants—particularly those from the dominant or commercial class—against the civil claims of members of societal out-groups" (footnote omitted)).
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The Graduate Theological Union began with a vision that the future of religious renewal and theological education in this world depends on the willingness of faith traditions to come together in the midst of differences.
Today our consortium of nine theological schools and 10 affiliates offers doctoral and master's programs, as well as education for denominational leadership within a unique interfaith context.
The GTU is a thriving example of what can happen when an atmosphere of open dialogue and exploration is nurtured.
For an updated listing of courses, visit www.gtu.edu. To register for courses as a non-degree student, contact firstname.lastname@example.org
2400 Ridge Road
Berkeley, California 94709
510/649-2400
www.gtu.edu
The Islamic Studies Task Force
The Islamic Studies Task Force of the Graduate Theological Union, was called together in April, 2002, by GTU President James A. Donahue. The Task Force is Chaired by Prof. Dr. Ibrahim Abdurrahman Farajajé, Vice President of Academic Affairs, Dean of the Faculty, and Professor of Cultural and Islamic Studies at Starr King School for the Ministry. The Task Force has identified three main areas for their work:
1. Curricular Development within the GTU,
2. Hosting conferences, symposia, lectures and cultural events of interest to the community,
3. Connecting with the Local Muslim Communities.
Sufi retreats, with Guest leaders including Shaykha Fariha Nur Fatima al-Jerrahi, head of the Nur Ashki Jerrahi Sufi Order and Shaykha Eysin Celabi Bayru, a 22nd generation lineal granddaughter of Rumi from Turkey.
Starr King School for the Ministry and the Center for Jewish Studies co-hosted “Gifts of Al-Andalus” chapel service where Jewish, Christian, Muslim and Unitarian Universalist voices were given space together. Mark Evens’ sermon from the evening can be read online at: http://www.sksm.edu/research/sermons/andalusia.pdf.
Salat at the GTU
The Meditation Room at Starr King School for the Ministry, 2441 LeConte Avenue, is reserved for prayer during business hours. Students, Faculty, Staff and Friends of the GTU are welcome to use this space.
Opportunities for Salat, Dhikr, and other prayer times
For the latest update on special events at the GTU, visit:
http://www.gtu.edu/page.php?nav=2 or
http://www.sksm.edu/info/news_and_events.php
Kiran Rana and Jean Brondino conducted a participatory workshop on Qawwali: The Sacred Music of the Sufis.
The Surjit Singh lecture featured Dr. S. Nomanul Haq, a Muslim scholar who holds appointments in both the history of art and Asian and Middle East studies.
Shaykh Aly N'Daw, leader of the Khidmatul Khadim Branch of the Muridiyya Sufi Order (Senegal), taught a workshop on Liberation Therapy, a simple, direct tool this notable Sufi mystic from the lineage of Shaykh Amadou Bamba of Senegal said would help heal the world by first working on self-transformation.
**The Andalusian Model**
Al-Andalus (Andalusia, Spain) was a time and place of 700 years of rich Jewish, Christian, and Muslim collaboration in scholarship, art, and the life of faith. The experience of Andalusia provides an exciting model for studying theology in a way that looks at texts, histories, rituals, etc. of Judaism, Christianity, and Islam simultaneously. Today, after centuries of "Western" misinformation, antagonism, and stigmatization of Islamic faith and culture, the Graduate Theological Union is playing a pivotal role in renewing constructive dialog, scholarly collaboration, and artistic celebration.
**Connecting to the Community**
In addition to the many resources of the Graduate Theological Union and the University of California, Berkeley, GTU students are particularly encouraged to work with the many Muslim communities in the Bay Area. In particular, we enjoy a special relationship with: the Islamic Cultural Center of Northern California, and Masjid Al-Iman in Oakland.
The Islamic Cultural Center of Northern California (ICCNC) is a non-profit organization that was established in 1996.
Course Offerings
Spring 2005
African Literature by Women (AFRICAM 163)
Veve Clark (UCB) 9:30-11:00 a.m., Tuesday and Thursday
Islam, Buddhism and Christianity (HR4810)
Snjezana Akpinar/Giv Nassiri (PSR/IWR)
2:10-5:00 p.m., Monday
Introduction to Sufism (HR4825) Yassir Chadly (SKSM) 7:10-9:40 pm, Thursday
Race, Religion and Islamophobia (HR 4836)
Ibrahim Farajajé(SKSM) 9:40a.m.-12:30 p.m., Tuesday
Jerusalem: Archaeology and History (HSBS 3650)
Aaron Brody (PSR)
Encounters: Christians/Muslims/Jews (HSRS 4137) Joshua Holo (CJS) 9:40 a.m. to 12:30 p.m. Tuesday
Interreligious Dialogue (RSFT 3179) Jim Redington (JSTB) 12:40-2:00 p.m., Mon & Thurs.
Introduction to Near Eastern Art and Archaeology (NE Stud 15) Marian Feldman (UCB) Times TBA
Islam in Iran (NE Stud 143B) Hamid Algar (UCB) 11:00-12:30, Tuesday and Thursday
Wonder and the Fantastic: The Thousand and one Nights in World Literature (NE Stud 155) Margaret Larkin 2:10-5:00 pm, Tuesday
Special Events
In addition to regular course offerings, the GTU and its member schools host various occasional events, often in collaboration with members of local Muslim communities. These include:
• “Religious Pluralism in the 21st Century: Muslim Identities in the Diaspora.” This academic conference included panels, cultural events, and three keynote speeches by Dr. Hamid Algar, Dr. John Esposito, and Dr. Amina Wadud.
• Screening of the film “Oceans of Mercy: African American Sufi Muslims in the San Francisco Bay Area” by producers Ibrahim Farajajé and David Dezern
• Screening of the documentary film “The Missing Peace: Women of Faith and the Failure of War,” which featured 6 women peace activists, 2 Muslim, 2 Jewish and 2 Christian.
Topics in the History of Central Asia and the Turks. (NE Stud 173B) A survey of the main themes in the cultural, ethnic, and linguistic history of Central Asia and adjacent regions, principally from the rise of Islam down to the present. We will first deal with the Iranian element in Central Asia, and particularly with the Tajiks. The second half will be devoted to the Turks, including their history and expansion, not only in Central Asia but also in Anatolia and South East Europe.
Law and Society in the Early Modern Middle East. (NE Stud 174) We will examine the social and religious lives of women and men through the lens of the law. A major concern is the relationship between law and culture, namely, the ways in which the law reflected ideals and tensions ranging from ideological competition between states to the problems of ordinary townspeople and peasants. In analyzing actual court cases, we will ask how individuals participated in the life of the court, and how they used the court to articulate their own self-interest and sense of moral worth. Students wishing to work with sources in the original Ottoman Turkish should also enroll in Turkish 104 (1 unit).
History and Culture of Afghanistan. (NE Stud 175) We will discuss Afghanistan from ancient times to the present, including the emergence of Afghanistan as a modern nation-state and its geo-strategic importance. The Soviet invasion and aftermath will be emphasized, along with issues of state and society, ethnic diversity and tribal structure, challenges of modernization, and nationalism and political identity. The role of religion and mystical orders and the role of art, music, and literature will also be discussed.
(UCB) 2:00-3:30, Tuesday and Thursday
Religions of Ancient Iran (NE STUD 160) Martin Schwartz (UCB) 12:30-2:00, Tuesday and Thursday
Language Preparation: The University of California at Berkeley regularly offers introductory and advanced language courses in Arabic, Turkish, Persian, Urdu, and Iranian, as well as reading courses in literature and special topics taught in these languages.
Future Courses
We are working to add the following new courses to the curriculum:
Fall, 2005:
Global Religious Traditions Lee Gilmore (SKSM) W 2:10-5:00 p.m.
A Survey of Islamic Ethics Abbas Kadhim (GTU) M. 2:10-5:00 pm.
Rumi and the Mystical Path of Sufism Yassir Chadly(SKSM) H 7:10-9:40 p.m.
Images of the Alchemical Art Albert Hand (SKSM) M. 9:40 a.m.-12:30 p.m.
Women and Islam (TBA)
Islams: Multiplicity in Unity Nayer Taheri (SKSM) Online
Spring 2006:
Introduction to Muslim Theology Abbas Kadhim (SKSM) T. 9:40 a.m.-12:30 p.m.
**PAST COURSE OFFERINGS**
Past course offerings at the GTU have included:
- **Introduction to Islam (HR 4312)** SKSM Fall 03
- **Understanding Islam (HR 4315)** SKSM Fall 2002,
- **Introduction to the Qur’an (HR 4818)** GTU Fall 02, Fall 03,
- **Islam in the Modern World (HR 4819)** SKSM Sp’04,
- **Mediating Islam (HR 4821)** SKSM Sp’03, Sp’04,
- **Intro to Sufism (HR 4825)** SKSM Sp’03, Sp’04.
- **A Survey of Islamic Ethics (HRCE 4828)** SKSM Fall 03, Fall 04,
- **Islamic Theology (HR 4835)** PSR/IWR Sp 03, Sp 04,
- **History of Islam in the African American Experience (HR 4837)** SKSM Fall 02, Fall 03, Fall 04,
- **The Inner Dimensions of Islam: Sufism (HRSS0417)** Summer 04,
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**The Outer Dimensions of Islam: Texts, History, & People (HRSS0418)**
Summer 04. *(Christian)*
**History I (HS1080)** Fall 04, *(Christian)*
**Church to 1400 (HS2498)** Fall 04,
**Swedenborg and Eastern Religions (PHSP 2412)** Fall 04,
**Story, Poem, Sermon Over Borders (RAHR 4118)**, Fall 04,
**Feminist Theology in North America (STHS 4538)** Fall 04.
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**UCB Courses**
*GTU students may register for one course per semester at the University of California, Berkeley*
**African Literature by Women (AFRICAM 163), The Rise of Islamic Civilization, 600-1200. (HISTORY 109A), The Middle East, 1000-1750. (HISTORY 109B), The Middle East From the 18th Century to the**
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**Islam. (NE Stud 146A-146B)** A comprehensive and detailed introduction to the sources, doctrines, practices, and institutions of Islam, together with their historical development and elaboration in a select number of ethnic and geographic environments and an overview of Islam in the world today.
**Harems and Court Cultures. (NE Stud 172)** This course explores configurations of gender and power in the royal courts of the eastern Mediterranean and Near East, and, for comparative purposes, in courts of China, South Asia, Mesoamerica, and Europe. So often imagined as a site of male sexual dominance, the harem is treated in this course as a mutable concept that sanctioned a range of gendered roles and identities. The term "harem" originated in the Near East, and for Europeans, the paradigmatic harem was that of the Ottoman sultan. But the broader question of the interplay among gender, the spatial dynamics of palaces, and royal power is universal. Themes considered comparatively include the spatial configurations of palaces; the status of non-wife (concubines and mistresses); patterns of recruitment to palace service; eunuchs as mediators of human and spatial boundaries.
Wonder and the Fantastic: *The Thousand and One Nights* in World Literary Imagination. (NE Stud 155) After studying the tales themselves and examining their structure and how they fit into the genre of folk literature, we will investigate how the *Nights* was transmitted, translated, and received in Europe, as a window on 19th-century gender and racial attitudes, especially Western views of the "oriental" other. How the *Nights* was creatively manipulated by Western writers will be studied, as will the influence of these tales on modern Arabic literature itself. Several examples of how the *Nights* have been represented in Western films will be considered. All works will be read in English translation.
Religions of Ancient Iran. (NE Stud 160) Principally devoted to Zoroastrianism and Manicheanism but with some attention to Indo-Iranian origins, and relevance of Iranian religion for the history of Hellenistic Gnosticism, Judaism, and Islam.
History of Persian Literature. (NE Stud 162A-162B) A comprehensive introduction to the main currents in Persian literature from the 10th century to the contemporary period. They introduce students to various genres, period styles, and crucial formal and thematic elements necessary to the understanding of Persian literature. While 162A deals with classical Persian literature, 162B deals with Persian literature since the advent of modernity in Persian-speaking lands, namely the 19th century. Both courses emphasize the impact of social factors, political events, and intellectual currents on Persian literary production. The course is taught in English. Knowledge of Persian is desirable but not required.
Present. (HISTORY 109C), Introduction to Near Eastern Art and Archaeology (NE STUD 15), Topics in Islamic Art. (NE Stud C121B), Archaeology of the Southern Levant. (NE Stud 124A-124B), Shi'ite Islam. (NE Stud 142), Islam in Iran. (NE Stud 143A-143B), Sufism: The Mysticism of Islam. (NE Stud 144), Islam. (NE Stud 146A-146B), The Rise of Islamic Civilization. (NE Stud 147), Folktales of the Middle East. (NE Stud 151), Cultural Encounters in Modern Arabic Literature. (NE Stud 152).
The Medieval Frametale Genre: Its Hispano-Arabic Roots. (NE Stud 153), Wonder and the Fantastic: *The Thousand and One Nights* in World Literary Imagination. (NE Stud 155), Religions of Ancient Iran. (NE Stud 160), History of Persian Literature. (NE Stud 162A-162B), Harems and Court Cultures. (NE Stud 172), Topics in the History of Central Asia and the Turks. (NE Stud 173B), Law and Society in the Early Modern Middle East. (NE Stud 174), History and Culture of Afghanistan. (NE Stud 175)
COURSE DESCRIPTIONS
Global Religious Traditions (HR 4257) An introduction to the fundamental elements of diverse global traditions of belief and practice, as they are embedded within particular cultural and historical contexts. Among others, some regions and perspectives we will explore are: Indigenous, South and East Asian, African and African Diasporic, North African and Middle Eastern, and New Religious Movements. We will ground our survey in the religious pluralism of the U.S., and particularly the diversity of the San Francisco Bay area, as students will be expected to conduct site visits as part of a final research project. Some questions we will consider are: What are some of the differences within religious traditions, and how do traditions change over time? What are the roles of religions within diverse cultures and in the U.S. experience? What is the relevance of religious pluralism for our own lives?
Introduction to Islam (HR4312) This course is an introduction to the history and theology of Islam. It will introduce students to
Folktales of the Middle East. (NE Stud 151) An introduction to the art of the folktale as practiced in the folk narrative traditions of the Middle East. We will first focus on the cultural dynamics of the Arabic folktale: its portrayal of women, social conflicts and gender roles; its use of imagery, symbolism and the supernatural; and its translation of cultural themes like fate and destiny into plot motifs. We will then compare the Arabic folktale as an oral genre with tales from other traditions including Turkish and Persian.
The Medieval Frametale Genre: Its Hispano-Arabic Roots. (NE Stud 153) The art of inserting stories within stories is typical of certain Oriental literatures and was widely cultivated in Arabic. Via Spain, the Arabs transmitted this form of writing to medieval Europe. A masterpiece such as the Libro de buen amor, which stands as an isolated work in Spanish literature, nevertheless bears comparison with certain Arabic works that preceded it. This course will study the structure, meaning, and function of the frametale genre, using examples from Arabic, Spanish, and English, including animal fables, romances, mirrors for princes, and picaresque narratives. It will examine the Arabic literature Spain borrowed, and show how, from Spain, individual tales found their way into the medieval West.
Archaeology of the Southern Levant. (NE Stud 124A-124B) The course provides a general survey of the archaeology of the Southern Levant (Israel, Jordan, Lebanon, Southern Syria, Palestine) from Natufian through Persian times. The material culture of the region is emphasized, along with the major theoretical and interpretive frameworks and issues affecting our understanding of the archaeological record.
Shi'ite Islam. (NE Stud 142) The beliefs, traditions, and practices of the Shi'ite school of Islam.
Islam in Iran. (NE Stud 143A-143B) A general survey of the religious history of Iran in the Islamic period, covering the rise and development of religious institutions, the elaboration of the religious sciences, Sufism, and sectarian movements.
Sufism: The Mysticism of Islam. (NE Stud 144) A general presentation of Sufism that, while not aiming at exhaustiveness, will seek to acquaint students with the place and function of Sufism in Islam; the main outlines of its history; doctrinal and ritual features; the relationship between Sufism and literature, especially poetry; the principal Sufi orders; leading figures in the elaboration of Sufism as a distinct mode of Islamic practice; and the great diversity of Sufism as reflected in its geographic spread throughout the Muslim world.
Islamic religious teaching and practice. It will also explore the diversities of Islam among Sunni, Shi'a and Sufi groups from multiple cultural perspectives. Students will be invited to participate in spiritual practice and community events in the hope that the combination of study and practical experience will deepen their understanding.
Islam, Buddhism and Christianity (HR4810) An investigation of faith and practice in Islam, Buddhism and Christianity through texts that are seminal to all, as well as through issues that arise in the present day. The traditional views of both Islam and Buddhism will be presented in the first half of the class by the instructors. Students will then respond from their perspectives.
Women and Islam (HR 4815) Description to be announced.
Introduction to the Qur'an (HR4818)
The Qur'an is for Muslims the word of God that was mediated by Muhammad. It is the foundation of their society and its constitution. Thus, the precepts of the Qur'an, its spiritual values and moral imperatives became the norms for the Muslim community. We will cover the history of revelation, collection and compilation of Qur'an; role of the Qur'an in Muslim piety; and a thematic reading of the Qur'an.
Islam in the Modern World (HR 4819)
In the last two centuries, Islam has faced new challenges and a variety of responses have been given by diverse Muslim thinkers and activists. This course will examine the development of some major contemporary Islamic movements and trends of thought in light of the social and political developments in the Islamic world in the 20th century. The focus will be on diverse interpretations of Muslim thinkers ranging from those who called for complete imitation and assimilation with the West to those who preferred a more cautious (and sometimes isolationist) approach.
Mediating Islam (HR4821) We will approach the issue of the diversities in Islam (and our general lack of awareness of them) through the angle of how Islam has been constructed in the "West"
The Rise of Islamic Civilization, 600-1200. (HISTORY 109A) A survey of Islamic civilization in the Middle East during the medieval period. Topics include the emergence of Islam in Arabia and the role of the prophet Muhammad; the rapid rise of an Islamic empire and its effects on the societies it governed; the creation of an Islamic civilization and the religious, political, and intellectual debates it engendered; contact with Europe and Asia through trade, the Crusades, and nomadic conquest; the contributions of non-Muslims, women, slaves.
The Middle East, 1000-1750. (HISTORY 109B) The establishment of Turkish power in the Middle East: Seljuks, Mongols, Ottomans, and Safavis.
The Middle East From the 18th Century to the Present. (HISTORY 109C) The breaking of pre-modern empires and the formation of national states in the Arab world, Turkey, and Iran; Islam and nationalism
Introduction to Near Eastern Art and Archaeology (NESTUD 15) The civilizations of Western and Central Asia from preliterate times to the Persian Empire.
Topics in Islamic Art. (NE Stud C121B) The course will treat in depth topics in Islamic architecture and topics in Islamic art. Subjects addressed may include painting, calligraphy, and book production.
Islams: Multiplicity in Unity (Online) In this class we'll explore a brief history of Islam and the Prophet Muhammad's life. We'll also be introduced to the nature and history of the Qur'an and explore the major branches of Islam: Sunnism, Shi'ism and Sufism, concluding with progressive Muslims' writings on Islam and its relation to gender, justice and sexuality. These readings will show the diversity and dynamic nature of Muslim communities by representing Islam from feminist, liberal and gay Muslim perspectives. Students will examine "life in religious community and interfaith engagement" by participating in individual field trips, making connections with local Muslim communities and posting their explorations in an online forum. The purpose of these activities is for students to examine the diversity within Islam and to learn from each other by sharing insights and experiences. Through assigned reading, students will examine how Muslims in different corners of the world are dealing with oppression and other social justice issues, as well as the changes brought by feminism, modernism and globalization.
African Literature by Women (AFRICAM 163) An introduction to writing by women authors from East, Southern, West Africa, and the Maghreb. Course explores 19th-century orature, early settler narratives, and 20th-century significant themes and discourses, such as polygyny, bride price, motherhood, the veil, apartheid, novels of formation, and narratives.
and in "Western" Christian theological discourses. Is it possible to speak of the "West" and "Islam" as mutually exclusive categories? Particular attention will be paid to the ways in which various "media" have helped shape these discourses and practices across time and space. We will look at what we think we know about Islam, how we learn it, and what that knowledge actually hides. How does this process marginalize experiences of Muslim women? How does this all help us move beyond Islamophobia to embracing and living with peace in the differences? What are the ways in which it is impossible to understand "Western" Christianity without understanding Islam? What is the role of Islam in "Western" Christian aesthetics?
Introduction to Sufism (HR4825) Sufism, a holistic path of mystical union in Islam, is an inner reflection of the outer shari’ah (the Revealed Law). Islam was carried to many parts of the world through Sufi practice. In addition to an overview of the history of Sufism, this experiential course will include a study of the narratives about the lives of Sufi saints and their teachings. Central to Sufism is the practice of dhikr Allah (the remembrance of Allah) through the recitation of the Divine Names and of certain prayers. The daily practices of ritual ablutions, prostrations, recitations, etc. make up the dhikr of the body. Since it is of vital importance to experience lived Sufism, the class will participate in a collective practice of dhikr. Students will have the opportunity to experience a local Sufi mosque.
Rumi and the Mystical Path of Sufism (HR 4826) In the current cultural scene in the United States and elsewhere, there is a great amount of interest in the life, teaching and poetry of Mevlana Jelalludin Rumi. Most people do not realize visual art, film, lecture and discussion. We begin with special reference to Christianity and Islam and openness to everyone. The professors will share the leadership, alternating as presenter and respondent in a dialogue with each other and with the class. Convergences and divergences of viewpoints will be noted with respect and compassion. Participants will be encouraged to develop their creativity as scholars and communicators.
Interreligious Dialogue (RSFT 3179) Study and immersion: study the history and theology chiefly in Catholic Christian Circles; immersion by writing and by involvement with local temples, mosques, synagogues, meditation centers, etc. Readings from Klostermaier, Dupuis, John Paul II, "Dominus Jesus," Panikkar, M. Borrmans, Pieris, etc.
Feminist Theology in North America (STHS 4538) This course focuses on current feminist theologies in North America including Christian, Jewish, Muslim, Buddhist and Wiccan.
Images of the Alchemical Art (RA 4297) An exploration of "turning lead into gold" as a metaphor for spiritual transformation in alchemical visual art, allegory and symbolism. The tradition of Alchemy has roots in antiquity and was developed by Jewish, Christian, and Islamic thinkers. We will focus on visual art, in particular the "Atalanta Fugiens" of Michael Maier, also looking at the use of alchemical imagery and symbolism in literature and psychology, such as Shakespeare's Sonnets and the work of Carl Jung. Discussion of the history of innovations, cross-cultural influences and re-interpretations of Alchemy from ancient to modern times.
Story, Poem, Sermon Over Borders (RAHR 4118) We will explore storytelling, poetry and preaching across religious and cultural boundaries to enrich our understanding and ability to communicate. The great stories, poems and preaching of world religions will be presented in live performance, drama, that Rumi was an extremely devout Muslim scholar, rising in the middle of the night to make thousands of prostrations in deep meditation. In fact, Islamic teachings and practice would appear to be the exact opposite of what Rumi was about. This course will look at Rumi in the context of Islamic spirituality, mysticism, and practice, leading us into the true heart of Islam. Our primary text will be the book, *Rumi and Islam*. Students will be invited to journal throughout the semester. An integral part of the class will be initiation to Sufi techniques of breathing, meditation, and movement.
Islamic Theology (HR 4835) A Comparative Discourse Series: Islam with Buddhism and Christianity. An investigation of faith and practice in Islam through the study of the 12th Century Muslim theologian al-Ghazali. Although problems concerning faith and practice first arose thousands of years ago, debates over how to solve them still resonate through the world. Discourse with other religious traditions is central to a contemporary discussion of these important issues in Islamic theology and philosophy.
Race, Religion and Islamophobia (HR 4836)
The lasting impact of Islam on Europe came from the long years of Muslim sovereignty in Spain (al-Andalus) and Sicily. From a Western European perspective, Africa came to be identified with the Muslim world, and as such, was seen as the enemy of Christianity. This contributed to the conflation of "Black" and "Moor"; it also led to Africans being seen as the very incarnations of sin, evil, and inferiority. We will examine how Islamophobia, the unfounded hostility towards Islam and Muslims, presents Islam as something monolithic and static, lacking in diversity and dynamism. Examination of the linking of demonised alterity with inferiority will also provide the context in which we look at historical cases, such as Bosnia, where conversion to Islam was equated with a change of "racial" identity. The dynamics of racialised Islamophobia shape a context in which it becomes all the more imperative to read in the in-between studied to contextualize each of the religion's beliefs and practices. The textbook for the course is Karen Armstrong's "Jerusalem: One City, Three Faiths," which is supplemented with readings from the Hebrew Bible, New Testament, Josephus, and the Qur'an.
Swedenborg and Eastern Religions (PHSP 2412)
The goal of this class is a dialogue between Swedenborgian spirituality and the religious traditions of the East: Judaism, Islam, Hinduism, and Buddhism. We will examine historical evidence of Swedenborg's knowledge of Eastern religions. We will also compare Swedenborg's doctrines and his meditative and visionary practices to Eastern doctrines and practices. Texts include D.T. Suzuki's "Swedenborg: Buddha of the North" and Henry Corbin's "Swedenborg and Esoteric Islam."
Encounters: Christians/Muslims/ Jews (HSRS 4137)
Much of who we are developed in contact—both constructive and destructive—with those around us. "Encounters" will follow the lines of contact from the middle ages to today.
(Christian) History I (HS1080) Christianity: from Jewish Sect to Colonial Religion, 100-1700. A study of Christianity from the second century through the Reformation. Introduction to its history in the Roman Empire, Central and East Asia, North Africa and the Byzantine Empire. Closer examination of its place in the development of Europe, from tribal societies to early modern states. Introduction to basic issues in (and the various contexts of) the history of religion and theology (in particular; Christian-Jewish-Muslim-pagan interactions, views of Jesus, personal and social identities, experiences of salvation, and manifestations of authority). Strong emphasis on the interpretation of historical texts in translation.
(Christian) Church to 1400 (HS2498) This lecture-discussion course examines 1) the development of Christianity to 451 within the "one world" of the Mediterranean with its characteristic Greco-Roman culture; 2) the impact on Christianity of the shift from one Mediterranean world ruled by Rome to three Mediterranean worlds represented by Western Christendom, Byzantium, and Islam; 3) development and dissolution of Western Christendom.
Jerusalem: Archaeology and History (HSBS 3650) The three major western religions, Judaism, Christianity, and Islam will be viewed through the prism of a single city holy to all three traditions. The urban layout of the city, its historical geography, and sacred monuments will be spaces, to analyse absences, and to "read" cultural artifacts as "text". We will also look at how Orientalism substands Islamophobia and shapes the ways in which Islam is studied and represented in this country.
History of Islam in the African American Experience (HR 4837) We cannot understand the history of Islam in the United States without examining the role of Islam in the African American experience. What is the relationship between Islamophobia and white supremacy? We will look at the history of the African Muslim presence in the Americas before European colonization. We'll read African American Muslim slave narratives and study the Moorish Science Temple, the Nation of Islam, the work of the Ahmadiyya in African American communities, African American Sunni and Shi'ite communities as well as the role of African Americans in Sufism. We'll examine the importance of Islam in African American popular culture, in the prison-industrial complex as well as look at the leadership of African American Muslim women in crafting creative responses to the HIV pandemic.
A Survey of Islamic Ethics (HRCE 4828)
This course introduces students to the origins and development of the Islamic ethical system and provides a roadmap for the study of Islamic ethics within the context of its natural parent: Islamic theology. Students will read a variety of articles on the topic, in addition to English excerpts from the original texts. In order to provide a context for the topic, the course will begin by discussing the ethical tradition of Pre-Islamic Arabia and the mutual influence between this tradition and Islam. There will also be a discussion of the other influences on Islamic ethics from Pre-Islamic Persia as well as Greek ethics – both of which were incorporated by Muslim scholars. The majority of the readings, however, will focus on the Islamic ethical system, whose sources come from the Qur’an, the statements of the Prophet, and the work of leading Muslim scholars from different schools and times.
The Inner Dimensions of Islam: Sufism (HRSS0417)
We will examine Sufism from its Quranic roots and sources, from the perspective of The Prophet, and its role in history. Sufism will also be covered in its spiritual and theoretical elements and practice, and through other Islamic sciences.
The Outer Dimensions of Islam: Texts, History, & People (HRSS0418)
An in-depth introduction to some of the many aspects of Islam: Qur’an and its exegesis; the Prophet, his traditions and his exemplary model; the Islamic doctrines of faith; the Islamic ritual practices and principles; Islamic disciplines of scholastic theology, wisdom philosophy, jurisprudence, prophetic traditions, socio-political history of Islam and spirituality. We will end with a review of Islam and the modern world.
Introduction to Muslim Theology (HRST 4316)
This course introduces students to the origins and development of Muslim theology, and provides a working knowledge about the major themes of Islamic theological thought. Students will read a variety of articles, in addition to English excerpts from the original texts. We will begin by discussing the Qur’anic basis of Muslim theology and the relevant statements attributed to the Prophet, Muhammed, followed by a survey of the different views espoused by the three major theological schools of Islam: the Mu’tazilite doctrines, the Sunni doctrines, and the Shi’ite doctrines. Major theological themes will be examined, such as the pillars of faith, doctrines of free will and predestination, God’s attributes and acts, Prophethood, the nature of the Qur’an (eternal or created), and other points of theological dispute.
|
PhD Thesis
Real-time Limited Preemptive Scheduling
José Marinho
CISTER-TR-150609
2015/04/24
Real-time Limited Preemptive Scheduling
José Marinho
CISTER Research Center
Polytechnic Institute of Porto (ISEP-IPP)
Rua Dr. António Bernardino de Almeida, 431
4200-072 Porto
Portugal
Tel.: +351.22.8340509, Fax: +351.22.8321159
E-mail: email@example.com
http://www.cister.isep.ipp.pt
Abstract
Physical phenomena, regardless of its degree of human intervention, from the more pristine to the more vain facets of some human made appliance, require controlling strategies to achieve an intended set of properties or some performance level. The controllers’ implementation may range from the simpler mechanical or analog circuitry but more commonly are embodied as a recurrent set of commands on some computational boolean logic device. The dynamic properties of such physical phenomena, paired with the designer intended behaviour, impose restrictions on the maximum delay between an event and the desired actuation. Real-time systems strive to provide a framework where the considerations about the overall system’s temporal feasibility are drawn. In a nutshell, real-time systems enable guarantees on the temporal properties of the computational apparatus which are used in such control loops. Any analysis used in the hard real-time framework should be proven safe. This generally means that the outcome of any analysis states whether all the temporal properties can be guaranteed or that some cannot be trusted upon. The quantity of pessimism involved in the analysis – which leads to an abundance of false negatives or too much over-provisioning of resources – should be reduced as much as possible. Analysis’ pessimism can be thought of, in broad terms, as an artefact of the lack of information necessary to accurately characterize the worst-case temporal behaviour of each application. The pessimism can only be mitigated by employing mechanisms where more abundant information about the worst-case run-time behaviour is available. These mechanisms should nevertheless have a better or comparable performance to the ones with reduced certainties.
In this thesis both scheduling algorithms and accompanying analysis tools are provided which, by enhancing the available information about what might happen at run-time, allow for a reduction on the level of pessimism associated with the analysis outcomes and bring a better performance in the average case situation. An interesting aspect pertaining to real-time systems is the nature and implications associated with pre-emption. A pre-emption occurs when an application is swapped for another in the execution platform to which it eventually returns. Besides from the time the pre-empting application prevents the preempted one from executing, some shared resources are accessed by the former which will potentially interfere with the remaining execution of the latter. The nature of the interference occurring at such resources as the caches or dynamic branch predictors just to name a few is highly complex to analyse and generally a single and often quite isolated worst-case quantity is assumed in the state-of-the-art real-time analysis. The quantification of the worst-case penalty associated to pre-emptions and the bounding their frequency of occurrence constitutes the bulk of this thesis’ contribution. Both scheduling algorithms as well as analysis are provided that both decrease the worst-case number of pre-emptions and also diminish the penalty considered per instance of this event.
Real-time Limited Preemptive Scheduling
José Manuel Silva dos Santos Marinho
Doutoramento em Engenharia Electrotécnica e de Computadores
Orientador: Stefan Markus Ernst Petters (Dr.)
2015
© José Manuel Silva dos Santos Marinho, 2015
Real-time Limited Preemptive Scheduling
José Manuel Silva dos Santos Marinho
Doutoramento em Engenharia Electrotécnica e de Computadores
2015
This thesis was partially supported by FCT (Portuguese Foundation for Science and Technology) under PhD grant SFRH/BD/81085/2011
O desenho de sistemas reativos de alto desempenho depende do controlo preciso de variáveis impactantes no comportamento do sistema. As entidades responsáveis por este controlo tomam, comumente, corpo num dispositivo computacional digital. As propriedades dinâmicas dos fenómenos sob controlo, em conjunto com os requisitos de comportamento pretendido pelo projetista, impõem restrições ao máximo espaçamento temporal entre a observação de um evento e a correspondente atuação.
A área de sistemas de tempo-real providencia uma base teórica sobre a qual propriedades temporais do sistema são estudadas, possibilitando a derivação de garantias mínimas de desempenho.
As análises providenciadas são por definição seguras, i.e., qualquer garantia dada sobre a obtenção das metas temporais será verificada, sob qualquer pretexto concebível, durante a utilização do sistema. Uma análise segura tem geralmente associada a si um nível de pessimismo. Pessimismo, em termos gerais, é uma medida da dificuldade de caracterização do pior caso possível verificável durante a utilização do sistema, por mais improvável que seja a ocorrência desse pior caso. É somente possível reduzir o pessimismo das análises através do uso de estratégias de escalonamento que se caracterizem por uma maior e melhor especificação das circunstâncias observadas durante a utilização do sistema. Estas políticas de escalonamento deverão obter um desempenho melhor ou semelhante àquelas em que existe menor informação sobre os possíveis cenários.
As características temporais do sistema são largamente afetadas pelo fenómeno da preempção. Uma preempção define-se pela interrupção de uma dada tarefa, por outra de maior prioridade, durante um intervalo de tempo. A tarefa que interrompe acede a recursos partilhados alterando o seu estado. Quando a tarefa inicial tornar a executar, irá sofrer uma interferência temporal adicional devido à alteração de estado dos recursos partilhados. A natureza deste tipo de interferência é bastante complexa. Inerentemente, a caracterização do pior cenário possível está dotada de um pessimismo acentuado. Nesta tese o comportamento das preempções e as suas consequências, no pior caso, são estudadas num enquadramento de prioridades limitadas, o que permite a redução considerável do pessimismo das análises temporais em comparação com os métodos existentes na literatura.
Os algoritmos de escalonamento providenciados oferecem melhores garantias de desempenho na fase de conceção, bem como melhor comportamento em média durante a execução do sistema.
ii
Physical phenomena, regardless of its degree of human intervention, from the more pristine to the more vain facets of some human made appliance, require controlling strategies to achieve an intended set of properties or some performance level. The controllers’ implementation may range from the simpler mechanical or analog circuitry but more commonly are embodied as a recurrent set of commands on some computational boolean logic device. The dynamic properties of such physical phenomena, paired with the designer intended behaviour, impose restrictions on the maximum delay between an event and the desired actuation. Real-time systems strive to provide a framework where the considerations about the overall system’s temporal feasibility are drawn. In a nutshell, real-time systems enable guarantees on the temporal properties of the computational apparatus which are used in such control loops. Any analysis used in the hard real-time framework should be proven safe. This generally means that the outcome of any analysis states whether all the temporal properties can be guaranteed or that some cannot be trusted upon. The quantity of pessimism involved in the analysis – which leads to an abundance of false negatives or to an over-provisioning of resources – should be reduced as much as possible. Analysis’ pessimism can be thought of, in broad terms, as an artefact of the lack of information necessary to accurately characterize the worst-case temporal behaviour of each application. The pessimism can only be mitigated by employing mechanisms where more abundant information about the worst-case run-time behaviour is available. These mechanism should nevertheless have a better or comparable performance to the ones with reduced certainties.
In this thesis both scheduling algorithms and accompanying analysis tools are provided which, by enhancing the available information about what might happen at run-time, allow for a reduction on the level of pessimism associated with the analysis outcomes and bring a better performance in the average case situation. An interesting aspect pertaining to real-time systems is the nature and implications associated with pre-emption. A pre-emption occurs when an application is swapped for another in the execution platform to which it eventually returns. Besides from the time the pre-empting application prevents the pre-empted one from executing, some shared resources are accessed by the former which will potentially interfere with the remaining execution of the latter. The nature of the interference occurring at such resources as the caches or dynamic branch predictors just to name a few is highly complex to analyse and generally a single and oftenly quite isolated worst-case quantity is assumed in the state-of-the-art real-time analysis.
The quantification of the worst-case penalty associated to pre-emptions and the bounding their frequency of occurrence constitutes the bulk of this thesis’ contribution. Both scheduling algorithms as well as analysis are provided that both decrease the worst-case number of pre-emptions and also diminish the penalty considered per instance of this event.
iv
Acknowledgements
I feel fortunate for having had the opportunity to conduct research in such a supportive Laboratory where much of the strain of being a PhD student is waned. I am grateful to Eduardo Tovar for having built such a sustainable research environment where any reasonable material request is hardly ever denied. CISTER’s team – non-static in time – was always extremely capable. I wish to acknowledge all of the people whose time frame in this team overlaps with mine (even if partially) and to thank all of whom positively contributed to my experience here, whether with fruitful discussions or by easing much of the every-day bureaucracy as Sandra Almeida, Inês Almeida and lately Cristiana have so efficiently done.
A note of appreciation is due to Dr. Vincent Nélis for his contribution to this work and for his habit of finding holes in other people’s work, which I find most amusing and ever since tried to mimic.
I am invaluabley grateful to Dr. Stefan Petters for enduring me throughout these years. In many accounts he has been a thoughtful and kind supervisor. I wish to thank him especially for his patience with my deambulations, my random neglect for bibtex entries and for always making the effort to motivate me. His expertise on the pre-emption delay, WCET computation, systems architecture (processor and O.S.) and on general real-time scheduling subjects were fundamental for the development of many aspects of my work. More recently, his commitment to reviewing this document was truly remarkable. Research duties aside, I will always remember the time when we (along with Filipe Pacheco and Björn Andersson) did a 2 day road-trip across Europe (from the approximate N.E. extreme to the S.W. corner – all thanks to Eyjafjallajökull, RTAS 2010 and CISTER money), this one is truly memorable for me, despite it being strenuous at the time.
Several contributions in this thesis resulted from collaborations with researchers external to CISTER, namely Dr. Isabelle Puaut, Dr. Robert I. Davis and Dr. Marko Bertogna. I am deeply thankful to all the co-authors for the time they put on the discussions we had and solutions collaboratively derived.
I wish to thank Dr. Michael Paulitsch for having hosted me at Airbus Group Innovations and for giving me a task to perform which was as much to my liking as it was challenging.
Several people exerted a positive influence on me through the years, out of that set I find it only fair to mention Professor Gabriel Falcão in this context. As my MSc. thesis co-advisor he was largely responsible for getting me interested by academic research.
Finally, I would like to thank my Mother for nurturing my curiosity from early age. I am mostly grateful to my family for their encouragement and for accepting the choice of delaying my entry into adulthood, and to Sara for having shared all this time with me, keeping me focused whenever I went astray, for being my partner in the full sense of the word.
vi
Contributions
Over the course of this Ph.D. the following works have been accepted for publication in peer reviewed venues:
ETFA 2014 - José Marinho, Vincent Nélis, Stefan M. Petters, "Temporal Isolation with Preemption Delay Accounting" [MNP14]
RTSS 2013 - José Marinho, Vincent Nélis, Stefan M. Petters, Marko Bertogna, Rob Davis, "Limited Pre-emptive Global Fixed Task Priority" [MNP+13]
RTCSA 2013 - Rob Davis, Alan Burns, José Marinho, Vincent Nélis, Stefan M. Petters, Marko Bertogna, "Global Fixed Priority Scheduling with Deferred Pre-emption" [DBM+13], [Best Paper Award]
RTNS 2012 - José Marinho, Stefan M. Petters, Marko Bertogna, "Extending Fixed Task-Priority Schedulability by Interference Limitation" [MPB12]
SIES 2012 - José Marinho, Vincent Nélis, Stefan M. Petters, Isabelle Puaut, "An Improved Preemption Delay Upper Bound for Floating Non-preemptive Region" [MNPP12b]
DATE 2012 - José Marinho, Vincent Nélis, Stefan M. Petters, Isabelle Puaut, "Preemption Delay Analysis for Floating Non-Preemptive Region Scheduling" [MNPP12a]
EUC 2011 - José Marinho, Stefan M. Petters, "Job Phasing Aware Preemption Deferral" [MP11]
RTSOPS 2011 - José Marinho, Gurulingesh Raravi, Vincent Nélis, Stefan M. Petters, "Partitioned Scheduling of Multimode Systems on Multiprocessor Platforms: when to do the Mode Transition?" [MRNP11]
ECRTS 2011 - Vincent Nélis, Björn Andersson, José Marinho, Stefan M. Petters, "Global-EDF Scheduling of Multimode Real-Time Systems Considering Mode Independent Tasks" [NAMP11]
WARM/CPSWEEK 2010 - José Marinho, Stefan M. Petters, "Runtime CRPD Management for Rate-Based Scheduling" [MP10]
“Wo gehobelt wird, fallen Späne”
– German Proverb
## Contents
**Abstract** iii
**Acknowledgements** v
1 **Introduction** 1
1.1 Real-world Timing Requirements 2
1.2 System Model 4
1.3 Schedulers 6
1.4 Background on Caches 8
1.5 Thesis Organization 12
2 **Related Work** 15
2.1 WCET Upper-bound Computation 15
2.1.1 Measurement Based 15
2.1.2 Static Analysis 15
2.2 Pre-emption Delay Estimation 18
2.3 Pre-emption Delay Integration with Schedulability Assessment 22
2.4 Limited Pre-emptive Scheduling 27
2.4.1 Floating Non-pre-emptive Regions 29
2.4.2 Fixed Non-pre-emptive Regions 30
2.5 Temporal Isolation Enforcement 34
3 **Extensions to the Limited Pre-emptive Model** 37
3.1 On-line FTP Floating Non-Pre-emptive Region Extension 37
3.1.1 Admissible Pre-emption Deferral 39
3.1.2 Practical Usage of Equation (3.3) 42
3.1.3 Sufficient Schedulability Condition for Proposed Framework 43
3.1.4 Admissible Deferral Approximation 46
3.1.5 Implementation Overhead 47
3.1.6 Tighter Bound on the Number of Pre-emptions 47
3.2 Evaluation 49
3.2.1 Discussion 50
3.2.2 Simulations 50
3.3 Floating Non-pre-emptive Schedulability Increase 53
3.4 Ready-Q locking concept 55
3.4.1 Ready-Q Lock Implementation Considerations 56
3.4.2 Maximum Interference Computation .......................... 59
3.4.3 Ready-queue Locking Time Instant .......................... 63
3.4.4 Ready-q Locking with Pre-emption Threshold ............... 64
3.4.5 Pre-emption Upper Bounds ................................... 68
3.4.6 RQL Evaluation ............................................. 69
3.4.7 Discussion .................................................. 72
4 Pre-emption Delay Upper-bound for Limited Pre-emptive Scheduling 73
4.1 CRPD Estimation .............................................. 74
4.2 Computing Execution Intervals ................................. 74
4.2.1 Computation of $f_i(t)$ .................................. 76
4.3 Determination of Pre-emption Delay Upper-bounds ............... 76
4.3.1 Extrinsic Cache Miss Function .......................... 81
4.3.2 Pre-emption Delay Computation using Extrinsic Cache-miss Function 85
4.3.3 Reducing the pessimism of $f_i(t)$ ....................... 90
4.3.4 Reducing the pessimism of $G_i(t)$ ....................... 93
4.4 Experimental Evaluation ..................................... 94
4.4.1 $f_i(t)$ functions ........................................ 94
4.4.2 Pre-emption Delay Estimations ........................... 94
5 Temporal-isolation Enforcement .................................. 97
5.1 Chapter-wise Update on System Model .......................... 98
5.2 Pre-emption Delay Accounting Approaches Comparison .......... 100
5.3 Proposed Budget Augmentation Framework ....................... 104
5.3.1 Temporal-isolation Framework Description ............... 104
5.3.2 Temporal-isolation Schedulability Analysis ............... 105
5.4 Proposed Budget Donation Framework .......................... 106
5.5 Limiting the Pre-emption Induced Budget Augmentation for Misbehaving Tasks .......................... 110
5.6 Implementation Issues ....................................... 111
5.7 Example of Framework Usage with CRPD ......................... 113
5.7.1 Temporal-isolation Assumptions .......................... 114
5.7.2 Experimental Results .................................... 115
5.8 Temporal-isolation Framework Considerations .................. 117
6 Multi-processor Limited Pre-emptive Theory ..................... 119
6.1 Global Fixed Task Priority Response Time Analysis ............. 120
6.2 GFTP Limited Pre-emptive Scheduling Policies .................. 126
6.3 RDS Lower Priority Interference .............................. 128
6.4 ADS Lower Priority Interference .............................. 129
6.5 Fixed Task Priority Limited Pre-emptive Schedulability Test .. 130
6.6 Maximum Interference from Lower or Equal Priority Non-Pre-emptive Regions in ADS .......................... 131
6.7 System Predictability with Fixed Non-pre-emptive Regions .... 136
6.8 Experimental Section for an Overhead-free Platform Model .... 138
6.8.1 Blocking Estimation ..................................... 138
6.8.2 Pre-emptions in Simulated Schedules ...................... 139
6.8.3 Schedulability assessment of RDS vs. ADS .......................... 142
6.9 Accounting for Pre-emption Delay in the Global Schedule ............ 146
6.9.1 Pre-emption and Migration Delay Bound for Fully Pre-emptive GFTP 146
6.9.2 Pre-emption and Migration Delay Bound for ADS GFTP ........... 147
6.9.3 Pre-emption and Migration Delay Bound for RDS (Last Region only) GFTP ......................................................... 148
6.9.4 Pre-emption and Migration Delay Bound for RDS (Multiple Non-pre-emptive Regions) GFTP ............................................. 148
6.10 Schedulability Assessment of ADS vs. Fully Pre-emptive with CPMD .. 149
6.10.1 Discussion of Pre-emption Delay Results ......................... 149
6.11 Global Floating Non-pre-emptive Scheduling .......................... 151
6.12 Schedulability Increase for Fixed Non-pre-emptive GEDF ............ 154
7 Summary and Future Directions .............................................. 157
7.1 Future Directions ....................................................... 159
References .................................................................................. 163
CONTENTS
xii
List of Figures
1.1 Flight Level Closed Loop Controller Diagram .......................... 2
1.2 Correct controller behaviour versus incorrect behaviour ............ 3
1.3 Conceptual Real-time System ........................................... 6
1.4 Cache Representation ..................................................... 9
2.1 Example CFG ...................................................................... 17
2.2 Limited Pre-emptive Schedule vs Fully Pre-emptive Schedule (task-set in Table 2.1) ................................................................. 29
2.3 Floating Non-pre-emptive Region Scheduling Example ............... 30
3.3 Scenario Motivated by Theorem 2 ........................................ 46
3.4 Outline of the Devised Approximations for Equation 3.3 .......... 46
3.8 Ready-Q Locking Example .................................................. 56
3.9 rlist List Evolution over Time .............................................. 57
3.10 Schedulability Condition ................................................... 62
3.11 Set of Relevant Offsets for Frame $q$ .................................... 63
4.1 Example of CFG for loop-free code ....................................... 75
4.2 Comparison between Function $f_i$ and the Run-time Pre-emption Delay ................................................................. 77
4.3 Algorithm iteration sketch .................................................. 78
4.4 Example $g_b^{\text{local}}$ Function Where BB$_b$ Execution May Generate at Most 10 Extrinsic Cache Misses ........................................ 82
4.5 $g_b^{\text{out}}$ Computation for BB$_b$ ............................................. 83
4.6 Algorithm Iteration Sketch .................................................. 85
4.7 $f_b^{\text{local}}(t)$ Graphical Example ............................................... 91
4.8 Task Wide $f_i(t)$ Obtention .................................................. 91
5.1 Sporadic Server Budget Replenishment ................................. 99
5.2 Budget Augmentation Example ............................................. 104
5.3 Excessive Pre-emption Delay Due to Minimum Interarrival Time Violation ................................................................. 107
5.4 Budget Augmentation Example ............................................. 111
5.5 Pre-emption Delay Compensation Array ................................ 112
5.6 Bit Field Snapshots of Relevance .......................................... 113
6.1 Functions $W^{\text{NC}}(\tau_j, t)$ and $W^{\text{CL}}(\tau_j, t)$ depiction for a given task $\tau_j$ ................................................................. 120
6.2 Functions $W^{\text{diff}}(\tau_j, t)$ depiction for two distinct relations between $C_j$ and $R_j$ ................................................................. 123
6.3 Intersection Points Between the $W_{\text{diff}}(\tau_j, t)$ Functions of Distinct Higher Priority Tasks .......................................................... 124
6.4 Possible Priority Inversion After a Job From $\tau_i$ Commences Execution in RDS 127
6.5 Maximum Interference Function Due to $m$ Non-pre-emptive Regions of Lower or Equal Priority Tasks ........................................... 131
6.6 Depiction of the solution provided for Problem 1 ......................... 134
6.7 Blocking Estimations (k=8,n=88). ............................................. 139
6.8 Observed Pre-emptions in Simulated Schedules, m=2,n=20 ............ 140
6.9 Observed Pre-emptions in Simulated Schedules, m=2,n=32 ............ 141
6.10 Observed Pre-emptions in Simulated Schedules, m=4,n=32 ............ 141
6.11 Observed Pre-emptions in Simulated Schedules, m=4,n=64 ............ 142
6.12 Results for m=2 and n=10 with $T_i \in [400,40000]$ .......................... 143
6.13 Results for m=2 and n=20 with $T_i \in [400,40000]$ .......................... 144
6.14 Results for m=4 and n=20 with $T_i \in [400,40000]$ .......................... 144
6.15 Results for m=4 and n=40 with $T_i \in [400,40000]$ .......................... 145
6.16 Execution model ...................................................................... 147
6.17 depiction of a $m$ pre-emption chain triggered by a single job release . 148
6.18 Results for m=2 and n=10 with $T_i \in [400,40000]$ and CPMD value per Pre-emption as a random variable in the interval [0,40] .................. 150
6.19 Results for m=2 and n=20 with $T_i \in [400,40000]$ and CPMD value per Pre-emption as a random variable in the interval [0,40] .................. 151
6.20 Results for m=3 and n=15 with $T_i \in [400,40000]$ and CPMD value per Pre-emption as a random variable in the interval [0,40] .................. 152
6.21 GEDF Example Schedules ......................................................... 155
| Table | Description | Page |
|-------|-----------------------------------------------------------------------------|------|
| 2.1 | Limited Pre-emptive Motivating Task-set | 29 |
| 3.1 | Example Task-set Denoting a Pre-emption Corner-case | 48 |
| 3.2 | Floating Non-Pre-emptive Increased Schedulability Task-set | 53 |
| 3.3 | Floating Non-Pre-emptive Unschedulable Task-set | 54 |
| 6.1 | GEDF example task-set | 154 |
LIST OF TABLES
| Acronym | Description |
|---------|-------------|
| ACS | Abstract Cache States |
| BB | Basic Block |
| BRT | Block Reload Time |
| CFG | Control Flow Graph |
| CPMD | Cache Related Preemption and Migration Delay |
| CRPD | Cache Related Preemption Delay |
| CUV | Cache Utility Vector |
| DJP | Dynamic Job Priority |
| ECB | Evicting Cache Blocks |
| ECS | Evicting Cache Set |
| EDF | Earliest Deadline First |
| FJP | Fixed Job Priority |
| FTP | Fixed Task Priority |
| GFTP | Global Fixed Task Priority |
| LCS | Live Cache State |
| LMB | Leaving Memory Blocks |
| RCS | Reaching Cache State |
| RMB | Reaching Memory Blocks |
| RQL | Ready Queue Locking |
| RTA | Response Time Analysis |
| SIL | Safety Integrity Level |
| UCB | Usefull Cache Blocks |
| WCET | Worst-case Execution Time |
| WCRT | Worst-case Response Time |
ACRONYMS AND ABBREVIATIONS
Chapter 1
Introduction
The vast majority of the digital computing devices are embedded into larger systems, where the functionality is greater than the one provided by the computing apparatus. Some of these embedded devices, due to the constraints of the systems in which they are embedded, need to meet temporal requirements.
The term real-time is sometimes misunderstood. Real-time systems as a subject does not necessarily deal with high performance devices where the focus is on the presentation of the results to the user such that the illusion of latency absence would be produced. Straightforwardly, real-time system design focuses on obtaining upper-bounds on the completion time of a given workload on a given hardware platform.
In order to derive such upper-bounds the specifics of the workload and of the execution platform need to be studied. Generally a model of the workload is created and the assessment of the schedulability is done considering its characteristics. Any considered system is assumed to be deterministic. This means that if the initial state is fully characterized and the model is sufficiently detailed then a perfect description of future states is obtained. Both the attainment of the full initial state description and the model might be prohibitively expensive in time and complexity terms. Hence generally over-approximations of both are considered in the analysis. The level of detail contained in the workload and the hardware platform models influences the pessimism involved in the analysis and the time consumed to perform it. It is common that increasing the detail level of the model leads to lengthy and more complex analysis processes.
Rather than dealing with average-case situations, the analysis in real-time systems is concerned with the worst-case scenario. For this scenario, which has to be specified on the framework provided by the concrete model adopted, each task in the system is certified to finish the entire work issued by it before a pre-specified time instant. This time instant is commonly referred to as the deadline. If the worst-case workload completion time is smaller than the workload deadline than the workload is termed schedulable on that platform.
1.1 Real-world Timing Requirements
Any outcome emerging from the processing carried out from a digital computer loses interest as time passes. The sole purpose of computers is to process and transmit signals to a given entity which at times takes decisions and acts based on the provided output. An entity may entrust a computer with the task of answering a given question, say, the “Ultimate Question of Life, the Universe, and Everything”\(^1\). If the answer is presented 7.5 million years later, so long that the entity forgot what the question was, little usage exists for the glorious outcome of 42. Whether 42 is a correct outcome or not is not of importance in real-time systems research but rather the focus of the areas of dependability and reliability. Real-time systems research focuses only on the timing aspects of the solution generation.
In the most evident scenarios a timing drift of the output generation instant from the actual useful output generation time interval brings no consequence other than lack of system responsiveness and frustration for the eventual operator.
There are cases though, where the failure to generate the computation output on time has substantially more severe consequences. Let us observe the requirements of a given system responsible for adjusting and maintaining a plane cruising altitude. This system, given an altitude set-point, will be responsible for actuating on the airplane control surfaces and engines such that the set-point is reached while meeting certain performance requirements.
Figure 1.1: Flight Level Closed Loop Controller Diagram
In this example the altitude controller is implemented with a classic Proportional Integral and Derivative (PID) controller (Figure 1.1). After the controller parameters are tuned in continuous time so as to achieve the intended closed loop system behaviour, the controller
---
\(^1\)Illustrative example extracted from the book “The hitchhiker’s guide to the galaxy”, ISBN:0517542099 9780517542095
is mapped into an equivalent discrete time controller. The discrete time version of the controller is implemented in software and run in the execution platform. The specificities of the controller parameter tuning and mapping process from continuous time to discrete are not fundamental for the understanding of the issues up for discussion. The single fact that the reader must acknowledge is that during the mapping procedure one sampling period is chosen ($T_s$). This sampling period is at the heart of the controller description and behaviour. In order for the closed loop transfer function to be in accordance with the one derived, this sampling rate must be stringently met. This means that at every $T_s$ time units the set-point has to be evaluated as well as the current airplane altitude. Having the two input variables the control signal is computed. This computation has to be completed before the next control period. The consequences of not meeting the strict timing requirements of this controller may be mild, in the sense that the system may take longer than intended to match the actual altitude to the set-point. In a worst case the controller may become unstable, leading to violent altitude oscillations from the plane as depicted in Figure 1.2. If the system does not behave according to the specification, given some circumstances, it may lead to life threatening situations or significant financial losses. It is fundamental to ensure that such situation can never happen irrespective of the circumstances.
**Figure 1.2:** Correct controller behaviour versus incorrect behaviour
In order to prove the correct temporal behaviour of the system a framework where such proofs can be derived is required. In this framework the interaction between different softwares and the executing platform is modelled. Let us describe a possible system abstraction where the correct temporal behaviour of the system can be proven.
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\footnote{The presented PID example constitutes an oversimplification of a flight controller implemented in a digital apparatus, its intention is solely to illustrate the origin of the temporal constraints in hard real-time systems}
1.2 System Model
The control system is generally devised assuming that all the procedures involved take an infinitesimally small time interval. This is of course not true in a real system. All the procedures when implemented in software will take a non-negligible time interval to complete and in order for the correct system execution to be guaranteed, the intended timing properties of such setup must be guaranteed as well.
The given controller has to execute a set of software routines every $T_s$ time units. These routines are constituted of for instance: sampling the relevant state variables (accelerometers, pressure sensor, etc.), computing the open loop quantities (proportional, integral and derivative part); lastly the control command is issued to the actuators. These computational steps are modelled in our system by a workload quantity.
**Definition 1 [Workload]:** metric of computation requirement which executes upon a given platform. One unit of workload takes one units of time to execute in a given platform.
The workload requirement of the filter may eventually be variable. As variable as it may be, the software running implementing the controller will always be composed of a finite set of instructions (assuming that for every loop in the program the maximum number of iterations is known and is bounded). If each instruction takes a finite amount of time to complete then the software will execute until completion in a finite amount of time as well. An upper-bound on this time quantity may be derived, and is commonly termed Worst-case Execution Time (Chapter 2).
The entity to which the execution requirement is associated to is termed job.
**Definition 2 [Job]:** a given quantity of workload released in the system at a specific time instant with absolute deadline and a maximum workload requirement.
The jobs are nothing more than an abstract representation of software executing upon a given platform. The amount of software instructions is well bounded. This bound on the maximum number of software lines executing within each job is modelled as a workload quantity. In concrete terms, a job models an execution requirement that will take no more than a prespecified number of time units of access to the platform to execute until completion.
With a job we can model the execution of the controller software implementation during one sampling period. However, the controller will require its software implementation to execute once every sampling period. In order to model this recurrent execution a concept termed task is employed.
**Definition 3 [Task]:** entity responsible for releasing jobs with a minimum separation between each individual release.
A task is an overall abstract representation of the execution behaviour of a given piece of software on a given platform as well as of its temporal requirements.
To summarize we state that a task is then characterized by the three tuple $\langle C_i, D_i, T_i \rangle$. This document focuses purely on tasks where $D_i \leq T_i$ which is commonly referred to as constrained deadline model. The parameter $C_i$ represents the worst-case execution time of each job from a task $\tau_i$, $D_i$ is the deadline relative to the job release and $T_i$ the (minimum) distance between consecutive job releases. Each task $\tau_i$ may release a potentially infinite sequence of jobs with releases separated by at least $T_i$ time units. Every job $k$ from task $\tau_i$ has an absolute deadline defined at time $d_{i,k} = r_{i,k} + D_i$, where $r_{i,k}$ is the absolute release time instant of job $k$ from task $\tau_i$.
Returning to the controller example context: in order to ensure that all the workload of the control loop is completed before the next period, one can arbitrate the relative deadline of the control task to be equal to $T_s$, since only after $T_s$ time units will the controller have to provide the actuator commands. If only the mentioned controller was executing on the platform it would suffice to check whether $C_i \leq D_i$. If that condition is met the controller is guaranteed to execute all software instructions before the deadline, hence the timing properties would be met, leading to a controller which exhibits the behaviour intended at the design stage.
As we have seen that a real-time system is composed both of software and corresponding execution platform. The software part of the real-time system constitutes a real-time application (Figure 1.3). Several distinct applications might eventually coexist in a single platform.
A real-time application may in fact incorporate more than a single software component.
**Definition 4 [Real-time application]:** Collection of software constructs which by executing upon the hardware platform provide the functionality intended by the system designer respecting the pre-specified timing constraints.
A real-time application may be seen as a collection of, for instance, several digital controllers and filters, some interface applications and avionics display generation. Where all of these subconstituents share a common execution platform. Each of those software pieces can be modelled as a task. Each of which with their specific timing requirements.
The collection of software constructs is then commonly modelled as a set of real-time tasks termed task-set. The task-sets considered in this document are formally defined as $\tau = \{\tau_1, \ldots, \tau_n\}$, meaning that $\tau$ is composed of $n$ tasks elements.
When checking whether the workload of the controller is able to complete before their deadlines (i.e. ensuring the correct system temporal behaviour) one has to take into consideration the remaining constituents of the task-set and the way they interfere with each other when contending for execution on the platform. The entity responsible for mediating the contention for processor usage is denominated by “scheduler”. Considering the task-set
characteristics as a whole along with the scheduler properties enables the system designer to prove whether all software constructs will manage to execute on the platform while meeting their timing requirements.
1.3 Schedulers
The scheduler takes the decision of which task to execute at any time instant following a specific scheduling policy. A scheduling policy is a well-defined set of rules which dictate which software executes when and on which processor. The scheduling policy used to carry out a given workload will greatly influence the temporal behaviour of the tasks in the system. There are several distinct scheduler classes:
1. Fixed task priority (FTP): each task in the system has a given predefined priority, every job released by that task executes at its priority level;
2. Fixed job priority (FJP): at the time of release of a job from the given task a job priority is decided upon. From the job release until its workload completion the job will hold the same priority;
3. Dynamic job priority (DJP): The priority of a given job may vary over time.
These three categories tend to be employed when describing on-line schedulers, nevertheless static schedulers such as cyclic executives are also subject to this grouping since the
workload is still prioritized according to a set of rules even though this process occurs at design time and not during system execution.
The choice of which scheduling policy to use is an exercise where the up and down sides of the alternatives have to be carefully considered by the system designer. Scheduling disciplines may be weighted according to several metrics. An important one is schedulability (i.e. its ability to schedule task-sets such that all the tasks meet their timing requirements).
**Definition 5 [Schedulable task-set]:** A task-set is said to be schedulable on a given platform by a scheduling algorithm $\mathcal{A}$ if, for all $\tau_i \in \tau$, any job released by $\tau_i$ is guaranteed to complete at least $C_i$ units of workload in a time interval from the release of the job $(r_{i,k})$ and the absolute deadline of the job $(d_{i,k} = r_{i,k} + D_i)$ in any valid schedule generated by $\mathcal{A}$.
Increased schedulability guarantees (i.e. the ability to schedule more task-sets) generally come at the cost of increased complexity in the scheduling decisions. This may lead to unnecessary overheads due to scheduler operation, which lead to computational resources being wasted and added complexity in the scheduler implementation.
In single-core there exist FJP (e.g. EDF [LL73]) DJP (e.g. LLF [OY98]) scheduling policies which are optimal when considering that interference between task occurs solely on the processor. The scheduler implementation of these policies will generally take a greater quantity of information as an input for their on-line decision making, thus being prone to also greater run-time overheads. In that respect the fixed task priority scheduling algorithm presents a relatively small complexity.
If a given task-set is schedulable with a lower complexity scheduling mechanism, then there might be little motivation for deciding to use a higher complexity one. In this work the scheduling policy put to use is generally FTP.
The most common scheduling policies considered in the literature are fully pre-emptive. In this type of scheduling mechanism, at any time instant $t$, the job executing on the processor is the highest priority job in the system. Whenever a task gets assigned to the processor it is either the case that the previously executing task has terminated or that it got pre-empted, which implies that it still had remaining work to complete. When using fully pre-emptive schedulers little information is available on where these pre-emptions may occur, which can be problematic if the pre-emption impact needs to be quantified.
As it turns out, an important aspect pertaining to the operation of the system is the number of pre-emptions the tasks are subject to. The pre-emptive behaviour will give rise to overheads not present when a given workload is integrally executed without interruption of any sort. These overheads are generally taken as null or negligible in scheduling theory, but are in fact substantial.
Non-pre-emptive scheduling policies are safe from these overheads. In this scenario, when a job from a task is dispatched onto the processor it will not suffer any pre-emptions by
any workload irrespective of its priority. This generally comes at the cost of decreased ability to schedule workload (i.e. to meet the task-set deadline guarantees). A hybrid method between fully pre-emptive and non-pre-emptive scheduling policies may be considered in order to have better scheduling ability and more information on the pre-emptive behaviour of the system. In these scheduling policies pre-emptions are allowed under certain restrictions.
This might be in the form of setting fixed pre-emption points to enable a tighter bound on the number of pre-emptions. Setting pre-emption points is an effective method to increase the schedulability of fixed task-priority systems [BBM+10]. The mechanism denominated *fixed non-pre-emptive regions*, relies on specific pre-emption points inserted into the task’s code. This has to be done at design time, relying on WCET estimation tools that can partition a task into non-pre-emptible sub-jobs [BBM+10]. This is highly restrictive since these points cannot be replaced at run-time making changes to the task-set difficult. Some systems require on-line changes whether on the workload itself or just on their rate of execution and temporal deadlines, hence would require the pre-emption points to be replaced. Furthermore, the choice of pre-emption points placement proves to be a non-trivial task for complex control-flow graphs. Which is an additional concern for the application developer and a potential source of errors. Since the incorrect placement of the pre-emption points may lead higher priority workload to violate its temporal constraints. Having a more flexible mechanism helps to reduce development, software maintenance, and update costs. It also facilitates the operation of systems which require run-time workload changes. An example of a considerably more flexible limited pre-emptive mechanism is the *floating non-pre-emptive regions* model. In this model a non-pre-emptive region of execution is started at the time instant $t$ when a job of higher priority than the currently executing job from task $\tau_i$, is released where at time $t - \varepsilon$ the job from task $\tau_i$ had the highest priority from all the active jobs at that time instant. This non-pre-emptive region has a limited duration which is a function of the higher priority workload.
### 1.4 Background on Caches
It is common for current high-performance processors to sport several architectural acceleration units. This is the case of caches due to the big discrepancy between the execution core and memory throughput [EEKS06, RGBW07]. In the embedded world the range of cache levels present in each processor vary from zero up to three. Generally the processors which lack caches present a relatively low clock frequency so the divergence between processor and memory throughput is not relevant. For the high end performance spectrum caches are widely employed and the importance of their analysis grows.
Caches are subsystems which display, at any time-instant, an associated “state”. These units quasi-continuously face state changes at run-time. In particular, it is the case for task pre-emptions: when a task resumes its execution (after being pre-empted), the cache(s) will display a state which is different from its state at the time the task got interrupted.
Let us briefly describe the workings of caches. A cache is a memory region which takes considerably less time to be accessed in comparison to the main system memory.
**Figure 1.4:** Cache Representation
A given cache architecture geometry is completely defined by four parameters (Figure 1.4), namely cache size (cache-size), number of cache sets in the cache (#cache-sets), number of cache lines per set (#associativity) and line size (line-size). The number of cache lines per set is also termed associativity. It is said that if a cache has #associativity lines per set that it is a #associativity-set associative cache. The associativity may vary between two extremes, #associativity = 1 which is termed direct mapped and #associativity = $\frac{\text{cache-size}}{\text{line-size}}$ which is termed fully associative. In the direct mapped case each memory block can reside only in a single cache line. In the fully associative scenario each memory block can be loaded into any cache line. Cache lines have a given length (line-size) of several bytes. In regular processor architectures a cache line will hold either line-size = 64 or line-size = 128 bytes. If a cache is said to have a size of cache-size bytes then it is composed of
$$\# \text{cache-sets} \overset{\text{def}}{=} \frac{\text{cache-size}}{\text{line-size} \times \# \text{associativity}}$$
(1.1)
cache sets.
All memory locations in the system map to a specific cache set. The mapping function
cache-set-map is defined as follows:
\[
\text{cache-set-map(address, line-size, \#cache-sets)} \overset{\text{def}}{=} \left\lfloor \frac{\text{address}}{\text{line-size}} \right\rfloor \mod \#cache-sets.
\] (1.2)
This means that whenever a memory location is referenced, when the corresponding memory line is fetched it will be mapped to the cache-set-map(address, line-size, \#cache-sets) cache set and stored in some cache lines belonging to that set.
When a memory address is referenced two situations may arise:
- address is in cache in which case a cache hit is said to occur
- address is not in cache at this time a cache miss occurs, and the line where the referenced memory address sits is loaded into the cache.
A memory reference is generally between one to 64 bits in length and the address points to the first byte. When a memory is referenced the entire line where the memory is resides is brought to the cache. This means that when a given address is referenced then the line-size bytes in the set \{address \mod \#associativity, \cdots, (address \mod \#associativity) + \text{line-size}\} are loaded into the cache.
If the destination set is filled with valid memory lines but does not contain the referenced memory block, one of the lines present in the set has to be evicted in order to make space for the current line reference. There exist several cache replacement policies that mediate the line eviction on the cache sets. The most commonly considered in worst-case execution time assessment are Least Recently Used (LRU), First In First Out (FIFO), Pseudo Least Recently Used (PLRU).
- **LRU**: From all the memory blocks in a given set, the one which was referenced the furthest in the past is the one evicted at the time of a new memory block insertion into the cache set. Since this replacement policy relies on \[\log_2(\#associativity!)\] additional bits per cache-set so as to preserve a full track of the entries age it is uncommon for LRU to be employed for \#associativity > 4;
- **FIFO**: if a given memory block is not in the cache set then it is inserted into the cache head and evicts the last element in the queue. A memory reference to a given line in the set does not alter the set ordering. Hence, a cache line can only survive in a set for \(I - 1\) new element insertions
- **PLRU**: There exist several possibilities of implementing this type of cache replacement protocol. Overall, it tries to approximate the behaviour of LRU without incurring on the resource usage and greater latencies involved with actual LRU implementation. In the tree based implementation, the \(\log_2(\#associativity) + 1\) most recently
used cache lines are safe from eviction [RGBW07], whereas an eviction victim is chosen dependent on the state of the tree from the $\# \text{associativity} - \log_2(\# \text{associativity}) - 1$ remaining cache lines. This implies that PLRU caches may be approximated to an equivalent LRU cache with $\# \text{associativity}' = \log_2(\# \text{associativity}) + 1$ and size $\text{cache-size}' = \# \text{associativity}' \times \text{line-size} \times \# \text{cache-sets}$.
By far the most employed in modern processors, when $\# \text{associativity} > 2$ is PLRU, for $\# \text{associativity} = 2$ then LRU is commonly used.
Once the cache set and the cache line where the referenced memory line is going to be placed, the evicted cache line may or may not be written to the lower memory level. This will largely depend on the write policy of the cache. The two most common are:
- **write-through:** all memory block modifications are added to the cache and in parallel written to lower memory levels;
- **write-back:** changed memory blocks in the cache are only written to lower memory levels once an eviction occurs.
The write-through will have as a consequence that every memory store induces a change on main memory following said reference. This may greatly increase the traffic observed in the communication bus. On the other hand the write-back policy has the unfortunate consequence that when a write occurs which yields a cache miss then it can only be completed once the evicted cache is written onto lower levels. This situation only occurs in data caches, since generally instructions change (self-modifying code) is not perceived as an architectural use-case.
In the architectural model employed in this work we use two values to model the behaviour of cache hits and misses. A cache hit has a latency of $T_{\text{HIT}}$ time units. In regular processors $T_{\text{HIT}}$ is a constant value of between one or few processor clock cycles. The systems considered are composed of a single cache level, hence a cache miss occurrence triggers a memory fetch from main memory to the cache. A cache miss is assumed to have a latency $T_{\text{MISS}}$. Even though a cache miss will have a variable latency, $T_{\text{MISS}}$ is conservatively assumed to be a constant, upper-bounding the maximum amount of time that a memory block takes to be transferred from main memory to the cache, which is one memory operation for write-through and two memory accesses for the write-back policy (in case the evicted line had been modified – dirty bit set). This previously holds true for data caches, whereas the $T_{\text{MISS}}$ for instruction caches is set to one memory access time irrespective of the write policy. Furthermore we will restrict our model to systems for which $\# \text{associativity} = 1$ since it allows for easier explanation of the concepts and extensions to $\# \text{associativity} > 1$ for well behaved replacement policies as LRU are trivial to obtain.
If a task has several memory blocks in cache which may reuse in the future and its execution is interrupted by another task, some of these blocks may get evicted. When the
task resumes execution the state of the cache will be distinct in relation to the point when it was pre-empted. Eventually the task as it executes requires the state of the cache to be re-established. The reconstruction procedure is subject to time penalties. In real-time systems, where timeliness is an essential property of the system, these penalties need to be carefully evaluated to ensure that all deadlines are met.
Generally, since the WCET is computed for each task in isolation, all the overheads attached to the scheduler pre-emptive behaviour are not present in the WCET value. The consequences of pre-emptive behaviour then has to be accounted for at later stages of the schedulability analysis. In order to avoid double accounting of overheads, it is important to have in mind the assumptions and procedures used in the WCET computation. For instance the cache misses considered in WCET should not be again considered as an effect of the pre-emptive behaviour.
Once an upper-bound of the overheads has been computed an integration into the schedulability tests is performed for the current workload such that the schedulability is guaranteed in any possible scenario. More on the subject of WCET computation, pre-emption delay assessment and schedulability conditions taking both parameters into account are described in Chapter 2.
1.5 Thesis Organization
The thesis put forward on this work grounded both on several state-of-the-art works and novel contributions presented in this document is clearly posed in the following wording:
Thesis—Limited pre-emptive schedulers allow for significantly reducing pessimism in the pre-emption delay accounting in single-core and for enhanced schedulability when employing global fixed task priority schedulers.
In this thesis the theory of limited pre-emptive scheduling is addressed and extended. Following this preliminary chapter(1), where the work is put into context and a broad depiction of the real-time area is provided, the related work is described (Chapter 2). The related work chapter covers the aspects of the worst-case execution time computation strategies. The assumptions taken during these steps greatly influence the considerations taken during the pre-emption delay assessment. An overview of the literature pre-emption delay assessment strategies for regular fully-pre-emptive scheduling is provided. Finally some further information is provided on the matters of limited pre-emptive theory in single-core and related to the temporal-isolation aspects.
The bulk content of the thesis is provided in the chapters succeeding the state-of-the-art. The thesis can be broadly organized in in four main areas content-wise:
- Single Processor Limited Pre-emptive Theory Extension (Chapter 3):
The single-core limited pre-emptive theory for fixed task-priority scheduler is revisited. An series of methodologies are provided which, by resorting to information available at run-time, allow for extensions to the non-pre-emptive region length to be obtained. The properties of the algorithms with respect to pre-emptions is studied and upper-bounds on the number of pre-emptions are derived. Experimental results are presented showing that the proposed solution reduces the observed number of pre-emptions when compared to the state-of-the-art limited pre-emptive method.
A method to increase the schedulability in a similar way to the one achieved with fixed non-pre-emptive regions is also presented in this chapter. Unlike the more static limited pre-emptive schedulers (fixed non-pre-emptive) the more dynamic (floating non-pre-emptive) does not easily allow for schedulability increases. The presented ready queue locking mechanism prevents higher priority releases that occur after a prespecified time instant to interfere with lower priority pending work. An integration of this methodology with the well known pre-emption threshold is described as well. The derivation of the schedulability conditions is presented.
- **Pre-emption Delay estimation for the Floating Non Pre-emptive Region Model (Chapter 4)**: The usage of the floating non-pre-emptive region model in the state of the art works so far only allowed for a reduction on the number of pre-emptions quantified at design time. In this section the scheduling information is exploited in the analysis along with a further description of the workload to be executed and the evolution of the pre-emption delay cost as the execution progresses. A method which considers a function of the pre-emption delay per progress unit is described which yields an upper-bound on the pre-emption delay a task is subject to in the floating non-pre-emptive region model. Further extensions to this model are provided that take into account an additional function and reduce the pessimism taking into account assumptions from the WCET analysis phase.
- **Ensuring Temporal-isolation in Platforms with Non-negligible Pre-emption Overheads (Chapter 5)**: More often than not, temporal-isolation is overlooked in the real-time theory. The same cannot be said in industry where strong independence must be proven between separate workload modules in order for systems to be certified. This Chapter proves that the state-of-the-art temporal-isolation solutions are wasteful of resources and that in more complex models fail to provide the temporal-isolation property at all. An alternative method to encompass the temporal-isolation problematic in systems with non-negligible pre-emption delays is described. This method is presented for single-core scheduling but can be adapted to multi-core scheduling as well.
• **Derivation of the Limited Pre-emptive Theory for Global Multiprocessor Scheduling (Chapter 6):**
This Chapter delves on the multi-processor limited pre-emptive theory. The derivation of some models for limited pre-emptive scheduling (fixed non-pre-emptive) is described for global fixed task priority. The floating non-pre-emptive region model theory is further addressed as well. Even though most of the work was carried out assuming fixed global task priority schedulers it is shown that the limited pre-emptive scheduling mechanism allows for a schedulability increase in the GEDF case. Experimental results were obtained in order to assess whether the same patterns observed for single core would translate into global scheduling with respect to schedulability and overall estimation of pre-emptions.
The thesis is finalized by Chapter 7 where a summary of the thesis is provided and the list of possible future directions is debated.
Chapter 2
Related Work
2.1 WCET Upper-bound Computation
Execution time bounds for task operation are an ubiquitous input in real-time systems theory. The value is computed in isolation or with the inherent assumption of non-pre-emptive execution. The computation of these upper-bounds may be divided into two distinct categories.
1. Measurement Based
2. Static Analysis
3. Hybrid
2.1.1 Measurement Based
Measurement based WCET estimation procedures rely on the end-to-end or partial execution of the task in order to extract an estimate of the upper-bound. A set of relevant input vectors is decided *a-priori* by the system designer. The main drawback of this approach is that it is often impossible to know *a-priori* which input vector will lead to the worst-case execution time. As a result the largest execution time observed can not be trusted as a safe upper-bound, and thus can not really be employed as an input for schedulability assessment in hard real-time systems. An additional concern is that measurement based WCET estimation does not easily allow for the quantification of the pre-emption delay associated to each task.
2.1.2 Static Analysis
A different approach for the execution time estimation is the static analysis of the task. This methodology relies on four specific steps:
2.1. WCET UPPER-BOUND COMPUTATION
• Control Flow Graph (CFG) extraction;
• Micro-architectural modeling;
• Value analysis;
– Path analysis;
– Constraint analysis;
• Value computation
In the first step the program is parsed at source or machine language level in order to extract valuable information for subsequent analysis steps. Using abstract interpretation a structural representation of the program is achieved [CC77]. This abstract representation is a directed graph denominated control flow graph (CFG) [CP01].
The set of nodes composing a CFG are of different types:
• Entry: has no predecessors and a single successor;
• Assignment: has exactly one predecessor and one successor. The functional parts of the code (i.e. the actual instructions) are associated to this node;
• Test: has a predecessor and two successors. The jump instructions are associated with such nodes;
• Junction: has more than one predecessor and a single successor. Every execution path joining will occur in this node type;
• Exit: has one predecessor and no successors.
A CFG is then a directed graph where nodes are termed basic blocks. An example is provided in Figure 2.1.
At this point the CFG is again parsed, at the value analysis step, in order to remove infeasible paths, and extraction of loop bounds. This is done either by knowing the set of possible inputs or by analyzing the semantics of the program.
The information present in the CFG may be exploited by several techniques to compute the WCET. As next step, the Micro-architectural modeling procedure is performed. This is constituted by analyzing each instruction in the assignment Basic Block (BB) of the CFG with respect to its latency. Another important aspect of this stage of WCET computation lies on the classification of the memory references with respect to both instruction and data caches.
In order to classify each memory instruction the CFG is parsed by two fixed point algorithms, the must and may analysis, with the knowledge of the cache, line size and associativity level. The must analysis computes, for each program point the set of memory lines
which must be in the cache at each program point. The may analysis, in contrary, computes the set of memory lines which may be in the cache for every program point. Both must and may analysis sets are Abstract Cache Set (ACS) since they are the product of an analysis which does not consider a specific program path.
This in turn yields the following memory reference classification:
- always-hit (AH): at the given program point the memory address referenced by the instruction is present in the $ACS_{must}$;
- always-miss (AM): at the given program point the memory address referenced by the instruction is not present in the $ACS_{must}$ nor in the $ACS_{may}$;
- not-classified (NC): the memory line referenced in the current instruction is not in the $ACS_{must}$ but is part of the $ACS_{may}$.
For a system with a single cache level the memory references classified as AH will be treated as a cache hit, whereas the ones classified as AM and NC are treated as cache misses.
With the memory classifications available, the cost of executing each basic block is extracted.
As a last step the value computation is performed. Having the cost of each basic block execution and the set of feasible paths in the CFG, a technique called Implicit Path Enumeration is used. In this framework all possible paths from the CFG are encoded in a linear equation which is then maximized. The outcome of the maximization is the WCET for the given task.
A simpler mechanism may be used in the value computation stage. This method termed tree based analysis relies on the information provided by a syntax tree rather than a CFG. Though the procedure may be explained from a CFG perspective. Basic blocks belonging to the same path segment have their execution cost summed in order to create a fictitious node with the computed execution cost. In the case of a conditional path in the CFG the
maximum between the two possible fictitious nodes is taken and another fictitious node is created to represent this conditional part of the program.
Overall the main drawback of static WCET computation is that it relies on an accurate model of the target platform. This, in order not to be optimistic, will have to rely on pessimistic values for the parameters used to model the behaviour of the execution platform. On the other hand measurement based mechanisms can never be guaranteed to be safe and since no cache analysis is performed will always lack information to compute an upper-bound on the CRPD.
184.108.40.206 Hybrid Approach
It is possible to create tools which consist not only of static analysis but also perform measurements on the program or segments of it on the target platform. These methods embody a category denominated as hybrid approach [Bet10]. The CFG information is extracted from the source or object code. Having the program logical structure available one can run the code segments in order to obtain execution upper bounds for each segment in the real platform. Before each segment is run a worst-case scenario can be constructed depending on architectural considerations. This can be for instance the flushing of all caches or running a specific piece of code which pollutes the cache forcing subsequent writes to memory for every cache miss observed during the segment run. The segment execution times are then merged in order to obtain a safe upper-bound on the worst case execution time of the task. This tries to overcome the limitations from the previous approaches by joining the best of both worlds. Since static analysis is employed upper-bound on the pre-emption delay penalties can be extracted from the formal analysis of the object code.
2.2 Pre-emption Delay Estimation
As mentioned before, the WCET analysis inherently considers each task in isolation similar to what occurs in non-pre-emptive scheduling. As it turns out generally the system has a pre-emptive scheduler which in turn requires the effect of pre-emptions to be incorporated into the execution time of the tasks.
The pre-emption delay is present whenever some subsystem used in the task execution exhibits some inherent state. A set of states are assumed in the WCET computation. Whenever a pre-emption occurs, the pre-empting task may alter the state of several of the subsystems present in the execution environment. Whenever the pre-empted task resumes execution, if the subsystems it is using are in a different state in comparison to the time instant at which it was pre-empted, it will eventually suffer from pre-emption delay in future execution points. It is inherently assumed that the state changes for these subsystems have a non-negligible time penalty.
The subsystem considered most often in literature is the cache. This is due to the large size of these apparatus and the time penalty for a cache miss which is around two orders of magnitude greater than the latency of a cache hit in modern architectures [McK04, EEKS06, BDM09, RGBW07]. Cache Related Pre-emption Delay (CRPD) estimation has been a subject of wide study. Several methods have been proposed that provide an off-line estimation based on static analysis, for this inter-task interference value.
Lee et al. presented one of the earliest works on CRPD estimation for the instruction caches [LHS+98] where the notion of the set of memory blocks that might have been used in the past and may be used in the future, termed Useful Cache Blocks (UCB), was first introduced.
A UCB, for a given program point, is one which might have been used in any program path leading to this program point, which was not evicted, and that might be used in any future program point accessible from the current location.
The computation of UCB sets is carried out in an abstract interpretation framework. Lee et al. defines $gen_b$ to be the set of memory accesses operated at basic block $b$ mapped into their corresponding cache line [LHS+98]. For example consider a cache with $X = 4$ cache sets, if in $BB_b$ memory addresses $m_1$, $m_2$ and $m_4$, which map to cache set 1, 2 and 4, are referenced then $gen_b = \{m_1, m_2, \perp, m_3\}$. Where $\perp$ signifies that there are no memory references in $BB_b$ mapping to cache block 3. The following operator will aid us on the algorithm explanation task:
$$x \odot y \overset{\text{def}}{=} \begin{cases}
y[t] & \text{, if } y[t] \neq \perp \\
x[t] & \text{, if } y[t] = \perp
\end{cases}$$
Both $x$ and $y$ are an ACS. An ACS is a representation of all the memory blocks which may be in each cache set at a given time. In definition of the operator 2.1, the values $x[i]$ and $y[i]$ represents the contents of the $i^{th}$ cache set in ACS $x$ and $y$ respectively.
There are two ACS computed per basic block, both obtained by a fixed point algorithm. The first, Reaching Memory Blocks (RMB), is computed by an algorithm starting from the first node of the CFG [LHS+98]. The RMB set computed in Algorithm 1, for each $BB_b$ presents the information of all the memory blocks which might have been loaded into the cache on any CFG path leading to $BB_b$ which have not been evicted since.
Algorithm 1: RMB set computation
\begin{algorithmic}
\ForEach{$b \in CFG$}
\State $RMB_b^IN = \emptyset$
\State $RMB_b^OUT = gen_b$
\EndFor
\State $change = true$
\While{$change$}
\State $change = false$
\ForEach{$b \in CFG$}
\State $RMB_b^IN = \bigcup_{p \in pred(BB_b)} RMB_p^OUT$
\State $prev = RMB_b^OUT$
\State $RMB_b^OUT = RMB_b^OUT \odot gen_b$
\If{$RMB_b^OUT \neq prev$}
\State $change = true$
\EndIf
\EndFor
\EndWhile
\end{algorithmic}
The LMB [LHS+98] set computed in Algorithm 2, for a given $BB_b$ contains the information of the first memory reference which maps to each cache block from any $BB_j$ in all the paths of the CFG accessible from $BB_b$. The Algorithm for its computation is as forth:
Algorithm 2: LMB set computation
\begin{algorithmic}
\ForEach{$b \in CFG$}
\State $LMB_b^IN = gen_b$
\State $LMB_b^OUT = \emptyset$
\EndFor
\State $change = true$
\While{$change$}
\State $change = false$
\ForEach{$b \in CFG$}
\State $LMB_b^IN = \bigcap_{s \in successor(BB_b)} LMB_s^OUT$
\State $prev = LMB_b^OUT$
\State $LMB_b^OUT = LMB_b^IN \odot gen_b$
\If{$LMB_b^OUT \neq prev$}
\State $change = true$
\EndIf
\EndFor
\EndWhile
\end{algorithmic}
Both sets RMB and LMB represent a possible set of memory blocks present in each cache line for every program point. Lee et al. considers the RMB and LMB to be a set of elements unequivocally associated to each cache set. These represent all the possible memory blocks which may be present in each cache set [LHS+98]. When a union is performed between LMB and RMB sets this implies a union over all the elements which may reside in a given cache set.
For example, consider the abstract cache states $RMB_x^OUT = \{a, b, c, \bot\}$ and $RMB_y^OUT = \{a, f, \bot, h\}$. Further consider that $BB_x$ and $BB_y$ to be the predecessors of $BB_b$. The computation $RMB_b^IN = RMB_x^OUT \cup RMB_y^OUT$ has the output $\{a, b, c, \bot\} \cup \{a, f, \bot, h\} = \{a, b, f, c, h\}$. This example holds true for the LMB computation as the union operation over the LMB sets is defined in the same manner. The union of the sets provides an over-approximation on the
number of memory blocks, which may be required in the future, that may be evicted if a pre-emption occurs in a given $BB_b$. The result of the union is the UCB set, which is formally defined in the following manner for each $BB_b$:
$$UCB_b \overset{\text{def}}{=} \text{ones}(RMB_b^{OUT} \bigcap LMB_b^{IN})$$ \hspace{1cm} (2.2)
The function $\text{ones}()$ returns a set of binary values, where for each cache line, if the set is empty then 0 is returned for the corresponding element, otherwise 1 is returned.
A slightly alternate manner to compute the UCB set is presented by Mitra et.al. [NMR03]. In this work, the computed RMB and LMB are multi-sets. On the basic blocks where CFG paths merged, the join function has as output a set of abstract cache states. These multi-set are termed leaving and reaching cache states respectively (LCS and RCS). This means that the join operation on the LMBs and RMBs is done in the following manner:
$$LMB_p^{OUT} = \uplus_{y \in \text{successor}(BB_b)} LMB_y^{IN}$$ \hspace{1cm} (2.3)
$$RMB_b^{IN} = \uplus_{p \in \text{pred}(BB_b)} RMB_p^{OUT}$$ \hspace{1cm} (2.4)
This leads to less pessimism in the CRPD analysis but at the cost of considerable complexity. While intersecting the LCS and RCS multi-sets at each basic block a multi-set of UCBs is obtained. The fundamental concept of UCB is still the same.
Another alternative for UCB computation is presented by Altmeyer [AB11]. The particularity of this work is the focus on the join operation defined over the LMB and RMB sets. Altmeyer observed that, since memory accesses which are not considered as cache hits are already accounted as cache misses in the WCET analysis, these should not be double accounted formally in the CRPD estimation. Hence only cache lines which must definitely be in the cache are to be considered in the computation of the UCB sets. In order to enforce this observation the join operation defined over the LMB and RMB sets is changed. This operation is then the intersection of the cache line sets between RMBs. Consider the previously referred example where $RMB_x^{OUT} = \{a, b, c, \bot\}$ and $RMB_y^{OUT} = \{a, f, \bot, h\}$. Assuming that $BB_c$ and $BB_b$ to be the predecessors of $BB_b$, the following computation $RMB_b^{IN} = RMB_x^{OUT} \cap RMB_y^{OUT}$ has the output $\{a, b, c, \bot\} \cap \{a, f, \bot, h\} = \{a, \bot, \bot, \bot\}$. The computation of LMBs is the same as the one defined in the work of Lee et al. [LHS+98]. The remainder of the algorithm for RMB computation is the same as Algorithm 1.
A fundamental assumption taken in the work of Lee et al. [LHS+98] is that the set of UCB is constant throughout a basic block. This assumption is only correct for instruction cache analysis, since by definition a basic block is a set of sequential instructions. Hence there can not be an instruction used in the beginning of a basic block which is later reused. For data caches this assumption no longer holds. This implies that the UCB set for data
caches is not constant per basic block and hence has to be computed at each program point, or at least at every program point where a data reference occurs.
An alternative, present in the literature, regarding data cache pre-emption delay analysis was devised by Ramaprasad [RM06a]. In this work, rather than relying on UCB information at each program point, threads connecting memory references to the same address are created. At any program place the number of threads connecting memory references prior and later to the given point will constitute the pre-emption delay associated to an interruption of the program at the current execution point.
### 2.3 Pre-emption Delay Integration with Schedulability Assessment
Pre-emption delay estimation is of little value without its integration into the schedulability analysis of the task-set. Several approaches have been proposed in the literature to perform this analysis. Scheduling analysis by Lee et al. [LHS+98] is based on response-time analysis (RTA) by using the $PC_i(t)$ to denote the maximum pre-emption delay observed in the schedule until time $t$ and incorporating that quantity into the response time of the task.
Let us define the following concept which allows for a simpler exposure of the theory at hand:
**Definition 1 [level-i schedule]:** The schedule composed solely by the sub-set of $\mathcal{T}$ containing only task of priority equal or higher than $\tau_i$.
The concept of level-i schedule is henceforth defined for fixed task priority only, and is only employed in that context.
The RTA is defined as [LHS+98]:
$$R^k_i = C_i + \sum_{j \in hp(i)} \left\lfloor \frac{R^{k-1}_i}{T_j} \right\rfloor \times C_j + PC_i(R^{k-1}_i)$$ \hspace{1cm} (2.5)
This is solved by aid of a fixed point algorithm, i.e. the algorithm terminated in the $k^{th}$ iteration such that $R^k_i = R^{k-1}_i$. The function $PC_i(t)$ denotes the worst-case CRPD generated in the level-i schedule in a time interval of length $t$ and is defined as:
$$\text{maximize } PC_i(t) \overset{\text{def}}{=} \sum_{j=2}^{i} g_j(t) \times f_j$$ \hspace{1cm} (2.6)
The variable $f_j$ encodes the maximum pre-emption delay which a job from $\tau_j$ can suffer as a consequence of a single pre-emption.
2.3. PRE-EMPTION DELAY INTEGRATION WITH SCHEDULABILITY ASSESSMENT
The function $g_j(t)$ represents the upper-bound on the cumulative number of pre-emptions which jobs from task $\tau_j$ may suffer in a time interval of length $t$. This variable is restricted by the two following inequalities.
1. $\sum_{k=2}^{j} g_k(t) \leq \sum_{b=1}^{j-1} \left\lceil \frac{R_i}{T_b} \right\rceil$
2. $g_j(t) \leq \left\lceil \frac{R_j}{T_j} \right\rceil \times \sum_{k=1}^{j-1} \left\lceil \frac{R_j}{T_k} \right\rceil$
Constraint number one dictates that the number of pre-emptions which jobs from task of the set $\{\tau_2, \cdots, \tau_j\}$ suffer in a time interval of length $t$ is limited by the number of releases of jobs of tasks in the set $\{\tau_1, \cdots, \tau_{j-1}\}$. The second constraint limits the number of pre-emptions that jobs from task $\tau_j$ may suffer in a time interval of length $t$ to the number of releases of jobs from task $\tau_j$ in the said interval times the maximum number of pre-emptions each single job from $\tau_j$ may suffer in the worst-case scenario.
Lee et al. [LHS+98] uses integer linear programming (ILP) to maximize the function $PC_i(t)$ (2.6). This yields an upper-bound on the pre-emption delay suffered by each task. The ILP problem is solved for every iteration of the response time fixed point algorithm (Equation (2.5)) where the objective function maximized is $PC_i(t)$. This approach is very complex due to the need for linear programming solving at every iteration.
An extension of this work by the same authors [LLH+01] exists. In this, the variable $f_j$ ceases to be treated as constant value for each $\tau_j$ but rather a table of values which considers all possible combinations of higher priority tasks pre-empting task $\tau_j$. A constraint on $f_j$ is added to the previously described optimization problem formulation. The complexity of the approach is exacerbated since the ILP needs to be solved at every iteration of the RTA computation for each task with the added constraint complexity. Since then, the focus of the CRPD related literature has shifted from the ILP formulation to a rather less complex framework which explores particularities of the scheduler and the patterns of cache usages in order to compute CRPD upper-bounds.
Busquets et al. also used RTA [BMSO+96]. In this work the pre-emption delay is considered from the point of view of the pre-empting task. The concept of Evicting Cache Blocks (ECB) is used to model the maximum amount of information a pre-empting task may evict from the cache. The ECB is the $ones(RMB_{exit}^{OUT})$ set where the $BB_{exit}$ is the terminating basic block of the task’s CFG. The computation of ECB may be also written as:
$$ECB_j \overset{\text{def}}{=} \bigcup_{b \in CFG_j} UCB^j_b$$ \hspace{1cm} (2.7)
Let us assume $T_{MISS}$ to be a constant value representing the maximum latency associated with each cache miss. Busquets defines the following value:
$$\gamma^{\text{bus}}_{i,j} \overset{\text{def}}{=} T_{MISS} \times |ECB|.$$ \hspace{1cm} (2.8)
The value $\gamma_{i,j}^{bus}$ encodes the maximum pre-emption delay which each job from task $\tau_j$ can induce on tasks in the set $\{\tau_{j+1}, \cdots, \tau_i\}$.
The response time equation is then written as:
$$R_i^k = C_i + \sum_{j \in hp(i)} \left\lfloor \frac{R_{j}^{k-1}}{T_j} \right\rfloor \times (C_j + \gamma_{i,j}^{bus}) \quad (2.9)$$
Mitra provided a simple mechanism to compute the maximum pre-emption delay which a pre-empting task $\tau_j$ may cause on a pre-empted task $\tau_i$ for a single pre-emption [NMR03]. The value $CRPD(\tau_j, \tau_i)$ is defined as:
$$CRPD_{j,i} \overset{\text{def}}{=} T_{MISS} \times \max_{b \in CFG} \left| UCB_i^b \bigcap ECB_j \right|. \quad (2.10)$$
This means that the maximum pre-emption delay a $\tau_j$ may cause on $\tau_i$ for a single pre-emption occurs on the $BB_b$ of task $\tau_i$ such that the intersection of the set $UCB_i^b$ associated to the $BB_b$ of $\tau_i$ has the maximum number of common elements with $ECB_j$ of task $\tau_j$.
The CRPD bound is then integrated with the schedulability test in the following way:
$$R_i^k = C_i + \sum_{j \in hp(i)} \left\lfloor \frac{R_{j}^{k-1}}{T_j} \right\rfloor \times (C_j + \sum_{l=i}^{j+1} CRPD_{j,l}) \quad (2.11)$$
The sum of the CRPD is performed over the set of lower priority tasks $\{j+1, \cdots, i\}$ in order to account for the chained pre-emptions where a task $\tau_j$ can evict useful cache lines from more than one lower priority task.
An extension of this work is presented by Tan, where chained pre-emption are accounted for [TM07]. Tan defines the maximum pre-emption delay a task $\tau_j$ may cause in the lower priority schedule to be:
$$\gamma_{i,j}^{tan} \overset{\text{def}}{=} T_{MISS} \times \left| \left( \bigcup_{l \in \{j+1, \cdots, i\}} MUMB S_l \right) \bigcap ECB_j^{WMP} \right|. \quad (2.12)$$
The maximum set of Useful memory blocks ($MUMB S$) as is a term coined by Tan which denotes a union of all the UCB sets of every program point of the analysed task.
$$MUMB S \overset{\text{def}}{=} \bigcup_{p \in P} UCB_p \quad (2.13)$$
Where $P$ is the set of program points of a given task which have a UCB set defined for. Again for instruction caches it suffices to consider the CFG at $BB$ granularity. The $ECB^{WMP}$ set is in turn the largest set of memory references mapping to each cache line along a single path of the pre-empting task, which is the worst case $MUMB S$ path (WMP).
2.3. PRE-EMPTION DELAY INTEGRATION WITH SCHEDULABILITY ASSESSMENT
The safety of the approach considering a single path for the pre-empting task ECB relies on the over-approximation taken in the MUMBS definition.
Altmeyer has adapted Tan’s work in order, dropping the $ECB^{WMP}$ per path concept and considering a unified $ECB$ i.e. enclosing all memory references occurring in any possible pre-empting task’s path [AB11]. As for the UCB it only considers the UCB per program point [AB11]. This yields:
$$\gamma_{i,j}^{\text{tan}} \overset{\text{def}}{=} T_{\text{MISS}} \times \max_{\{b_i \in CFG_i, \cdots, b_{j+1} \in CFG_{j+1}\}} \left\{ \left| \left( \bigcup_{l \in \{j+1, \cdots, i\}} UCB_l^{b_l} \right) ECB_j \right| \right\}. \quad (2.14)$$
Both CRPD bounds may be used in the RTA present in Equation 2.9.
As a later contribution Altmeyer proposed a CRPD bound considering chained pre-emptions:
$$\gamma_{i,j}^{\text{alt}} \overset{\text{def}}{=} T_{\text{MISS}} \times \max_{k \in \{i, \cdots, j+1\}} \left\{ \left| \max_{b \in CFG_k} \left\{ UCB_k^b \cap \left( \bigcup_{h \in \{1, \cdots, j\}} ECB_h \right) \right\} \right| \right\}. \quad (2.15)$$
Another less complex algorithm in comparison to Lee et al. [LHS+98] resorting to RTA was presented by Petters and Färber [PF01]. In this work an iterative algorithm is used which considers the worst-case pre-emption delay generated in a level-i schedule but without resorting to the ILP formulation devised by Lee et al. [LHS+98]. The fixed point algorithm for the RTA computation is nevertheless similar. The variable $\Delta_{i,j}(t)$ as defined by Petters encodes the maximum pre-emption delay task $\tau_i$ suffers from all jobs of task $\tau_j$ released in a given time interval of length $t$. First, Petters considers the tasks $\tau_i \in \{j-1, \cdots, i\}$ set which exhibits the highest pre-emption delay penalty. The pre-emption cost of task $\tau_k$ is then accumulated for the cumulative number of times jobs task $\tau_i$ may be pre-empted by jobs from $\tau_k$ in the interval of length $t$. The $\Delta_{i,j}(t)$ computation for each RTA iteration finishes when $\left\lfloor \frac{t}{T_j} \right\rfloor$ pre-emptions have been considered. Which means that the exact upper-bound on the number of releases of $\tau_j$ in the interval being analysed are considered. This is an inherently UCB based analysis. The RTA analysis is then written as:
$$R_i^k = C_i + \sum_{j \in hp(i)} \left\lfloor \frac{R_i^{k-1}}{T_j} \right\rfloor \times C_j + \Delta_{i,j}(R_i^{k-1}). \quad (2.16)$$
Staschulat and Ernst built upon Petters’ work providing a solution for CRPD integration with schedulability test which incorporates the ECB information as well [SE04]. In this work varying pre-emption costs were considered. The RTA analysis is rewritten as:
$$R_j^k = C_i + \sum_{j \in hp(i)} \left\lfloor \frac{R_i^{k-1}}{T_j} \right\rfloor \times C_j + \Delta_{i,j}^{\text{sta}}(R_i^{k-1}). \quad (2.17)$$
Where the $\Delta_{i,j}^{sta}(t)$ parameter denotes the pre-emption delay caused by jobs from task $\tau_j$ in a given time window of length $t$ defined as:
$$\Delta_{i,j}^{sta}(t) \overset{\text{def}}{=} T_{\text{MISS}} \times \sum_{l=1}^{n(t)} \left( \max(M) \right).$$ \hspace{1cm} (2.18)
The function $\max^h()$ returns the $h^{th}$ biggest value in the set.
The function $n(t)$ states the maximum number of jobs from tasks in the set $\{j, \cdots, i-1\}$ which can be released in an interval of length $t$, i.e.:
$$n(t) \overset{\text{def}}{=} \sum_{l=j}^{i-1} \left\lfloor \frac{t}{T_l} \right\rfloor.$$ \hspace{1cm} (2.19)
The variable M is defined as:
$$M \overset{\text{def}}{=} \omega_{k=j+1}^i \uplus_{m=1}^{\left\lceil \frac{T_k}{T_l} \right\rceil} \delta_{j,k}^\wedge$$ \hspace{1cm} (2.20)
Where $\delta_{j,k}^\wedge$ is a set containing exactly $\left\lceil \frac{R_k}{T_l} \right\rceil$ elements which are the highest CRPD values associated to consecutive pre-emptions by jobs from $\tau_j$ on a single $\tau_k$ job. Hence $\delta_{j,k}^\wedge$ is defined by Staschulat as:
$$\delta_{j,k}^\wedge \overset{\text{def}}{=} \left\{ \delta_{j,k}^1, \cdots, \delta_{j,k}^{\left\lceil \frac{R_k}{T_l} \right\rceil} \right\}$$ \hspace{1cm} (2.21)
where $\delta_{j,k}^1 = \max_{p \in CFG}^1 \{ UCB_p^j \cap ECB_j \}$, $\delta_{j,k}^2 = \max_{p \in CFG}^2 \{ UCB_p^j \cap ECB_j \}$ and generically $\delta_{j,k}^h = \max_{p \in CFG}^h \{ UCB_p^j \cap ECB_j \}$.
The complex formulation presented by Stachulat enables the consideration of variable pre-emption costs through the execution of each job, though no ordering of occurrences is considered.
All of the CRPD aware schedulability tests presented thus far are for the fixed task priority scheduling policy. Another work exists integrating CRPD into the schedulability analysis of EDF. This consist of demand-bound function based procedure proposed by Ju et al. [JCR07]. Ju, as Mitra did, considers the pairwise pre-emption delay $CRPD_{j,i}$ which encodes the maximum CRPD penalty a job from task $\tau_j$ may induce in a job from $\tau_i$. Let us define the demand bound function of a given task (dbf) [Bar05]:
$$dbf(\tau_i, t) \overset{\text{def}}{=} \left\lfloor \frac{t - D_i}{T_i} \right\rfloor \times C_i$$ \hspace{1cm} (2.22)
Ju extends this definition by considering the $C_i$ of the task and the maximum pre-emption delay it is subject to as an upper-bound for its workload, which yields:
$$dbf^{Ju}(\tau_i, t) \overset{\text{def}}{=} \left\lfloor \frac{t - D_i}{T_i} \right\rfloor \times (C_i + \sum_{j \in H_i} n_{i,j} CRPD_{j,i}). \quad (2.23)$$
In Ju’s formulation $H$ is the set of tasks of smaller relative deadline than $\tau_i$, which are the only tasks which can in fact pre-empt jobs from $\tau_i$ and $n_{i,j} = \left\lceil \frac{D_i - D_j}{T_j} \right\rceil$ upper-bounds the maximum number of times jobs from $\tau_j$ may pre-empt a single job from $\tau_i$.
EDF successfully schedules the task-set if the following condition is verified:
$$\forall t \in L, \sum_{\tau_i \in T} dbf^{Ju}(\tau_i, t) \leq t \quad (2.24)$$
Note that this schedulability test is sufficient but no longer necessary when CRPD is considered in the task-system due to the overestimation involved in the pre-emption delay estimation.
### 2.4 Limited Pre-emptive Scheduling
Non-pre-emptive scheduling has its benefits. Besides completely removing the problem of pre-emption delay, it schedules some task-sets that would not otherwise be schedulable under fully pre-emptive fixed priority (FP) [WS99] and enables considerable memory savings by allowing for the existence of a single stack of size equal to the maximum stack requirement by any task that compose the task-set. Nevertheless non-pre-emptive scheduling is not always a feasible solution to resort to.
Fully pre-emptive scheduling has its own drawbacks since there exists an inherent difficulty in assessing the worst-case number of pre-emptions in these policies. This may lead to overly pessimistic analysis.
A different type of scheduler which does not lie in either extremes (fully pre-emptive or non-pre-emptive) allows for the encompassing of the benefits observed in both extremes.
This can be achieved by thoughtfully restricting the pre-emptions, either by scheduler aid or by using specific pre-emption points in the code. The framework offers a viable ground over which to address the problem of pre-emption delay estimation. Scheduling the workload with such sort of policies enables more information to be present at the design time with respect to where the pre-emptions will occur in a given system execution.
The sole purpose of a scheduling algorithm is to determine which tasks execute on the target processor at each point in time. A scheduling algorithm can be, non-ambiguously, described through a function $\mathcal{S}$. $\mathcal{S}$ takes as an input the set of active tasks and knowledge
of future task releases when available. The output of $\mathcal{A}$ is a partially ordered set of tasks. The $m$ highest priority tasks are then executed upon the available processors.
The scheduling algorithms are generally classified according to the $\mathcal{A}$ behaviour with respect to the priority ordering.
1. **fixed task priority** each job is assigned the same fixed priority
2. **fixed job priority** each job is assigned a fixed priority which is not necessarily the same as previously or subsequently released jobs (from the same task)
3. **dynamic job priority** the priority of the job varies during its frame (between its absolute release time and absolute deadline)
It is easy to observe that algorithms of type 1 are a subset of type 2 which in turn are a subset of type 3. The algorithms of the subsets are associated to lower run-time complexity when compared to the ones on the complement set which yields the super-set.
Generally these algorithms tend to dispatch onto the execution platform the highest priority workload which is available to be executed at any instant in time.
Any scheduler for which a task pre-empts another running in the system immediately before a given time instant $t$ when the pre-empting task had a priority increase that surpasses the pre-empted task can be termed as a fully pre-emptive scheduler.
In informal terms, limited pre-emptive schedulers can be seen as the product of slight modifications to the so called fully pre-emptive schedulers such that the pre-emptions do not generally occur synchronously with the release or increase in the priority level of some workload but in a more controlled manner after, for instance, a known time interval elapses. At run-time some pre-emptions which would generally occur in the fully pre-emptive schedule are now said to be deferred in the limited pre-emptive model.
The more common limited pre-emptive scheduling algorithms existing in literature, although being generally referred to as extensions to type 1 and 2 schedulers, can in fact be considered to be type 3 algorithms. The pre-emption deferral can in fact be seen as a temporary priority increase from the part of the executing task. Another analogy, which is more commonly referred to is that whenever a pre-emption is being deferred, the task which remains executing is in fact executing – for a limited time interval – in a non-pre-emptive manner.
The mechanism of pre-emption deferral has a number of advantages as has been pointed out in several works [YBB10, YBB09, BBM+10]. These scheduling policies present a trade-off between the extremes of fixed priority non-pre-emptive and fully pre-emptive scheduling. Gang Yao et al. provide a comparison of all the available methods described so far in literature [YBB10].
Aside for enabling heightened sense of where pre-emptions occur, the limited pre-emptive model also allows for schedulability increases. An example is provided in task-set
shown in table 2.1 where the task fails to be schedulable under fully pre-emptive fixed task priority but it is in fact schedulable by non-pre-emptive scheduling. For this task-set, the fully pre-emptive schedule is displayed in Figure 2.2 to the right. One possible limited pre-emptive schedule which ensures schedulability of the task-set is displayed in the same figure to the left. It is apparent that task $\tau_2$ misses a deadline at $t = 12$ since it still has one unit of pending workload at this deadline. In the exemplified limited pre-emptive schedule all tasks meet their deadlines until $t = 24$ and hence it is concluded that the task-set is schedulable with this policy since at exactly $t = 24$ there is virtually no pending workload left to process in the system.
The limited pre-emptive scheduling algorithms can be categorized into two broad groups depending on the nature and properties of the non-pre-emptive regions. This two groups are denominated as:
- Fixed non-pre-emptive;
- Floating non-pre-emptive.
### 2.4.1 Floating Non-pre-emptive Regions
In the regular floating non-pre-emptive region scheduling, each task $\tau_i$ has a maximum deferral time defined which will be denoted by the parameter $Q_i$. When a task $\tau_i$ is executing and $\tau_i$ is not the highest priority task in the ready queue, then it is said that a pre-emption deferral chain is occurring. A pre-emption deferral chain, as is shown in Figure 2.3 starts with a higher priority release, and lasts at most $Q_i$ time units. At the end of a pre-emption deferral chain a pre-emption invariably happens. In Figure 2.3 task $\tau_i$ is executing when
a job from $\tau_j$ is released, at some time in between a job from $\tau_k$ is released. The deferral chain ends exactly $Q_i$ time units after the first higher priority release.
All the scheduling policies presented so far were created with the intention of enabling the floating non-pre-emptive regions usage. Effectively by extending the schedulability of fixed task priority the overall admissible blocking tolerance of higher priority tasks will increase in accordance. A practical consequence is that the allowed non-pre-emptive regions will increase in size in comparison to the limits considered by the schedulability test which does not contemplate the schedulability increase (i.e. the fully pre-emptive condition). Having bigger values for the non-pre-emptive regions is obviously advisable since this will inevitably allow for a reduction on the number of pre-emptions, and will enable less pessimism in the pre-emption delay computation [MNPP12a]. In the simple ready queue locking, and in the ready queue locking with pre-emption threshold maximum blocking times admissible for all the tasks are computed. This information alone enables the usage of the floating non-pre-emptive regions scheduling.
### 2.4.2 Fixed Non-pre-emptive Regions
The mechanism of restricting pre-emptions was first proposed by Burns et al. [Bur95] where only fixed non-pre-emptive regions are considered (*fixed pre-emption points*).
The fixed non-pre-emptive region model differs from the previously mentioned (floating) in that the pre-emption points are restricted to occurring at very well defined points in the task code.
In this work it is referred that dividing the tasks into a set of consecutive non-pre-emptive jobs would be an interesting way of increasing the schedulability of the task-sets. This initial work suffered from the shortcoming of only considering the first frame of a task in a synchronous release situation to account for the critical situation.
Keskin et al. discuss the theory of fixed non-pre-emptive region schedulability [KBL10]. The author deemed the available test [Bur95] optimistic, arguing that under no assumptions
the worst-case response time for a job of task $\tau_i$ may no longer arise in the first critical region in a synchronous release situation but that it may show up in a job $k$ of task $\tau_i$ in the level-$i$ active period generated at a synchronous release situation.
Until this point, the answer to what the maximum length of the non-pre-emptive regions would be had not been found yet. A basic ingredient for this is identifying the amount of slack in the higher priority schedule. Slack computation was the subject of some attention in the past [DTB93, LRT92]. These works mainly deal with the detection of slack in the schedule that enables the execution of aperiodic tasks with low priorities to execute uninterrupted. This benefits the latency of those applications considerably. The drawback of these methods is that they either rely on off-line analysis and the periodic behaviour of hard deadline tasks [LRT92] or on the on-line computation of the slack using methods with variable execution (recursive method) time and high complexity [DTB93]. The previously mentioned works do not address the issue of pre-emption reduction nor consider slack stealing on a purely hard real-time system. A similar point of view is proposed by Dobrin et al. [DFP01]. In this work an off-line analysis parses the schedule identifying pre-emptions. It then tries to remove these by changing tasks priorities and the offsets without jeopardizing the schedulability. This method is solely applicable to periodic task-sets though. Slack computation in a schedule is the base theory for computing the maximum allowed blocking times for a given set of tasks. The maximum admissible blocking time depends on the task-set and the priority relation between the tasks and the scheduling policy. The first maximum admissible blocking time computations were proposed by Baruah [Bar05] for EDF scheduling policy, and later by Yao et al. [YBB09] for fixed task priority scheduling mechanism. In the initial work Baruah defined a maximum length for the non-pre-emptive chunks of each task. At the deadline of the first job of each task $\tau_j$, in a synchronous release with all other higher priority tasks, the slack ($\beta_j$) is computed:
$$\beta_j \overset{\text{def}}{=} D_j - \sum_{h \in \{1, \cdots, j-1\}} dbf(D_j, \tau, h). \quad (2.25)$$
The value $\beta_j$ denotes the maximum amount of blocking time the task would endure without missing a deadline. The maximum length of the non-pre-emptive regions of each task $\tau_i$ is referred to as $Q_i$ which is defined as:
$$Q_i \overset{\text{def}}{=} \min_{j \in \{1, \cdots, i-1\}} \beta_j \quad (2.26)$$
This ensures that task $\tau_i$ never induces a bigger blocking time to higher priority jobs from task $\tau_j$ where $j \in \{1, \cdots, i-1\}$ such that they would miss a deadline. Note that in this situation tasks are ordered by increasing relative deadlines $\forall i \in \{1, \cdots n-1\} D_i \leq D_{i+1}$. The priority of the workload is a function of each jobs absolute deadline (EDF [LL73]).
This result was then further extended by Baruah and Bertogna in order to consider a variable length for the non-pre-emptive regions of each task [BB10]. In this work a monotonically decreasing function is considered $Q(t)$.
$$Q(t) \overset{\text{def}}{=} \min_{t' \in [0,t]} t' - \sum_{i \in \{1, \cdots, n\}} dbf(t', \tau_i)$$ \hspace{1cm} (2.27)
Assume that at time $t_2$, a job from task $\tau_i$ which was released at time $t_1 < t_2$, is executing on the processor. Further assume that at time $t_2 - \varepsilon$ the job from $\tau_i$ is the highest priority active job in the system and that at time instant $t_2$ task $\tau_j$ releases a job. At this event the job from task $\tau_i$ will start executing non-pre-emptively for $Q(t_1 + D_i - t_2)$. It is easily shown that $Q_i \leq Q(t_1 + D_i - t_2)$, hence this extension enables bigger non-pre-emptive regions for each task at the cost of added run-time overhead. The authors propose the usage of a table to implement this mechanism and observe that the number of table elements is generally quite small.
A fixed priority scheduling method has been devised by Yao et al. [YBB09]. Yao defines an upper bound on the maximum admissible blocking time each task may suffer as:
$$\beta_i \overset{\text{def}}{=} \max_{t \in [0,D_i]} t - \sum_{j \in \{1, \cdots, i\}} rbft(t, \tau_j),$$ \hspace{1cm} (2.28)
Where
$$rbft(t, \tau_i) \overset{\text{def}}{=} \left\lfloor \frac{t}{T_j} \right\rfloor \times C_j.$$ \hspace{1cm} (2.29)
The maximum length of the non-pre-emptive regions is then defined as:
$$Q_i \overset{\text{def}}{=} \min_{j \in \{1, \cdots, i-1\}} \beta_j$$ \hspace{1cm} (2.30)
The computed value is the maximum allowed for systems scheduled with floating non-pre-emptive regions but it is not optimal when fixed non-pre-emptive regions are considered. Still this only allows the scheduling of tasks that were schedulable under the fully pre-emptive model. The author proves that if the task-set is schedulable under fully pre-emptive fixed priority, the job of task $\tau_i$ with worst-case response time will still be the first job in the synchronous release situation.
Later the work was extended with fixed non-pre-emptive regions in mind [YBB11a]. Since the last part of $\tau_i$ executes non-pre-emptively for a maximum duration of $Q_i$ time units. The maximum admissible blocking time per task is then rewritten as:
$$\beta_i \overset{\text{def}}{=} \min_{k \in \{0, \cdots, K\}} \left\{ \max_{t \in [k \times T_i, k \times T_i + D_i - Q_i]} \left\{ t - \sum_{j \in \{1, \cdots, i-1\}} rbft(t, \tau_j) + C_i - Q_i \right\} \right\},$$ \hspace{1cm} (2.31)
where $k$ upper-bounds the maximum number of jobs $\tau_i$ has in a level-$i$ busy period blocked by the maximum admissible time.
Let us assume $L_i(B)$ to be the maximum length of the level-$i$ busy period blocked for $B$ time units,
$$L_i(B) \overset{\text{def}}{=} \min\{t | t - (B + \text{rbf}(\Gamma_i, t)) = 0\}. \quad (2.32)$$
Then $K$ may be written as:
$$K \overset{\text{def}}{=} \left\lceil \frac{L_i(Q_i)}{T_i} \right\rceil, \quad (2.33)$$
since the level $-i$ busy period can never be blocked by more than $Q_i$ time units.
In the initial work [YBB09] the regular fully pre-emptive schedulability test was employed. In this case the synchronous release of all higher priority tasks constitutes the worst possible case from the point of view of higher priority workload interference. As the work was extended to take into advantage the schedulability gains possible with the fixed non-pre-emptive region model, a new schedulability test was devised [YBB11a]. In this new test not only the first frame of each task in a synchronous release situation had to be checked for deadline misses. Instead all the frames in the busy period commencing with a synchronous release need to be checked to ensure all deadlines are met. This is tied to the fact that, with this analysis, task-sets which were not schedulable under fully pre-emptive fixed task priority might be so. Hence, due to the larger non-pre-emptive regions, some workload might be postponed to execute in a future time interval when compared to the interval observed with fully pre-emptive fixed task priority scheduling.
The pre-emption delay estimation problem using fixed non-pre-emptive region scheduling was presented by Bertogna et al. [BBM+10]. In order to reduce CRPD, the usage of fixed non-pre-emptive areas of code is proposed. There exists an extensive set of possible pre-emption points. For each pair of points a pre-emption delay value is defined. Bertogna et al. propose in their model a mechanism to choose a set of points as actual pre-emption points such that, the worst case execution time distance between each chosen pair of points, considering pre-emption delay is never greater than $Q_i$ time units, otherwise higher priority task’s temporal requirements might not be met. This work may be used both with fixed task priority as well as with EDF, the $Q_i$ parameter considered for each scheduling policy is the one defined in [YBB11a] and [Bar05] respectively.
An extension of this work was presented by Bertogna et al. in [BXM+11], where the optimal set points is selected with the aim of minimizing the pre-emption delay the task may suffer overall. This has the limitation of requiring manipulation of the code of tasks and thus is not very amenable to system developers. Also, it is not straightforward to take into account tasks with complex control-flow graphs [BXM+11]. Additionally it can not be easily applied in situations where the task-sets are subject to run-time changes, as the maximum distance between pre-emption points is defined by the higher priority workload.
A different mechanism to reduce pre-emptions was proposed by Express Logic [Lam] termed pre-emption threshold. In this work a task may only pre-empt another if its priority is bigger than that task’s pre-emption threshold. Wang and Saksena provided an optimal priority assignment for pre-emption-threshold scheduling policy [WS99]. The pre-emption thresholds are computed by aid of a search algorithm that will test several possibilities until it either reaches a solution that ensures schedulability for the given task-set or fails. The pre-emption-threshold values are the sufficient for ensuring schedulability. Later the work was extended [SW00] by the same authors to assign the pre-emption threshold to the highest possible priority value which maintains schedulability.
2.5 Temporal Isolation Enforcement
Before a safety-critical system can be deployed and marketed, a certification authority must validate that all the safety-related norms are met. All the components comprising that system (the software, the hardware, and the interfaces) are scrutinized to ensure conformance to safety standards. Timing guarantees must be derived at design time and consequently enforced during run-time for the system to be certified. These timing guarantees are obtained through timing and schedulability analysis techniques, which are typically more accurate and simpler when *spatial and temporal isolation between tasks* is provided. This is because timing analysis techniques must thoroughly examine every shared resource and identify a worst-case interference scenario in which the analysed task incurs the maximum delay before accessing the shared resource[s]. Without a proper isolation between the tasks: First, the number of interference scenarios to be explored may be out of proportion, hence compelling the analysis techniques to introduce an undesired pessimism into the computation by over-approximating these scenarios. Secondly, having a high number of possible interference scenarios naturally increases the probability of encountering a “pathological” case, where the delay incurred by the analysed task in that particular scenario is far higher than in the average case. Since the analysis tools *must* capture the *worst-case scenario*, this pathological case will be retained and used in higher-level analyses (like schedulability analyses) which are built upon the results of timing analyses (thus propagating the pessimism all the way up to system-level analyses).
A first step in the certification process is to categorize each component (software and hardware) by its level of criticality and assign a unitary safety integrity level\(^1\) (SIL) to all components. When integrated in the same platform the components of different SILs share low-level hardware resources such as cores, cache subsystems, communication buses, main
\(^1\)A Safety Integrity Level (SIL) is defined as a relative level of risk-reduction provided by a safety function, or to specify a target level of risk reduction. In simple terms, a SIL is a measurement of performance required for a safety instrumented function.
memory, etc. To provide the required degree of “sufficient independence” between components of different SILs, Industry and Academy have been seeking solutions for many years to (1) render the components of a specific SIL as independent and isolated as possible from the components with different SILs and (2) upper-bound the residual impact that components of different SILs may have on each other after the segregation step, with the primary objective of certifying each subset of components at its own SIL.
Generally the sufficient separation is achieved in regular system model by resorting to specific reserves which strictly dictate the rate of access to a given platform by the workload. Reservation-based systems are quite a mature topic in real-time literature. Sporadic servers [AB04, SSL89] are proposed in real-time literature to ensure temporal isolation in fixed task priority systems. Each server reserves a budget for the task execution. A task can only execute if the server budget is not depleted. This ensures that the interference generated by a task in the schedule cannot exceed what is dictated by its server parameters and servers are the scheduled entities.
Solutions for temporal isolation in Earliest Deadline First (EDF) also exist employing the sporadic server concept, namely constant bandwidth server (CBS) [AB04] and Rate Based Earliest Deadline First (RBED) [LKPB06]. Each server has an absolute deadline associated to it which acts as the server priority. On top of the temporal isolation properties these frameworks also employ budget passing mechanisms which enhance the average-case response time of tasks in the system without jeopardizing the temporal guarantees [NP08, LB05].
The previously employed execution models assume that the interference between workload occurs solely on the CPU. As it turns out, if other architectural subsystems are shared in the execution platform which present some state with non-negligible state transition times (e.g. caches), interference between task will be created (commonly referred to as pre-emption delay). The maximum pre-emption delay any task may endure may still be integrated into the task’s budget\(^2\), this solution is shown in this thesis to be subject to heavy pessimism. When minimum inter-arrival times of tasks cannot be relied upon (i.e. tasks release jobs at a faster rate than computed at design time), the previously mentioned frameworks fail to ensure temporal isolation between concurrent tasks in the system.
In order to ensure temporal isolation cache partitioning may be employed [BCSM08]. This technique has the disadvantage of decreasing the usable cache area available to each task, and as a consequence impacting its performance. Other architectural subsystems exist (e.g. TLB, dynamic branch predictors, etc.) which cannot be partitioned in order to remove the interference source between tasks. Recently an approach has been proposed where, when a task starts to execute it stores onto the main memory all the contents of the
\(^2\)we assign one server per task, the task and server term is used interchangeably in this document
cache lines it might potentially use [WA12]. After the pre-empting task terminates its execution it loads back from memory all the memory blocks that it has stored in the cache at its release. This indeed ensures temporal isolation among different applications but has several drawbacks. It unnecessarily moves all the memory blocks to main memory which reside in cache lines it might use even if the actual execution does not access them. This mechanism significantly increases memory traffic which may be troublesome in multicore partitioned scheduling due to increased contention on the shared memory bus. In comparison our approach only passes budgets between servers and hence this budget is only used if it is required. As a last limitation of [WA12] it cannot cope with scenarios where a given task does not respect the minimum inter-arrival contract part.
As a last resort non-pre-emptive scheduling policies may be employed to ensure temporal isolation in platforms with non-negligible pre-emption delay. By nature, these are not subject to any pre-emption delay overhead. As discussed previously, this brings the potential of severely decreasing the ability to schedule a large portion of task-sets.
Chapter 3
Extensions to the Limited Pre-emptive Model
This chapter delves into the extended theory on limited pre-emptive scheduling. Firstly, a mechanism to extend the floating non-pre-emptive region length exploiting the knowledge of the workload demand available at run-time is presented in section 3.1. This approach was presented in a prior work [MP11]. Furthermore, a work extending the schedulability of fixed task priority for single core is described. A concept termed ready-queue locking is introduced in section 3.4. This scheduling policy is integrated with pre-emption threshold and with floating non-pre-emptive regions. This was previously published in [MPB12].
3.1 On-line FTP Floating Non-Pre-emptive Region Extension
Pre-emptive schedulers, compared to non-pre-emptive ones [Bur95, GMR00, WS99], introduce time-overheads during the execution of the system, due to context switches and the loss of working sets in the caches and similar architectural sub-systems, generated by some pre-empting task [SE04, AMR10, RM06b]. Pre-emption delays are generally considered, in the pure real-time scheduling theory, to be null or negligible whereas in actual systems this assumption does not hold. The main motivation for resorting to a simpler model is that it allows for easier reasoning and presentation of the issues related to the core interest of these works, which is that of the scheduler behaviour and properties. Depending on the execution platform the pre-emption delay overheads may turn out to be quite significant [DD10]. The actual incorporation of these quantities in the schedulability test can be associated to large over-estimations. The main contributor to this exaggeration in its accounting is associated to the lack of information on the actual worst-case scenarios. The increased over-estimations lead to task-sets being classified as unschedulable where, in fact, no deadline could be missed. There is an inherent complexity of estimating the CRPD and
also tightly bounding the number of pre-emptions in fully pre-emptive systems. A way to ease the task of quantifying pre-emption overhead is to introduce restrictions on the pre-emptions. Two methods may be exploited in this manner. The first, *fixed non-pre-emptive regions*, relies on specific pre-emption points inserted into the task’s code. This has to be performed at design-time, relying on WCET estimation tools [WEE+08] that can partition the task into non-pre-emptible sub-jobs [BBM+10]. As previously stated, this approach is highly restrictive since these points cannot be easily replaced. As a consequence, scenarios where task-set changes are foreseeable (e.g. mode-changes [MRNP11]) cannot cope with the fixed non-pre-emptive model. Also code reutilization would require a recertification of its properties. Aside from these more mundane considerations a more fundamental one lies in the difficulty of pre-emption point placement into non-trivial control-flow graphs. Since the temporal distance between consecutive pre-emption points must be smaller than a given value even in the worst-case scenario the average number of pre-emptions during actual system execution may be similar to the fully pre-emptive scenario in platforms where a big variation between the worst and the average-case behaviour exists.
The second limited pre-emptive model, *floating non-pre-emptive regions*, is implemented by disabling pre-emptions for a certain amount of time promptly decided during system execution. This approach solely relies on the computation of the maximum time each task can execute non-pre-emptively. These can be changed at run-time if the task-set changes. The presented work will only address the *floating non-pre-emptive regions* model. This is the only model suited for use in open-systems concept [DL97] or multi-mode scenarios [SKKC00], where task-sets may vary at run-time. It also has the distinct advantage that no code changes are required in the application in order to implement it.
In this section the reduction of the observed number of pre-emptions by dynamically delaying pre-emptions is investigated. This work exploits the maximum admissible blocking times of tasks (alternatively termed as maximum admissible pre-emption deferral) and takes advantage of the existing relative task release phasing at run-time. The maximum admissible blocking time is defined for every task $\tau_j$ and is denoted by $\beta_j(t)$. It represents a lower bound on the time span for which a job from a task $\tau_j$ can be blocked by lower priority workload without incurring a deadline miss. This quantity, termed $\beta_j(t)$, is both a function of the scheduling policy (FTP in this work) and the priority ordering of the task-set. Additionally the quantity $\beta_j(t)$ is also a function of the currently pending higher priority jobs. In other words $\beta_j(t)$, as it is computed in this work, takes into the account the knowledge about arrival phasing of the higher priority jobs. The times tasks execute non-pre-emptively are, as a consequence, larger than for mechanism relying on pre-computed non-pre-emptive region lengths [BBM+10].
In this section $r_i^j(t)$ represents the absolute time instant of the last release of a job of task $\tau_i$ with pending workload before (or at) time $t$. If there is no pending workload from task
$\tau_i$ at time $t$ then $r^f_i(t) = t$. The value $\delta_i(t)$ denotes the amount of time elapsed since $r^f_i(t)$, i.e., $\delta_i(t) \overset{\text{def}}{=} t - r^f_i(t)$. Then, let us define by $\varphi^i_j(t) = r^f_j(t) - r^f_i(t)$ the task-relative offset of task $\tau_j$ (in relation to task $\tau_i$ at time $t$), and by $\varphi^i(t)$ the set of all $\varphi^i_j(t)$ such that $\tau_j \in hp(i)$. $\varphi^i(t)$ represents the vector of the offsets of higher priority releases of tasks in relation to $\tau_i$. To clarify, this means that all the offsets are considered in relation to $r^f_i(t)$ which is the time instant of the last release of a job from task $\tau_i$. If $r^f_j(t) < r^f_i(t)$ then, at time instant $t$, the last release of $\tau_j$ preceded the last release of $\tau_i$. If there is no pending workload from task $\tau_j$ at time $t$, this implies $\varphi^i_j(t) = \delta_i(t)$ since there is no knowledge about future releases of jobs from $\tau_j$. Hence a worst-case scenario is considered, which equates to $\tau_j$ releasing a job at the current time instant $t = r^f_i(t) + \delta_i(t)$. The stated notations are clarified in Figure 3.1.
### 3.1.1 Admissible Pre-emption Deferral
Every task can endure a pre-emption deferral which solely depends on the amount of higher priority workload that will need to be executed in the future, as will be shown later in this section. Firstly, a few concepts taken from related work are introduced.
**Definition 2 [level-$i$ schedule]:** The schedule composed of jobs from task $\tau_i$ and jobs from tasks with higher priority is denominated as level-$i$ schedule [KBL10].
The reader may find an example for a level-$i$ in use in the graphical representation provided in Figure 3.1. The amount of idle time that will exist in the level-$i$ schedule is computed as a function of the known previous higher priority releases that are still deferring.
\[ W_i(t, \varphi^i(t)) \overset{\text{def}}{=} C_i + \sum_{j \in hp(i)} \text{rbf}(\max(t - \varphi^i_j(t), 0), \tau_j) \tag{3.1} \]
where
\[ \text{rbf}(t, \tau_j) \overset{\text{def}}{=} \left\lfloor \frac{t}{T_j} \right\rfloor \times C_j. \tag{3.2} \]
Equation (3.1) [LSD89b] gives us the amount of pending workload in the level-\( i \) schedule that was released up until time instant \( t \) and is being deferred (if higher priority constraints enable so). By computing the difference between Equation (3.1) and the time progression line for every point in the given time interval \([0, \delta_i(t)]\), choosing the maximum of such values, the amount of idle time in the schedule for the specified time interval is obtained. This may be formally written as
\[ \beta_i(\delta_i(t), \varphi^i(t)) \overset{\text{def}}{=} \max_{t' \in [0, \delta_i(t)]} (D_i - t' - W_i(D_i - t', \varphi^i(t))). \tag{3.3} \]
The intuition behind the Equation (3.3) is depicted in Figure 3.2 for a level-3 schedule. Figure 3.2 is composed by three plots, the beginning of the referential is \( r^l_3(t) \) which is the time instant of the release of the job of \( \tau_3 \) considered in this example. Without loss of generality \( r^l_3(t) \) may equate to 0 (i.e. \( r^l_3(t) = 0 \)). The top graph depicts Equation (3.1) together with the time progression line. The maximum difference between the time line and the function defined by Equation (3.1) at every interval \([0, \delta_i(t)]\) (where \( t \in [r^l_i, r^l_i + D_i] \)) is equal to the amount of time when there was no pending workload in the system to be processed in that cumulative interval. This is apparent by observing the schedule chart in the middle of Figure 3.2.
The bottom part plot in Figure 3.2 displays the amount of idle time available in the level-3 schedule at the release time of a job from \( \tau_3 \) and its evolution from when \( \delta_i(t) = 0 \) as it progresses towards \( \delta_i(t) = D_i \), as the workload of task \( \tau_3 \) gets deferred and the higher priority workload shifted for \( \delta_i(t) \) time units as well. From the point of view of the current active job of task \( \tau_3 \), as it is deferring its pre-emption in time, the function \( B_3(\delta_3(t), \varphi^3(t)) \) in (3.3) denotes the lower bound imposed by task \( \tau_3 \) on the blocking amount that the level-3 schedule can withstand at time \( t \). In the same figure a situation where no higher priority releases have occurred prior to \( r^l_3(t) \) is displayed intentionally in order to provide a clearer example of the computation of Equation (3.3) and its evolution with time. In this specific scenario it is easily perceivable that if all higher priority workload is shifted to the right in conjunction with \( \tau_3 \)'s job the available idle time will itself “shift” in the same manner, hence the evolution with time of the bottom plot.
3.1. ON-LINE FTP FLOATING NON-PRE-EMPTIVE REGION EXTENSION
Figure 3.2: Function 3.3 with Unknown Prior Higher Priority Releases
**Theorem 1.** After the release of a job of $\tau_i$ at time $r^l_i(t)$, if some lower priority task is executing the pre-emption may be safely deferred for $\beta_l(\delta_l(t), \varphi^i(t))$ time units, without jeopardizing $\tau_i$'s deadline.
**Proof.** At time instant $r^l_i(t)$ there will be at least $\beta_l(D_i, \varphi^i(t))$ time units of idle time in the level-$i$ schedule up until $r^l_i(t) + D_i$. If the level-$i$ pre-emption is deferred for $\varepsilon$ time units then $\beta_l(\delta_l(t), \varphi^i(t)) - \varepsilon$ time units of idle time would be available for the level-$i$ schedule at time $> r^l_i + \varepsilon$. At the earliest time instant $t''$ which makes $\beta_l(\delta_l'', \varphi^i(t)) = 0$ no more idle time will be available in the level-$i$ schedule until $r^l_i(t) + D_i$. From $r^l_i(t)$ to $t''$ the task may be safely delayed since there will always be enough time to execute completely before its deadline even if fully pre-emptive schedule would be carried out from this point onwards.
The previous theorem handles a generic case of what was shown in [BB04b] for the
synchronous arrival of higher priority workload situation. Note that Theorem 1 only refers to the amount of time a job of task $\tau_i$ may be deferred so that it does not miss its deadline. The same reasoning has to be applied to all jobs currently deferring the pre-emption so that no deadline is missed in the system. At every instant in time, while there are jobs deferring their pre-emptions $\beta_i(\delta_i(t), \varphi^i(t)), \forall i \in S$ is computed, where $S = lep(j) \cap hp(p)$ In this case $\tau_j$ denotes the highest priority task blocked at time $t$, $\tau_p$ the task currently running and $lep(j)$ is the set of task of lower or equal priority in relation to task $\tau_j$. At the time instant when there exists an $i$ such that $\beta_i(\delta_i(t), \varphi^i(t)) = 0$, a pre-emption occurs and all previously deferring jobs cease to defer, at which point the blocked job with highest priority is scheduled to execute. Normal fixed priority scheduling is carried out until there is a release of a task of higher priority than the currently running task. Implementing a scheduling policy following this exact methodology is clearly unrealistic since it implies a high complexity algorithm to operate at every instant in time. Some approximations may be used though. The simplifications rely on the observations described in the following text.
### 3.1.2 Practical Usage of Equation (3.3)
A straightforward way to exploit the knowledge provided by Equation (3.3), is to trigger a non-pre-emptive execution region for the job of task $\tau_i$ currently running, whenever a release from a higher priority job occurs. In the next step the situations where no higher priority job releases are present in the system is considered, so all the elements in vector $\varphi^i(t)$ will be equal to the amount of time elapsed since $r^j_i(t)$. Equation (3.3) may then be rewritten as,
$$\beta_i(\delta_i(t), \varphi^i(t)) = \beta_i(\delta_i(t)), \quad (3.4)$$
since $\forall j \in hp(i), \varphi^j_i(t) = \delta_i(t)$. The non-pre-emptive region should have a duration equal to $\min_{i \in hp(l)}(\beta_i(0))$. This approach is the one presented by Yao et al. [YBB09]. A simple low complexity build up on the previous approach would be to still consider $\beta_i(0)$ as the time a job from task $\tau_i$ may defer its pre-emption, and create a set of rules that enable the scheduler to perform better or equally well whenever the schedule is not in the worst-case scenario (synchronous release of higher priority tasks).
**Property 1.** Whenever a job of task $\tau_i$ is released, if it has higher priority than the running task and no other job is already deferring its pre-emption, the scheduler may safely delay its pre-emption by $\beta_i(0))$.
The Property is a direct consequence of the definition of the $\beta_i(\delta_i(t))$ function (Equation (3.4)). By definition if at $\delta_i(t) = 0$ there exists no pending higher priority workload, then the level-$i$ schedule can be blocked for $\beta_i(0)$ time units. So task $\tau_3$ may be safely delayed for that amount and always complete before the deadline as stated in Theorem 1.
Property 2. If one or more tasks are already deferring their pre-emption and no job has higher priority than the job from $\tau_i$, the timer is set to $timer = \min(timer, \beta_i(0))$.
The variable “timer” denotes time instant ($t'$) when the highest priority blocked task is poised to pre-empt the currently running task. This variable can be defined for every time instant $t$ as $timer = t' - t$. Henceforth the term “timer” is used to denote both this quantity as well as the architectural device responsible for automatically updating it at the rate of time progression.
The previously deferring jobs (if any exist) already set the timer in order not to miss a deadline. In case the highest priority task at time $t$ is executing upon the platform then $timer = \infty$. If the lower priority tasks are to complete execution before deadline the minimum amount of time that all jobs may be deferred for has to be taken into consideration in this situation.
Property 3. If in the previous situation there is at least one higher priority job already deferring its pre-emption, the timer is set to $\min(timer, \max(\beta_i(0) - (r^f_i(t) - t_0), 0))$, where $t_0$ is the instant in time when the first job, from the set of jobs currently blocked, was released.
This is due to the fact that $\beta_i(0)$ represents the amount of time a job may be deferred if no other higher priority job is deferring at that instant in time. If at time $r^f_i(t)$ there is higher priority workload deferring pre-emption it was released mandatorily after $t_0$ (i.e. $t_0 < r^f_i(t)$). This implies that at time instant $t_0$ no job with higher priority than the current job of task $\tau_i$ was deferring its pre-emption. If the current job of task $\tau_i$ had been released at time $t_0$ it could defer its pre-emption until $t_0 + \beta_i(0)$ without missing its deadline, as a consequence if the job arrives at a time instant after $t_0$ it can still defer its pre-emption until the same point in time $(t_0 + \beta_i(0))$.
3.1.3 Sufficient Schedulability Condition for Proposed Framework
The presented framework (properties 1 to 3) cannot schedule all task-sets which would be schedulable with the fully pre-emptive or regular limited pre-emptive schedulers. When trying to leverage these three properties caution must be exercised in order to make sure that the following overload situation does not occur. For some task-sets, some arrival patterns may lead to a task being released in a situation where the admissible pre-emption deferral would in fact be negative. In this situation a deadline may be missed. During the schedulability test a synchronous release situation is considered. This was proven to be the situation leading to the worst-case response time of a task in fixed priority scheduling [BLV07a]. In restricted pre-emption fixed priority scheduling policy the synchronous release of higher priority tasks situation may not lead to the largest response time of a task [BLV07a].
Lemma 1. Not more than one additional job from every higher priority task may appear (in comparison to the synchronous release case) in the time interval bounded by a release and a deadline of a task.
Proof. In the synchronous release situation $\left(\left\lfloor \frac{D_i}{T_j} \right\rfloor + 1\right) \times C_j$ units of higher priority workload per higher priority task may be considered. If some lower priority task defers the start of execution of a higher priority task then no more than $\left\lfloor \frac{T_i + D_i}{T_j} \right\rfloor \times C_j$ units of workload need to be considered. If a middle priority task $\tau_i$ had a release more than $T_j$ time units after the release of a job from task $\tau_j$ then, considering the constrained deadline task model, the workload of task $\tau_j$ would have been concluded at the time of release of task $\tau_i$, hence not interfering in its response time. □
As a consequence of Lemma 1 a sufficient schedulability test ensuring that no such situations can occur is presented in Equation (3.5).
Theorem 2. A task-set is schedulable when using the presented framework (properties 1 to 3) if, for all tasks, the following inequality is respected:
$$D_i \geq C_i + \sum_{j \in hp(i)} \left\lfloor \frac{D_i}{T_j} \right\rfloor \times C_j + \sum_{j \in hp(i)} \left( \min(C_j, D_i - \left\lfloor \frac{D_i}{T_j} \right\rfloor \times T_j) \right)$$ \hspace{1cm} (3.5)
Proof. From Lemma 1 a bound on the maximum number of jobs a higher priority task can release in a given time window is provided. By summing over all higher priority tasks considering the over-provisioning stated in Lemma 1 an upper-bound on the interference any task $\tau_i$ suffers in the interval $[0, D_i]$ is obtained. Note that the lower priority blocking is inherently considered by the Lemma 1 since the additional higher priority job considered in the $[0, D_i]$ is a direct consequence of the blocking. Hence the sufficient schedulability test is proven safe. □
The condition stated in inequality (3.5) reflects the fact that at most one additional job of every higher priority task may be present in the time interval bounded by a release and deadline of a middle priority job. Equation (3.5) takes into account the workload of every higher priority task that executes entirely until completion in a time interval of length $D_i$ and then sums two additional workloads or the length of the interval $D_i - \left\lfloor \frac{D_i}{T_j} \right\rfloor \times T_j$, whichever is smaller, as additional higher priority workload. For task-sets that miss the sufficient schedulability test a safety mechanism needs to be added to the protocol, which prevents deadlines from being missed. At run-time the sum of the worst-case execution times of all tasks with higher priority than the running task is computed. If at a release this value becomes greater than $\min_{j \in hp(i)} (\beta_j)$ then the timer is set to $t - t_0 + \min_{j \in hp(i)} (\beta_j)$. The previously described set of rules takes into account the existence of job release phasing in relation to the worst-case (synchronous release of higher priority) during the normal run.
of the schedule and enables better decisions when sporadic behaviour is present (commonly denominated as minimum inter-arrival time). The set of rules may be enhanced by considering that if no higher priority workload is available then the job may be even further delayed. This fact motivates the following theorem.
**Theorem 3.** A job of task $\tau_i$ may defer its pre-emption for $D_i - \text{WCRT}_i$ time units while no job with priority higher than $\tau_i$ is released in the time interval $[r^f_i(t), r^f_i(t) + \Delta_i]$.
**Proof.** The amount of pre-emption deferral time is referred to by $\Delta_i$ defined as $\Delta_i \overset{\text{def}}{=} D_i - \text{WCRT}_i$. The quantity $\text{WCRT}_i$ is defined in the usual way, $\text{WCRT}_i = R^k$, where $k$ is the smallest value that satisfies $R^k = R^{k-1}$. The $R_k$ value is iteratively computed by the following equation [Bur95],
$$R^k = C_i + \sum_{j \in hp(i)} \left\lfloor \frac{R^{k-1}}{T_j} \right\rfloor \times C_j \quad (3.6)$$
and choosing $R^0 = C_i + \sum_{j \in hp(i)} C_j$ as the initial value in the iteration for $R$. If no higher priority job is released in the interval $[r^f_i(t), r^f_i(t) + \Delta_i]$, the job from task $\tau_i$ meets its deadline if it pre-empts at $t = r^f_i(t) + \Delta_i$ irrespective of the pre-emption deferral admissible for all the higher priority workload that may be released after or at instant $r^f_i(t) + \Delta_i$, due to the definition of $\text{WCRT}_i$.
Using the previous theorem in the protocol generates a situation requiring special consideration: Assume one task is deferring, having set the timer on arrival to its corresponding $\Delta$ according to the previous theorem. A higher priority task arriving may not use the past value in the timer, but needs now to take into account the $B(0)$ of the highest priority job already deferring.
An example of a problematic situation is displayed in Figure 3.3. If some middle priority job of task $\tau_i$ is released at time $r^f_i(t) = 0$, followed by a release of a lower priority job from task $\tau_l$, $\varphi^l_i(r^f_i(t))$ time units after, the situation depicted in Figure 3.3 may arise. The hollow arrows in the picture represent timer values that tasks contended with in the timer setting procedure and set the timer (i.e. were the minimum value at the contending time).
According to previous rules the job from task $\tau_l$ sets the timer since its admissible pre-emption deferral is smaller than the value $\tau_i$ loaded into the timer, $\max(B_l(0) - r^f_l(t), 0) < \Delta_l - r^f_l(t)$. At time instant $r^f_j(t)$, when a job from task $\tau_j$ was released (where $j$ is of higher priority than $i$) $\tau_i$ has again to check if its admissible deferral time is the minimum among all deferring jobs. When it was released it tried to set the timer until $\Delta_i$, since higher priority workload is available and no knowledge about Equation (3.3) exists at this stage apart from $\beta_l(0)$, the scheduler has to check if this would yield the minimum value for the timer if it was used at time $r^f_j(t)$. When this scenario occurs the following relation is true $\max(B_l(0) - r^f_j(t), 0) > \max(\beta_l(0) - r^f_j(t), 0)$. The timer has to be loaded at this time with
3.1. ON-LINE FTP FLOATING NON-PRE-EMPTIVE REGION EXTENSION
\[ \max(\min(B_i(0) - \varphi_j^i, \beta_j(0) - \varphi_j^i, \Delta_j), 0). \]
The information on the highest priority job deferring its pre-emption has to be stored then, along with the time instant of its release in order for the mechanism to work, since when some other higher priority workload is released its admissible deferral has to mandatorily be re-evaluated.
### 3.1.4 Admissible Deferral Approximation
It is clear that a trade-off between memory usage and efficiency may be exploited in order to better use the knowledge presented by Equation (3.3). Using only its initial point is too restrictive. Two efficient approaches for having a lower bound on \( \beta_j(a) \) (Equation (3.4)) are presented, which may be used at run-time to achieve longer pre-emption deferrals. The following two strategies are employed at the time instant \( t \) if task \( \tau_i \) was the highest priority task blocked at time \( t - \varepsilon \) and at this time instant (\( t \)) an even higher priority task is released.
3.1. ON-LINE FTP FLOATING NON-PRE-EMPTIVE REGION EXTENSION
A 1 One may consider the usage of another point of $\beta_i(a)$ function to improve deferral decisions. Based on the notion that $\beta_i(a)$ is monotonically decreasing, and that $\frac{d\beta_i(a)}{dt} = 0$ or $\frac{d\beta_i(a)}{dt} = -1$ the following method may be devised. The value set on the timer is $\beta_i(\text{threshold})$, i.e. any job of task $\tau_i$ may have its pre-emption deferred for $\beta_i(\text{threshold})$ if no threshold time units have elapsed since its release when a higher priority release occurs. After threshold time units have elapsed since the release, the value is set to the timer is $\beta_i(\text{threshold}) - (\text{threshold} - \text{timer})$. This approximation is made possible by the specificities of Equation (3.3) previously referred.
A 2 A linear equation which is a lower bound of $\beta_i(a)$ in the interval $[0, \Delta_i]$ may be created. This linear function is always smaller or equal to $\beta_i(a)$ and tangent to the convex hull defined by $\beta_i(a)$. At the time of release of a higher priority task relative to the previously highest deferring task the deferral is computed by $\frac{y_2 - y_1}{x_2 - x_1} \times a + (y_1 - \frac{y_2 - y_1}{x_2 - x_1} \times x_1)$. Both quantities $\frac{y_2 - y_1}{x_2 - x_1}$ and $y_1 - \frac{y_2 - y_1}{x_2 - x_1} \times x_1$ are computed off-line.
Both methods define a lower bound on $\beta_i(a)$ function which takes up little memory space and may be exploited quite efficiently. Without any prior knowledge on the arrival pattern of higher priority workload and possible phasings a rule of thumb stating that both areas should be maximized to achieve better performance. For the first approach (A 1), the point that maximizes area $= a \times \beta_i(a) + \frac{a^2}{2}$ is the one chosen. The second one (A 2) chooses the two adjacent points defined by $(x_1, y_1)$ and $(x_2, y_2)$ of the convex hull defined by function $\beta_i(a)$ that maximize area $= \frac{y_1^2}{m} + 2 \times y_1 \times x_1 - m \times x_1^2$, where $m = \frac{y_2 - y_1}{x_2 - x_1}$. Both approximation are used in a scenario where the previous highest priority job deferring its pre-emption faces a release from a higher priority job.
3.1.5 Implementation Overhead
All of the methods presented so far have small time complexity, having at most three comparisons when setting the timer. At every release a maximum of four values have to be compared in order to chose the minimum. The last approximations rely on a limited number of computations, as was shown in A 1 and A 2 description. These computations are cheap in comparison to the overall savings that they provide.
3.1.6 Tighter Bound on the Number of Pre-emptions
The maximum number of pre-emptions per task may be upper bounded both in the state of the art [YBB09] as well as in our methods by $\left\lfloor \frac{C_i}{Q_i} \right\rfloor$, where $Q_i = \min_{j \in hp(i)}(\beta_j(0))$. This bound is implicitly stated in the work of Yao et al. [YBB09]. For our method it suffices to state that whenever a job from task $\tau_i$ executes on the processor it will do so for at least $Q_i$ time units uninterrupted by a higher priority workload. Observe that in all the presented
protocols, whenever a single higher priority task $\tau_j$ release occurs, the lower priority task $\tau_i$ will execute non-pre-emptively for at least $\beta_j(0)$. If subsequent higher priority releases occur, for which the corresponding tasks have smaller $B_k(0)$ (i.e $B_k(0) < \beta_j(0)$) in the worst case scenario then $B_k(0)$ time units would be counted since $t_0$ (the start of the deferral chain). If $B_k(0) = \min_{j \in hp(i)}(\beta_j(0))$, then $Q_i = B_k(0)$. Hence the same bound applies. Suppose the following taskset presented in table 3.1
| | $C_i$ | $D_i$ | $T_i$ | $Q_i$ |
|---|-------|-------|-------|-------|
| $\tau_1$ | 2 | 2 | 5 | $\infty$ |
| $\tau_2$ | $3 - \varepsilon$ | 15 | 7 | 3 |
| $\tau_3$ | 2 | 15 | 15 | $\varepsilon$ |
Table 3.1: Example Task-set Denoting a Pre-emption Corner-case
The value denoted by $\varepsilon$ is an arbitrarily small value. This yields the following relation,
$$\lim_{\varepsilon \to 0} \left( \left\lfloor \frac{C_i}{\varepsilon} \right\rfloor \right) = \infty.$$
(3.7)
The bound provided, considering the previous bound for jobs of task $\tau_3$ would be overly pessimistic in cases where $Q_i$ is small. Bear in mind that this is an extreme case to motivate the fact that, in specific situations, the number of higher priority releases in a given interval is itself a tighter bound on the number of pre-emptions for a given task. All the higher priority jobs that arrive WCRT$_i - Q_i$ time units after the job of $\tau_i$ started first to execute are guaranteed not to pre-empt and hence may be disregarded in the maximum number of pre-emption computation. This indicates that a suitable bound should then be
$$\min \left( \left\lfloor \frac{C_i}{Q_i} \right\rfloor, \max \left( \sum_{j \in hp(i)} \left\lfloor \frac{\text{WCRT}_i - Q_i}{T_j} \right\rfloor, 0 \right) \right).$$
(3.8)
A less pessimistic pre-emption quantification may be obtained by posing the following trivial optimisation problem, which exploits the notion that some higher priority releases will lead to extended non-pre-emptive regions. The intent is to maximize the number of pre-emption taking as constraints: 1) the maximum number of job releases that each task $\tau_j$ produces in a interval of length $D_i$; 2) the summation of the non-pre-emptive regions considered cannot be greater than $C_i$, since in the worst-case after each execution resume from $\tau_i$ a higher priority release occurs, triggering a subsequent non-pre-emptive region.
\[
\text{maximize} \sum_{j=1}^{i-1} a_j \\
\text{subject to:} \\
a_j \leq \left\lfloor \frac{D_i}{T_j} \right\rfloor, j \in \{1, \cdots, i-1\} \\
\sum_{j=1}^{i-1} a_j \times \min_{k \in \{1, \cdots, j-1\}} \{\beta_k\} \leq C_i
\]
A solution to this problem is easily derived by noting that \( \min_{k \in \{1, \cdots, j-1\}} \{\beta_k\} \) increases monotonically as the values of \( j \) decrease. This motivates Algorithm 3 which computes an upper-bound on the number of pre-emptions a task \( \tau_i \) is subject to.
**Algorithm 3: Pre-emption Upper-bound**
```
preempt ← 0
exec ← 0
j ← i − 1
while exec ≤ C_i & j ≥ 1 do
preempt ← preempt + min \left( \left\lfloor \frac{D_i}{T_j} \right\rfloor, \frac{C_i - exec}{\min_{k \in \{1, \cdots, j-1\}} \{\beta_k\}} \right)
exec ← exec + \left\lfloor \frac{D_i}{T_j} \right\rfloor \times \min_{k \in \{1, \cdots, j-1\}} \{\beta_k\}
j ← j − 1
```
The upper-bound on the number of pre-emptions is contained on the variable `preempt`. The algorithm considers the \( a_j \) coefficients to take the greatest possible value allowed by its constraint (the maximum number of job releases by \( \tau_j \) in an interval of length \( D_i \)) in a decreasing priority order. This maximizes the objective function since the quantity \( \min_{k \in \{1, \cdots, j-1\}} \{\beta_k\} \) decreases monotonically as the priority decreases.
### 3.2 Evaluation
In this section comparative results on all previously mentioned approaches are demonstrated. The approaches are denominated from first to fourth with the following meaning:
- **first approach** – implements Properties 1 to 3;
- **second approach** – implements the method described by the Theorem 3 on top of the **first approach**;
- **third approach** – implement the approximation A1 of Equation (3.3) on top of the **second approach**;
• fourth approach – implement the approximation A2 of Equation (3.3) on top of the second approach.
3.2.1 Discussion
With greater non-pre-emptive execution length, the likelihood of several higher priority jobs becoming blocked increases. These situations are actually benign and intended, since these will reduce the amount of pre-emptions generally. Take for instance an illustrative scenario where task $\tau_i$ is executing and a release from $\tau_j$ occurs at time instant $t$ followed by a release of $\tau_h$ at $t + \delta$ and $i > j > h$. In this case at time $t$ $\tau_j$ becomes blocked. If $\tau_j$ pre-empted $\tau_i$ before $t + \delta$ then $\tau_j$ might be pre-empted in the future by the job released by $\tau_h$ at $t + \delta$. If the non-pre-emptive region of $\tau_i$ is in this case larger than $\delta$ then $\tau_h$ will pre-empt only $\tau_i$ and never the job from $\tau_j$. In broad terms one can state that larger non-pre-emptive region length promote priority ordered schedules from dispatch and hence reduce the number of required pre-emptions. Parallel to that mechanism, delaying further also enables higher priority workload to wait for a lower priority job to finish its execution, hence reducing the number of pre-emptions as well. Both these facts contend with a contrary effect. By further delaying some middle priority jobs, situations where hypothetical higher priority jobs arrive and cannot be deferred for the same amount of time will generate pre-emptions where none should have existed if all jobs were deferred for the same amount of time as a function of the priority of the running task (Yao et al. approach [YBB09]). Our claim is that the first two effects generally dominate over the third one. This is supported by the experimental data presented in the following subsection. The possibilities of increasing the number of pre-emptions in relation to Yao et al. only stems from the fact that higher priority workload is being moved in the schedule, which does not change any of the off-line guarantees in terms of pre-emptions for each task.
3.2.2 Simulations
The three system models were evaluated using simulations. In each model all tasks are generated using the unbiased task-set generator method presented by Bini and Buttazzo (UU-niFast) [BB04a]. Tasks are randomly generated for every utilization step, their maximum execution requirements ($C_i$) were uniformly distributed in the interval $[50, 500]$.
In the first situation the task-set behaves in a fully periodic manner with implicit deadlines ($D_i = T_i$). In the second situation constrained deadlines are investigated. The constrained deadline model was implemented by randomizing the period of the tasks in relation to their deadlines. For this data run the periods are constructed in the following manner $D_i = T_i - S$, where $S$ is a random variable with uniform distribution in the interval $[0, 0.2 \times T_i]$. In the sporadic model the consecutive release of a task is $T_i + A$ units separated
from the last release of the same task. $A$ is taken from a uniform distribution in the interval $[0, 0.5 \times T_i]$.
For every utilization step, the schedule is simulated for 10000 task-sets which respect the sufficient schedulability test from Theorem 2. The observed pre-emptions are quantified and its average across all runs is computed. Utilization steps are non-uniformly distributed and the points are given by the function $\text{step}(k) = 1.1 - \frac{1-k}{k/4}$ where $k \in [0, 16]$. This enables us to get a better concentrations of data at higher utilizations.
### 220.127.116.11 Implicit Deadlines Periodic Model
(a) Gains on Implicit Deadline Model - 16 tasks
(b) Implicit Deadline Model - 16 tasks
(c) Implicit Deadline Model - 4 tasks
(d) Implicit Deadline Model - 8 tasks
**Figure 3.5:** Implicit Deadline Task Model Experimental Results
In Figure 3.5a the results in number of average pre-emptions for task-sets with 16 tasks are presented showing the state of the art algorithm and our fourth approach. Both lines display an exponential behaviour, the fourth approach has a brief offset, which implies greater pre-emption savings as is shown in the following plots. It is generally observable
that the approaches proposed in this work outperform the state of the art in the number of avoided pre-emptions in particular at higher utilisations as is shown in Figures 3.5b to 3.5d.
As the number of tasks increase it can also be observed in Figures 3.5b to 3.5d that the gains of our approach in comparison to the Yao et al. method become even more evident. This is tied to the fact that with more tasks there will be more situations where the gains, in terms of admissible deferral time, allowed by task phasing appear. It is worth noting that there is a considerable number of pre-emptions that cannot be avoided, the higher priority jobs that are released while some lower priority workload is executing and that have their deadline inside the response time of the lower priority workload will always have to preempt it. The displayed data does not make a distinction between unavoidable pre-emptions and the ones that might possibly be avoided by delaying pre-emptions a bit more in a feasible way. For the implicit deadline case with no sporadicity at the biggest utilisation point tested when the task-set is composed of 16 tasks, roughly 21% of the total number of pre-emptions yielded by the state-of-the-art-methods are saved.
### 18.104.22.168 Constrained Deadlines
By introducing constrained deadlines the off-line assumptions about maximum deferral time are drastically reduced and hence the opportunities for online phasing exploitation are increased, in particular for lower utilisations. In Figure 3.6a the gains of the four approaches are compared against the state of the art method. While only the results for the task set with 8 tasks are shown, the other task-set sizes expose similar tendencies.
22.214.171.124 Sporadic Behaviour
Similar to the constrained deadlines model, a shift towards gains at lower utilisations can be observed in Figure 3.6b. This can be explained with the reduced actual workload due to sporadicity and the increased scope for exploiting online information. Somewhat counter-intuitively these additional gains are not apparent at very high utilisations. Here only the results for 8 tasks are depicted, as the other task-set sizes were also exposing similar trends.
3.3 Floating Non-pre-emptive Schedulability Increase
Similarly to the non-pre-emptive region case, it is intuitive to assume that the floating non-pre-emptive region methodology would itself allow for a schedulability increase with respect to the fully pre-emptive fixed task priority scheduler.
This scheduling policy (floating non-pre-emptive fixed task priority) is inherently non-predictable. This means that situations where higher priority task request a smaller amount of workload or where consecutive jobs are release further apart than the minimum inter-arrival time may constitute situations of higher strain. These worst-case scenarios are complex in their definition with acute formal detail.
In order to motivate this finding a graphical depiction of the previously mentioned subject is in order. Consider first the trivial task-set composed of two tasks:
| | $C_i$ | $D_i$ | $T_i$ |
|---|-------|-------|-------|
| $\tau_1$ | 2 | 5 | 5 |
| $\tau_2$ | 5 | 5 | 5 |
Table 3.2: Floating Non-Pre-emptive Increased Schedulability Task-set
It can be observed from analysing the Table 3.2 that each job from task $\tau_1$ has its execution deferred for a total of 2 time units without missing deadlines. This in turn allows each job of task $\tau_2$ to always complete its execution before its deadline – Refer to Figure 3.7a for a graphical representation of the schedule. It is also apparent from analysing the Task-set 3.2 that under fully pre-emptive FTP scheduling task $\tau_2$ would be subject to an interference from task $\tau_1$ totalling 4 time units in the worst-case in a window of 7 time units. Hence the Task-set 3.2 is not schedulable under fully pre-emptive FTP.
Consider in turn the task-set in Table 3.3 which is a slight modification to the task-set in Table 3.2. In this task-set task $\tau_1$ is divided into two other tasks with the same period such that the sum of worst-case execution times of each new task is equal to the original task in task-set in Table 3.2. Observe that both tasks $\tau_1$ and $\tau'_1$ can still have their jobs deferred for at most 2 time units and still meet all deadlines. By constructing a scenario where $\tau'_1$ is not
released synchronously with task $\tau_1$ (as is shown in Figure 3.7b), task $\tau_2$ will face a deadline miss. Note that the task-sets in tables 3.2 and 3.3 have the exact same total utilization.
| | $C_i$ | $D_i$ | $T_i$ |
|---|-------|-------|-------|
| $\tau_1$ | 1.5 | 5 | 5 |
| $\tau'_1$ | 0.5 | 5 | 5 |
| $\tau_2$ | 5 | 7 | 7 |
Table 3.3: Floating Non-Pre-emptive Unschedulable Task-set
The examples provided in this section are constructed in order to show that indeed the floating non-pre-emptive FTP has a greater schedulability than fully pre-emptive. It is nevertheless hard to analyse this scheduling policy for task-sets which are not already fully pre-emptive schedulable. Besides lacking a method to characterize the critical situation with respect to higher priority job arrivals, scenarios can be drawn where the execution of some higher priority jobs for less than its WCETS leads to deadline misses of lower priority tasks. The same holds for sporadic arrival of higher priority jobs.
Facing the mentioned difficulties in the analysis of floating non-pre-emptive scheduling a similar scheduling policy, termed ready-q locking, is devised which enables the scheduling of task-sets otherwise unschedulable with FTP while still maintaining a low run-time overhead and allowing the floating non-pre-emptive region scheduling scheme to be employed.
3.4 Ready-Q locking concept
Even though the floating non-pre-emptive regions allows considerably more flexibility than fixed non-pre-emptive regions it cannot be easily exploited in order to increase the schedulability of fixed task-priority scheduling policy for a sporadic task model.
The possible improvements on the schedulability of task-sets by limiting the interference suffered by lower priority tasks is investigated [MPB12] in this section. This is done by introducing a new task parameter termed ready-queue locking time instant. If a job from a task has pending workload at its ready-queue locking time instant then the ready queue is locked, preventing higher priority workload from being inserted into the ready queue and hence interfering with its execution. As a consequence, the upper bound on the number of pre-emptions each job might suffer is reduced in comparison to the regular fixed task-priority policy. A new pre-emption-threshold scheduling policy is provided so that ready-queue locking can be used together with the aforementioned mechanism. The proposed methods may straightforwardly be used in conjunction with the floating non-pre-emptive regions which further helps on the reduction of pre-emptions during workload execution.
The properties of the solutions provided in this work allow for on-line changes in the task-set, since they only require an update of the relative ready-queue locking time instant of every task. The complexity of the proposed solutions is much lower than optimal uniprocessor scheduling policies. Namely, running the ready-queue locking mechanism has a timing complexity of $O(1)$ associated to it. This adds to the complexity of sorting the ready queue in FTP scheduling which is of $O(N)$. These complexity values delineate one of the motivations for the ready queue locking since these are much better than the complexity of sorting the ready queue using the EDF policy – $O(n \times \log(n))$.
In this section each task is characterized by the four-tuple $\langle C_i, D_i, T_i, RQL_i \rangle$. The first three parameters maintain the same definition as has been used throughout the document. The last task parameter (RQL$_i$) states the instant in time, relative to a job release, at which the job of task $\tau_i$ locks the ready queue if it still has pending workload. While the ready queue is locked job releases are not inserted into the ready queue. Fully pre-emptive and floating non-pre-emptive fixed priority scheduling policies are considered. In the fully pre-emptive case, at every time instant, the job with highest priority in the ready queue is executing in the processor, in the later model the pre-emption from the highest priority task in the ready queue is deferred for the maximum allowed time that still guarantees the task’s correct temporal behaviour.
The ready-Q locking mechanism is introduced as a means to limit the amount of interference a task may suffer. It enables a job from a task to request that, after a certain time instant until its current workload completes, no other job is inserted into the ready queue. By preventing higher priority workload releases after a certain point in time, the maximum interference a task may suffer is reduced. Each task $\tau_i$ has a ready-Q lock time
instant defined (RQL\(_i\)). The RQL\(_i\) time instant is relative to the release of the current job and RQL\(_i \leq D_i\). This translates into each job having a rql\(_i\) absolute time instant for which rql\(_i \leq d_i\), where \(d_i\) is the absolute deadline of the job. Since a constrained deadline task model is considered, at any time \(t\) there can only be at most one active job from each task in the system.
In Figure 3.8 an example is provided showing the benefits of the ready-queue locking mechanism. Consider the following taskset, composed of two tasks in an implicit deadline task model. The first task has \(C_1 = 4\), \(T_1 = 10\) and the second task has \(C_2 = 7\), \(T_2 = 12\). Assume a situation where these two tasks are synchronously released at a given time instant \(t'\), as is displayed in Figure 3.8. In fully pre-emptive fixed priority scheduling task \(\tau_2\) would suffer an interference of 6 time units from \(t'\) to \(t' + T_2\), which would then leave only 6 time units for task \(\tau_2\) to execute its workload. Since the ready queue was locked by \(\tau_2\) at rql\(_2 = t' + \text{RQL}_2 = t' + 6\) it is then only subject to 4 time units of interference. Hence task \(\tau_2\) is able to complete its workload before the deadline, consequently releasing the lock on the ready queue.
### 3.4.1 Ready-Q Lock Implementation Considerations
The scheduler will manage a list of rql\(_i\) time instants for all active jobs (i.e. all the jobs in the ready queue at any time instant) from now onwards referred to as rlist. The list has at most \(n - 1\) valid entries at any time. Each element in the rlist is composed by a time instant and the task to which it belongs.
In Figure 3.9 a depiction of an example rlist evolution over time is shown. At each relevant time instant an arrow points to the current rlist data structure. The solid black triangles represent rql\(_i\) time instants relative to each job depicted in the figure.
In Algorithm 4 a pseudo-code description of the ready-Q locking management mechanism is presented. The mechanism is described as a set of callback procedures for the events of interest. When a job is dispatched for the first time (i.e. no workload has executed yet) the scheduler will get the $rql_i$ from the task control block and evaluate its insertion into the rlist. In this situation, it holds true that the job being dispatched is the highest priority job in the ready queue. It also holds true that there can only be valid entries in the rlist belonging to jobs of lower or equal priority than the one being dispatched. If this would not hold then some higher priority jobs would be in the ready queue which implies that the current job could not be dispatched at this time. As a consequence of this observation, if two tasks $\tau_i$ and $\tau_j$ have jobs in the ready queue at some time $t$ and $i > j$ then the response time of the job from $\tau_j$ will be smaller than the one from $\tau_i$.
At time of first dispatch of a job from task $\tau_i$ the scheduler compares $rql_i$ with the value on the top of the list. Two situations may then be observed.
1. $rql_i$ is smaller than the value on top of the list, which leads to the insertion of $rql_i$ in the rlist as the top element
2. $rql_i$ is greater or equal than the value on top of the list, which leads to $rql_i$ being discarded.
In the Situation 1 there exist no job that will lock the ready queue before $rql_i$ and since the job from task $\tau_i$ may need to lock the queue in order to complete its workload the value $rql_i$ has to be considered. In the later Situation 2 there exists a job from a lower priority task $\tau_i$ which will lock the ready queue before the job from task $\tau_i$ requires it. If by the time $rql_i$ the job from $\tau_i$ still has pending workload, then the job from $\tau_i$ has pending workload as well. Which means that at time $rql_i$ the ready queue is locked by the job from $\tau_i$ ($rql_i > rql_j$).
Algorithm 4: Ready Queue Locking Management
on event: release job from task $\tau_i$:
rql$_i \leftarrow$ release + RQL$_i$
if QueueIsLocked then
$\tau_i \leftarrow$ GetTaskLockingReadyQ()
append job from $\tau_i$ to $\tau_i$ list of blocked tasks
on event: first dispatch of job from task $\tau_i$:
if rql$_i <$ rlist[0] then
rlist.push(rql$_i$)
on event: t == rlist[0]:
assign the lock of the ready queue to the task which set rlist[0]
rlist.pop()
on event: terminate execution of $\tau_i$ job:
insert all tasks blocked by $\tau_i$ into the ready queue
The job from $\tau_i$ will then proceed to complete its workload without requiring to lock the ready queue since a lower priority task conducted that procedure on its behalf. The ready queue remains locked until the job from $\tau_i$ finishes its execution.
At any time instant $t$, if rlist is not empty, there exists a timer which will fire at time $t' = \text{rlist}(0)$, the time instant at the top of rlist. When the timer fires, all the higher priority releases that occur after $t'$ and before rlist(1) (if such value exists) are inserted into the ready queue once the job from the task that sets rlist(0) finishes its workload. In the timer event handler the head of rlist is popped. A task locks the ready queue between the time instant $t'$ (at which a timer set by it fires) and a time instant $t''$ when either it completes execution or the timer set by some other task fires. Any job released in the interval $[t', t'']$ is inserted into a separate buffer which stores a pointer to all the tasks which are currently blocked. Once task $\tau_i$ finishes its workload the scheduler will check whether there were tasks blocked by task $\tau_i$, in case there were, these are then moved from the separate queue into the ready queue with their correct priority.
In an extreme case RQL$_i$ could be set to 0. This would constitute effectively non-preemptive scheduling, where once jobs from $\tau_i$ start to execute they would not suffer any further interference. Which could jeopardize the timing properties of tasks with priority greater than $\tau_i$. The value of RQL$_i$ has then to be decided upon considering the higher priority workload timing guarantees; i.e. no higher priority task can miss a deadline due to a lower priority one. These considerations are developed in the following sections.
When the ready queue is locked, the tasks released in the meantime are inserted into a separate circular buffer. The task $\tau_i$ that currently holds the ready queue lock has a pointer for the first task to be released while it held the lock, and another pointer to the last task to
be released while it held the lock. Once task $\tau_i$ terminates the tasks in the circular buffer between the start and the end pointer are inserted into the ready queue. Notice that the complexity of operating this mechanism is reduced in comparison to EDF.
It is important to stress that all operations on the rlist have $O(1)$ complexity. A ready-queue lock is only enforced at the release of some higher priority task, and a new element can only be added to the rlist at the time of the first dispatch of a job. In the same manner an element in rlist is only removed when the job responsible for its insertion terminates.
### 3.4.2 Maximum Interference Computation
The computation of the maximum interference a job might suffer in a ready queue locking framework is presented in this subsection. This computation is carried out on the maximum busy period of the level-$i$ priority for task $\tau_i$. The worst-case level-$i$ busy period value represents the biggest amount of workload from tasks with priority bigger or equal than $i$ may execute continuously assuming that all the level-$i$ priority tasks are blocked by the maximum allowed time (B). Let us define $\Gamma_i$ as the set of tasks with priority greater or equal to $i$. The largest of the level-$i$ busy period occurs when all tasks in $\Gamma_i$ are release synchronously and are blocked by the longest time possible(B) [KBL10].
The worst-case level-$h$ busy period is defined as:
$$L_i(B) \overset{\text{def}}{=} \min \{ t | t - (B + \text{rbf}(\Gamma_i, t)) = 0 \} \quad (3.9)$$
Let us assume that each task locks the ready queue at time RQL$_i$. A bound on the higher priority interference is required. This bound consists on all the higher priority releases, prior to the release of a job from task $\tau_i$, which have not yet completed at the release time instant and all of the higher priority releases that occur since the release of $\tau_i$ and RQL$_i$.
**Theorem 4.** The maximum interference any job from task $\tau_i$ is subject to is generated in the level-$i$ busy period where the first job of task $\tau_i$ in the busy period is released $\phi$ time units after a synchronous release of all higher priority tasks, where $0 \leq \phi \leq L_{i-1}(Q_i)$.
**Proof.** Assume that a synchronous release of all higher priority tasks occurs at time $t = 0$ and that a release from $\tau_i$ occurs at $t = 0$ as well. In this scenario the interference the current job from task $\tau_i$ can suffer is $I_0$. Let us assume now that $\phi \neq 0$. For this case the interference the job from task $\tau_i$ is $I_0 - \phi$, provided that the number of higher priority releases in the interval $[0, \text{RQL}_i]$ is the same as for the interval $[0, \text{RQL}_i + \phi]$. In a situation where the number of higher priority releases in the interval $[0, \text{RQL}_i + \phi]$ is greater than the count from $[0, \text{RQL}_i]$, then the interference suffered by the job of task $\tau_i$ is $I_0 - \phi + W$, where $W$ is the additional workload released in the interval $[\text{RQL}_i, \text{RQL}_i + \phi]$ which will interfere with $\tau_i$ until $D_i$. The $\phi$ for which the interference is greater constitutes the worst-case scenario for a job from task $\tau_i$.
After $L_{i-1}(Q_i)$ time units have elapsed since the previous synchronous release of all higher priority tasks has elapsed, mandatorily an idle time has occurred in the processor. If for some $\phi > L_{i-1}$ a situation of bigger amount of higher priority workload is generated then the critical scenario would not start with a synchronous release of all higher priority workload, which would contradict the first part of the proof. Since higher priority tasks cannot endure a larger blocking time than $Q_i$ then the same value is at most the maximum admissible blocking time for tasks of priority higher or equal to $i$. Hence the Theorem is proven.
In order to find the maximum amount of interference one has then to find the correct higher priority synchronous release offset $\phi$. The value $\phi$ is extracted by looking at the frame considering all the possible $\phi$ values in the interval $[0, L_{i-1}(Q_i)]$
Each frame of the task $\tau_i$, in the busy period which starts with a synchronous release of the tasks in the level $i-1$ priority level, has to be checked for its temporal behaviour. The deadline is met in $q^{th}$ frame if the slack in the frame is greater or equal to 0. Let us assume $\Gamma_i$ to be the subset of tasks with higher priority that task $\tau_i$.
Let us define the following variable in order to ease the discussion:
$$r^q_i(\phi) = (q - 1) \times T_i + \phi \quad (3.10)$$
The variable $r^q_i(\phi)$ encodes the value of the release of the $q^{th}$ job from task $\tau_i$ relative to an absolute time instant, with a given $\phi$ offset.
**Definition 6 [job frame]:** The time interval between a job release and its deadline is termed job frame.
All jobs in the level-$i$ busy period have to be checked for deadline violations. In order to compute the number of jobs in the busy period, a maximum possible blocking for the level-$i$ has to be considered. The level-$i$ schedule can never be blocked by more than $Q_i$ time units, since the tasks of priority greater than $\tau_i$ could otherwise suffer deadline misses. On the other hand $\tau_i$ can never be blocked by more than $D_i - C_i$, hence an upper bound on the number of jobs from $\tau_i$ in the busy period can be obtained considering $\min(Q_i, D_i - C_i)$ as the workload initially blocking the level-$i$ schedule.
$$K = \left\lceil \frac{L_i(\min(Q_i, D_i - C_i))}{T_i} \right\rceil \quad (3.11)$$
The slack in each frame $q$ may be expressed by:
\[
\beta_i^q = \min_{\phi} \left\{ \max \left( \max_{t \in [r_i^{q-1}(\phi), r_i^q(\phi) + RQL_i]} \{ t - (rbf(\Gamma_i, t) + q \times C_i) \}, \right. \right. \\
(r_i^{q-1}(\phi) + D_i) - (rbf^*(\Gamma_i, r_i^q(\phi) + RQL_i) + q \times C_i)) \}
\] (3.12)
Where
\[
rbf(\Gamma_i, t) \overset{\text{def}}{=} \sum_{j \in \Gamma_i} \left\lfloor \frac{t}{T_j} \right\rfloor \times C_j
\] (3.13)
and
\[
rbf^*(\Gamma_i, t) \overset{\text{def}}{=} \sum_{j \in \Gamma_i} \left( \left\lfloor \frac{t}{T_j} \right\rfloor + 1 \right) \times C_j.
\] (3.14)
Notice that equations 3.13 and 3.14 only differ in value in multiples of $T_j$. The usage of both request bound function forms is tied to reducing equation display complexity. The Equation (3.12) is composed by two terms. In the first one the maximum idle time in the schedule is searched for in the interval between the release of a job from task $\tau_i$ and the ready queue locking time instant of the said job. In the second term the maximum idle time for the given frame is searched in the interval between the ready queue locking time instant of the job and its deadline, but since higher priority jobs released in this interval do not interfere with task $\tau_i$ it suffices to compute the idle time at the deadline of the job. For a given $\phi$ the maximum idle time is then the maximum value given by the two mentioned terms. Then for all the possible $\phi$ the minimum of the idle times is stored in $\beta_i^q$.
Considering all the frames the maximum amount of blocking that a job from task $\tau_i$ can endure is then defined as:
\[
\beta_i = \min_q \{ \beta_i^q \}
\] (3.15)
A simple depiction of the schedulability condition is provided in Figure 3.10. In this example the taskset is composed of three tasks. All tasks are implicit deadline tasks with parameters $(T_i, C_i)$. Task $\tau_1$ has $(5, 1)$, and $\tau_2$, $\tau_3$ have $(7, 2)$ and $(16, 4)$ respectively. It is implicitly assumed that $RQL_i = D_i$ to simplify the visualization. The subject of schedulability analysis is in this case $\tau_3$. Two frames from $\tau_3$ are present in the figure. One can observe that $\beta_3^1 = 4$ and $\beta_3^2 = 8$. Since both frames present a non-negative slack value, then the $\tau_3$ is deemed schedulable. Note that the maximum blocking time admissible for $\tau_3$ is then 4 time units. This then implies that the level-3 busy period terminates at time instant 24, hence no more frames from task $\tau_3$ require to be checked.
The maximum admissible blocking time for task $\tau_i$ is denoted by $\beta_i$. The task $\tau_i$ is schedulable if $\beta_i > 0$, when task $\tau_i$ is the task with lowest priority in the system. In order
for the task-set to be schedulable the $RQL_i$ values for all the tasks have to be set so that the higher priority tasks temporal guarantees are still met.
For every $q^{th}$ frame only a subset of the $\phi \in [0, L_{i-1}(Q_i)]$ needs to be checked. The higher priority workload increment for each frame occurs only at the boundary of the minimum inter arrival time of each higher priority task. Since only offsets up to the maximum busy-level period of the $i - 1$ priority level needs to be checked as has been shown in Theorem 4, only the set of possible higher priority releases in the interval $[0, L_{i-1}(Q_i)]$ need to be checked. The discrete set of offsets considered are the ones smaller than $L_{i-1}(Q_i)$ (as per Theorem 4) and such that the ready-queue locking rime instant coincides with the arrival of a new higher priority job. This set is defined as:
\[
\Phi_i^q \overset{\text{def}}{=} \{0\} \cup \bigcup_{j \in hp(i)} \left( \left\{ \left\lfloor \frac{r_i^{q-1}(0) + RQL_j}{T_j} \right\rfloor, \ldots, \left\lfloor \frac{L_{i-1}(\beta_i) + r_i^{q-1}(0) + RQL_j}{T_j} \right\rfloor \right\} \times T_j - (r_i^{q-1}(0) + RQL_i) \right)
\]
(3.16)
In Figure 3.11 the set of relevant offsets for the given frame is graphically represented. The offsets are intuitively shown as the distance between the higher priority releases in the \[ r_i^{q-1}(0) + \text{RQL}_i, L_{i-1}(\beta_i) + r_i^{q-1}(0) + \text{RQL}_i \] interval. Of course \( \phi = 0 \) still has to be tested since the synchronous release of all the tasks in the level\(-i\) priority band might still generate the critical interference scenario for task \( \tau_i \).
### 3.4.3 Ready-queue Locking Time Instant
The RQL\(_i\) value has to be such that \( \tau_i \) has enough time to carry out its workload and the higher priority task are not blocked by more time than it is admissible.
Each task in the system may endure a maximum blocking time without endangering its timing guarantees [YBB11a]; i.e. all tasks may be blocked by a lower priority task up to a certain limit without missing any deadline. The task with highest priority in the system can always sustain a maximum blocking time of \( \beta_1 = D_1 - C_1 \).
Let us assume that RQL\(_2 = D_2 - Q_2\). A hypothetical release from task \( \tau_1 \) arriving at time instant RQL\(_2\) would see its ready queue insertion delayed by task \( \tau_2 \) by at most \( Q_2 \) time units. Since, by definition, \( Q_2 \leq \beta_1 \), this job from task \( \tau_1 \) would still meet the deadline. The concept may be generalized to \( n \) tasks by using the following relations:
\[
Q_i \overset{\text{def}}{=} \begin{cases}
0 & , \text{if } i = 1 \\
\min_{j \in hp(i)}(\beta_j) & , \text{if } 1 < i \leq n
\end{cases}
\]
(3.17)
Equation (3.17) defines the maximum blocking time (\( Q_i \)) that all tasks of higher priority than \( i \) may endure without missing a deadline.
Assuming RQL\(_i = D_i - Q_i\) ensures then that, after locking the ready queue, a job from task \( \tau_i \) can only maintain it blocked by at most \( Q_i \) time units, hence not jeopardising higher priority task’s temporal behaviour. Even if a synchronous release of all tasks in the \( i-1 \)
priority level occurs after a ready-queue lock, at time instant \( \text{rql}_i \) then the queue will not be locked by more than \( Q_i \).
In a scenario where \( C_i < Q_i \) then \( \text{RQL}_i = D_i - C_i \). Since values are only inserted into the rlist at time of the first dispatch of a job, it might be the case that the first dispatch of the job occurs after \( \text{rql}_i \), and hence the job might suffer more interference than it is admissible. By setting \( \text{RQL}_i = D_i - C_i \) it is ensured that the first dispatch of the job will always occur before \( \text{rql}_i \). For each task in the system the \( \text{RQL}_i \) is then set in the following manner:
\[
\text{RQL}_i = D_i - \min(Q_i, C_i)
\]
(3.18)
**Theorem 5.** The ready-queue locking scheduling policy dominates over fully pre-emptive fixed task priority.
**Proof.** The maximum interference (\( UI_i \)) a task \( \tau_i \) is subject to is smaller or equal to the interference the same task may endure without the ready-queue locking mechanism. This fact is trivially proved by noting that for the same arrival pattern a job can be interfered by jobs released in a smaller time interval. Hence all the task-sets scheduled by fully pre-emptive fixed priority are schedulable with ready-queue locking. Since the \( UI_i \) may at times be smaller than the maximum interference, in fully pre-emptive scheduling, there exist task-sets schedulable by ready-queue locking which fail to be in fully pre-emptive scheduling. \( \square \)
It is worth noting that setting \( \text{RQL}_i = D_i - \min(Q_i, C_i) \) is not necessarily the optimal \( \text{RQL}_i \) time instant assignment. This is driven by the fact that an earlier locking will be possible in many situations, caused by a worst-case response time of a task which is shorter than \( \text{RQL}_i \). Even more, the higher priority task \( \tau_j \) which limits \( Q_i \), may have a worst-case phasing such that an earlier \( \text{RQL}_i \) will not lead to a reduction of direct interference and thus have no negative effect on the higher priority task and a later than worst-case release would mean more progress for the locking task. However, deriving the optimal \( \text{RQL}_i \) is non-trivial and beyond the scope of this work.
### 3.4.4 Ready-q Locking with Pre-emption Threshold
Another adaptation of FTP targeted at reducing the number of pre-emptions is termed pre-emption threshold. In this framework tasks are characterized by a base priority and a pre-emption threshold. When tasks are in the ready queue and not executing they conserve their base priority. When a task commences execution on the processor its priority is increased to its pre-emption threshold value. Effectively, this task can only be pre-empted by tasks with base priority exceeding its pre-emption threshold value. The initial pre-emption-threshold assignment algorithm has been presented in [WS99]. The main drawback of the
pre-emption-threshold assignment method is that it does not easily allow for a maximum blocking time per task computation. With this in mind the algorithm is rethought. As opposed to the solution proposed in [WS99] the taskset is parsed from the highest priority task to the lowest priority one.
Let us assume that the pre-emption threshold \((\pi_i)\) of a task \(\tau_i\) is:
\[
\pi_i = \min(j | C_i \leq \min_{k \in \{j, \ldots, i - 1\}} \beta_k).
\]
Upon release a job from task \(\tau_i\) is inserted into the ready queue (in case the ready queue is not locked) with priority \(i\). At the time of its first dispatch onto the processor its priority is elevated to \(\pi_i\). The set \(\Gamma^h_i\) denotes the set of tasks of higher priority than \(\pi_i\), whereas the set \(\Gamma^l_i\) denotes the set of tasks with priority higher than \(i\) but lower than or equal to \(\pi_i\). In order to ensure schedulability of the system, for each task, an initial upper-bound on the maximum blocking tolerance is provided. Initially \(\beta_i = \min(D_i - C_i, Q_i)\), which is the maximum value that the blocking time could potentially take. The level \(-i\) busy period is then parsed and checked for deadline misses.
Let us first define \(t^q_s\) as the worst-case time instant for the first dispatch of the \(q^{th}\) job from task \(\tau_i\). This time would be similar to computing the length of the level \(-i\) busy period without considering the \(q^{th}\) job from task \(\tau_i\). Where \(t^q_s\) is the worst-case instant in time when the \(q^{th}\) job of task \(\tau_i\) starts to execute considering a blocking of \(\beta_i\) time units in the beginning of the busy period.
\[
t^q_s = \min\{t | t - (\beta_i + rbf(\Gamma_i, t) + (q - 1) \times C_i) \geq 0\}
\]
(3.19)
Notice that if \(t^q_s > r^q_i(0) + RQL_i\) then the \(q^{th}\) job from task \(\tau_i\) would miss a deadline since \(D_i - RQL_i \leq C_i\).
A deadline is missed in the \(q^{th}\) frame when there does not exist any idle time instant for the level \(-i\) busy period in the interval \([t^q_s, r^q_i(\phi) + D_i]\). This condition may be written in the following form:
\[
\exists t \in [t^q_s, r^q_i(\phi) + RQL_i] | t - (\beta_i + rbf(\Gamma^h_i, t^q_s) + rbf(\Gamma^l_i, t) + q \times C_i) \geq 0
\]
(3.20)
\[
\land
\]
\[
D_i - (\beta_i + rbf^*(\Gamma^h_i, t^q_s) + rbf^*(\Gamma^l_i, r^q_i(\phi) + RQL_i) + q \times C_i) \leq 0
\]
(3.21)
The condition expressed in Equation (3.20) relates to the idle time occurrence in the interval between the release time of the $q^{th}$ job of task $\tau_i$ and the instant in time at which it locks the ready queue. The second condition in Equation (3.21) relates to the search of idle time after the ready-queue is locked by task $\tau_i$, in an interval where higher priority workload with higher priority than $\tau_i$’s pre-emption threshold do not interfere with the execution of $\tau_i$.
If both conditions are met simultaneously, then for the given $\beta_i$ a deadline may be missed in the $q^{th}$ frame of task $\tau_i$. In this case, the $\beta_i$ parameter has to be decreased.
\[
\beta_i^- \overset{\text{def}}{=} \min \left( \min_{t \in A} \{ t - (\beta_i + rbf(\Gamma_i, t) + (q - 1) \times C_i) \}, \right. \\
\left. \min_{t \in [t_s^q, r_i^q(\phi) + RQL_i]} \{ t - (\beta_i + rbf(\Gamma_i^h, t_s^q) + rbf(\Gamma_i^l, t) + q \times C_i) \}, \right. \\
\left. D_i - (\beta_i + rbf^*(\Gamma_i^h, t_s^q) + rbf^*(\Gamma_i^l, r_i^q(\phi) + RQL_i) + q \times C_i) \right)
\]
(3.22)
where $A$ is the set of time instants when higher priority releases occur in the time interval $[r_i^q(\phi), t_s^q]$:
\[
A \overset{\text{def}}{=} \{0\} \cup \bigcup_{j \in hp(i)} \left( \left\{ \left\lfloor \frac{r_i^{q-1}(\phi)}{T_j} \right\rfloor, \ldots, \left\lfloor \frac{t_s^q}{T_j} \right\rfloor \right\} \times T_j \right)
\]
(3.23)
In Equation (3.22) there are three terms present. The first one relates to the $t_s^q$ value, and both the second and the third relate to the idle time available in the $q^{th}$ frame of task $\tau_i$ for the given $\phi$ parameter. In the second and third terms the minimum amount of $\beta_i$ reduction required to compute all the workload in the frame is computed. In the first parameter the minimum $\beta_i$ decrease which ensures that the $t_s^q$ time instant occurs before one higher priority job is computed. The $\beta$ decreased computed in the first term aims at decreasing the $t_s^q$ such that the $q^{th}$ job from $\tau_i$ starts earlier potentially suffering smaller interference from tasks of higher priority which is still lower than the $\tau_i$ pre-emption threshold. The minimum value between the three parameters is then chosen to be the value of $\beta_i^-$ for the current algorithm iteration. Finally the current maximum blocking time allowed by task $\tau_i$ is obtained by:
\[
\beta_i^k = \beta_i^{k-1} - \beta_i^{-(k-1)}
\]
(3.24)
The iterative nature of the procedure described in Equation (3.24) is patent on the super scripts usage. These are omitted from the remainder discussion so as to not overload notations unnecessarily.
If the deadline is met for the $q^{th}$ frame with $\phi = 0$, using ready-q locking still requires all the possible offsets to be tested. As is the case for the ready-q locking mechanism only a subset of all possible $\phi$ values has to be tested, this subset $\Phi_i^q$ is defined in Equations 3.23.
When the following condition is met
\[
\forall q \in \{0, \cdots, K\}, \forall \phi \in [0, L_{i-1}(\beta)], \exists t \in [r_i^q(0), r_i^q(0) + D_i] :
t - \beta_i + rbf(\Gamma_i^h, t_s^q) + rbf(\Gamma_i^l, t) + q \times C_i \geq 0
\]
then no deadlines are missed for task $\tau_i$. Ensuring that the condition is met for all the tasks in the taskset will ensure the schedulability of the taskset.
**Algorithm 5: Pre-emption Threshold Assignment with Ready-q Locking**
**Input**: $T$
$\beta_1 = D_1 - C_1$
$\pi_1 = 1$
**for** $i = \{2, \cdots, n\}$ **do**
$\pi_i = \min(j | C_i \leq \min_{k \in \{j, \cdots, i-1\}} \beta_k}$
$Q_i = \min_{j \in hp(i)} \{\beta_j\}$
$RQL_i = D_i - \min(Q_i, C_i)$
$\beta_i = \min(D_i - C_i, Q_i)$
$K = \left\lfloor \frac{L_i(\beta_i)}{T_i} \right\rfloor$
**for** $q \in \{1, \cdots, K\}$ **do**
**for** $\phi \in \Phi_i^q$ **do**
$t_s^q = \min\{t | t - (\beta_i + rbf(\Gamma_i^h, t) + rbf(\Gamma_i^l, t) + (q - 1) \times C_i) \geq 0\}$
**while**
$\exists t \in [t_s^q, r_i^q(\phi) + RQL_i] | t - (\beta_i + rbf(\Gamma_i^h, t_s^q) + rbf(\Gamma_i^l, t) + q \times C_i) \geq 0 \land D_i - (\beta_i + rbf^*(\Gamma_i^h, t_s^q) + rbf^*(\Gamma_i^l, r_i^q(\phi) + RQL_i) + q \times C_i) \leq 0$ **do**
$\beta_i^- = \min(\min_{t \in A}\{t - (\beta_i + rbf(\Gamma_i^l, t) + (q - 1) \times C_i)\}, \min_{t \in [t_s^q, r_i^q(\phi) + RQL_i]}\{t - (\beta_i + rbf(\Gamma_i^h, t_s^q) + rbf(\Gamma_i^l, t) + q \times C_i)\}, D_i - (\beta_i + rbf^*(\Gamma_i^h, t_s^q) + rbf^*(\Gamma_i^l, r_i^q(\phi) + RQL_i) + q \times C_i))$
$\beta_i = \beta_i - \beta_i^-$
**if** $\beta_i < 0$ **then**
return UNSCHED
$t_s^q = \min\{t | t - (\beta_i + rbf(\Gamma_i^h, t) + rbf(\Gamma_i^l, t) + (q - 1) \times C_i) \geq 0\}$
**return** SCHED
The insertion of the $rql_i$ value into the rlist data structure is considered at the first dispatch of a job, which coincides with the time instant of priority promotion of the job to $\pi_i$, hence the priority ordering between jobs with valid entries in the rlist is never changed after the insertion.
Notice that in a situation where $RQL_i = D_i$ the provided schedulability test and pre-emption-threshold assignment technique is still valid for the regular pre-emption-threshold mechanism [Lam]. Contrary to the method presented in [WS99] which assigns $\pi_i$ the highest value that ensures schedulability (if such exists), Algorithm 5 assigns $\pi_i$ the smallest possible value.
Similarly to the Ready-q locking assigning, $RQL_i = D_i - \min(Q_i, C_i)$ is not optimal. Given the $RQL_i$ value for each task, the schedulability test provided in Algorithm 5 is necessary and sufficient.
### 3.4.5 Pre-emption Upper Bounds
In this section a brief comparison between the pre-emption upper bound guarantees of the proposed solutions is provided. The value $WCRT_i$ denotes the worst-case response time of task $\tau_i$. For fully pre-emptive
$$\sum_{j \in hp(i)} \left\lceil \frac{WCRT_i}{T_j} \right\rceil$$ \hspace{1cm} (3.26)
The simple ready-queue locking scheduling policy ensures that pre-emptions may only occur in the time interval between release and the locking of the ready-queue. Hence with ready queue locking the worst-case number of pre-emptions will never be greater than in the fixed task priority scheduling.
$$\sum_{j \in hp(i)} \left\lceil \frac{\min(WCRT_i, RQL_i)}{T_j} \right\rceil$$ \hspace{1cm} (3.27)
The regular pre-emption threshold mechanism ensures that only tasks with higher priority than the pre-emption threshold priority may in fact pre-empt.
$$\sum_{j \in hp(\pi_i)} \left\lceil \frac{WCRT_i}{T_j} \right\rceil$$ \hspace{1cm} (3.28)
For the pre-emption threshold with ready queue locking scheduling policy, the pre-emption upper-bound for each task is guaranteed to be smaller or equal than the value for any other policy described in this work. In the worst-case scenario a job from task $\tau_i$ would start execution immediately after release. In this situation assuming it executes for the worst-case execution time, suffering the worst possible interference it can be at most
pre-empted during $\min(WCRT_i, RQL_i)$ time units by the tasks with priority greater than $\pi_i$.
$$\sum_{j \in hp(\pi_i)} \left\lfloor \frac{\min(WCRT_i, RQL_i)}{T_j} \right\rfloor$$ \hspace{1cm} (3.29)
Obviously with floating non-pre-emptive regions the maximum number of pre-emptions each job would suffer is upper bounded by:
$$\left\lfloor \frac{C_i}{Q_i} \right\rfloor$$ \hspace{1cm} (3.30)
As as been shown in [MP11], for small enough values of $Q_i$ this bound is worse than the ones dictated by the higher priority releases. Hence for all the scheduling policies provided the upper bound on the number of pre-emptions is given by the
$$\min(\text{fully pre-emptive bound}, \left\lfloor \frac{C_i}{Q_i} \right\rfloor)$$
.
### 3.4.6 RQL Evaluation
In this section the proposed solutions are evaluated in terms of schedulability performance against fully pre-emptive fixed task-priority and regular pre-emption threshold.
Both proposed scheduling policies were evaluated with respect to schedulability. In each model all tasks are generated using the unbiased task-set generator method presented by Bini (UUniFast) [BB04a]. Tasks are randomly generated for every utilization step in the set $\{0.8, 0.82, 0.85, 0.87, 0.93, 0.95, 0.97, 0.98\}$, their maximum execution requirements ($C_i$) were uniformly distributed in the interval $[20, 400]$. For every utilization step 1000 tasksets are trialled and checked whether the respective algorithm considers it schedulable. Task set sizes of 4, 8, and 16 tasks have been explored.
In the second situation constrained deadlines are investigated. The constrained deadline model was implemented by randomizing the period of the tasks in relation to their deadlines. For this data run the relative deadlines are constructed in the following manner $D_i = T_i - S$, where $S$ is a random variable with uniform distribution in the interval $[0, 0.2 \times T_i]$. The results of these are put into juxtaposition with the implicit deadlines results in Figures 3.13a to 3.13c.
The data relative to regular fixed priority is tagged with FP. Pre-emption threshold is shown with tag PT. The simpler method of ready queue locking is addressed by RQ and the simple ready queue locking used together with pre-emption threshold is tagged with PTRQ.
3.4. READY-Q LOCKING CONCEPT
(a) Implicit Deadlines, 4 tasks
(b) Implicit Deadlines, 8 tasks
(c) Implicit Deadlines, 16 tasks
Figure 3.12: Simulation Results for the Implicit Task Model
Figure 3.13: Simulation Results for the Constrained Task Model
3.4.7 Discussion
The pattern present in the results is clear. The simple ready-queue locking mechanism outperforms regular fixed priority as expected. However, it only rarely outperforms pre-emption threshold and that comparison deteriorates with increasing task set sizes and only gives it an overall gain for 4 tasks in the constrained deadline case. It is however noteworthy that there is no clear dominance relationship between PT and ready-queue locking, as some tasks sets are deemed schedulable with one, but not the other. This lack of dominance holds both for implicit and constrained deadlines models as well as for the different task set sizes investigated. The PTRQ solution performs always better than the simple pre-emption-threshold mechanism or simple ready queue locking. Though again the benefits of PTRQ dilute with the increase of the taskset size.
Chapter 4
Pre-emption Delay Upper-bound for Limited Pre-emptive Scheduling
As was previously addressed in the initial chapters of this thesis (1 and 2), the pre-emptive nature of the scheduler gives rise to a phenomenon termed pre-emption delay. This is a by-product of the methodology for the WCET quantification. The worst-case execution requirement is assessed assuming execution in isolation (please refer to Chapter 2 for further detail). Once a pre-emption occurs, the state of the several architectural systems accessed by the task may be altered. These state changes were not accounted for in the temporal analysis and have to be upper-bounded in order to guarantee the temporal properties of each task. In this Chapter, an upper-bound on the pre-emption delay a given task suffers, when floating non-pre-emptive region scheduling is employed, is presented. The related theory has been published and presented previously in [MNPP12a, MNPP12b].
This chapter addresses the computation of the pre-emption delay in systems using pre-emption triggered floating non-pre-emptive regions which was previously not covered in the literature. In order to perform this computation, the variability of the pre-emption delay throughout the task execution is modelled by aid of a function $f_i(t)$, and an upper-bound $G_i(t)$ on the pre-emption delay in the task execution referential is also considered.
The first subsection focuses on determining the pre-emption delay function $f_i(t)$ of a task $\tau_i$, that defines the maximum pre-emption delay should $\tau_i$ be pre-empted $t$ time units after starting. The determination of $f_i(t)$ directly comes from [MNPP12a]. The computation of $f_i(t)$ requires the CRPD when pre-empted at every basic block (BB$_b$) to be known (see section 4.1). Then the set of basic blocks that may be executed at time $t$ has to be computed (see section 4.2). Function $f_i(t)$ can then be computed as detailed in section 4.2.1. The concept of extrinsic cache miss, that will be used to tighten the estimation of the CRPD, is introduced in section 4.3.1.
4.1 CRPD Estimation
The CRPD when pre-empting a task at a given basic block is estimated using the method proposed by Negi et al in [NMR03]. The method relies on the fixed-point computation, for every basic block of:
- Reaching Cache States (RCS). The Reaching Cache States at a basic block $\text{BB}_b$ of a program, denoted as $\text{RCS}_b$, is the set of possible cache states when $\text{BB}_b$ is reached via any incoming program path. This notion captures the possible cache content when the task is pre-empted at $\text{BB}_b$.
- Live Cache State (LCS). The LCS at $\text{BB}_b$, denoted as $\text{LCS}_b$, is the set of memory blocks that may be referenced in the future in any outgoing program path from $\text{BB}_b$. This notion captures the potential reuse of memory blocks after a pre-emption point occurring at $\text{BB}_b$.
Cache Utility Vectors (CUV) as defined in [NMR03] are then computed, and correspond to the cache blocks that may be in the cache (in RCS) and may be reused (in LCS).
By definition, the pre-emption delay upper-bound function $f_i(t)$ holds the worst-case pre-emption penalty associated to each progress point $t$. This penalty value is a function of the CUV at that particular point and the cache sets used by the pre-empting tasks. In order not to consider multiple $f_i(t)$ functions (distinct functions per higher priority task), just a single ECS could be assumed for all higher priority tasks. This ECS would be computed through the union of the ECS sets of all tasks with priority greater than the considered task. In order not to overload notation, and without loss of generality, the CRPD at $\text{BB}_b$ is then simply the delay to reload all the cache blocks in $\text{CUV}_b$, without considering cache usage in the pre-empting task(s) as done by Negi et al. [NMR03] and Altmeyer et al. [AB11].
4.2 Computing Execution Intervals
Computing $f_i(t)$ for every task $\tau_i$, represented by its control-flow graph (see left part of Figure 4.1), requires the identification of the corresponding time interval during which every basic block $b$ of $\tau_i$ might execute.
The minimum and maximum execution time of every basic block $b$, noted respectively $e_b^{\min}$ and $e_b^{\max}$ have to be known. The cache analysis method used to classify every memory access uses the following categories:
- AH (Always Hit) when the access will always result in a hit
- AM (Always Miss) when the access will always result in a miss
• FM (First Miss) the access could neither be classified as hit nor miss the first time it occurs but will result in cache hits afterwards (this category is used for code inside loops)
• NC (Not Classified) when no precise categorization can be achieved
Given the classification of every reference, respective values of $e_b^{min}$ and $e_b^{max}$ are easily generated by considering the lower and higher delays allowed by the category (e.g. hit delay and miss delay for the category NC). The first iteration of every loop is virtually unrolled before applying the analysis in order to ease the analysis and still allow for the limitation of the number of references classified FM and NC.
Then, computing execution intervals on loop-free code requires to know for every basic block $b$ its earliest and latest start offsets $s_b^{min}$ and $s_b^{max}$. This can be done by a breadth-first traversal of the CFG, applying to every traversed basic block $b$ the following formulas:
\begin{align*}
s_0^{min} &= s_0^{max} = 0 \\
s_b^{min} &= \min_{x \in \text{pred}(b)} (s_x^{min} + e_x^{min}) \\
s_b^{max} &= \max_{x \in \text{pred}(b)} (s_x^{max} + e_x^{max})
\end{align*}
with \( \text{pred}(b) \) the direct predecessor(s) of a basic block \( b \) in the CFG, and the task entry basic block (\( \text{BB}_0 \)). In the formulas, \( e_b^{\text{min}} \) (resp. \( e_b^{\text{max}} \)) represent the minimum (resp. maximum) execution time of basic block \( b \); such values can be produced by standard WCET estimation tools (variations between \( e_b^{\text{min}} \) and \( e_b^{\text{max}} \) come for example from memory references that cannot be determined statically as hitting or missing the cache).
The right part of Figure 4.1 shows for every basic block its earliest and latest start offset after applying the above formulas. Then, the time interval within which every basic block \( b \) may execute is \([s_b^{\text{min}}, s_b^{\text{max}} + e_b^{\text{max}}]\).
The method was generalized to code with natural loops and function calls as follows. A fundamental assumption in the WCET analysis is that there exist definite bounds to the number of iterations of each loop. Every loop can then be unrolled (i.e. an equivalent CFG can be derived which does not contain any loop). The computation of execution time intervals is done on every loop starting from the innermost one, and then considering every loop as a single node with known earliest and latest start offsets. Similarly, in case of function calls, each function is analysed for every call context, starting from the leaves in the acyclic call graph.
### 4.2.1 Computation of \( f_t(t) \)
Knowing the possible execution interval \([s_b^{\text{min}}, s_b^{\text{max}} + e_b^{\text{max}}]\) of every basic block \( b \), the set of basic blocks that may execute at a time instant \( t \), noted \( \text{BB}(t) = \left\{ \bigcup_{\{b\mid s_b^{\text{min}} \leq t \leq s_b^{\text{max}} + e_b^{\text{max}}\}} \text{BB}_b \right\} \) is known. For each basic block \( b \) in this set, \( f_t(t) \) can then be computed as follows, with \( \text{CRPD}_b \) the CRPD paid when pre-empting the task at basic block \( \text{BB}_b \):
\[
f_t(t) = \max_{\forall b \in \text{BB}(t)} \{ \text{CRPD}_b \}
\] (4.4)
### 4.3 Determination of Pre-emption Delay Upper-bounds
As stated previously, when floating non-pre-emptive region scheduling is employed, a task will always execute non-pre-emptively for at least \( Q_t \) time units before a pre-emption occurs, unless it completes before the end of the non-pre-emptive region.
In the present discussion, the term “progression point” is employed referring to a specific instruction in the tasks’ code. Program points are loosely associated to a time value in the task execution time frame. This means that a program point can have a minimum access time and a maximum access time but the instant at which it is reached may vary between jobs. In this framework if \( p_k < p_a \) then the program point \( p_k \) precedes \( p_a \). For clarity purposes a precedence relation is assumed between any pair of program points.
A naïve thought to upper-bound the cumulative pre-emption delay over a task’s execution (say \( \tau_t \)) might be to select from \( f_t \) the maximum number of progression points \( p_k \) (each
distanced from every other by at least $Q_i$ time units) such that the sum $\sum_{\forall p_k} f_i(p_k)$ is maximized. However, the simple example depicted in Figure 4.2 shows that this solution is not correct. As one can see, on the top plot where $f_i$ is depicted, there are at most two points that may be selected (since no three points could be distanced by at least $Q_i$ time units in time). The bottom plot presents a hypothetical run of task $\tau_i$, where the run-time pre-emption delay cost is presented. At run-time, since time is spent paying pre-emption delay after each pre-emption, more points can be selected (see the bottom plot), hence providing a higher cumulative pre-emption delay.
A pessimistic, but correct, solution to upper-bound the execution time $C'_i$ of a task $\tau_i$ while taking into account all the possible pre-emption delays that $\tau_i$ might suffer during its execution, is simply to multiply the maximum number of pre-emptions that can occur during $\tau_i$'s execution (i.e., $\left\lfloor \frac{C_i}{Q_i} \right\rfloor$, this is discussed in more detail in the previous section) by the maximum delay of one pre-emption (i.e., $\max_{t \in [0,C_i]} f_i(t)$). Given the increase in the WCET due to this cumulative overhead, the maximum number of pre-emptions that can occur eventually increases as well. Therefore, this computation has to be performed iteratively, in the style of the well-know task response-time computation, i.e., $C'_i(0) = C_i$ and
$$C'_i(k) = C_i + \left\lfloor \frac{C'_i(k-1)}{Q_i} \right\rfloor \times \max_{t \in [0,C_i]} f_i(t)$$ \hspace{1cm} (4.5)
The pessimism of this computation comes directly from the fact that it considers a constant cost for every possible pre-emption, and this constant cost is assumed to be the maximum possible cost. That is, this approach is not sensitive to the pre-emption cost pattern of the task. As it was claimed in the abstract, using this additional information (the tasks
Algorithm 6: Upper-Bound the Pre-emption Delay
Input : $f_i()$: pre-emption delay function of task $\tau_i$
$Q_i$: length of the non-pre-emptive region
Output: total_delay: cumulative pre-emption delay suffered by $\tau_i$
1 prog $\leftarrow 0$;
2 total_delay $\leftarrow 0$;
3 delay_max $\leftarrow 0$;
4 $p_{\text{next}} \leftarrow Q_i$;
/* While the next progression is not beyond $C_i$ */
5 while $p_{\text{next}} < C_i$ do
/* Update time, progression and delay */
6 prog $\leftarrow p_{\text{next}}$;
/* Compute the next progression step and the next delay
to account for */
7 $p_\cap \leftarrow \min\{p_x\}$ such that
8 $p_x \in [\text{prog}^{(k)}, \text{prog}^{(k)} + Q_i]$
9 and $f_i(p_x) = -p_x + \text{prog}^{(k)} + Q_i\}$;
10 if $p_\cap = \text{null}$ then $p_\cap \leftarrow \text{prog} + Q_i$;
11 $p_{\text{max}} \leftarrow \arg\max_{p_x \in [\text{prog}, p_\cap]} \{f_i(p_x)\}$;
12 delay_max $\leftarrow f_i(p_{\text{max}})$;
13 $p_{\text{next}} \leftarrow \text{prog} + Q_i - \text{delay}_{\text{max}}$;
14 total_delay $\leftarrow \text{total\_delay} + \text{delay}_{\text{max}}$;
15 return total_delay;
pre-emption cost pattern) enables us to derive a more accurate upper-bound. This second technique is described in Algorithm 6, and a detailed explanation is provided below.
Figure 4.3: Algorithm iteration sketch
Description of Algorithm 6. Initially an explanation of the intuition behind the approach is provided on Figure 4.3 before presenting the actual algorithm. In Figure 4.3 the grey curve is the $f_i$ function. Suppose that prog is the current progression in the task execution. Considering the next pre-emption point, the approach is looking for the lower bound on the progression which will be achieved within the next $Q_i$ time units in any pre-emption scenario. For this, function $f_i$ is investigated from the current prog to prog + $Q_i$. On the ordinate also at length $Q_i$ a line $D(x,t)$ is drawn to prog + $Q_i$. The point $p_{\cap}$ where $f$ first crosses $D(x,t)$ limits the range of values which need to be considered. A pre-emption past this value would lead to a situation where this point would again be considered in a subsequent iteration, since then prog would not pass this point in the current iteration. Within the interval, delay$_{\text{max}}$ is determined. That means in an interval $Q_i$ under any pre-emption scenario at least $Q_i - \text{delay}_{\text{max}}$ progress in program execution will be achieved. It is a conservative bound as a later pre-emption means that also the non pre-emptible region will only start then. This point prog + $Q_i - \text{delay}_{\text{max}}$ will serve as new starting point.
Returning to the Algorithm 6: Lines 1–4 initialise the variables. The variable prog records the current progression in the task’s operations while total_delay records the cumulative pre-emption delay accounted for up to the current progression point. As the task $\tau_i$ executes, it accounts for progressing in its execution (and the variable prog is increased) and for the pre-emption delay (which updates the variable total_delay). The algorithm is iterative, and at each iteration the variables delay$_{\text{max}}$ and $p_{\text{next}}$ (lines 3 and 4) are the pre-emption delay taking place only in the current iteration and the next progression point in $\tau_i$’s execution at which the next iteration will start, respectively. Lines 1–4 can be seen as the first iteration of the algorithm. delay$_{\text{max}}$ is set to 0 and $p_{\text{next}}$ to $Q_i$, because no pre-emption can occur during the first $Q_i$ time units of $\tau_i$’s execution.
The algorithm starts iterating at line 5, and it iterates as long as the next computed progression point $p_{\text{next}}$ does not fall beyond $\tau_i$’s execution boundary. Line 6 shifts the current progression point of $\tau_i$ to the computed value $p_{\text{next}}$. Then, lines 12 and 13 compute the next progression point $p_{\text{next}}$ and the maximum delay that $\tau_i$ could suffer while progressing in its operations from its current progression point to $p_{\text{next}}$. Finally, line 14 adds this maximum delay to the current cumulative delay accounted so far.
In the following Theorem 6, it is proven that the value returned by Algorithm 6 is an upper-bound on the cumulative pre-emption delay that the given task $\tau_i$ might suffer during its execution. This implies that the WCET of $\tau_i$ (while taking into account all the possible pre-emption delays that $\tau_i$ might suffer during its execution) is given by
$$C'_i \overset{\text{def}}{=} C_i + \text{total\_delay}$$
(4.6)
where total\_delay is the value returned by Algorithm 6.
Theorem 6. Algorithm 6 returns an upper-bound on the pre-emption delay that a given task $\tau_i$ can suffer during the execution of any of its jobs.
Proof. Algorithm 6 computes the maximum cumulative pre-emption delay iteratively, by progressing step by step through the execution of the task $\tau_i$. Hereafter, the notation prog$^{(k)}$ is employed to denote the progression through $\tau_i$’s execution at the beginning of the $k^{th}$ iteration of the algorithm. Similarly, total\_delay$^{(k)}$ will be used to denote the cumulative pre-emption delay that $\tau_i$ has suffered until it reached a progression of prog$^{(k)}$. In this proof, it is shown that at each iteration $k > 0$, total\_delay$^{(k)}$ provides an upper-bound on the cumulative pre-emption delay that $\tau_i$ might suffer before reaching a progression of prog$^{(k)}$ in its execution. The proof is made by induction.
Basic step. Algorithm 6 first considers that $\tau_i$ progresses by $Q_i$ time units in its execution without suffering any pre-emption delay (since it cannot get pre-empted during these first $Q_i$ time units). This first step is devised as the first iteration of the algorithm. That is, straightforwardly, total\_delay$^{(1)} = 0$ is an upper (and even exact) bound on the cumulative pre-emption delay that $\tau_i$ may suffer before reaching a progression of $Q_i$ time units in its execution.
Induction step. It is assumed (by induction) that total\_delay$^{(k)}$, $k > 1$, is an upper-bound on the cumulative pre-emption delay that $\tau_i$ might suffer before reaching a progression of prog$^{(k)}$ time units in its execution.
During the $k^{th}$ iteration, Algorithm 6 computes prog$^{(k+1)}$ and total\_delay$^{(k+1)}$ as follows:
\begin{align}
\text{prog}^{(k+1)} &= \text{prog}^{(k)} + Q_i - \text{delay}_{\max} \\
\text{total\_delay}^{(k+1)} &= \text{total\_delay}^{(k)} + \text{delay}_{\max}
\end{align}
where
\begin{align}
\text{delay}_{\max} &= f_i(p_{\max}) \\
p_{\max} &= \arg\max_{p_x \in [\text{prog}^{(k)}, p_{\cap}]} \{f_i(p_x)\} \\
p_{\cap} &= \min\{p_x\} \text{ such that } p_x \in [\text{prog}^{(k)}, \text{prog}^{(k)} + Q_i] \\
&\quad \text{and } f_i(p_x) = -p_x + \text{prog}^{(k)} + Q_i
\end{align}
Equations 4.7 and 4.8 can be interpreted as follows. During the $k^{th}$ iteration, Algorithm 6 assumes that $\tau_i$ executes for $Q_i$ time units during which $\tau_i$ progresses by $Q_i - \text{delay}_{\max}$ units of time in its execution and suffers from a delay of delay$_{\max}$; The algorithm assumes that $\tau_i$ gets pre-empted when its progression reaches $p_{\max}$ given by Equation (4.10). Below
we show that choosing any other pre-emption point $p_{\text{other}} \neq p_{\text{max}}$ would ultimately, when $\tau_i$’s execution will be completed, result in a cumulative pre-emption delay lower than the one returned by Algorithm 6, thus showing that the value returned by Algorithm 6 is an upper-bound. Only two cases are possible: $p_{\text{other}} > p_{\text{next}}$ or $p_{\text{other}} \leq p_{\text{next}}$.
**Case 1:** $p_{\text{other}} > p_{\text{next}}$. This means that $\tau_i$ progresses in its execution until it reaches $p_{\text{next}}$ without being pre-empted, i.e., from a progression of $\text{prog}^{(k)}$, $\tau_i$ reaches a progression of $p_{\text{next}}$ by being executed only for $(p_{\text{next}} - \text{prog}^{(k)})$ time units, and with an unchanged cumulative pre-emption delay of $\text{total\_delay}^{(k)}$. On the other hand, in the execution scenario built by Algorithm 6, $\tau_i$’s execution reaches a progression of $\text{prog}^{(k+1)} = p_{\text{next}}$ by being executed for $Q_i$ time units, and with a cumulative pre-emption delay of $\text{total\_delay}^{(k+1)} = \text{total\_delay}^{(k)} + \text{delay}_{\text{max}} \geq \text{total\_delay}^{(k)}$. In other words, Algorithm 6 manages to progress slower in $\tau_i$’s execution while suffering from a greater pre-emption delay. Furthermore, $p_{\text{other}}$ is still a candidate pre-emption point for a further iteration of Algorithm 6.
**Case 2:** $p_{\text{other}} \leq p_{\text{next}}$. After executing $\tau_i$ for $Q_i$ time units, the following facts hold
1. the delay of the pre-emption that occurs when $\tau_i$’s progression reaches $p_{\text{other}}$ has been totally accounted for (since $p_{\text{other}} < p_{\text{next}} \leq p_{\cap}$).
2. the progression of $\tau_i$ in this scenario becomes
$$\text{prog}_{\text{other}} = \text{prog}^{(k)} + Q_i - f_i(p_{\text{other}})$$
$$\geq \text{prog}^{(k)} + Q_i - f_i(p_{\text{max}})$$
$$\geq \text{prog}^{(k+1)}$$ \hspace{1cm} (4.12)
3. the cumulative pre-emption delay becomes
$$\text{total\_delay}_{\text{other}} = \text{total\_delay}^{(k)} + f_i(p_{\text{other}})$$
$$\leq \text{total\_delay}^{(k)} + f_i(p_{\text{max}})$$
$$\leq \text{total\_delay}^{(k+1)}$$ \hspace{1cm} (4.13)
Thus, after executing $\tau_i$ for $Q_i$ time units Algorithm 6 progressed less in the execution of $\tau_i$ (Inequality 4.12) while suffering from a higher pre-emption delay (Inequality 4.13). As a consequence of Cases 1 and 2, it holds at each iteration of Algorithm 6 that choosing to pre-empt the task when it reaches a progression of $p_{\text{max}}$ ultimately leads to an upper-bound on its cumulative pre-emption delay.
$\square$
### 4.3.1 Extrinsic Cache Miss Function
Until now the pre-emption delay is assumed to be paid immediately following a pre-emption. By analysing the task code it is possible to extract information on when the pre-emption delay may be paid. This is captured through the concept of the *Extrinsic Cache Misses* or “Miss Function”.
**Definition 3 [Extrinsic Cache Miss]:** A memory access resulting in a cache miss due to the prior eviction of the requested cache line by code not belonging to the current task is termed extrinsic cache miss.
The extrinsic cache miss function $G_t(t)$ is an upper bound on the number of extrinsic cache misses a task might suffer, multiplied by the maximum time penalty to service a cache miss, in the interval $[0, t]$. $G_t(t)$ is then an upper-bound on the pre-emption delay that might have been paid in the same interval. Using the $G_t(t)$ information it is possible to provide pre-emption delay estimations in the presented framework for situations where $Q_t \leq \max_t(f_t(t))$, whereas in the methodology provided in Algorithm 6 this is not possible. This subsection is devoted to the explanation of the procedure to compute this $G_t(t)$ function.
Each basic block has a fixed number of memory requests which may lead to extrinsic cache miss during its execution. For each BB$_b$ this number is given by
$$\text{extrinsic-miss}_b = |RCS_b \cap gen_b| \quad (4.14)$$
Recall that $gen_b$ is defined as the set of memory blocks accessed during the execution of BB$_b$ and $RCS_b$ is the set of memory blocks that may be in the cache while BB$_b$ is being executed. The intersection of both sets at each BB$_b$ effectively yields the upper bound on the number of extrinsic cache misses that may occur while BB$_b$ is executed after a pre-emption.
For each BB$_b$ a function can then be constructed. This function $g_b^{\text{local}}$, has the memory requests that may lead to an extrinsic cache miss in BB$_b$. These requests are assumed to occur as early as possible and at the maximum rate at which they can occur, as is displayed in Figure 4.4. This function is defined in the interval $[0, e_b^{\text{max}}]$, which is the maximum length execution time interval for BB$_b$.
Let us define the following constant BRR modeling the block reload rate:
$$\text{BRR} = \frac{1}{\text{BRT}} \quad (4.15)$$
where BRT is the block replacement time.
\[ \text{BRR} \overset{\text{def}}{=} \frac{T_{\text{HIT}} + T_{\text{MISS}}}{T_{\text{HIT}}} \]
where \( T_{\text{HIT}} \) is the time to serve a cache hit, and \( T_{\text{MISS}} \) is the time to serve a cache miss.
The constant BRR imposes a restriction on the maximum rate in comparison to progression that pre-emption delay may be paid. Assuming \( \text{BRR} \neq \infty \) ensures that while paying pre-emption delay progression is still occurring, albeit at a slower pace. Intuitively BRR is an upper bound on the maximum rate at which cache miss penalties may be generated while executing the program.
Formally the \( g_b^{\text{local}} \) function is defined per basic block as:
\[
g_b^{\text{local}} \overset{\text{def}}{=} \begin{cases}
\text{BRR} \times t & , \text{if } 0 \leq t \leq \frac{\text{extrinsic-miss}_b}{\text{BRR}} \\
\text{extrinsic-miss}_b & , \text{if } \frac{\text{extrinsic-miss}_b}{\text{BRR}} < t \leq e_b^{\text{max}}
\end{cases}
\] (4.15)
A task-wide \( g^{\text{local}} \) function is constructed starting from the first BB_1 of the CFG. An initial function \( g_1^{\text{in}} \) is fed into the CFG. Where \( g_1^{\text{in}}(t) = 0, \forall t \). The input functions for each BB_b are then merged together with \( g_b^{\text{local}} \) as is shown in Figure 4.5
The two merge operations used to conduct the computation of the task-wide extrinsic cache misses function are defined next. Each block outputs a function \( g_b^{\text{out}} \). Accordingly each basic block has one input function \( g_b^{\text{in}} \). This input function is a product of the merging of all the output functions of the BB_b parent nodes. The input merging operation is defined by:
\[
g_j^{\text{out}} \oplus g_k^{\text{out}} \overset{\text{def}}{=} \max_{t \in [0, C_i]} (g_j^{\text{out}}(t), g_k^{\text{out}}(t))
\] (4.16)
The input function is then merged with the corresponding node-specific \( g_b^{\text{local}} \) function using the merge-at-node operation defined in the following way:
\[
g_b^{\text{local}} \otimes g_b^{\text{in}} \overset{\text{def}}{=}
\begin{cases}
g_b^{\text{in}}(t) & , t \leq s_b^{\text{min}} \\
g_b^{\text{in}}(t) + g_b^{\text{local}}(t - s_b^{\text{min}}) & , s_b^{\text{min}} < t < C_i
\end{cases}
\] (4.17)
This assumes the knowledge of the earliest time the node may be accessed ($s_b^{\text{min}}$).
The $g_n^{\text{out}}$ where $\text{BB}_n$ is the last basic block in the CFG (return block) is the task-wide $G_i$ function. In the case that several return blocks exist then the task-wide $G_i$ function is obtained by combining the $g_n^{\text{out}}$ functions of all the return blocks using the merge-at-edge operator.
\[ G_i \overset{\text{def}}{=} \oplus_{j \in \text{RET}} g_j^{\text{out}} \] (4.18)
The procedure described is graphically explained in Figure 4.5. In this figure only one $\text{BB}_b$ is portrayed for clarification. The procedure repeats for all the $\text{BB}_b$ of the CFG.
**Theorem 7.** The Function $G_i(t)$ is an upper-bound on the extrinsic cache misses occurring during the execution of task $\tau_i$ at any time $t$.
**Proof.** The function $g_1^{\text{in}}$ is an upper bound on the number of extrinsic cache misses for the time instant 0 since there can occur zero extrinsic cache misses until this time instant. For each basic block all the memory accesses which may generate an intrinsic cache miss are considered to occur as early as possible ($s_b^{\text{min}}$), at the maximum possible rate (BRR). Hence $g_b^{\text{local}}$ is an upper bound on the extrinsic cache misses occurring in $\text{BB}_b$. Then, the function $g_1^{\text{out}}$ is an upper-bound on the number of extrinsic cache misses until the execution of the task exist $\text{BB}_1$. The same function $g_1^{\text{out}}$ is then the $g_b^{\text{in}}$ for all the $\text{BB}_b$ child nodes of $\text{BB}_1$.
Since the merge-at-node operation integrates the maximum number of extrinsic cache misses occurring in $\text{BB}_b$ at the earliest time that these could occur ($s_b^{\text{min}}$) and at the maximum rate (BRR) Then it holds true that merge-at-node operation carried out in each of $\text{BB}_1$ child preserves the property that each $g_b^{\text{out}}$ is itself an upper-bound on the number of extrinsic cache misses occurring from the start of task execution until it took the path leading to $\text{BB}_b$.
If a node $\text{BB}_b$ has more than one parent then $g_b^{\text{in}}$ is constructed using the merge-at-edge operator over all the node predecessors output functions ($g_j^{\text{out}}$). Since the merge-at-node operation takes the maximum value for all the $t \in [0, C_i]$ of the parents $g_j^{\text{out}}$ output functions then it holds true that $g_b^{\text{in}}$ is still an upper-bound on the extrinsic cache misses that could occur from the start of task execution until it took the path leading to $\text{BB}_b$.
This reasoning holds true for all nodes in the CFG. Lastly to compute the $G_i(t)$ function the merge-at-edge operator is applied across all the return edges of the CFG. Hence the $G_i(t)$ function is an upper bound on all the extrinsic cache misses occurring for all the possible execution paths in task $\tau_i$. \hfill \square
4.3.2 Pre-emption Delay Computation using Extrinsic Cache-miss Function
For the upper bound computation of pre-emption delay, two functions \((f_i(t)\) and \(G_i(t))\) are considered. The \(f_i(t)\) function represents an upper bound on the pre-emption delay a task may face at any point in time, whereas the \(G_i\) function yields the upper bound on the amount of pre-emption delay in the time interval \([0,t]\).
Using the knowledge provided by \(f_i(t)\) function alone prevents the application of the method in scenarios where \(Q_i \leq \max_t (f_i(t))\). This was one of the major limitations of the method presented in the solution provided in Algorithm 6. This constraint is now relaxed in Algorithm 7. This fact arises from a situation where no progression can be performed since there is always more pre-emption delay to be paid than the length of the considered non-pre-emptive execution region.
As previously stated a task will always execute non-pre-emptively for at least \(Q_i\) time units before a pre-emption occurs, unless it completes before the end of the non-pre-emptive region.
*Description of the Pre-emption Delay Estimation Algorithm 7.* As before for Algorithm 6, the intuition behind the approach on Figure 4.6 is explained before presenting the actual algorithm. Suppose that prog is the current progression in the task execution. Considering the next pre-emption point, the approach is looking for the lower bound on the
Algorithm 7: Upper-Bound the Pre-emption Delay
Input : $f_i(t)$: pre-emption delay function of task $\tau_i$.
$G_i(t)$: extrinsic cache misses function of task $\tau_i$.
$Q_i$: length of the non-pre-emptive region
Output: total_delay: cumulative pre-emption delay suffered by $\tau_i$
1 total_delay $\leftarrow 0$;
2 delay_max $\leftarrow 0$;
3 $p_{\text{next}} \leftarrow Q_i$;
4 $SH \leftarrow 0$;
/* While the next progression is not beyond $C_i$ */
5 while $p_{\text{next}} < C_i$ do
6 /* Update time, progression and delay */
7 prog $\leftarrow p_{\text{next}}$;
8 /* Compute the next progression step and the next delay
9 to account for, based on the $f_i(t)$ function */
10 $p_\cap \leftarrow \min\{p_x\}$ such that
11 $p_x \in [\text{prog}, \text{prog} + Q_i]$
12 and $f_i(p_x) = -p_x + \text{prog} + Q_i$;
13 if $p_\cap = \text{null}$ then $p_\cap \leftarrow \text{prog} + Q_i$;
14 $p_{\text{max}} \leftarrow \arg\max_{p_x \in [\text{prog}, p_\cap]} \{f_i(p_x)\}$;
15 $l_{\text{max}} = \min((t | G_i(t) - SH = -t + \text{prog} + Q_i), \text{prog} + Q_i)$;
16 if $G_i(l_{\text{max}}) - SH \leq f_i(p_{\text{max}})$ then
17 delay_max $\leftarrow G_i(l_{\text{max}}) - SH$;
18 $SH = G_i(l_{\text{max}})$;
19 else
20 delay_max $\leftarrow f_i(p_{\text{max}})$;
21 $SH = SH + f_i(p_{\text{max}})$;
22 delay_max $\leftarrow \min(f_i(p_{\text{max}}), G_i(l_{\text{max}}))$;
23 $p_{\text{next}} \leftarrow \text{prog} + Q_i - \text{delay_max}$;
24 total_delay $\leftarrow \text{total\_delay} + \text{delay\_max}$;
return total_delay;
progression which will be achieved within the next $Q_i$ time units in any pre-emption scenario. For this, functions $f_i(t)$ and $G_i(t)$ are investigated from the current prog to prog + $Q_i$. On the ordinate also at length $Q_i$ a line $D(x,t)$ is drawn to prog + $Q_i$.
Two intersection points with the $D(x,t)$ function are obtained for $f_i(t)$ and $G_i(t)$ with an offset of $SH$ units. The variable $SH$ represents the pre-emption delay currently considered from the $G_i(t)$ function. It ensures that double accounting of pre-emption delay does not occur. One is the point $p_\cap$ where $f_i(t)$ first crosses $D(x,t)$. It limits the range of values which need to be considered for the $f_i(t)$ function as previously stated (Algorithm 6). This intersecting point limits the pre-emption delay values to be considered since the assuming the worst-case pre-emption penalty to be paid no further progression past the intersection
point would be possible.
Within this interval, \( \text{delay}_{\text{max}} \) is determined. That means in an interval \( Q_t \) under any pre-emption scenario at least \( Q_t - \text{delay}_{\text{max}} \) progress in program execution will be achieved. It is a conservative bound as a later pre-emption means that also the non pre-emptible region will only start then. This point \( \text{prog} + Q_t - \text{delay}_{\text{max}} \) will serve as new starting point.
The second point is \( l_{\text{max}} \). At \( l_{\text{max}} \) the function \( G_i(t) - \text{SH} \) intersects \( D(x,t) \). At this point \( G_i(l_{\text{max}}) - \text{SH} \) cache misses have occurred in the \([ \text{prog}, l_{\text{max}} ]\) interval. If only considering the \( G_i(t) \) information, a progression of \( \text{prog} + Q - G_i(l_{\text{max}}) - \text{SH} \) would be assumed, where in fact a comparatively smaller quantity of \( \text{prog} - G_i(l_{\text{max}}) - \text{SH} \) time units is spent reloading cache content.
Returning to the Algorithm 7: Lines 1–4 initialise the variables. The variable prog memorizes the current progression in the task’s operations while total_delay records the cumulative pre-emption delay accounted for up to the current progression. As the task \( \tau_i \) executes, it accounts for progressing in its execution (and the variable prog is increased) and for the pre-emption delay (which updates the variable total_delay). The algorithm is iterative, and at each iteration the variables \( \text{delay}_{\text{max}} \) and \( p_{\text{next}} \) (lines 2 and 3) are the pre-emption delay taking place only in the current iteration and the next progression point in \( \tau_i \)'s execution at which the next iteration will start, respectively. Lastly in line 4 the variable SH, which represents the offset of the \( G_i(t) \) function, is initialised with zero. Lines 1–4 can be seen as the first iteration of the algorithm. \( \text{delay}_{\text{max}} \) is set to 0 and \( p_{\text{next}} \) to \( Q_t \), because no pre-emption can occur during the first \( Q_t \) time units of \( \tau_i \)'s execution.
The algorithm starts iterating at line 5, and it iterates as long as the next computed progression point \( p_{\text{next}} \) does not fall beyond \( \tau_i \)'s execution boundary. Line 6 shifts the current progression point of \( \tau_i \) to the computed value \( p_{\text{next}} \). In lines 7 – 11 the \( f_i(t) \) pre-emption delay computation for the current iteration is carried out. Subsequently in lines 11 and 12 the pre-emption delay computation is carried out with the \( G_i(t) \) function information.
From line 13 to 19 a decision is carried out on the amount of pre-emption delay to consider in the current iteration. This value is the minimum between the one estimated with the \( G_i(t) \) function and the \( f_i(t) \) function, since both functions hold an upper bound on the pre-emption delay for a given interval.
The next progression point \( p_{\text{next}} \) is computed with the knowledge of the maximum delay that \( \tau_i \) could suffer while progressing in its operations from its current progression point to \( p_{\text{next}} \). Finally, line 21 adds this maximum delay to the current cumulative delay accounted so far.
In the following Theorem 8, it is proven that the value returned by Algorithm 7 is an upper-bound on the cumulative pre-emption delay that the given task \( \tau_i \) might suffer during its execution. This implies that the WCET of \( \tau_i \) (while taking into account all the possible
pre-emption delays that $\tau_i$ might suffer during its execution) is computed through Equation (4.6) where total\_delay is the value returned by Algorithm 7.
**Theorem 8.** Algorithm 7 returns an upper-bound on the pre-emption delay that a given task $\tau_i$ can suffer during the execution of any of its jobs.
**Proof.** Algorithm 7 computes the maximum cumulative pre-emption delay iteratively, by progressing step by step through the execution of the task $\tau_i$. In this proof, it is shown that at each iteration $k > 0$, total\_delay\(^{(k)}\) actually provides an *upper-bound* on the cumulative pre-emption delay that $\tau_i$ might suffer before reaching a progression of prog\(^{(k)}\) in its execution. The proof is made by induction.
*Basic step.*
Algorithm 7 first considers that $\tau_i$ progresses by $Q_i$ time units in its execution without suffering any pre-emption delay (since it cannot get pre-empted during these first $Q_i$ time units). Similarly to Algorithm 6 this is the first step as the first iteration of the algorithm. That is, straightforwardly, total\_delay\(^{(1)} = 0\) is an upper (and even exact) bound on the cumulative pre-emption delay that $\tau_i$ may suffer before reaching a progression of $Q_i$ time units in its execution.
*Induction step.*
It is assumed (by induction) that total\_delay\(^{(k)}\), $k \geq 1$, is an upper-bound on the cumulative pre-emption delay that $\tau_i$ might suffer before reaching a progression of prog\(^{(k)}\) time units in its execution.
During the $k^{th}$ iteration, Algorithm 7 computes prog\(^{(k+1)}\) and total\_delay\(^{(k+1)}\) as follows:
\begin{align}
\text{prog}^{(k+1)} &= \text{prog}^{(k)} + Q_i - \text{delay}_{\text{max}} \\
\text{total\_delay}^{(k+1)} &= \text{total\_delay}^{(k)} + \text{delay}_{\text{max}}
\end{align}
where
\begin{align}
\text{delay}_{\text{max}} &= \min(f_i(p_{\text{max}}), G_i(l_{\text{max}}) - SH) \\
p_{\text{max}} &= \arg\max_{p_x \in [\text{prog}^{(k)}, p_{\cap}]} \{f_i(p_x)\} \\
p_{\cap} &= \min\{p_x\} \text{ such that } \\
&\quad p_x \in [\text{prog}^{(k)}, \text{prog}^{(k)} + Q_i] \\
&\quad \text{and } p_x = \text{prog}^{(k)} + Q_i - \min(f_i(p_x), G_i(p_x) - SH) \\
l_{\text{max}} &= \min((t|G_i(t) - SH = -t + \text{prog} + Q), \text{prog} + Q)
\end{align}
Equations 4.19 and 4.20 can be interpreted as follows. During the $k^{th}$ iteration, Algorithm 7 assumes that $\tau_i$ executes for $Q_i$ time units during which $\tau_i$ progresses by $Q_i - \text{delay}_{\max}$ units of time in its execution and incurs a delay of $\text{delay}_{\max}$. The algorithm assumes that $\tau_i$ gets pre-empted when its progression reaches $p_{\max}$ given by Equation (4.22). Below we show that choosing any other pre-emption point $p_{\text{other}} \neq p_{\max}$ would ultimately result in a cumulative pre-emption delay lower than the one returned by Algorithm 7, thus showing that the value returned by Algorithm 7 is an upper-bound. Two cases may arise: $p_{\text{other}} > p_{\text{next}}$ or $p_{\text{other}} \leq p_{\text{next}}$.
**Case 1:** $p_{\text{other}} > p_{\text{next}}$. This means that $\tau_i$ progresses in its execution until it reaches $p_{\text{next}}$ without being pre-empted, i.e., from a progression of $\text{prog}^{(k)}$, $\tau_i$ reaches a progression of $p_{\text{next}}$ by being executed only for $(p_{\text{next}} - \text{prog}^{(k)}) \leq Q_i$ time units, and with an unchanged cumulative pre-emption delay of $\text{total\_delay}^{(k)}$. On the other hand, in the execution scenario built by Algorithm 7, $\tau_i$'s execution reaches a progression of $\text{prog}^{(k+1)} = p_{\text{next}}$ by being executed for $Q_i$ time units, and with a cumulative pre-emption delay of $\text{total\_delay}^{(k+1)} = \text{total\_delay}^{(k)} + \text{delay}_{\max} \geq \text{total\_delay}^{(k)}$. In other words, Algorithm 7 manages to progress slower in $\tau_i$'s execution while suffering from a greater pre-emption delay. Furthermore, $p_{\text{other}}$ is still a candidate pre-emption point for a further iteration of Algorithm 7.
**Case 2:** $p_{\text{other}} \leq p_{\text{next}}$. After executing $\tau_i$ for $Q_i$ time units, the following facts hold
1. the delay of the pre-emption that occurs when $\tau_i$'s progression reaches $p_{\text{other}}$ has been totally accounted for (since $p_{\text{other}} < p_{\text{next}} \leq p_{\gamma}$).
2. the progression of $\tau_i$ in this scenario becomes
$$\text{prog}_{\text{other}} = \text{prog}^{(k)} + Q_i - \min(f_i(p_{\text{other}}), G_i(p_{\text{other}}) - SH)$$
$$\geq \text{prog}^{(k)} + Q_i - \min(f_i(p_{\max}), G_i(p_{\max}) - SH)$$
$$\geq \text{prog}^{(k+1)} \quad (4.25)$$
3. the cumulative pre-emption delay becomes
$$\text{total\_delay}_{\text{other}} = \text{total\_delay}^{(k)} + \min(f_i(p_{\text{other}}), G_i(p_{\text{other}}) - SH)$$
$$\leq \text{total\_delay}^{(k)} + \min(f_i(p_{\max}), G_i(p_{\max}) - SH)$$
$$\leq \text{total\_delay}^{(k+1)} \quad (4.26)$$
Thus, after executing $\tau_i$ for $Q_i$ time units Algorithm 7 progressed less in the execution of $\tau_i$ (Inequality 4.25) while suffering from a higher pre-emption delay (Inequality 4.26). As a consequence of Cases 1 and 2, it holds at each iteration of Algorithm 7 that choosing to
pre-empt the task when it reaches a progression of $p_{\text{max}}$ ultimately leads to an upper-bound on its cumulative pre-emption delay.
4.3.3 Reducing the pessimism of $f_i(t)$
For computation of the pre-emption delay estimation the obtained $f_i(t)$ function is pessimistic. The main source of pessimism is the fact that the earliest possible entry time for each basic block is considered in the function computation. Even though the $f_i(t)$ function is an upper bound on the pre-emption delay that might be paid at any progression point $t$ in the task a less pessimistic function may be extracted.
In fact if a basic block is accessed earlier than its worst case access time then the execution is in a situation which will never lead to the WCET. If the task is pre-empted in this basic block at an earlier time than the worst case access time, the pre-emption delay that has to be paid is already doubly accounted on the WCET computation.
To exemplify this intuition consider the example provided in Figure 4.1 (page 75). For the case of BB$_4$, $s_4^{\text{min}} = 35$, $s_4^{\text{max}} = 65$ and $e_4^{\text{max}} = 20$. Lets arbitrate CRPD$_4 = 5$. If this BB$_4$ is accessed at $t = 40$, and a pre-emption occurs at $t' = 45$, when the task resumes its execution at most 7 units of time will be spent regaining cache state. The BB$_4$ exit time would be $t'' = 65$ whereas the worst case exit time computed statically is $s_4^{\text{max}} + e_4^{\text{max}} = 85$. One can then observe that $t'' < s_4^{\text{max}} + e_4^{\text{max}}$. The conclusion follows that: pre-emptions occurring in BB$_4$ at an earlier time in comparison to the worst-case execution time behaviour do not necessitate to consider the full worst-case pre-emption delay penalty. Clearly $t''$ is smaller than the statically computed worst-case exit time and hence it does not make sense to consider a pre-emption delay of 5 units when the basic block is accessed at time $t = 40$. A more thorough definition and explanation of the concept follows.
The optimised $f_i(t)$ function is then defined as:
$$f_i(t) = \max_b \{ f_b^{\text{local}}(t) \} \quad (4.27)$$
The function $f_b^{\text{local}}(t)$ is defined for each BB$_b$. It represents the pre-emption delay value the tasks is subject to when pre-empted in each basic block but refrains from considering the full pre-emption delay cost when the basic block is accessed earlier than in the worst-case time access profile.
The function $f_b^{\text{local}}(t)$ is formally defined in the following manner:
\[ f_b^{\text{local}}(t) \overset{\text{def}}{=} \begin{cases}
0 & , 0 \leq t < \max(s_b^{max} - \text{CRPD}_b, s_b^{min}) \\
\text{CRPD}_b \times (t - s_b^{max} - \text{CRPD}_b) & , \max(s_b^{max} - \text{CRPD}_b, s_b^{min}) \leq t \leq s_b^{max} \\
\text{CRPD}_b & , s_b^{max} < t \leq e_b^{max} \\
0 & , t > e_b^{max}
\end{cases} \tag{4.28} \]
Figure 4.7: \( f_b^{\text{local}}(t) \) Graphical Example
Figure 4.7 presents a graphical representation of the \( f_b^{\text{local}}(t) \) function. From \( s_b^{min} \) to \( s_b^{max} - \text{CRPD}_b \) the value of the function \( f_b^{\text{local}}(t) \) is zero. In the interval \( s_b^{max} - \text{CRPD}_b \) to \( s_b^{max} \) the function \( f_b^{\text{local}}(t) \) has a first derivative of one. Lastly, from \( s_b^{max} \) to \( s_b^{max} + e_b^{max} \) the function is constant at the \( \text{CRPD}_b \) value.
In Figure 4.8 the procedure to compute the task-wide \( f_i(t) \) function is graphically portrayed. Several \( f_b^{\text{local}}(t) \) function are displayed with dashed lines. For all the instants in
time, the maximum value of all the local $f_b^{\text{local}}(t)$ is taken as the value of $f_i(t)$.
**Lemma 2.** Assuming an entry time $t_1$ such that $s_b^{\text{max}} - \text{CRPD}_b \leq t_1 < s_b^{\text{max}}$ and a pre-emption occurring at $t_1$, the progression point achieved in a $Q_i$ length time window assuming a pre-emption delay payment of $f_b^{\text{local}}(t_1)$ is equal to the progression point assuming an entry time $t_2 = s_b^{\text{max}}$.
**Proof.**
\[
f_b^{\text{local}}(t_1) = t_1 - (s_b^{\text{max}} - \text{CRPD}_b)
\]
\[
\text{prog}_1 = Q_i - t_1 + (s_b^{\text{max}} - \text{CRPD}_b) + t_1
\]
\[
\text{prog}_2 = Q_i - \text{CRPD}_b + t_2
\]
\[
\text{prog}_1 = \text{prog}_2 \iff Q_i - (t_1 - (s_b^{\text{max}} - \text{CRPD}_b)) + t_1 = Q_i - \text{CRPD}_b + t_2 \iff Q_i + s_b^{\text{max}} = Q_i + t_2.
\]
Since $t_2 = s_b^{\text{max}}$ the Lemma is proven
There exists a set of possible paths from $\text{BB}_1$ to $\text{BB}_b$ such that for all these possible program paths $\text{BB}_b$ will be accessed at a time instant $p'$ in the program where $p' \in [s_b^{\text{min}}, s_b^{\text{max}}]$. For all possible paths where the entry time of $\text{BB}_b$ for which $p' < s_b^{\text{max}}$ then the execution is earlier in relation to the worst-case execution time by $s_b^{\text{max}} - p'$ time units.
When computing the $f_i(t)$ function for each progression point considered the point with the maximum pre-emption delay is chosen. It is the case that for the paths which diverge from the worst-case execution time behaviour then paying pre-emption delay in this paths would just bring them closer to the worst case execution time behaviour.
As long as the progression is sufficiently distanced from the worst-case pattern for $\text{BB}_b$ execution then no pre-emption delay has to be considered, since this would lead to a double accounting of the pre-emption delay.
Consider a situation where $s_b^{\text{max}} - p' > \text{CRPD}_b$, if the task would be executing in $\text{BB}_b$, by paying the pre-emption delay of $\text{CRPD}_b$ would not bring this execution to the worst-case execution time scenario. In the same way if $0 < s_b^{\text{max}} - p' < \text{CRPD}_b$ then paying a portion of the pre-emption delay payment given by $s_b^{\text{max}} - p'$ would bring the execution exactly into the worst case scenario. From this point onwards the maximum pre-emption delay for the basic block should be paid since the progression on $\text{BB}_b$ is already in a worst-case scenario.
**Lemma 3.** For all the $\text{BB}_b$ that a given progression point $p$ might belong to, the pre-emption delay payment is given $\max_b \left\{ \max(\min(\text{CRPD}_b - (s_b^{\text{max}} - p), \text{CRPD}_b), 0) \right\}$.
**Proof.** For a given $\text{BB}_b$, and a current actual progression point $p$, if $\text{CRPD}_b - (s_b^{\text{max}} - p) < 0$ then for $\text{BB}_b$ is $s_b^{\text{max}} - p$ time units earlier in relation to the worst-case entry time behaviour for the given block. Paying $\text{CRPD}_b$ in this instance is not putting it in a worse situation than the worst-case entry $s_b^{\text{max}} - p$ and hence is not leading a optimistic analysis result.
**Theorem 9.** The Function $f_i(t)$, considering $f_b^{\text{local}}$, provides a safe upper bound on the pre-emption delay paid during a pre-emption of $\text{BB}_b$ in a WCET context.
**Proof.** In Lemma 2 it is shown that any scenario where a basic block is considered to be accessed between $s_b^{\text{max}} - \text{CRPD}_b$ and $s_b^{\text{max}}$ will be treated such that is equivalent of accessing $\text{BB}_b$ at time $s_b^{\text{max}}$. Additionally, in Lemma 3 it is proven that $\text{BB}_b$ arriving before $s_b^{\text{max}} - \text{CRPD}_b$ the actual progression in the real execution is at least as good as arriving at $s_b^{\text{max}}$. Hence, using $f_i(t)$ provides a safe upper bound for the pre-emption delay to be taken into account during analysis.
\[\square\]
### 4.3.4 Reducing the pessimism of $G_i(t)$
Following the same reasoning as in section 4.3.3, the $G_i(t)$ function holds pessimism for the pre-emption delay computation in a WCET analysis context.
The merge at node operation is then defined as:
$$g_b^{\text{local}} \otimes g_b^{\text{in}} \overset{\text{def}}{=}$$
$$\begin{cases}
g_b^{\text{in}}(t) & \text{if } t \leq \max(s_b^{\text{max}} - g_b^{\text{local}}(e_b^{\text{max}}), s_b^{\text{min}}) \\
\max(g_b^{\text{in}}(t) + g_b^{\text{local}}(t - \max(s_b^{\text{max}} - g_b^{\text{local}}(e_b^{\text{max}}), s_b^{\text{min}}))) & \text{if } \max(s_b^{\text{max}} - g_b^{\text{local}}(e_b^{\text{max}}), s_b^{\text{min}}) < t < C_i
\end{cases}$$
(4.29)
In this way the pre-emption delay is only accounted for when the task execution is in a path that would lead into the WCET.
**Theorem 10.** The Function $G_i(t)$ is an upper-bound on the extrinsic cache misses occurring during the execution of task $\tau_i$ for any time $t$ in a WCET context.
**Proof.** The redefinition of the merge-at-node operation integrates the $g_b^{\text{local}}$ function only at the time instant $t = \max(s_b^{\text{max}} - g_b^{\text{local}}(e_b^{\text{max}}), s_b^{\text{min}})$. For all the time instants $t' < t$ if the $\text{BB}_b$ is executing and generates an extrinsic cache miss then this value was already accounted for in the WCET analysis since:
$$t' + g_b^{\text{local}}(e_b^{\text{max}}) + e_b^{\text{max}} < s_b^{\text{max}} + e_b^{\text{max}} \Leftrightarrow t' + g_b^{\text{local}}(e_b^{\text{max}}) < s_b^{\text{max}} \Leftrightarrow t' < s_b^{\text{max}} - g_b^{\text{local}}(e_b^{\text{max}})$$
The only change to the computation procedure of $G_i(t)$ lies on the merge-at-node operation. Hence proving the correctness of the merge-at-node operation redefinition along with Theorem 7 proves the present theorem.
\[\square\]
4.4 Experimental Evaluation
In order to experimentally validate both the new pre-emption delay estimation algorithm 7 the $f_i(t)$ and $g^{\text{local}}(t)$ function extraction procedures were implemented in Heptane. Results are also provided for the previous function $f_i(t)$ (Algorithm 6).
The framework is trialled on a set of benchmarks available online [NCS+06]. Not all the benchmark results are presented. From the set of benchmark programs the results for acquisition task, autopilot task 6, autopilot task 9 and interrupt handler routine are shown.
All the results are given for a direct-mapped instruction cache of 4KB, with a line size of 32 bytes (8 instructions). The data cache is perfect (i.e. data cache misses are assumed never to occur). Only results regarding instruction caches are presented at this time since data caches were not yet addressed theoretically. The analysed code is MIPS code (fixed-size 4B instructions). The code also works with set-associative caches. There is only one level of cache, with 1 cycle when the fetched instruction hits the cache, 10 cycles in case of a miss.
4.4.1 $f_i(t)$ functions
A comparative evaluation between the prior $f_i(t)$ function extraction procedure and the more recent one is presented.
As is apparent in all the benchmarks the current method enables a considerable increase in the amount of information present in the new $f_i(t)$ functions. The regular $f_i(t)$ (Equation (4.4)) is always greater than the optimized version (Equation (4.27)). With this new concepts it is then possible to decrease the level of pessimism present in the analysis of the pre-emption delay. The major differences are present in the results shown in Figures 4.9b, 4.9c and 4.9d. For these benchmarks, the results of the optimized $f_i(t)$ function are lesser pessimistic than the prior method presented initially in section 4.3.
4.4.2 Pre-emption Delay Estimations
The pre-emption delay estimations are presented in this subsection. Only the improved version of the $f_i(t)$ is used, since it is obvious that the results could never be worse than using the old version of the function. In all the results present in Figures 4.10a to 4.10d it is apparent that the results are less pessimistic both for the previous method (which only uses $f_i(t)$ information) and for the new method with the $G_i$ knowledge in comparison to the naïve state of the art method (Equation (4.5)). The naïve state of the art method in Equation 4.5 is an intuitive upper-bound on the pre-emption delay for the floating non-pre-emptive regions scheduling. Its results are the curves labeled as “SOTA” in figures 4.10a to 4.10d. The method using the $G_i$ function information is never worse than the one which relies purely
on the $f_i(t)$ function, and enables solutions to be obtained for situations where $Q_i$ is lower than some value of $f_i(t)$ as is shown in figures 4.10a to 4.10d.
4.4. EXPERIMENTAL EVALUATION
(a) Pre-emption Delay Estimations Function for Acquisition Task
(b) Pre-emption Delay Estimations Function for Autopilot.t6
(c) Pre-emption Delay Estimations Function for Autopilot.t9
(d) Pre-emption Delay Estimations Function for Interrupt Handler
Figure 4.10: $g^{\text{local}}_t$ Experimental Results
Chapter 5
Temporal-isolation Enforcement
Before a safety-critical system can be deployed and marketed, a certification authority must validate that all the safety-related norms are met. All the components comprising that system (the software, the hardware, and the interfaces) are scrutinized to ensure conformance to safety standards.
To provide the required degree of “sufficient independence” between components of different SILs, Industry and Academy have always been working in close collaboration, seeking solutions to (1) render the components of a same SIL as independent and isolated as possible from the components with different SILs and (2) upper-bound the residual impact that components of different SILs may have on each other after the segregation step, with the primary objective of certifying each subset of components at its own SIL.
This chapter presents a novel solution for ensuring the temporal-isolation property in systems where pre-emptions are subject to non-negligible overheads. In this case a symmetric isolation is enforced, i.e. where tasks do not impact each other irrespective of their individual SIL. A prior version of this framework has been presented in a previous work [MNP14]. A standard implementation of the symmetric temporal-isolation is by the usage of servers [AB04], [LKPB06]. These servers provide a certain share of the processing resource called budget, which is supplied to a task in a recurrent fashion.
While the general concepts of servers have been well explored, the use of implicitly shared resources, like caches is still an open issue for server-based systems. When a task executing in a server is pre-empted by a higher priority task, it loses at least partially its set of useful memory blocks in the caches (working set) and other shared resources. This loss of working set leads to an additional execution time requirement on resumption of execution, which either needs to be accounted for in the sizing of the budgets of individual tasks, or treated through online mechanisms.
Besides easing timing analyses, schedulability analyses, and the certification process, the main objective of temporal-isolation via servers is also to isolate applications from other
temporally misbehaving applications and their corresponding effects. This misbehaviour can come in two distinct flavours. Firstly, in terms of a violation of the WCET assumptions, secondly in the minimum inter-arrival time assumption made in the analysis step. While the former has been treated to reasonable extent [LKPB06], the latter is of equal importance.
In this chapter a mechanism which enforces temporal isolation is presented. The devised solution is able to accommodate both forms of misbehaviour. At the end of the chapter an experimental evaluation attests to the efficiency and benefit extracted from the usage of said mechanism.
5.1 Chapter-wise Update on System Model
When tackling a given problem the simplest possible system model which allows for an adequate property manipulations is employed. Generally a system model as presented in section 1.2 offers a robust footing on which to develop and prove theories for real-time systems. Unfortunately the model presented in section 1.2 relies on a fundamental assumption which is generally not present in the real world. That of which the task’s assumed properties at design time are stringently met at runtime. Tasks are written according to a specification. It is the job of the developer entity to ensure that in fact the WCET is met in the given platform, that the minimum inter-arrival time is in fact observed (i.e. that under any circumstance will a given task request to execute at a greater frequency than anticipated).
As in section 1.2, the workload is modelled by a task-set $\mathcal{T} = \{\tau_1, \ldots, \tau_n\}$ composed of $n$ tasks. Each task $\tau_i$ is characterized by the three-tuple $\langle C_i, D_i, T_i \rangle$ with the following interpretation: $\tau_i$ generates a potentially infinite sequence of jobs, with the first job released at any time during the system execution and subsequent jobs released at least $T_i$ time units apart. Each job released by $\tau_i$ must execute for at most $C_i$ time units within $D_i$ time units from its release. Hence, the parameter $C_i$ is referred to as the “worst-case execution time”, $D_i$ is the relative deadline of the task and $T_i$ is its minimum inter-release time (often called, its period).
Contrary to the bulk of this document where the three parameters $C_i$, $D_i$ and $T_i$ are assumed to fully characterize and describe the tasks and its interaction with the system (at least the interactions which are of interest to this work – duration of resource usage), in this chapter these parameters solely represent the terms of an agreement between the task and the system.
This concept reflects an inherent distrust from the system point of view towards the implementation that embodies each task and the nature of the events that might trigger its execution – which may in turn be external to the embedded system itself. In order for each task’s behaviour not to suffer from external misbehaviour the system has to ensure that each party respects its contract.
A task $\tau_i$ is said to “behave” if it does not require more system resources than by its contracted parameters. Otherwise, if any job of $\tau_i$ comes to request more than $C_i$ time units to complete, or if $\tau_i$ releases two consecutive jobs in a time interval $< T_i$ time units, then $\tau_i$ is said to be “misbehaving”. The other party – the system – is assumed to never violate its contracts with any task. The system associates to each task $\tau_i$ a *sporadic* server $S_i$ defined by the two-tuple $\langle B_i, T_i^s \rangle$. The parameter $B_i$ encodes the execution budget that $S_i$ provides to $\tau_i$ in any time window of length $T_i^s$. This budget is consumed as task $\tau_i$ executes and a task can only execute if its budget is not depleted. The function $B_i(t)$ denotes the remaining budget in the server $S_i$ at every time instant $t$.
A sporadic server is, at any time instant, in either one of the two following states:
- **active** when there is pending workload from task $\tau_i$ and $B_i(t) > 0$;
- **idle** when there is no pending workload from task $\tau_i$ or $B_i(t) = 0$.
The sporadic server budget replenishment mechanics can be described succinctly by the protocol formulated with the two following rules:
- When the server transits to the **Active** state at a time $t_1$, a recharging event is set to occur at time instant $t_1 + T_i^s$;
- when $S_i$ transits to the **idle** state at a time $t_2$, the replenishment amount corresponding to the last recharging time is set to the amount of capacity consumed by $S_i$ in the interval $[t1, t2)$.
At the start of the system \((t = 0)\) \(S_i\) is idle and \(B_i(t) = C_i\). An example of the sporadic server budget usage and replenishment is provided in Figure 5.1. For sake of simplicity and clarity of exposure the server replenishment period is arbitrarily assumed to be equal to the tasks reported period (i.e. \(T^s_i = T_i\)) hence, \(T_i\) is used throughout this chapter as a synonym for \(T^s_i\).
From this point onward, it is assumed that all the task deadlines are met at run-time as long as every job of each task \(\tau_i\) executes within the execution budget granted by \(S_i\) and respects its timing parameters \(C_i\) and \(T_i\). The framework proposed here ensures that, though any task \(\tau_i\) can misbehave by violating its stated parameters, the other tasks in the system will never miss their deadlines as long as they behave. Note that it is assumed throughout this chapter that each server has only a single task associated to it. The server and task terms are used interchangeably in the remainder of the chapter.
### 5.2 Pre-emption Delay Accounting Approaches Comparison
In a reservation-based system, as previously stated, each task \(\tau_i\) can only execute as long as \(B_i(t)\) is greater than 0. If every job is guaranteed to meet its deadlines, then at each time \(t\) where task \(\tau_i\) releases a job, it must hold that \(B_i(t)\) is greater than or equal to \(C_i\) plus the maximum pre-emption delay that the job may be subject to during its execution. The variable \(\delta_{j,i}\) represents the maximum interference that a task \(\tau_j\) may induce in the execution time of task \(\tau_i\) by pre-emptying it. This maximum interference can be computed by using methods such as the ones presented in [AB09, RM06a, LLH⁺01].
Given all these \(\delta_{j,i}\) values, a naive solution to compute the budget \(B_i\) of each task \(\tau_i \in \mathcal{T}\) is amenable to be devised. If it is assumed that task \(\tau_j\) releases its jobs exactly \(T_j\) time units apart, then the maximum number of jobs that \(\tau_j\) can release in an interval of time of length \(t\) is given by
\[
n_j(t) \overset{\text{def}}{=} \left\lceil \frac{t}{T_j} \right\rceil
\]
(5.1)
Therefore, during the worst-case response time of a task \(\tau_i\) denoted by \(R_i\), there are at most \(n_j(R_i)\) jobs of task \(\tau_j\), \(j < i\), that can potentially pre-empt \(\tau_i\) (recall that if \(j < i\) then \(\tau_j \in hp(i)\)). Since each of these pre-emptions imply an interference of at most \(\delta_{j,i}\) time units on the execution of \(\tau_i\), a straightforward way to compute the budget \(B_i\) assigned to each task \(\tau_i\) to meet all its deadlines is
\[
B_i \overset{\text{def}}{=} C_i + \sum_{j=1}^{i-1} n_j(R_i) \times \delta_{j,i}
\]
(5.2)
For the budget assignment policy defined in Equation (5.2), Equation (5.3) gives an upper-bound \(\text{PD}_{\text{bgt}}^{\max}(t)\) on the total CPU time that is reserved in any time interval \([0,t]\) to
account for all the pre-emption delays.
\[
\text{PD}_{\text{bgt}}^{\max}(t) \overset{\text{def}}{=} \sum_{i=2}^{n} \left( n_i(t) \times \sum_{j=1}^{i-1} n_j(R_i) \times \delta_{j,i} \right)
\]
\[
= \sum_{i=2}^{n} \left( n_i(t) \times \sum_{j=1}^{n} n_j(R_i) \times \delta_{j,i} \right)
\] (5.3)
as \( \forall j \geq i \) it holds that \( \delta_{j,i} = 0 \).
It is worth noticing that Equation (5.2) assigns the budget of task \( \tau_i \) by looking at how many times \( \tau_i \) might get pre-empted during the execution of each of its jobs and how much each such pre-emption may cost. That is, this budget assignment policy implicitly considers the problem from the point of view of the *pre-empted* task.
An alternative approach to analyse the maximum pre-emption delay that a task can incur consists in considering the problem from the point of view of the *pre-empting* task. An example of such an approach has been presented by Stachulat et al [SSE05]. The authors defined the multi-set \( M_{j,i}(t) \) as the set of all costs \( \delta_{j,k} \) that tasks \( \tau_j \) may induce in the execution requirements of all the tasks \( \tau_k \) with a priority between that of \( \tau_j \) and \( \tau_i \), in a time window of length \( t \). A multi-set is a generalisation of the concept of “set” where the elements may be replicated (i.e. a multi-set may be for example \( \{x, x, x, y, y\} \) whereas a regular set consists of a collection of elements such that no element is equal to any other in the same set). The multi-set \( M_{j,i}(t) \) is formally defined at any time \( t \) as follow:
\[
M_{j,i}(t) \overset{\text{def}}{=} \left( \uplus_{k=j+1}^{i-1} \uplus_{m=1}^{n_k(t)} \uplus_{\ell=1}^{n_j(R_k)} \delta_{j,k} \right) \uplus_{g=1}^{n_j(t)} \delta_{j,i}
\] (5.4)
The operator \( \uplus \) denotes the union over multi-sets. Let us look at a brief example to differentiate between the multi-set union and the set union. For the multi-set union it holds that \( \{x, y\} \uplus \{x, y\} = \{x, x, y, y\} \) whereas for the set union the outcome is \( \{x, y\} \cup \{x, y\} = \{x, y\} \).
Each set \( M_{j,i}(t) \) enables the construction of the function \( \Delta_{j,i}(t) \), denoting the maximum pre-emption delay caused by jobs from task \( \tau_j \) on task \( \tau_i \) in any time window of length \( t \).
\[
\Delta_{j,i}(t) \overset{\text{def}}{=} \sum_{\ell=1}^{q_{j,i}(t)} \max(M_{j,i}(t))
\] (5.5)
where
\[
q_{j,i}(t) \overset{\text{def}}{=} \sum_{k=j}^{i-1} \min(n_k(t), n_j(t))
\] (5.6)
and the function \( \max(M_{j,i}(t)) \) returns the \( \ell \)th highest value in the set \( M_{j,i}(t) \) – the equation \( \Delta_{j,i}(t) \overset{\text{def}}{=} \sum_{\ell=1}^{q_{j,i}(t)} \max(M_{j,i}(t)) \) thus represents the sum of the \( q_{i,j}(t) \) highest values in \( M_{j,i}(t) \).
It is shown below that, considering the pre-emption delay from the perspective of the
pre-empting task is always less pessimistic than considering the pre-emption delay from the point of view of the pre-empted task.
**Theorem 11.** For each task $\tau_i \in \mathcal{T}$, it holds at any time $t$ that
$$\sum_{j=1}^{n} \Delta_{j,i}(t) \leq \text{PD}_{\text{bgt}}^{\max}(t) \quad (5.7)$$
**Proof.** From Equation (5.4) and since $\forall j \geq i$ it holds that $\delta_{j,i} = 0$, for all $\tau_j \in \mathcal{T}$ the sum of all elements in $M_{j,i}(t)$ is given by:
$$\sum_{e \in M_{j,i}(t)} e = \sum_{k=j+1}^{i} \sum_{m=1}^{n_k(t)} \sum_{\ell=1}^{n_j(R_k)} \delta_{j,k}$$
$$= \sum_{k=j+1}^{i} n_k(t) \times n_j(R_k) \times \delta_{j,k} \quad (5.8)$$
The remainder of the proof is split into two lemmas that will straightforwardly yield Equation (5.7).
**Lemma 4.** $\sum_{j=1}^{n} \sum_{e \in M_{j,i}(t)} e \leq \text{PD}_{\text{bgt}}^{\max}(t)$
**Proof.** From Equation (5.8), it is known that
$$\sum_{j=1}^{n} \sum_{e \in M_{j,i}(t)} e \leq \sum_{j=1}^{n} \sum_{k=2}^{n} n_k(t) \times n_j(R_k) \times \delta_{j,k}$$
$$\leq \sum_{k=2}^{n} n_k(t) \times \sum_{j=1}^{n} n_j(R_k) \times \delta_{j,k}$$
$\{from(5.3)\} \quad \text{PD}_{\text{bgt}}^{\max}(t)$
$\square$
**Lemma 5.** $\sum_{j=1}^{n} \sum_{e \in M_{j,i}(t)} e \geq \sum_{j=1}^{n} \Delta_{j,i}(t)$
**Proof.** On the one hand, one can observe from Equation (5.4) that the number of elements in the multiset $M_{j,i}(t)$ is given by
$$\#M_{j,i}(t) = \left( \sum_{k=j+1}^{i-1} n_k(t) \times n_j(R_k) \right) + n_j(t) \quad (5.9)$$
and since $n_j(R_k) \geq 1, \forall j, k \in [1,n]$, it holds that
$$\#M_{j,i}(t) \geq n_j(t) + \sum_{k=j+1}^{i-1} n_k(t) \quad (5.10)$$
On the other hand, if \( j = k \) then
\[
\min(n_k(t), n_j(t)) = \min(n_j(t), n_j(t)) = n_j(t)
\]
and thus this Equation (5.6) can be rewritten as:
\[
q_{j,i}(t) = n_j(t) + \sum_{k=j+1}^{i-1} \min(n_k(t), n_j(t))
\]
\[
\leq n_j(t) + \sum_{k=j+1}^{i-1} n_k(t)
\]
(5.11)
By combining Equations (5.10) and (5.11), it thus holds \( \forall j, i \in [1,n] \) that
\[
q_{j,i}(t) \leq \#M_{j,i}(t)
\]
(5.12)
Remember that \( \sum_{\ell=1}^{q_{j,i}(t)} \max(M_{j,i}(t)) \) represents the sum of the \( q_{i,j}(t) \) highest values in \( M_{j,i}(t) \). From Inequality (5.12) and by definition of the function \( \max(M_{j,i}(t)) \), it can be concluded that \( \forall t > 0 \) and for all \( \tau_i, \tau_j \in \mathcal{T} \):
\[
\sum_{e \in M_{j,i}(t)} e \geq \sum_{\ell=1}^{q_{j,i}(t)} \max(M_{j,i}(t))
\]
(5.13)
By summing Inequality (5.13) over all \( j \in [1,n] \), then
\[
\sum_{j=1}^{n} \sum_{e \in M_{j,i}(t)} e \geq \sum_{j=1}^{n} \sum_{\ell=1}^{q_{i,j}(t)} \max(M_{j,i}(t))
\]
\[
\geq \sum_{j=1}^{n} \Delta_{j,i}(t)
\]
Hence the lemma follows.
Finally, by combining Lemmas 4 and 5 it is easy to see that
\[
\sum_{j=1}^{n} \Delta_{j,i}(t) \leq \text{PD}_{\text{bgt}}^{\text{max}}(t)
\]
5.3 Proposed Budget Augmentation Framework
5.3.1 Temporal-isolation Framework Description
Since a task may incur some delay due to a pre-emption, it is straightforward that an execution budget of $B_i = C_i$ may be insufficient for the task $\tau_i$ to complete if it gets pre-empted during its execution. On the other hand, the budget assignment policy defined by Equation (5.2) has been shown to be (potentially) pessimistic. Hence, a run-time mechanism where every pre-empting task has to pay for the damage that it causes to the schedule is proposed. According to Theorem 11, accounting for the pre-emption delay from the point of view of the pre-empting task enables a reduction on the over-provisioning of system resources. Formally, the execution budget $B_i$ of each task $\tau_i$ is initially set to $C_i$ and refilled according to the sporadic server definition. Then, each time a task $\tau_i$ resumes its execution after being pre-empted by other task(s), the remaining budget $B_i(t)$ of its associated server $S_i$ is increased by $\sum_{\tau_j \in H(i)} \delta_{j,i}(t)$ (where $H(i)$ denotes the set of tasks that pre-empted $\tau_i$) to compensate for the potential extra execution requirement that $\tau_i$ may incur.
An example of the described framework is presented in Figure 5.2. In that example the task set contains 4 tasks. Task $\tau_4$ is first pre-empted by a job from $\tau_2$. When $\tau_4$ resumes execution at time $t_1$, immediately after $\tau_2$ terminates, its remaining budget $B_4(t_1)$ is incremented by $\delta_{2,4}$ units. Then, two jobs of $\tau_1$ pre-empt both $\tau_3$ and (indirectly) $\tau_4$. Each time $\tau_3$ resumes its execution at the return from the pre-emption (at time $t_2$ and $t_3$), the execution budget $B_3(t_2)$ and $B_3(t_3)$ is incremented by $\delta_{1,3}$. Finally, when $\tau_3$ terminates its workload
and $\tau_4$ resumes at time $t_4$, $B_4(t_4)$ is incremented by $\delta_{1,4} + \delta_{3,4}$ as both $\tau_1$ and $\tau_3$ may have evicted some of its cached data; hence forcing $\tau_4$ to reload it from the memory.
### 5.3.2 Temporal-isolation Schedulability Analysis
When the pre-emption delay is assumed to be zero (i.e., when the cache subsystem is partitioned for example), the authors of [LSD89a] proposed the following schedulability test to check at design-time, whether all the task deadlines are met at run-time.
**Schedulability Test 1** (From [LSD89a]). A task set $\mathcal{T}$ is schedulable if, $\forall \tau_i \in \mathcal{T}, \exists t \in (0, D_i]$ such that
$$C_i + \sum_{j=1}^{l-1} \text{rbf}(S_j, t) \leq t \quad (5.14)$$
where
$$\text{rbf}(S_j, t) \overset{\text{def}}{=} \left( \left\lfloor \frac{t}{T_j^s} \right\rfloor + 1 \right) \times B_j \quad (5.15)$$
**Theorem 12** (from [SSL89]). A periodic task-set that is schedulable with a task $\tau_i$, is also schedulable if $\tau_i$ is replaced by a sporadic server with the same period and execution time
**Proof.** According to the sporadic server protocol, every budget amount consumed by task $\tau_i$ starting at time instant $t$, is only replenished at $t + T_i$. The value $B_i = C_i$ assuming direct relationship between the task $\tau_i$ WCET and the corresponding server budget. The budget $B_i$ can be consumed in the first instance in any conceivable fragmentation patterns with initial active transitions at time instants $\{t_1, t_2, \cdots, t_k\}$ and corresponding execution requirements $\{\ell_1, \ell_2, \cdots, \ell_k\}$. By definition $\sum_{h=1}^{k} \ell_h \leq C_i$. Let us define an arrival curve modeling the worst-case workload request by a sporadic server assuming a several active transition events in the first interval $[0, T_i]$ and consecutive requests at the maximum possible rate in the future. A function upper-bounding the execution requirements for any $t$ can be constructed as:
$$\text{rbf}_{\text{chunk}}^{\ell_i} = \left( \left\lfloor \frac{t - t_\ell}{T_i} \right\rfloor \right)_0 \times H_\ell$$
Straightforwardly the relation $\text{rbf}(\tau_i, t) \geq \sum_{\ell=1}^{k} \text{rbf}_{\text{chunk}}^{\ell_i}$ is obtained.
By generalizing the fragmented situation from the first period to multiple ones it the execution requirement considered for the sporadic task is always greater or equal to the worst-case budget consumption by the server associated to $\tau_i$ for any possible interval length. Hence the Lemma follows.
$\square$
The correctness of the schedulability test 1 comes as a direct consequence of the Theorem 12 as the presented test is the one for a task-set composed of periodic tasks [LSD89a].
As introduced earlier, if every task $\tau_i$ augments its budget for $\delta_{j,i}$ time units after being pre-empted by a task $\tau_j$, then an upper bound on the total budget augmentation in any time window of length $t$ is given by $\sum_{j=1}^{i-1} \Delta_{j,i}(t)$.
It can be shown that in any given time window of length $t$, an upper-bound on the number of execution resumptions in a schedule is given by $q_{1,i}(t)$ since according to its definition the maximum possible number of job releases of tasks with priority greater than $i$, in an interval $[0,t]$, is accounted for. Therefore, assuming that performing each execution of the budget augmentation consumes $F_{\text{cost}}$ units of time, the time-penalty attached to the implementation of the proposed framework has an upper bound of
$$\text{delay}(t) = q_{1,i}(t) \times F_{\text{cost}} \quad (5.16)$$
Integrating these quantities into Schedulability Test 1 yields the following test:
**Schedulability Test 2.** A task set $\mathcal{T}$ is schedulable if, $\forall \tau_i \in \mathcal{T}$, $\exists t \in (0,D_i]$ such that
$$C_i + \text{delay}(t) + \sum_{j=1}^{i-1} [\text{rbf}(S_j,t) + \Delta_{j,i}(t)] \leq t \quad (5.17)$$
**Correctness of Schedulability Test 2.** Function (5.6) upper-bounds the number of times that jobs from task $\tau_j$ may pre-empt jobs of priority lower than $\tau_j$ and higher or equal than $\tau_i$ in a window of length $t$. Function (5.5) ($\Delta_{j,i}(t)$) is the summation over the $q_{j,i}(t)$ largest values in the multi-set $M_{j,i}(t)$. The function $\Delta_{j,i}(t)$ is then an upper-bound on the amount of pre-emption delay compensation that can be extracted from task $\tau_j$ from any task of priority lower than $\tau_j$ and higher or equal than $\tau_i$ in a window of length $t$. Thus $\sum_{j=1}^{i-1} \Delta_{j,i}(t)$ is an upper-bound on the pre-emption delay compensation budget used by tasks of priority higher or equal than $\tau_i$ for any time $t$. As a consequence and by the correctness of schedulability test 1, the correctness of this schedulability test is proven. $\square$
According to Schedulability Test 2 and as a consequence of Theorem 11, assuming $\text{delay}(t) = 0$ then the proposed framework enables a higher schedulability than considering the budget $B_i$ of each server $S_i$ to be equal to $C_i$ plus the maximum pre-emption delay that any job of $\tau_i$ may be potentially subject to (see Equation (5.2)). However, in a scenario where $\text{delay}(t)$ is non-negligible the dominance relation does no longer hold.
### 5.4 Proposed Budget Donation Framework
The framework presented above is a combination of a reservation-based mechanism (budget initially assigned to each task) and a budget augmentation policy (budget inflated at return from pre-emption). This combination ensures that the temporal-isolation property is always
met as long as none of the tasks violates its minimum inter-arrival constraint, i.e., as long as none of them release two consecutive jobs in a time interval shorter than its pre-defined period $T_i$. This condition of not violating the minimum inter-arrival constraint is implicitly assumed by Equations (5.5) and (5.6), in which the upper-bound on the pre-emption delay interference inherently relies on the number of jobs released by every task in a given time window.
If any task violates its minimum inter-arrival time constraint, the temporal-isolation property no longer holds. An example of this is depicted in Figure 5.3. On the left-hand side of the picture, task $\tau_1$ releases a single job in a time interval of length $T_1$. This job executes for $C_1$ time units and task $\tau_2$ suffers only from one pre-emption, leading to an increase of $\delta_{1,2}$ on its execution requirement. In the right-hand side of the picture, $\tau_1$ releases more than one job in the same time interval of length $T_1$ and $\tau_2$ now suffers from 2 pre-emptions, leading to an increase of $2 \times \delta_{1,2}$ on its execution requirement. In the latter scenario, task $\tau_2$ augments its budget accordingly but may face a deadline miss, or a lower priority tasks may be subject to more interference than what was accounted for in the schedulability test.
In order to avoid this issue, a second server $Y_i$ is associated to each task $\tau_i$. This server $Y_i$ has parameters $\langle Z_i, T_i^Y \rangle$ – $Z_i$ is the budget and $T_i^Y$ is the replenishment period. Unlike the server $S_i$, the budget $Z_i$ is not consumed while $\tau_i$ is running. The purpose of this second server $Y_i$ is to “pay” for the damage caused by $\tau_i$ in the system when $\tau_i$ pre-empts another task. That is, *each* task $\tau_j$, when it is pre-empted by $\tau_i$, obtains a budget donations by transferring some execution budget from the server $Y_i$ to its execution budget $B_j$. These budgets $Y_i$ impose a new condition to their associated task $\tau_i$ in order to accommodate for the minimum inter-arrival misbehaviour: task $\tau_i$ is allowed to pre-empt only if there is sufficient budget in $Y_i$. In this way the pre-emption delay that $\tau_i$ may cause in the schedule is tightly monitored.
The replenishment condition for server $Y_i$ is defined as follows:
**Server $Y_i$ replenishment rule:** At a time instant $t'$, when task $\tau_i$ pre-empts some lower
priority workload, a replenishment event is set for $Y_i$ to occur at time instant $t' + T_i^Y$. The amount of budget replenished to server $Y_i$ at the $t' + T_i^Y$ event is equal to the quantity reserved to pay the maximum pre-emption delay penalty associated to a single pre-emption.
This replenishment mechanism is in accordance with the sporadic server replenishment rules [SSL89] and hence the server $Y_i$ is a sporadic server.
These two parameters $Z_i$ and $T_i^Y$ are set by the system designer and the question of how to define them will be discussed later. For now, bear in mind that these two parameters are given for each task $\tau_i \in \mathcal{T}$.
The purpose of each server $Y_i$ is to ensure that new jobs of a task $\tau_i$ can only be released as long as the maximum pre-emption delay that $\tau_i$ can induce in the schedule (according to the schedulability test) is available in $Y_i$. To effectively implement this solution, the *budget augmentation* mechanism presented in the previous section is reformulated as a *budget transfer* mechanism. The main concept remains simple:
1. To release a new job (say at time $t$), a task $\tau_j$ is required to have *at least* $P_j^{\text{max}}$ time units in its budget $Z_j(t)$. This quantity $P_j^{\text{max}}$ is the maximum delay that $\tau_j$ can cause on the lower priority tasks by pre-emptying them. It is straightforwardly defined as
$$P_j^{\text{max}} \overset{\text{def}}{=} \sum_{k=j+1}^{n} \delta_{j,k}$$ \hspace{1cm} (5.18)
If $Z_j(t) < P_j^{\text{max}}$ then $\tau_j$ is not authorized to release a new job at time $t$ and must wait until the earliest time instant $t' > t$ when $Z_j(t') \geq P_j^{\text{max}}$.
2. Unlike the budget augmentation protocol proposed in the previous section, each time a task $\tau_i$ resumes its execution (say at time $t$) after being pre-empted (let $H(i)$ denote the set of tasks that pre-empted $\tau_i$), $\tau_i$ does not experience its execution budget $B_i(t)$ being simply augmented by $\sum_{\tau_j \in H(i)} \delta_{j,i}$ time units, with $\sum_{\tau_j \in H(i)} \delta_{j,i}$ coming from thin air. Instead, $\delta_{j,i}(t)$ time units are *transferred* from the budget $Z_j(t)$ of each task $\tau_j \in H(i)$ to its execution budget $B_i(t)$.
It is important to stress that this framework is explained by considering two distinct servers to ease explanation and to allow for more flexibility in order to have different replenishment periods for the execution and pre-emption delay donation server. Nevertheless, if there is not sufficient budget in the pre-emption compensation server and there is sufficient budget on the execution server then the required budget on the execution server has to be transferred to the pre-emption delay server. This prevents the generation of unwanted blocking scenarios.
Informally speaking, the underlying concept behind this budget transfer protocol can be summarized as follows: “a task $\tau_i$ is allowed to pre-empt only if it can pay for the maximum
damage that it may cause to all the tasks that it may pre-empt”. If the task $\tau_i$ can pay the required amount of time units, i.e., $\tau_i$ has a provably sufficient amount of time units saved in its budget $Z_i(t)$, then it can release its new job and the pre-empted tasks will claim their due pre-emption delay compensation when they will eventually resume their execution.
This simple concept makes the framework safe. Rather than a formal proof, a set of arguments to substantiate the claim is provided. Suppose that a task $\tau_i$ starts misbehaving by frenetically releasing jobs that execute for an arbitrarily short time; hence clearly violating its minimum inter-arrival constraint.
1. From the point of view of a higher priority task (say, $\tau_j$): each job of $\tau_j$ can pre-empt at most one job from $\tau_i$ and before releasing each of its jobs, $\tau_j$ makes sure that there is enough provision in its budget $Y_j$ to compensate for the damage caused to the lower priority tasks, including $\tau_i$.
2. From the point of view of the misbehaving task $\tau_i$: this task will keep on generating jobs until its budget $Z_i(t)$ is depleted. For each job released, the framework ensures that the job can actually pay for the damage caused to the lower priority tasks. Regarding the higher priority tasks, each job of $\tau_i$ may be pre-empted and request some extra time units upon resumption of its execution. However, this extra budget requested has been accounted for when the higher priority jobs were allowed to be released – as mentioned in 1).
3. From the point of view of a lower priority task (say, $\tau_k$): each job of $\tau_k$ may be preempted multiple times by the abnormal job release pattern of $\tau_i$. However, upon each resumption of execution, $\tau_k$ will be compensated for the delay incurred by receiving some extra time units from the budget $Z_i(t)$ of the misbehaving task – as guaranteed in 2).
As seen, the sole purpose of each server $Y_i$, $\forall i \in [1,n]$ is to control the pre-emption delay that the task $\tau_i$ induces on the schedule. Since the upper-bound on the pre-emption delay related interference is now dictated by these servers, Schedulability Test 2 presented in the previous section can be rewritten as:
**Schedulability Test 3.** A task set $\mathcal{T}$ is schedulable if, $\forall \tau_i \in \mathcal{T}$, $\exists t \in (0,D_i]$ such that
$$C_i + \text{delay}(t) + \sum_{j=1}^{i-1} [\text{rbf}(S_j,t) + \text{rbf}(Y_j,t)] \leq t \quad (5.19)$$
**Correctness of Schedulability Test 3.** The replenishment mechanism of server $Y_i$ is in accordance with the sporadic server replenishment rules. As a consequence of this fact and according to the Theorem 12 the maximum amount of budget consumed in any interval of
length $T_i^Y$ is $Z_i$. This means that $\text{rbf}(Y_j, t)$ is an upper-bound on the budget used for execution by any task that was pre-empted by task $\tau_j$ and got the due compensation in any interval of length $t$. By this reasoning and the correctness of schedulability tests 1 and 2 the correctness of this schedulability test is thus proven.
The choice of the parameters of each $Y_j$ server is left at the criteria of the system designer. However, in a given period $T_i$ any task $\tau_i$ will require at least the execution of one job. As a consequence the budget $Z_i$ of $Y_i$ must necessarily be greater than or equal to $P_i^{\max}$. The simpler approach would be to define each server $Y_i$ as $\langle Z_i = P_i^{\max}, T_i^Y = T_i \rangle$ as $Y_i$ would have enough budget to compensate for all the interference that $\tau_i$ may cause in the schedule, assuming that the minimum inter-arrival constraint is not violated. However, the system designer may prefer $T_i^Y > T_i^S$ to provide more flexibility in case the task $\tau_i$ is expected to violate its minimum inter-arrival constraint, or even to accommodate intended bursty arrival of requests.
As a last note it is important to state the advantage of this framework with respect to a simple mechanism imposing a limitation on the number of jobs a task may release in a given time window. With this framework the number of jobs that a task may release without breaking the temporal-isolation guarantees is variable (and always greater than the worst-case that had to be considered if a static number of jobs had to be enforced) since this depends on the number of lower priority jobs that it has actually pre-empted so far. This allows for a more dynamic system with overall better responsiveness.
### 5.5 Limiting the Pre-emption Induced Budget Augmentation for Misbehaving Tasks
Suppose that a task $\tau_i$ misbehaves by violating its minimum inter-arrival constraint, i.e., it releases more than one job in a time interval $< T_i$, and one of its jobs gets pre-empted by a higher priority task, it is meaningful to consider whether task $\tau_i$ should get a pre-emption delay compensation when it will eventually resume its execution. In fact, it might be preferable not to transfer extra time units to its budget $B_i$ until it returns to a state where it is respecting its contract parameters.
For this choice of design, Schedulability Test 3 becomes:
**Schedulability Test 4.** A task set $\mathcal{T}$ is schedulable if, $\forall \tau_i \in \mathcal{T}$, $\exists t \in [0, D_i]$ such that
$$C_i + \text{delay}(t) + \sum_{j=1}^{i-1} \text{rbf}(S_j, t) + \sum_{j=1}^{i-1} \min \left( \text{rbf}(Y_j, t), \sum_{\ell=1}^{q'_{j,i}(t)} \max(M_{j,i}(t)) \right) \leq t$$
where
\[ q'_{j,i}(t) \overset{\text{def}}{=} \sum_{k=j}^{t-1} n_k(t) \]
since the tasks are not eligible for pre-emption delay compensation when they do not meet the minimum interarrival requirements, the maximum pre-emption delay related interference in the schedule is still upper-bounded by the analysis presented in Equation (5.5).
### 5.6 Implementation Issues
An efficient implementation is key for a useful approach to server-based scheduling. The general principle pursued is that the pre-emption delay repayment budget is only granted when an actual pre-emption occurs and is only transferred on resumption of execution.
As a first step the pre-emption delay repayment budget values $\delta_{i,j}$ are arranged in a linear *pre-emption delay array* (Figure 5.5).
A second data structure employed to assist on the management of the temporal isolation framework is termed the pre-emption queue. This queue trivially maintains a depiction of the pre-emption order. When a task is first dispatched to execute upon the processor and hence pre-empts a previously running task then this task is inserted into the pre-emption queue. When a task terminates its execution it is removed from the queue.
As a third element, each task $\tau_i$'s control block has two bitfields ($out_{bf}(\tau_i)$ and $in_{bf}(\tau_i)$) of length $n$. The “in” bitfield contains the information about which tasks have to compensate $\tau_i$ and the “out” bitfield conserve the information about the tasks which have to compensate tasks which were pre-empted by $\tau_i$. The mechanism utilizing this information is described in Algorithm 8. At the moment of job release from $\tau_i$, the “out” bitfield is initialized with only the bit relative to $\tau_i$ set (i.e. $out_{bf}(\tau_i) = 0x1 << (i - 1)$).
When a job $\tau_j$ terminates its execution at time $t$, it holds true that $\tau_j$ is the head of the pre-emption queue. At this time instant the task immediately preceding $\tau_j$ in the pre-emption queue ($\tau_i$) has its “in” bitfield assigned in the following way: $in_{bf}(\tau_i) = in_{bf}(\tau_i) \lor out_{bf}(\tau_j)$. Scheduling decisions are only taken after this procedure terminates. After this operation it is not necessarily true that $\tau_i$ will become the head of the pre-emption queue and execute on the processor.
When a job from $\tau_i$ resumes execution, after a pre-emption, the scheduler examines the “in” bitfield $in_{bf}(\tau_i)$. The “in” bitfield holds the information on which tasks have pre-empted $\tau_i$ since the last time instant at which it was executing. The budget from server $S_i$ is then accordingly augmented. If the considered framework is the one ensuring temporal-isolation with respect to minimum inter-arrival time misbehaving the corresponding pre-emption delay donations are deduced from the pre-emption delay donation servers of the tasks which have pre-empted $\tau_i$.
After the budget of the task is duly augmented, the “out” bitfield is logically ORed with the “in” bitfield (i.e. $out_{bf}(\tau_i) = in_{bf}(\tau_i) \lor out_{bf}(\tau_j)$). Immediately after this step the “in” bitfield is reset ($in_{bf}(\tau_i) = 0 \times 0$). These three procedures need to be carried out atomically.
Let us use a different schedule example to better visualize the bit-field related operations. In Figure 5.6 an example of the bit-field evolution as a response to a given set of events is presented. There are 9 events present. When a task has no active job in the system its bit
field is by default 0. At events 1–3, tasks $\tau_1$ to $\tau_3$ release jobs, consequently their bit fields are set to their respective index. At time $t_4$, the first job of task $\tau_2$ finishes its execution. At this time instant, and since $\tau_2$ is the prior pre-emption queue head and $\tau_3$ is the task after the queue head, the bit field from task the $in_{bf}(\tau_3) = in_{bf}(\tau_3) \lor out_{bf}(\tau_2)$. After this operation is performed $in_{bf}(\tau_2) = 0$. At $t_5$ and $t_6$ jobs from $\tau_1$ and $\tau_2$ are released correspondingly. At each event the corresponding bitfield is set accordingly. The job from task $\tau_1$ terminates at $t_7$. At this time instant, the “out” bitfield of task $\tau_1$ is passed onto the subsequent task in the pre-emption queue ($\tau_3$). Hence $in_{bf}(\tau_3) = in_{bf}(\tau_3) \lor out_{bf}(\tau_1)$ Since $\tau_2$ was not in the ready queue the “out” bitfield from $\tau_1$ does not get passed to its “in” bitfield.
The algorithm describing the bitfield inspection and budget augmentation is presented in Algorithm 8. Notice that in the scenario where minimum inter-arrival times cannot be relied upon, after the budget is augmented (line 6), the same value has to be decreased from the $Y_{\text{index}}$ server of the pre-empting task. In the same framework it is then necessary to set up a replenishment event for server $Y_{\text{index}}$, $T_{\text{index}}$ units after the execution resumption (line 7). At this replenishment event $Z_{\text{index}}$ is set to be replenished by $\delta[\text{array\_index}]$ units. The variable offset, is an offset with respect to the base of the $\delta$ array, where the first element pre-emption delay compensation value ($\delta_{1,i}$) from task $\tau_i$ is stored (Figure 5.5).
### 5.7 Example of Framework Usage with CRPD
The previously described theory may be exploited in order to ensure temporal-isolation with respect to any subsystem holding state concurrently accessed by tasks in the system. In this
Algorithm 8: Pre-emption Delay Augmentation Algorithm
$\tau_i$ execution resumption after pre-emption: $index = 0$;
while index < i do
if $in_{bf}(\tau_i) \& 0x1$ then
array_index = offset_i + index;
$B_i += \delta[\text{array\_index}]$;
$Y_{\text{index}} -= \delta[\text{array\_index}]$;
Set_replenishment_event($\tau_{\text{index}}, \delta[\text{array\_index}]$)
$in_{bf}(\tau_i) = in_{bf}(\tau_i) >> 1$;
index++;
$in_{bf}(\tau_i) = 0x0$
section a description on how temporal-isolation is ensured, when caches are present in the execution platform by usage of the presented framework, is provided.
At each program point a task has a set of useful memory blocks ($UCB$) in cache. These memory blocks were loaded into the cache at some prior program point and will be reused in the future. Each program point $p$ of task $\tau_k$ has an associated UCB set denoted as $UCB^p_k$ [AB09]. Additionally, the set of cache lines accessed during the execution of task $\tau_j$ ($ECB_j$) [AB09] may be constructed.
The maximum CRPD which a pre-emption by task $\tau_j$ may induce in task $\tau_k$ is then defined as [AB09]:
$$\delta_{j,k} \overset{\text{def}}{=} BRT \times \max_p \left\{ \left| UCB^p_k \cap ECB_j \right| \right\} \quad (5.20)$$
BRT is a constant, denoting the worst case latency for a cache miss to be served.
5.7.1 Temporal-isolation Assumptions
In order to ensure full temporal-isolation with the used pre-emption delay estimation mechanisms, when using information from the pre-empting tasks to compute the $\delta_{j,i}$, it is mandatory to ensure that the ECB sets of each pre-empting task are met at run-time, as it is assumed that a task can execute for longer than expected, which implies that it might in turn also use a larger cache footprint.
Both instruction and data cache footprints have to be relied upon. In order to ensure the worst-case cache footprint, it suffices to ensure that each task only accesses the basic blocks assumed in the static analysis. This can be easily achieved with the work by Martin Abadi et al. [ABEL09], where each jump instruction is guarded against jumps into illegal memory locations. Since at run-time, all the possible basic blocks accessed are the exact same as the ones assumed in the static analysis the instruction cache $ECB$ set is never violated. When
using [ABEL09], all the jump targets in the code are statically defined, i.e. jump to function pointers in the code are not allowed.
In the case of data caches, since the basic blocks accessed at run-time are enforced, it is sufficient to ensure that no dynamic memory is used, which is generally the case in real-time workload. Another assumption is that any access to an array is guarded against accesses outside of the array bounds. As a last assumption, recursive calls are forbidden in order to ensure that the stack footprint is known offline.
If the ECB set of any task cannot be relied upon, it is always safe to consider that the maximum pre-emption delay induced in task $\tau_k$ when pre-empted by any task $\tau_j$ is the time to reload the entire $UCB_k$ set:
$$\forall j : \delta_{j,k} = BRT \times |UCB_k|.$$ \hspace{1cm} (5.21)
### 5.7.2 Experimental Results
In order to assess the validity of the contribution a set of experiments was conducted. The schedulability guarantees from the proposed framework is trialled against the scenario where the maximum pre-emption delay is integrated into the budget of the execution server. Results for the same task sets are also displayed for a schedulability test oblivious of pre-emption delay. As in previous chapters, all tasks are generated using the unbiased task set generator method presented by Bini (UUniFast) [BB04a].
Task systems are generated for every utilization step in the set $\{0.75, 0.8, 0.85, 0.9, 0.95\}$ in a random fashion, their maximum execution requirements ($C_i$) were uniformly distributed in the interval $[20, 400]$. Knowing $C_i$ and the task utilization $U_i$, $T_i$ is obtained. At each utilization step 1000 task sets are trialled and checked whether the respective algorithm considers it schedulable. Task set sizes of 4, 8, and 16 tasks have been explored. The relative deadline of tasks is equal to the minimum inter-arrival time ($D_i = T_i$).
When each task is randomly generated pre-emption delay cost is obtained for each task pair in the task-set. The cache considered is composed of 10 cache lines. For each task a set of useful cache lines is computed, the usage of each cache line follows a uniform distribution. Similarly for each task a set of cache lines which are accessed during its execution is computed. The cardinality of interception of the useful set of $\tau_i$ with the accessed set of $\tau_j$ upper-bounds the maximum number of cache lines that $\tau_i$ has to re-fetch has a result of a pre-emption by $\tau_j$.
The servers $S_i$ have been attributed parameters $B_i = C_i$ and $T^S_i = T_i$. For the situation where the pre-emption delay server $Y_j$ is put to use, its parameters are $Z_j = \sum_{j < k} \delta_{j,k}$ and $T^Y_j = T_j$.
The results are depicted in Figures 5.7a to 5.7c. In the plots the scenario where the pre-emption delay is incorporated into the task execution budget is displayed is presented.
5.7. EXAMPLE OF FRAMEWORK USAGE WITH CRPD
(a) 4 tasks
(b) 8 tasks
(c) 16 tasks
Figure 5.7: Schedulability Comparison With CRPD
by the green line with “x” points. The presented framework for well-behaving minimum inter-arrival times is represented by the red line with “+” points. The purple line with square points represents the framework performance for situations where the minimum inter-arrival times cannot be trusted. Finally the blue line with “star” points displays the results for fixed task priority schedulability test disregarding pre-emption delay.
From the displayed results it is apparent that the schedulability achieved with the proposed framework is generally significantly higher than the one enabled by the simpler version considering the pre-emption delay as part of the execution budget. When the minimum inter-arrival times cannot be relied upon the schedulability degrades. It is important to note that the proposed framework ensures temporal-isolation and there exists no other solution apart from this one which ensures the temporal-isolation property for the given system model. Furthermore, when the number of tasks is small, the framework which provides the stronger guarantees appears to have on average a higher scheduling performance. The schedulability reduction attached to the framework for misbehaving tasks with respect to the minimum inter-arrival time is the price to pay for the added guarantees.
5.8 Temporal-isolation Framework Considerations
Reservation-based systems are one fundamental way to enforce temporal-isolation in safety critical real-time systems. It is shown in this chapter that, when pre-emption delay is present in the system, the prior state of the art temporal-isolation mechanisms induce pessimism in the analysis and in the budget allocation procedures. This inherent limitation is one of the fundamental motivators for the presented run-time budget augmentation mechanism. This framework enables a provably reduction on the budget over-provisioning in platforms with non-negligible pre-emption delay overheads. For a more realistic model in which the minimum inter-arrival time of tasks cannot be relied upon, there existed no prior result in the literature ensuring temporal-isolation (for systems where pre-emption delay is non-negligible). A second framework which relies on budget transfers between pre-empting and pre-empted tasks effectively enforces the temporal-isolation property in such a considerably challenging system model (where execution requirements and minimum inter-arrival times cannot be trusted upon).
5.8. TEMPORAL-ISOLATION FRAMEWORK CONSIDERATIONS
Chapter 6
Multi-processor Limited Pre-emptive Theory
As multicores are currently a mainstream computing apparatus, and will remain so in the foreseeable future, some COTS platforms are being increasingly adopted as target platforms in the embedded domain. In time it is expected that these will be used in the high criticality embedded world. It is thus important to study the scheduling theory that would govern the operation of such systems.
Current real-time operating systems provide support for symmetric multiprocessor scheduling. A number of global scheduling policy types exist. These can be categorized into distinct classes with respect to where tasks and their constituent jobs are allowed to execute [DB11]. One extreme is the fully partitioned scheduling. Tasks are statically allocated to one processor, its workload can then only execute on the same single processor. On the other end of the spectrum lies the global scheduling where there is no *a-priori* restriction on which processor the workload of any task will execute. Both fully partitioned and global fixed task priority scheduling policies are provided out of the box in popular real-time operating systems [Win].
A shortcoming of the literature on the schedulability assessment for global multicore scheduling is that the workload is assumed not to incur additional overheads when pre-emptions and migrations happen. The cost of pre-emptions and especially migrations between cores that do not share cache have been shown to be quite significant [BBA10]. As in fully pre-emptive disciplines for single core it is difficult to quantify the number of pre-emptions a given task is subject to. Moreover in multicore when a pre-emption occurs a subsequent migration may take place. It is then beneficial to quantify these events and, if possible, avoid these effects when these prove unnecessary for correct system temporal behaviour. With this intent in mind the theory of limited pre-emptive scheduling is devised for symmetric multicores. The model presented allows for the accurate definition of a
limited set of points where a given task may be pre-empted, hence allowing for reduced pessimism when analysing the effect of pre-emptions and migrations. The work presented in this Chapter largely follows what has already been presented in [MNP+13] and [DBM+13] but extends it as well in what respects to pre-emption delay integration into the analysis and on schedulability assessment of the ADS policy.
6.1 Global Fixed Task Priority Response Time Analysis
In this chapter the limited pre-emptive global scheduling theory is defined. The schedulability test is presented with three approaches to estimate the blocking from lower or equal priority non-pre-emptive regions. The new scheduling policy is shown to ensure that a job can be blocked by lower priority workload only before its first dispatch. This compares favourably with the scheduling policy termed RDS which is subject to multiple instances of blocking throughout the execution of a given job. The presented scheduling policy (ADS) dominates global fully pre-emptive fixed task priority and fully non-pre-emptive scheduling with respect to schedulability. As final contributions the blocking estimation mechanisms are compared against each other. Finally, the ADS policy is shown to drastically reduce the number of pre-emptions occurring in the schedule when compared to global fully pre-emptive scheduling.
In global fully pre-emptive fixed priority scheduling, if a task $\tau_j$ has no pending workload at the beginning of an interval, an upper bound on the workload which it may execute in an interval of length $t$ is given by [GSYY09]:
$$W_j^{NC}(t) = \left\lfloor \frac{t}{T_j} \right\rfloor \times C_j + \min(t \mod T_j, C_j)$$ \hspace{1cm} (6.1)
In (6.1) a release of a job from task $\tau_j$ is assumed to occur at time instant 0 and subsequent releases occur at the minimum inter-arrival time, in fact leading to a worst-case amount of workload released in an interval of length $t$ when no carry-in is present.
Similarly, if the same task $\tau_j$ might have some pending workload released before the beginning of the interval, a conservative upper-bound on the workload it may execute in an interval of length $t$ is given by [GSYY09]:
$$W_j^{\text{CI}}(t) = \left\lfloor \frac{\max(t - C_j, 0)}{T_j} \right\rfloor \times C_j + C_j + \min \left( \left[ \left[ t - C_j \right]_0 \mod T_j - (T_j - R_j) \right]_0, C_j \right)$$
In Equation (6.2) a job of task $\tau_j$ is assumed to be released before the start of the interval and that it will execute the bulk of the workload after the interval starts. The upper-bound present in Equation (6.2) assumes that the carry-in job from task $\tau_j$ was subject, since its release at time instant $-R_j^{UB} - C_j$ until the beginning of the interval, to the worst-case scenario such that this job has not executed any workload yet. The execution of the workload will terminate $R_j$ time units after the job was released. Subsequent jobs are released with the minimum inter-arrival separation. The second job is then released at time instant $T_j - R_j + C_j$. This constitutes a conservative estimation of the workload a task $\tau_j$ executes in a given time interval of length $t$ if there exists some pending workload released at some point before the beginning of the interval.
For the same task $\tau_j$ Equation (6.2) is an upper-bound on Equation (6.1), this can be observed from the graphical representation of both functions presented in Figure 6.1. The difference between the upper-bound considering a carry-in scenario and one where no carry-in is considered yields the following non-negative quantity:
$$W_j^{\text{diff}}(t) = W_j^{\text{CI}}(t) - W_j^{\text{NC}}(t)$$
In [GSYY09] it is shown that a conservative upper-bound on the amount of higher priority workload which will execute during the response time of a job from task $\tau_i$ is constructed by assuming that some $m - 1$ higher priority tasks have pending workload at the time of $\tau_i$’s job release and that a synchronous release of jobs from the remaining higher priority tasks occurs at the same instant as $\tau_i$’s job release. Writing this upper-bound in more formal terms yields:
$$\Omega_i(t) \overset{\text{def}}{=} \left( \sum_{l=1}^{m-1} \max_{\tau_j \in \text{hp}(i)} W_j^{\text{diff}}(t) \right) + \sum_{\tau_j \in \text{hp}(i)} W_j^{\text{NC}}(t)$$
Where $\max_{\tau_l \in \tau_1, \ldots, \tau_{l-1}}$ returns the $\ell^{th}$ greatest function value along the higher priority task’s workload dimension. In a situation where no higher priority task has carry-in workload at the beginning of the time interval, a sum over all the $W_j^{\text{NC}}(\tau_j, t)$ functions of tasks of
higher priority than $\tau_i$ would yield an upper-bound on the higher priority workload that would execute in the time interval of length $t$. Since it is known that in the worst-case some $m - 1$ tasks present carry-in workload at the beginning of the interval, then this additional workload will never exceed the difference between the maximum workload in a no carry-in situation and the carry-in situation. By choosing the $m - 1$ higher priority tasks which for a given interval length display the biggest difference between the no carry-in and carry-in situation and by summing these differences over all functions of no carry-in an upper-bound on the workload which higher priority tasks may execute in the interval of length $t$ is obtained.
In [Bak03] Baker showed that in a multi-core platform composed of $m$ identical cores, a unit of higher priority workload can interfere with the execution of task $\tau_i$ by at most $\frac{1}{m}$ time units. Consider that some task $\tau_j$ is executing on one processor during one time unit. By executing on this processor it will not prevent $\tau_i$ from getting hold of some other processing entity as there exist $m - 1$ others in the platform. In order for $\tau_i$ to be prevented from executing, the $m$ processors need to be busy. In order for $m$ cores to be busy for one time unit then $m$ time units of higher priority workload need to execute on the overall platform. Combining (6.4) and this fact enables the statement of the upper-bound on the overall interference a task $\tau_i$ is subject to in a time interval of length $t$. This is written as:
$$I_i(t) = \frac{\Omega_i(t)}{m} \quad (6.5)$$
When considering the fully pre-emptive global fixed task priority scheduling policy, by exploiting the upper-bound on the interference by higher priority workload, the following sufficient schedulability test is devised:
$$\forall \tau_i \in \mathcal{T}, \exists t \in [0, D_i] : I_i(t) + C_i \leq t \quad (6.6)$$
A task-set is said to be schedulable if for all task $\tau_i \in \mathcal{T}$ the condition in (6.6) holds. The schedulability test presented in (6.6) is a sufficient test. This means that some task-sets may indeed manage to meet all the deadlines even if for some tasks the condition in (6.6) is not met. Nevertheless if the condition is met for all the tasks in the taskset then the timing requirements of all the tasks are guaranteed to be met at run-time.
Similarly to the single processor case this condition need not be tested for all of the values in the continuous interval $[0, D_i]$ but rather for a finite number of time instants. Both functions $W_f^{\text{NC}}(t)$ and $W_f^{\text{CI}}(t)$ are piecewise linear functions, i.e. they may be defined as a set of linear functions in distinct time intervals. As a consequence of this, the $\Omega_i(t)$ function itself may be defined as a set of linear functions in distinct time intervals as well. Hence the relation $t - I_i(t)$ is maximized in the $[0, D_i]$ interval for some value $t \in \Gamma_i$. The set $\Gamma_i$ encloses the $\Gamma_i$ set of points where the first derivative of the function $\Omega_i(t)$ changes in value.
and the time instant of the deadline $D_i$ of $\tau_i$. The $\Gamma'_i \cup \{D_i\}$ set of points contains the points of interest when trying to maximize the value of $t - I_i(t)$.
Let us now focus on the derivation of the set $\Gamma_i$ containing the points where the condition has to be tested.
Figure 6.2: Functions $W^{\text{diff}}(\tau_j, t)$ depiction for two distinct relations between $C_j$ and $R_j$
The difference between $\Omega_i(t)$ and the supply line is maximized at some points where the $\Omega_i(t)$ first derivative changes value. The $\Omega_i(t)$ function has increases in its first derivative at specific points which are related to scenarios here described.
Since the $\Omega_i(t)$ function is a sum of two functions for each higher priority task, the changes in the $\Omega_i(t)$ function first derivative can only occur at any $t$ where either the first derivative of $W^{\text{diff}}(\tau_h, t)$ or $W^{\text{NC}}(\tau_h, t)$ changes or if both change.
1. first derivative increase of $W^{\text{NC}}(\tau_j, t)$:
occurs at every $k \times T_j$ (this can be observed in Figure 6.1)
\[
\Gamma_i^1 \overset{\text{def}}{=} \bigcup_{j \in \{1, \cdots, i-1\}} \left\{ k \times T_j | k \in \mathbb{N}, 0 \leq k \leq \frac{t}{T_j} \right\}
\]
2. first derivative increase of $W^{\text{diff}}(\tau_j, t)$:
occurs at every $k \times T_j + C_j - R_j$ (this can be observed in figures 6.1 and 6.2)
3. When there is a change in the set of \( m - 1 \) \( W^{\text{diff}}(\tau_j, t) \) functions with greatest value. Three distinct situations have to be considered. These distinct typology of occurrences can be observed in Figure 6.3 where the three situations are marked accordingly:
(a) When “upward segment” of one \( W^{\text{diff}}(\tau_j, t) \) “intersects a plateau” of another \( W^{\text{diff}}(\tau_k, t) \) function
(b) When “downward segment” of one \( W^{\text{diff}}(\tau_j, t) \) “intersects a plateau” of another \( W^{\text{diff}}(\tau_k, t) \) function
(c) When “upward segment” of one \( W^{\text{diff}}(\tau_j, t) \) “intersects” with a “downward segment” of another \( W^{\text{diff}}(\tau_k, t) \) function
Let us define the following variable \( MD_j = \min\{C_j, R_j - C_j\} \) which represents the maximum value of the function \( W^{\text{diff}}(\tau_j, t) \) for any time instant \( t \). The upward segments of \( W^{\text{diff}}(\tau_j, t) \) start at every \( k \times T_j + C_j - R_j \) and terminate at \( k \times T_j + C_j - R_j + MD_j \). Whereas a downward segment starts at every \( k \times T_j + C_j - MD_j \) and terminate at \( k \times T_j + C_j \).
In a time window of length \( t \), a task \( \tau_j \) has at most \( K_j = \left\lfloor \frac{t + R_j - C_j}{T_j} \right\rfloor \) upward segments of function \( W^{\text{diff}}(\tau_j, t) \) since for each \( k \leq \frac{t - C_j + R_j}{T_j} \) one upward segment starts inside the time interval of length \( t \). For the case 3a it suffices to check for each \( k \leq K_j \), \( k \times T_j + C_j - R_j + \max(MD_h, MD_j) \) and for each remainder higher priority task \( \tau_h \). Only \( MD_h \) units after its beginning can an upward segment of task \( \tau_j \) intersect a plateau of another task \( \tau_h \). In case the maximum value of \( W^{\text{diff}}(\tau_h, t) \) is greater than the maximum value of \( W^{\text{diff}}(\tau_j, t) \) then an
upward segment from $\tau_k$ will never intersect the plateau of $\tau_h$.
\[
\Gamma_i^{3a} \overset{\text{def}}{=} \bigcup_{j \in \{1, \cdots, i-1\}} \bigcup_{h \in \{1, \cdots, i-1\} \setminus j} \left\{ k \times T_j + C_j - R_j + \max(MD_h, MD_j) \mid k \in \mathbb{N}, 0 \leq k \leq K_j \right\}
\] (6.8)
In a time window of length $t$, a task $\tau_j$ has at most $L_j = \left\lfloor \frac{t - C_j + MD_j}{T_j} \right\rfloor$ downward segments of function $W^{\text{diff}}(\tau_i, t)$ since for any $l \leq \frac{t - C_j + MD_j}{T_j}$ a downward segment of $\tau_j$ starts in a time interval of length $t$. For the case 3b it is enough to check the condition for all $l \leq L_j$, $l \times T_j - C_j - \max(MD_h, MD_j)$ and for each remainder higher priority task $\tau_h$. If a downward segment from task $\tau_j$ intersects a plateau from task $\tau_h$ then the intersection occurs at $l \times T_j + C_j - MD_h$, i.e. $MD_h$ time units before the downward segment from $\tau_j$ ends. If the plateau of $\tau_h$ is greater than the plateau from $\tau_j$ this intersection never occurs.
\[
\Gamma_i^{3b} \overset{\text{def}}{=} \bigcup_{j \in \{1, \cdots, i-1\}} \bigcup_{h \in \{1, \cdots, j-1\} \setminus j} \left\{ l \times T_j + C_j - \max(MD_h, MD_j) \mid l \in \mathbb{N}, 0 \leq l \leq L_j \right\}
\] (6.9)
The third case 3c proves slightly more complex. For each of the $K_j$ downward segments from $\tau_j$, the possible upward segments of task $\tau_h$ with which it intersects need to be found. An intersection between an upward segment from $\tau_h$ and a downward segment from $\tau_j$ occurs at midpoint between the start of the upward segment and the end of the downward segment. Again, a downward segment from $\tau_j$ terminates at $k \times T_j + C_j$. This downward segment can only intersect with the upward segment from $\tau_h$ which started before time instant $k \times T_j + C_j$. The later upward segment from $\tau_h$ then starts at time instant
\[
\left\lfloor \frac{k \times T_j + C_j - C_h + R_h}{T_h} \right\rfloor \times T_h + C_h - R_h
\] (6.10)
The set $\Gamma_i^{3c}$ is then defined as:
\[
\Gamma_i^{3c} \overset{\text{def}}{=} \bigcup_{j \in \{1, \cdots, i-1\}} \bigcup_{j \in \{1, \cdots, i-1\} \setminus j} \left\{ \left\lfloor \frac{k \times T_j + C_j - C_h + R_h}{T_h} \right\rfloor \times T_h + C_h - R_h + k \times T_j + C_j \over 2 \right\rfloor \mid k \in \mathbb{N}, 0 \leq k \leq K_j \right\}
\] (6.11)
The set $\Gamma_i$ is finally constructed by applying the union set operation over all the previously described sets:
\[
\Gamma_i \overset{\text{def}}{=} \Gamma_i^1 \cup \Gamma_i^2 \cup \Gamma_i^{3a} \cup \Gamma_i^{3b} \cup \Gamma_i^{3c} \cup \{D_i\}
\] (6.12)
When the schedulability condition is tested over a discrete set of points the response time computation can still be efficiently carried out:
\[
t_1 = \min \{ t \in \Gamma_i | I_i(t) + C_i \leq t \} \tag{6.13}
\]
\[
t_2 = \max \{ t \in \Gamma_i | t < t_1 \} \tag{6.14}
\]
\[
R_i^{UB} = t_1 + \frac{I_i(t_1) + C_i - t_1}{1 - \frac{I_i(t_2) - I_i(t_1)}{t_2 - t_1}} \tag{6.15}
\]
The quantity \( R_i^{UB} \in (t_2, t_1] \) is the intersection between the line segment
\[
I(t) = \frac{I(t_1) - I(t_2)}{t_1 - t_2} \times t + I(t_1) - \frac{I(t_1) - I(t_2)}{t_1 - t_2} \times t_1 \tag{6.16}
\]
defined \( \forall t \in (t_2, t_1] \) and the supply line \( f(t) = t \).
The formulation of the sufficient schedulability condition presented in this work is equivalent to the one in [GSYY09].
### 6.2 GFTP Limited Pre-emptive Scheduling Policies
In a multi-core platform global fixed task priority fully pre-emptive scheduling discipline may be informally described as a policy where at any time \( t \) the \( m \) highest priority tasks with available workload execute on the \( m \) processors comprising the platform.
When tasks are composed of both pre-emptible and non-pre-emptible workload then more complex protocols may be devised reflecting the more complex nature of the workload. In this work two scheduling policies are considered:
1. **Regular Deferred Scheduling** (RDS): At any point in time, the pre-emptible jobs executing on any processor are eligible for being pre-empted by a higher priority job;
2. **Adapted Deferred Scheduling** (ADS): At any point in time a pre-emption can only occur if the lowest priority running job is pre-emptible, in which case the lowest priority running job is pre-empted from the processor on which it runs and the highest priority waiting job is dispatched onto the same processor.
Bear in mind that these are only two generalisations of the regular fully pre-emptive scheduling discipline. The RDS policy is the straightforward derivation of the fully pre-emptive scheduler whereas the ADS is an adaptation which enables some interesting properties with respect to lower priority interference to be achieved.
In the RDS policy, a higher priority job from \( \tau_i \) might suffer interference from lower priority non-pre-emptive regions more than once after \( \tau_i \) has commenced execution. A situation where said priority inversion occurs after the start of \( \tau_i \) execution may be observed.
in the top schedule displayed in Figure 6.4. In Figure 6.4 the crosses represent fixed pre-emption points. The bottom schedule in the same picture displays the ADS schedule for the specific workload pattern. In this case, before $\tau_i$ is pre-empted, all other lower priority workload has to be pre-empted first from the platform. A task can only be pre-empted if it is the task currently running upon some processor such that it has the lowest priority among all tasks currently executing in the system.
Once a task starts to execute its last non-pre-emptive region it ceases to suffer interference, as a consequence it is only subject to interference during the execution of the first $C_i - Q_i$ units of workload. The schedulability test then becomes:
$$\exists t \in [0, D_i - Q_i] : t - \frac{1}{m} \times \left( WA_i^{diff}(t) + \sum_{\tau_j \in \text{hp}(i)} W_j^{NC}(t) + A_i^{NC}(t) \right) - (C_i - Q_i) > 0$$
(6.17)
The corresponding upper-bound on the response time of a given task $\tau_i$ can thus be computed as:
$$R_i^{UB} = \min \left\{ t | t - \frac{1}{m} \times \left( WA_i^{diff}(t) + \sum_{\tau_j \in \text{hp}(i)} W_j^{NC}(t) + A_i^{NC}(t) \right) - (C_i - Q_i) > 0 \right\} + Q_i$$
(6.18)
Similarly to the fully pre-emptive scenario, the term $\sum_{\tau_j \in \text{hp}(i)} W_j^{NC}(t)$ upper-bounds the maximum interference that higher priority workload may induce on $\tau_i$ when no higher priority carry-in exists. The $A_i^{NC}(t)$ function characterizes the maximum amount of interference due to lower priority workload released inside the interval of interest, which may exhibit non-pre-emptive regions and hence prevent higher priority workload from executing on the processors. The function $WA_i^{\text{diff}}(t)$ encapsulates the maximum interference contribution from carry-in workload. This is workload which was released before or immediately before the beginning of the interval of interest and which will be executed inside the interval of interest.
Similarly to the fully pre-emptive GFTP sufficient test [GSYY09], where only $m - 1$ higher priority tasks with carry-in workload are considered, in the limited pre-emptive scheduling policies at most $m - 1$ higher priority tasks are considered to have carry-in (although the worst-case response time of higher priority tasks may be higher in the limited pre-emptive scenario).
In the case of non-pre-emptive regions there might exist at most $m$ lower priority tasks which were executing immediately before the start of the interval of interest. If some core is executing lower priority workload then this implies that this core cannot be executing higher priority carry-in in the beginning of the interval of interest. As a consequence then, if there are $k$ lower priority tasks executing non-pre-emptively in the beginning of the interval of interest, then there can be at most $m - k$ higher priority tasks with carry-in. The maximum additional workload due to the $k$ lower or equal priority tasks executing in the beginning of the interval of interest is denoted by $A_i^k$. The computation of an upper-bound of $A_i^k$ given a set of lower or equal priority non-pre-emptive regions is the subject of the subsequent sections.
The $WA_i^{\text{diff}}(t)$ function is defined as follows:
$$WA_i^{\text{diff}}(t) \overset{\text{def}}{=} \max_{k \in \{1, \cdots, m\}} \left\{ A_i^k + \sum_{l=1}^{m-k} \max_{\tau_h \in \tau_1, \cdots, \tau_{l-1}} W^{\text{diff}}(\tau_h, t) \right\}$$
### 6.3 RDS Lower Priority Interference
The RDS policy’s sufficient schedulability test was previously published in [DBM+13]. In the RDS policy the function $A_i^{NC}(t)$ can be constructed by considering that each non-pre-emptive region of any task with priority lower than $\tau_i$ may indeed interfere with $\tau_i$ execution. A lower priority non-pre-emptive region, from task $\tau_\ell$, may commence immediately before the release of a higher priority task $\tau_j$. If task $\tau_i$ happens to be executing pre-emptively or if it happens that the release of $\tau_j$ coincides with a pre-emption point, $\tau_i$ is pre-empted by $\tau_j$. In this case $\tau_i$ is indeed being interfered by $\tau_\ell$ which is of lower priority. This situation can occur for any non-pre-emptive region of a lower priority task. Hence an upper-bound on the
interference by lower priority workload can be written by resorting to Equation (6.20) and Equation (6.21).
\[
A_i^{NC}(t) = \sum_{j=i+1}^{n} \left\lfloor \frac{\max(t - C_j, 0)}{T_j} \right\rfloor \times Cv_j + \min \left( \left\lfloor \frac{[t - Cv_j]_0}{T_j - (T_j - R_j)} \right\rfloor_0, Cv_j \right)
\]
(6.20)
\[
A_i^L(t) = \sum_{j=i}^{n} Cv_j
\]
(6.21)
In equations (6.20) and (6.21) the quantity \(Cv_j\) is equal to the maximum amount of time that jobs from task \(\tau_j\) execute non-pre-emptively.
Equation (6.21) models the non-pre-emptive workload that might be released prior to the interval of interest and execute inside it. In turn the Equation (6.20) models the non-pre-emptive lower priority workload which can be released inside the interval of interest and execute inside the same interval.
In order to evaluate the schedulability increase obtained with RDS only a single last non-pre-emptive region is considered per task. Considering multiple last non-pre-emptive regions would virtually not aid on increasing the schedulability since only the last region manages to postpone effectively interfering workload and having more than one non-pre-emptive region would lead to a heavier share of lower priority workload being considered as interfering with the higher priority tasks.
### 6.4 ADS Lower Priority Interference
In the ADS policy \(A_i^{NC}(t) = 0\). Lower priority tasks may execute on other processors while \(\tau_i\) is executing, but higher priority workload will only be able to pre-empt \(\tau_i\) when \(\tau_i\) is the lowest priority task executing on any processor. As a consequence of this, lower priority workload can only interfere with \(\tau_i\) execution if they are currently executing once \(\tau_i\) is released. This is the key difference between ADS and regular fixed priority scheduling with deferred pre-emption (RDS).
Contrary to the single processor limited pre-emptive theory, where multiple jobs from \(\tau_i\) in a level\(-i\) busy period need to be checked for the temporal correctness, this is not the case in the presented schedulability condition ((6.17)). As a consequence, when \(m = 1\) the analysis provided is still safe albeit pessimistic as the provided test is sufficient but not necessary, whereas the test available in the literature for single processor is both necessary and sufficient [BLV07b, BLV09].
Theorem 13 (Correctness of the Schedulability Condition (6.17)). Let us assume that the term $A_i^k(t)$, in (6.19), gives an upper-bound on the workload generated by all the jobs from tasks with priority lower than or equal to $i$, released before time $t$ and executed non-pre-emptively on $k$ processors (the upper-bound computation is the subject of later sect). If (6.17) is satisfied for all task $\tau_i$ then the task-set is schedulable.
Proof. For a given $k \in [1, m]$, the equation in the brackets of (6.19) gives an upper-bound on the carry-in workload at time $t$, where (i) $k$ processors execute non-pre-emptive workload coming from $k$ lower or equal priority jobs released before time $t$, and (ii) $m - k$ processors execute pre-emptive workload coming from $m - k$ higher priority jobs released before time $t$.
Therefore, $WA_i^{diff}(t)$ as defined in Equation (6.19), which takes the max for all $k$, is an upper-bound on the carry-in workload at time $t$. From the definitions of $W_j^{NC}(t)$ and since $A_i^{NC}(t) = 0$, it holds for a given time-instant $t$ that the sum $WA_i^{DIFF}(t) + \sum_{\tau_j \in \text{hp}(i)} W_j^{NC}(t)$ gives an upper-bound on the total workload at time $t$ (including both carry-in and non carry-in workload from lower- and higher-priority tasks). The correctness of the condition given by Inequality (6.17) immediately follows from the meaning of this sum, i.e., if the condition is satisfied for a given $t$, then it means that any job from task $\tau_i$ will always be able to execute for at least $C_i - Q_i + \varepsilon$ time units within $D_i - Q_i$ time units from its release. Given that every job of $\tau_i$ will get the highest priority after executing for $C_i - Q_i + \varepsilon$ time units, it implies that all jobs of $\tau_i$ will have to execute its (at most) $Q_i$ remaining time units within the last $Q_i$ time units to their respective deadline, which they will always do.
In order to assess the schedulability of $\tau_i$ it is important to quantify $A_i^k$ where $k \in \{1, \cdots, m\}$. The derivation of upper-bounds for $A_i^k$ is the subject of the subsequent section.
### 6.5 Fixed Task Priority Limited Pre-emptive Schedulability Test
Having a characterization of the lower priority interference that each higher priority task is subject to, enables the derivation of a sufficient schedulability condition.
The task-set is deemed schedulable for a given set of last non-pre-emptive region for all the task $\tau_i \in \mathcal{T}$ if:
$$\forall \tau_i \in \mathcal{T}, \forall k \in \{1, \cdots, m\}, \beta_i^k(Q_i) \geq A_i^k$$
where
$$\beta_i^k(Q_i) \overset{\text{def}}{=} \max_{t \in [0, D_i - Q_i]} \left\{ m \times t - \sum_{\tau_j \in \text{hp}(i)} W_j^{NC}(t) - m \times (C_i - Q_i) - \sum_{l=1}^{m-k} \max_{\tau_h \in \tau_1, \cdots, \tau_{l-1}} W^{\text{diff}}(\tau_h, t) \right\}$$
(6.23)
6.6. MAXIMUM INTERFERENCE FROM LOWER OR EQUAL PRIORITY NON-PRE-EMPTIVE REGIONS IN ADS
The computation of the Function (6.23) can be performed by analyzing the limited set of time instants $\Gamma_i$ described previously.
$$F^k_i(t) = \max_{\{t' \in \Gamma_i \cup \{t\} | t' \leq t\}} \left\{ m \times t' - \sum_{\tau_j \in \text{hp}(i)} W^{NC}_j(t') - m \times C_i - \sum_{l=1}^{m-k} \max_{\tau_h \in \tau_1, \ldots, \tau_{l-1}} W^{\text{diff}}(\tau_h, t') \right\}$$ \hspace{1cm} (6.24)
Equation (6.23) may then be rewritten as:
$$\beta^k_i(Q_i) = F^k_i(D_i - Q_i) + Q_i \times m$$ \hspace{1cm} (6.25)
6.6 Maximum Interference from Lower or Equal Priority Non-Pre-emptive Regions in ADS
The ADS scheduling policy considered in this section dictates that a task can only be dispatched to run on one of the $m$ cores, at a time instant $t$, when either a core is idle or a pre-emption point of the lowest priority task running on any $m$ processors has been reached. The task which is pre-empted is then the lowest priority task running on any of the cores at time $t$.
The worst-case interference pattern generated by the lower or equal priority non-pre-emptive region execution is represented in Figure 6.5 for a platform where $m = 4$. In Figure 6.5 the crosses represent fixed pre-emption points. In a scenario where $m$ processors are executing lower or equal priority workload and several higher priority releases
occur, the first task to be pre-empted is $\tau_l$ which is of lower priority than the remainder ($\tau_l \prec \tau_a \prec \tau_s \prec \tau_d$) at time $t_l$ when a pre-emption point from $\tau_l$ is reached. In the worst case scenario task $\tau_a$ enters a non-pre-emptive region at time $t_l - \varepsilon$ and its next pre-emption point is reached at $t_l + \varepsilon + Q_a$. Subsequently in the worst-case situation $\tau_s$ has entered a non-pre-emptive region just before the pre-emption point of $\tau_a$ was reached.
Let us assume the total ordered set $\mathcal{LQ}_i = \{Q_n, \cdots, Q_i\}$ where, if $d > l$ then $Q_d \succ Q_l$. Each element of the $\mathcal{LQ}_i$ set represents the length of the non-pre-emptive region of task with priority equal or lower than $\tau_i$, the priority ordering among tasks is represented by the total ordering of the elements of the set.
Given a subset $\mathcal{LQ}_i$ of $\mathcal{LQ}_i$ with $k$ elements one can compute the $A^k_i$ area accurately, this is achieved in Algorithm 9. Algorithm 9 places non-pre-emptive regions in $\mathcal{LQ}_i$ in priority order. The first element $Q_1$ is the lowest priority element in $\mathcal{LQ}_i$ (observe that in case the subscript $\ell$ in $Q_\ell$ references the $\ell$th element in the totally ordered set $\mathcal{LQ}_i$), in the worst case its pre-emption point will be reached at $t_1 = Q_1$. At the end of the first iteration the variable $span$ is equal to $Q_1$. The span variable keeps track of the rightmost pre-emption point from all the tasks when these are placed in priority ordering in order to construct the maximum $A^k_i$ from the set of $\mathcal{LQ}_i$ values. Some task $\tau_s$ may not have enough $C_s$ such that its pre-emption point would be placed at $span + Q_s$, in which case the $span$ variable either remains constant if $C_s < span$, or $span = C_s$ otherwise.
Algorithm 9 takes as input a set of $k$ tasks with lower or equal priority than $\tau_i$ and returns the exact worst-case interference from these $k$ tasks on task $\tau_i$ – as a result, Algorithm 9 can be used to derive the exact worst-case interference from the lower priority tasks on any task $\tau_i$. However, doing so would require to enumerate all possible subsets of $k$ tasks out of the
set of all the tasks with a lower or equal priority than $\tau_i$ and the computation of the exact interference would be of exponential complexity.
As a compromise between accuracy and computation time, three methods are proposed to derive an *upper-bound* on the worst-case lower priority interference. The first one is the simplest (the least accurate and fastest) as it factors neither the task priorities, nor the WCET constraints in the computation and considers the maximum non-pre-emptive region length from all lower priority non-pre-emptive regions.
**ADS Blocking Estimation 1.**
The most straightforward method relies on considering the largest lower priority non-pre-emptive region and constructing the $A_i^k$ area with it in conjunction with at most a single instance of the non-pre-emptive region of task $\tau_i$ so as to encompass the self-pushing effect. This bound is stated in (6.26).
$$A_i^k \leq \frac{k}{2} \times (k + 1) \times \max\{\mathcal{LQ}_i\} \quad (6.26)$$
**ADS Blocking Estimation 2.**
The second method is slightly more complex, it considers a variety of last non-pre-emptive regions present in $\mathcal{LQ}_i$. The largest interference is obtained when the largest element of $\mathcal{LQ}_i$ is accounted for $k$ times (assuming the lowest priority for this task), the second largest is added up $k - 1$ times (assuming the second lowest priority for this task), etc., until the $k^{th}$ largest element which is only considered once. This upper-bound is stated in (6.27).
$$A_i^k \leq \sum_{j=1}^{k} Q_j^{\text{max}} \times (k - j + 1) \quad (6.27)$$
where $Q_j^{\text{max}}$ denotes the $j^{th}$ largest element in the set $\mathcal{LQ}_i$.
**ADS Blocking Estimation 3.**
By taking the priority ordering among the lower or equal priority tasks into account, it is possible to construct a less pessimistic upper-bound on the $A_i^k$ quantity. The problem can be formulated as follows: Find $k$ $\mathcal{LQ}_i$ element indexes $\{x_1, x_2, \ldots, x_k\}$ such that for all $j \in [1, k]$: $x_j \in [1, n-i]$, $\tau_{x_j} \prec \tau_{x_{j+1}}$ and the Function (6.28) is maximized
$$F = \sum_{j=1}^{k} Q_{x_j} \times (k - j + 1) \quad (6.28)$$
Henceforth a method providing a solution for this problem is presented in Algorithm 10. Firstly, consider the following problem reformulation which will introduce notation required for the Algorithm description and allow for its explanation.
**Problem 1:** Given a set of non-negative values \(\{Q_1, Q_2, \ldots, Q_{n-i+1}\}\) ordered by task priority (note that these subscripts relate to the position of the element in the totally ordered set, higher priority is associated to higher set index value) and a non-negative integer \(k \leq n - i + 1\), a table \(T\) was constructed with \(k\) rows and \(n - i + 1\) columns such that the value \(v_{y,z}\) of the cell in row \(y\) and column \(z\) is set to \(v_{y,z} = (k - y + 1) \times Q_z\) (rows are indexed from 1 to \(k\) and columns from 1 to \(n - i + 1\)). The problem consists of finding \(S\) for which there exists \(\{x_1, x_2, \ldots, x_k\}\) such that each \(x_j\), \(1 \leq x_j \leq n - i + 1\), denotes the index of a column and it holds that
1. \(x_j < x_k\), \(\forall\ 1 \leq j < k\), and
2. \(S = \sum_{j=1}^{k} v_{y,x_j}\) is maximum
The solution for this problem can be visualized as finding a path from the level \(k\) to level 1 in the network present in Figure 6.6. at each chosen node only nodes to the left can be taken as admissible entries into the path.
It is easy to see that a solution \(S\) to problem 1 is also a maximum value for the sum of (6.28), and thus an upper-bound on \(A^k_\ell\).
**Lemma 6.** \(S = v'_{k,n-i+1}\) is a solution to problem 1.
**Proof.** The proof is obtained by (double) induction, first on \(y\) (row index) and then on \(z\) (column index). It is shown for all \(y\) and \(z\), with \(1 \leq y \leq k\) and \(1 \leq z \leq n - i + 1\), that \(S = v'_{y,z}\) is the maximum value of the sum \(\sum_{\ell=1}^{y} v_{\ell,x_\ell}\), assuming that the \(k\) variables \(x_1, x_2, \ldots, x_k\) are such that \(x_\ell \in [1, z]\), \(\forall \ell\).
**base case:** \(y = 1\) and \(z = 1\).
The case is straightforward: \(v'_{1,1} = v_{1,1}\) and thus \(S = v'_{1,1}\) is the maximum value of the sum \(\sum_{\ell=1}^{y} v_{\ell,x_\ell}\) where there is only a single variable \(x_1\) and \(x_1 = 1\) is the only choice.
6.6. MAXIMUM INTERFERENCE FROM LOWER OR EQUAL PRIORITY NON-PRE-EMPTIVE REGIONS IN ADS
Algorithm 10: Algorithm to Compute $S$
The idea is to construct another table $T'$ based on $T$ as follows:
1. As $T$, the table $T'$ has $k$ rows and $n - i + 1$ columns.
2. $v'_{1,1} = v_{1,1}$
3. For the other cells $v'_{1,z}$ of the first row, with $z = 2, \ldots, n - i + 1$,
\[ v'_{1,z} = \max(v_{1,z}, v'_{1,z-1}) \]
4. For each row $y = 2, \ldots, k$:
(a) Set $v'_{y,y} = v_{y,y} + v'_{y-1,y-1}$
(b) The other cells $v'_{y,z}$ of the $y^{th}$ row, with $z = y + 1, \ldots, n - i - k + y + 1$,
\[ v'_{y,z} = \max(v_{y,z} + v'_{y-1,z-1}, v'_{y,z-1}). \]
Finally, $S = v'_{k,n-i+1}$
Inductive step on $z$: $y = 1$ and $1 < z \leq n - i + 1$.
By the induction, it is assumed that for $y = 1$ and for all $p \in [1, z - 1]$, $S = v'_{1,p}$ is the maximum value of the sum $\sum_{\ell=1}^{y} v_{\ell,x_\ell}$ where there is a single variable $x_1$ and $x_1$ is chosen within $[1, p]$.
By construction, $\forall z = 2, \ldots, n - i + 1$, the value $v'_{1,z}$ is defined as $v'_{1,z} = \max(v_{1,z}, v'_{1,z-1})$ and thus either $S = v'_{1,z}$ is equal to $v'_{1,z-1}$ (the maximum previously recorded and $x_1$ is chosen within $[1, z - 1]$) or it is equal to $v_{1,z}$, in which case $S = v_{1,z}$ is the maximum and $x_1 = z$ leads to the maximum sum $\sum_{\ell=1}^{1} v_{\ell,x_\ell}$ ($= S$).
Inductive step on $y$, base case on $z$: $1 < y \leq k$ and $z = y$.
The value $v'_{\ell,\ell}$ is defined as $v'_{z,z} = v_{z,z} + v'_{z-1,z-1} = \sum_{z=1}^{z} v_{z,z}$. Since $x_\ell < x_{\ell+1}$ for all $1 \leq \ell < y$, the only choice for the $y$ variables $x_1, x_2, \ldots x_y$ is to have $x_\ell = \ell$ for all $\ell \in [1, y]$. Therefore, $S = v'_{z,z}$ is the maximum value of the sum $\sum_{\ell=1}^{z} v_{\ell,\ell}$.
Inductive step on $y$ and $z$: $1 < y \leq k$ and $1 < z \leq n - i + 1$.
By the induction, it is assumed that for all $r \in [1, y - 1]$ and for all $p \in [1, z - 1]$, $S = v'_{r,p}$ is the maximum value of the $\sum_{\ell=1}^{r} v_{\ell,x_\ell}$ where the variables $x_1, x_2, \ldots, x_r$ are chosen within $[1, p]$.
By definition, the maximum value of the sum $\sum_{\ell=1}^{y} v_{\ell,x_\ell}$ assuming that the $y$ variables $x_1, x_2, \ldots, x_y$ are chosen within $[1, z]$, is equal to the maximum between
1. the maximum value of the sum $\sum_{\ell=1}^{y} v_{\ell,x_\ell}$ assuming that the $y$ variables $x_1, x_2, \ldots, x_y$ are chosen within $[1, z - 1]$, and
2. the maximum value of $\sum_{\ell=1}^{y-1} v_{\ell,x_y}$ assuming that the $y - 1$ variables $x_1, x_2, \ldots, x_{y-1}$ are chosen within $[1, z - 1]$ and $x_y = z$.
This is reflected at step (4b) where $v'_{y,z}$ is set to the maximum of both.
It is thus true that $v'_{y,z}$ holds the maximum value of the sum $\sum_{\ell=1}^{y} v_{\ell,x_\ell}$ assuming that the variables $x_1, x_2, \ldots, x_y$ are chosen within $[1, z]$. As the result holds for $y = k$ and $z = n - i + 1$ then $S = v'_{k,n-i+1}$ is a solution to problem 1. □
Algorithm 10 tests at most $(n - i - k + 1) \cdot k$ different scenarios since it traverses at most $n - i - k + 1$ elements $k$ times, which compares favourably with the brute force approach which would test the $\binom{n}{k}$ different legal scenarios.
So far the $A^k_i$ area has been upper-bounded by only taking into consideration the priority ordering between the non-pre-emptive regions of lower or equal priority tasks. It might be the case in fact that the worst-case execution time of the lower or equal priority tasks does not enable the result obtained with Algorithm 10 ever to occur in practice.
In the worst-case the blocking area cannot exceed the sum of the $k$ largest lower or equal priority task WCET:
$$A^k_i \leq \sum_{j=1}^{k} \max_{\ell \in \text{left}(i)} C_\ell$$ \hspace{1cm} (6.29)
### 6.7 System Predictability with Fixed Non-pre-emptive Regions
Let us consider a scenario where the priority ordering among tasks is provided *a-priori*. The goal is to compute a set of non-pre-emptive regions for each task such that the number of pre-emptions observed in a schedule is reduced. A first approach to solving this problem is presented in Algorithm 11. The task-set is parsed starting from the lowest priority task $\tau_n$. At each priority level $i$, the set of minimum $Q^k_i$ values which render the $m$ schedulability constraints (6.22) are found. From these $m$ values the largest one is chosen. Since the $\beta^k_i(Q_i)$ functions are monotonically non-decreasing, if $Q^k_i > Q^k_i$ and $\beta^k_i(Q^k_i) = A^k_i$ then $\beta^k_i(Q^k_i) \geq A^k_i$. Hence choosing the maximum $Q^k_i$ out of all the $m$ minimum values which make the $m$ inequalities true will still ensure the attainment of the schedulability condition. If, for any of the $m$ schedulability conditions there exists no $Q_i$ quantity for which $\beta^k_i(Q_i) = A^k_i$ then the task-set is deemed unschedulable.
**Algorithm 11: Minimum Last Non-pre-emptive Region Length ($Q_i$) Assignment**
```
for i ∈ {n, · · · , 1} do
for k ∈ {1, · · · , m} do
if ∃{Q_i | β^k_i(Q_i) = A^k_i} then
Q^k_i = {Q_i | β^k_i(Q_i) = A^k_i}
else
return UNSCHED
Q_i = max_{1≤k≤m} {Q^k_i}
return SCHED
```
Lemma 7 (Minimum Non-pre-emptive Region Assignment). Algorithm 11 provides the minimum set of $Q_i$ values $\forall \tau_i \in \mathcal{T}$ such that the task-set is schedulable under ADS with a given priority assignment.
Proof. Proof by induction. For task $\tau_n$ the quantity $Q_n$ computed by Algorithm 11 is the smallest last non-pre-emptive region length such that task $\tau_n$ is schedulable. As a consequence, the blocking that $\tau_n$ induces on the higher priority task is the minimum possible such that $\tau_n$ is schedulable.
Inductive step: Algorithm 11 yields the minimum last non-pre-emptive region length for a task $\tau_i$, $1 \leq i \leq n$ such that $\tau_i$ is schedulable. As a consequence of this the set of task $\{\tau_i, \cdots, \tau_n\}$ induces the lowest possible worst-case blocking to the higher priority workload such that those tasks are schedulable.
If for the same priority assignment any value $Q'_i \in \{Q'_1, \cdots, Q'_n\}$ it would happen that $Q'_i < Q_i$, then task $\tau_i$ would be unschedulable as a consequence. □
Theorem 14. The ADS policy dominates the fully pre-emptive and fully non-pre-emptive global fixed task priority with respect to schedulability.
Proof. This result is easily proven by observing that according to Lemma 7 the $Q$ vector outcome of Algorithm 11 is the smallest such that the taskset is schedulable. As a consequence, if $\mathcal{T}$ is schedulable under fully pre-emptive global fixed task priority the set $Q$ resulting from Algorithm 11 is such that $\forall Q_i \in \{Q_1, \cdots, Q_n\}: Q_i = 0$. Otherwise if $\mathcal{T}$ is not schedulable with fully pre-emptive global fixed task priority but it is with ADS then $\exists Q_i \in Q: Q_i > 0$. Similarly if a task is only schedulable with fully non-pre-emptive the $Q$ vector produced by algorithm 11 would be such that each $Q_i = C_i$. Since $A^k_i \leq \sum_{j=1}^{k} \max_{\ell \in lp(i)} C_\ell$ the maximum blocking lower priority tasks induce in ADS can in the worst-case be equal to that of fully non-pre-emptive and never greater. In a situation where $\forall i, Q_i = C_i$ the ADS policy is equivalent to the fully non-pre-emptive policy (i.e. the schedules produced are identical). □
Having the mechanism to produce the minimum set of $Q$ values which ensures the schedulability of the task-set in ADS the next step is to compute a set of non-pre-emptive regions where at least some of its constituents are larger than the corresponding components of the minimum vector but never smaller. Having larger $Q_i$ potentially leads to a smaller number of pre-emptions in the actual schedule as will be showcased in the Experimental Section.
Algorithm 12 takes as input the minimum $Q$ vector ensuring schedulability. Contrary to the minimum $Q$ vector computation procedure, now a top down approach is used (i.e. starting from the highest priority to the lowest). The resulting $Q'$ vector has all its elements larger or equal to the minimum $Q_i$ vector since by definition this is the smallest possible
Algorithm 12: Last Non-pre-emptive Region Length ($Q_i$) Assignment
\[
\begin{align*}
\textbf{for} \quad i \in \{1, \cdots, n\} & \quad \textbf{do} \\
\quad \textbf{for} \quad k \in \{1, \cdots, m\} & \quad \textbf{do} \\
\quad \quad Q_i^k &= \max\{Q | \forall j \in hep(i), \beta_j^k(Q_i) \geq A_j^k\} \\
\quad Q_i &= \min_{1 \leq k \leq m}\{Q_i^k\}
\end{align*}
\]
ensuring schedulability. At each priority level the maximum $Q_i$ quantity is assigned which still preserves the schedulability of higher priority tasks. It is considered that any remainder lower or equal priority task $\tau_\ell$ has a $Q_\ell$ equal to the maximum between any $Q_j$ where $j \in hep(i)$ and the minimum $Q_\ell$ which renders $\tau_\ell$ schedulable. This is due to the plausible scenario where a tasks with lower priority than $\tau_i$ processed in further iterations requesting a greater value than its minimum $Q_\ell$. Since at the given iteration the algorithm does not have information about future developments and in order to reduce complexity the future requests of lower priority tasks are limited to the values known to the algorithm in the current iteration. These are the set of minimum last non-pre-emptive region lengths ensuring the schedulability of each lower priority task and the set of assigned higher priority task last non-pre-emptive regions.
6.8 Experimental Section for an Overhead-free Platform Model
In this chapter the theory for limited pre-emptive global fixed task priority scheduling is presented. In order to assess the performance of this scheduling discipline firstly the relative performance of the three methods of estimating the blocking induced by lower or equal priority workload are examined.
6.8.1 Blocking Estimation
A total of 100 sets are generated, with $n$ $Q$ elements. These sets are intended to represent the last non-pre-emptive regions from all tasks in a given taskset. Each last non-pre-emptive region length is a randomly generated value in the range $[0, 300]$. The quantity $A_1^k$ to $A_{n-k}^k$ is upper-bounded for each of these $Q$ sets using the three methods described previously. The estimations are performed for each generated set of $Q$ values starting with priority 1 (i.e. computing $A_1^k$) until priority level $n-k$ ($A_{n-k}^k$). The average last non-pre-emptive region length ($Q_i$) is computed over the 100 task-sets for each priority level $i$ using each of the three methods. The results are presented in Figure 6.7.
From the results in Figure 6.7 it is clear that the third estimation mechanism outperforms the first two as expected. The first one is the crudest approximation, its estimations tend to be much more pessimistic than the other two. Whereas the second one, albeit simple
6.8. EXPERIMENTAL SECTION FOR AN OVERHEAD-FREE PLATFORM MODEL
Figure 6.7: Blocking Estimations (k=8, n=88).
enough, provides results that are similar to the third and most complex of the three. As the priority level decreases (i.e. task index increases) the estimations tend to decrease since any subset of $k$ values will necessarily be smaller than or equal to any in a larger set. The two latter methods tend to decrease their estimation faster as the priority level increases since the number of values to choose from decreases whereas the first method, by basing its estimation on the maximum value present in the set will not reduce its estimation as steeply.
6.8.2 Pre-emptions in Simulated Schedules
In order to assess the performance of the ADS scheduling policy with respect to the observed pre-emptions in a given schedule a simulator was created. Task-sets are randomly generated and the schedule produced by fully pre-emptive global fixed task priority and ADS is generated. In the simulated schedules the number of direct pre-emptions is extracted. Each task-set is randomly generated where $U_{tot}$ is the target total utilization. The individual task utilizations $0 < u_i \leq 1$ are obtained through the random fixed sum algorithm [ESD10] which provides uniformly distributed task-sets with total utilization in excess of 1. The execution requirement of each task $C_i$ is a uniformly distributed random variable in the interval $[100, 500]$. The relative deadlines of the tasks are computed then as $D_i = \frac{C_i}{u_i}$. The period of each task $T_i$ is equal to the relative deadline ($T_i = D_i$).
The priority assigned to the tasks is the same for both fully pre-emptive and ADS simulations. The heuristic employed to assign priorities is DkC [DB09]. The schedules are simulated for platforms comprising $m$ cores. In Figures 6.8 and 6.9 $m = 2$. Whereas Figures 6.10, 6.11 relate to simulations on four processors. The simulations are run for 5000000
time units. The total utilizations of the taskset are varied from 0.1 to $m$ with steps of 0.1 units. At each utilization level 100 random task-sets are generated and their schedules simulated.
Since ADS is compared against the global fully pre-emptive fixed task priority only task-sets which are schedulable by the latter are considered. As a consequence, while computing the last non-pre-emptive regions for each task with Algorithm 12 the minimum $Q$ vector considered is one where all elements are zero. Since the performance of the blocking estimation 1 is the most modest, this was put to use in order to get a sense of the worst-case performance of ADS and to show that even in those circumstances it compares quite favourably against the fully pre-emptive scheduler with respect to run-time pre-emptions.
From the presented results it is apparent that a large number of the pre-emptions are removed from the actual schedule. From figures 6.8 to 6.11 it is obvious that the number of pre-emptions in ADS tends to decrease with increases in $n$. This is due to the spread of the available utilization among constituents of the task-set. Consequently tasks will tend to have moderately similar deadlines and execution requirements. This is beneficial for obtaining larger admissible non-pre-emptive regions when compared to the execution time. The number of pre-emptions in both scheduling policies increase with the total utilization of the task-set, still the pre-emption increase in fully pre-emptive tends to be steeper than in the ADS schedule. Since the processors tend to be occupied for larger time intervals it is more likely that newly released jobs will induce a pre-emption.
As the number of processors increase the relative benefits of the ADS policy suffer a mild degradation (comparison between $m=4$ and $m=2$). This is due to the poor performance of the blocking estimation mechanism put to use in this simulation effort (ADS estimation 1) as it will severely over-estimate the actual worst-case blocking time tasks will be subject
Figure 6.9: Observed Pre-emptions in Simulated Schedules, $m=2,n=32$
Figure 6.10: Observed Pre-emptions in Simulated Schedules, $m=4,n=32$
to and as a consequence will lead to smaller non-pre-emptive region lengths. This induces more pre-emptions points in the tasks and hence more possibilities for pre-emptions to occur. To be noted that the blocking estimation 1 and estimation 2 in this case would yield similar results since by taking a top down approach and by assuming that the lower priority non-pre-emptive regions would be equal to $Q_i$, the $\Lambda^k_i$ estimate is the same for both methods as there would exist only a single distinct non-pre-emptive region length value which would be mandatorily the maximum. Another shortcoming general to all the approximate blocking estimation mechanisms presented in this work is that these do not take into account the maximum execution requirement of the lower or equal priority tasks. As $m$ increases so does the pessimism involved in the estimation step since the stair-case pattern of blocking is subject to cruder overestimations as the number of steps increases.
### 6.8.3 Schedulability assessment of RDS vs. ADS
This section gathers experimental data comparing the schedulability performance of the RDS against the ADS policy. The experimental results were extracted using DkC [DB09] priority ordering. Task-sets are generated using the random fixed sum algorithm [ESD10] providing uniformly distributed task-sets with total utilization in excess of 1. The variable $m$ denotes the number of cores and $n$ the total number of tasks. Results are presented for the following platform configuration pairs ($\{m,n\}$): \{2,10\}, \{2,20\}, \{4,20\} and \{4,40\}. The results are obtained considering total utilizations ranging from $U_{tot} = \frac{m}{16}$ until $U_{tot} = m - \frac{m}{16}$ with a stepping of $\frac{m}{16}$ between consecutive points. For each utilization point 1000 task-sets are generated and the schedulability of these is assessed using the ADS, RDS and fully pre-emptive schedulability tests. The response time of each task is computed, starting from
the lowest priority. For each task $\tau_i$ which are not schedulable with $Q_i = 0$, the smallest possible last non-pre-emptive region ensuring schedulability is computed (if one exists). The label ADS refers to the method presented in [DBM+13] with a single last non-pre-emptive region (i.e. all tasks have at most one non-pre-emptive region, the remainder of the workload executes pre-emptively).
**Figure 6.12:** Results for $m=2$ and $n=10$ with $T_i \in [400, 40000]$
The figures 6.12 to 6.15 relate to scenarios where the execution time of the tasks varies between 40 and 40000. As previously observed in [MNP+13], ADS appears not to behave well with increases on the number of processors. This is due to the inherent pessimism taken when upper-bounding the worst-case blocking suffered in ADS. It grows larger with the number of available cores. Increasing the number of tasks also makes the schedulability of ADS deteriorate in comparison to RDS. The RDS scheduling policy seems to provide a better overall performance in comparison to ADS, in scenarios where the pre-emption delay is negligible. Nevertheless it is apparent that no domination relation exists between the two (ADS and RDS). As expected the fully pre-emptive scenario performs not as well as the limited pre-emptive strategies.
Figure 6.13: Results for $m=2$ and $n=20$ with $T_i \in [400, 40000]$
Figure 6.14: Results for $m=4$ and $n=20$ with $T_i \in [400, 40000]$
Figure 6.15: Results for $m=4$ and $n=40$ with $T_i \in [400, 40000]$
6.9 Accounting for Pre-emption Delay in the Global Schedule
The limited pre-emptive theory is of little interest if the actual pre-emption delay is not integrated into the schedulability analysis. In this section bound on the additional workload due to the pre-emptive behaviour are obtained for both fully pre-emptive and the limited pre-emptive models.
6.9.1 Pre-emption and Migration Delay Bound for Fully Pre-emptive GFTP
In multiprocessor, alongside pre-emptions, migrations can additionally. A pre-emption may originate a migration (in case these are allowed by the scheduler) if the pre-empted workload commences to execute on another processor. When a task migrates a similar phenomenon to cache pollution from pre-empting tasks occurs as the cache of the processor the task migrated to will hypothetically not hold any of the memory lines the migrated task will reference when executing. This delay is generally termed by CPMD (Cache related pre-emption and migration delay).
An upper-bound on the pre-emption delay generated in the level-$i$ fully pre-emptive GFTP schedule can be derived by considering that:
- each higher priority task released can induce at most one pre-emption or migration
- when a job from task $\tau_j$ induces a pre-emption or migration on a jobs of tasks $\tau_k$ where $k > j$:
1. if the pre-emption delay is suffered by some task $\tau_k$ ($j < k < i$) then the overhead is trivially treated as higher priority workload
2. if $\tau_i$ suffers the pre-emption then two scenarios might occur:
(a) the pre-emption delay is paid while other higher priority workload is executing on the other cores. In this situation the additional workload constituted by the pre-emption delay is indistinguishable from another higher priority workload and hence can be considered to have an equal interference contribution (divide the workload by $m$).
(b) the pre-emption delay is paid when at least one of the remainder cores is idle on work of priority level-$i$. In this scenario it might seem as the interference contribution by $CPMD$ units the pre-emption delay exceeds the $\frac{CPMD}{m}$, as there is no simultaneous contribution from higher priority workload which is not directly interfering with $\tau_i$ execution. Nevertheless note that in order for a first pre-emption to occur $m$ prior higher priority job releases had to occur. Subsequent pre-emption occur if some $k$ higher priority jobs terminate their execution allowing $\tau_i$ to regain access to one processor. Subsequently another $k$ higher priority tasks have to be released for
the next pre-emption to occur. If all higher priority tasks are assumed to virtually generate the worst-case pre-emption penalty a safe pre-emption delay upper-bound is obtained since even if the pre-emption delay is actually being paid while other processors are idle on level-$i$ workload at least $m - 1$ virtual CPMD compensations were considered in the analysis to fully accommodate the interference suffered by task $\tau_i$.
From the aforementioned set of assumptions a function quantifying the level-$i$ schedule pre-emption and migration delay is stated in Equation (6.30) as was derived by Devi [Dev06]. We have to consider that $m - 1$ higher priority tasks were already executing and were preempted hence we consider the $m - 1$ largest migration delay penalties to interfere with the execution of $\tau_i$.
\[
\text{PD}^{\text{FP}}(t, i) = \left( \sum_{k=1}^{m-1} \max_{h \in \{1, \cdots, i-1\}} \text{CPMD}_h \right) + \sum_{j=1}^{i-1} \left\lfloor \frac{t}{T_j} \right\rfloor \cdot \max_{k \in \{j+1, \cdots, i\}} \{\text{CPMD}_k\}
\]
(6.30)
### 6.9.2 Pre-emption and Migration Delay Bound for ADS GFTP
**Figure 6.16:** Execution model
In the limited pre-emptive schedule with multiple non-pre-emptive regions each job is composed of a set of non-pre-emptive regions delimited by pre-emption points. As is depicted in the Figure 6.16 each non pre-emptive region has a length at run-time which cannot exceed $Q_i$ time units. In order to achieve this, the maximum distance for execution in isolation between the two pre-emption points delimiting the $k^{th}$ non-pre-emptive region is $L_i^k = Q_i - \text{CPMD}_i^k$. Where $\text{CPMD}_i^k$ denotes the maximum pre-emption/migration delay that can be paid during the execution of the $k^{th}$ non-pre-emptive region.
Without loss of generality we simplify the model by stating that $\text{CPMD}_i^1 = 0$ and $\forall k \in \{2, \cdots, n - 1\}$ then $\text{CPMD}_i^k = \text{CPMD}_i^{k+1}$. As a consequence of this, $L_i^1 = Q_i$ and $\forall k \in \{2, \cdots, n - 2\}$ we have that $L_i^k = L_i^{k+1}$. As for the last non-pre-emptive region we have that $L_i^n = C_i - N_i^{\text{ADS}} \cdot L_i^2$.
Since, in the ADS framework, each task can only be pre-empted at a non-pre-emptive region boundary, a job from task $\tau_i$, with an isolation WCET of $C_i$, can be pre-empted at
most:
\[
N_i^{\text{ADS}} = \left\lfloor \frac{C_i - Q_i}{Q_i - \text{CPMD}_i} \right\rfloor + 2
\]
(6.31)
\[
\text{PD}^{\text{ADS}}(t, i) = \sum_{k=1}^{m-1} \max_{h \in \{1, \cdots, t-1\}} \text{CPMD}_h + \sum_{j=1}^{i-1} \left\lfloor \frac{t}{T_j} \right\rfloor \cdot N_i^{\text{ADS}} \cdot \text{CPMD}_j
\]
(6.32)
### 6.9.3 Pre-emption and Migration Delay Bound for RDS (Last Region only) GFTP
In this model, each job from a task \( \tau_i \) executes the initial \( C_i - Q_i \) units of work in a pre-emptive manner. It also holds true that any higher priority job release can induce at most one pre-emption or migration. Hence the RDS last region only model has the same pre-emptive bound defined in Eq. (6.30) where only the initial \( C_i - Q_i \) units of workload are eligible to be pre-empted.
### 6.9.4 Pre-emption and Migration Delay Bound for RDS (Multiple Non-pre-emptive Regions) GFTP
In a similar fashion as for the ADS schedule each task can only be pre-empted at a non-pre-emptive region boundary, hence the upper-bound stated in equation (6.32) is itself a bound on the pre-emptions delay generated in the level-\( i \) RDS schedule.
Contrary to fully pre-emptive and ADS, in the RDS with multiple non-pre-emptive regions, each job release may potentially induce \( m \) pre-emptions. This effect is depicted in Figure 6.17. In this picture the following task index relationship exists \( j < k < l < d \), i.e. \( \tau_j \) has the highest priority and \( \tau_d \) has the lowest.
In accordance with this observation then the fully pre-emptive pre-emption and migration delay, unlike for ADS, is not an upper-bound on the pre-emption delay occurring in the RDS schedule with multiple non-pre-emptive regions.
All pre-emption delay functions are trivially integrated into the previously defined workload functions. The remainder of the schedulability tests remain unchanged.
### 6.10 Schedulability Assessment of ADS vs. Fully Pre-emptive with CPMD
In this section the performance of ADS is compared to the one of Fully Pre-emptive for platforms where the CPMD is non-negligible.
Task-sets are generated using the random fixed sum algorithm [ESD10] providing uniformly distributed task-sets with total utilization in excess of 1. The variable $m$ denotes the number of cores and $n$ the total number of tasks. Results are presented for the following platform configuration pairs $\{(m,n)\}$: \{2, 10\}, \{2, 20\} and \{3, 15\}. The results are obtained considering total utilizations ranging from $U_{tot} = 1$ until $U_{tot} = m - 0.1$ with a stepping of 0.1 between consecutive points. For each utilization point 1000 task-sets are generated and the schedulability of these is assessed using the ADS, RDS and fully pre-emptive schedulability tests. The response time of each task is computed, starting from the lowest priority.
The experimental set-up is similar to the one employed in section 6.8.3. As an addition to the previous model a $CPMD_i$ cost is randomly generated for each task $\tau_i$ in the interval $[0,40]$. This constitutes a single pre-emption cost. Every time a job from task $\tau_i$ is preempted it will incur on an execution time increase of $CPMD_i$.
Since the higher priority interference is a function of the number of pre-emptions points each higher priority task has then the assignment of last non-pre-emptive regions is drawn from higher priorities downwards.
#### 6.10.1 Discussion of Pre-emption Delay Results
The results comparing schedulability achieved in platforms with non-negligible pre-emption delay comparing the ADS policy with fully pre-emptive are displayed in figures 6.18 to 6.20. Here it is apparent that the limited pre-emptive scheduling policy ADS has a much better schedulability performance when compared to the fully pre-emptive mechanisms. In fact when compared to the results obtained in prior sections (figures 6.12 to 6.15) it is trivial to see that the relative gains presented by the ADS strategy dramatically increases when pre-emption delay is considered. As the task-set size increases so does the relative gain provided by the ADS strategy since in the fully pre-emptive scheduling there will be more higher priority releases and hence an increase in the estimation of pre-emptions and
6.10. SCHEDULABILITY ASSESSMENT OF ADS VS. FULLY PRE-EMPTIVE WITH CPMD
Figure 6.18: Results for $m=2$ and $n=10$ with $T_i \in [400, 40000]$ and CPMD value per Pre-emption as a random variable in the interval $[0, 40]$
migrations. The schedulability results for fully pre-emptive are taken as a proxy of those of the RDS policy with a single final non-pre-emptive region. This mode is subject to largely the same pre-emption delay penalty as fully-pre-emptive. Moreover the multiple non-pre-emptive region RDS is ignored as this will have a pre-emption delay function which is the same as the ADS policy but a schedulability which resembles fully non-pre-emptive since all lower priority non-pre-emptive regions are assumed to interfere with the execution of higher priority tasks.
6.11 Global Floating Non-pre-emptive Scheduling
Contrary to the fixed non-pre-emptive regions (as stated in previous chapters) the non-pre-emptive regions can be commanded by the scheduler and not rely on pre-specified pre-emption points. In the single processor case the floating non-pre-emptive region scenario is quite simple in nature due to the fact that $m = 1$. When there is only one task executing at the time of a higher priority release it is straightforward to assume that the pre-emption will be delayed as much as the higher priority schedule can accommodate before a deadline miss occurs in the future.
In the global multiprocessor scenario this decision is not so trivial. This stems from the fact that multiple tasks of lower priority than the current release may be executing on each processor. The question is then, how many different protocols can be derived and which desirable properties can be inferred from these?
For each task $\tau_i$ a maximum allowed lower priority blocking term can be straightforwardly derived from the sufficient schedulability condition. The sufficient schedulability equation for fully pre-emptive scheduling is presented in Equation (6.6). A sufficient blocking tolerance for any task $\tau_j$ is a quantity $\beta_j$, similarly to the single core scenario, such that the following relationship is held:
$$\forall \tau_j \in \mathcal{T}, \exists \beta_j, t \in [0, D_j] : I_j(t) + C_i + \beta_j = t$$ \hspace{1cm} (6.33)
Figure 6.20: Results for $m=3$ and $n=15$ with $T_i \in [400, 40000]$ and CPMD value per Pre-emption as a random variable in the interval $[0, 40]$
In the scenario where the condition present in Equation (6.33) is met all tasks are fully pre-emptively schedulable and can endure an additional interference from $\beta_j$ units of lower priority workload without jeopardizing their deadlines in any conceivable scenario.
It is important to realize that several protocols can be devised for the floating non-pre-emptive region in global multicore scheduling by exploiting variable degrees of information available at run-time and a variable degree of dynamism in the choices to be taken. Only a sub-set of these – composed of the ones which are deemed most relevant – is presented here. Also, only static methods are presented in order to ease access by the reader.
In the following discussion, in order to ease clarity of exposure and similarly to the single-core situation the variable $NPL_i$ denotes the length of each non-pre-emptive region of task $\tau_i$.
The simplest of these protocols is a direct adaptation of the single processor one:
**Floating NP Protocol 1:** After any task $\tau_j$ releases a job, in case there exists a job from any task $\tau_i$ where $i > j$ and $\tau_i$ is the lowest priority task in execution then a non-pre-emptive region commences in all $m$ processors with a duration of $NPL_i$. Any number of additional tasks may release jobs during the interval where the non-pre-emptive region is occurring. When the non-pre-emptive region interval elapses the $m$ highest priority jobs in the ready queue are dispatched onto the processors.
In order to guarantee the safety of this protocol the following condition has to be respected when deciding on the non-pre-emptive region length to assign tasks:
\[
NPL_i \leq \frac{\min_{1 < k < i} \{ \beta_k \}}{m}
\]
(6.34)
The second protocol may also be portrayed as a derivation of the single processor floating non-pre-emptive region model for the global scheduler.
**Floating NP Protocol 2:** Each lower priority task \( \tau_i \) executing upon a processor, whenever a higher priority release occurs – provided it is not currently executing non-pre-emptively – commences to execute non-pre-emptively for a predefined non-pre-emptive region length \( NPL_i \).
This length is defined in a manner such that higher priority tasks can never suffer an interference which would jeopardize their deadlines’ attainment. Consider the set \( NPL(a,k) \) to denote the set of non-pre-emptive region lengths \( \{ NPL_a, NPL_{a+1}, \cdots, NPL_{k-1}, NPL_k \} \).
The following set of conditions are sufficient to ensure that all higher priority tasks meet their deadlines in protocol 2 for any possible set of non-pre-emptive region length which respects the posed conditions.
\[
\forall k \in \{1, \cdots, n\}, \beta_k \geq \sum_{k=1}^{m} \max_{i=1}^{k} \{ NPL(k,n) \}
\]
(6.35)
These conditions are overall more flexible with respect to the choice of non-pre-emptive regions which are admissible to be chosen in comparison to the Condition (6.34). Still the simple solution for the assignment defined as \( NPL_i = \frac{\min_{1 < k < i} \{ \beta_k \}}{m} \) respects both conditions (6.34) and (6.35) and hence can be employed with both mechanisms.
In a situation where the non-pre-emptive region length is not monotonically decreasing with decrease in priority an additional term has to be considered when computing the interference each task can suffer. In fact each task is then subject to an upper-bound on its interference due to lower priority tasks (\( LP \)) which can be quantified as:
\[
LP = \left\lfloor \frac{C_i}{NPL_i} \right\rfloor \times \sum_{k=1}^{m-1} \max_{i < \ell \leq n} \{ NPL_i - NPL_\ell \}
\]
(6.36)
As far as the design-time guarantees are concerned, the Protocol 1 only ensures that each task \( \tau_i \) can execute non-pre-emptively for a time interval which is of at least \( NPL_n \) time units. The off-line guarantees offered by Protocol 2 are better in the sense that each task \( \tau_i \) is guaranteed to execute non-pre-emptively for \( NPL_i \) consecutive time units.
Other mechanisms can be devised to exploit additional run-time knowledge in the same light as what is exposed in Chapter 3.1 these are not studied for the multiprocessor.
6.12 Schedulability Increase for Fixed Non-pre-emptive GEDF
So far the limited pre-emptive scheduling has been solely discussed in the context of Global Fixed Task Priority disciplines. It can nevertheless be applied to Global EDF. The question remains whether there exists a schedulability gain when comparing fully pre-emptive to the limited pre-emptive model. In the single processor case – as a consequence of the optimality of EDF when scheduling constrained deadlines task-sets – the limited pre-emptive model does not yield an increased schedulability gain [YBB11b].
A simple example task-set present in table 6.1 suffices when showing that indeed the fixed non-pre-emptive model allows for a schedulability increase in the GEDF scenario.
| | $C_i$ | $D_i$ | $T_i$ |
|---|-------|-------|-------|
| $\tau_1$ | 2 | 5 | 5 |
| $\tau_2$ | 2 | 5 | 5 |
| $\tau_3$ | 8 | 11 | $\infty$ |
Table 6.1: GEDF example task-set
Consider a platform composed of two processors ($m=2$)
First consider the case for the schedulability of tasks $\tau_1$ and $\tau_2$, a constructed worst-case scenario for these tasks is displayed in Figure 6.21a. In this initial case there exists a job of $\tau_3$ which has a deadline at time instant 5 and as a consequence was released at $t = -6$. By absurdity, since one is solely focusing on the schedulability of tasks $\tau_1$ and $\tau_2$, consider that this job of task $\tau_3$ suffered sufficient interference such that at $t = 0$ it still has a remaining workload of 5 time units which it completes by its absolute deadline. In this case (Figure 6.21a) task $\tau_2$ is suffers an interference of 2 time units and terminates its workload at $t = 4$ long ahead of its deadline. Note that $\tau_1$ and $\tau_2$ are interchangeable since these have the same workload requests and relative periods and deadlines. Since both $\tau_1$ or $\tau_2$ cannot, in any other conceivable situation, suffer more interference when scheduled by GEDF than in this contrive example the logical conclusion that both ($\tau_1$ and $\tau_2$) will always meet their deadlines is derived.
Consider now the scenario depicted in Figure 6.21b. In this distinct scenario the schedulability of $\tau_3$ is investigated. In this scenario we observe a synchronous release situation which leads to $\tau_3$ suffering a total interference of 4 time units, this will lead to a deadline miss at $t = 11$. Nevertheless it is apparent that if task $\tau_3$ would execute in a non-pre-emptive manner it would always be able to commence execution never later than 2 units since its release. Since once it would start to execute it would do so until completion it would terminate its computation at least 2 time units before its deadline. Bear in mind that the full non-pre-emptive nature of task $\tau_3$ is in fact a particular case of the limited pre-emptive scenario. With this simple toy example the effective domination between Limited Pre-emptive
GEDF and GEDF is established. This means that there are task-sets for which a valid limited pre-emptive GEDF schedule exists whereas GEDF itself fails to schedule the task-set.
Showing this relationship for very particular and concrete examples gives an indication that a LPGEDF analysis could be derived such that it would dominate the regular GEDF sufficient test. This work follows mainly on the lines of what has been previously described for Limited Pre-emptive GFTP.
Both the GFTP and GEDF schedulability test rely on the consideration of the set of tasks which may interfere with the one under analysis and the creation of upper-bounds on the interference these tasks can exert.
The schedulability test for global EDF is constructed by considering the general bound
per higher priority task considered in Equation (6.2) in conjunction with another bound on the workload specific to the EDF priority ordering (Eq (6.37))
\[
W_j^{NC-EDF}(t) = \max \left( 0, \left( \left\lfloor \frac{t - D_j}{T_j} \right\rfloor + 1 \right) \times C_j \right)
\]
(6.37)
The \(WA_i^{diff-EDF}(t)\) function is defined as follows:
\[
WA_i^{diff-EDF}(t) \overset{\text{def}}{=} \max_{k \in \{1, \cdots, m\}} \left\{ W_j^{CL}(t) - W_j^{NC-EDF}(t) \right\}
\]
(6.38)
Following what is derived by Baruah in [Bar07] a task-set \(T\) is deemed schedulable on fully pre-emptive GEDF if the following condition holds:
\[
\forall \tau_i \in T, \forall L \in [0, L^i_{UB}] : \\
L + D_i - \frac{1}{m} \times \left( WA_i^{diff-EDF}(L + D_i) + \sum_{\tau_j \in T} W_j^{NC-EDF}(L + D_i) - C_i \right) + C_i \geq 0
\]
(6.39)
where \(L_{UB}\) is defined as [Bar07]:
\[
L^i_{UB} = \frac{\sum_{k \in \{1, \cdots, m\}} \max_{j \in \{1, \cdots, n\}}^k C_j - D_i \times (m - U(T)) + \sum_{j \in \{1, \cdots, n\}} (T_j - D_j) \times U_j + m \times C_i}{m - U(T)}
\]
(6.40)
Following the observation that with limited pre-emptive scheduling each job cannot be pre-empted once it commences executing its final non-pre-emptive region then the schedulability test for the fixed non pre-emptive region model becomes:
\[
\forall \tau_i \in T, \forall L \in [0, L^i_{UB}] : L + D_i - Q_i - \frac{1}{m} \times \\
\left( WA_i^{diff-EDF}(L + D_i) + \sum_{\tau_j \in T} W_j^{NC-EDF}(L + D_i) - C_i \right) + C_i - Q_i \geq 0
\]
(6.41)
Consequently, for each task, a lower bound on the maximum allowed deferral time without jeopardizing the deadline obtention is written in a similar fashion to the GFTP:
\[
\beta_i^{EDF} \overset{\text{def}}{=} \min_{L \in [0, L_{UB}]} \left\{ B | L + D_i - Q_i - B - \frac{1}{m} \times \\
\left( WA_i^{diff-EDF}(L + D_i) + \sum_{\tau_j \in T} W_j^{NC-EDF}(L + D_i) - C_i \right) + C_i - Q_i = 0 \right\}
\]
(6.42)
Chapter 7
Summary and Future Directions
Most of the computational mechanisms controlling physical processes must adapt to the timing constraints governing their dynamics. Characterizing the temporal properties of these computational processes is detrimental to ensure their fitness its purpose. By resorting to simplified models of the hardware platform and of the software these temporal details can be formally studied and properties obtained and proven safe. This thesis borrows several widely employed models in the real-time community, namely the workload executing on each platform is described as a recurrent execution demand with a given worst-case quantity which is requested with a minimum temporal separation between consecutive instances. The hardware model is one where each task can only execute on one processor at a time and once a pre-emption occurs there can exist a potential pre-emption delay once the pre-empted task resumes execution.
By using these common models this thesis proposes novel contributions to the real-time area in four main areas.
**Thesis Contributions:**
- **Single Processor Limited Pre-emptive Theory Extension:**
The static nature of the state of the art considering the limited pre-emptive model was extended. This allowed for a considerable reduction on the observed number of pre-emptions. Moreover a smaller upper-bound on the number of pre-emptions each task is subject to is provided (comparing the run-time extension against the static version of the limited pre-emptive scheduling). The run-time extension is only applicable to the floating non-pre-emptive model, naturally, as the fixed non-pre-emptive model relies on pre-specified pre-emption points which are not amenable to straightforward run-time changes. Similarly to the proven schedulability increase enabled by the fixed non-pre-emptive regions a similar behaviour was sought for the floating model. In this thesis it is shown that even though the floating non-pre-emptive model does dominate the fully pre-emptive fixed task priority from the schedulability point
of view, it is hard to analyse and a critical instant is currently unknown. In this thesis a similar mechanism was devised where a given task would lock the ready-queue after a pre-specified time length if it still has remaining workload to execute. This prevents it from being interfered upon by any task which was released after this particular time instant. The provided methodology to assign the ready-queue locking interval is not optimal. For some task-sets currently deemed unschedulable there exists $RQL_i$ assignments which would indeed schedule these. The Ready-queue locking mechanism was further integrated with the pre-emption threshold in order to further extend the schedulability and gain heighten reduction on the pre-emption count.
- **Pre-emption Delay Estimation for the Floating Non Pre-emptive Region Model:**
The usage of the floating non-pre-emptive region model in the state of the art works so far only allowed for a reduction on the number of pre-emptions quantified at design time. Generally in the real-time literature the maximum pre-emption delay penalty existing in any execution point of a task is considered, conservatively, to be the penalty suffered for every pre-emption. Generally it is expected that the pre-emption cost will vary and in ideal cases the large pre-emption cost value will be significantly different from the more average pre-emption cost observable in through the tasks’ code. In this thesis a method to model the variable pre-emption cost as a function of the task progression is presented. An algorithm taking this information as input is presented to derive a lesser pessimistic pre-emption delay for the floating non-pre-emptive region model. This algorithm is extended incorporating another function which models the cumulative number of intrinsic cache misses. Tasks most likely have many possible executions paths. Different paths might have different pre-emption delay values. In turn some of the paths which are not part of the critical path can have their slack to the critical path exploited when considering the pre-emption delay of the task. Paths with high associated pre-emption delay penalties and large intrinsic cache misses count can have their function reduced taking into account the slack of these path to the critical one. By considering these altered function a still safe pre-emption delay estimation is obtained with a most of the times significant reduction on the analysis pessimism.
- **Ensuring Temporal Isolation in Platforms with Non-negligible Pre-emption Overheads:**
Temporal isolation is more often than not overlooked in the real-time theory. This is partly due to the fact that for a large part there is ample support for this guarantee in platforms where the pre-emption delay is inexistent or largely negligible. Another aspect of this is that generally works that take pre-emption delay into consideration are solely trying to address this issue and its quantification in particular. When other issues are the subject of study the pre-emption delay is generally absent
from the system model. This thesis proves that temporal isolation to in some cases is no longer ensured in platforms where the pre-emption delay exists in a significant form. It is nevertheless proven as well that the proposed mechanisms allow for generally lower resource expenditure – in terms of allocated budgets – when only the declared execution times of tasks cannot be trusted upon.
- **Derivation of the Limited Pre-emptive Theory for Global Multiprocessor Scheduling:**
The state of the art in for limited pre-emptive was mainly focused on single core scheduling. Some works existed regarding non-pre-emptive scheduling of tasks in multiprocessor global scheduling. This thesis nevertheless constitutes the first derivation of the limited pre-emptive theory for global multiprocessor scheduling algorithms. On the derivation of the fixed non-pre-emptive region model two possible protocols were investigated and compared against. The floating non-pre-emptive region model theory is itself addressed as well. Even though most of the work was carried out assuming fixed global task priority schedulers it is shown that the limited pre-emptive scheduling mechanism allows for a schedulability increase in the GEDF case. Experimental results were obtained in order to assess whether the same patterns observed for single core would translate into global scheduling with respect to schedulability and overall estimation of pre-emptions.
**Thesis – Limited pre-emptive schedulers allow for significantly reducing pessimism in the pre-emption delay accounting in single-core and for enhanced schedulability when employing global fixed task priority schedulers**
Throughout this document, apart from the accessory section on temporal isolation, this thesis has been proven in a specific theoretical model. Real platforms are much more complex than the models employed. It is plausible that this theoretical advantage is not directly translatable into system design as some mechanism overheads may degrade the performance of the limited pre-emptive framework construction. For sake of completeness it is worth noting that, in the theoretical model average case behaviour, the limited pre-emptive schedule may be subject to higher pre-emption delay though this can never be the case in the worst-case estimations.
### 7.1 Future Directions
**Single-core Run-time Proofs-of-concept:** Similarly to many other works in the real-time community, this thesis entails a more theoretical approach to the previously discussed subjects. Real-time as a study area exists with the purpose of providing practitioners a relevant
guidance in their systems building problems, particularly in what concerns to the timing issues. The work carried out in the course of this thesis has itself the intent of being practically viable. As such it is worth to trial whether the proposed run-time extensions to the floating non-pre-emptive region scheduling has a real benefit when comparing the implementation overhead of the policy. The additional resources spent taking the decisions may lead to inefficiencies in the system and lead to actual shorter executions from the pre-empted tasks. The mechanism itself also relies on an interrupt routine to be run which might itself – if care is not taken while implementing it – pollute the cache in a significant way and hence increase the pre-emption delay it is trying to mitigate. In par with this run-time extension although not to the same level the ready-queue locking mechanism should also be implemented as an actual real-time scheduling policy in order to assess its run-time overhead in comparison to single-core EDF as its main goal is to increase schedulability so that the system designer does not have to resort to single core EDF which is known to present a high run-time overhead for particular task-sets.
**Limited Pre-emptive Model Pre-emption Delay Computation:** Every literature on the limited pre-emptive model whether quantifying the number of pre-emptions or quantifying the actual pre-emption delay does it so per task. The outcome of every work – this thesis is no exception – is a bound on the number of times each task can be pre-empted. In certain scenarios the overall bounds for the pre-emption delay in the entire schedule obtained might be more pessimistic than the outcome of the trivial fully pre-emptive mechanisms. This scenario can manifest itself when the length of the non-pre-emptive regions is small when compared to the total length of the task. The theory that exploits the additional knowledge provided by the limited pre-emptive theory and derives tight schedule-wise pre-emption estimations demands further study. Thus far it not clear which form this solution would take even from a high level perspective. In the case of the fully pre-emptive scenario it is now well accepted that quantifying the pre-emptions form the point of view of the pre-empting tasks rather than a per task bound leads to much better results as many pre-emptions are not multiply accounted. This is likely to be the same case in the limited pre-emptive methodology.
**Temporal Isolation in Multicores:** The work presented in this thesis pertaining to the temporal isolation has been derived considering purely single core scenarios. Most of the works derived for single-core platforms can generally be directly ported to multicore devices provided that fully partitioned scheduling is employed. This tenet is not applicable to the temporal isolation property since the interference that concurrent tasks – executing on distinct processors – reciprocally induce, occurs on shared architectural devices which are different in nature from the ones existing in the singlecore. In a multicore platform
not only the tasks would share the usage of architectural features such as the cache, these would also access memory controllers and other mechanisms alike. Even if some trivial solutions could be devised whether for the fully partitioned and for the global cases with respect to the memory controller concurrent access – for instance setting up budgets for the memory access – these lead to heavy resource usage. These solutions do not mitigate the contention in the shared resources but rather just police it. It is common for the schedulability assuming the worst-case scenario to become inferior when compared to single-core execution. Further work is then required to ensure that workload can indeed execute efficiently in a multi-processor platform while still ensuring a sufficient degree of separation between workloads running concurrently on different cores.
**Multiprocessor Limited Pre-emptive Practice:** As for the single processor works presented in this thesis, the limited pre-emptive work suffers from lack of a real platform implementation which enables its fitness as a scheduling solution to be tested. Moreover, it is widely accepted that the nature of the global scheduling algorithms considered (GFTP and GEDF) is such that very little information about the worst-case run-time events is known at design time (i.e. number of pre-emptions and migrations). In this way the limited pre-emptive theory helps the system designer in that it allows for a considerable more amount of information to be used in the temporal analysis. Nevertheless more effort should be taken in order to assess whether the scheduling policies could be slightly changed in order to tight the maximum considered number of migrations. As of the current state of the work all pre-emptions are considered to induce a migration. The presented theory also lacks an integration of the bus contention which tasks are faced with. The limited pre-emptive model, namely the fixed non-pre-emptive kind, may prove a valuable framework in which bus requests are clamped together in order to provide more determinism on their temporal occurrence and hence lending more information for the intra-core interference arising from the system execution.
7.1. FUTURE DIRECTIONS
[AB04] Luca Abeni and Giorgio Buttazzo. Resource reservation in dynamic real-time systems. *Journal on Real-Time Systems*, 27, 2004.
[AB09] Sebastian Altmeyer and Claire Burguiere. A new notion of useful cache block to improve the bounds of cache-related preemption delay. In *ECRTS*, 2009.
[AB11] Sebastian Altmeyer and Claire Maiza Burguière. Cache-related preemption delay via useful cache blocks: Survey and redefinition. *Journal of Systems Architecture*, 2011.
[ABEL09] Martín Abadi, Mihai Budiu, Úlfar Erlingsson, and Jay Ligatti. Control-flow integrity principles, implementations, and applications. *ACM Transactions on Information System Security*, 13(1), 2009.
[AMR10] Sebastian Altmeyer, Claire Maiza, and Jan Reineke. Resilience analysis: tightening the crpd bound for set-associative caches. In *LCTES*, 2010.
[Bak03] Theodore Baker. Multiprocessor edf and deadline monotonic schedulability analysis. In *RTSS*, 2003.
[Bar05] Sanjoy Baruah. The limited-preemption uniprocessor scheduling of sporadic task systems. In *ECRTS*, 2005.
[Bar07] Sanjoy Baruah. Techniques for multiprocessor global schedulability analysis. In *RTSS*, 2007.
[BB04a] Enrico Bini and Giorgio Buttazzo. Biasing effects in schedulability measures. In *ECRTS*, 2004.
[BB04b] Enrico Bini and Giorgio Buttazzo. Schedulability analysis of periodic fixed priority systems. *Transactions on Computers*, 2004.
[BB10] M. Bertogna and S. Baruah. Limited preemption edf scheduling of sporadic task systems. *Transactions on Industrial Informatics*, 2010.
[BBA10] Andrea Bastoni, Björn Brandenburg, and James Anderson. Cache-related preemption and migration delays: Empirical approximation and impact on schedulability. In *OSPERT 2010*, Jun 2010.
[BBM⁺10] M. Bertogna, G. Buttazzo, M. Marinoni, Gang Yao, F. Esposito, and M. Caccamo. Preemption points placement for sporadic task sets. In *ECRTS*, 2010.
[BCSM08] B.D. Bui, M. Caccamo, Lui Sha, and J. Martinez. Impact of cache partitioning on multi-tasking real time embedded systems. In RTCSA, 2008.
[BDM09] G. Blake, R.G. Dreslinski, and T. Mudge. A survey of multicore processors. IEEE Signal Processing Magazine, 2009.
[Bet10] Adam Betts. Hybrid Measurement-Based WCET Analysis using Instrumentation Point Graphs. PhD thesis, University of York, 2010.
[BLV07a] R.J. Bril, J.J. Lukkien, and W.F.J. Verhaegh. Worst-case response time analysis of real-time tasks under fixed-priority scheduling with deferred preemption revisited. In ECRTS, 2007.
[BLV07b] R.J. Bril, J.J. Lukkien, and W.F.J. Verhaegh. Worst-case response time analysis of real-time tasks under fixed-priority scheduling with deferred preemption revisited. In ECRTS, 2007.
[BLV09] R.J. Bril, J.J. Lukkien, and W.F.J. Verhaegh. Worst-case response time analysis of real-time tasks under fixed-priority scheduling with deferred preemption. Journal of Real-Time Systems, 2009.
[BMSO⁺96] J.V. Busquets-Mataix, J.J. Serrano, R. Ors, P. Gil, and A. Wellings. Adding instruction cache effect to schedulability analysis of preemptive real-time systems. In RTSS, 1996.
[Bur95] Alan Burns. Preemptive priority-based scheduling: an appropriate engineering approach. In Advances in real-time systems, 1995.
[BXM⁺11] Marko Bertogna, Orges Xhani, Mauro Marinoni, Francesco Esposito, and Giorgio Buttazzo. Optimal selection of preemption points to minimize preemption overhead. In ECRTS, 2011.
[CC77] Patrick Cousot and Radhia Cousot. Abstract interpretation: a unified lattice model for static analysis of programs by construction or approximation of fixpoints. In SIGACT-SIGPLAN, 1977.
[CP01] A. Colin and I. Puaut. Worst-case execution time analysis of the rtems real-time operating system. In ECRTS, 2001.
[DB09] Robert I. Davis and Alan Burns. Priority assignment for global fixed priority pre-emptive scheduling in multiprocessor real-time systems. In RTSS, 2009.
[DB11] Robert I. Davis and Alan Burns. A survey of hard real-time scheduling for multiprocessor systems. ACM Computing Survey, 43(4):35:1–35:44, Oct 2011.
[DBM⁺13] Rob Davis, Alan Burns, José Marinho, Vincent Nélis, Stefan M. Petters, and Marko Bertogna. Global fixed priority scheduling with deferred pre-emption. RTCSA, 2013.
[DD10] M. Destelle and J.-L. Dufour. Deterministic scheduling reconciles cache with preemption for wcet estimation. In ECRTS, 2010.
[Dev06] UmaMaheswari Devi. *Soft Real-Time Scheduling on Multiprocessors*. PhD thesis, University of North Carolina at Chapel Hill, 2006.
[DFP01] Radu Dobrin, Gerhard Fohler, and Peter Puschner. Translating off-line schedules into task attributes for fixed priority scheduling. *RTSS*, 2001.
[DL97] Z. Deng and J.W.-S. Liu. Scheduling real-time applications in an open environment. In *RTSS*, 1997.
[DTB93] R.I. Davis, K.W. Tindell, and A. Burns. Scheduling slack time in fixed priority pre-emptive systems. In *RTSS*, 1993.
[EEKS06] Stijn Eyerman, Lieven Eeckhout, Tejas Karkhanis, and James E. Smith. A performance counter architecture for computing accurate cpi components. *Operating Systems Review*, 2006.
[ESD10] Paul Emberson, Roger Stafford, and Robert I. Davis. Techniques for the synthesis of multiprocessor tasksets. In *WATER*, 2010.
[GMR00] Laurent Georges, Paul Muhlethaler, and Nicolas Rivierre. A few results on non-preemptive real time scheduling. Research Report RR-3926, INRIA, 2000.
[GSYY09] Nan Guan, Martin Stigge, Wang Yi, and Ge Yu. New response time bounds for fixed priority multiprocessor scheduling. In *RTSS*, 2009.
[JCR07] Lei Ju, S. Chakraborty, and A. Roychoudhury. Accounting for cache-related preemption delay in dynamic priority schedulability analysis. In *DATE*, 2007.
[KBL10] U. Keskin, R.J. Bril, and J.J. Lukkien. Exact response-time analysis for fixed-priority preemption-threshold scheduling. In *ETFA*, 2010.
[Lam] W. Lamie. Preemption threshold. Technical report. Available online: http://rtos.com/articles/18833.
[LB05] C. Lin and S.A. Brandt. Improving soft real-time performance through better slack reclaiming. In *RTSS*, 2005.
[LHS⁺98] Chang-Gun Lee, Joosun Hahn, Yang-Min Seo, Sang Lyul Min, Rhan Ha, Seongsoo Hong, Chang Yun Park, Minsuk Lee, and Chong Sang Kim. Analysis of cache-related preemption delay in fixed-priority preemptive scheduling. *Transactions on Computers*, 1998.
[LKPB06] Caixue Lin, Tim Kaldewey, Anna Povzner, and Scott A. Brandt. Diverse soft real-time processing in an integrated system. In *RTSS*, 2006.
[LL73] C. L. Liu and James W. Layland. Scheduling algorithms for multiprogramming in a hard-real-time environment. *Journal of the ACM*, 1973.
[LLH⁺01] Chang-Gun Lee, Kwangpo Lee, Joosun Hahn, Yang-Min Seo, Sang Lyul Min, Rhan Ha, Seongsoo Hong, Chang Yun Park, Minsuk Lee, and Chong Sang Kim. Bounding cache-related preemption delay for real-time systems. *Transactions on Software Engineering*, 2001.
[LRT92] J.P. Lehoczky and S. Ramos-Thuel. An optimal algorithm for scheduling soft-aperiodic tasks in fixed-priority preemptive systems. In RTSS, 1992.
[LSD89a] J. Lehoczky, L. Sha, and Y. Ding. The rate monotonic scheduling algorithm: exact characterization and average case behavior. In RTSS, 1989.
[LSD89b] John Lehoczky, Lui Sha, and Y. Ding. The rate monotonic scheduling algorithm: Exact characterization and average case behavior. In RTSS, 1989.
[McK04] Sally A. McKee. Reflections on the memory wall. In CCF, 2004.
[MNP⁺13] José Marinho, Vincent Nélis, Stefan M. Petters, Marko Bertogna, and Rob Davis. Limited pre-emptive global fixed task priority. RTSS, 2013.
[MNP14] José Marinho, Vincent Nélis, and Stefan M. Petters. Temporal isolation with preemption delay accounting. ETFA, 2014.
[MNPP12a] José Marinho, Vincent Nélis, Stefan M. Petters, and Isabelle Puaut. Preemption delay analysis for floating non-preemptive region scheduling. In DATE, 2012.
[MNPP12b] José Marinho, Vincent Nélis, Stefan Markus Petters, and Isabelle Puaut. An improved preemption delay upper bound for floating non-preemptive region. In SIES, 2012.
[MP10] José Marinho and Stefan Markus Petters. Runtime crpd management for rate-based scheduling. In WARM, CPSWeek, 2010.
[MP11] J. Marinho and Stefan M. Petters. Job phasing aware preemption deferral. In EUC, 2011.
[MPB12] José Manuel Marinho, Stefan M. Petters, and Marko Bertogna. Extending fixed task-priority schedulability by interference limitation. In RTNS, 2012.
[MRNP11] José Marinho, Gurulingesh Raravi, Vincent Nélis, and Stefan Markus Petters. Partitioned scheduling of multimode systems on multiprocessor platforms: when to do the mode transition? In RTSOPS, 2011.
[NAMP11] Vincent Nélis, Bjorn Andersson, José Marinho, and Stefan Markus Petters. Global-edf scheduling of multimode real-time systems considering mode independent tasks. In ECRTS, 2011.
[NCS⁺06] Fadia Nemer, Hugues Cassé, Pascal Sainrat, Jean-Paul Bahsoun, and Marianne De Michiel. Papabench: a free real-time benchmark. In WCET, 2006.
[NMR03] Hemendra Singh Negi, Tulika Mitra, and Abhik Roychoudhury. Accurate estimation of cache-related preemption delay. In CODES+ISSS, 2003.
[NP08] L. Nogueira and L.M. Pinho. Shared resources and precedence constraints with capacity sharing and stealing. In IPDPS, 2008.
[OY98] Sung-Heun Oh and Seung-Min Yang. A modified least-laxity-first scheduling algorithm for real-time tasks. In RTCSA, 1998.
[PF01] Stefan M. Petters and Georg Färber. Scheduling analysis with respect to hardware related preemption delay. In WCET, 2001.
[RGBW07] Jan Reineke, Daniel Grund, Christoph Berg, and Reinhard Wilhelm. Timing predictability of cache replacement policies. Real-Time Systems Journal, 2007.
[RM06a] Harini Ramaprasad and Frank Mueller. Bounding preemption delay within data cache reference patterns for real-time tasks. In RTAS, 2006.
[RM06b] Harini Ramaprasad and Frank Mueller. Tightening the bounds on feasible preemption points. In RTSS, 2006.
[SE04] Jan Staschulat and Rolf Ernst. Multiple process execution in cache related preemption delay analysis. In EMSOFT, 2004.
[SKKC00] Youngsoo Shin, Daehong Kim, Daehong Kimü, and Kiyoung Choi. Schedulability-driven performance analysis of multiple mode embedded real-time systems, 2000.
[SSE05] J. Staschulat, S. Schliecker, and R. Ernst. Scheduling analysis of real-time systems with precise modeling of cache related preemption delay. In ECRTS, 2005.
[SSL89] Brinkley Sprunt, Lui Sha, and John Lehoczky. Aperiodic task scheduling for hard-real-time systems. Journal on Real-Time Systems, 1989.
[SW00] M. Saksena and Yun Wang. Scalable real-time system design using preemption thresholds. In RTSS, 2000.
[TM07] Yudong Tan and Vincent Mooney. Timing analysis for preemptive multitasking real-time systems with caches. Transactions on Embedded Computing Systems, 2007.
[WA12] Jack Whitham and Neil Audsley. Explicit reservation of local memory in a predictable, preemptive multitasking real-time system. In RTAS, 2012.
[WEE+08] Reinhard Wilhelm, Jakob Engblom, Andreas Ermedahl, Niklas Holsti, Stephan Thesing, David Whalley, Guillem Bernat, Christian Ferdinand, Reinhold Heckmann, Tulika Mitra, Frank Mueller, Isabelle Puaut, Peter Puschner, Jan Staschulat, and Per Stenström. The worst-case execution-time problem—overview of methods and survey of tools. Transactions on Embedded Computing Systems, 2008.
[Win] Wind River. VxWorks Platforms. http://www.windriver.com/products/product-notes/PN_VE_6_9_Platform_0311.pdf.
[WS99] Yun Wang and M. Saksena. Scheduling fixed-priority tasks with preemption threshold. In RTCSA, 1999.
[YBB09] Gang Yao, Giorgio Buttazzo, and Marko Bertogna. Bounding the maximum length of non-preemptive regions under fixed priority scheduling. *RTCSA*, 2009.
[YBB10] Gang Yao, G. Buttazzo, and M. Bertogna. Comparative evaluation of limited preemptive methods. In *ETFA*, 2010.
[YBB11a] Gang Yao, Giorgio Buttazzo, and Marko Bertogna. Feasibility analysis under fixed priority scheduling with limited preemptions. *Journal Real-Time Systems*, 2011.
[YBB11b] Gang Yao, Giorgio Buttazzo, and Marko Bertogna. Feasibility analysis under fixed priority scheduling with limited preemptions. *Journal of Real-Time Systems*, 2011.
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Parish Office
1101 S. Lafayette • Ft. Wayne, IN 46802
Hours ........ Mon.-Thurs. 8:30 am-4:00 pm
Fri. 8:30 am-2:00 pm
Telephone ......................... (260) 424-8231
Fax ........................................... (260) 426-2029
Email ....................... firstname.lastname@example.org
Mail .................................. P.O. Box 11383
Ft. Wayne, IN 46857-1383
Parish Staff
Pastoral Associate & SVDP
Anthony Henry .................. (260) 424-8231
Sacramental Coordinator
Mary Kay Matasky............ (260) 424-8231
Music Director
Greg Childs ...................... (260) 466-8770
Mary’s Kids Director
Therese Spencer ............... (260) 747-4242
Liturgical Environment
Chuck Luther ..................... (260) 424-8231
Bulletin Editor
Jan Kortenber ................. (260) 424-8231
Office & Hall Manager
Sue Koester ...................... (260) 424-8231
Business Manager
Julie Crouch ...................... (260) 424-8231
Receptionist
Karen Grashoff.................. (260) 424-8231
Nursery Director
Judy Parrott ...................... (260) 420-1929
Wedding Coordinator
Rebecca Silkworth ........... (260) 223-7018
Building Operations/SK Deliveries
Tom Freehill ..................... (260) 424-8231
St. Mary’s Soup Kitchen Director
Diane Day ....................... (260) 428-1217
Soup Kitchen Volunteer Coordinator
Dee Kumfer ..................... (260) 422-4968
Ave Maria House
Dottie Carpenter............... (260) 424-3355
Prayer Line
Dottie Carpenter............... (260) 705-1690
Chairperson Parish Pastoral Council
Jennifer Hayes .................. (260) 450-2193
Parish Mission Statement
“Believing in faith in action, St. Mary Mother of God Catholic Church strives to reach out to others through the joyful celebration of Word and Sacrament, embracing diversity, and working for peace, justice, and non-violence.”
Parish Membership Welcome
Our warmest welcome to all who celebrate with us, whether visitors, long time residents, or newly arrived in the parish. We thank God for you. If you wish to register, please call the parish office, pick up a registration form in the pew, or complete below and place in collection basket.
Name ___________________________________________ Phone No _______________________
Address _____________________________________________________________________________
City ____________________________________________ Zip ________________________________
Check one:
_____ New Parishioner _____ New Address _____ New Phone Number _____ Moving, remove from list
Sacraments
Matrimony
Arrangements are to be made with priest at least 6 months in advance. Pre-marriage instruction required.
Sick and Communion Call
Please keep the Church Office informed of the sick and homebound, particularly when there is serious illness.
Baptism
For details please call the Church Office. Baptismal Preparation is required for parents.
Reconciliation
Sunday: 10:00am-10:30am OR Anytime by appointment.
Rite of Christian Initiation of Adults
Call Parish Office for information.
Parish Pastoral Council
Nov., Jan., Mar., May, 1st Sunday, after Mass
Bulletin Deadline
Monday 12:00 pm
Call or email submissions.
Tiny fingers and toes. A little yawn. A loud cry. An infant wrapped in swaddling clothes. "What will this child be?" It is a question every parent asks time and time again. As first steps are taken, as personalities emerge, as a child shows interest in reading or drawing or climbing, the question is on our lips. "What will this child be?" This question is asked as John the Baptist is born. Will he be a priest like his father? Does his strange, unexpected name signal a departure from that inheritance? Could Elizabeth and Zechariah ever have predicted what would be?
Under the tutelage of his priestly father, John "became strong in spirit." As an adult, John would retreat into the desert to preach repentance. He would attract a large following and eventually attract the attention of the rulers of the day. He would point out the adulterous ways of King Herod and would find himself in prison. Eventually, he would be beheaded. But today, he is a child, an infant newly born.
On this special feast, we're reminded of the great humility required of parents. The character formation, the discipline and encouragement, the violin lessons and soccer practices. Every parental effort is subjected to the decisions of the child. Even children on a sure track by high school graduation transform under life's circumstances. Entrusting our children to God can be incredibly intimidating. "What will this child be," especially when that transformation lies outside of my control? John the Baptist's story might not have ended as his parents imagined. But he is celebrated as the greatest of the prophets, as the one who prepared the way for the Messiah. Here is the hope of all Christian parents -- that our children would be raised in such a way that when people meet them, they meet Jesus Christ.
**RESPONSORIAL PSALM**
*I praise you, for I am wonderfully made.*
---
**Sunday, June 24**
**Sacristan:** Chuck Luther
**Commentator/Petitions:** Rena Zirille
**Servers:** Tommy O'Neil, Lauren O'Neil, Gary O'Neil
**First Reading:** John Barnett
**Second Reading:** Andrea Thomas
**Extraordinary Ministers of Holy Communion:** Chuck Luther, Pat McBride, Theresa Spencer, Ken Yahne, Louise Yahne, Rosemary Mausser, Maureen McCon, Prosper Batinge
**Ushers:** Greg Gemperline, Angela Spencer, Joe Spencer, John Peterson
**Greeters:** Scott & Rita Zehr
---
**Sunday, July 1**
**Sacristan:** Sue Koester
**Commentator/Petitions:** Tom Rumschlag
**Servers:** Noah Johnson, Katy Parrott, Kera Parrott
**First Reading:** Carmen Doyle
**Second Reading:** Ann SeCheverell
**Extraordinary Ministers of Holy Communion:** Sue Koester, John Barnett, Eugenia Barnett, Jennifer Hayes, Maureen McCon, Rosemary Mausser, Maxine Stovall, Angela Greven
**Ushers:** Dennis Doyle, Gary Grider, Antonio Salazar, Greg Gemperline
**Greeters:** Malachi Johnson, Mary Ashby
---
*to everything there is a season and a time for every purpose under heaven*
"a time to be born..."
"a time to love..."
"a time to be healed..."
*Please pray for the sick of our Parish*
"a time to die"
"and a time for peace"
*and in our world, all people, both military and civilian who are in the midst of war or natural disasters.*
**Ecclesiastes 3:1f**
---
**Readings for the Week of June 24, 2018**
**Sunday:** Vigil: Jer 1:4-10/Ps 71:1-2, 3-4, 5-6, 15, 17 [6b]/1 Pt 1:8-12/Lk 1:5-17
Day: Is 49:1-6/Ps 139:1-3, 13-14, 14-15 [14a]/Acts 13:22-26/Lk 1:57-66, 80
**Monday:** 2 Kgs 17:5-8, 13-15a, 18/Ps 60:3, 4-5, 12-13 [7b]/Mt 7:1-5
**Tuesday:** 2 Kgs 19:9b-11, 14-21, 31-35a, 36/Ps 48:2-3ab, 3cd-4, 10-11 [cf. 9d]/Mt 7:6, 12-14
**Wednesday:** 2 Kgs 22:8-13; 23:1-3/Ps 119:33, 34, 35, 36, 37, 40 [33a]/Mt 7:15-20
**Thursday:** 2 Kgs 24:8-17/Ps 79:1b-2, 3-5, 8, 9 [9]/Mt 7:21-29
**Friday:** Vigil: Acts 3:1-10/Ps 19:2-3, 4-5 [5a]/Gal 1:11-20/Jn 21:15-19
Day: Acts 12:1-11/Ps 34:2-3, 4-5, 6-7, 8-9 [5b]/2 Tm 4:6-8, 17-18/Mt 16:13-19
**Saturday:** Lam 2:2, 10-14, 18-19/Ps 74:1b-2, 3-5, 6-7, 20-21 [19b]/Mt 8:5-17
**Next Sunday:** Wis 1:13-15; 2:23-24/Ps 30:2, 4, 5-6, 11, 12, 13 [2a]/2 Cor 8:7, 9, 13-15/Mk 5:21-43 or 5:21-24, 35b-43
Mass Intentions
Sunday, June 24
10:45 am Lawrence Endress
Sunday, July 1
10:45 am For the People of St. Mary Mother of God Parish
Altar of Service
Saint Mary’s Soup Kitchen
Please mark your grocery lists for our Soup Kitchen. This week we are asking for…NOODLES.
Soup Kitchen Weekend volunteers
Saturday 10:00 am-1:00 pm
Sunday 11:30 -1:00 pm
Saturday, June 23: Brad
Sunday, June 24: Brice
Saturday, June 30: Larry C
Thank you for volunteering at the Soup Kitchen. Please call me if you are unable to make your scheduled day.
Val Vordran 625-5757 or 450-5170
AVE MARIA HOUSE PANTRY NEEDS:
Small Table Fans
HOMEBOUND MINISTRY
Do you feel a calling to minister to our shut-ins? Please call the church office at 424-8231 or Sue Koester at 493-4282 for more information, or if you know of a parishioner who may be homebound and in need of communion brought to them.
The Week Ahead
Sunday, June 24
• Second collection is for Peter’s Pence
CONCERT AT THE CATHEDRAL
A free concert of traditional choral and instrumental music will be presented by the Immaculate Conception Cathedral Choir.
1100 S Calhoun Fort Wayne
Wednesday, June 27, at 7 p.m.
Free parking, free admission, free ice cream!
All welcome.
SAVE THE DATE
OCTOBER 20 : Soup Kitchen Annual Fundraiser
VISIT: www.stmarysfw.org
For Parish Information and Current Events
CONGRATULATIONS
To parishioners Chelsea Miller Rager and Blake Rager on the Baptism of their son Quincy Scott on June 16th at St. Mary Mother of God Parish.
Parish Announcements
PETER’S PENCE COLLECTION
Today is the Peter’s Pence Collection which provides Pope Francis with the funds he needs to carry out his charitable works around the world. The proceeds benefit our brothers and sisters on the margins of society, including victims of war, oppression, and disasters. Please be generous. For more information, visit www.usccb.org/peters-pence
DIOCESAN SUMMER CAMP FOR HS STUDENTS
The Summer Camp “Beauty Will Save the World!” is a week-long theology camp that will give high school students the opportunity to spend a week learning about and coming to encounter God through beauty. Students will spend July 8-12 on the campus of the University of Saint Francis, 2701 Spring Street, painting an icon of Christ, learning about how God calls each person to an individual vocation, and experiencing the richness of the Catholic Church’s liturgical prayer. Cost: $99. Website: https://philosophy.sfsu.edu/summer-institute/Contact: Timothy Trout email@example.com
HOLY HOUR AT ST. FELIX CENTER
A Father Solanus Hour will be Saturday, June 30, from 11 a.m. to noon at St. Felix Catholic Center, 1280 Hitzfield St. Huntington Indiana, 46750. Brother Richard Merling, OFM Cap., the co-vice postulator for the cause of sainthood and the worldwide director of the Father Solanus Guild, will be speaking at St. Felix. Brother Richard will be available to hear your stories about Father Solanus and any miracles related to Father Solanus. Please RSVP to attend this unique event by contacting Drew Stuart, adult formation director at SS Peter and Paul Parish. Call or text 260-224-0522 or email firstname.lastname@example.org. There’s no charge.
CATHEDRAL BOOK STORE SALE
Cathedral Books & Gifts is having a pre-inventory Clearance Sale!!!!! 40% off many, many items, including First Communion, Confirmation & more! Closed July 1-4.
SETON MIRACLE MILES
The 10th running of the Seton Miracle Miles 5K Run/Walk is coming up on Saturday, August 4th, a wonderful kick off to SetonFest. This annual family-friendly event starts at 8 am. This year, there will be free kids fun runs at 8:45 for ages 3 to 13. All monetary proceeds from the Run/Walk benefit St. Mary’s Soup Kitchen. Registration forms are available in the gathering area, or register online at www.seasfw.org. Contact race director Mike Rost at email@example.com with questions. Start training now!
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Fast, faster... Schottky diodes come of IC age
Designer's guide to RC active filters 86
Op amp testing made easy 94
Undiced wafers boost computer's reliability 98
Electronics
July 21, 1969
$1.00 A McGraw-Hill Publication
Inductors for all temperatures
UTC high Q coils give you better inductance stability over any temperature range
That's a tough claim to back up!
We do it by meticulously controlling every process variable that can affect temperature stability of an inductor. We pay special attention to every detail of design and manufacture—winding methods, materials compatibility, stabilization processes, assembly and impregnation—details other manufacturers ignore. Over any temperature range you specify, UTC inductors will outperform all others.
Available from our catalog are high Q inductors with guaranteed stability from $-55^\circ C$ to $+130^\circ C$. Adjusted inductance tolerances are as tight as $\pm 1\%$ on standard inductors. Select from hundreds of inductors made to MIL-T-27B. If your specific need cannot be supplied, we'll tailor an item to your specifications.
When your designs call for better inductance stability, UTC is the answer. Check your local distributor for immediate off-the-shelf delivery or contact United Transformer Company, Division of TRW INC., 150 Varick Street, New York, New York 10013.
HP's new 7034A is as trim as you can make an 8½" x 11" X-Y recorder. But size is the only thing small about it. The frame has all the features and versatility of our big X-Y Recorder. Such as 1500 in/sec² acceleration and 30 in/sec slewing speed, to catch transients most X-Y recorders miss. Guarded circuits to reject ac and dc common-mode signals. Exclusive, silent electrostatic paper hold-down to eliminate slippage. Disposable ink cartridge to eliminate mess and make color changes easy. And zero set/check for fast verification of zero position without removing or shorting the input signal.
High dynamic performance is matched by the flexibility we've achieved with our unique plug-in concept: two may be used in each axis, and can be cascaded. With eight plug-ins to choose from, you can add to your measurement capabilities as the need arises.
With the Time Base plug-in, you can capture X-T or Y-T data at ½ sec/in to 100 sec/in sweep rates. Expand low-level signals for detailed study with the DC Preamplifier. Suppress steady-state dc to reveal small-signals using the DC Offset plug-in. Plot single channel data at 50 points/sec with the Null Detector and accessory point plotter. Plot two channels independently with the Scanner.
Eliminate ac signal components over 50 Hz with the Filter plug-in. And for more run-of-the mill recording jobs, try our low-cost DC Attenuator or DC Coupler.
You'll be glad to know that the price on this new X-Y Recorder is also small: just $1195 for the basic instrument. Plug-in prices start at $25. For all the big details, contact your local HP field engineer. Or write to Hewlett-Packard, Palo Alto, California 94304; Europe: 1217 Meyrin-Geneva, Switzerland.
HEWLETT PACKARD
GRAPHIC RECORDERS
Circle 1 on reader service card
There was a time when network analysis was a long, drawn-out process — consisting of measuring amplitude and interpreting phase response.
Now, with the HP 675A/676A network analysis system, you get a complete characterization of your network. You have both phase and amplitude information on a swept basis to 32 MHz — and you save hours of time because you can see changes in phase and amplitude responses as you make adjustments. Add the HP 11138A impedance measuring accessory for making complex driving point impedance measurements on a swept basis — and you have a complete network analysis system.
You can use this analysis system for your circuit design checking, operational amplifier characterization, crystal characterization, classroom demonstrations and many other applications. The system is completely programmable for automatic or computerized production and quality analysis testing.
The 675A Sweeping Signal Generator has a 10 kHz to 32 MHz range with settings anywhere in this range for single or continuous sweep. The 675A Phase/Amplitude Tracking Detector adds a full 360° phase measurement capability and an 80 dB dynamic amplitude range.
Channel A and B outputs on the 676A provides simultaneous amplitude measurements of two devices for comparison. Amplitude A-B and PHASE A-B make difference measurements easy. Outputs can be easily calibrated in linear dB and linear phase on a low frequency oscilloscope or X-Y recorder.
Get complete characterization of your network with the HP 675A/676A network analysis system. Call your HP field engineer for complete specifications. Or, write to Hewlett-Packard, Palo Alto, California 94304. Europe: 1217 Meyrin-Geneva, Switzerland. Price: 675A, $2250; 676A $1275; 11138A, $175.
Now You Can Completely Characterize Your Networks to 32 MHz
Circle 2 on reader service card
News Features
Probing the News
115 Avionics: I/CNI hanging by a thin thread
121 Space electronics: Late show will put Mars on tv
U.S. Reports
37 Government: Defense budget cut by Senate committee
38 Government: Aircraft spending sliced; Technology expenditures reduced
39 Space electronics: Flight programmer for Tacsat
42 Space electronics: Meteorological satellite for 1970's
42 Manufacturing: Using i-r to detect bonding flaws
44 Manufacturing: Spray-on battery
46 Military electronics: Manpack version of carrier landing system
50 Advanced technology: Small computer for large fast Fourier analysis
52 Computers: Navy wants single airborne machine
54 For the record
Electronics International
181 West Germany: Flicker noise tester developed by US subsidiary
182 Japan: Logic from linear circuits
182 Great Britain: Ferrite plus platinum wire for memories
183 Western Europe: Computer gap
184 Sweden: Industry danger signs
New Products
131 In the spotlight
131 Low-cost counters have premium specs
136 Components review
136 Video inverters for EDP market
141 Instruments review
141 Binary signals control ratio box
144 Semiconductor review
144 Fairchild linear-IC family bows
152 Microwave review
152 Logic controls signal generator
157 Production equipment review
157 Shaker produces sine motion
160 Subassemblies review
160 Hybrid regulator handles 120 v
164 IC's stabilize power modules
Technical Articles
Solid state 74 Schottky diodes make IC scene (cover)
With reproducibility problems licked, these devices make attractive elements; they permit unusual component combinations, save chip real estate, reduce power dissipation, and enhance production yields
R.N. Noyce, R.E. Bohn, and H.T. Chua, Intel Corp.
Circuit design 81 Designer's casebook
- Peak detector senses bipolar inputs
- Photodiode coupled pair isolates DTL from a relay
- FET buffer boasts high speed and performance
- Pulse train frequency varied as duty cycle stays constant
Circuit design 86 Active filters: part 11
Varying the approach
Depending on the application, RC networks can be modified to produce the desired second-order transfer functions; two capacitors and two resistors usually suffice
Jack W. Mullaney, Avco Corp.
Instrumentation 94 Adapter lets digital IC tester check on operational amplifiers
Variable interface circuit between device and tester is switched, under program control, to make required parameter measurements
Robert McIntyre, Amelco Semiconductor
Computers 98 Cellular redundancy brings new life to an old algorithm
With LSI MOS circuitry that includes hundreds of identical processors, and with the almost-forgotten binary algorithm, a block-oriented computer promises great reliability at low cost; processing is from left to right
Joseph O. Campeau, Litton Systems
Departments
4 Readers Comment 33 Electronics Newsletter
8 Who's Who in this issue 61 Washington Newsletter
14 Who's Who in Electronics 166 New Books
23 Meetings 168 Technical Abstracts
31 Editorial Comment 172 New Literature
179 International Newsletter
Electronics
Editor-in-Chief: Donald Christiansen
Senior staff editors
Technical: Stephen E. Scrupski
News: Robert Henkel
International: Arthur Erikson
Managing editor: Harry R. Karp
Art director: Gerald Ferguson
Senior associate editor: Joseph Mittleman
Assistant managing editors: Eric Alken, H. Thomas Maguire, Howard Wolff
Senior copy editor: Frederick Corey Senior staff writer: John Johnsrud
Department editors
Advanced technology: William Bucci, Richard Gundlach
Communications: John Drummond, Raphael Kestenbaum
Computers: Wallace B. Illey, George Wells
Design theory: Joseph Mittleman
Instrumentation: Owen Doyle
Military/Aerospace: Alfred Rosenblatt; Paul Dickson (Aerospace)
New products: William P. O'Brien
Solid state: George Watson, Stephen Wm. Fields
Domestic bureaus
Boston: James Brinton, manager; Gail Farrell
Los Angeles: Lawrence Curran, manager; Ralph Selph
Washington: Ray Connolly, manager; Paul Dickson, Lois Vermillion
Foreign bureaus
Bonn: John Gosch
London: Michael Payne
Paris: Arthur Erikson
Tokyo: Charles Cohen
Copy editor: Edward Flinn
Staff writer: Peter Schuyten
Assistant art director: Charles Ciatto
Production editors: Susan Hurlburt, Arthur C. Miller
Editorial research: Virginia Mundt
Editorial secretaries: Lorraine Longo, Claire Goodlin, Barbara Razulis, Vickie Green,
Bernice Pawlik, Patricia Bispham
McGraw-Hill News Service
Director: Arthur L. Moore; Atlanta: Fran Ridgway; Chicago: Robert E. Lee
Cleveland: Arthur Zimmerman; Dallas: Marvin Reid
Detroit: James Wargo; Houston: Barbara LaRouax
Los Angeles: Michael Murphy; Pittsburgh: Louis Gomolak
San Francisco: Margaret Drommel
Seattle: Ray Bloomberg; Washington: Charles Gardner, Daniel B. Moskowitz,
Herbert W. Cheshire, Seth Payne, Warren Burkett, William Small, William D. Hickman
McGraw-Hill World News Service
Bonn: Robert Dorang; Brussels: James Smith; Hong Kong: Kate Mattcock
London: John Shaw; Mexico City: Gerald Parkinson; Milan: Ronald Tagliasco, Jack Star
Moscow: Jack Winter; Paris: Robert E. Farrell, Stewart Toy
Rio de Janeiro: Leslie Warren; Tokyo: Marvin Petai
Reprints: Gail Niles
Circulation: Isaac Siegel
Publisher: Gordon Jones
Assistant to the publisher: Wallace C. Carmichael
Electronics: July 21, 1969, Vol. 42, No. 15
Published every other Monday by McGraw-Hill, Inc. Founder: James H. McGraw 1860-1948.
Publication office 99 North Broadway, Albany, N. Y. 12202; second class postage paid at Albany, N. Y.
and additional mailing offices.
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Subscriptions solicited only from those professionally engaged in electronics technology. Subscription rates:
qualified subscribers in the United States and possessions and Canada, $8.00 one year, $12.00 two years,
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Officers of the Corporation: Harold W. McGraw, Jr., President; Joseph A. Alford, President; John R. Emery, J. Elton Tushig,
Senior Vice Presidents: Gordon L. Jones, Jr., Group Vice President; Vice Presidents: John R. Callaham, Editorial;
Paul F. Cullinan, Circulation; John H. Holden, Marketing; David G. Jensen, Manufacturing; Jerome A. Lunde, Engineering; Richard F. McManus, Advertising; Robert M. Wilhelmy, Finance.
Officers of the Corporation: Shelton Fisher, President and Chief Executive Officer; John L. McGraw, Chairman;
Robert E. Slaughter, Executive Vice President; Daniel F. Crowley, Donald C. McGraw, Jr., Bayard E. Sawyer,
Senior Vice Presidents: John J. Cooke, Vice President & Secretary; Gordon W. McKillican, Vice President & Treasurer.
Title © registered in U.S. Patent Office. © Copyright 1969 by McGraw-Hill, Inc. All rights reserved. The contents
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Readers Comment
Aesthetics' role
To the Editor:
Regarding your reply to Sidney V. Soanes' letter on standards and style [July 7, p. 7], the reasons you
give for not conforming to standards have to be the most asinine statements ever.
Technical accuracy first, please! Then aesthetics.
R.E. Hildebrand
Cottekill, N.Y.
Reader Hildebrand questions
Electronics' practice of not following certain standards, such as capitalizing the letters in such abbreviations as $\mu f$ and hz. We agree with Mr. Hildebrand that technical accuracy comes first, but we feel that the use of lower case letters wherever possible not only improves the readability of our articles, but makes it easier for us to communicate with our readers. In no way does the use of lower case impugn technical accuracy; it merely makes it simpler to digest.
Stereo 8 vs. cassette
To the Editor:
Your article on tape recorders [June 9, p. 139] needs some clarification concerning Stereo 8.
You state that Stereo 8 requires expensive prerecorded tapes. But according to those manufacturers who sell both prerecorded cassettes and Stereo 8 tapes, the manufacturing cost of the Stereo 8 tape is less than that of the cassette cartridge.
You also say a drawback of the Stereo 8 endless loop system is that it cannot be operated fast forward, as can the cassette. Practically all of our equipment has the fast forward feature, which spins the tape at 4½ times its natural speed.
At last month's Consumer Electronics Show in New York, Lear Jet Stereo announced both an auto unit with record and a home unit with record in Stereo 8. Lear is also finalizing the engineering for a reversible Stereo 8 cartridge that,
...want a tantalum capacitor with proven performance?
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More Sprague solid tantalum capacitors are in use than all other brands of solid tantalums combined. Hermetically-sealed in metal cases. Value-packed performance characteristics—low impedances at high frequencies, low dissipation factor, minimal capacitance drift with temperature, practically no change in capacitance with life. Low leakage current limits. Investigate new higher capacitance ratings.
All the advantages of tantalum...at low cost!
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Here’s a capacitor design that admirably fills the need for low-cost yet dependable solid tantalum capacitors suitable for printed wiring boards. Straight leads as well as crimped leads are readily available to meet your manufacturing needs.
Covering a broad range of capacitance values from .1 μF to 330 μF, with voltage ratings from 4 to 50 VDC, Type 196D Capacitors are protected by a tough insulating coating which is highly resistant to moisture and mechanical damage.
For complete technical data on Type 150D Tantalex Capacitors, write for Engineering Bulletin 3520F. For information on Type 196D Capacitors, request Bulletin 3545A. Write to: Technical Literature Service, Sprague Electric Co., 35 Marshall Street, North Adams, Massachusetts 01247.
THE BROAD-LINE PRODUCER OF ELECTRONIC PARTS
Sprague® and ® are registered trademarks of the Sprague Electric Co.
What can you expect from a $395 pulse generator?
- 0.2-Hz to 20-MHz PRF
- 25-ns to 2.5-s duration
- 5-ns rise/fall time
- ±10-volt outputs across 50Ω
- ±1-volt DC offset
- Independent control of amplitudes and offsets for + and - pulses
- Square-wave output
- Amplitude fully analog-programmable
- Period and duration modulatable
You get all these features and more in the NEW 1340 Pulse Generator. For more information call your nearest GR District Office, or write General Radio,
West Concord, Mass. 01781. Telephone (617) 646-0550.
In Europe Postfach 124, CH 8034 Zurich 34, Switzerland.
GENERAL RADIO
when completed, will give it rewinding possibilities.
The Stereo 8 player has fewer parts and is less complex than a cassette player. If the Stereo 8 player were made monaurally, it would cost less than the cassette. And, when a cassette is made stereophonic, it costs more than a Stereo 8.
Ed G. Campbell
Vice president
Lear Jet Stereo Inc.
Detroit
- Even if the manufacturing cost of prerecorded eight-track tapes were less than that of cassettes, as Mr. Campbell contends, the selling price apparently isn't. In a random sampling of retail outlets in the New York City area, Stereo 8 tapes were priced at $6.95 each, compared with $5.95 for cassettes. According to retailers, this is the price pattern everywhere.
As for an eight-track stereo tape player with fast forward feature, we haven't found one on the market. *Electronics* called Lear Jet's sales office in Detroit only to be told that while the company has such a unit under current development, "it won't be ready for awhile."
A bigger job
To the Editor:
Comparing the Technical Communications Corp.'s digital signaler with the Army's RADA communication system [June 9, p. 51] is somewhat like comparing an abacus to a computer. The fact that RADA, which is being developed by the Martin Marietta Corp., uses considerable bandwidth is due simply to the comprehensive communications tasks and capability required by the system. For example, in direct user-to-user communications, the RADA subscriber unit has 148 available channels, providing better than 250 simultaneous conversations; not one or two as is attributed to the TCC system.
Also, in addition to normal voice communications, RADA has the capability to transmit facsimile, teletypewriter and data information—as well as busy override and conference calls—with full security. And, at the same time, RADA affords the user anti-jam protection.
Edward J. Cottrell
Director of public relations
Martin Marietta Corp.
Orlando, Fla.
Flat denial
To the Editor:
The June 23 issue of *Electronics* reported that RCA will spend $17 million within the next year to expand its semiconductor operation at Mountain Top, Pa., to manufacture thick-film integrated circuits [p. 34].
There is no basis in truth or fact for this statement.
Arnold M. Durham
Manager, news and information
RCA Electronic Components
Harrison, N.J.
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**FETS IN TUNABLE FILTERS**
Problem: To design a low cost, lightweight voltage tunable filter.
Solution: Use FETs as Voltage-Controlled Resistors (VCRs). Here is one approach:
With this circuit you can have a tuning range up to 20:1 with a roll-off of 12 dB/octave. Weight is in the ounce-plus region and size is about 1½ cubic inches. Here are the design conditions and equations:
\[ R_{in} > 10X_{C1} \]
\[ R_s < 0.1X_{C1} \]
\[ R = R_1 + R_2 \]
\[ M^2 = C_1 / C_2 \]
\[ r_{ds} = \text{FET drain-source resistance}, \]
\[ = \frac{r'_{ds}}{1 - V_{ds} / V_p} \]
\[ r'_{ds} = r_{ds} \text{ with } V_{ds} = 0. \]
\[ \omega_n = \text{Corner frequency}, \]
\[ = \frac{1 - V_{ds} / V_p}{r'_{ds} MC_2}. \]
*If you need a voltage tunable filter, and cost, size, weight and low power consumption are important considerations, give us a call for fast applications assistance. That's applications power: Products and service! Ask for Extension 19.*
Siliconix Incorporated
1140 W. Evelyn Ave. • Sunnyvale, CA 94086
Phone (408) 245-1000 • TWX: 910-339-9216
Who's Who in this issue
Campeau
A veteran of 13 years with Litton Industries, Joseph O. Campeau did the story on the block-oriented computer that begins on page 98. He’s a graduate of the Case Institute of Technology (now Case Western Reserve). At the moment, Campeau is doing further research work on combining parallel-processor computer organization with large-scale integration.
McIntyre
Projects outside his sphere of direct responsibility fascinate Robert McIntyre, engineering project manager for digital circuits at Amelco. One such involvement is detailed in the article on an adapter for an IC tester (page 94) in this issue. An alumnus of Georgia Tech, he started his career with Texas Instruments’ Apparatus division. Later, he worked at Honeywell, heading the inertial guidance group. Mullaney joined Amelco in 1965 as discrete device product manager.
Mullaney
Active filters are but the most recent professional preoccupation of Jack W. Mullaney, who wrote the story on this subject that begins on page 86. During his five-year career in electronics, he has designed musical instrument amplifiers, a space vehicle skin-ablation sensor, and a frequency-division telemetry system. Mullaney holds bachelor’s and master’s degrees from the University of Cincinnati; he’s currently doing research for his doctorate.
Bohn Chua Noyce
A talented triumvirate shares credit for the cover story (page 74) on Schottky-diode IC’s, which will be made commercially available by Intel within the next few weeks. Robert Noyce, president and founder of the company, holds 15 patents on semiconductor methods, devices, and structures, including application of photoengraving to semiconductor devices, evaporated aluminum interconnections, and diffused-junction isolation for IC’s. He holds a doctorate in physical electronics, and has filled a number of top executive slots, the latest, before starting Intel, being group vice president at Fairchild. Richard E. Bohn, who earned his M.S. at Ohio University, spent eight years with Transistron before joining Intel. He has extensive experience in process development and the design and testing of semiconductor devices; Bohn is co-holder of a patent covering TTL IC structures. H.T. Chua, who has a master’s degree from Cal, worked at National Cash Register and Fairchild Semiconductor before signing on with Intel. He holds two circuit patents.
Your custom pulse transformer is a standard DST* transformer
Some of the case styles in which Sprague DST Pulse Transformers are available. Note the in-line leads.
You can select the transformer design you need from the new Sprague DST Family, a fully-characterized series of Designer Specified Transformers which Sprague Electric has pioneered. It's easy. Start with the two basic parameters dictated by your circuit requirements: primary (magnetizing) inductance and volt-second capacity.
New Sprague engineering data gives basic information from which all nominal sine wave parameters are derived. This data allows you to specify the one transformer from thousands of possibilities which will optimize performance in your application.
Design Style A minimizes magnetizing inductance change as a function of temperature. Typically it's < ± 10% change from 0 to 60C; < ± 30% from -55 to +85 C.
Design Style B and C give you broad band-pass characteristics, and still keep magnetizing inductance change < ± 15% from 0 to 60 C.
Design Style D is fast. Associated leakage inductance and coupling capacitance are kept at a minimum. This style is just what you need for interstage and coupling devices in computer drive circuits.
The Sprague DST Series packs a lot of transformer into minimum volume packages — epoxy dipped for minimum cost, or pre-molded. The 100 mil in-line lead spacing is compatible with integrated circuit mounting dimensions on printed wiring boards.
To solve your pulse transformer design, start now. Write for Engineering Bulletin 40,350 to the Technical Literature Service, Sprague Electric Company, 35 Marshall St., North Adams, Massachusetts 01247.
*Trademark
TTL.
PDQ.
RSVP: Your National distributor
Gates
DM8000N (SN7400N) Quad 2-Input, NAND gate
DM8001N (SN7401N) Quad 2-Input, NAND gate (Open Collector)
DM8003N (SN7403N) Quad 2-Input, NAND gate (Open Collector)
DM8010N (SN7410N) Triple 3-Input, NAND gate
DM8020N (SN7420N) Dual 4-Input, NAND gate
DM8030N (SN7430N) Eight-Input, NAND gate
DM8040N (SN7440N) Dual 4-Input, Buffer
DM8050N (SN7450N) Expandable Dual 2-Wide, 2-Input AND-OR-INVERT gate
DM8051N (SN7451N) Dual 2-Wide, 2-Input AND-OR-INVERT gate
DM8053N (SN7453N) Expandable 4-Wide, 2-Input AND-OR-INVERT gate
DM8054N (SN7454N) Four-Wide, 2-Input AND-OR-INVERT gate
DM8060N (SN7460N) Dual 4-Input expander
DM8086N (SN7486N) Quad Exclusive-OR-gate
Flip Flops
DM8501N (SN7473N) Dual J-K MASTER-SLAVE flip flop
DM8500N (SN7476N) Dual J-K MASTER-SLAVE flip flop
DM8510N (SN7474N) Dual D flip flop
Counters
DM8530N (SN7490N) Decade Counter
DM8532N (SN7492N) Divide-by-twelve counter
DM8533N (SN7493N) Four-bit binary counter
DM8560N (SN74192N) Up-down decade counter
DM8563N (SN74193N) Up-down binary counter
DM8520N Modulo-n divider
Decoders
DM8840N (SN7441N) BCD to decimal nixie driver
DM8842N (SN7442N) BCD to decimal decoder
Shift Registers
DM8570N Eight-bit serial-in parallel-out shift register
DM8590N Eight-bit parallel-in serial-out shift register
Miscellaneous
DM8200N Four-bit comparator
DM8210N Eight channel digital switch
DM8220N Parity generator/checker
DM8820N Dual line receiver
DM8830N Dual line driver
DM8800H Dual TTL to MOS translator
DM8550N (SN7475N) Quad latch
TTL devices for industrial applications. Stocked in depth—available immediately, through National distributors. For our TTL Specification Guide and pricing, write or call National Semiconductor, 2975 San Ysidro Way, Santa Clara, California 95051. (408) 245-4320. TWX: 910-339-9240. Cables: NATSEMICON.
National/TTL
P.S. We’ve got low power TTL too. Meets 883 mil standards; off-the-shelf availability.
New 25 amp triac offers several exceptional performance features
GE has extended its broad thyristor line with the addition of a new 25 ampere triac. SC60 (stud-mounted) and SC61 (press-fit) offer several exceptional features:
- Current rating: 25A RMS
- Voltage rating: 200V, 400V, 600V
- Surge current: 250A Peak
- Commutating dv/dt: 5V/μ sec.
- Static dv/dt: 200V/μ sec. TYP.
The SC60/61 triac can handle up to 6KW at 240 volts and is compatible with PA424 and PA436 IC's for control of heaters, lamps and motors.
SC60/61 is well suited to high volume use in residential and industrial space heating, large lamp-dimming controls, temperature control in copying machines and many other applications. For details, circle 503.
Now get proved Lodex® permanent magnets in sizes smaller than a pin
When designs call for tiny (even less than 1 millimeter) permanent magnets, GE has the answer. GE can produce powerful microminiature magnets at low cost—and in complex configurations, too.
The magnets are made of proved Lodex material. This exclusive GE product makes it possible to produce magnets in tiny, intricate shapes meeting extremely tight physical and magnetic tolerances.
Close piece-to-piece physical and magnetic uniformity often eliminates the need for final testing of the end product. These magnets are the perfect answer for such precise applications as reed switches.
For details, circle 504.
General Electric meter relays give you reliability at lower cost
Reliable performance at lower cost makes GE your best meter relay choice.
Functions include energizing alarms; close differential relaying; and controlling temperature, power, speed and frequency.
Proved GE design is better three ways:
- **New contactless control action.** Solid-state, light sensitive switch means simple, reliable control.
- **No soggybar or control module.** Plug-in design saves installation time.
- **Choice of styles.** Easy-reading BIG LOOK® or low-profile HORIZON LINE® meter relays. Applications range from critical monitoring in hospital intensive-care units to deep-well drilling control.
For details, circle 505.
Get reliable cooling for computer cabinets with proved GE fan assemblies
GE cooling fan assemblies offer years of continuous duty without maintenance. Available in two sizes, these blowers feature all-angle operation and efficient air flow.
Small 90 and 100 CFM fans have KSB33-frame Unitized® motors and fit an opening 4¾" square. Near perfect bearing bores, accurate shaft-bearing alignment and metered oil bearings virtually eliminate bearing wear for long motor life.
GE's 500 CFM fan mounts on a 9.7" diameter bolt circle through holes in its aluminum venturi. Its KSP11-frame unit-bearing shaded-pole motor provides quiet, long-life operation.
For more information, circle 506.
New GE transistor is the ideal epoxy replacement for "hermetic" devices
General Electric's GET transistor series is a new answer to design problems. GET is the newest addition to GE's proved family of epoxy-encapsulated transistors dating back to 1962...over 7 years of epoxy experience.
GET is the ideal epoxy replacement for "hermetic" devices...no expensive redesign needed. The new D32 package conforms to TO-18 mounting patterns and is available in these silicon planar passivated models:
| GE Model | Type | JEDEC No. |
|----------|------|-----------|
| GET706, 708, 914 | NPN | 2N706, 708, 914 |
| GET707, 709, 915 | PNP | 2N707, 709, 915 |
| GET3638, 3639A | NPN | 2N3638, 3639A |
| GET3640, 3641A | PNP | 2N3640, 3641A |
| GET3644, 3645A | NPN | 2N3644, 3645A |
| GET920, 920 | NPN | 2N920, 920 |
GE's quality epoxy forms a true chemical bond with metal to provide increased resistance to moisture and vibration damage. Low profile package means smaller circuits and lower cost.
For more information on GET and GE's "specials" capability, Circle 508.
Check this new GE transmitter design
GE's C2003C transmitter is a Microwave Circuit Module containing a master oscillator and power amplifier using planar ceramic triodes.
It is one of many GE MCM's that help reduce design cycles, provide retrofit and lead to improved system performance.
C2003C benefits: meets performance and military requirements of the transmitter portion of IFF transponder
- permits two transmitters to function in space formerly used by one
- light weight significantly smaller
- simplified heat sinking
- excellent frequency stability with wide variations in antenna VSWR.
For details, circle 507.
11 more electronic components tailored for designers
General Electric components are engineered for reliability and cost effectiveness. No other single manufacturer offers such a wide selection of quality electronic components as General Electric. Specify GE in your designs.
GE fused quartz and fused silica add design flexibility to many applications
Highest purity GE Fused Quartz is being applied in crystal pulling, zone refining, semiconductor diffusion and research labware. And many new electronic applications are constantly being developed.
Transmittance Curve—151 Fused Silica for 1cm thickness*
GE type 151 Fused Silica, for critical optical jobs, is a schlieren grade material offering highest ultra-violet transmission.
Type 151 is one of five optical grades available. It is ideal for use in laser optics, absorption cells, spectrophotometer optical elements and schlieren photography.
For technical data and application assistance, circle 509.
*Excluding surface reflection losses
Tough, dependable indicating lights come in four sizes for varied application
GE has a broad assortment of low cost, high quality indicating lights (CR103, type H) that come with four mounting hole diameters for varied applications — 5/16", 15/32", 11/16" and 1". They all feature Lexan® (polycarbonate resin) lenses which diffuse light, eliminate "hot spots" and are virtually unbreakable.
Lens shapes include crown, spherical, torpedo and cylindrical. Lamps and lenses for most models install from the front without removing the assembly or opening the panel.
And a low-cost miniature indicating light (the CR103 HB) has been added to the line for applications where space is at a premium and minimum cost is essential.
The CR103 H line is perfect for applications such as panel indicators, lab equipment, appliances, meters, gauges, timers, and illuminated pointers and indicators for dials.
Get full-line details, circle 510 on the reader service card.
Innovative design gives GE Klystrons greater bandwidth, gain and efficiency
An experienced team of GE specialists uses innovative techniques to produce high-power Klystrons with greater bandwidth, gain and efficiency.
The Klystron above is just one example of GE's high-power pulsed microwave amplifier used in applications such as radar and particle accelerators.
GE Klystron designs can be developed in tunable and broadband types for all frequencies from UHF to X-band. They feature metal-ceramic construction, integral ion pumps and modular design for long life, low operating costs, and economical repair.
Put GE's team to work on your special Klystron application.
For details, circle 511.
New GE integrated voltage regulator smoothes ripple and protects IC's
GE's new integrated voltage regulator (IVR) is a monolithic IC that helps your power supply deliver constant, ripple-free voltage for solid-state circuit components. The device operates as a shunt regulator over a range of 10 to 40 volts at up to 400mW avg. power.
| Total Avg. Power | 400mW |
|------------------|-------|
| Voltage | 10-40V|
| Peak Current | 1A |
| Duty Cycle | 1A |
| Operating Temp. Range | -55C to +125C |
| Temp. Coefficient of Ripple | .03% °C typ. |
Housed in the standard epoxy TO-98 package, GE's IVR is a low-cost means to stabilizing voltage for solid-state circuits. Applications are found in auto radios, TV ripple filters and as a reference amplifier for high-precision regulation. The IVR can also be used where other voltage regulation methods have been too costly for high-volume use.
For details, circle 512.
Get over ½ farad at 5 volts with GE computer-grade capacitors
GE 86F500 high-capacitance computer-grade capacitors provide up to 540,000 μf at five volts (34,000 μf at 100 volts) in a single case.
These units are excellent when large blocks of capacitance are required, as in power supply filters.
86F500 units are rated for continuous duty at 65C or at 85C with proper voltage derating. GE's computer-grade capacitors provide highest capacitance per case size, high ripple current capability, low ESR and long life.
Units are available in nine case sizes — diameters 1¾" to 3" with lengths up to 8¾" — for operation up to 100 VDC.
For details, circle 513.
LOOK TO GENERAL ELECTRIC—your best source for more in electronic components.
ELECTRONIC COMPONENTS SALES OPERATION
GENERAL ELECTRIC
Who's Who in electronics
The new man at the helm as general manager of Fairchild's Semiconductor division, F. Joseph Van Poppelen Jr., 41, isn't taking command from C. Lester Hogan at the most propitious time, but things could be a lot worse, too. Van Poppelen moved into the top spot in the Mountain View, Calif., division after a wave of layoffs there and in Korea that has lopped some 1,600 from the payroll—1,000 in Korea alone.
Morale is bound to be sagging with the layoffs, and the Signetics Corp. hopes to displace Fairchild as the No. 3 supplier of digital integrated circuits this year. But, says Van Poppelen, "I don't believe the name of the game is what your sales rank is. You have to be a volume leader and maximize your earnings. We're the technological leader in the world in the semiconductor industry today, but we're not the manufacturing cost leader."
That's a situation Hogan began to change and Van Poppelen intends to see through.
Bullish. On the bright side, Van Poppelen is projecting a 1969 sales increase of more than 30% over last year, and in another 90 days, he says, the division will have the control of world-wide production costs he believes is needed to realize top profit on each product line. The division's accounting was formerly done on a plant-by-plant basis.
Now that accounting is done by product line. "We have to give the product manager an effective accounting system so that he knows what his costs are," Van Poppelen asserts. "In DTL, for example, the crystals are grown here in Mountain View, the wafers go to South Portland, Me., where the diffusion is done, then to Hong Kong or Shiprock, N.M., for assembly, and back to South Portland for shipment. The South Portland product manager has to know what the total costs are so that he and his product-marketing manager have the information they need to run that business—the DTL business."
Once the cost-accounting system is implemented, the new general manager, who stepped into his spot after nine months as vice president for marketing, says products will have to be ranked by priority according to their potential payback. "We'll be pushing the daylight out of MSI; we're the leaders now. We'll also continue to exploit diodes and power transistors."
He sees memories as another big growth area, and says Fairchild will be a major factor in the business. As for MOS, says Van Poppelen, "it will take some sizable commitments by the big boys. We've made the facilities commitment, but it will take more."
"Talk about technology all you want, but it's the people who run the plant." That, basically, is the keystone of the policy followed by general manager Howard T. Steller to bring the Philco-Ford Microelectronics division to the threshold of a dramatic turnaround, one that will see 1969 sales top 1968's by 50%. And possibly the most dramatic detail of the picture is the metal oxide semiconductor outlook: yields now are 50 to 60 times better than they were before the MOS operation was moved to Lansdale, Pa., from Santa Clara, Calif.
Buddies. That MOS improvement can be used to illustrate Steller's methods. With a background in the
The Fine Art of ONEUPMANSHIP
4PDT Miniature 3 Ampere Industrial Relay—Type 156
All features of competitive models, plus U/L recognition through 240 VAC instead of a mere 125 VAC.
General Purpose 1,2&3PDT Industrial Relay—Type 157
All features of competitive models, with U/L recognition through 240 VAC, potential recognition through 600 VAC. Superior electrical performance.
Magnetic Latching, General Purpose, 1,2&3PDT Industrial Relay—Type 157
Same electrical parameters as standard Type 157. Modern approach to magnetic latching does not employ hard permanent magnets.
1&2PDT Coaxial Crystal Can Relay—Type 153
Only Coaxial Crystal Can Relay that will switch above 500 MHz with VSWRs below 1.2. Now improved to switch 2000 MHz with low VSWRs.
Who’s ONEUP? MIDTEX/AEMCO... and YOU, when you get in touch with the MIDTEX/AEMCO distributor in your area. CALL ONE UP!
MIDTEX INCORPORATED
AEMCO DIVISION
10 STATE STREET
MANKATO, MINNESOTA
56001
PROGRAMMERS/TIME DELAY RELAYS/MINIATURE COAXIAL RELAYS/INDUSTRIAL RELAYS/MERCURY-WETTED CONTACT RELAYS
New VICTOREEN Mini-Mox Resistors for higher resistance/size ratios
We promised you a wider range of quality Victoreen MOX (metal oxide glaze) resistors for sophisticated electronic applications. And we're delivering on our promises, too, for we're now in volume production on the subminiature Mini-Mox resistor line. Just eyeball these specifications:
| Model | Resistance | Rating @70°C | *Max. Oper. Volts | Length Inches | Diameter Inches |
|---------|----------------|--------------|-------------------|---------------|-----------------|
| MOX-400 | 1-2500 megs | 25W | 1000V | .420 ± .060 | .130 ± .010 |
| MOX-750 | 1-5000 megs | .50W | 2000V | .790 ± .060 | .130 ± .010 |
| MOX-1125| 1-10,000 megs | 1.00W | 5000V | 1.175 ± .060 | .130 ± .010 |
*Max operating temp 220°. Encapsulation — Si Conformal.
*Applicable above critical resistance.
Stability is better than ±2% for 2000 hours at full load, shelf-life drift less than 0.1% per year. Standard tolerances are 1 to 10% depending on resistance value. ½% resistors in limited values, on request.
So let your circuit design imagination run rife. Victoreen MOX and new Mini-Mox Resistors can satisfy all your requirements for ultra-critical applications involving high voltage...high impedance...high stability...high wattage. Check our Applications Engineering Department today. Call (216) 795-8200.
VICTOREEN INSTRUMENT DIVISION
10101 WOODLAND AVENUE - CLEVELAND, OHIO 44104
EUROPE: ARNDALE HOUSE, THE PRECINCT, EGHAM, SURREY, ENGLAND • TEL: EGHAM 4887
Who's Who in electronics
social sciences rather than engineering, his first work experience was in industrial relations. It was there, he says, that he learned lesson No. 1: "People working for you must be motivated, made to feel they're part of the team. And close communication is the way to let them know—something, incidentally, that's one of industry's big problems." So by applying that principle and demanding hard work and close quality control, Steller and his people brought the yield problem under control. Not only that, but the move east helped in several ways. "For one thing," says Steller, "we were out of that Peninsula job-hopping atmosphere; when our engineers go to lunch in Blue Bell or Lansdale we're sure they're going to return. For another, we now have our manufacturing and R&D together where quality can be more closely controlled."
Moreover, Steller has emphasized maturity and experience in hiring engineers. "They have an average of 14 years apiece with the company," he points out. Coupling this with a refusal to ignite any technological fireworks merely to light the sky brightly but briefly ("We're here to make a profit; we are going to sell proven devices that we can deliver"), Steller apparently has come up with a formula that's making Philco-Ford executives in Philadelphia and Dearborn forget past debacles.
On the horizon for Steller is accelerated MOS activity (now 10% of Philco's business, trailing bipolar), greater attention to the automotive market (the division must compete with outside suppliers even for Ford business), and greater growth in the Spring City, Pa., operations (hybrid and microwave devices and electro-optics). Steller says his division will soon become a second source for Fairchild's 9300 series of bipolar medium scale integrated register, multiplexer, and coder circuits; also upcoming is a Philco version of Texas Instruments' 54/74 transistor-transistor logic. This will flesh out Philco's own line of diode-transistor logic.
We can guide you to the easiest wire and cable buy for peripheral equipment.
Brand-Rex has been the leading supplier of wire and cable for major computer systems for 20 years. And if you manufacture computer peripheral equipment, this leadership can work for you in a number of ways. You save shopping around, because Brand-Rex has designed and makes available the broadest selection. You can get what other people call "custom" designs at little or no extra cost from us. We're already making it, or can come up with it easily by modifying an existing design. (Brand-Rex engineers turn out as many as 3,000 new versions of wire and cable in a year.)
U.L., MIL-Spec, and other approvals? No strain. Brand-Rex has more U.L. approvals on computer wire and cable than anybody else. Plus the lab and Q.C. facilities to get new ones... fast.
Our people catch on to your needs the first time around because they've been around.
Write for our catalog on "Business Machine Wire and Cable" Brand-Rex Division, American Enka Corp., Willimantic, Conn. 06226. Phone 203 423-7771.
Connect for tomorrow. BRAND-REX
MAGNETICS
The Bettmann Archive Inc.
EH? HOW'S THAT AGAIN? When a telephone was truly a luxury and you had to bend both ears to understand the guy on the next block, you paid for it in spades. Today, your friend comes through clear as a bell—from across the continent—thanks to repeater coils that reamplify the gab and Arnold MPP loading cores that eliminate cross talk between closely spaced wires. Elsewhere in communications, Arnold supplies iron-powder and soft ferrite threaded cores for radio/TV, tape cores as circuit inductors and Alnico magnets for a host of communication uses.
Forward-looking manufacturers always look to Arnold for high-quality magnetic materials, design, technology, components. Magnetic cores. Powder cores. Laminations. You ask. We'll supply. The best in magnetic materials.
Other Arnold products are also widely used in communications: Soft ferrite cores Tape and Bobbin cores Alnico and Arnox® permanent magnets Supermendur cores.
Write for your free guide to the only complete line of magnetic materials.
ARNOLD
SPECIALISTS IN MAGNETIC MATERIALS
The Arnold Engineering Company, Main Office: Marengo, Ill.
Branch Offices and Representatives in Principal Cities
Electronics Profit.
How McGraw-Hill’s new Electronics/Management Center can help you improve it.
We’ve created a unique information system for the management of companies in and around electronics. We call it the Electronics/Management Center.
E/MC combines the specialized experience of the publishers of ELECTRONICS Magazine, with the broadly-based facilities of McGraw-Hill, one of the world’s largest corporations devoted to increasing man’s knowledge.
In thirty years of electronics experience, we’ve accumulated the background and talents to produce the problem-solving tools you need. The kind that are essential when living with lasers, making your way through the implications of Large-Scale Integration, and meeting the technical revolutions yet to come.
Supplement To Internal Systems
For your company, we’ll plan, execute, and analyze custom projects—to meet an objective of general, technical, or marketing management. Or to establish a new objective.
Our system is sufficiently diverse to serve as a prime and total information source. Or, it can supplement the most sophisticated company capability. In fact, it may be more efficient to “buy” certain kinds of information from us than it is to “make” it yourself.
Often, we can be faster. Or less expensive. Always, we can be more objective.
Independent Technical Group
In technical matters, we can provide important assistance without adding overhead or over-loading your present staff. We offer the services of a national organization of university-based scientists and engineers with a long list of accomplishments.
Full Marketing Assistance
We can help you reduce marketing risks, too.
It’s difficult to move around the electronics industry without bumping into both customers and competitors in the same corridor. We can probe new market potentials without revealing your identity. Or conduct research in an area not too familiar to your own staff.
We can do it in a neat package that combines access to the market with complete maintenance of confidence.
We can also supply those complex services you’d like to have created outside if you could find someone who speaks your language. Services like seminars, to educate customers, or train technical and marketing staffs, or develop management skills.
Weekly News Service
Management will also find our weekly news service an invaluable working tool. In minimum reading time each week, the Electronics/Management Advisory Service can keep your company current on the important electronics developments around the world. Market changes, prices, contracts, finances, significant trends, even a telephone number to call for person-to-person consultation—all the essentials to provide an information base on which to make top management decisions. For the next week. Or the next five years.
If you believe, as we do, that better information can help make your company more profitable, and you would like to know more about our services, write to: Electronics/Management Center, 330 West 42nd Street, New York, New York 10036.
E/MC
Electronics/Management Center
A McGraw-Hill Information Service
20 Circle 20 on reader service card
16 million hours
of test time
without a single failure.
ITC Riedon precision wirewound resistors combine this high reliability with close temperature coefficients, close tolerances, fast rise time and small size.
More specifically, they give you:
- Stability to 0.002%, provided by actually fusing resistance elements to terminations. Thermal emf is negligible.
- Standard temperature coefficient of 0 ± 10 ppm/°C above 100 ohms to 0 ± 30 ppm/°C for 0.1 to 9 ohms between -65°C and +150°C.
- Standard tolerance range from 1% down to 0.005%, measured at 25°C.
- Operation to 175°C, made possible by unique hot encapsulator, which eliminates virtually all moisture and voids.
- Rise time as fast as 10 nanoseconds up to 100KHz frequency input. (This puts wirewounds where metal film was once the only solution.)
This performance should come as no surprise. Riedon originated the molding process for encapsulating resistors in epoxy. They were first to produce a molded epoxy encapsulated precision wirewound resistor that exceeded MIL-R-39005 and MIL-R-38100. They have qualified to the latest military specifications covering "Hi-Rel" parts (a failure rate of less than 0.01%/1,000 hours at 125°C and 60% confidence level).
These same resistors go into Riedon networks. We design and package them in ladders, voltage dividers, analog-to-digital converters, operational amplifiers or miniaturized components. Combined with capacitors, conductors or diodes in a hermetically sealed package, one ITC Riedon element can replace 20 or more individual items.
We have a new 12-page folder that tells the full performance story of Riedon resistors. Why not send for a copy? ITC Riedon, a division of Industrial Technology Corporation, a subsidiary of Republic Corporation, 7932 Haskell Avenue, Van Nuys, California 91406 (213) 873-3464.
What is Bunker-Ramo collecting 3 miles under the ocean?
Reliable Acoustic Path data... vitally significant in developing advanced deep-operating sonar systems for use in anti-submarine warfare and oceanography.
Bunker-Ramo's extensive knowledge of the ocean's inconstant properties related to propagation, reverberation and ambient noise as well as its effects on materials enable us to set the pace in the field of oceanology.
In the past 10 years we developed many unique products and services... expendable acoustic sonar systems that utilize our special knowledge of Reliable Acoustical Path phenomena... deep moored fixed acoustic buoy systems... oceanographic data collection and processing... off-shore navigation equipment... checkout instrumentation, data displays... signal processing techniques... miniature hydrophones... ASW avionics... portable torpedo tracking and testing systems... sound velocimeters... at-sea testing... as well as the design and manufacture of equipment using advanced pressure-insensitive microelectronics.
If your program requires integrated system engineering or development of special-purpose equipment — or both — contact Bunker-Ramo.
THE BUNKER-RAMO CORPORATION
DEFENSE SYSTEMS DIVISION
8433 FALLBROOK AVENUE • CANOGA PARK, CALIFORNIA 91304
AN EQUAL OPPORTUNITY EMPLOYER
Meetings
Wescon: Semiconductors by the Bay
The burgeoning impact of semiconductors is reflected in the 23 technical sessions to be held at the Western Electronic Show and Convention (Wescon), August, 19-22 at the Cow Palace in San Francisco. Eleven sessions deal in some way with semiconductor devices—whether it be automatic handling of them, the use of integrated circuits in active filters, how one designs high-frequency circuits up into the microwave region with computer assistance, the special world of metal oxide semiconductors, or the changing interface between IC manufacturers and systems designers.
In both the Wescon sessions and those associated with the International Electronic Circuit Packaging Symposium held concurrently August 20 and 21, the industry's growing desire to be rid of the problems associated with lead bonding are evident because both will devote a session to the topic. Those attending the packaging symposium will hear cases for flip chips, beam leads, and spider bonding by representatives of Intersil, Raytheon's Semiconductor operation, and Motorola's Semiconductor Products division, respectively, plus a talk on production equipment for these new packages by Hans Wagner, technical director of Hugle Industries. Beam leads, spider bonding, and IBM's solid-logic technology will also get a workout in a Wescon session entitled "handling microcircuits automatically."
Computer help. Microwave semiconductors will come in for a fair share of attention in two Wescon sessions: "Current Solid State Microwave Devices and Circuits," and "Computer-Aided Design of High-Frequency Circuits." The latter includes papers on computer design of gallium-arsenide impatt diodes and microwave IC's, plus one on computer-aided small-signal transistor modeling. The former will offer papers on ultrahigh-frequency microcircuits, bulk gallium-arsenide and impatt microwave sources, and microwave transistor amplifier design.
The session on "MOS IC's: a Critical Review," could cause some sparks because of the controversial nature of some of the speakers and the companies they represent: Glen Madland of the Integrated Circuit Engineering Corp., who will discuss the designer's dilemma; Larry Drew of the Viatron Computer Systems Corp., whose topic is "In-Depth User-Vendor Dialogue Is a Must;" and Alvin Phillips of Autonetics, who will do some crystal-ball gazing in a talk entitled "The Promise of Things to Come." Both Viatron and Autonetics have been the target of critics in the industry because of skepticism that Viatron will succeed with its System 21, and doubt that Autonetics—a military-oriented entity—will make a go of its new commercial microelectronics products division.
The technical portion of the program also reflects the increasing emphasis on production equipment, instrumentation, and display technology evident in the exhibits at recent Wescon shows. There are sessions on high-speed oscilloscope recording, automatic production of semiconductors, large system data displays, and instrumentation for high-speed phenomena.
Among the top semiconductor manufacturers, only Signetics is bucking the trend away from Wescon exhibits; the firm will introduce 181 new IC's at the show.
For information contact Dalton W. Martin, Vidar Corp., 77 Ortega Ave., Mountain View, Calif. 94040.
Calendar
Conference on Instrumentation Science, Instrument Society of America; Hobart and William Smith College, Geneva, N.Y.; July 28-Aug. 1.
(Continued on p. 24)
How to Buy a Good Power Supply Without Spending a Bundle...
Take a long look at the Abbott line of over three thousand standard models with their prices listed. The unit shown above, for instance, is the Abbott Model AL6D-27.6A, a DC to DC converter which puts out 28 volts of regulated DC at two amps and sells for only $220.00. Other power outputs from 5 to 240 watts are available with any output voltage from 5 volts to 10,000 volts, all listed as standard models in our catalog. These converters feature close regulation, short circuit protection, and hermetic sealing for rugged application found in military environment.
If you really want to save money in buying your power supply, why spend many hours writing a complicated specification? And why order a special custom-built unit which will cost a bundle — and may bring a bundle of headaches. As soon as your power requirements are firmied up, check the Abbott Catalog or EEM (see below) and you may be pleasantly surprised to find that Abbott already has standard power supplies to meet your requirements — and the prices are listed. Merely phone, wire, or write to Abbott for an immediate delivery quotation. Many units are carried in stock.
Abbott manufactures a wide variety of different types of power supply modules including:
- 60~ to DC, Regulated
- 400~ to DC, Regulated
- 28 VDC to DC, Regulated
- 28 VDC to 400~, 1φ or 3φ
- 60~ to 400~, 1φ or 3φ
Please write for your FREE copy of this new catalog or see EEM (1968-69 ELECTRONIC ENGINEERS MASTER Directory), Pages 1727 to 1740.
TO: Abbott Transistor Labs., Inc., Dept. 87
5200 West Jefferson Blvd.
Los Angeles, California 90016
SIR:
Please send me your latest catalog on power supply modules:
NAME __________________________ DEPT. _____
COMPANY _________________________
ADDRESS ___________________________
CITY & STATE _______________________
(Continued from p. 23)
Seminar on Case Studies in System Control, IEEE; University of Colorado, Boulder; Aug. 4.
Joint Automatic Control Conference, IEEE; University of Colorado, Boulder, Colo.; Aug. 5-7.
Third Annual Contemporary Filter Design Seminar, University of Missouri, Columbia, Mo.; Aug. 5-8.
International Photoconductivity Conference; Stanford University, Palo Alto, Calif.; Aug. 12-15.
Western Electronic Show & Convention (Wescon), IEEE; Cow Palace & San Francisco Hilton Hotel, San Francisco; Aug. 19-21.
Symposium on Programming Languages Definition, Association for Computing Machinery; San Francisco; Aug. 24-25.
Defects in Electronic Materials for Devices, Metallurgical Society of the American Institute of Mining, Metallurgical, and Petroleum Engineers; Statler-Hilton Hotel, Boston; Aug. 24-27.
ACM National Conference and Exposition, Association for Computing Machinery; San Francisco Civic Center; Aug. 26-28.
Cornell Biennial Conference on Engineering Applications of Electronic Phenomena, IEEE; Cornell University, Ithaca, N. Y.; Aug. 26-28.
Education and Training Technology International Convention, IEE; London, England; Sept. 2-6.
Electrical Insulation Conference, IEEE; Sheraton-Boston Hotel & War Memorial Auditorium, Boston; Sept. 7-11.
European Microwave Conference, IEE; International Symposium on Man-Machine Systems, IEE; St. John's College, Cambridge, England; Sept. 8-12.
Convention of the Society of Logistics Engineers; Cape Kennedy Hilton Hotel, Cape Kennedy, Fla., Sept. 9-10.
Petroleum & Chemical Industry Tech. Conference, IEEE; Statler Hilton Hotel, Los Angeles; Sept. 14-17.
International Telemetry Conference, International Foundation for Telemetering, Sheraton Park Hotel, Washington, D.C.; Sept. 15-17.
Conference on Trunk Telecommunications by Guided Waves, IEE; London, England; Sept. 15-17.
(Continued on p. 26)
"We specify Allen-Bradley hot-molded resistors for quality, reliability, price and delivery"
Hewlett-Packard
The computer-like capabilities in this compact hp Model 9100A Calculator have placed severe demands on component performance. Reliability must be of the highest level.
Allen-Bradley hot-molded resistors completely meet the challenge. This is shown by the fact that they satisfy the requirements of the latest MIL-F-390008A Established Reliability Specifications at the highest level—the S level. This is true for all three ratings—the 1 watt, ½ watt, and ¼ watt—over the complete resistance range from 2.7 ohms to 22 megohms!
The unsurpassed performance of A-B resistors results from an exclusive hot molding manufacturing technique. The equipment is fully automatic—developed and used only by Allen-Bradley. The "built-in" precision control ensures the highest uniformity from resistor to resistor—year after year. Physical properties are constant. Performance is predictable.
For complete specifications on this quality line of hot-molded resistors, please write to Henry G. Rosenkranz and request Technical Bulletin 5000. Allen-Bradley Co., 1201 S. Second St., Milwaukee, Wis. 53204. Export Office: 1293 Broad Street, Bloomfield, N. J., U.S.A. 07003. In Canada: Allen-Bradley Canada Limited.
Circle 25 on reader service card
Life insurance for all light beam galvanometers. Only $135 per channel.
The 1-172 Universal Galvanometer Driver Amplifier is probably the most important advance this year in oscillography. And for one basic reason. It safely permits the use of oscillographs in applications where only oscilloscopes were economically practical.
With the 1-172, you no longer face the expense and inconvenience of galvo damage and repair. If an overload condition occurs, the galvo automatically goes to a safe maximum deflection, and the trace is broadened to indicate overload.
Furthermore, the amplifier protects all existing light beam galvanometers.
The cost for our 2-channel, portable model is only $270. Not much more than the price of a good galvo. The 4-channel model costs twice as much, but can still be delivered within 45 days.
For all the facts and possibilities, call our nearest office. Or write Bell & Howell, Pasadena, California 91109. Ask for Bulletin Kit 3313-X1.
CEC/DATA INSTRUMENTS DIVISION
BELL & HOWELL
Meetings
(Continued from p. 24)
Solid State Devices Conference, IEE; University of Exeter, Exeter, Devon, England; Sept. 16-19.
Symposium on the Biological Effects and Health Implications of Microwave Radiation, Biophysics Department of the Virginia Commonwealth University, Bureau of Radiological Health, Environmental Control Administration, and U.S. Public Health Service; Richmond, Va.; Sept. 17-19.
Annual Broadcasting Symposium, IEEE; Mayflower Hotel, Washington; Sept. 18-20.
Joint Power Generation Conference, IEEE, American Society for Mechanical Engineers; Charlotte, N.C.; Sept. 21-25.
Annual Intersociety Energy Conversion Engineering Conference, IEEE, American Society for Mechanical Engineers; Statler Hilton Hotel, Washington; Sept. 21-26.
Ultrasonics Symposium, IEEE; Chase Park Plaza Hotel, St. Louis, Mo.; Sept. 24-26.
Short courses
Numerical Solutions in Heat Transfer and Fluid Mechanics, Pennsylvania State University, University Park; July 27-Aug. 1. $200 fee.
Applications of Computers to Automated Design, University of Michigan, Ann Arbor; July 27-Aug. 1. $225 fee.
Computers and Modern Process Control—a Course for Engineering Production Managers, Purdue University, Lafayette, Indiana; July 28-Aug. 1. $150 fee.
Call for papers
Asilomar Conference on Circuits and Systems, Naval Postgraduate School, University of Santa Clara, and Stanford University, IEEE; Asilomar Hotel and Conference Grounds, Pacific Grove, Calif., Dec. 10-12. Oct. 3 is deadline for submission of abstracts to Prof. Shu-Park Chan, Department of Electrical Engineering, University of Santa Clara, Santa Clara, Calif. 95053.
Seoul International Electrical and Electronics Engineering Conference, IEEE; Seoul, Korea, Sept. 2-4, 1970. Jan. 31 is deadline for submission of papers to Prof. Sung Kae Chung, Chairman of Technical Committee, c/o KIST, P.O. Box 131, Cheong Ryang Seoul, Korea.
Allen-Bradley Type J potentiometers offer tapers designed to your special needs!
When standard tapers fail to provide the control you desire, Allen-Bradley Type J potentiometers have the unique capability to provide a virtually limitless variety of curves to meet your specialized requirements. While not a precision device that is continuously taper-trimmed to very close tolerances, Allen-Bradley's control of the resistance-rotation characteristics during production assures a high degree of conformity.
Allen-Bradley Type J potentiometers have a solid hot molded resistance track made by an exclusive process which was pioneered and perfected by A-B. This solid resistance track assures smooth adjustment at all times—with none of the discrete changes in resistance that are encountered in wire-wound units. And being essentially noninductive, Type J controls can be applied in high frequency circuits where wire-wound units are useless. Furthermore, A-B's solid molded resistance track assures low noise and long life.
For more complete details, please write: Allen-Bradley Co., 1201 S. Second St., Milwaukee, Wis. 53204. Export Office: 1293 Broad Street, Bloomfield, New Jersey, U.S.A. 07003. In Canada: Allen-Bradley Canada Limited.
ALLEN-BRADLEY
QUALITY ELECTRONIC COMPONENTS
©Allen-Bradley Company 1969
Circle 27 on reader service card
The new chip, called a "smart ice cube," is made by researchers at the University of Illinois at Urbana-Champaign. It's about the size of a grain of rice and can be programmed to release drugs or other substances when it melts.
Honeywell computers won't say "Uncle" ... that's Ultramation
How much punishment will Honeywell computers take? To find out, we put our DDP-516 computer and μ-PAC logic modules to the test — abuse that would stop ordinary equipment cold.
At the Spring Joint Computer Conference, we pulled a μ-PAC module out of an operating DDP-516. Then dipped the module in liquid nitrogen at -320°F. Then placed the frost-covered unit back into the computer and restarted the program... 178 times with the same module... with zero failures!
Next we belted a Ruggedized DDP-516 computer with several hundred bone-crushing blows from a 10-pound sledge hammer. Everyone from husky engineers to a black-belt karate champ took a whack. Maximum force: 23g! The computer didn't miss a beat.
This same ruggedized computer recently passed grueling qualification tests at Avco's test lab. The computer was shaken, shocked, rocked, frozen, baked, swept to a 10,000-foot altitude and bombarded with sudden changes in power input. It still wouldn't quit. Result: certification that the computer meets applicable military and shipboard specifications.
We still don't know how much punishment it takes to make our equipment say "Uncle." That's Ultramation... the ultimate in reliability from Honeywell.
Write for new literature. You'll get details on the Ruggedized DDP-516 (now including electromagnetic-interference suppression as standard) and μ-PAC logic modules. Honeywell, Computer Control Division, Framingham, Mass. 01701.
Honeywell AUTOMATION
Circle 29 on reader service card
Light Sensors
Any bright ideas?
How about a detector to track the sun, moon and stars for an inertial navigation system. Or an optoelectronic array to read punched cards and tape. Or in recognition equipment such as credit card readers, check recorders and bill changers.
Maybe a brushless motor needed in an explosive environment, or a tone generator for an electric organ. And there are burglar alarms, optical sound track readers and infrared film recorders. Also accelerometers and gyros. And instruments for measuring gas, liquids and even freight packages.
TI's light sensors are 1000 times faster than the electromechanical devices they replace and they're up to 20 times more reliable.
TI has eleven light sensors and two light emitters in its line of preferred semiconductors. That means they're "application proven," in volume production and are readily available from distributor and factory stocks.
For TI's Preferred Semiconductors and Components catalog, write Texas Instruments Incorporated, PO Box 5012, MS 308, Dallas, Texas 75222.
Or simply circle reader service card number 160.
A question of bad business
Manufacturers representatives, by their own estimates, account for 30% to 50% of all electronic components and subassemblies sold in the U.S. Yet, the reps are often treated as orphans by the very manufacturers they represent. The reps complain loud and often, mostly on these points:
- Attention, service and delivery. Says one rep: "Many principals [manufacturers] are production and engineering oriented. They aren't flexible when a customer requires service other than what the principal considers normal." Another says it's impossible to create a sense of urgency on the part of most principals.
- Communications. Most reps assert that it takes too long to get a response from the factory office and that frequently rush requests for information are completely ignored. One suggests that communications are too sloppy. "I'd appoint one person at the plant to handle all communications with some or all of the reps, and give that person authority to see that rep inquiries are expedited," he says. Delays can cost sales, he points out.
- Manufacturers' employees. Employees of principals who are assigned to deal with reps are often condemned for inability and complacency. Sales correspondents, in particular, are singled out for criticism because they are relatively inexperienced; some have no sales experience whatsoever.
- Technical support. About half of the reps surveyed by Electronics decry the inadequacy of technical literature. Others point to the complete lack of manufacturer-sponsored technical training for the reps' own staffs (50% or more of whom are usually engineers).
U.S. manufacturers are under fire from overseas, too. A Swedish rep says U.S. principals don't give letters from overseas the same priority as those from the U.S.; some foreign letters are even downgraded because of poor English. This, he points out, could mean a loss of potential business to the manufacturer. Sales meetings, he says, deemed by U.S. manufacturers as an absolute must for both their own salesmen and their U.S. reps, are often overlooked completely for their overseas reps.
While not all manufacturers can be taken to task by their reps, many clearly can. And the first steps toward resolving these problems lie with them. It's simply a matter of good business.
Ending conference boredom
Many attendees of this year's IEEE Computer Group Meeting held in Minneapolis came away sadly disappointed. They had traveled from distant points only to be served up a hodge-podge of papers that were either too old or too theoretical, or simply lacking in significance. The frustration was all the keener for those who had attended the session last year in Los Angeles and the one a year earlier in Chicago. Those highly successful conferences lived up to their advanced billing as information exchange meetings aimed at helping hardware-oriented computer engineers.
Where did this year's meeting go wrong? Perhaps it was because many of the conference organizers and speakers came from universities—some 40% this year, compared with less than 5% in 1968.
Next year's meeting may also be wanting, but for different reasons. Its theme, "Engineering and Design of Memories and Peripherals," is a tall order. Perhaps too tall. The committee may find that trying to cover both memories and peripherals does justice to neither. For the first time, too, the conference will have a hardware exhibit. The exhibit may enhance the conference, but some engineers fear that administering the exhibit will be at the expense of improving the technical program. They want a program that's not only stronger, but one that is so strong the conference could become as prestigious as the International Solid State Circuits Conference, which, incidentally, bars commercial exhibits.
In contrast to the IEEE Computer Meeting, the Fall Joint Computer Conference, sponsored by the American Federation of Information Processing Societies, promises an all-out war on meeting tedium. Its organizers promise papers that not only meet the most rigorous technical requirements, but are "audience oriented and dynamic" as well. Authors of accepted papers will be urged to attend a pre-FJCC seminar where they will be given tips on how to present a paper orally and how to use visual aids. At the conference itself, authors will be expected to use their written paper merely as a starting point. The oral version could conceivably turn out to be an illustrated presentation of selected highlights. Speakers will be required to submit their visual aids for review before presentation.
We applaud the FJCC committee's concern for conference attendees. Perhaps the 1970 IEEE Computer Conference committee, as well as others who face similar challenges, would do well to take a page from FJCC's book.
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Circle 32 on reader service card
Samso pushes 621B to commercial use...
The Air Force apparently is trying to broaden support for the 621B navigation-satellite program by emphasizing the system's potential use in commercial aviation. A pending Space and Missile Systems Organization (Samso) contract with Boeing includes computer-simulated flight tests modeled on a 747 and other commercial planes, and at least one advanced military aircraft. Another contract, with Grumman, will center on naval air operations.
The 621B will probably go to the contract definition phase by late summer or early fall.
Meanwhile, Magnavox is negotiating with Samso for a correlation-receiver development contract that was to go to Hughes Aircraft. Magnavox is developing the receiver, but Hughes was to have an administrative role. TRW is also working on a receiver and will deliver a breadboard version to Samso, as will Magnavox.
...as airline eyes Navy's Omega setup
At least one airline is interested in the Navy's Omega navigation system to get around the higher cost of inertial navigation systems. Continental Airlines or its subsidiary, World Airways, will begin flight tests early in August with an airborne Omega package built by Northrop's Electronics division (formerly Nortronics). Northrop has a contract for 140 Omega receivers for Navy ship use, and is developing the Navy's airborne version, which includes a computer in the same box with the receiver. One of the units will be installed in a Boeing 707, possibly for polar flights to London and back from a West Coast airport.
Northrop officials estimate a commercial airborne Omega system will cost less than $50,000 per copy as opposed to about $100,000 for an Arinc 561 inertial navigation system. Loran and Decca systems are more accurate than Omega, which operates at 10 kilohertz, but they don't offer the worldwide coverage that Omega will boast when all eight transmitters are on the air by fiscal 1972.
NASA aims laser of its own at moon
The Air Force Cambridge Research Laboratory will not be alone in conducting lunar ranging experiments by bouncing laser beams off the corner reflector that Apollo 11 astronauts are to leave behind on the moon [Electronics, June 23, p. 57]. NASA will perform lunar ranging studies using a laser that packs more power into a shorter-duration pulse than the 1-gigawatt unit built by Hughes for the AFCRL experiments. The NASA-sponsored investigative team, headed by the University of Maryland's Carroll O. Alley, will use a ruby laser made by the Korad department of Union Carbide's Electronics division.
The ruby system develops 1.75 gvs, has a pulse width of 5 nanoseconds or less (vs. 10 for Hughes), and a pulse repetition rate of 20 pulses per minute. It will be pumped through the 107-inch telescope of the University of Texas McDonald Observatory at Fort Davis, Texas.
The long-term studies are aimed at determining how much the moon wobbles out of its orbit, the distribution of the moon's interior mass, and continental shifts on earth. The experiment might also shed more light on the "Chandler wobble," the earth's wobble on its axis, which some scientists believe is related to earthquakes.
Thomas Bay, former general manager of Fairchild Semiconductor who resigned when C. Lester Hogan joined Fairchild, has been named board chairman of Central Data Systems of Sunnyvale, Calif.
Central Data is going after the time-sharing computer market. Bay feels time sharing is growing so quickly that it's becoming profitable for companies to own their own computers rather than depend upon service bureaus. His firm will enter the market in nine to 12 months with a 32-bit computer which Bay calls one of the few designed with time sharing applications foremost—"it's not just a revamped general-purpose machine." A 30-to-50-terminal system would cost "significantly less than half a million," Bay says.
In a battle that has turned into a political hot potato, high Pentagon officials are trying to decide whether Hoffman Electronics, Motorola, or ITT should supply 526 AN/ARN-84 microminiaturized digital Tacan navigational units. The contract is worth between $12.5 million and $15 million.
Hoffman was believed to be the winner when ITT protested what it called the Navy's failure to evaluate all technical criteria. Insiders say the Navy is preparing a rebuttal to ITT's charges, while Hoffman is reported to be confident that it will be the winner despite the delay and controversy.
The International Union of Electrical and Machine Workers (IUE), flushed with success, is forging ahead with its plans to organize engineers and engineering assistants, claiming it will announce more victories before year's end.
Latest win came at Sperry Gyroscope in Great Neck, N. Y., where the union picked up 1,400 engineering personnel earlier this month. It's the union's biggest engineering haul so far, topping the 700 engineers who joined late last year at Western Electric's Kearny, N.J., plant.
Within the next two weeks, the IUE hopes to pick up another 200 Sperry engineers in a separate election. Spearheading the effort to organize engineers in electronic and electrical areas in Sanford V. Lenz [Electronics, March 31, p. 123], a young engineer whose contention is that engineers are ripe for unionization.
Following Lockheed's decision to develop a growth system for the L-1011 that could provide both area and long-range inertial navigation [Electronics, July 7, p. 33], Litton is taking a cut at the area and terminal navigation problem. Some 30 vor stations will be catalogued into the computer associated with Littons LTN-51 inertial navigation system. The computer samples and locks to a given station, taking bearing and distance data to update the inertial position. . . . As MOS sales grow, so does the list of firms offering such devices. Latest to be added is Amelco Semiconductor, which has available the first in a series of p channel MOS FET's. . . . RCA is preparing specifications for competitive procurement of microwave hardware, towers, and direct-dialing equipment for the Alaska communications system. Those will be the three major packages involved in expanding the phone system purchased from the Government for $28.4 million. It had been run by the Air Force.
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The experimenter next processed the autocorrelation function through a PAR™ Fourier Analyzer to obtain the power spectrum of the cry. This spectrum is being studied to gain additional insight into the acoustic physics of the bat's vocal apparatus.
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Circle 36 on reader service card
Military budget takes it on the chin
Senate committee cuts a billion dollars from Pentagon request, sending seven major programs down the skids
The Senate has delivered the first blow to the Pentagon's fiscal 1970 budget request, a billion-dollar chop. And by its action, the Armed Services Committee gave the Nixon Administration its first warning that Congress is in fighting trim, reacting to growing public criticism of military spending.
The 12.7% cut in Defense Secretary Melvin Laird's request for $8.22 billion for research, development, test, and engineering (RDT&E), dropping it to $7.18 billion, is considered by military researchers as far more significant than the Congressional threat to the much-publicized Safeguard ABM system. "That's just one system," explains a Pentagon aide. "But this R&D cut is going to hurt many, many more, programs in a variety of technologies if it stands in the final appropriation."
Current betting on Capitol Hill is that the cut will stand in the final Senate appropriation, if it isn't cut further on the floor. And the House, which has yet to act, is not expected to be much more open-handed as it, too, feels the backlash of public outrage with the Vietnam war.
Asked more. Considering that RDT&E requests for aircraft, missiles, ships, and tracked vehicles was one budget area where the Nixon Administration sought to increase, rather than cut, President Johnson's last budget—Laird proposed a $48.3 million boost—the Senate action surprised Pentagon leaders. They anticipated that earlier voluntary economies achieved by canceling the Air Force manned orbiting laboratory and the Army's AH-56A helicopter would mollify the likes of Armed Services Committee chairman John Stennis (D., Miss.). And they also knew that Stennis was appreciative of the fact that today's defense dollar buys approximately 25% less than it did five years ago.
Nevertheless, Stennis read the mood of his colleagues and temporarily shed his customary hawkishness to concur in cutbacks, many of them on a program-by-program basis.
The result was an authorization of $1.64 billion for the Army, some $210 million less than requested; $1.93 billion for the Navy, a cut of $290 million; $3.1 billion for the Air Force, a cut of $510 million; and $468.2 million for DOD agencies, a cut of $32 million.
The casualty list. In addition to the already scuttled MOL and Cheyenne helicopter programs, seven major programs heavily oriented to electronics were effectively killed by the Senate, while five others were seriously wounded.
- The Army's SAM-D missile, with Raytheon as prime contractor, lost $75 million as the committee indicated the program lacked urgency in view of existing inventories—including Raytheon's ongoing improved Hawk.
- The Army's heavy-lift helicopter lost all its $15 million—a blow to Boeing Vertol—again because of existing inventories of medium-lift choppers and what committee sources term "poorly defined requirements."
- The Navy lost all $66 million requested for RDT&E for the E-2C aircraft. Reason: existing aircraft can do the job and the redundancy is not worth the outlay.
- The $20 million proposed to start an underseas long-range missile system (ULMS) was scrubbed because Senators didn't think the post-Poseidon system warranted the expense when Poseidon itself is not yet operational.
Also needing redefinition at the DOD level, claims the Senate body, is an assessment as to just how many air-to-ground stand-off missiles the Air Force needs. Until that evaluation is made, the new AGM-X3 lost its beginning fund of $3 million. Similarly, the Air Force lost $15 million for RDT&E on the RF-111; another million for its light intratheater transport, and, of course, $400 million for MOL—although it recouped $100 million for "special activities," the innocuous title assigned to unmanned ferret and reconnaissance satellites, boosting it to nearly $260 million.
Among the wounded were the Army's problem-riddled main battle tank '70, a joint effort with West Germany on which our allies have virtually given up. It was cut from $45 million to $30 million for R&D. The Navy's S-3A antisubmarine warfare aircraft (VSX) was dropped.
$25 million to $140 million because of "Navy delay in selecting a contractor," a political backfire forced on the service by the DOD to prevent selection of Lockheed being disclosed while Lockheed's Cheyenne helicopter award was being canceled for cause. Also hit was the Navy's advanced surface missile system, cut 65% to $25 million until priorities are better defined.
**The long count**
While military researchers were jolted by the Stennis committee's R&D recommendations, aircraft procurement specialists rolled with the anticipated punches that canceled such major programs as the A-7 subsonic tactical fighter—whacking off nearly $375 million for the 128 "D" versions for the Air Force and another $104 million for 27 of the Navy "E" model. The Air Force also saw $136 million eliminated for the F-111D's Mark 2 avionics for 68 planes.
The Air Force, though, bounced back somewhat with money to purchase 120 more McDonnell Douglas F-4E phantoms.
As for the costly Mark 2 avionics for the costly F-111D, the Air Force—some of whose leaders expected to lose the aircraft itself—gained a favorable decision. While ordering the service to bring the Mark 2 program "to an orderly halt," the committee recommended making "economical use of equipment already in production to equip sufficient aircraft to have a useful force"—and then the Air Force can take the money "saved" on the avionics and apply it to "partially offset the large unit cost increases" in the planes.
**Battle ahead.** Unlike the recommended RDT&E cuts, though, the F-111 procurement decision—along with others—is likely to encounter challenges on the floor of both houses.
Among those others:
- A $224.6 million Navy procurement increment leading to 287 F-14A fleet defense fighters. The fiscal 1970 request, however, covers six planes at $15.5 million a crack plus R&D for the successor to the $3 million Phantom.
- Restoration of $123.5 million for two more nuclear subs after it was deleted from the Johnson Administration's request. This brings funding to nearly $595 million.
- A $377.1 million request for a third Nimitz class nuclear attack carrier.
**Secure ships.** Safer from the budget cutters are the funds for two nuclear frigates (DXGN), a $196 million procurement package for one ship and nearly $68 million for advanced procurement on a second; $318 million for five new destroyers (DX); and $17.6 million in lead-time funds to support a program for eight. Conceived as an eventual 200-ship purchase, the DX class is getting high praise as the "first ship to sail as a completely integrated weapons system, with the naval tactical data system, the latest in antisubmarine electronics, 3-D radars, heavier weapons and higher speeds."
Though the Army suffered relatively little in the Senate's estimate of this special procurement bill for aircraft, missiles, ships, and vehicles, the related electronics subsystems won some and lost some.
A $28 million slash in the OV-ID Mohawk observation helicopter, for example, left $5.3 million in for acquisition of the ground electronics to be applied to other programs. Similarly, the $25 million cut eliminating two experimental training planes left $6.6 million in for purchase of ground simulators, with more electronics, instead.
On the other hand, continuing problems with the M-60 medium tank deferred that program and wiped out $3.8 million for a laser rangefinder for the tank's target acquisition and fire control system. And, again, the Army's funds for its air defense control and coordination system were cut more than half to $8.5 million, while another $8.5 million for the AN/TPX-46 radar interrogator was cut completely because of classified technical problems.
**A final hook**
Any meaningful assessment of what's likely to happen to various segments of technology in fiscal 1970 military science spending has to be based on two of the seven fundamental categories into which such funds are divided. For the electronics industry, the categories labeled "defense research sciences" and "other equipment" are perhaps most significant.
In the defense research sciences area—a catch-all for relatively basic studies in physics, electronics, math, astronomy, and materials—a $37 million cut by the Senate
Armed Services Committee will leave a bit more than $580 million for military in-house labs, industry, and university studies. The Army will get $169.9 million after a $12.5 million cutback; the Navy $145.1 million following a $15 million chop; the Air Force $142.7 million after a $16 million cut; and DOD agencies such as Advanced Research Projects Agency and John Foster's Defense Directorate of Research and Engineering are left with $122.5 million after a $7.5 million reduction.
The "other equipment" budget took a $175 million beating, mostly in electronics, leaving an authorization of almost $1.14 billion. While most of the $70 million Air Force cutback is accounted for by Awacs ($45 million), another $5 million slice from ground electronics is leveled directly at Rome Air Development Center's programs in and out of house.
Fingering Army. "Other equipment" funds for the Army—whose effort has escalated markedly through the Electronics Command to meet Vietnam demands—was slashed $45 million to a $318 million level. And the Senators pinpointed specific areas where they saw waste and wanted cuts. One was the quick-reaction-capability contract area in general, and electronic warfare in particular. Developed for Vietnam programs, quick-reaction crash programs are deemed no longer necessary. Other Army electronics efforts marked for cutback include: counter intelligence, identification friend or foe, airborne and ground surveillance and target acquisition, night vision, and missile electronics.
The Navy got $245 million of its $280 million request along with the recommendation it could afford to limit its efforts in ocean engineering, underseas surveillance, target surveillance, and "certain other electronics developments."
As to the defense agencies, they were left with $260 million after a $25 million reduction that could be applied to the nuclear weapons test program, nuclear monitoring research—the old Project Vela, overseas defense research (Project Agile), and a number of sensors.
Space electronics
Straight and narrow
Spin-stabilized satellites use jet thrusters to maintain attitude and keep their antenna beams aimed accurately. Such accuracy is especially important to the Air Force's tactical communications satellite (Tacsat) because its data is picked up by small antennas carried by field units.
To fire Tacsat's thrusters with pinpoint accuracy, engineers at the Hughes Aircraft Co., builder of the satellite, have built large scale integration into a digital differential analyzer adder they designed using MOS technology.
The flight-control programer that went aloft in Tacsat last February 9 probably represents one of the earliest applications of LSI to satellites. The programer, along with a phase-lock loop using the same kind of adders, permits the 360° circumference of the satellite to be divided into very small angle increments over which a thruster can be fired to move the vehicle precisely in relation to signals received from an earth sensor. These increments can be 0.1° or less.
Leftover. The programer was originally developed for the advanced Syncom (Syncom 2) commercial communications satellite built by Hughes, but because it predated LSI, it was too heavy and was abandoned in favor of ground control of the thruster. Ground control for Tacsat, however, was rejected because of the possibility of interference with commands to the spacecraft, says Philip Toorvald. He heads the digital controllers and data-processing section in the Hughes Data Systems division, where the flight-control programer was designed by Louis Bonilla.
The system aboard the initial Tacsat uses digital differential analyzer adders and shift registers made to Hughes design by the General Instrument Corp.; later adders will be manufactured by Hughes at Newport Beach, Calif.
Adder. Hughes' Tacsat DDA. Scaling factor determines shift register size.
U.S. Reports
Each adder consists of 230 MOS field effect transistors forming the equivalent of 155 gates. The controller for a single jet thruster consists of just six monolithic chips—2½ MOS adders, 2½ MOS shift registers, and one bipolar integrated circuit containing two flip-flops. This subsystem performs a function that's about four times more complicated than the pre-LSI version intended for Syncom 2, which incorporated 231 parts.
The jet-firing sequence is triggered by ground command. Once that command "arms" the control system, the reference pulse derived from the phase-lock loop corresponding to the sensor's output starts the firing sequence. Before the sequence begins, however, three binary numbers are stored by ground command in 2's complement form in the dynamic 16-bit shift registers: one corresponds to the start angle of the firing, which is equal to a preset number of pulses after reception of the earth sensor pulse; another corresponds to the desired pulse duration, which is related to the number of degrees of satellite spin through which the firing should continue; and the third corresponds to the number of times the thruster is supposed to fire to move the spacecraft in the right direction. In effect, the adders and shift registers work as programmable counters.
**Ready—count.** Much of the timing of the sequence is provided by the two inputs from the phase-lock loop—the earth sensor reference number and a coherent frequency that is a binary multiple of that frequency, which quantizes the satellite's $360^\circ$ revolution into precise angles. These are represented by the number of counts after the reference pulse is received before the system should fire a thruster.
Once the system has been programmed, and a ground command received to start a sequence, reception of the earth sensor reference signal from the phase-lock loop initiates the programer timing. The word that was stored in the register associated with the $Y_1$ adder—corresponding to the start angle—is shifted nondestructively into the register associated with the $R_1$ adder. On the pulse after the reference pulse, the $R_1$ adder begins counting the number of pulses from the phase-lock loop coherent frequency signal, adding the count to the contents of the $R_1$ register. That register overflows, signifying the start angle, and triggers the bipolar flip-flop. The flip-flop opens a solenoid that allows gas to escape from the thruster.
The pulse duration command stored in the $Y_2$ register is nondestructively transferred to the $R_2$ register when start angle overflow occurs. This register also accepts data from the coherent frequency corresponding to the angle through which the satellite should be moved, finally overflowing when the preloaded limit for the pulse duration has been reached. This pulse-duration overflow resets the flip-flop to stop the thruster.
An $R_3$ half-register containing the preloaded 2's complement of the number of jet firings needed to complete a satellite maneuver is incremented by each pulse-duration register ($R_2$) overflow. It overflows when the limit is reached, causing the $R_3$ half adder to inhibit the flip-flop, preventing any further thruster firings until the next earth sensor pulse is fed into the control system from the phase-lock loop. Then the entire sequence—arming...
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This solid-state portable oscilloscope also provides performance! Bandwidth is 4 MHz at 10 mV/div deflection factor. For low signal level applications, 1 mV/div at 2.75 MHz is provided. Sweep rates are 1 s/div to 5 μs/div, extending to 0.5 μs/div with the X10 magnifier. A single control knob permits automatic or manual level sweep triggering, positive or negative slope. With no input the automatic trigger mode provides a bright baseline reference at all sweep rates. A 6 X 10 (1/4-inch div) internal non-illuminated graticule permits parallax-free measurements.
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Electronics | July 21, 1969
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U.S. Reports
Space electronics
and loading—begins again if a different duration or number of pulses will be required the next time that thruster fires.
Son of ATS
The applications technology satellite (ATS) program was set up as a test bed for developing new hardware for space applications missions. The program has yielded proven hardware in a number of areas and is now spinning off a separate satellite program due to become operational in the 1970's: the synchronous meteorological satellites. They'll allow weathermen to continuously watch cloud patterns associated with severe storms, monitor tropical weather systems—including hurricane development, and compute wind velocities.
Requests for proposals for two prototype synchronous meteorological satellites have been written by NASA's Goddard Spaceflight Center; best guess by insiders is that they will be issued before the end of the summer. The spacecraft will be launched by Delta vehicles and limited to 950 pounds in orbit; size and complexity will be analogous to either Intelsat 3 or the ATS 1 and 3 satellites. Says an official at Goddard, "Hughes, TRW, and Philco-Ford are all interested in bidding and there may be one or two more." Plans now call for the first launch in 1971.
Brains. The main sensor package will be a spin-scan telescope system containing an infrared radiometer employing refractive optics, and a black and white camera using reflective optics. The package is now under development by Hughes in Santa Barbara, Calif., as part of the Tiros operational satellite improvement program. The telescope package offers resolution of a half mile in the infrared and four miles for black and white. A contract with Hughes to develop a package for the first meteorological craft is expected within a month. Since the i-r radiometer is a tough pacing item for the package, NASA is planning to have an extra spin-scan camera from the technology satellite series ready should delivery slip.
Meanwhile, the Department of Commerce's Environmental Science Services Administration, which is working closely with NASA on the program and which will take over as it becomes operational, would like to add another package to the prototypes. Called the environmental monitoring package, it would contain electron and proton measurement equipment, solar X-ray measurement equipment, and a magnetometer. At present, NASA is working on the details for the extra sensors and will hold space for them.
Manufacturing
Eye that bonds
Integrated circuits are becoming more and more reliable, but the search for failure mechanisms goes on. One cause that's been known for some time has generally defeated attempts to overcome it—flawed bonding between an IC and its package.
In Kovar flatpacks, an IC is bonded to its substrate by a combination of heat and ultrasonics. A good eutectic alloy form is laid down on the substrate and another alloy coats the bottom of the IC chip. With the Kovar at about 375°C to 400°C, the chip is placed on the substrate to heat, then vibrated ultrasonically to make the bond. Thermocouples measure the critical temperature at the bond.
Flaw in the ointment. In theory this makes a firm mechanical contact between package and substrate, and also allows heat generated in the IC to be carried off into the package heat sink.
In practice, joints made with the bond too cold or too hot prevent heat from dissipating. The heat collects within the IC as hot spots that cause burnout. Burn-in racks help weed out some of these defective circuit-package combinations, but not all. And until now there's been no easy way to check the bond, since it can't be seen, or to
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Coil design has also undergone some innovation. AC versions have been fabricated such that coil frequency is operational from 60 Hz to 400Hz, without degradation of ratings.
SPECIFICATIONS
Contact Rating
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Challenging opportunities for relay-switch engineers.
U.S. Reports
prevent flaws.
But a small Massachusetts company may have an answer to bonding problems. Vanzetti Infrared & Computer Systems of Dedham has developed a technique to monitor bonding temperature more accurately than anything now used, one which may prevent bad bonds.
Riccardo Vanzetti, president of the firm, has developed a technique for viewing the surface of a die during bonding with an optical fiber and an i-r detector diode. Vanzetti says, "The chip is essentially transparent to the infrared produced during the bonding process and by monitoring this we can gauge the temperature at the bond."
Measure. In experiments, Vanzetti has passed optical fibers through the vacuum collet which holds the chip in place during bonding and taken i-r measurements right from the IC's surface. Watching the diode's output on an oscilloscope shows that its response is more accurate than a thermocouple's and that it is more sensitive to quick changes in temperature.
This isn't entirely the fault of the thermocouple since its bulk requires that it be installed, for example, on one of the ultrasonic probe tips used to vibrate the chip during bonding. Since the probe is far bigger than an IC, the thermocouple usually winds up measuring probe temperature rather than IC temperature. Also, the time needed to heat or cool the probe tip adds to the thermocouple's response time.
Though the amount of i-r detected by the diode sensor will vary with the IC metallization pattern (metal will block some of the i-r), calibration with an oscilloscope can prove what Vanzetti claims is an almost certain indication of a solid bond.
Viewed on the scope, the temperature of the IC gradually increases during bonding, almost levels off—then suddenly takes a sharp jump upward. The jump occurs when the gold eutectic material becomes molten and heat is directly conducted from the substrate to the IC by conduction. This is when the best possible bond forms.
Theory. On an assembly line, an operator could run the bonder at temperature for a few seconds, then let the assembly cool. But so far this is hypothetical since the thermocouples now used neither measure the temperature of the chip itself nor spot the quick increase in its temperature at the time of bonding.
Vanzetti figures that use of the infrared monitor would just about eliminate the bubbles and voids caused in overheated bonds, as well as cold nonconductive bonds. Though the technique has been tried on only a few dozen chips, both Texas Instruments and General Electric are interested in it for reliability insurance and may ask Vanzetti to equip some of their bonders with the i-r sensor system for evaluation.
Vanzetti also is thinking of selling his sensor system to bonder makers and may develop a product within the next few months. For now, he is collecting data comparing the reliability of bonds made with his sensor with those made the old way.
Manufacturing
Spray power
A nine-month-old company, Gould Ionics, has developed a solid electrolyte battery that can be sprayed on a printed-circuit board in thicknesses down to 1 mil. Not only that, the company says, but the battery has an almost unlimited shelf life.
The battery is formed by successively spraying a silver-carbon-electrolyte anode, a rubidium silver iodine electrolyte, and a proprietary non-iodine base cathode, using an inert organic solvent.
To demonstrate one potential application, company engineers sprayed a 3-cell, 1.5-volt, 0.030-inch-thick battery on a camera flash cube, eliminating the need for a separate battery. Although voltage is low—0.53 volts per cell compared with 0.66 volts per cell for a conventional iodine battery—the thinHYBRIDS
bridge the op amp generation gap
Philbrick/Nexus combines the best of monolithic and discrete technologies to create the new generation of op amps — the hybrids. They're micro-miniature and low cost, yet their overall performance is equal to or better than their discrete predecessors. And, built-in stabilization simplifies circuit design by eliminating external components.
1402 — high performance FET for battery applications
The 1402 features a quiescent current drain of only 500 μA with a power supply voltage range of -4V to -24V, full output frequency of 80 KHz and output capability of ±14V at ±5mA with ±15V power supply. TO-8 case; 0.5" diameter, 0.14" high. Price: $50 each in 1-9 quantity.
Other hybrids offering interesting performance characteristics:
1404 offers the lowest power drain (50μA) of any general purpose hybrid on the market. -2.5 to -15 volt operation. Produces 1 mA output. Size: 0.75" × 0.45" × 0.20" high. Price: $49 each in 1-9 quantity.
1406 is a small (TO-8 case) fast general purpose op amp. Price: $26 each in 1-9 quantity.
1407 is a low cost high performance FET which features a gain bandwidth product of 30 MHz. Full output frequency is 100 KHz. TO-8 case. Price: $63 each in 1-9 quantity.
1408 is a low cost differential FET input. Size: 0.6" × 0.6" × 0.25" high. Price: $30 each in 1-9 quantity.
Q25AH is a wideband, high reliability FET. 1,000,000 hours logged without a single failure. TO-8 case. $180 each in 1-9 quantity.
No other manufacturer offers as wide a variety. Ability to innovate, design and manufacture will continue to provide a greater variety of hybrids from Philbrick/Nexus than you'll get from any other single source.
For complete specifications and technical assistance, contact your Philbrick/Nexus field-engineering representative or write, Philbrick/Nexus Research, 22 Allied Drive at Route 128, Dedham, Mass. 02026.
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U.S. Reports
film power supply has the advantage of being sprayable in unusual geometries and restricted spaces. It is also rechargeable. Gould engineers believe the current density, 200 microamperes per square centimeter, can be greatly increased. Work now under way on the non-iodine cathode is to improve current density by several orders of magnitude, they add. And, unlike liquid electrolyte batteries, the battery poses no hazard to circuitry from leakage. Since no iodine is used in the cathode, shelf degradation from iodine diffusion is eliminated.
Pick a spot. Gould says there should be numerous applications for the battery in the semiconductor field, since it can be selectively sprayed on different portions of a circuit board to provide miniaturized power isolation. The developers also foresee possible uses in aerospace computers as a secondary power source to prevent memory loss in cases of brief emergency power failures.
Gould Ionics was formed last November by Gould-National Batteries and North American Rockwell. The company also holds the license to basic patents on a solid-state, electrolyte, pellet-type battery with a 10-year shelf life that can operate over a range from \(-65^\circ F\) to \(165^\circ F\).
Military electronics
Little Rascals
With an $18.1-million Navy production contract for the AN/SPN-41 all-weather carrier landing system safely hooked, Airborne Instruments Laboratory is zeroing in on the Marine Corps with a version for tactical helicopter use. It's a microwave system the Cutler-Hammer division calls Rascal, for remote area scanning beam approach and landing.
The company has also delivered a prototype ground station and two or three airborne receivers to the Army Electronics Command for test and evaluation under a $500,000 contract. But the immediate potential for Rascal with the Marine Corps is much greater since the corps has a special operating requirement for 50 ground stations and 300 airborne receivers for helicopters and light S/TOL craft.
Honeywell's simplified tactical approach equipment (State) has the advantage of being more readily available, according to military sources, while Airborne Instruments must scale down its Army test version from an estimated 100 pounds per package to the 25-pound level. However, Naval Air Systems Command, home of the SPN-41, is pushing the Airborne Instruments concept because of its clear compatibility with the shipboard version plus its ability to handle multiple aircraft coming in on different glide slopes at the same time. Limitations of the State system, says a Navy source, are its \(5^\circ\) minimum glide slope, below which multipath effects could occur, and its single-angle approach setting which is manual.
Package. Where the Navy SPN-41 will use separate transmitters on the 13 attack carriers and 10 ground stations with terminals to handle the 1,000 aircraft which will be
$6.3 million isn't bad
Though the FAA figures it would need three to four times its present budget to develop an acceptable all-weather landing package for commercial use, Airborne Instruments Laboratory isn't too downcast. The reason: it has picked up a $6.3 million FAA pact for 99 improved solid state instrument-landing systems, plus another $256,920 for 15 radar display interference suppressors. Seventy-six of the systems will be completed packages, including a localizer for generating a signal defining the runway centerline extended, glide-slope signal for angle of descent, and two marker beacons for the approach paths. The remaining 23 systems have a localizer and one marker only. All are Category 1; they permit landing with visibility as low as a half mile and descent to a "decision height" of 200 feet. Deliveries, to begin in 15 months, will take about three years.
When you need a new way to see in the dark...
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The jungle edges hide and the jungle dawned behind "Charlie C." lines. Both vehicle choppers no longer wait for morning light to find more. The enhanced first generation night vision (the first that actually intensifies available light), eleven starlight, thousands of times. From the start these working on this project have relied on the Research Engineers and components supplied by ERIE TECHNOLOGICAL. Our next two-man attack high voltage assembly is at the heart of their system proof once again that whatever your area of electronics, it pays to bring ERIE in early.
ERIE TECHNOLOGICAL PRODUCTS, INC.
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Better solutions come from Weatherford
Try these for starters:
TTL. Military Transistors. Discretes.
The Trend is TTL. And we've got just what you need to stay out in front of this fast-moving game: Texas Instruments' new TTL brochure—the most detailed handbook yet on these increasingly-popular devices. In its 80 pages is complete data on industry's broadest TTL family, some 166 different circuits, many of them in a choice of packages and temperature ranges. You'll also find loading tables and informational guidelines on the application and use of leading MSI functions. As an extra convenience, it is color-coded for easy reference and simpler device selection. We've got a free copy waiting for you. Or circle 150 on the Service Card.
Only TI's military-qualified power transistors qualify for off-the-shelf delivery. If you now go directly to a manufacturing source for military-qualified power transistors and still wait weeks for delivery, come to us. We can get them to you fast! Availability is excellent because inventories are in great shape. And your choice is broad, 16 devices: JAN 2N497, JAN 2N498, JAN 2N656, JAN 2N657, JAN 2N1714-JAN 2N1717, JAN 2N1049A, JAN 2N1050A, JANTX 2N1724, JAN 2N1724, JANTX 2N1722, JAN 2N1722, JAN 2N389, JAN 2N424. TI makes many other planar and epitaxial planar power devices which, while not military-qualified, can meet stringent military requirements. So stop marking time—shoot an order our way. Or for pricing and delivery data on all TI power transistors, check with us.
TI's discrete dual transistors: proven, reliable, ready to go. When applications—like operational or differential amplifier designs—demand extremely high stability, take a close look at TI's dual transistors. They provide better thermal tracking with extremely low drift and a stability that just can't be achieved with a matched pair of separate transistors. TI's dual transistors are available for high and low current applications in NPN duals, PNP duals and complementary pairs in TO-5, TO-18 and dual flat packs. Pick what you need from this broad selection: 2N2639-2N2644, 2N2802-2N2807, 2N2913-2N2920, 2N2972-2N2979, 2N3347-2N3352 and 2N3806-2N3811. Contact us for data sheets on TI's discrete dual transistors or circle 151 on the Service Card.
For better solutions, call your authorized TI distributor
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DISTRIBUTORS OF ELECTRONIC COMPONENTS AND EQUIPMENT
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fitted with AN/ARA-63 receivers, the Marines and Army are considering a single transmitter for both functions. The tactical ground system would consist of two 35-pound units plus an operational third distance-measuring transponder, says Joseph E. Woodward, deputy director for the company's Transportation division.
One appealing aspect of the system for Army and Marine tactical aircraft, according to Woodward, is that they have no systems competitive in the narrow bandwidth of 15.4 gigahertz to 15.7 Ghz in which both Rascal and SPN-41 operate. Navy aircraft—particularly the A-6 Intruder—on the other hand, have fire-control radars operating in that frequency spectrum.
Elevation and azimuth of the man-portable system is designed with beamwidths of 3° and 4° respectively, with coverages of 0.12 and ±10°. A distance measuring unit with 360° coverage would have a capacity of 50 aircraft. Data rate would be 4 hertz and operation with internal batteries is put at two hours.
Though Navy costs to outfit its 1,000 planes under the first production award for SPN-41 are estimated to run about $8,000 apiece, over and above the twin-transmitter landing stations, the Marine Corps cost for a sealed-down system is estimated at about $4,000 to $6,000.
From this point of view of the Federal Aviation Administration, however, that figure is still too high. "To backfit aircraft with an all-weather landing system like this," says one FAA executive, "could cost $50,000 per plane, plus another $250,000 for each airport installation." In the eyes of the FAA—operating with less than $1 million a year for R&D in this area—that's too much.
For Viggen? Meanwhile, foreign market potential for variations of SPN-41 has narrowed to Sweden, says Woodward, following last-minute deferment of a French purchase of two advanced instrument landing systems for civilian test and evaluation.
The Royal Swedish Air Force wants a tactical instrument-landing system for its new hot fighter, the Saab Viggen. According to Woodward, Airborne Instruments is to deliver a prototype package in October under a $500,000 contract. This should lead to a 3-to-4-year contract around 1971 worth "several million dollars" to outfit the 170 Viggens in the RSAF. Sweden can either buy the package outright or license Saab for production there.
Taking cues from larger and more complex systems, Donald N. Graham, director of software and systems analysis, adopted an approach like paging in which data and subroutines are stored in blocks on the disk and transferred into and out of core as needed.
During the parts of the process leading up to fast Fourier transform itself—collection of data, scaling, multiplications, and so on—dual 1,023-word core buffers stand between main memory and the disk store. While the data in one is being processed, the other is dumping data back onto the disk in processed form, erasing, or filling itself with new routines or data about to be used.
This speeds processing by effectively halving the disk storage system's latency time—that is, it gives the illusion of reading out information twice as fast as normally possible with the disk.
Because the operations performed on the data are sequential, says Graham, this system could use assembly language coding to permit data and subroutine instructions to be interleaved in the mass memory and called up as needed. "As we finished each step—say scaling—we could add an almost Fortran-like 'go to' or 'load' instruction keyed to the next subroutine or block of data," the executive points out.
**Fast shuffle.** It's also convenient in fast Fourier transform to process sections of data in an arbitrary order, he adds, and since the data is already in blocks it's simple to do this. "It amounts to breaking up processing into about 10 subprocesses," he says, "and moving to the next block wanted—but not necessarily the next one stored." Graham calls this shuffling and emphasizes that it helps speed processing.
The fast Fourier transform processing itself also is sped up through a proprietary version of the Cooley-Tukey fast Fourier transform algorithm. Graham says it takes advantage of "shortcuts and symmetry that the basic algorithm overlooks, and lets the system do the transform in fewer operations than the pure CooleyThe industry's tiniest 5 watt zener...
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U.S. Reports
Tukey method would require."
Thus the system does a complete 32,000-sample fast Fourier transform in about 40 seconds—20 of which are used to transform information to and from the disk store. The whole operation can take up to 80 seconds of machine time if other operations like weighting and normalization of data are added. Data collection and readout naturally are slower, limited by the duration of the sampling period and by plotter and printer speed.
Although the system was originally designed for a far different—proprietary—application, the company may have an unsuspected market for it in petroleum geology. Though the samples used in that kind of seismic analysis are usually short, 4,000 to 8,000 words, data is stored in tracks since it's taken from multiple geophone sensors.
Graham figures that little revision would be needed to turn the processor into what could be the wildcatter's fast Fourier computer—"Just operate on each track in sequence," he says, "and do the transform at the end of each track"—thus taking some mineral exploration from the hands of computer-rich oil companies, and giving it back to small businessmen at $30,000 a throw.
Computers
EDP for all hands
The Naval Air Systems Command—currently working with more than 35 developing computer systems—decided a bit more than a year ago to look at a more general approach to computer design. The idea: a modular digital computer system that could do all airborne computer chores for all naval aircraft in the 1975-1985 period. Now that concept is a full-fledged program, called advanced avionics digital computer, that's becoming an element in advanced naval aircraft now on the drawing boards.
According to Ron Entner, program manager, the project will demonstrate the ability of byte-functional modularity to meet projected computer needs in every conceivable aircraft system from close support attack to air rescue. Basic to development of the system is the idea of combining technologies and methodologies projected for the time period of the computer's active life. Among them are LSI, MOS, thick film, Fourier spectral analysis and synthesis, variable word length, and built-in test and self-repair.
Entner believes that the result will be a system that can be set up to meet a continuous range of requirements—from a simple unit processor to a multiprocessor or bulk parallel processor—using a minimum number of standard block modules. All contingencies would be covered with 20 to 30 basic parts. Entner says, "We can expect drastic reduction in computer costs as we will be using off-the-shelf, mass-produced modular hardware." He adds that much of the saving will come from reduced design work.
Better. Although it is still early in the development process, thought is being given to some of the unique offerings which may be produced by the system. Two mentioned already are a voice command interface and analog checks for predicting digital failures. At this point, on paper at least, the system offers advantages over other existing and planned airborne computer schemes. For example: it promises an improvement of better than five orders of magnitude over existing computers in operation and maintenance. Entner says it was measured against a computer now under development, though he won't mention the system, and theoretically offers an average of 10.1 improvements in all categories.
Plans now call for a "determination of feasibility" for the Navy airborne computer in 1973 at which time detailed specifications would be written and development of a demonstration model would begin. Presently, the Navy hopes to keep its costs under $10 million to the point of determining feasibility. Should the program pan out, it could become the basis for all naval avionics systems for a decade.
We built these tape recorders to play, not to play with!
When you're recording data, you don't want to waste time playing nursemaid to a temperamental tape machine. So we built the HP 3950/3955 Analog Recorders to play tape, not games.
Through simple design and rugged construction, we cut out almost all of the finicky adjustments and maintenance operations required for most recorders. Routine maintenance on the HP 3950/3955's runs less than one-fifth of that needed for most of the machines you might be considering.
The HP 3950/3955's low initial price, plus the sharply reduced operating costs that come with minimum downtime, make it an attractive buy for a wide variety of scientific, medical and industrial applications.
If up to five times less tape recorder maintenance and downtime looks good to you, ask your local HP field engineer about our HP Model 3950 and 3955 Analog Recorders. Or write Hewlett-Packard, Palo Alto, California 94304; Europe: 1217 Meyrin-Geneva, Switzerland.
Misalignments that might interrupt your work on other machines are eliminated by a cast aluminum frame, machined to precise dimensions on a numerically controlled milling machine. Tape transport components are mounted to this frame on precisely indexed bosses, and neither shimming or other adjustments are required in the field.
An instrumentation quality, open loop tape drive ends the need for complex servo systems and vacuum or blower buffer chambers. The simple, uncluttered tape path assures easy cleaning and loading. Both IRIG 7 and 14 channel models are available, with the 7 channel model expandable to 14.
Front panel monitor meters, test signal selectors and test I/O connectors for all record and playback electronics are readily accessible.
Since the concept is modular, new technology could be slipped into the computer in the form of a compatible new module.
One aspect of the future of the computer envisioned by the Navy is to prevent one company from getting an inside track for the computer or for any one element. In short, says Entner, no prime contractor is planned. Should the program go to fruition, however, many companies would participate. Thus far, over a dozen firms are at work and a score more have expressed interest in upcoming contracts for developing certain elements.
Five firms—Hughes, Westinghouse Aerospace, General Electric, Honeywell, and IBM—are providing unfunded studies of the concept to the Navy. Raytheon and Westinghouse are doing funded systems studies, Sylvania and Litton Data Systems are under contract for memory development studies, several LSI development contracts are under negotiation and will be announced shortly, and Systems Consultants Inc. is working on an instruction repertoire.
Jobs. In the next few months, a number of contracts will be awarded in such areas as LSI packaging concepts, design of a multiprocessor, input-output concepts, computer simulation, memory development, and continued systems analysis.
Entner says that the program really boils down to nine parallel development efforts: modular digital multiprocessing; modular bulk-parallel digital processing; advanced memory technology; input-output, conversion, preprocessing, and communications concepts; advanced programming concepts; microelectronic technology development; microelectronic packaging development; advanced avionics systems requirements studies; and automated design and programming concepts. He points out that as far as possible all data generated will be kept unclassified and the rest disseminated on a need-to-know basis. The request for proposals being readied for LSI packaging contracts stipulates that the Navy will not consider proposals of proprietary packages.
For the record
On the wing. Although no one would characterize it as a mass exodus or anything even close to it, the fact is that during the past year a number of Texas Instruments' brighter stars have left the Dallas-based firm for what they hope are greener pastures. Latest to leave is Jon Eberle, corporate market research director, who is moving over to the Intermed Corp., a one-year-old medical electronics firm started by another former TIer, Thomas Walker. Other recent departures include G.W. Paxton, former manager of TI's opto-electronics department, who, along with three of his TI colleagues—J.D. Crowner, G.D. Clark Jr., and J.P. Wheeler—founded Spectronics Inc. to manufacture opto-electronic and infrared systems.
Meanwhile, IBM has filed legal proceedings against the newly-formed Cogar Corp., its president, George Cogar, and 66 former IBM employees who now work for Cogar. The suit alleges that Cogar is using IBM trade secrets to build computer equipment. Cogar maintains that the action is really aimed at preventing other IBM middle management from leaving the company for jobs in other parts of the data-processing industry.
Ready. National Semiconductor's recently announced series of linear IC's tested to MIL-STD-883 will be followed in two weeks by an 883 low-power TTL family, and later this year by an 883 MOS family. The advantage of these products, National claims, is that the customer doesn't have to order custom IC's to meet 883 requirements; the specs for the circuits are already written and they're available off the shelf.
Stamp of approval. NASA's "line certification" program, in which process control specifications are established for IC manufacturers to assure uniform quality and reliability, is starting to shape up. NASA is ready now to certify the first three companies: Texas Instruments, National Semiconductor, and Amelco.
SPEED WINS THE BALLGAME!
In computers, too, time is money; and the lowest computer time often wins the ballgame. So if speed is important to you, why settle for typical TTL times of 13 nanoseconds when you can have typical ECL II times of 4 nanoseconds?
At Stewart-Warner, the high-speed logic of the future is available today. We are now announcing another 14 new ECL II's in both the industrial series (1000) and military series (1200). We have previously announced 14 circuits in these two ultrahigh-speed series, as well as 11 ECL's in the high-speed 300 and 350 series.*
Since ECL's offer the designer the same functional capability and design freedom as he has with the slower TTL logics, there's no longer any need to compromise when speed is important...especially when Stewart-Warner ECL prices may be lower than what you have been paying for TTL's.
For more information, send for our ECL data sheets. And, for off-the-shelf delivery, call your local Stewart-Warner Microcircuits Distributor.
*All Stewart-Warner ECL's interchangeable with Motorola MECL and MECL II units.
STEWART-WARNER MICROCIRCUITS, INC.
730 EAST ELYSIUM AVENUE, SUNNYVALE, CALIFORNIA 94086
PHONE: 408-245-3020 TWX: 510-339-9210
Circle 55 on reader service card
Visicorder--recording
When we designed our original Honeywell Model 906 Visicorder back in 1956, we didn't start with an idea of how it would work.
We started with the idea of what it should do: give you immediate readout of high-frequency analog data.
So instead of using a conventional recording technique (with chemicals, ink or vapor), our Model 906 was designed around a whole, new, unconventional technique... of recording on light-sensitive paper, which then developed on exposure to ambient light.
Since then, we have seen this "unconventional" technique become the most widely accepted system in oscillography, an accomplishment that might have been enough to content most manufacturers.
But not Honeywell. We expanded this technique to fit virtually any application, by introducing Visicorders of greater capacity.
Then we introduced Visicorders with added convenience features and increased versatility, including a new fiber-optics recorder.
And then we introduced a complete range of accessories, such as our microfilm recorder accessory (that provides expanded resolution,
1 Model 906: 6" compact, "handyman" Visicorder
2 Model 2206: 6" battery-powered, portable, Visicorder
3 Model 508A: 8" Visicorder with takeup unit
4 Model 2106: 6" laboratory Visicorder
5 Model 1204: Visiprinter accessory
6 Model 2400: Microfilm recorder accessory
7 Model 1912: 12" high-performance Visicorder
Regional Sales Offices:
Albuquerque, NM (505) 345-1656
Dave Dimick
Chicago, IL (312) 674-9770
Eldred Jones
solutions since 1956
reduced record storage space, increased economy, and a permanent record; and our Visiprinter, a digital printer accessory that allows you to record digital data, along with the analog traces on any Visicorder.
And then, finally, we complemented this line with a variety of signal conditioning instruments, including amplifiers, attenuators, strain gage and thermocouple control units. Plus a wide selection of thermocouples and Statham transducers.
Until now, today, when we can honestly say that we offer the world's finest and most complete line of direct recording light beam oscillographs, systems and accessories. Which means that a Honeywell engineer can provide the solution to any recording problem, no matter the size or complexity.
And that from small portables to 36-channel Visicorders, DC to 1 MHz, Honeywell can deliver, install and maintain any size system.
For more information, call your nearest regional sales manager listed below, or write: Honeywell Test Instruments Division, P.O. Box 5227, Denver, Colorado 80217 (303) 771-4700.
Honeywell
Long Island City, NY (212) 392-4300
John Paul I
Los Angeles, CA (213) 724-3500
Durke Johnson
McLean, VA (703) 893-4560
Bill Schmuck
See us at WESCON, Booths 1306 - 309.
Circle 57 on reader service card
BELDEN...new ideas for moving electrical energy
Belden’s systems savvy is
no big deal
It's a lot of little deals, that add up to something big. Like lower costs. Fewer production headaches. Enhanced product reliability. By poking and probing into your product's electrical system and the way it's manufactured and used, Belden Wire Systems Specialists may be able to suggest a wire or cable that costs less. Or that lasts longer, or that takes up less space*. Or maybe they'll suggest a different put-up that saves you assembly time. Or a solution to a stripping problem. They'll also offer you one responsible source for all your wire needs. Because we're the people who make all kinds of wire for all kinds of systems. So if you're making plans or having problems, get yourself a good deal. Call or write: Belden Corporation, P.O. Box 5070-A, Chicago, Illinois 60680. And ask for our catalog, and the reprint article, "Key Questions and Answers on Specifying Electronic Cable."
*For example: Beldfoil® shielding in Belden cable. It isolates conductors better than anything yet. And it's thinner. You can pack more conductors into a conduit... hold down size and weight.
Sperry Rand's PACT (Progress in Advanced Circuit Technology) program has moved microwave integrated circuits and modules out of the laboratory and onto the production line. As far as we know, Sperry Rand is the first company in the industry to take this revolutionary step.
Our functional assignment was to design the world's first radar performance analyzer for end-to-end testing of doppler radars. For a Navy program, our customer wanted a portable tester that could exercise navigation radar without radiating energy and without making any interconnection with the aircraft. Since size, weight and power consumption are critical, all the microwave functions were integrated. The result: three microwave integrated modules replacing 32 conventional microwave components.
At one time or another, Sperry Rand had produced fully integrated versions of every microwave component in the test set. Why not reduce the whole circuit to integrated modules? First, integrated modules have fewer interconnections, and are therefore more reliable. Second, integrated modules cost less to produce than present day collections of discrete components. Third, by making all of the circuit elements ourselves, we sidestepped a lot of procurement problems.
Development of the microwave integrated circuit modules for the doppler test set proved to be well within Sperry Rand's capability.
The unit works well. In the old days (last month) the microwave section would have occupied 90 cubic inches. Today it takes up 3 cubic inches. Our ferrite-substrate modules have a low-pass filter, 6 circulators, 11 attenuators, 5 diodes, 2 mixers, 2 converters and 4 thermistors. The old way would have required 25 more flange connections than the integrated modules use. The microwave circuit functions within the same tight tolerances that it would have under the older technology.
Now that we're delivering integrated modules, you can't afford to pass up our experience. In fact, if we're not helping design your microwave system, it's probably obsolete.
A letter will start us working on your next system improvement. Write: Sperry Microwave Electronics Division, Sperry Rand Corporation, P. O. Box 4648, Clearwater, Fla. 33518 or call us at (813) 784-1461.
**ABOVE RULER:** The old way. Thirty-two conventional microwave components.
**BELOW RULER:** Sperry's new way. Three integrated modules. Lighter, less expensive, more reliable.
*For faster microwave progress, make a PACT with people who know microwaves.*
Senate wants DOD to keep it posted on program costs
Not only is the Senate tightening its grip on the Pentagon by slashing military spending [see p. 37], but now it wants quarterly reports on costs of major weapons systems. Mississippi Democrat John Stennis, chairman of the Armed Services Committee, puts it this way: "We can save more by following these contracts from the time they originate on through, than we can by trying to pick up the spilled milk from the floor."
Two Republican members of Stennis' committee—Richard S. Schweiker of Pennsylvania and Milton R. Young of North Dakota—want the Senate bill funding development and procurement of aircraft, missiles, ships, and combat vehicles to require original estimates; updated estimates with explanation of any changes in price, delivery, or performance schedules; a listing of procurement options and their costs—plus an independent General Accounting Office audit of the DOD figures. With support from Stennis, Senate acceptance of the new controls seems guaranteed. As one Capitol Hill source puts it: "Mel Laird and especially David Packard have said most of these weapons problems could be controlled by instituting good business practices. Now they're being taken at their word."
HEW tries to pick number 1 to 5...
An embattled and battered Department of Health, Education, and Welfare—still smarting from Secretary Robert Finch's recent embarrassments by the White House on staff appointments and education desegregation—is encountering problems in another area: color tv X-ray radiation.
The 15-man committee of industry, labor, medicine, and Government representatives set up to advise HEW's Bureau of Radiological Health on radiation standards has unanimously rejected the bureau's proposal that limits be dropped to 0.1 milliroentgens per hour at "any point accessible to an individual" from the present level of 0.5 mr at 5 centimeters from the set. Committee arguments are that the standards are too severe for industry and that existing instrumentation is not capable of accurately measuring such low levels.
HEW also proposes that all receivers be labeled with the manufacturer's name, plant identification, production date, certification of compliance, and a warning of radiation hazard. Producers importing sets from Japan, Taiwan, Hong Kong, and other Asian plants are opposed to those labeling provisions.
...as it moves in on medicine men
As the Bureau of Radiological Health girds for the color tv radiation controversy, HEW is also preparing tough radiation standards for medical and dental X-ray and fluoroscopic apparatus. Before coming up with these by January, the department will again consult its advisory committee on what is expected to be a tough combination of warning labels, exposure standards, periodic equipment performance checks, and precisely written user manuals.
Tough provisions for microwave ovens have already been presented to the committee. Based on the contention that interlocks which cut off oven power when the door is opened are often inadequate, HEW has proposed "a minimum of two interlocks that are mechanically and electrically independent of each operation." Detailed specs are being worked up to make the two interlocks foolproof. Also called for: quality control and test procedures, exposure standards, and cautionary labeling.
Three CAS systems race toward tests
Even though tests of three collision avoidance systems (CAS) are right on schedule, they can't be completed fast enough for airlines that want to install them and manufacturers who see a good-sized market opening up. Flight testing began this month in Baltimore with systems built by Bendix, McDonnell Douglas, and one by a Sierra Research-Wilcox Electric team.
Martin, which is running the test program for the airlines, has started the initial tests—to determine if the three systems can operate compatibly. Once this is done, Martin will begin a 12-part program that will generate 2 million data points over 500 hours of flight testing. The entire CAS program, including the test hardware, is costing the airlines more than $12 million. Tests should be finished by the end of the year.
Cost of CAS is higher than many would like, but the Air Transport Association is predicting that CAS will go for about $30,000 per set for commercial airliners and around $10,000 each for a simpler general aviation version. ATA is hoping that the price of both will drop as manufacturers gain production experience.
GSA eyes unbundling as chance to save
The General Services Administration, which did $338.4 million worth of business with IBM during fiscal 1969, expects to bargain hard when it sits down to talk about new contracts with the giant computer maker. The reason: IBM's "unbundling"—separation of equipment and service prices. While a 3% price cut would mean only $10.1 million to the GSA, which handles all Federal procurement of general-purpose computers, the agency fully intends to see even that saving reflected in new deals for lease, purchase, and maintenance. In any event, says the GSA, fiscal 1970 agreements probably won't be reached before the fall.
Jifdats award still up for grabs
The Navy has let the fiscal year come and go without naming a developer for the joint in-flight data acquisition and transmission system (Jifdats). The oft-delayed program, cut back a few months ago from a two-phase development and production program that could have cost as much as $250 million to a development effort only, was to get off the ground by June 30 at the latest.
Three firms are competing: Hughes Aircraft, Motorola, and Northrop. The development award for the triservice procurement is expected to be worth anywhere from $25 million to $50 million. Industry insiders are convinced the technical judgment has been made and that price is delaying an award. One source, however, says that he wouldn't be surprised if the announcement were stalled until Congress adjourns to avoid the flak coming from Capitol Hill on new awards these days.
In Jifdats, data gathered by a variety of aircraft sensors will be sent over a data link either to a real aircraft or directly to the ground, giving the services near real-time reconnaissance.
Addendum
The Army's Safeguard Systems Command is quietly making plans to counter a new problem uncovered in its searching review of the controversial ABM system's performance. The problem: In a rapid, large-scale nuclear exchange, how to separate outgoing interceptor missiles from incoming enemy warheads. The Army's proposed solution seems simple: Add an infrared sensor capability to tracking radars to monitor the hot exhaust of interceptors.
Let's put an end to op-amp compromise
Eight new versions of the 741 let you match the op amp to your design, instead of vice versa.
1. Need the 741 with complete internal compensation? Ask for TOA1741 — direct mechanical and electrical replacement for the μA741.
2. Need the 741 with variable bandwidth to 5 mHz and variable slew rate to 5.0 volts/μsec? Try the TOA1741W — Using one external capacitor for maximum performance flexibility.
3. Need the 741 with internal compensation, plus 20X lower input bias current, 20X lower input offset current, 10X higher input Z? There’s nothing like the TOA7741 — featuring min. input Z of 3 megohms, max. input bias current of 30 nA, max. input offset current of 10 nA.
4. Need a 741 with variable bandwidth to 5 mHz & variable slew rate to 10 v/μsec PLUS 20X lower input bias — 20X lower input offset current — 10X higher input Z? Use the incomparable TOA7741W — with an external capacitor for performance flexibility, plus same input characteristics as TOA7741.
5. Need any of the above in industrial temperature ratings? Ask for TOA2741, TOA2741W, TOA8741, and TOA8741W respectively.
Send for new technical data on all these units, as well as Transitron’s improved 709 series, the TOA1709, TOA4709, TOA7709, and TOA7809, all now offered with short circuit protection.
Transitron electronic corporation
168 Albion Street, Wakefield, Massachusetts 01880
the GIANT™
GENERAL INSTRUMENT ADVANCED NITRIDE TECHNOLOGY
among RAMs
GIANT 32-bit static RAM—the first Random Access Memory directly compatible with TTL, DTL and MOS, expandable in all directions, is also the lowest priced.*
The GIANT 32-bit RAM stands far above the others. Designed for both large and small memory system applications, it is the latest addition to General Instrument's exclusive GIANT family of LSI devices. Present in the 32-bit RAM are all the advantages inherent to products of the General Instrument Advanced Nitride Technology (GIANT). These include: the elimination of interface circuitry, a reduction in the number of system power supplies, a reduced parts count and fewer interconnections, lower power dissipation, increased operating frequency and an increased operating temperature range.
A most significant feature of this GIANT RAM—and of every standard GIANT product—is the $V_{cc}$ terminal, which gives the user a choice of interfacing directly with TTL/DTL or MOS.
The GIANT 32-bit RAM is a monolithic circuit containing 32 DC storage flip-flops with 5-bit address decoding for both read and write. It is intended for use in medium and large arrays as a scratch-pad memory and as a replacement for core memory systems. Upon application of the correct binary address and strobe pulse, any one bit word may be updated or read out on the corresponding data-in or data-out terminal.
Included in the features of the GIANT 32-bit RAM are: low power dissipation of 90 mW, high speed, non destructive read-out (NDRO), and a full military temperature range of $-55^\circ C$ to $+125^\circ C$.
The GIANT 32-bit RAM is immediately available from your authorized General Instrument Distributor.
For full information write, General Instrument Corporation, Dept. R, 600 West John Street, Hicksville, L.I., N.Y. 11802.
(In Europe, write to General Instrument Europe S.P.A., Piazza Amendola 9, 20149 Milano, Italy; in the U.K., to General Instrument U.K., Ltd., Stonefield Way, Victoria Road, South Ruislip, Middlesex, England.)
* $11.80 each in quantities of 100 pcs. for the RA-6-4803 in a 14-lead dual In-line or 14 lead flat pack.
No other general purpose counter is so useful in so many ways. No other counter offers you so many accessories to fit so many measurement jobs.
First, you can get the Model 5248M with a time base that's stable to better than 5 parts in $10^{10}$ per day, a precision frequency standard in itself. You can measure any frequency from dc to 135 MHz to 8 places ±1 count. Or use to 18 GHz at the same accuracy with simple plug-ins.
You can measure period, multiple period average, frequency ratio, multiple ratios, or you can scale frequencies or totalize.
With accessories that plug into the front panel you can:
- Resolve time interval to 10 nanoseconds.
- Measure to 18 GHz with a 1 Hz resolution in 4 seconds.
- Measure CW or pulsed signals out to 18 GHz.
- Prescale for direct readout to 350 MHz.
- Increase sensitivity to 1 millivolt.
- Make dc voltage measurement up to 1000 volts.
- Normalize readings to engineering units or perform high speed batch counting or control.
And with the newest plug-in, the 5268A Frequency Multiplier, you can make high accuracy low-frequency measurements as much as 1000 times faster.
You can get much more out of this counter. Because you can put much more in.
than you ever could before.
Plug-in accessory performance is unequaled. Even the 18 GHz heterodyne converter is completely free of spurious responses. And the transfer oscillator plug-in operates on a new principle which offers versatility, range (50 MHz to 18 GHz) and performance you can't get elsewhere. Add-on accessories even further extend counter usefulness by permitting manual measurements to 40 GHz or automatic measurements from 0.3 to 12.4 GHz.
The 5248M is but one member of a series of 10 closely-related models based upon the highly popular 5245L Counter. All models use the same accessories. And you'll get the same quality and field-proven design no matter whether you choose the top-of-the-line 5248M for $3300, the original 5245L for $2480, the economy model 5246L for $1800 or any of the seven other models.
For a 32-page guide to the highly versatile "5245 Series" call your local HP field engineer. Or write Hewlett-Packard, Palo Alto, California 94304; Europe: 1217 Meyrin-Geneva, Switzerland.
Now...from GR Industries ...a totally new breed of system control computer
gri-909
DIRECT FUNCTION PROCESSOR
You have never seen a computer like this before
The GRI 909 is the first truly innovative approach to computer architecture since the general-purpose computer was first applied as a control device. It goes beyond traditional design to provide a new level of power and flexibility. A true system controller, it provides the only logical answer to many of the basic problems that face system designers... problems like these:
**PROBLEM #1**
*The Real World Interface*
In spite of claims to the contrary, the typical small computer is designed primarily as a calculating device, not as a controller. The system designer, after describing his system functionally, must either transcribe his design into the non-functional language of the computer with all its expressed and implied constraints, or turn over the programming responsibility to a specialist whose background usually is not related to the system application. Result: substantial expense, long delays and occasionally, built-in software limitations.
**No problem with GRI-909**
The GRI 909, designed as a system controller, is organized functionally. *ALL* data registers, whether associated with the processor, firmware options or input/output devices, are equally accessible to the system designer. *ALL* data registers may be incremented, shifted or algebraically tested: the traditional arithmetic operator, with its associated registers, is optional. The GRI 909 programming language is tailored to the functional organization of the processor itself. Input/output devices are operated with the same basic language code. The system designer can both design a system and implement its application in this functional language.
**PROBLEM #2**
*The Data Flow Maze*
Conventional computer architecture is designed around an instruction repertoire, with maximum computing power as the major criterion. The input/output instructions are a secondary consideration and instruction power is limited. The flow of data in and out is impeded by the "implied" operations of the instructions. Free communication between internal computer elements and external devices is not possible.
**No problem with GRI-909**
Here the problem is solved by extending the I/O bus system into the heart of the central processing unit itself. Data is free to flow directly between devices external to the computer and the arithmetic unit, memory, or any of the internal registers without stopping along the way in special accumulators. This free direct flow cuts down on time consumed in moving data about, and reduces or eliminates the need for temporary storage. A unique advantage is GRI 909's ability to perform certain simple operations — increment, complement, shift left or right — on the fly.
**PROBLEM #3**
*The Black Box Hang-Up*
Once a computer is selected the system designer is locked into a pre-established set of capabilities. The CPU is essentially a black box, and there is little that can be done to alter its basic structure. If the system requirements change to include say a "hardware multiply", or "hardware square root", or "hardware byte swap", or "hardware anything", the only alternative is to go to a bigger, more expensive computer possibly requiring a complete new interface design with all new software.
**No problem with GRI-909**
The GRI 909 has provision for the addition of firmware options. And by firmware we mean, not merely the substitution of read-only memory for software, but a broad range of hard-wired plug-in functions which can replace a variety of software routines. This gives the system designer complete freedom to adapt the computer to changing system needs, and to evaluate trade-offs between speed and economy in individual cases.
**Basic characteristics**
The GRI 909 cannot be fully evaluated in conventional computer terms. But for those who like to play the numbers game, the following characteristics are listed:
- **Full Cycle Time:** 1.76 µsec for a 16-bit word
- **Memory Addressing Instruction:** 32K directly addressable, not page oriented.
- **Memory Addressing Modes:**
- **Direct Mode:** Single Address Instruction; 32 bits (16 bit op. code, 16 bits address)
- **Immediate Mode:** 32 bits (16 bits op. code, 16 bits data)
- **Deferred Address Mode:** One level of indirect addressing with 32K of available locations
- **Every device in the system, both inside and outside the computer, is directly addressable by programmed instructions.**
- **Direct memory access channel is available on the same data and control lines as the programmed input/output channel (I/O rate: 1.76 µsec). No DMA multiplexer is required for multiple DMA devices.**
- **Priority interrupt system has full capability to be used as a single channel interrupt or as a full hardware interrupt at the option of the system designer.**
The GRI 909 with 4K 16-bit words of memory and ASR33 Teletype sells for under $10,000. Basic units start at $3600.
August deliveries will include: basic assemblers which can be assembled in the GRI 909 or the IBM 360, programming aids, math routines and utility routines.
**Let us tell you more** — Because GRI 909 is a completely new breed of computer, it is impossible, here, to cover its many unique features and their implications for the system designer. If you build control or instrumentation systems let us tell you what GRI 909 can do for you. For a copy of our new brochure write to:
**G-R INDUSTRIES, INC.**
76 Rowe Street,
Newton, Mass. 02166
(617) 969-7346
The photograph shows a person standing in front of a large rock formation, which appears to be part of a cave or a natural rock structure. The person is holding a camera and seems to be taking a picture. The background is quite dark, suggesting that the photo was taken in a dimly lit environment, possibly inside a cave or a similar setting. The overall atmosphere of the image is mysterious and intriguing, with the large rock formation dominating the scene.
A lot of our connectors will be going up the tube.
They're the new low profile, light-weight connectors made by ITT Cannon going up with the Poseidon missiles through the tubes of our nuclear powered submarines.
This miniature-circular KJ connector series meets the rigorous requirements of the Fleet Ballistic Missile System with an operating temperature range from -85°F up to +392°F. And high contact density and environmental resistance make our KJ connectors perfect mates for both commercial and space age applications.
One of the exclusive features in this MIL-C-38999 designed series is the LITTLE CAESAR® rear-release contact retention assembly. It permits contacts to be crimped, inserted and extracted from the rear — making installation a snap. And within this lightweight, low profile KJ series, you have a choice of 3 to 128 contacts in 33 different layouts. You can pick from 8 shell sizes (10 through 24) and 9 styles. Three of them are hermetic versions with contact sizes from 16 through 22. KJ connectors will intermate with comparable types, already in use. So whether your connector application is sea or airborn, our new KJ series is the perfect mate.
The Cannon® KJ connector line is completely tooled and available now on a short lead-time basis.
Write to: ITT Cannon Electric, a division of International Telephone and Telegraph Corporation, 3208 Humboldt Street, Los Angeles, California 90031.
CANNON ITT
Electronics | July 21, 1969
Circle 71 on reader service card 71
This readout tube never tells a lie
748981
143381
Others do
(and you never know when they fail)
Whatever data you input, a NIXIE® tube reads out. Exactly! You always have reliably accurate readouts, with no risk of a 1 when there should be a 7, a 0 instead of an 8, or a 3 instead of a 9. Rather than tell a lie, honest NIXIE tubes give you no reading ... protect you against false readouts caused by multiple segments that break down, blank out ... and don’t indicate that they’re wrong. You never know when they are faulty.
Selecting a readout display involves more than truth, so weigh every aspect. Check NIXIE tubes for their unmatched reliability, their proven long life (over 200,000 hours), natural readability, and uniform brightness (200 ft. lamberts, with no chance of partial fade-outs). See how only NIXIE tubes are unaffected by static charge ... meet mil specs ... offer unsurpassed packaging and design flexibility (no extra top leads required for decimals). All this, in the most complete and advanced line of tubes and accessories. No wonder NIXIE tubes lead the field.
For information, call or write: Burroughs Corporation, Electronics Components Division, P.O. Box 1226, Dept. N5, Plainfield, N. J. 07061; tel. (201) 757-5000.
the leader
in the world of displays
Burroughs
Schottky diodes make IC scene
Because they don't store charge, Schottky diodes can expand the horizons of digital integrated circuits. Diode-transistor logic, for example, can be made as fast as transistor-transistor logic and emitter-coupled logic. Moreover, power dissipation is reduced, and it's possible to come up with unusual componentry combinations on a chip. These devices also make large-scale integration easier to achieve since more functions can be handled in less area. Another virtue of Schottky diodes centers on the fact that they can enhance production yields. On the cover are two of the first commercially available Schottky-diode IC's which will be introduced in the next few weeks by the Intel Corp., a new concern that's been concentrating on this field.
Active filters: Part 11 Varying the approach
Active RC filters have now reached a stage in their development where they perform at least as well, if not better, than their passive RLC counterparts. They are smaller, require less power, afford better stability and selectivity, and are free from undesired parasitic coupling or nonlinear inductor effects common to most passive networks. Moreover, since they lack inductors, active filters can be easily tuned, and they can be built economically as integrated circuits. The only difficulties involved center on selecting the best active filter for a particular job; the article includes a four-page gatefold containing circuits of 24 practical IC active filters.
Adapter lets digital IC tester check op amps
Addition of a simple, versatile interface fixture to automatic testers for digital integrated circuits permits checkouts of such linear devices as operational amplifiers. The tester can be programmed to interconnect the amplifier terminals with appropriate load and feedback resistors to apply the correct supply voltage and make voltage and current measurements of the device being checked.
Cellular redundancy brings new life to an old algorithm
Litton's block-oriented computer is built of giant undiced wafers, each of which contains many independent processors operating in parallel. The principal operating algorithm, however, dates back 20 years or more and was once abandoned in favor of the well-known binary system. The Litton design promises greater reliability at lower costs than competitive approaches.
Color tube boosts scope's scope
Resolution and convergence present difficulties when a color television tube is used as the display element in an oscilloscope. But the reward for solution is a three-channel unit with red, green, and blue traces.
Schottky diodes make IC scene
With reproducibility problems licked, these devices make attractive elements; they permit unusual component combinations, save chip real estate, reduce power dissipation, and enhance production yields.
By R.N. Noyce, R.E. Bohn, and H.T. Chua
Intel Corp., Mountain View, California
Schottky diodes, because they don't store charge, open new worlds to digital integrated circuits. Diode-transistor logic with Schottky diodes can be made as fast as transistor-transistor logic and emitter-coupled logic. What's more these devices reduce an IC's power dissipation and permit unusual combinations of components on a chip. They also make large-scale integration easier to achieve because more functions can be performed in less area. Not the least of their virtues is the fact that they can increase production yields.
For all these advantages, Schottky-diode IC's have not been commercially available. Intel Corp., however, has concentrated on their development and is now making Schottky diodes that are stable and reproducible. The company has committed Schottky IC's to commercial production, and has found that they live up to expectations. Their first Schottky IC will be introduced in the next few weeks.
Structurally, the Schottky diode is little more than a metal in contact with a semiconductor. As long as aluminum is used for the metal, formation of Schottky diodes in a monolithic IC is compatible with standard processing. Some provision is needed to prevent high-field effects at the edge of the metal contact, but this too is compatible with standard processing. In fact, once reproducibility problems have been solved, Schottky diodes actually simplify processing of high-speed digital IC's because gold doping is eliminated.
The Schottky diode has been around in one form or another for a long time—the crystal detector in early radios, for instance. The modern device, which gets its name from the German scientist who developed the first valid theory of metal-semiconductor rectification, can be used to enhance the performance of existing IC designs as well as to develop entirely new configurations with exceptional features.
In the forward-biased p-n junction, current is carried by holes flowing from the p-type material into the n-type material, and electrons flowing from the n to p material. Either case results in an excess of minority carriers near the junction. If the voltage is reversed these carriers will flow back across the junction, creating a high current until the supply is exhausted. In other words, the p-n junction can't be turned off immediately.
In a Schottky diode made of aluminum on n-type silicon, essentially all of the forward current is carried by electrons flowing from the semiconductor into the metal. They quickly come into equilibrium with the other electrons in the metal, so there is effectively no stored charge to prevent rapid switching. Another major point of difference between the Schottky and the p-n junction diode is that the former has lower forward voltage for a given current.
In a practical circuit the Schottky diode is placed in parallel with the base-collector junction of an npn transistor; the metal electrode is connected to the base and to the n region of the collector, where it forms a rectifying contact.
Since the Schottky diode has a lower forward voltage compared with the collector-base junction, the diode clamps the transistor and diverts most of the excess base current through the Schottky diode, preventing the transistor from saturating. There's no charge storage, either in the transistor or diode.
Clamping techniques have been used in the past to prevent charge storage. Most are variations of the Baker clamp proposed in 1956. In this scheme, a germanium diode shunts the collector-base junction of a silicon transistor to prevent it from being forward-biased; some charge is still stored in the germanium diode. The Schottky IC employs clamping but charge storage is eliminated.
In the past, other efforts to improve switching
speed by reducing or avoiding stored charge have taken two approaches: process innovation and novel circuit design.\textsuperscript{2, 3, 4}
Attempts to minimize storage time through novel circuit designs have had varying success. The most familiar is current-mode switching, which avoids saturation (and hence charge storage) by controlling the collector current so that the collector-base junction never goes into forward conduction. Current-mode logic is fast—propagation time through a gate can be as low as 1 nanosecond—but when such IC's are assembled in a system, they will oscillate unless precautions are taken to control their input impedance characteristic.
\textbf{Off the gold standard}
The standard processing approach to charge-storage reduction in conventional IC's is gold doping. Since gold acts as a recombination center, it reduces the lifetime of minority carriers; that is, it shortens the time for recombination of holes and electrons. Intentional reduction of minority carrier lifetime is somewhat ironic. In the early days of transistors, much effort was expended in increasing the minority carrier lifetime to increase current gain and decrease junction leakage.
Unfortunately, the gold diffusion has some highly undesirable side effects. It tends to reduce gain ($h_{FE}$). If this value gets too low, the IC's won't function because the transistors either don't saturate or have excessive turn-on delay. The manufacturer can use a narrower base to get higher $h_{FE}$, but this can lead to excessive junction leakage.
The Schottky process sidesteps this problem. Without the need for gold doping, low storage time and high $h_{FE}$ can be achieved simultaneously.
Another difficulty with gold doping is the lack of selectivity—if one transistor must be high speed, all the others on the chip have to be high speed too. But with the Schottky process, fast and slow devices can be mixed on the same chip. This freedom of choice in component characteristics is exploited.
diode in its d-c forward current-voltage characteristic, shown at right. The forward voltage of the Schottky diode at any given current is 200 to 300 millivolts less than that of the junction diode, making it an ideal low-voltage clamp.
Another major difference is the recovery characteristics, opposite page at bottom. The Schottky diode storage time is effectively zero, in contrast to typical values of 6 nsec for the gold-doped junction diode and 30 nsec for the junction diode without gold doping. In all three cases, the voltage across the diode decays with the same R-C time constant once the stored charge recombines.
The Schottky transistor is simply an npn IC transistor, produced by conventional photolithography, diffusion, and epitaxial growth techniques with an Al-Si Schottky diode in parallel with the collector-base junction. The base contact of the transistor serves as the metal contact of the diode and the collector region of the transistor serves as the n region of the diode. It's convenient to regard the npn-Schottky diode combination as a single device and to represent it by a single symbol:
To form the Schottky transistor, the base-contact opening is extended beyond the base diffusion and over the collector region. When the aluminum metallization is deposited, it simultaneously functions as the contact to the base region and the anode of the Schottky diode. To prevent high field concentration, the metal can either be extended over the passivating oxide or terminated over a p⁺ guard ring, which can be diffused into the chip at the same time as the base, as shown on page 75.
One big difference between the Schottky transistor and the conventional gold-doped npn device is in offset voltage, which is lower for the latter—typically 120 millivolts vs. 250 mv. However, the saturation voltage need not be excessive because of this large offset; by controlling both device geometry and processing, V_{CE(sat)} can be kept to 0.5 volt at 20 ma collector current and 1 ma base current. And because the Schottky diode has a lower temperature coefficient than the emitter-base diode, V_{CE(sat)} decreases with increasing temperature.
This behavior of the Schottky diode amounts to partial temperature compensation of the emitter-base diode and hence of V_{CE(sat)}. It helps to maintain a high worst-case logic 0 noise margin at high temperature when the Schottky transistor drives fan-out circuits that operate at a 2V_{BE} logic threshold as standard DTL and TTL IC's do.
The storage time of a Schottky transistor is effectively zero, as shown on page 78, in contrast to typically 7 nsec for a gold-doped device and 34 nsec for a non-gold-doped unit. Moreover, storage time hardly varies with temperature. At 125°C,
Forward characteristic. At 1 ma forward current, voltage drop is 0.45 volts for the Schottky diode, 0.74 volts for the p-n junction diode.
No storage. Transient characteristic shows that the Schottky diode, unlike p-n junction diodes, has essentially zero storage time.
it's still less than a nanosecond, whereas the gold-doped storage time doubles to 15 nsec at that temperature.
Aside from much faster switching speed, Schottky diodes offer the IC designer a greater range of devices to choose from. Because gold doping can't be done selectively, the designer has at his disposal only one active component: a fast switching npn transistor whose emitter-base and collector-base junctions can be used as diodes. But since the Schottky process doesn't require gold doping, the designer has seven active components to choose from. And he can mix them at will—fast- and slow-switching devices can be placed on the same chip. In both the Schottky and the gold-doped transistor, various levels of resistivity are available in the bulk material, as well as in the isolation, emitter and base diffusions for use as resistors.
Advantageous options
The Schottky diode across the base-collector junction of the npn transistor is an almost ideal active switch with less than 1 nsec storage time and high amplification. Without the Schottky diode, the device becomes a charge-storage npn transistor characterized by low saturation voltage, high inverse gain ($h_{FE}$), and lengthy recovery time.
Substrate pnp transistors can be diffused into the chip too; these can have $h_{FE}$ of 10 or more and are ideal for input buffering. Lateral pnp transistors can be formed as well—with and without Schottky-clamped collectors to provide fast or slow recovery time. These devices are useful as current sources and for voltage translation.
Then there are SCR's. Like transistors, these can be diffused into the chip in both charge-storage and Schottky-clamped versions, each of which can be optimized for different purposes. They make efficient bistable elements and give a high functional density to integrated shift registers and counters.
And, of course, there are diodes—emitter-base, charge-storage, and Schottky—each with different characteristics.
With just the Schottky diode and transistor, it's easy to upgrade old IC designs. Take DTL, for instance. If, without changing any of the resistor values, the basic DTL gate is modified with Schottky components as shown at top of page 80, the performance of the gate is improved as follows:
- Less sensitivity to power supply variations, since the circuit will continue to function at a lower minimum supply voltage. This is because, when all inputs are in the high state, the voltage at the base of $Q_1$ is typically 0.3 volts lower that it would be in the gold-doped counterpart.
- Less sensitivity to temperature variations because of the compensating effect of the Schottky diode temperature behavior.
- Faster switching; the gate turns on faster, and storage time is less than 1 nsec, remaining so throughout the operating temperature range.
In addition, modified DTL circuits can be fabricated at better yield (and lower cost to the user) because $h_{FE}$ is higher and leakage is lower than in the gold-doped version.
The Schottky version of the TTL gate also has some important advantages over its gold-doped counterpart:
- Lower input inverse leakage current, typically less than 0.1 microampere. This is made up of the reverse-bias leakage of the emitter-base junction and the input clamp diode; there is no contribution from inverse $h_{FE}$ since the collector base junction
of the input transistor never becomes forward biased.
- Less line reflection, since the input clamp diodes—now Schottky diodes—have a lower forward-bias voltage.
- Lower power dissipation because no charge is stored (and wasted) in the transistors.
- Higher output high level, by approximately 0.3 volt.
Although the Schottky process significantly improves many of the existing circuits, its real potential lies in entirely new designs. For example, by designing from scratch with the Schottky process in mind, a DTL gate can be made just as fast as TTL. An example of such a circuit is shown on page 80, bottom left.
When the circuit is loaded with two-200-ohm resistors, as shown, the switching speed is about 5 nsec, comparable to that of the fastest TTL circuits commercially available. The advantage of DTL over TTL, given equal speeds, is that the outputs of the DTL gates can be OR-tied. Moreover, DTL doesn’t create heavy current transients in the power supply during switching.
The input current to this Schottky DTL gate is low, typically 250 microamperes. This presents a very small load to the driving gate. As a result, each gate can drive a large number of similar gates—fan-out can be 25 or more. If the two 200-ohm resistors are used as a terminating resistance for a 100-ohm line, there will still be enough current left to drive 10 gates.
Another novel circuit is the binary divider on page 80, bottom right. It combines the best of the slow and fast worlds: the Schottky transistors that comprise the flip-flop switch at high speed, and the slow charge-storage transistors serve as temporary-data-storage elements.
**Bridge work**
The special advantages of these circuits, and of the Schottky process that makes them possible, are particularly applicable to complex circuits. One such IC built at Intel is a 64-bit high-speed scratch-pad memory. It’s organized as 16 words by 4 bits; each of the 16 words is addressable through its own binary decoder. It has four data inputs, four address inputs, and four outputs. If it’s required, the outputs can be OR-tied with the outputs of other memory...
## Components compatible with the Schottky process
| TYPE | SYMBOL | PROFILE | PRINCIPAL CHARACTERISTICS |
|-------------------------------------------|--------|---------|---------------------------|
| SCHOTTKY NPN TRANSISTOR | | | STORAGE TIME < 1 NSEC |
| | | | $V_{CE(sat)} = 0.2$ TO 0.4 VOLT |
| | | | $h_{FE} = 60$ |
| CHARGE-STORAGE TRANSISTOR | | | STORAGE TIME > 20 NSEC |
| | | | $V_{CE(sat)} < 0.1$ VOLT |
| | | | $h_{FE}$ INVERSE > 2 |
| SUBSTRATE PNP | | | $H_{FE} > 10$ |
| LATERAL PNP | | | $H_{FE} > 2$ |
| LATERAL PNP WITH SCHOTTKY COLLECTOR | | | STORAGE TIME < 1 NSEC |
| CHARGE-STORAGE SCR | | | STORAGE TIME > 20 NSEC |
| | | | $V_{ON} < 0.1$ VOLT |
| SCHOTTKY-CLAMPED SCR | | | STORAGE TIME < 1 NSEC |
| | | | $V_{ON} = 0.2$ TO 0.4 VOLT |
| Emitter-base Diode | | | $V_F = 0.6$ TO 0.8 VOLT |
| Charge-storage Diode | | | STORAGE TIME > 20 NSEC |
| Schottky Diode | | | $V_F = 0.3$ TO 0.5 VOLT |
| | | | STORAGE TIME < 1 NSEC |
| Diffused Resistor | | | $\rho_S = 100$ TO 200 $\Omega/\Box$ |
| Collector-Pinch Resistor | | | $\rho_S = 400$ TO 1000 $\Omega/\Box$ |
| Base - Pinch Resistor | | | $\rho_S = 2$ TO 10 K$\Omega/\Box$ |
The input load is equal to one unit TTL load, and the output can sink 20 milliamperes. The access delay—from address input to data output—is less than 50 nsec under a 20 ma resistive load. Power dissipation, including address buffering, decoding, sensing, and control logic, is typically 6 milliwatts per bit.
These specifications represent major improvements over gold-doped IC performance. Because storage time has been eliminated by the Schottky process, the input-to-output propagation delay has been reduced by as much as 40% for certain critical delay paths. And the variation in propagation delay due to temperature change is considerably less than in a gold-doped circuit. The higher $h_{FE}$ values that result from the Schottky process also help keep propagation delay constant with temperature. This is particularly important for circuits that operate at low temperatures where large increase in delay, due to low $h_{FE}$, is a chronic problem in gold-doped IC's.
Another advantage of this higher-valued $h_{FE}$ distribution is that transistors can be designed for higher forced-beta conditions, and power dissipation is therefore lower. For the bipolar logic-buffer chip, for example, power dissipation is reduced by about 30%.
Most significant, perhaps, the Schottky process has resulted in higher functional density and smaller chips. A comparison of the Intel 64-bit memory with an equivalent gold-doped circuit is revealing: Although the gold-doped IC is made with the same mask tolerances, the Schottky version uses a 30% smaller chip.
With all that they have going for them—high speed, greater functional density, and flexibility of design—Schottky-diode IC's certainly appear to have a bright future.
**References**
1. R. Baker, "Maximum Efficiency Switching Circuit", M.I.T., Lincoln Lab., Lexington, Mass., Report TR-110, 1956.
2. K. Tade et al., "Reduction of the Storage Time of a Transistor Using a Schottky Barrier Diode", PROC. IEEE, 55, pp. 2064 - 2065, 1967.
3. E.R. Chenette and R.A. Pedersen, "Integrated Schottky Diode Clamp for Transistor Storage Time Control", PROC. IEEE, 56, pp. 232 - 237, 1968.
4. A. Tarui, Y. Hayashi, H. Teshima and T. Sekigawa, "Transistor Schottky-Barrier-Diode integrated Logic Circuit", Journal of Solid-State Circuits SC-4, pp. 3 - 12, 1969.
5. A.Y.C. Yu and E.H. Snow, "Surface Effects on Metal Silicon Contacts", Journal of Applied Physics 39, 3008, 1968.
6. M.P. Lepselter and S.M. Sze, "Silicon Schottky Barrier Diode with Near Ideal Characteristics", Bell System Technical Journal, 47, 195, 1968.
7. R.A. Zettler and A.M. Cowley, "The p-n Junction-Schottky Barrier Hybrid Diode", IEEE Trans. on Electron Devices, Ed-16, 58, 1969.
Peak detector senses bipolar inputs
By Charles A. Herbst
Consultant, Dumont, N.J.
Most digital tape systems take the bipolar pulses from the tape head, amplify them, feed them through a full-wave rectifier to make them unipolar, and then apply them to a peak detector. The extra process of rectifying the bipolar input pulses can be eliminated through the use of a complementary peak detector which will deliver a pulse at each peak of the input sine wave.
Transistors $Q_1$ and $Q_2$ form a complementary peak detector which detects an input signal over a range of 2 to 8 volts peak-to-peak and over a frequency range from 5 to 15 kilohertz. $Q_3$ and $Q_4$ clip the detectors output and deliver rectangular pulses whose trailing edges represent the peaks of the input wave.
$Q_5$ and $Q_6$ are pulse amplifiers that deliver stable pulse widths whose leading edges represent the peaks of the input waveform. These pulses are fed to $Q_7$ and $Q_8$ which form a NOR gate and which convert the bipolar input pulses to unipolar negative-going output pulses. The width of the output pulses is independent of the input frequency or amplitude, and is determined by the time constant of the RC networks at the input to $Q_5$ and $Q_6$.
Going both ways. The peak detector generates an output pulse for any bipolar input signal in the range from 2 to 8 volts peak-to-peak. This eliminates the need to rectify the input signal first—an extra step when standard peak detectors are used. The delay of the output pulse from the input peak is 10 microseconds at 5 kilohertz.
Photodiode coupled pair isolates DTL from a relay
By William Otsuka
Monsanto Co., Cupertino, Calif.
Many undesirable effects such as ground currents and spikes can arise in relay circuits. Photodiode coupled pairs eliminate many of these nuisances; ground currents are nonexistent since the relay needs no ground. In addition, the optical coupling provides a high isolation resistance of 100 gigohms between the diode-transistor logic and the relay circuit which does away with troublesome relay noise and spikes.
The light-emitting diode portion of the coupled pair is driven by an input signal which produces light whose intensity is proportional to the signal current. The photons are transmitted to the photodiode detector via a light pipe. Any variation in the input signal produces a proportional change at the output of the photodiode, which is normally operated with reverse voltage bias to provide the required voltage swing.
When the output signal of the diode-transistor logic is high, $Q_1$ is turned on, and no current flows in the light-emitting diode. No light to the detector causes the photodiode to be at its maximum impedance of 5 gigohms. Therefore, $Q_2$ cannot conduct, which in turn prohibits $Q_3$ from conducting. Since $Q_3$ provides the current path for relay $K_1$, the relay will not be energized. When the output of the DTL goes low, the circuit response is so fast $K_1$ energizes in a time virtually dependent on the mechanical relay response alone.
Isolation. A gallium-arsenide light-emitting diode optically coupled to a silicon p-i-n photodiode combine to produce complete electrical isolation between an IC driver and a relay, thus eliminating relay noise and spikes. Voltage $V_{cc}$ is set according to the type of DTL used.
FET buffer boasts high speed and performance
By Dan Atlas
Singer-General Precision Inc., Little Falls, N.J.
High speed field effect transistor operational amplifiers, frequently found in sampling circuits and analog memories, are outperformed by a simple buffer circuit that settles in 50 nanoseconds to .1% of its final value, that slews at rates up to 300 volts per microsecond, and that is unconditionally stable with moderate capacitive loading. A hybrid
transistor quad provides tight thermal tracking, and two FET's, one connected as a source follower and the other as a constant-current source, minimize drift.
Temperature compensation is performed by the current source composed of $Q_2$ and $R_2$. Since the drain current is much larger than the bipolar input offset current, the reflected current variations due to load and temperature changes have a negligible effect on the FET temperature compensation.
The source follower $Q_1$ yields a zero offset and a drift coefficient typically 20 microvolts/$^\circ$C, comparable to that obtained by connecting the transistors as a differential pair. The zener diodes $D_1$ and $D_2$ enhance the transient response, linearity, and power supply rejection of the input stage by a bootstrap action. Thus the bootstrapped current source $Q_2$ is prevented from differentiating a fast signal transition, and its power supply rejection is improved by the constant drain-to-source voltage. The linearity and power supply rejection are also improved by bootstrap action on the drain-to-source voltage of $Q_1$, essentially eliminating the reverse amplification factor, $h_{re}$. The input capacity is greatly reduced by the improvement in the frequency response caused by the bootstrap action of the circuit.
The dynamic performance of the amplifier is enhanced by the lack of closed-loop feedback. The buffer's transfer function contains two poles at approximately 40 megahertz. The Bode plot is essentially flat from d-c to 40 Mhz, at which point the roll-off assumes a slope of approximately -12 decibels per octave.
**Fast:** Two FET's, one connected as a source follower and another as a constant current source, drive a transistor quad to produce a buffer with fast settling time, good drift, and thermal stability. An optional potentiometer can be connected to A and B to null the offset voltage.
Pulse train frequency varied as duty cycle stays constant
By William Ross
Fairchild Semiconductor, Mountain View, Calif.
A pulse converter consisting of a single shot multivibrator coupled to an integrator delivers an output pulse train of frequency equal to the input while maintaining a constant duty cycle. Any desired duty cycle can be obtained by adjusting a voltage control at the input to the integrator. This circuit allows the frequency of a pulse generator to be varied over a wide range without simultaneously readjusting the pulse width control.
The duty cycle can be varied from 7% to 93% over the full frequency range. The frequency range is determined by capacitor $C_1$ which gives a 10 to 1 range for each value chosen. Thus if $C_1$ is equal to 500 picofarads, the converter operates from 100 kilohertz to 1,000 kHz. However, at the upper range of frequency and when low duty-cycle settings are used, a phase shift develops between the input and output pulses.
When the multivibrator is triggered, it produces an output pulse whose width is determined by $C_1$ and the amount of charging current fed to the capacitor from transistor $Q_1$. An integrator, coupled to the one shot, produces an output voltage inversely proportional to the duty cycle of the input pulse at its non-inverting input and directly proportional to the voltage set by resistors $R_1$ through $R_4$ at the inverting input.
For any input pulse frequency, a desired duty cycle can be set at the output of the multivibrator by adjusting the voltage at the inverting input of the integrator. If the input pulse frequency is increased, and the multivibrator pulse width remains constant, the duty cycle of the output pulses will increase. The integrator senses this duty cycle increase and responds by producing a lower d-c voltage at its output. This voltage is applied to the base of $Q_1$ producing a higher output level from the transistor and forcing more current into the timing capacitor $C_1$ causing the multivibrator to put out a narrower pulse. In this manner the duty cycle thus returns to the desired level that it previously had.
By compensating for a change in the input frequency, the circuit maintains a duty cycle that remains constant to within 2% of the preset value over a frequency change of 10 to 1.
One setting. For any input pulse frequency, a desired duty cycle can be obtained by adjusting the voltage at the input to the integrator. If the input pulse frequency increases, the duty cycle of the output pulse will tend to increase, but the integrator senses this increase and produces a lower d-c voltage at its output.
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Electronics | July 21, 1969
Circle 85 on reader service card 85
Active filters: part 11
Varying the approach
Depending on the application, RC networks can be modified to produce the desired second-order transfer functions; two capacitors and two resistors usually suffice.
By Jack W. Mullaney
Electronics Division, Avco Corp., Cincinnati, Ohio
Without a doubt, active RC filters have reached a point in their development where they now perform as well as, if not better than, their passive RLC counterparts. They are smaller, require less power, afford better stability and selectivity, and are free from undesired parasitic coupling or nonlinear inductor effects common to most passive networks. Moreover, since they lack inductors per se, active filters can be tuned easily. And, they can be built as low-cost integrated circuits.
The only question still remaining is not whether active filters can do the job, but what type would do it best. Unfortunately, there is no clearly defined answer, for there can be as many variations of active filters as there are applications—it is simply a matter of tailoring the filter to suit the task.
Should a designer, for example, seek a transfer function comparable to that of an RLC network, he can do so by cascading active RC networks. He simply chooses from networks such as RC ladders that provide real-axis poles and zeros, RC notch filters that produce finite complex zeros, or RC active peaking networks that produce finite complex poles. The peaking network, which is among the most widely used filter types, is described by the transfer function:
\[ G(s) = \frac{K(s/\omega_0)^n}{(s/\omega_0)^2 + s/Q \omega_0 + 1} = \frac{N}{D} \]
where,
- \( \omega_0 \) = radian break-frequency response,
- \( n = 0, 1, \) or \( 2 \) producing a low-pass, bandpass, or high-pass filter, respectively,
- \( Q = \) quality factor = amount of peaking for a bandpass filter.
Two things are known about any network producing such a second-order transfer function:
- The value of \( n = 0, 1, \) or \( 2 \)—in the equation depends on the input-output terminals and is not a direct function of the network. Thus, if a network can be designed to produce the equation’s denominator, the numerator can be produced easily by having the engineer choose the correct pair of input-output terminals.
- Since the denominator is a second-order polynomial, only two resistors and two capacitors are needed for such a function.
Most commercially available active filters contain three capacitors and three resistors. But this leads to a cubic denominator that is as difficult to optimize as it is to factor. However, with a filter having but two resistors and two capacitors, the designer need only contend with a second-order transfer function. Unity gain amplifiers are assumed for the active components because such devices have the highest stability and are the simplest to implement. Stability, which stems from the device’s maximum feedback, is enhanced because it isn’t dependent upon associated components.
Based on this assumption, a general network can be developed as shown at the top of page 91 that will produce a second-order transfer function with two resistors and two capacitors. A unity voltage amplifier output is inserted in series with each passive component and a unity current amplifier output is added across each component. Since these amplifiers are ideal, they are represented as controlled sources whose inputs do not disturb the circuit. This network, as it stands, represents the most feasible combination of the required components.
Neither the input nor the output points are specified because any choice would produce the same denominator. Inputs could be voltage sources in
Negative feedback. Networks 15 through 24 contain three internal amplifiers each and have high Q's. They have the same component value ratios as networks 8 through 14 plus independent Q and $\omega_0$ adjustment—resistors fine-tune Q and capacitors fine-tune $\omega_0$ in networks 15, 16, 23 and 24. In networks 17 through 20, 22 and 23, capacitors fine-tune Q, and resistors fine-tune $\omega_0$.
Positive feedback. Networks 8 through 14 contain two internal amplifiers each and are capable of high Q values. These filters require low ratios of component values, approximately 2:1. All can be built in IC form.
Low Q. Networks 1 through 7 have low Q values and cannot oscillate. All require large ratios of component values. Voltage amplifiers drive the filters 4 through 7; current amplifiers drive networks 1 through 3.
How to select a filter
Suppose a designer wants a low-pass, high-Q filter whose transfer function is second order. Filters 15, 17, and 23 are among those that would be appropriate. The designer chooses the filter that yields $N$, actually a gain factor, needed in the over-all transfer function. For example, filter 17 provides an $N$ of 10 when $R_1 + R_2$ is 10 times $R_{IN}$. In networks 17 and 23, capacitors fine-tune $Q$ and resistors fine-tune $\omega_0$. The reverse is true for network 15. Should a high-pass network be desired, filter 20 and 22 would do. In both networks, $N$ is a function of $\omega_0$. And since both use negative feedback, oscillation isn't a serious problem.
Continued from page 86
series with a component, or current sources in parallel with a component.
Outputs could be node voltages or branch currents. The constants \((g_{jk})\) associated with each source-amplifier are either 0 or 1, with 0 signifying the absence of a signal and 1 signifying the presence of a signal. When some of the constants are 0, high Q's can be obtained from the filters that result.
Based on this model, there are eight different network groups that can theoretically produce high Q's using only two capacitors and two simple unity gain amplifiers. The eight possibilities correspond to these constant values:
\[
\begin{align*}
k_1 &= k_3 = 0, & k_2 &= k_4 = 1 \\
k_2 &= k_4 = 0, & k_1 &= k_3 = 1 \\
k_1 &= k_4 = 0, & k_2 &= k_3 = 1 \\
k_2 &= k_3 = 0, & k_1 &= k_4 = 1 \\
k_1 &= 0, & k_2 &= k_3 = k_4 = 1 \\
k_2 &= 0, & k_1 &= k_3 = k_4 = 1 \\
k_3 &= 0, & k_1 &= k_2 = k_4 = 1 \\
k_4 &= 0, & k_1 &= k_2 = k_3 = 1
\end{align*}
\]
For consistency, the networks are arranged to produce the desired transfer function as voltage gains. In some cases, this meant the addition of one or two transistor stages to change input-output currents to input-output voltages. A working model of any network however, necessitates the addition of transistor biasing, which is accomplished by one or more of the following techniques:
- Adding base-emitter resistors for grounded-base transistors.
- Adding resistor dividers to the bases of grounded-base transistors to eliminate any of the bypass capacitors.
- Changing any of the grounded resistors into supply-to ground resistor dividers.
- Adding grounded-base transistors as d-c current supplies.
A wide choice
Based on the general model, the eight network groups yield 24 active filter designs (see foldout chart) that produce a second-order transfer function. Seven of these circuits provide low Q values and 17 yield Q's reaching toward infinity. Some of the circuits are negative-feedback designs in which
Biasing helps. Optimum active filter design includes a biasing arrangement that minimizes sensitivity to thermal and power-supply variations.
Response curve. Two-pole bandpass filter response is free of measurable spurious signals to at least 60 decibels below the peak of the curve.
**Passive vs. active filters**
| RLC | Active |
|-----|--------|
| Volume, cubic inches | 1 L, 0.0842
1 C, 0.016
1 R, 0.0044 | 1 IC, 0.005
2 C, 0.032
2 R, 0.0088 |
| Total 0.105 plus impedance amplifier | Total 0.045 plus power supply |
| Power drain, milliwatts | Power drain of impedance amplifier | 13 from -15 volts regulated
4.5 from +4 volt nonregulated |
| Frequency stability with 1% regulated supply | Not applicable | 225 ppm |
| Thermal frequency stability (-55°C to +100°C) | 140 ppm/°C can be compensated to 0.1% | 130 ppm/°C can be compensated to 0.05% |
| Center frequency, $f_o$ | 15 kHz | 15 kHz |
| Q | 100 | 100 |
Some care must be exercised by the designer, and still others are circuits in which the Q can be adjusted by one component rather than two. In all cases, however, the desired transfer function is produced without restrictions on either the Q or the break frequency, $\omega_0$.
**How it works**
For a practical explanation how the 24 networks perform, consider an amplifier having an input-to-output resistance ratio of $10^6$, a gain of 0.999 and a feedback factor of $10^{-8}$.
When networks 1 through 7 were analyzed with these amplifier parameters, it was found that only low Q values were possible. These networks are easy to implement and won't oscillate regardless of the resistor and capacitor values. To select a new input terminal, the designer merely connects the transistor in a new position—such as a common emitter, a collector, or a base. This changes the value of n and, in turn, changes the frequency response of the filter.
Networks 8 through 24 have sufficient positive feedback to result in oscillation if improperly designed. Since this means that each is capable of producing infinite values of Q, a different optimization procedure is employed. First, ideal amplifiers are used in the design for infinite Q. Then, the ideal amplifiers are replaced with the defined practical amplifiers. Next, by tuning the resistors and capacitors, the designer alters the response and reduces the Q. Since RC values are specified for infinite Q using ideal amplifiers, the network that is least affected by the use of practical amplifiers is the one with the highest resultant Q. That network is least sensitive to variations in the active devices and therefore the most stable, within the limits of the passive components available. When analyzed in this manner, the Q results for the circuits 8 through 24 are 83.3 for 8 to 10, 73.2 for 11 to 14, 96.2 for 15 to 20, 79.1 for 21 and 22, and 21.2 for 23 and 24, respectively. This value of Q represents a figure of merit for the stability.
The networks with the two highest Q values—networks 15 to 20, 23 and 24—require three amplifiers within the feedback circuitry. These are capable of parasitic oscillation and therefore require careful design. Adequate designs can be developed with networks 8 to 10, which have a Q of 83.3, since they require two transistors each and aren't significantly less stable than the two highest valued networks. In networks 15 through 24, the Q's can be adjusted by one component rather than two—this is desirable if parasitic oscillations are not an important contributing factor.
**Designing a bandpass filter**
As an example of a bandpass filter, consider network 9, which is selected arbitrarily. A biasing arrangement is chosen that results in a minimum sensitivity to thermal and power-supply variations. The schematic, at the bottom of page 91, is an IC active filter with two external capacitors.
Power-supply changes. When the negative power supply varies by 1.5 volts, the frequency response deviates by only 0.07 percent.
is intended to be a-c or zener-diode coupled to its source and load. The input impedance is a 15-kilohm input resistor. An external resistor, however, may be connected to the alternate input lead for levels between 300 ohms and 1 megohm without affecting the frequency response. A separate supply powers the output stage for good load isolation. The output impedance, even when changed, has no effect on frequency response.
Adjusting the gain
Gain, K, is directly related to the output-to-input impedance ratio and may be adjusted to a convenient level, but the output current level must be kept below 50 microamperes (or 0.75 volt root mean square into the 15-kilohm load) for linear operation. The power consumption of the device is 17.5 milliwatts from the negative 15-volt supply and 4 mw from the positive 15-volt supply. By decreasing the positive supply voltage to 4 volts, total power consumption is reduced to 13 mw, which doesn't affect frequency response.
The tuning elements in the network are $C_1$, $C_2$, $R_1$, and $R_2$, and the resonant frequency is
$$f_o = \frac{1}{2\pi \sqrt{R_1 R_2 C_1 C_2}}$$
and the Q is given by
$$Q = \frac{R_1 C_2}{C_2 R_2 - C_1 R_1}$$
Tuning is accomplished by varying either the resistors or the capacitors, and the thermal stability is enhanced because Q depends solely upon the ratio of like components.
By using a network configuration whose response curve is essentially insensitive to the active device parameters and biasing resistors, the filter itself is essentially insensitive to temperature and supply voltage variations. The transistors were selected for a minimum beta of 165, but no other tolerances were set on the active parameters. The diffused biasing resistors, all but $R_1$ and $R_2$, are components having 10 percent tolerance and having a temperature coefficient of about $\pm 0.25$ percent per degree centigrade. Such wide components make the device easy to make. Resistors $R_1$ and $R_2$ have high thermal stability as do capacitors $C_1$ and $C_2$.
The filter tunes to any frequency from d-c through 40 kilohertz, with any Q up to about 2,000, the circuit shows no tendency to oscillate. The upper frequency limit is controlled by the minimum intrinsic capacitance distributed in the IC, which resonates the 7- and 12-kilohm resistors. These resistor sizes were chosen by the designer in his bid to achieve low-value capacitors for resonant frequencies in very-low and audio bands.
Response of this two-pole bandpass filter design follows the ideal unnormalized curve of
$$\text{Gain} = \frac{K \omega_0 s}{s^2 + \frac{\omega_0}{Q} s + \omega_0^2}$$
and is completely free of measurable spurious responses to at least 60 decibels below the peak. In the plot of the frequency response as a function of temperature, only the half power points and the peak frequency are drawn. The bandwidth is given by the separation of the upper and the lower curves; the 130 parts per million per degree centigrade slope of the curves can be corrected by changing $R_1$, $R_2$, or $C_1$, $C_2$. This results in a variation of less than 0.04 percent over the temperature range of $-55^\circ C$ to $100^\circ C$.
If a zero temperature-coefficient capacitor and temperature stabilized torroid are used in an LC filter, its Q varies by about 6 percent over the temperature range and its resonant frequency varies by about 0.1 percent as compared to 0.05 percent in the compensated active filter for the same temperature conditions.
Variations in the negative supply on the filter response can be observed from the plot. A variation of 1.5 volts in the regulated supply produces a frequency variation of less than 0.07 percent. Variation in the positive supply, however, doesn't affect the response. The frequency stability of this active filter is therefore better than an RLC filter and has a frequency-response curve that cannot be distinguished from an ideal RLC filter.
Reprints of this report are available at $1 each from Electronics Reprint Dept., 330 W. 42nd St., New York, N. Y. 10036. Copyright 1969, Electronics ®, a McGraw-Hill publication.
Adapter lets digital IC tester check on operational amplifiers
Variable interface circuit between device and tester is switched, under program control, to make required parameter measurements
By Robert McIntyre
Amelco Semiconductor, Mountain View, Calif.
By adding a simple but versatile interface fixture, automatic testers for digital integrated circuits can be used to check such linear circuits as operational amplifiers. The tester can be programmed to interconnect the amplifier terminals with appropriate load and feedback resistors, to apply the proper supply voltages, and to make voltage and current measurements at the appropriate points. Using a unit like the Fairchild Model 4000, the results of each test can be compared with the specification limits supplied by the op amp manufacturer; devices will be accepted or rejected, depending on how well they measure up.
All necessary checks can be made with just a few variations of the master interface circuit, shown at the top, page 95, with the op amp connected through pins E and F. Power comes in through pins M and N. Pins K and L are output lines. Resistor values shown are for the Amelco 809 amplifier. Any circuit compensation that’s needed is attached directly to the test socket. This compensation may be greater than indicated by the information on the op amp data sheets because of the capacitances associated with the relatively long leads to the test points.
Offset voltage and power-supply rejection ratio (PSRR) and common-mode rejection ratio can be handled by the other circuit shown on page 95. In the case of the former two, pins D and G are grounded. However, for measuring CMRR, they’re tied to the system input. Depending on the gain that’s desirable, any of pins A, C, and J are tied to the output.
Offset voltage is measured by closing a d-c feedback loop with a gain of, say, 100 and checking the output voltage. The offset voltage equals one one-hundredth of this value. If the input currents are small and well-balanced and the input resistors are also small, bias current errors are small enough to be ignored. It isn’t feasible to find the offset voltage by connecting a differential metering line directly across the input because the meter error is on the order of the voltage being detected. Inaccuracies resulting from the finite value of open-loop gain can normally be held to less than 1%. The only other significant error—common to each variation of the test circuit—involves resistor tolerances. High-accuracy, wire-wound devices should be used to minimize this difficulty.
The measurement of PSRR depends on successive offset voltage measurements. After the first output voltage measurement is made and stored in the sample-and-hold circuit of the automatic tester, the power supply voltage is jumped to a new level. The corresponding change in the offset voltage is then measured, producing the PSRR value. Because it shares the circuit, the PSRR measurement is subject to the same errors as the offset voltage check. For accuracy, the power supplied—$V_{cc}$ and $V_{ee}$—should be varied by as large a magnitude as possible.
Common-mode rejection ratio is measured with a variation of the circuit, shown, next page, that has been used in manual test setups for a number of years. This circuit is essentially a voltage follower with a differential gain of $(R_2 + R_1)/R_1$. If $R_1$ is very small, the effects of offset current are negligible and the output signal equals the input signal plus the product of the common-mode error and the differential gain.
The CMRR specifications for a particular op amp are checked by first applying the specified positive
common-mode range voltage, $e_{cm}$, to the input and sampling the output. The input is then changed to the negative limit and the change in the output is measured. Whether or not the CMRR falls within the specification limits is determined from the relationship shown between the output and the input signals.
Inaccuracies in this measurement are primarily attributable to the difficulties involved in measuring a fairly small deviation on a rather large voltage range. Say the CMRR spec is 80 decibels, the system gain is 100, and the applied voltage is changed by 20 volts. In this case, the output must be measured to within only 200 millivolts on the 100-volt scale. It would be better, however, to reduce the input voltage change to 10 volts so that the next lowest range, the 10-volt scale, could be used.
In checking dynamic range, input pin E is either grounded or the feedback loop is left open. The unused resistors in the circuit can be used as the output load—individually or in parallel. Alternatively, the amplifier can be loaded with the current source usually present in the automatic tester itself. However, if a particular op amp requires it, a special resistor can always be added to the network and used only as a load.
**Exacting**
For the input current test, there are no approximations; the measurement is made directly on an open-loop op amp. The inputs are supposed to be grounded but, since one is to be measured, it must be connected to a zero-volt supply and the current measured. The lowest range available on the power supply is 1 volt full scale so the error is about a millivolt. The actual current error is equal to the voltage error divided by the differential input impedance. Common-mode error is very small.
Another way to make this measurement is to connect both inputs and double the current specification limit. The current that's measured is for the parallel inputs. Under these conditions there is no differential input voltage to cause any error and, since an op amp has a large value of common-mode input impedance, the error due to the very small common-mode signal—about 1 millivolt—is negligible compared to the measurement error. With most automatic test equipment, measurement error is at least as good as 0.1% of full scale.
For measuring input-offset current, pins C and H are grounded and pin J is tied to the output. Pin-pairs A-E and F-H are shorted for one-half of the test and opened for the other half. The result is the circuit, at the top, left, page 96. In this test, a loop gain of 100—a convenient value—is chosen and the output-offset voltage is measured first with, and then without, a resistor in each of the input lines. The difference in the output-offset divided by 100 times the value of the series resistor equals the input-offset current. (The difference is, of course, determined by the sample-and-hold circuit in the automatic tester.)
**Interface.** Resistor network is interconnected by automatic digital IC tester to form the individual circuits needed to measure op amp parameters.
**Three-way switch.** Offset voltage and power-supply rejection ratio can be determined using grounded circuit; limit voltage is applied for common-mode rejection ratio.
There is no noticeable forcing-function error in this test. However, the sample-and-hold system generally has an overall accuracy of 0.1% of full scale. The resistor tolerances are important;
Valuable tool. Shorts on the input resistors of this circuit help determine value of input-offset current.
Case in point. Pin A is the metering point for determining the gain of an op amp under test.
Solo. Single circuit measures input resistance directly.
with the direct circuit shown above; no external resistors are needed. With input pins E and F grounded, the automatic tester measures the current flowing into one of the inputs. Next, the voltage on the monitored input is changed by a small amount and the resulting change in current is measured. The input resistance of the op amp equals the known voltage change divided by the current change it produces.
Any offset in the signal source applied to the input is unimportant because its effect is cancelled out by the successive measurements. Consequently, the measured value of the input signal should be accurate to within the meter's 0.1% of full scale accuracy. But if the measured input is very much below the full-scale reading on the meter, the signal's value is off by several percentage points. Still another source of detection error is in the sample-and-hold circuit.
Unfortunately, there is no effective automatic technique for measuring the output resistance of the op amp. But in most applications, the circuitry is designed so that the output resistance may be neglected.
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Cellular redundancy brings new life to an old algorithm
With LSI MOS circuitry that includes hundreds of identical processors, and with the almost-forgotten binary algorithm, a block-oriented computer promises great reliability at low cost; processing is from left to right.
By Joseph O. Campeau
Litton Systems, Inc., Woodland Hills, Calif.
An array computing system called the block-oriented computer (BOC) attains new heights of reliability at low cost through the use of hundreds of small identical cells. Each of these cells is a complete processor with arithmetic and control functions. This concept of cellular redundancy permits the cells to be interconnected under software control in any of a large number of configurations.
The BOC is built exclusively of large-scale integrated metal oxide semiconductor circuits on wafers an inch or more across. In all, there are more than 100,000 MOS transistors; each wafer contains typically 36 cells. These cells are interconnected, via a one-layer metallization pattern on the wafer, at the same time the circuit elements within the cell are interconnected. The wafers are left intact; there is no dicing.
Unlike the "natural" right-to-left processing that has prevailed since the early days of computers, the BOC uses a more efficient technique called the binary power-increment algorithm. This algorithm computes from left to right, beginning with the most significant bit [see "D as in binary," p. 100]. The reverse order makes the most significant bit of the result available for subsequent processing before the individual computation has produced the least significant bit. In the so-called natural or conventional method, the entire process must be completed before a subsequent step can begin.
Thus, for example, in the BOC, the most significant bit of the product of two numbers is immediately available at the multiplier's output so that other processing cells can initiate additions, subtractions, further multiplications, or other operations. The multiplier continues its operation while the other steps in the computation are under way.
The binary technique is an old idea that fell into disuse. Its resurrection can be traced to the stepped-up interest in LSI and parallel processing, to which the algorithm lends itself. The name, binary, originally referred to an essentially binary process that used +1 and -1 for digits instead of 1 and 0. In the BOC, the original process has been modified to use +1, 0 and -1; numbers are transferred between cells using these digits, but are stored within cells in conventional binary form. Litton's development of the BOC is being funded in part by the U.S. Air Force Avionics Laboratory.
The cell, diagramed on page 104, resembles a digital differential analyzer. The cell can, and in fact does, operate as a DDA when required by a particular problem. But it is also capable of much more powerful processing. Where a single DDA is limited to an output that is the integral of its input, the BOC cell can also multiply, take square roots and perform other arithmetic functions.
With an array of identical cells, a failure of one cell affects only that portion of the computation that it handles. Software techniques permit such a cell to be replaced by another. The concept of cellular redundancy differs markedly from conventional approaches.
Some approaches require at least two and sometimes three or more of the same vital elements so that a failure of one doesn't bring down the entire system. And in others, there are complete standby systems that idle unless and until the primary systems fail. Thus, traditional approaches could require 100% or more additional hardware. But with the cellular approach, as in the BOC, the extra hardware totals no more than a few percent.
Because the cells are independent processors,
Tray and system. In the upper photo, two wafers on a tray are visible; they are 1½ inches across and contain 36 cells each. One wafer is outlined in color. Lower photo shows assembled computer minus top cover.
they are quite large by today’s integrated circuit standards. And because they can be interchanged by software, they need not be cut apart after several of them have been fabricated on a single wafer of silicon. This presents a yield problem.
At today’s state of the art, yield is rather low when making large MOS arrays. But there are several ways to compensate for low yield. Dicing the wafer into smaller arrays is but one method. If any of these smaller units are defective, they can be discarded. Another calls for leaving the large wafer intact, but not defining the interconnections between cells until after defective cells have been identified. The defective cells are then left out of the interconnection process. This discretionary-wiring approach, which is favored by Texas Instruments, requires at least one additional layer of metalization.
In the approach, taken by engineers at Litton’s Guidance and Control Systems division, both dicing and the extra layer of metal are avoided. The entire wafer is tested after it is mounted on a thick etched circuit board. Only flawless cells are connected into the system.
In Litton’s original interconnection method, [Electronics, June 24, 1968, p. 47], address lines were brought out from each cell to test pads at the edge of the wafer. Although the cells themselves are relatively large and complex, the wiring between cells is minimal; and because each wafer carries only 36 cells, the total number of pads at the edge of the wafer is relatively small. These pads provide access to all the arithmetic units, which are exercised one at a time to weed out the defective ones. Those that pass the test are then interconnected on the circuit board. This wiring approach, like TI’s, is discretionary. But it’s external rather than internal.
Because the cells are identical, it doesn’t really matter which cell is which; the cell acquires an identity only after its address lines have been externally connected to selection circuits.
In a method now favored by Litton engineers, ultrasonic bonding connects the “good” cells to the wafer’s main busing system without bringing selection lines to the edge of the wafer. Bonding directly to the wafer may seem harder than the external-wiring technique, but it really isn’t. There are only a few points inside each cell that need be tested, and today’s automatic probing and bonding machines complete the task in short order. Moreover, this approach enables later rejection of cells that originally tested “good” but develop defects during operation.
Four on a side
Four wafers are mounted on one side of an etched circuit board, and four more on the reverse side; wafers are interconnected via the etched conductors and plated-through holes. The entire assembly—eight wafers and a board mounted in a metal rim called a “tray”—plugs into a back panel;
Continued on page 102
Economy. With cellular redundancy, much less extra hardware is required for standby capability in case the basic system fails. Whole unused computer systems must be kept on hand with the traditional approach.
D as in binary
Discarded nearly two decades ago and left to languish among the forgotten, the dinary algorithm has only recently become the center of renewed interest. But the algorithm has been collecting dust for so long that most engineers today would be hard pressed to find out what it is; few texts or dictionaries make reference to it. What, then, is it?
In essence, the dinary algorithm is based on a notation that resembles conventional binary notation except that the individual digits can be either positive or negative. Any quantity within a prescribed range, such as $-1$ to $+1$, is represented as a string of signed digits, each weighted with an appropriate power of 2, just as in conventional binary notation.
When used with incremental inputs whose magnitudes vary systematically, this notation enables a cell in the BOC to build up to a result in no more than n iterations—whereas a digital differentiator analyzer, using binary representation and fixed increments, can require as many as $2^n$ iterations.
Every operation in a BOC cell involves three quantities—two inputs and an output. The particular configuration developed at Litton uses registers for one input, Y, and one output, Z—which consists of an R register plus its overflow—and depends on the output register of a preceding cell to hold the second input, X; but for illustrative purposes this explanation assumes the existence of three registers in the cell for the three quantities.
The BOC, like all other fixed-point computers, works only with a restricted range of numbers, such as 0 to 1, positive or negative. Problems involving larger numbers must be scaled down to fit this range. And in the dinary algorithm, the overflow logic implementation is simpler when the numbers are all positive. Therefore the range of input numbers is restricted to lie between $-\frac{1}{4}$ and $+\frac{1}{4}$, and the binary representations of these numbers are arbitrarily increased by $\frac{1}{4}$ when stored in the cell registers so that they lie in the range 0 to $\frac{1}{2}$. This makes the range of the R register 0 to 1; when the R register shifts left, corresponding to a multiplication by 2, the range becomes 0 to 2. This shift occurs in every minor iteration.
The original arbitrary increase of $\frac{1}{4}$ on each input becomes $\frac{1}{2}$ when the inputs are combined, and 1 when the R register shifts. Thus, correcting for this increase gives the true output range, $-1$ to $+1$.
Stored numbers in all three registers are in conventional binary form; but the R register overflows in bit pairs, or power increments, which are transmitted to the next cell. At this point, they are added to whatever partial or previous results are already stored in binary form.
The cell's operation is described by
$$z_i + R_{i+1} = (X_i + 2^{-i}x_i)y_i + Y_ix_i + 2R_i$$
$$= 2R_i + \Delta$$
where $z_i$ is the power increment overflowing from the R register at the end of a minor iteration. $R_{i+1}$ is the remainder in the R register, for the start of the next minor iteration. The quantity $\Delta$ is the state of the inputs for a minor iteration.
One of the simplest operations that the cell performs is the conversion of a number from conventional binary form into power increment form, as shown in the flow chart above. If the number has seven binary positions, the conversion requires seven minor iterations, which produce seven power increments or 14 bits.
Suppose the number to be converted is the fraction $-37/128$, which, in true binary form, is $-0.0100101$. It is initially brought in through one of the two inputs and transferred to the R register. As an input, it has $\frac{1}{4}$ added to it; the other input, which is nominally 0, is coded as $\frac{1}{4}$. These additions and codings are simple logic operations on the two most significant bits of each number. The transfer into the R register adds these numbers together, with a result that is greater by $\frac{1}{2}$ than the true value—or $-0.0011011$ in binary.
With the number to be converted in the R register, as shown at left, the inputs are reset to 0, and $\Delta$ becomes $\frac{1}{2}$, or $0.100000$ in binary. R is then
### Binary to power-increment conversion
| | $R_i$ (coded) | $2R_i$ | $2R_i + \Delta$ | $z_1$ | $R_{i+1}$ | $z_1$ true | Accumulated total |
|---|---------------|--------|-----------------|-------|-----------|------------|------------------|
| 1 | 00.0011011 | 00.011011 | 00.111011 | 00 | .111011 | −1 | −0.1 |
| 2 | 00.111011 | 01.11011 | 10.01011 | 10 | .01011 | +1 | −0.01 |
| 3 | 00.01011 | 00.1011 | 01.0011 | 01 | .0011 | 0 | −0.010 |
| 4 | 00.0011 | 00.011 | 00.111 | 00 | .111 | −1 | −0.0101 |
| 5 | 00.111 | 01.11 | 10.01 | 10 | .01 | +1 | −0.01001 |
| 6 | 00.01 | 00.1 | 01.0 | 01 | .0 | 0 | −0.010010 |
| 7 | 00.0 | 00.0 | 00.1 | 00 | .1 | −1 | −0.0100101** |
*Original binary number = −0.0100101
Add ½ to store in R = +0.1000000*
Coded form = +0.0011011
This number in power increment form becomes the digits in the $z_1$ column: 00 10 01 00 10 01 00
These power-increment digits accumulate in their original binary form** in the next cell.
---
**SETUP FOR SIMULTANEOUS EQUATIONS**
**BLOCK 1**
- **R REGISTER**
- $2s$
- $0.212$
- **X REGISTER**
- $-0.106$
- **Y REGISTER**
- $+0.0613$
**BLOCK 2**
- **R REGISTER**
- $2t$
- $0.327$
- **X REGISTER**
- $+0.0576$
- **Y REGISTER**
- $-0.0921$
**BLOCK 3**
- **R REGISTER**
- $2u$
- $0.197$
- **X REGISTER**
- $-0.212$
- **Y REGISTER**
- $+0.176$
---
multiplied by 2, which is simply a one-bit shift to the left. Then $\Delta$ is added, giving the result as 00.111011.
This result has a coded $z = 00$ to the left of the binary point, and a remainder $R_{i+1} = .111011$ to the right. The next step is to subtract 1 from the coded $z$ to get the true $z$, another simple logic operation. The binary equivalent of the true $z$ is the first bit of the result, or −0.1; it shows up in the following cell, transmitted to that cell in power increment form. This is the end of the first minor iteration.
The process is then repeated with the new value of $R_i$, which is the $R_{i+1}$ just found. This time the coded $z$ is 10, corresponding to a true $z$ of +1. But this power increment corresponds to the second most significant digit; when this power increment is added to the previous result, the total is −0.01.
On the third iteration, the value of $z$ is 01 coded or 0 true. The third most significant digit added to the preceding result thus produces a total of −0.010. The table above shows the rest of the process with all seven power increments and the result, appearing in binary in the following cell, having the same form as the original binary number.
The processing from left to right is evident. It works because the power increment 11 never appears, so that no carry can ever propagate beyond the bit just to the left of the one being processed. Therefore, at the end of any minor iteration, the result is in error by no more than one bit position.
This conversion example illustrates the operation of a single cell and of the binary algorithm in its simplest form. But for a better understanding of how powerful the algorithm can be and how it can reduce the number of steps required to solve a problem, consider, for example, the solution of three linear algebraic equations in three unknowns:
$$
\begin{align*}
2s &+ 0.106t - 0.0613u = 0.212 \\
-0.0576s + 2t &+ 0.0921u = 0.327 \\
0.212s &- 0.176t + 2u = 0.197
\end{align*}
$$
These equations are more readily solved in the BOC if they are rewritten as:
$$
\begin{align*}
2s &= 0.212 - 0.106t + 0.0613u \\
2t &= 0.327 + 0.0576s - 0.0921u \\
2u &= 0.197 - 0.212s + 0.176t
\end{align*}
$$
This set of equations requires three cells of a BOC, which are initially loaded with the coefficients of equations. One cell corresponds to each equation; in each cell the constant term goes in the R register and the fractional coefficients are the X and Y inputs. Each cell's output is the term with coefficient 2; this is connected to the corresponding inputs of the other cells.
In practice, of course, the coefficients would be entered in coded binary form. If each number was expressed to 15 binary places and 15 minor iterations were taken with the connections shown in the configuration at the left, the results would be available at the outputs of the three R registers with an accuracy of four or more decimal places. Again, after each minor iteration, the most significant digit appears first. Thus, accuracy is built up as the operation continues on to the final digit.
If, in the presence of defective cells, a system with cellular redundancy is to operate, or, better yet, repair itself in the event of a failure, it must possess certain characteristics.
For one thing, the hardware or cells should be autonomous so that a defective cell doesn’t affect its neighbors. This isolation of the individual cells, and it’s simply that, is in a hardware sense only; software isolation is neither necessary nor desirable, because, in general, one cell’s output is another input.
Another necessary trait is the capability of the software to weed out defective cells in the event of failure during operation. Without this property, the output of a defective cell would generate failures in other cells, causing error propagation.
Still another requirement is that the cells on an individual wafer be interchangeable so that any cell can replace any other cell.
With these requirements as a guide, it would appear a single computer qualifies as a cell, and it does. But single computers aren’t often used in arrays. The more-or-less identical circuits of which such computers are built—NAND gates, for example—don’t qualify as cells, because they aren’t autonomous. Moreover, in most cases, defective “cells” can’t be eliminated through software.
If a cellular system is to do the same job as a noncellular system and in the same length of time, the overall task must be broken down into many smaller tasks. Each cell must work on only one part of the job at a given time. With a job thus simplified, the cells too can be relatively simple.
In its present design, Litton’s block-oriented computer contains a number of identical memory cells and a number of identical processing cells. The memory cells are silicon nitride MOS circuits that Litton developed [Electronics, April 14, p. 50]. They are connected through a single central control unit, as shown above. The processing cells, like the memory cells, are interchangeable. Through separate paths, cells of the same type can communicate with each other without going through the control unit.
The control unit, the only noncellular part of the Litton system, is, perhaps, the weakest link because it lacks redundancy. But since it can be looked upon as a single cell in itself, the probability of its failing is much smaller than that of any of the many identical cells. If a failure does occur on the wafer, chances are that it will involve one of the many redundant cells rather than the one control cell.
The bus that interconnects the processing cells is in two parts, one for address and the other for data. These correspond to two modes of operation—scalar and matrix, respectively.
When in the scalar mode, the processing cell’s activity is temporarily suspended while it either receives data from a memory cell or transmits results to a memory cell; transmissions to and from unlike cells—memory and processing—are routed through the control unit. An address on the
bus identifies the source and the destination of incoming data; the address of an individual cell is established when it is initially tested.
During the matrix mode, the cells that received data during the scalar mode start the processing, using the dinary algorithm, and transmit intermediate results to one another on the data bus.
The registers and logic in the cells are implemented in four-phase low-threshold MOS circuits driven by a 500-kilohertz clock. This is the frequency now being used, but higher clock rates may yet be introduced.
**Overflowing registers**
At the heart of the cell, shown at right, are two registers called, as in a digital differential analyzer, the Y and the R registers. Each is 32 bits long. Data first comes into the Y register one bit at a time through a block labeled $\Delta X$. The contents of the Y register are then added serially to increments $\Delta X$ and the result placed in the R register. Two clock periods, each nominally 2 microseconds wide, are required for each one-bit addition; one word time comprises the 64 pulses that transfer a full 32-bit word from Y to R in 128 $\mu$sec. One clock pulse pair constitutes a minor iteration and one word time is a major iteration.
In a digital differential analyzer, the output is the overflow from the R register, caused by adding an increment that forces a carry from the most significant bit position. In the BOC, however, this overflow can be caused either by such an addition, by a one-bit shift of the R register's contents to the left relative to the Y register, or by both. This R-register shift isn't possible in a DDA.
As a result, two bits overflow at once from the R register at the end of each minor iteration; these bits can be any of the combinations 10, 01, or 00. (The combination 11 never occurs because of restrictions on the range of the numbers involved.) These overflows look like binary representations of 2, 1, and 0; but the dinary algorithm causes each pair to be larger by 1 than its true value, so the overflow bits correspond to +1, 0, and −1.
Each overflowing bit pair is called a power increment. The reason: when considered as the i-th digit of a number, its weighted value is $\pm 2^{-i}$ or 0 when the number is scaled with the binary point to the left of the most significant digit. Because a power increment can have any one of three values, it requires two binary digits to represent it; these bits are communicated from cell to cell one at a time along the data bus.
The unique feature of the dinary algorithm lies in the fact that the first time the R register overflows during a major iteration, its output is the most significant power increment of the result—not the least significant digit, as in conventional algorithms. Subsequent overflows produce successively less and less significant digits, which are simply added on to the end of the previous overflow, down to whatever level the particular operation requires—and the operation can be halted at any point. As a result, the most significant increment is available for further processing immediately, before the less significant increments are produced, and calculations requiring less precision can be completed faster than those that must be carried out to the very end.
When a cell gates its output onto the data bus, it does so in parallel with 31 other cells. Outputs of the various cells are timed so that they don't interfere with one another. On any given wafer, there are four of these buses, each of which carries the output of 32 cells—which, in general, won't all be on the same wafer. (It's next to impossible today to get 32 good cells out of 36 on a wafer; even a 50% yield is still several years away.) An additional bus is connected outside the wafer to one or more of the four output buses. As a result, the data on the output buses is multiplexed in both time and space—the receiving cell has to look at the right bus at the right time to get the right data.
Each cell has three sets of input circuits, so that it can look at any of the buses up to three times during any one word cycle. Data can be taken from one bus three times, from three buses simultaneously, or from two or three buses at different times. What the cell does depends on its requirements at particular moment. The data enters either a buffer or an up-down counter, and thence to the $\Delta X$ or $\Delta Y$ register.
When the cell operates as a digital differential analyzer, the contents of the Y register are added to power increment $\Delta X$ one bit at a time. The sum goes in the R register. And when the register overflows, the analyzer's output approximates the integral of the Y register's input. Both registers shift, but they remain in step with each other throughout every computation.
Here is where the dinary algorithm's flexibility comes into play. By shifting the R register relative to the Y register, the algorithm enables the R register to develop quantities other than the integral of the input—for example, products and quotients.
In both analyzer and dinary modes, the R register's output is stored in a two-bit register called...
the $\Delta Z$ hold. Upon the arrival of a control command the output power increment is transmitted to another cell. This same command identifies the cell that receives the output.
**Self-healing**
The advantage of using cellular redundancy is that it enables the computer to offset critical failures by either substituting one cell for another or switching to a different mode of operation—all under program control. In some cases, the system's operation isn't affected, while in others, it's degraded slightly but stays on the air.
If a sensor fails in the missile-guidance application, for example, configuration control can modify the program so that data from an alternate sensor will be used; data from the faulty sensor is thus ignored. Failure in a primary navigation mode, such as in the inertial mode, for example, might result in a switch to dead reckoning.
If a particular cell fails, the program can recover the system through its fail-soft capability. For example, if the module performing the inertial navigation computation fails, but the inertial data sensors continue to work, the program can direct a cell that has previously been executing a less essential function to drop it and take over the navigation task.
True self-healing occurs when the system replaces a faulty cell with a previously unused identical cell. In effect, the system reprograms itself to accept data from only the replacement cell. Thus, the system continues on its course without dropping any functions or changing any operation. But this can be achieved only when the cells are completely autonomous.
Autonomy, of course, is never ideal. There are always gates through which data passes from a cell onto a bus; when a cell fails, the gates are closed and its data is simply bypassed. But should the gates themselves fail, the faulty cell could play havoc with the system. Happily, this is unlikely to happen. The transistors in these gates account for only 1% of the total number of transistors in the cell, and they can override the fail-soft feature only if they develop short circuits both from source to gate and from gate to drain.
With cellular redundancy, the system's maintainability and serviceability is enhanced because the location of a failure is pinpointed and displayed automatically. Moreover, since different elements can perform the same functions, mission reliability is far better than in systems that either are non-redundant or have conventional redundancies.
System reliability, however, is decreased somewhat by the cellular-redundancy approach. Spare cells add to the system's total number of components, and the failure rate of an aggregate of individual elements is proportional to the total number of elements. But, by the same token, system reliability is decreased less by cellular redundancy than by conventional redundancy.
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Shown approximately one-half actual size.
![Graphs showing Small Signal Gain and RF Power Watts vs Frequency]
I/CNI hanging by a thin thread
The Air Force scrapes together money for low-cost, demonstration system to sell combined communications, navigation, and identification concept
By Alfred Rosenblatt
Associate editor
Avionics is at once a blessing and a curse for airmen. On the one hand, such equipment allows them to communicate, navigate, and identify friend or foe. On the other, however, since gear has, over the years been developed individually by many different suppliers, "systems" are bulky jumbles of heavy black boxes and antennas ill-suited to the close quarters of an airframe. Increasingly dissatisfied with this state of affairs, the Air Force wants to combine communications, navigation, and identification functions in one digital system with a common waveform that would drastically reduce—from as many as 30 to six or so—the number of separate elements required to handle these functions effectively aloft.
Last month, the Air Force's ambitions along these lines seemed a step closer to reality; the service received bids for a so-called thin-thread version of an integrated communications, navigation, and identification—or I/CNI as it's known—system. Though the Air Force would not say how many companies actually bid, close to 40 showed up for a briefing conference this spring. Their interest over both the short and long runs is understandable.
If the I/CNI concept is eventually accepted, not only the Air Force but also the Army, Navy, and Marines would probably be directed by the Department of Defense to implement the system. Commercial airlines as well as other nations, might also be involved. At stake over the long run: billions of dollars worth of orders for new types of avionics equipment, including special-purpose satellites to enable I/CNI to operate globally. But for the moment, Pentagon budget cutters are hacking away at research and development appropriations, and Air Force planners don't anticipate an operational I/CNI system for another ten or possibly 15 years.
Basis. But whenever money finally becomes available, the system's design will be based on data accumulated from the upcoming thin-thread work. "The thin-thread system will be a demonstration test bed whereby concepts, signal structures, and hardware can be tested, proved, and measured," says Richard Alberts, I/CNI program manager in the Avionics Laboratory's plans office at Wright-Patterson Air Force Base. "The big idea is to check the validity of the theories and studies that have been done previously."
The Air Force is asking for a minimum of five to 10 sending and receiving sets to handle CNI functions. Satellites won't be used in the tests; they'll be simulated with three aircraft. Meaningful data from the tests should be available in about two years, according to Alberts. Industry will provide the
apparatus, test plan, and the engineering services to keep equipment going; the Air Force will perform the flight tests.
So far, about $2 million has been spent for I/CNI studies, according to Harry Davis, the Air Force's deputy undersecretary for technical operations. There's about $4 million in the fiscal 1970 budget request still to go through the congressional mill, he says. He won't disclose how this is to be divided between the two principal Air Force agencies assigned to the program—the Avionics Laboratory and the Electronic Systems Division/Mitre team at Hanscom Field.
Other sources are not so reticent. The lab is budgeted for around $1 million, while ESD is asking $3.5 million for a Tactical Air Command concept called PLRACTA—position, location, reporting, and control of tactical aircraft [Electronics, July 7, p. 34]. But PLRACTA, formally Cassoft—for control and surveillance of friendly forces—in turn a variation of ESD's 407L program still has to get Pentagon approval, Davis notes. Industry sources who have followed the evolution of PLRACTA call it "a device for getting new money for an old program," and are obviously dubious as to how far it will get.
**Wedge.** The thin-thread I/CNI system will be applied to the mission requirements of PLRACTA, according to William J. Sen, acting chief at ESD's CNI system complex office. "Not only are we going to be experimenting with the hardware, we'll be trying to learn how an I/CNI system could affect tactical command-and-control operations," Sen says. Thus, if successful, the thin-thread system will do more than prove the worth of the I/CNI concept—it will be a very important sales tool. "Advocates and entrepreneurs would try to show other possible users what a good thing they've got going," says an Air Force source. Planners working on Awacs (for airborne warning and control system) would probably take a thorough look at I/CNI, he says, bringing into the fold not only TAC but also the Air Defense Command.
Because of the lead time needed to develop appropriate satellites for an operational I/CNI system, an airborne system like Awacs—should it be built—could serve as an interim exchange point for I/CNI transmission, the source continues. This would add significantly to the total amount of available position, location, and identification data.
Additional sales aids for I/CNI may be forthcoming from a $50,000 study contract recently awarded by the Avionics Lab to RCA. The pact calls for the company to computer-simulate a weapons-delivery mission, using data that could be made available from I/CNI.
Sen compares the thin-thread I/CNI-cum-PLRACTA demonstration to simulation of a "boundless radar system—one with a near global reach when applied to friendly forces. It would help position-locate aircraft, forward air controllers—perhaps even ships and vehicles—and forward this data to a command-and-control center. Since command and control could be performed with a larger view of the conflict, air power could be applied more judiciously."
**Thick and thin.**
However, PLRACTA will not be the entire gauge for success or failure of the thin-thread system, according to Sen. "Our original mission analysis revealed the I/CNI approach would be adequate for the task, so we expect less worry on this score than in the technological end," he says. "I suspect that what hitches occur will come early as we try to tie the advanced technology of the thin-thread system’s components together for the first time. We’ll be looking hard at the aggregate system to see that all the parts mesh successfully.
“We expect them to fit well, but we must make sure with hardware,” Sen continues. “For example, our predictions once showed that a phased-array would outperform other antenna types on Tacsat. But when we built both an array and a mechanically despun system, the latter won by several decibels of gain. We never would have found this out if we hadn’t built the hardware—and that’s what we are doing in a very austere way with the thin-thread I/CNI.”
An austere system will have less capacity than the set-up the Air Force is eventually aiming for, according to Sen. It will have less bandwidth and more boxes as well. Some specifications will also be degraded from what the service wants operationally. But he says, “The thin-thread will buy us enough to extrapolate the performance of the larger, refined I/CNI systems, as well as their impact on command-and-control procedures.”
**Content.** The austerity of the thin-thread version does not bother Alberts of the Avionics Lab; it’s just what he wants. He sees the test bed starting largely with off-the-shelf equipment—computers, displays, r-f units, antennas, and perhaps new types of spread-spectrum signal processors. With ground stations and relay aircraft the system will provide the combined CNI functions. Alberts anticipates the system will expand in an evolutionary manner—with, for example, as many as three or four generations of signal processors and other hardware—until it fits into a complete satellite environment.
“Look for a continuing set of experiments over the next several years,” Albert says, “involving not only C, N, and I but other functions such as collision avoidance, instrument landings, station keeping, altimetry, inertial systems, updating and weapons delivery. These experiments will all be aimed at determining how accurate the integrated system must be and how it should be implemented.”
There’s plenty of technology at hand to implement I/CNI, argues the Air Force’s Davis. Indeed, he sees no difficulties that cannot be overcome. “The problem is the fundamental matching of a large number of possibilities with traffic capacity and spectrum space, he says. “There are a lot of designs. Now, how do you pick one to meet the requirements . . . ?”
There may also be obstacles other than mere technology. “The real problems could be psychological,” says an industry source. “By that I mean, getting the communications people together with those in navigation. The former don’t want anything in their signal that might cause problems, and the latter group thinks the same way. Breaking down these barriers could be harder than solving any technical problems.”
**Wave of optimism**
Nonetheless, some technical problems still have to be solved. For example, developing a common waveform that can accommodate each of the three functions is a key element in the design of an integrated system. In February, IBM and Magnavox each received $150,000 seven-month study contracts from the Air Force’s Rome Air Development Center to check the tradeoffs and approaches involved in achieving such a goal.
Magnavox is studying a frequency-hopping/pseudo-noise technique; IBM, time-hopping/pseudo-noise. “The problem is to develop a waveform on which all types of information can be impressed,” points out Irving R. Gableman, head of advanced planning at Rome. “Also, the waveforms must be expandable as the system grows in size and complexity. Multiple access and transfer problems, system accuracy and capacity, noise invulnerability, and security of IFF information must all be considered in the two studies.”
In addition to C, N, and I information, the waveform may have to accommodate telemetered data on pilot and aircraft status, notes ESD’s Sen. “We might even want to monitor the sparkplugs in number two engine,” he says. Sen wants a format that will allow plenty of room for growth.
**Check list.** The operating frequency of the system has still to be selected; it will probably be in the 1 to 10 gigahertz range, says
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RADC’s Gableman. Propagation problems are known here and there’s available spectrum. Bandwidths greater than 200 Mhz could be desirable. In this microwave range, it’s possible to get good gain and directivity in the satellite antenna. The antenna in the aircraft would have to have some form of directivity as well. In a large, cargo-carrying aircraft it might be possible to put a dish on a pedestal and point it at the satellite. But this isn’t feasible in small, supersonic fighters in which there’s little room for excess baggage and where radome bumps can cause aerodynamic problems.
The solution will undoubtedly be some sort of conformal array, with electronic beam steering, that can fit into any aerodynamic shape. This problem remains to be solved, and the Air Force is funding work in the field. Other technology areas to be probed, according to ESD’s Sen, include:
- Advanced digital processing and software for the so-called core computer aboard the aircraft.
- Burst communications concentrating on higher peak powers.
- Precision clocking, an extremely important consideration since the avionics, satellite, and ground station equipment must be in almost perfect synchronization. This could mean airborne time standards that are as good as any now on the ground. Alternately, there could be less costly standards which could be updated by ground stations without excessive drift between updates.
The precise clocking that’s needed is similar to what’s being used in collision-avoidance systems under development by the Air Transport Association. As a result, the I/CNI system under development has a built-in collision-avoidance capability.
Bird watching. The type of satellite to be used with an I/CNI system and the deployment thereof is also up for grabs. Gableman, who headed the group doing a feasibility study for the Air Force last year, says a final system might consist of clusters of two types of satellites—one to handle communications, the other navigation. A communications satellite at synchronous altitude could be the nucleus about which three navigation
satellites might revolve. At synchronous altitude, three communications satellites could, of course, cover most of the globe. There's also the possibility of having one general-purpose satellite that could be used for odd jobs.
In the initial stages, the satellite would be a large wide-band repeater, according to Gableman. Processing capabilities could be added later for such tasks as cleaning up waveforms, addressing, and making computations, he says.
The services already have satellites under development that could be used with an I/CNI system. But progress has been slow on the Air Force's 621B Navsat system, and 16 satellites would be required. Much the same is true of the tri-service Tactical Communications Satellite (TacSatCom) program.
**One up.** There's a general belief that any company working on current satellite programs could have a headstart on I/CNI. Preliminary studies made by the Space and Missile Systems Organization (Samso) indicate the eventual melding of the Tacsat communications role and Navsat into an I/CNI system is being considered, according to a Samso spokesman. "A later decision may be made to design a satellite combining navigation, communication, and other functions; or, the I/CNI system could be a mix of communications and navigation satellites," says the Samso informant.
There are also indications the Air Force is rethinking its satellite requirements for I/CNI, possibly even considering letting a commercial system do the job. "We used to be pretty damned fussy about having our own birds," says one Air Force man. "But times are changing. Money is tight; Congress is raising hell about the military-industrial complex; and anyone who jammed or destroyed those satellites would automatically be taking step one of World War III—at which point whether you have I/CNI or not doesn't matter a hell of a lot."
In short, the Air Force seems to be willing to trade off its independent-satellite requirement to get moving on an I/CNI aircraft system, perhaps gaining support from commercial satellite interests at the same time.
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How to get low noise and high gain without buying two transistors.
The new Fairchild MT2500 small-signal S-band transistor was designed for amplifier and microwave receiver front ends. No other transistor available today can touch it for noise and gain performance.
And we're talking about performance, not just specs. Up till now you've been able to get low noise at one bias level. Or high gain at another. With the MT2500, you get low noise and high gain with no trade-offs. At 2GHz, noise is guaranteed under 5dB and gain is guaranteed greater than 7dB.
Write today for "Fairchild Microwave Transistors/S-Parameters," a brochure that will get you off the drawing board a lot sooner. Then give your circuits a boost with the MT2500. It's available in volume from your local Fairchild distributor. Give him a call.
Fairchild Semiconductor/A Division of Fairchild Camera and Instrument Corp. Mountain View, Calif. 94040 (415) 962-5011 TWX: 910-379-6435
120 Circle 120 on reader service card
Late show will put Mars on tv
Jet Propulsion Lab has reversed an earlier decision and Mariner spacecraft will carry equipment for real-time, network-compatible shots of red planet
By Lawrence Curran
Associate editor
When the first sequence of pictures taken of Mars by Mariner 6 are read out July 29 at the Jet Propulsion Laboratory in Pasadena, Calif., a little after 6:00 p.m. Pacific Daylight Time, television viewers across the country will probably get a look at what's coming back at the same time project scientists do. This "quick-look" video—a first for a project of this sort—will be provided largely through the efforts of a JPL "tiger team" that has been working long into the nights since it was decided only three months ago to provide the quick-look data to the networks.
Realizing that television viewers would need something pretty compelling to get them back to their sets after the Apollo 11 adventure, JPL officials reversed a decision made about a year ago not to provide real-time video readout for Mariners 6 and 7. The first of the two spacecraft encounters Mars July 31; Mariner 7's near encounter is due August 5. But far-encounter picture-taking begins a few days earlier for both.
When real-time, network-compatible readout of the Mars photos was first proposed last year, officials vetoed the idea for two principal reasons: It wasn't needed for scientific purposes. And there was no assurance the hardware could be built and checked out in time; the project would represent one more potential problem area in an already tight timetable.
Even so, JPL officials appreciated the limitations of the equipment that had handled the Surveyor program, and authorized its updating for Mariners 6 and 7. When the go-ahead was given to convert the all-analog Surveyor equipment, the tiger team went to work building an interface for the scan-converter and film-recorder portion of the Surveyor apparatus, converting it to an all-digital system.
Moving on. Ralph Johansen, a systems design engineer on the tiger team, says his group has taken over the bulk of the quick-look video functions of the JPL image-processing laboratory, as well as about 85% of the quick-look scientific data processing. The digital interface for the formerly all-analog Surveyor system was built in just three weeks.
Even before coming on line last August as the quick-look Mariner '69 processing facility, the team had proposed the real-time display of Mariner photos for network television viewers. The proposal was dusted off April 14 when JPL officials went for it. It's reliably reported, although unconfirmed by lab sources, that the move was made when program officials learned they couldn't get live coverage of the Mariner 6 and 7 returns unless network executives were assured their viewers would be provided a look at the Mars images as soon as those watching the monitors at JPL were. JPL Director William Pickering himself is said to have asked for the real-time network quick-look capability.
Once the nod was given, the tiger team stepped up its efforts. Johansen says the scan converter associated with the film recorder hadn't been used since the Surveyor program ended. The data rate from lunar distances was higher than the 16.2-kilobit pulse-code-modulated bit stream that will come from Mariners 6 and 7. This had to be taken into account in devising the new system. In addition, the pictures coming from the latest Mars explorers are composed of 934 by 704 discernible points. The Surveyor-vintage scan converter would have provided video images with only about 250 by 250 discernible points, Johansen says, giving a low-resolution display. The new video display will resolve 512 by 480 points.
Busy signals. "We decided to look for a direct digital-to-tv compatible interface," Johansen observes. "I must have made about 50 phone calls before reaching Data Disc Inc. in Palo Alto. Chuck Masters, general manager of the company's Display division, was the first person I reached who understood our hardware needs. I never seemed to get past the front office people elsewhere." The conceptual system design, with Data Disc's model 5209 fixed-head parallel digital 72-track disk memory as the critical ingredient, was worked out in just three days. Johansen credits Masters with making a significant contribution to that design. Detailed logic for the system was designed in a few more days.
Masters describes the Data Disc memory as essentially a refresh buffer that can take in data at a low transfer rate and provide repetitive readout at a very high transfer rate. The data coming from the Mariner cameras is stored
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at an input rate of about 15,900 six-bit elements per second from four channels.
As Mariner 6 approaches Mars, its cameras will be turned on 48 hours before the nearest pass by the planet. At that point, the spacecraft will be within 2,000 miles of the surface. The shutter snaps every 42.4 seconds, generating a data rate of 113.4 kilobits per second—too fast for the pcm telemetry link's peak rate of 16.2 kilobits per second. For this reason, the picture data is to be stored in an onboard analog tape recorder and played out later—usually about 24 hours later when the spacecraft is in view of the 210-foot dish at Goldstone, Calif. Thirty-three pictures will be taken during this first far encounter of Mariner 6; 17 will be taken at the second far encounter beginning 22 hours before near encounter. These shots will be read out in Pasadena about seven hours before near encounter.
**Camera work**
The video display Johansen's team has put together will also be able to take every seventh bit of data from a picture as it's gathered by the camera and have this abbreviated data transmitted in real time over the 16.2-kilobit telemetry link. The picture derived from the data will have lower resolution than the complete picture stored on tape aboard the spacecraft, and won't be available to the networks. However, it will probably give project scientists a clue as to how good the complete picture will be long before they receive it.
As the spacecraft approaches near encounter, the science platform will be rotated to take 24 pictures during the near pass across the planet. These will be read out about 24 hours later, whereupon the data transmission will stop for 24 hours until the Mariner 7 far-encounter picture-taking sequence begins.
**Starting point**
But the quick-look video facility swings into action the minute the picture data is transmitted by a microwave link from Goldstone to Pasadena. At this point, the data is in a comma-free, biorthogonal code at 86.4 kilobits per second into which it was converted aboard the spacecraft to aid in eliminating noise. At JPL, it is run through a correlator that puts out the raw pcm bit stream at 16.2 kilobits. At this point, two Univac 1219 computers go to work on the data. The first handles the data-recognition task, putting the raw bit stream into telemetry-frame and word-frame synchronization. This machine also makes a tape library of the data, as well as driving the film recorder and scan converter.
**Second effort.** Johansen says all quick-look hard-copy—Polaroid or 70-mm images—is taken from the film recorder. The second Univac 1219 accepts the coded pcm data from the first and drives the Data Disc memory. It also creates a duplicate tape library.
Johansen says one of the difficulties his team faced was the relatively slow speed of the computer (2-microsecond cycle time). "Trying to match the slow computer output to the fast data rate of a disk was a big problem. Our solution was to choose a fast memory that could be loaded slowly and read out quickly. We also decided that the data wouldn't be updated on a line-by-line basis, but in columns."
Each point, or pixel, in the Mars picture is defined by six bits of information. The disk stores four dif-
---
**Simplified block diagram of JPL video display system**
Working model. Tinted area in simplified block diagram of JPL video display system represents logic hardware required to make a single image; it's repeated four times. There are 18 tracks of data coming off the disk at 3 Mhz, multiplexed and multiplied by three to provide the 6-bit word that defines one point of the picture at 9 Mhz.
different pictures, any one of which can be selected for transmission to the networks over four separate video channels by the principal investigator.
Data Disc's Masters says each track on the disk has its own read-write head, complete with write, read, and clock electronics that operate to provide encode data, write data, read data, decode data, re-clock input data, and reclock output data. As the data comes from the second Univac 1219 computer, it's fed to both a data register and a memory address register. The logic in the digital interface between the computer and the disk memory also includes a memory address counter and track-selection logic, plus a comparator between the memory address register and memory address counter.
**Inside jobs**
When a track on the disk for storing data selected by the computer compares with the memory address supplied by the memory address counter, the comparator puts out a write-enable strobe to the track selection logic, and the initial data point from the data register is written onto the disk. Subsequent write strobes come from a 212 counter, which determines where subsequent data is stored.
Masters says there are two reference marks on the disk separating it into fields A and B. Field A contains all the information in the odd-numbered scan lines. There are sectors that correspond to the line numbers—1, 3, 5, 7, and so on to 525. Field B contains all the information for the even-numbered sectors—2, 4, 6, 8, and so on up to 524. But instead of storing all elements in the sector representing line 1, the computer directs that only the first bit of each line be stored—the first bit of line 1, then 212 counts later, the first of line 3, and so on through 525; the same holds true for the even-numbered sectors or lines.
The disk runs at 1,800 revolutions per minute. At that rate, it stores one picture element per line, or sector, every 1/30 second, or 525 elements. The disk's bit rate is about 3 megahertz, which is incompatible with the 9-Mhz rate required for commercial television. As a result, for each of the four video channels, provision is made to boost the signal to 9 Mhz.
**Numbers game.** The disk puts out six groups of three tracks of data for each television picture at a 3-Mhz rate. Each of these groups is fed to a 3-bit shift register, where multiplexing takes place and the signal is boosted by a 3-times clock signal provided by the disk. The shift register output is the multiplexed (from 18 lines to 6) and multiplied (from 3 Mhz to 9 Mhz). The signal then goes to a high-speed digital-to-analog converter, which provides the video output.
A synchronization generator provides a signal simultaneously to the tv monitor and to the servo drive unit controlling the disk rotation to synchronize the timing of the disk and the scanning of the display.
Because the data is being organized into vertical columns instead of horizontal lines, any column can be randomly read out or updated in 1/30 of a second. Or, the screen can be refreshed each second—the time it takes for one complete disk revolution.
The system will operate in two modes—line-at-a-time or picture-behind. In the latter, while picture number two is accumulating on tape at JPL, the brightness and contrast of picture number one can be sharpened in the disk memory. This can't be done in the line-at-a-time mode. Johansen says, for example, that of the four video channels, A and B could be operating in line-at-a-time while channels C and D are working in the picture-behind mode.
He observes that even though the Mariner photography will be black and white, techniques are being worked out so that channels B, C, and D will carry red, green, and blue hues to enhance Martian surface features, although the color technique won't be available to the networks. Johansen adds that "the unit is intended to be used in scientific interactive computer graphics after the missions are completed."
For the hardware that already existed, JPL had to buy only about $45,000 worth of new equipment to provide the real-time, network-compatible readout; $31,000 went for the disk memory and about $14,000 for additional logic.
Take a good look...
at the Beckman Models 9010 and 9030 Function Generators.
If you're looking for an exceptional low-cost function generator, take a look at the Beckman 9010; a tough little competitor (sine, square, and triangular waves at 0.005 Hz to 1 MHz, with external VCO control and dc offset for $495.00).
But if you want much more, and your requirements include:
- four basic functions and their complements, with an external GATE control mode, continuously variable over a frequency range from 0.0005 Hz to 1 MHz.
- eight unipolar and bipolar outputs, adjustable to 30 volts p-p in three attenuator steps, in addition to dc offset and external VCO control.
- a BURST mode to generate 1 to 99 positive and negative waveforms upon receipt of a trigger input.
- a PHASE LOCK mode to synchronize the instrument in frequency and phase with an external signal from 10 Hz to 1 MHz,
then take a good look at the Model 9030 (only $895.00).
Like the 9010, the 9030 is rugged enough for any production or bench environment. It's drip proof, dust proof and shock proof, and stackable, portable and rackable. (8½" H x 7" W x 13" D.)
For your system or component testing, use a 9010 to initiate the first functions of the 9030 — and rack them together with standard Beckman hardware.
Now that you've seen what the 9010 and 9030 Function Generators can do for you, there's no need to keep looking. Just contact your local Beckman office, sales representative or factory direct. (A special 3½" rack chassis is available for both instruments upon request.)
Bendix Vacuum Equipment
Choosing is easier when you choose from the broadest line around.
High-vacuum Coaters
The specific applications of Bendix systems are unlimited. Economy coaters can be used in any operation which requires a bell-jar vacuum system. In microelectronics, optics and environmental experimentation and testing. In research, pilot plant development and production operations. In industry and university laboratories. Available from stock.
High-capacity Vacuum Coater
New bell-jar vacuum system designed specifically for quantity production of evaporated thin films. With AutoMate™ Control to eliminate valving errors. Solid state control of evaporation circuit that can easily be adapted to fully automatic operation. Ten-inch pumping system with multi-coupler valve. All in an extremely compact package that can handle 32 lenses (2" diameter) per cycle at 1.5 work loads per hour.
PlasmaVac® 501 Sputtering Systems
PlasmaVac, batch-type sputtering systems produce thin films on pin-substrate quartz substrates. The PlasmaVac 501 sputters the Rapidura® films, which will handle up to 64 wafers per run. Crossflow Discharge®, an exclusive Bendix CVC development, gives improved film uniformity and increased sputtering rates. All fixturing components, including the substrate holders and the shutter, are easily disassembled without tools and lifted from the vacuum chamber for easy maintenance.
PlasmaVac® 400 with AutoMate Control
New Bendix CVC system bridges the laboratory/production interface. The PlasmaVac 400 (above) is a process development tool which can be used in a high-volume inline production system. You can develop your thin-film sputtering process in the laboratory and use the same unit as a modular segment of your production system. And you can scale up your operation to large volume by adding modules as needed, or buy a custom system designed to meet your specific process requirements.
And Bendix has the largest line of vacuum equipment available from a single source. In coaters, everything from 14-inch vertical to 72-inch horizontal. Fully automatic, semiautomatic and manual. In pumps, sizes and types to suit every conceivable research and industrial application. From basic diffusion to the latest in ion and sublimation pumps. In gauges, models to measure every degree of vacuum our equipment can make. McLeod, Pirani and Hot-filament in a variety of ranges. Plus a full line of accessories, from valves, baffles and traps to "O" rings and seals.
The size and variety of the Bendix line allows spot comparisons, makes your final choice easier. Make it easy on yourself by finding out more about Bendix CVC Vacuum Equipment. Start by checking the equipment here. And write: The Bendix Corporation, Scientific Instruments and Equipment Division, 1775 Mt. Read Blvd., Rochester, New York 14603.
**High-vacuum Vapor Pumps**
Bendix offers you 23 standard metal oil vapor pumps, more than anyone else. A dynamic line incorporating the latest advances such as the new WHITE HAT, an oleophobic, polymer-coated cap, which significantly reduces back-streaming in BlueLine™ diffusion pumps. Also we have a wide range of ion and sublimation pumps. Check the chart and ask for more information on the pump range that interests you most.
**High-vacuum Gauges**
The Bendix line of precision high-vacuum gauges covers every conceivable requirement in the atmosphere to $2 \times 10^{-11}$ torr pressure range. Write for bulletins describing each of the following types: McLeod Gauges, Pirani and Thermocouple Gauges, Magnevac® Gauge, Cold-cathode Gauges, Hot-filament Gauges.
**Other Bendix Equipment**
Here's just a sample of the full Bendix line of complementary high-vacuum equipment. If it has anything to do with vacuum, it has everything to do with us.
- Baffles
- Base Plates
- Bell Jars and Accessories
- Component Pumping Packages
- Distillation Apparatus
- Electron Beam Equipment
**Materials for Thin-film Deposition**
- Space Chambers
- Traps
- Vacuum Fluids
- Vacuum Furnaces
- Valves
Now, ready for you in quantity.
The new Delco Radio DTS-701 and 702 NPN triple-diffused silicon high voltage transistors. They were designed for the tough requirements of off-line deflection in large screen TV.
However, they're built and tested for extra reliability in all high energy circuits. Proved by the surest peak energy capability rating in the business: Pulse Energy Testing.
And right now, they're available in both production and sample quantities.
Why will you want to use the Delco 701 or 702?
For the tough job's—high inductive load switching or for circuits subject to transients or fault conditions.
For reduction of weight, size and component costs. Circuit complexity and number of components are reduced, so assembly costs go down, too. And fewer components mean higher reliability.
So now you know. The pioneer in high voltage silicon power has done it again.
For prices, samples or complete data, just call us or the nearest Delco Radio distributor listed below.
SEMICONDUCTOR DISTRIBUTORS
ALA., BIRMINGHAM • Forbes Distributing Company, Inc. (205)-251-4104
ARIZ., PHOENIX • Sterling Electronics, Inc. (602)-258-4531
CAL., LOS ANGELES • Kierulff Electronics, Inc. (213)-685-5511
• Radio Products Sales, Inc. (213)-748-1271
CAL., PALO ALTO • Kierulff Electronics, Inc. (415)-968-6292
CAL., SAN DIEGO • Milo of California, Inc. (714)-232-8951
COLO., COLORADO SPRINGS • L. B. Walker Radio Co. (303)-636-1661
COLO., DENVER • L. B. Walker Radio Co. (303)-935-2406
COLO., ENGLEWOOD • Hyer Electronics Co. (303)-771-5285
FLA., MIAMI • Mountain Electronics, Division of Mountain National Co. (305)-634-4556
FLA., WEST PALM BEACH • Mountain Electronics Division of Mountain National Co. (305)-883-5701
ILL., ROSEMONT • F-J-R/Midwest, Inc. (312)-678-8560
ILL., SKOKIE • Merquip Electronics, Inc. (312)-282-5400
IND., INDIANAPOLIS • Graham Electronics Supply, Inc. (317)-634-8486
MD., BALTIMORE • Radio Electric Service Co. (301)-539-3835
MASS., NEWTON • The Greene Show Co., Inc. (617)-969-8900
MICH., KALAMAZOO • Electronic Supply Corp., (616)-381-4626
MINN., MINNEAPOLIS • Stark Electronics Supply Co. (612)-332-1325
MO., KANSAS CITY • Walters Radio Supply, Inc. (816)-513-7015
MO., ST. LOUIS • Electronic Components for Industry Co. (314)-647-5505
1200V - 3.0A
800V - 0.5A
DTS-701
Collector to emitter voltage (V_{CEO}) 800V
Sustaining voltage (V_{CEO} (sus)) 600V min.
Emitter to base voltage (V_{EBO}) 5V
Collector current (I_C) 500mA
Base current (I_B) 100mA
Power dissipation (P_T) 25W
DTS-702
Collector to emitter voltage (V_{CEX}) 1200V
Collector to emitter voltage (V_{CEO}) 1300V
Sustaining voltage (V_{CEO} (sus)) 750V min.
Emitter to base voltage (V_{EBO}) 5V
Collector current (I_C) 3A
Base current (I_B) 1A
Power dissipation (P_T) 50W
Available in solid copper. JEDEC TO-3 package.
Kokomoan's Regional Headquarters
Union, New Jersey* C7083
801, 1018 Chestnut Station
(201) 459-1770
Chicago, Illinois* 60656
5151 N. Harlem Avenue
(312) 775-5411
Santa Monica, Calif.* 90401
726 Santa Monica Blvd.
(213) 870-8807
Detroit, Michigan 48222
57 Harper Avenue
(313) 873-6560
Kokomo, Ind. 46901
700 E. Firman
(317) 459-1775 Home Office
*Office includes field lab and resident engineer for application assistance.
THE KOKOMOANS ARE IN POWER
DELCO RADIO
DIVISION OF GENERAL MOTORS
KOKOMO, INDIANA
N.J., CLIFTON • Eastern Radio Corporation (201)-471-6600
N.M., ALBUQUERQUE • Hyer Electronics Company (505)-265-5767
• Sterling Electronics Inc. (505)-247-2486
N.Y., BINGHAMTON • Federal Electronics, Inc. (607)-748-8211
N.Y., NEW YORK • Harvey Radio Co., Inc. (212)-582-2590
N.Y., WOODBURY, L.I. • Harvey Radio Company, Inc. (516)-921-8700
OHIO, CINCINNATI • United Radio, Inc. (513)-761-4030
OHIO, CLEVELAND • The W. M. Pattison Supply Co., Industrial Electronics Division (216)-411-3000
OHIO, DAYTON • F.-R./Ohio, Inc. (513)-278-9411
OKLA., OKLAHOMA CITY • Radio, Inc. (405)-235-1551
OKLA., TULSA • Racio, Inc. (918)-587-9124
PENN., PHILADELPHIA • Almo Electronics, Division of Sterling Electronics (215)-676-6000
PENN., PITTSBURGH • RPC Electronics (412)-782-3770
TEXAS, DALLAS • Adleto Electronics Company (214)-742-8257
TEXAS, FORT WORTH • Adleto Electronics Co. (817)-336-7416
TEXAS, HOUSTON • Harrison Equipment Co., Inc. (713)-224-9131
UTAH, SALT LAKE CITY • Hyer Electronics Company (801)-437-3681
VA., RICHMOND • Meridian Electronics, Inc. (703)-353-6648
WASH., SEATTLE • Kieruff Electronics, Inc. (206)-763-1550
WASH., TACOMA • C & G Electronics Co. (206)-272-3181
CANADA, ONT., SCARBOROUGH • Lake Engineering Co., Ltd. (416)-751-5980
Airpax multipole APG magnetic circuit protectors operate with a single toggle handle, a feature which greatly simplifies panel mounting and provides a lower cost, compact unit with high operating dependability. Internal coupling assures instant action of all protectors should an overload occur in any protected circuit.
**FEATURES**
- Current ratings from 20 mA to 30A.
- Voltage ratings to 250 volts, 60 and 400 Hz and to 50 volts dc.
- Series, shunt and relay types, auxiliary switch available on series type.
- Choice of trip delays; trip free operation.
- Individual poles need not have identical characteristics.
- Quick connect or machine screw terminals.
- Available with 1, 2 or 3 poles.
- Electromagnetic operation with magnetic-hydraulic delay.
**THREE PHASE MOTOR PROTECTION**
**DIMENSIONAL DRAWING**
**AIRPAX ELECTRONICS**
**CAMBRIDGE DIVISION, CAMBRIDGE, MARYLAND 21613**
PHONE (301) 228-4600 TELEX 8-7715 TWX 710 865-9655
Low-cost counters have premium specs
Phase-locked stability and high input sensitivity are included in a line of counter-timers that start with a basic price of $575
By James Brinton
Associate editor
Counting on counters. The 1192 line of counter-timers aims at lower end of price-applications spectrum. Units measure up to 32 MHz with stability of $2 \times 10^{-6}$ per month. The instruments will be introduced in August at Wescon.
The marketing talk around the General Radio Co. sounds more like Detroit than Route 128. Such phrases as “buyer’s market,” “every dollar counts”, and “low price for options” seem more at home in an automobile showroom than in the West Concord, Mass., offices of General Radio. Nevertheless, those are the terms bandied about by company officials when they talk about their new counter-timer line, the 1192 series.
“The new series is aimed at the buyers’ market,” says Robert A. Boole, marketing research manager. With counter-timers selling at about a $50-million-a-year clip, Boole likens this to a consumer market where, as he is quick to point out, “every dollar counts.”
Says Boole: “Base price must be low to begin with and must be followed by low prices for options.”
Market first. With an avowed goal of developing a line characterized by high-performance at aggressively competitive prices, General Radio started with marketing and sales strategies. Next, the company studied what was already on the market. Only after all this did the company decide on price and performance tradeoffs for the actual design. The result: a line of counters whose performance is comparable to that of counters in the $1,000-range—such as Hewlett-Packard’s model 5216A and Monsanto’s model 103—but at prices ranging from $575 to $845.
General Radio has even turned to discount pricing. The purchase of only two units nets a 3 percent price cut; 100-unit lots win a 20 percent cost reduction.
Counters in the 1192 series are aimed at the lower end of the price-applications spectrum. Nevertheless, the series covers a gamut of applications largely because the 1192’s are available with five-, six-, or seven-digit readouts, and with or without binary-coded-decimal outputs. The seven-digit version costs $200 more than the five-digit unit, and dec output adds $50.
Every unit in the line measures frequency over a range of dc to 32 megahertz, with 100-microsecond to 10-second gate times; each times both periods and intervals to 0.1 $\mu$sec resolution and performs simConvert any X-Y scope into a curve tracer: $595*
Now U-Tech’s plug in and console units are all your oscilloscope needs to become a curve tracer. Save 1/2 to 1/3 the cost!
For the price of one curve tracer, you can now buy two to three of these U-Tech units that use the facilities of your present scope to display the dynamic characteristics of both NPN and PNP transistors, N Channel and P Channel junctions, FETs, MOS-FETs, bipolars, uni-junctions, diodes, tunnel diodes and SCRs.
Ask your distributor about these U-Tech curve tracer units or order direct from:
*Prices apply to purchase and shipments within U.S.A. fob Salt Lake City, Utah
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4190 South State Street, Salt Lake City, Utah 84107 Tel. (801) 262-2663
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... features evolved over two decades ...
Like the H-P 5216A, the 1192 series has a 10-Mhz crystal-referenced time base. However, most counters that are cost-competitive with the 1192's use power-line frequency as a reference. As a result, their accuracy falls short of the 1192's.
Input sensitivity is 10 millivolts out to 25 Mhz, and 20 mv to 32 Mhz. General Radio claims sensitivity of the 1192 series is 10 times that of similarly priced units, and is at least equal to that of the H-P 5216A—but over double the 5216A's 12.5-Mhz range.
Input impedance is about 1 megohm shunted at 27 picofarads. But with a $26 accessory probe, the P6006, the impedance rises to 10 megohms shunted at 7 pf.
Watershed. According to Richard W. Frank, who headed the design group, many of the 1192's features evolved from the company's counter efforts that date back to the early 1950's.
The time base, for example, is a 5-Mhz crystal oscillator multiplied by two to provide a 10-Mhz reference. It is the same oscillator used in General Radio's model 1191 counter that sells in the $1,300-$1,500 range. Its drift is claimed to be about three times less than that of competing counter-oscillators: less than $3 \times 10^{-7}/^\circ C$ over a temperature range of $0^\circ$ to $55^\circ$ C. Stability is $2 \times 10^{-6}$ per month.
Frank says General Radio is the only firm that both demands 100 percent tests of oscillator crystals by the manufacturer and performs 100 percent incoming inspection tests.
"Each crystal is automatically tested to obtain its temperature-coefficient plot," says Frank. "These are among the most tightly specified crystals in the industry."
New phase. The 1192 also offers phase locking, a feature rarely found in its price range. Frank explains that since a high-frequency crystal was used to optimize time resolution, phase locking was added to slave the counters to distributed lower-frequency standards found in some factory production lines. "It only takes an extra semiconductor or two," he says, "and since phase..."
With EECO 2D computer-automated plug-in IC Hardware...
less than 30 days separate schematic and final system...
When you specify EECO 2D Hardware a computer converts your "Pin Logic List" into a wire plan and checks for errors and omissions before wiring begins. EECO plugs in the IC's, machine Wire-Wraps the backplanes and in days...your schematic is a drawer of working electronics with all necessary computer generated support documentation.
EECO 2D Hardware System provides more than time savings...it's up to 30% more economical...and it's versatile...ready for digital or analog IC's, discrete components, MSI or LSI. It offers higher density — up to 768 IC's and a power supply fit in one 3-1/2" high standard drawer.
Your first step is simple...just phone, write or circle the reply number.
*You simply choose the module and write the signal name by each pin number. You don't worry where the wires go or the order of listing.
Catalog available
See EECO 2D at Wescon Booth numbers 3814 thru 3817
ELECTRONIC PRODUCTS DIVISION
ELECTRONIC ENGINEERING COMPANY OF CALIFORNIA
1441 EAST CHESTNUT AVENUE • SANTA ANA, CALIFORNIA 92701 • (714) 547-5651
Circle 133 on reader service card
BUY YOUR EMI FILTERS
DIRECT FROM THIS FILTER GUIDE!
SPECTRUM OFFERS 30 dB WHERE
FORMERLY YOU COULD BUY ONLY 5 dB
ALL QUALITY FILTERS...REALISTICALLY PRICED
SPECTRUM FILTERS ARE AVAILABLE
FOR IMMEDIATE DELIVERY
| CURRENT RATING | VOLTAGE RATING | INSERTION LOSS |
|----------------|----------------|----------------|
| | | 30MHz | 1MHz | 10MHz | 100MHz |
| 10 | 100 | - | - | 5 | 42 |
| 10 | 100 | - | 10 | 30 | 50 |
| 10 | 200 | - | - | 5 | 45 |
| 10 | 100 | - | 12 | 30 | 50 |
| 10 | 500 | - | - | 5 | 45 |
| 15 | 50 | 15 | 44 | 60 | 70 |
| 15 | 50 | 15 | 44 | 60 | 70 |
| 10 | 50 | 20 | 60 | 70 | 70 |
| 25 | 500 | - | - | 10 | 55 |
| 25 | 750 | - | - | 10 | 50 |
PARTS SHOWN ACTUAL SIZE
SPECTRUM PART NO.
(USE WHEN ORDERING)
$1-712-001
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PRICE*
(1 EACH)
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5.60
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1.32
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SEND ORDER DIRECT
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814/474-5593
*PRICES INCLUDE ALL HARDWARE
QUANTITY PRICE BREAKS
QUOTED ON REQUEST
SPECTRUM CONTROL INC.
152 EAST MAIN ST., FAIRVIEW, PENNSYLVANIA 16415
VISIT SPECTRUM'S EXHIBIT AT WESCON — Booth 4707
General Radio Co., West Concord, Mass.
01781 [338]
Solitron announces
10 AMP AND 20 AMP
INDUSTRIAL PNP Power Transistors!
### 10 AMP SERIES
| Type Number TO-3 | Type Number TO-66 | RATED BREAKDOWN VOLTAGES | PERFORMANCE SPECIFICATIONS |
|------------------|-------------------|--------------------------|---------------------------|
| | | BV<sub>CBO</sub> | BV<sub>CEO (sus)</sub> | BV<sub>EBO</sub> | h<sub>FE</sub> | V<sub>CE (sat)</sub> Volts | V<sub>BE (sat)</sub> Volts | I<sub>CEX</sub> μA |
| 2N5737 | 2N5739 | -60 | -60 | -5 | Min. | Max. | Max. | Max. @ V<sub>CE</sub> |
| 2N5738 | 2N5740 | -100 | -100 | -5 | 20 | 80 | -0.5 | -1.2 | -10 | -60 |
### 20 AMP SERIES
| Type Number TO-3 | Type Number TO-66 | RATED BREAKDOWN VOLTAGES | PERFORMANCE SPECIFICATIONS |
|------------------|-------------------|--------------------------|---------------------------|
| | | BV<sub>CBO</sub> | BV<sub>CEO (sus)</sub> | BV<sub>EBO</sub> | h<sub>FE</sub> | V<sub>CE (sat)</sub> Volts | V<sub>BE (sat)</sub> Volts | I<sub>CEX</sub> μA |
| 2N5741 | 2N5743 | -60 | -60 | -5 | Min. | Max. | Max. | Max. @ V<sub>CE</sub> |
| 2N5742 | 2N5744 | -100 | -100 | -5 | 20 | 80 | -1.5 | -1.5 | -1.5 | -10 | -60 | -10 | -100 |
For complete information, contact:
**Solitron Devices, Inc.**
1177 Blue Heron Blvd. / Riviera Beach, Fla. / (305) 848-4311 / TWX: (510) 952-6676
Lower price widens amplifier's uses
Two video inverters, one with a slew rate of 750 volts per microsecond and the other featuring fast settling, are aimed at data processing field
Cutting prices is one of the surest ways of satisfying customers. And when the customers are willing to accept lessened performance, the price cut is that much sweeter. This is what the Data Device Corp. is doing for its customers.
Last year, the company brought out a pair of video inverting amplifiers that were priced in the neighborhood of $150. In the process of selling these amplifiers, the company discovered a sizable demand for similar but less expensive amplifiers from designers willing to trade off a little performance.
To meet this demand, Data Device is offering the VA 21 and the FS 21 video inverting amplifiers—identical to the older units in design but built with components that cost less and have tolerances that are lower. As a result, the VA 21 sells for $65 in small quantities, and the FS 21 goes for $75.
The VA 21 has a slewing rate of 750 volts per microsecond and its response is flat out to 12 megahertz. The rolloff is 6 decibels per octave and the minimum gain-bandwidth product is 80 Mhz.
Data Device says that the VA 21 can be used in video summing net-
---
Polystyrene film dielectric capacitors designated Deltafilm AS are for such applications as low-frequency tuned circuits, analog computer reference capacitors, and precision timing and integrated circuits. They operate over the temperature range of \(-55^\circ\) C to \(+85^\circ\) C, and come in ratings of 25, 35, 50, 100 and 200 wvdc. Dearborn Electronics Inc., Box 530, Orlando, Fla. [341]
---
Miniature straight plug connector 2902-6013 is a 3-mm device. Vswr is limited only by the performance of the mating connector. Mechanical design eliminates snap ring coupling nut retention, greatly increasing reliability. The connector meets or exceeds MIL-C-39012A (SMA). Price is 50 cents each in quantity. General RF Fittings, Cove Road, Port Salerno, Fla. [345]
---
Power transformer model 20P provides almost any required output voltage between 5 and 350 v a-c at 20 w output power. The Mil-Spec 60 hz units have a wide variety of uses in military and industrial systems. They are encased in steel containers and measure 2 x 2\(\frac{3}{8}\) x 3\(\frac{3}{8}\) in. Abbott Transistor Laboratories Inc., 5200 W. Jefferson Blvd., Los Angeles [346]
---
Seven-pole monolithic crystal filters come in 4 models: 6457MA, 6457MB, 6458MA, and 6458MB. Center frequencies are 10.7 Mhz \(\pm 0.7\) kHz, 10.7 Mhz \(\pm 1\) kHz, 21.4 Mhz \(\pm 0.7\) kHz, and 21.4 Mhz \(\pm 1\) kHz, respectively. The 3 db bandwidths are 6, 15, 6, and 1.5 kHz minimum, respectively. Maximum ripple is 1 db. Damon Engineering Inc., 15 Fourth Ave., Needham, Mass. [347]
---
Hermetically sealed Vacotrols series VT11 are a line of photon isolators available in six types from 1.5 v with incandescent lamps through 115 v with neon. They are useful for signal isolation, audio level controls, scr and triac turn-on, and noiseless switches. Price is $1.05 in quantities of 10,000. Vacotec Inc., 2423 Northline Industrial Blvd., Maryland Heights, Mo. [342]
---
Pi-type filters series FC1410 through FC1413 are available in current ratings of 0.3, 0.25, 0.45 and 1 amp. Pi construction offers 60 db attenuation at 100 degs. of frequency from cutoff. Filter size is 0.540 in. in length and 0.375 in. in diameter. Price is $9.75 in 100 piece quantities; delivery, stock to 4 weeks. Filters & Capacitors Inc., 425 N. Fox St., San Fernando, Calif. [343]
---
Multisocket receptacles are for bi-pin subminiature lamps. Five basic receptacles containing 2, 3, 4, 5 and 10 sockets permit block-building of indicator lamps to any number or readout pattern. Units plug into a standard socket with a 0.100-in. grid. Receptacles are molded from a glass-filled thermoplastic with beryllium copper contacts. Chemelec Products Inc., Cherry Hill, N.J. [344]
---
Subminiature connectors Royal D Mark III are for use in military and industrial equipment. They come in 9, 15, 25, 37 and 50 contact configurations. The No. 20 contacts are rated at 5 amps and accommodate No. 20, 22 or 24 stranded wire. Devices incorporate a rear release crimp-on, snap-in contact assembly. Clinch Mfg. Co., 1026 S. Homan Ave., Chicago [348]
What's the best Monolithic Chip Capacitor?
Centralab Mono-Kap!
See for yourself.
ACTUAL MICROGRAPHS OF RANDOMLY SELECTED MONOLITHIC CHIP CAPACITORS.
COMPETITOR A
COMPETITOR B
COMPETITOR C
The superiority of Centralab Mono-Kap chips is clearly visible... pin holes that destroy reliability and long life are virtually eliminated. The beauty and superiority of these new monolithic chip capacitors is much more than skin deep, too. Centralab is alone in testing 100% for flash, insulation resistance, dissipation factor and capacitance. We also manufacture our own ceramics, thick film microcircuits and a broad line of capacitors. As a designer of microcircuits, Centralab developed the Mono-Kap to increase the scope of circuits we could manufacture. Centralab's Mono-Kaps have been tried and proven in a wide variety of industrial and military microcircuits. We have a wide variety of materials, physical sizes and capacitance values, all priced competitively and delivered in as little as four weeks. If seeing is believing, and you'd like a closer look, call on your local Centralab Representative for samples and product data. Have requirements for encapsulated Mono-Kaps with terminations? Send your specifications to Centralab, Application Engineering Dept.
*TM
CENTRALAB
Electronics Division
GLOBE-UPSIDO, INC.
5257 NORTH GREEN BAY AVENUE
MILWAUKEE, WISCONSIN 53201
M-6919
New Grayhill "Excellent 50's"
A new generation of Tiny Rotary Switches with practically unlimited variations
"Excellent 50's"
Series 50
1/2" Diameter
Solder Lug Terminals
36° — 10 Terminals
45° — 8 Terminals
60° — 6 Terminals
1 Pole
2 Pole
Adjustable or Fixed Stop — Shorting or Non-Shorting Contacts — Sealed or Unsealed — Fully Enclosed — Military or Commercial.
Series 51
7/16" Diameter
Printed Circuit Terminals
Solder Lug Terminals
30° — 12 Terminals
1 Pole
2 Pole
3 Pole
4 Pole
Many uses. The VA 21 video amplifier can be used in television and in data processing systems.
drift of 20 microvolts per degree centigrade, a current drift of 0.5 nanoamp/°C, and an operating range of -10°C to +50°C. Both units are 1.8 by 1.2 inches by 0.8 inch.
Delivery time is three weeks.
Specifications for VA 21 at 25°C
| Specification | Value |
|--------------------------------|--------------------------------------------|
| Voltage gain, open loop, d-c at 1-kohm load | 92 db min
100 db typical |
| Frequency for full output, inverting only | 8 Mhz min, 12 Mhz typical |
| Frequency for unity gain, inverting only | 80 Mhz min, 120 Mhz typical |
| Slewling rate, inverting only | 500 V/μsec min
750 V/μsec typical |
| Output | ±10 V min
±11 V typical
±20 ma |
| Input voltage | adjustable to 0 |
| Initial offset | 50 micros |
| Balance trim pot | 20 μV/°C typical
35 μV/°C max |
| Drift vs temperature | 1.0 na/24 hours |
| Drift vs time | 5 na typical
20 na max |
| Input current | 0.5 na/°C typical
1.0 na/°C max |
| Initial offset | 250 kohm min
350 kohm typical |
| Capacitance | 6 pf |
| Input noise, broadband to 10 khz | 5 μv rms typical |
| Power requirements | ±15 v |
| Voltage | ±15 ma typical
±25 ma max |
| Quiescent current | ±45 ma |
| Peak full-load current | |
Data Device Corp., 100 Tec St., Hicksville, N.Y. 11801 [349]
HP Test Oscillators...the step-savers!
Dollar for dollar, HP's 650 series of test oscillators provides the best performance in the 10 Hz to 10 MHz range—and saves you steps while doing it.
This series matches your performance requirements with the right price to give you the test oscillator that best suits your needs.
In the 650 series, you get test-quality amplitude and frequency stability. Once you have these oscillators set up you don't have to waste steps constantly checking them!
With the 652A, a X20 expanded scale lets you monitor output amplitudes to within 0.25% over the entire 10 Hz to 10 MHz frequency range. The readings on the upper-most expanded scale are in percent. This added convenience lets you get a quick reading of % deviation for frequency response of the device under test—in one easy step. (Price HP 651B, $590; HP 652A, $725)
The next big step-saver is for people who are tired of tweaking up their oscillator level every time they change frequency. The HP 654A has automatically controlled 0.5% level flatness from 10 Hz to 10 MHz. Eliminates the need to verify and adjust the oscillator output after each frequency change. You are free to concentrate on system performance instead of system input.
But that's not all, with the 654A you get pushbutton selection of 135, 150, or 600 Ω balanced outputs—or 50 or 75 Ω unbalanced. The combination of an expanded meter scale and a sensitive output level control assures you of extremely accurate output resolution. Add it all up and you have the 654A—the best general purpose test oscillator available today. (Price $875).
Anyone have a special television application? Well, that's where the step-saving HP 653A comes in. It has the inherent accuracy and ease of operation of the 654A. It also has many special built-in video capabilities for A2 type television system measurements. Too many to cover here—but if you want more information, just ask. (Price $990)
If you want to put your test oscillator dollar to the best use, and save steps at the same time—call your local HP Field Engineer or consult your HP catalog. For data sheets, write Hewlett-Packard, Palo Alto, California 94304. Europe: 1217 Meyrin-Geneva, Switzerland.
Heads: You win.
Tails: You win again.
Elco rack-and-panel connectors give you a better head start and a choice of tails.
The head start is the connecting end of an Elco connector: the patented Varicon™ contact that fully meets the requirements of MIL-E-5400. The four mating surfaces of this unique contact are coined to an exceptional hardness and wipe clean with each make. Once the contacts are joined, the inherent springiness of the gold/nickel-plated phosphor bronze and the fork-like design make a superior, gastight fit.
Because the contacts are free floating, they align perfectly. A few contacts or 100 or more, all fit precisely together every time, over a long service life. There’s no contact chatter. Nobody else gives you a contact head quite like the Varicon.
And nobody else gives you the choice of tails you get with Varicon. You can wire-wrap, crimp, clip, stake, or solder them. Whatever terminating technique or combination of techniques your assembly lines are set up for, we’ll furnish the appropriate tail. If staking or crimping is your style, we can supply the equipment too. Manual or automatic. Purchase or lease.
Elco rack-and-panel connectors come in standard rectangular models, or as miniature connectors, or in modular units. You can have them with 2 Varicon contacts, or up to 140, or anything in between.
In short, our line of Varicon rack-and-panel connectors has a lot going for it. Except price. Though it’s a precision component, the Varicon contact is easily produced in high speed progressive dies. There’s no expensive machining, no waste. When you can turn out millions of Varicons a week, you don’t have to charge a fortune for them.
There’s a lot more to be told about Varicon connectors. It’s all in our 28-page rack-and-panel connector guide, and we’ll be happy to send you a copy. Just write, wire, call, or TWX us.
Elco Corporation, Willow Grove, Pa. 19090.
(215) 659-7000.
TWX 510-665-5573.
ELCO Rack-and-Panel Connectors
Digital signals rule programmable ratio box
Either binary or bcd commands can change output-input ratio in steps of 0.0001; two multiwinding transformers do the scaling
A bit of failure is sometimes a blessing. Take the case of North Atlantic Industries Inc. and its programmable a-c ratio boxes.
North Atlantic started making them five years ago, says Jack Heaviside, the company's chief engineer. When the boxes worked, which was unusual, they worked well. "They just weren't reliable," says Heaviside. "The relays in the programing section couldn't stand up to constant use."
But three years ago, North Atlantic engineers replaced the relays with switching networks made with bipolar and field effect transistors. And with the change came reliability, according to Heaviside.
North Atlantic, however, had never put the ratio boxes on the open market. Every unit made was shipped to the Bendix Corp. But the Bendix response has been so good, says Heaviside, that North Atlantic is now offering the ratio boxes as off-the-shelf items to all takers. The first unit will bow at Wescon next month.
Called the 507, the instrument works with a 115-volt, 400-hertz input. The output-input ratio can be varied from 0.0000 to 1.0000 in steps of 0.0001 by digital commands. The commands are either binary or bcd, and they are sent to the box through a 20-pin connector.
The box uses two multiwinding transformers to scale the input signal. The transformers have 16 taps each, giving a total of 256 possible ratios. The transformers are wound on a single core, which reduces the size of the box.
The box also has a built-in oscillator that generates a reference frequency. This frequency is used to synchronize the digital commands and the output signal.
The box is designed to be used in industrial applications where precise control of the output signal is required. It can be used to control the speed of a motor, the temperature of a furnace, or the pressure in a tank.
The box is available for $1,000. It is shipped with a manual and a set of calibration cards. The box is easy to use and requires no special training. It is also very reliable and has a long life expectancy.
The box is a good choice for anyone who needs precise control of an output signal. It is a versatile and reliable device that can be used in a variety of applications.
steps of 0.0001. Either a binary or a binary-coded-decimal signal controls the ratio, and switching from one ratio to another takes no more than 20 microseconds.
Ins and outs. Inside the 507, along with the switching network, are a pair of transformers, each with 26 windings. The 507's a-c input is applied to a primary and the digital input, be it in binary or bed form, continually switches the appropriate secondary into the output circuit.
One advantage of setting up ratios with transformers instead of with some type of resistive network is better stability, says Heaviside. The 507's long-term stability is 0.01%.
Another advantage of the transformer approach, he points out, is a low output impedance—25 ohms for the 507. Thus, a designer needn't connect an amplifier to the 507's output nor make allowances for loading errors.
And transformers help at the front end, too; the 507's input impedance is high—300 kilohms.
Double role. Besides acting as a ratio box, the 507 can also work as a digital-to-analog converter. After all, changes in its a-c output directly reflect changes in its digital input. North Atlantic sees the 507 being used in both ways.
Two probable applications are as a link between a computer and analog instruments, and as a ratio box in automatic test systems, particularly aircraft checkout systems.
The 507's price is $3,000, and delivery time is eight weeks.
North Atlantic Industries Inc., Terminal Drive, Plainview, N.Y. 11803 [369]
RUB-OUT PROOF
After as many as 10 changes, KODAGRAPH ESTAR Base Films still won’t tell on you.
That’s right. KODAGRAPH ESTAR Base Films have surface toughness that stays ahead of your eraser. This rugged matte drafting surface retains its “tooth” under repeated same-area changes, and always maintains its smooth acceptance of your ink and pencil lines.
You’ll really like working with ESTAR Base Films. They’re easier to handle and correct. For example, KODAGRAPH Wash-Off Film wet-erases in seconds with a drop of water and a few swipes of your eraser. And it’s so easy to process; you can count on getting your prints back faster than ever before.
KODAGRAPH ESTAR Base Films are designed by Kodak to make you and your work look good. Next time, order them from your reproduction department or blueprinter. Your local Kodak Technical Sales Representative can show you the full line this week. Or write: Eastman Kodak Company, Business Systems Markets Division, Rochester, New York 14650.
DRAWING REPRODUCTION SYSTEMS BY KODAK
Fairchild introduces family of linear IC's
Instrumentation op amp has high-gain npn and pnp transistors on single chip; a-c trigger minimizes rfi in control applications
Linear IC's represent a segment of the integrated-circuit market that has had only a few significant product introductions in many months. Fairchild Semiconductor will end the lull by taking the wraps off 11 new linear IC's at seminars in major cities beginning Aug. 4.
One of them, an instrumentation operational amp, designated the μA725, incorporates some advanced technology and design innovations resulting in low noise, exceptionally high gain and a geometry that optimizes the circuit's temperature characteristics and transistor matching. The new line also includes the μA742 zero-crossing a-c power control circuit, the dielectrically-isolated and radiation-resistant μA744 op amp, the μA735 low-power op amp, and the μA715 high-speed op amp. The 715, which has been stocked since June, is a year late to market because it had to be sent back to the drawing board for a new solution to compensation network problems (Electronics, May 12, page 34).
The advanced technology in the 725 allows a typical open-loop voltage gain of 3,000,000, compared with the 45,000 of the typical
Low power TTL IC's DM75L (—55° to +125° C) and DM85L (0° to 70° C) are dual JK flip flops for military use. They are manufactured utilizing a monometallic interconnect system and aluminum metallization and wires. The chips are alloy mounted and standard visual inspection is per MIL-STD-883. National Semiconductor Corp., San Ysidro Way, Santa Clara, Calif. [436]
Field-effect transistor CMX740 offers an on-resistance of 2.5 ohms maximum and handles short-duration very high current pulses up to ½ amp minimum. On and off times are typically 50 and 75 nsec respectively. Unit takes 100 times more radiation than a bipolar transistor before its on-resistance is doubled. Crystalonics, A Teledyne Co., 141 Sherman St., Cambridge, Mass. [437]
Sense amplifiers TSA1150 (military) and 2150 (commercial) with flip-flop outputs convert low level differential pulses from core memories into higher level data compatible with digital logic circuitry. They incorporate a threshold circuit with a narrow window of uncertainty for the amplitude discrimination of incoming signals. Transistor Electronic Corp., Wakefield, Mass. [438]
Hybrid quad digital-analog ladder switch ATF-451 is intended for use in binary and BCD coded voltage summing ladders up to 14 bits with ¼ least significant bit accuracy. It has an on-resistance of only 4 ± 1 ohm from —25° to +85° C and offset voltage of 10 mV max. It measures 0.550 x 0.550 x 0.160 in. Price is $9 each. Amperex Electronic Corp., Cranston, R.I. [439]
Planar passivated silicon diode MAA-A200 utilizes two Schottky barriers and a p/n junction. It has the high breakdown voltage (greater than 25 v) and operating temperature characteristics of silicon, combined with the low turn-on voltage of germanium and the ultrafast speed of a Schottky barrier device. Microwave Associates Inc., 999 E. Arques Ave., Sunnyvale, Calif. [440]
Power transistors SDT6100 come in a TO-5 case. They have switching time less than 60 nsec and rise time less than 10 nsec. Vceo is 40 v. Beta at 2 amps is 20 to 60. Maximum collector current is 5 amps. Units feature planar construction and are typically fT = 500 Mhz. They are available from the factory. Solitron Devices Inc., 1177 Blue Heron Blvd., Riviera Beach, Fla. [441]
Complementary silicon power tab transistors D40D (npn) and D41D (pnp) are encapsulated with brown and black silicone, respectively, for easy identification. Both offer collector saturation voltages of 0.5 v typical at 1 amp. Units are for output stages of medium power stereo amplifiers, and drivers for higher power amplifiers. General Electric Co., Syracuse, N.Y. [442]
Plastic silicon diode called Vidiode is 1/15 the size of conventional damper tubes used in tv horizontal sweep circuits, yet is capable of rectifying 5,000 v a-c at frequencies up to 15,000 hz and delivering an average forward rectified current of 300 ma. Advantages include increased picture size and improved brightness. Scientific Components Inc., 350 Hurst St., Linden, N.J. [443]
We're available
Get up to 1000 units of 2N3773 and 2N3054 transistors in less than two weeks. Now from Westinghouse.
What's more, we'll also give you fast service on larger orders. However many it takes to fill your total requirements. Our 2N3773, 2, 1 (TO3) is a family of 30-amp diffused transistors for high power switching and amplifying applications. They offer a wide selection of voltage and gain. Our 2N3054 (TO66) is a 4-amp device used to drive our 2N3773, or as the output stage in low-to-medium power applications.
For complete data—and a large ready supply—of any and all of these transistors, contact your local Westinghouse Sales Office or Westinghouse Semiconductor Division, Youngwood, Pa. 16897. You can be sure...if it's Westinghouse.
Do you know what regulation to expect from your brute force regulator design?
Figure it with ease using your free nomograph from Semcor.
This is the first of a series of application nomographs to be offered by Semcor in the coming months to help you solve your design problems quicker and easier. Circle our number and we'll send yours today.
Isolated. The 725's 4 input transistors, at top, are remote from output.
μA709. Mike Markkula, linear IC marketing manager, says many in the semiconductor industry have maintained that an open-loop gain of even one million couldn't be achieved on a single monolithic chip.
In addition, the input noise current of 0.6 picoampere is far better than the 709's typical 10 picoamps. The circuit is designed for use in temperature controllers, transducer amplifiers, and control systems for precision displays, among other applications. Therefore system noise is a big factor because users will be seeking precision gain from a low-level signal. Thus the 725's typical common-mode rejection of 120 decibels vs. the 709's typical figure of 90 db will be an important consideration.
Symmetrical. The rectangular chip measures about 100 by 50 mils, with the four input transistors on the opposite end from the output transistors, but with both these stages on the center line of the device. Markkula says the significance of the design is that it gets around the temperature problems of a linear circuit that has an output stage asymmetrically laid out in relation to the input stage. In such a device, the temperature
BIG PRINT-OUT CAPACITIES COME IN SMALL MDS PACKAGES
MDS 2200 and 3200 Digital Strip Printers are high-speed, parallel entry recorders that give you a choice of 22 or 32 print columns... speeds to 40 lps... print drums with a variety of character choices... and numeric or alphanumeric print-out.
The MDS 3200 series features a two-chassis package. Printer mechanism in one unit, electronics in a separate unit, for local or remote operation of the printer.
On both models, paper loading and inspection are quick and easy... the printer mechanism slides out of the cabinet on glide rails.
Ask for: Complete specifications and information available in MDS folder-file.
FOR MORE—MEET YOUR MAN FROM MDS
MOHAWK DATA SCIENCES CORPORATION
OEM MARKETING
P.O. Box 630, Palisade St., Herkimer, N.Y. 13350
Telephone 315/866-6800
Every MDS Office is an OEM Marketing Office
Digital Strip Printers • Buffered Tape Units
High-Speed and Low-Speed Line Printers
Card Punches and Readers
Circle 191 on reader service card
Small Wonder!
But you don't have to wonder why the Deutsch RSM is the most-wanted of all sub-miniature push-pull connectors. No other unit handles more wires in less space. Or treats them so gently while still maintaining excellent electrical engagement. Push-pull, quick-disconnect coupling. And—quick delivery! Call your local Deutschman for more details. This "small wonder" is another component of ITS...the Deutsch Integrated Termination System.
DEUTSCH ELECTRONIC COMPONENTS DIVISION
Municipal Airport • Banning, California 92220 • Telephone: Area Code 714 • 849-6701
COPYRIGHT, 1969 DEUTSCH ELECTRONIC COMPONENTS DIVISION
Not when we have more than 80,000 non-American readers.
Or you can point the finger at our international advertisers. They consistently place more advertising in ELECTRONICS than in any other worldwide electronics publication.
And we can point (with pride) to our editorial staff in 64 different countries. They're responsible for our ELECTRONICS INTERNATIONAL section. It's a new identity for an increasingly monolithic market.
ELECTRONICS INTERNATIONAL gives advertisers the opportunity to pinpoint this market with fractional as well as full pages. Subscribers are prime prospects for worldwide advertisers in every segment of the market.
Proof of ELECTRONICS' importance to non-American readers can be found in their loyalty (more than 88% read 3 out of every 4 issues).
If you're in the international electronics market, ELECTRONICS INTERNATIONAL wants YOU!
In control. The 742 is designed for industrial and consumer jobs.
gradients across the chip as power is supplied to the load tend to affect the input stage unevenly, affecting input offset voltage negatively.
By cross-coupling the 725's input transistors, laying them out in quadrature about the central point of the input stage, and putting them as far away from the output stage as possible, Fairchild engineers believe they've cancelled out temperature-gradient effects. Input offset voltage is typically 0.5 millivolt vs. about 2 millivolts for last year's best mil-spec op amps, according to Markkula.
Linear designers were formerly faced with the problem of not being able to build high-gain npn and pnp transistors on the same chip; Fairchild's Mike Scott, assistant marketing manager, says the firm has been able to put both types into the 725, with npn's in the input stage and pnp's in the second stage. The secret: using silicon nitride passivation and increasing bulk lifetimes of both kinds of transistors. Nitride, he says, cuts down on the recombination problem and leads to better current gain in the transistors. This is the first time Fairchild engineers have disclosed they're using nitride in linear IC's.
The 725, in a TO-5 can, will sell for $37.50 in quantities of 100 or more. Markkula says companies making op amp modules sell the same kind of component for $150 to $250. Input voltage range is ±14 volts. Power supply range is ±3 volts to ±22 volts. Input voltage drift is 0.5 microvolt.
Power control. Turning to the 742, Markkula says there's long been a need for monolithic IC's to control a-c power, which has been
NELSON® end-welded studs are state-of-the-art fasteners for light gauge panels and enclosures. They're installed faster, simpler and at lower in-place cost than any device requiring holes. No drilling, staking, throughbolting, sealing. Locate studs wherever the best design dictates—on steel as thin as .016", .040" for aluminum.
In the example shown, Nelson studs replaced throughbolting and adhesive bonding, returning 105% on the investment in the first year.
Standard stud welders operate at a production rate of 8 welds per minute. Custom engineered, automatic systems can produce up to 45 fastenings per minute. Standard studs, to ¼" diameter, are available from stock.
Get complete design data and specifications in this new brochure.
NELSON STUD WELDING CO.
A United-Carr Div. of TRW Inc., Lorain, Ohio 44055
CANADA Ontario · WEST GERMANY PECO Bolzenschweiss, Gevelsberg, Westphalia
BEST OF TWO WORLDS!
Deutsch 460 series connectors combine the best of two worlds. They offer a low-cost Tri-Kam, bayonet-lock coupling, designed to MIL-C-26482, plus the high-reliability of silicone inserts constructed to NAS 1599. Positive lock ... rear release! You get them both when you plan your designs with Deutsch 460 series connectors. The 460 family is completely compatible with all the Deutsch components that comprise the Deutsch Integrated Termination System (ITS). The 460 series is adaptable to standard MS accessory hardware and is intermateable and interchangeable with existing MIL-C-26482 bayonet locking connectors. Write for your 460 Data File or contact your local Deutschman.
DEUTSCH ELECTRONIC COMPONENTS DIVISION
Municipal Airport · Banning, California 92220 · Telephone: Area Code 714 · 849-6701
COPYRIGHT, 1969 DEUTSCH ELECTRONIC COMPONENTS DIVISION
Tantalum Foil
3 ways better than solid in non-polar applications
Design is the big difference between General Electric's Type 29F non-polar tantalum foil capacitor and an equivalent solid tantalum capacitor. A design that's specifically for non-polar applications.
GE Type 29F non-polar tantalum foil is about half the case size of an equivalent solid, yet accepts voltage and current variations in either direction. And from one small, single roll that in no way impairs the inherent reliability characteristics of tantalum foil. (Totally unlike its bulky solid counterpart that requires two slugs connected back-to-back and, in most cases, within a single case.)
The difference doesn't end with just size and reliability. Consider microfarads. GE tantalum foil delivers 50 percent more microfarads per case size, in practically all cases, when compared with solid tantalum.
So for your next non-polar application, contact your General Electric Sales Representative and ask to see the Type 29F tantalum foil capacitor. It could make a big difference. In size. In reliability. In microfarads.
Electronic Capacitor and Battery Dept., Irmo, S.C. 430-36
GENERAL ELECTRIC
done with black boxes, relays and silicon controlled rectifiers. The 742 a-c trigger or trigac is the first linear IC that incorporates the zero-crossing feature, rather than phase control, to fire an SCR or triac with a minimum of radio-frequency interference. That's important when the thyristor it's controlling starts up a motor in a range of applications from diffusion furnaces to washing machines. The device is being used at Fairchild itself to control power to the heating element in diffusion furnaces.
A synchronization signal from the load, fed back to the 742 when the load current is at zero, is sensed by a zero-crossing detector and triggers the thyristor when rfi will be at a minimum. The 742 has a peak output of 2 amperes, which Markkula says is enough to control an SCR that, in turn, controls one megawatt. The device runs in voltages—d-c supply or a-c line—from 28 volts up. Price is $4.95 in lots of 100, with dual in-line package.
**Isolation.** Because of the sensitivity of the applications, particularly military systems, for which the dielectrically-isolated 744 op amp is designed, Fairchild spokesmen don't discuss critical specifications. They say that its electrical characteristics are somewhere between those of the 709 and 741. The circuit also features absence of "latch-up" and provides short-circuit protection. The 744's thin-film silicon-chromium resistors have better stability with time and temperature than do most radiation-resistant 709 op amps that use nichrome resistors, says Scott. The 735, a micropower op amp, dissipates about 90 microwatts, far less than the 741's 50 milliwatts, which has been the best typical level in the industry to date.
Rounding out the line are a low-cost color TV demodulator, the $\mu$A746; a dual 741, designated the $\mu$A747; a 741 without internal compensation, designated the $\mu$A748; a dual-channel sense amplifier for core memories, called a $\mu$A731; a dual general-purpose a-c amplifier, called $\mu$A745; and a dual op amp with specs similar to the 709 except that its 5-megahertz bandwidth is better than the 709's 1 MHz, and so is its speed.
Fairchild Semiconductor, 464 Ellis St., Mountain View, Calif. 94040 [444]
New microwave
Signal generator comes under digital control
L- and S-band instrument is designed for automatic testing of communications receivers; accuracy is put at ±0.002%
Signal generators, despite their usefulness for testing and calibration, are usually found lacking when used on the production line. Time is at a premium and calibration isn't always as accurate as it should be. Errors are the result.
To eliminate this source of error, the Kay Electric Co. has introduced the model 1522 L- and S-band telemetry f-m signal generator whose output frequency is digitally controlled. Moreover, both the output signal level and IRIG (interrange instrumentation group) channel selection can be controlled remotely. According to Arnold Seipel, design engineer at Kay, the 1522 will become part of computer-controlled testers.
Output frequency is programmable in 100-kilohertz steps from 1,400.0 to 1,599.9 megahertz for L band and from 2,200.0 to 2,299.9 MHz for S band. Control is achieved with a three-decade binary-coded-decimal logic signal or by contact closure. Output level is 0 dbm—or 1 milliwatt—and attenuation is provided in 1-decibel steps down to —120 dbm. Programming is by contact closure. Continuously variable attenuation from...
The monolithic construction of the new AlSiPak® package gives rugged RELIABILITY. It eliminates problems of hermeticity and has greatly improved strength. It has superior thermal conductivity because there is no glass in this package.
The leads are brazed to the metallized ceramic on the bottom which allows maximum chip cavity and bonding room. The number one lead and every fifth lead are identified inside the cavity for your convenience. Within limits, the standoff height can be tailored to meet special needs. The same basic lead frame is used on all packages. AlSiPak packages are dimensionally accurate and uniform with an index hole and slot for your automated handling. All packages having the same lead row spacing use the same lid. Solder preform tooling and metal lid tooling are available for each package.
Standard designs have the seal ring and chip pad grounded to No. 1 lead. For a slight extra charge you can have seal ring and/or chip pad connected to any other specified lead(s). Electrical flexibility is provided by a disconnect notch which can electrically isolate both the seal ring and chip pad.
The standard AlSiPak packages shown here have been in production for a number of months. They have been developed through many prototype production steps. We are indebted to engineering and production men in leading electronic firms for their collaboration and excellent recommendations. Other sizes and styles are in development and will be standard when demand and developments indicate.
We are now in volume production and can discuss realistic deliveries. Tell us what you need and we can work out firm schedules.
0 to 3 db is also provided. IRIG channel selection is programmed with contact closure.
**Stability.** Besides the 1522's programming capability says Seipel, the signal generator has a very stable carrier frequency. Accuracy is ±0.002% after a half-hour warm-up. Stability, which includes drift and incidental frequency modulation, is ±2 kHz peak for one minute, ±5 kHz peak for 10 minutes, and ±15 kHz for one hour. Residual frequency modulation is said to be 1.5 kHz on L band and 2.0 kHz on S band.
To achieve this level of accuracy, phase-lock techniques are employed. A 1-MHz crystal oscillator is used as a reference. This frequency is divided down to either 2.5 kHz for L band or 1.666 kHz for S band, and fed to a phase comparator. The phase comparator drives a differential amplifier, which controls a 300-to-350-MHz voltage-controlled oscillator (vco). The vco's output is mixed with a 50-MHz frequency-modulated signal, and the sum is selected and multiplied by either a factor of 4 for L band or a factor of 6 for S band. The result is the output signal.
In the control loop, the vco output is also mixed with a 275- or 300-MHz signal from another crystal oscillator. Here, the difference signal is divided by 10 and fed to a digital control circuit, the output of which is fed back to the phase comparator to close the loop. The digital control circuit allows the 100-kHz step control of the output frequency.
Specifications for the 1522 include 1.5-db peak-to-peak leveling across each band, and 50-ohm output impedance into a type N connector. Spurious signal output is 50 dB below the calibrated output level, harmonic outputs are 20 dB below calibrated output, and peak f-m deviation is ±3 MHz. Internal modulation inputs are provided for IRIG channels 1 through 21; frequency accuracy is ±2%, and harmonic distortion is less than 0.5%.
External f-m input impedance is 1,000 ohms shunted by 45 picofarads.
Delivery time is from six to eight weeks; price is $4,900.
Kay Electric Co., Maple Ave., Pine Brook, N.J. 07058 [409]
...time to go DIGITEC
with the smallest, low cost, all solid state digital panel meter
- Size: 2 1/16" x 4 1/2" x 7 7/8"
- Accuracy 0.1%
- D.C. Ranges from 230MV and 20 µA
- Non-blinking display
- High Input Z 100MΩ
- 100 µV/ digit resolution
- Fast sample rate
- Completely self-contained
- Reading retention
- B.C.D. option
$195 QTY. 1-9
$129 QTY. 100
by UNITED SYSTEMS CORPORATION
Representatives Throughout the World
918 Woodley Road • Dayton, Ohio 45403 • (513) 254-6251
Circle 199 on reader service card
KNOBS
Write today for FREE Full color Control Knob Catalog.
Rogan BROTHERS INC
8031 N. Monticello Ave.
Skokie, Illinois 60076
312/675-1234
Outline your requirements for quotation and FREE knob sample
NEW NL-950 READOUT TUBE
Replaces: B-5750 B-5855 B-5859
• made in Geneva, Illinois U.S.A.
• request bulletin
NATIONAL ELECTRONICS, INC.
a varian subsidiary
PHONE: (312) 232-4300 • GENEVA, ILLINOIS 60134
Circle 200 on reader service card
Circle 198 on reader service card
Is the 901 counter-timer just too good to be true?
NO!
But we can't blame you if you think so.
Picture a state-of-the-art, 200-MHz, universal counter-timer selling for $250 to $1000 below the competition. Having trouble? Picture won't focus? Of course not. Cheap price tags usually mean cheap products.
Focus in again. This time, picture technological breakthroughs—new circuitry and new components that the competition hasn't caught up with yet. Now, see how easy it is to make a better product and sell it for less, too?
How much better is the CMC 901? Take a look. Range: 200 MHz (instead of 125 or 135) without prescaling or plug-ins. Gate times: 1μsec to 100 sec instead of to just 10 sec. TIM: built-in, with a resolution of 10 nsec instead of 100. Input sensitivity: 20 mV instead of the usual 50 or 100. Readout: 9 decades not just 8.
But specs aren't everything. How about the Model 901's "universality"? Besides counting to 200 MHz directly (and 1.3 GHz or 3.3 GHz with optional plug-ins) the 901 also scales signals, measures time interval, period, and multiple-period average. It provides frequency and multiple-frequency ratios as well as total count; and, as an optional extra, it can be operated completely by remote control. The basic price tag? Just $2475. So we can't blame you if you're skeptical, but would you be happy if you bought a lesser model and paid more?
For the full facts, circle the reader service card.
COMPUTER MEASUREMENTS COMPANY
12970 Bradley/San Fernando, Calif. 91342/(213) 367-2161/TWX 910-496-1487
A weight-and-see approach to stress testing
Weights enable mechanical vibrator to produce sinusoidal motions while applying up to 7 g's of force; vibration frequency is 50 hz
For stress testing of electronic gear, nothing beats the mechanical shaker table for low cost. The trouble with these shakers however, is that neither the predictability nor the repeatability are sufficient for precise measurements. One answer has been to use electronically-controlled vibrators, which require specially trained operators. But this is a costly approach.
Engineers at the Ogden Technology Laboratories, however, have come up with another—and less expensive—answer. The Monterey Park, Calif., company is offering a mechanical complex-wave vibration machine that gives sinusoidal motions—but costs only $2,600. It can test-shake electronic assemblies at up to 2,000 hertz and can apply forces variable from 2 to 7 g's.
The vibrator, which Ogden calls the Rotocon RC-4-50/2000, can be used on production lines for subassembly or final assembly stress testing. Once the vibrator is adjusted, an on-off switch and a timer are the only controls an operator need touch.
A series of 9-pound cylindrical steel weights are encased in three-sided steel enclosures attached to...
Time $haring Economy
Model 200
General Business Calculator
Half-cent round off, +, -, x, ÷, reciprocals, percentages,
chain multiplication, weighted averages, square root, exponentiation,
etc. Four independent adders, a product register, large readout
display and automatic floating decimal point.
$860.00 per station*
Model 210
Statistical Calculator
All features and functions of the Model 200 plus √x and x²
by single keystroke for ∑x, ∑x²,
∑x², ∑y², ∑(x+y), ∑ x • y,
∑ √x, and ∑ 1/x
$970.00 per station*
Model 320
General Purpose Calculator
All the features and functions of the 210 (except half-cent
round off) plus Log₁₀x and eˣ by single keystroke for more ad-
vanced statistical, scientific and engineering calculations.
$1282.50 per station*
Model 360
Extra Storage Calculator
All the features and functions of the Model 320 plus four extra
data storage registers for complex calculations without re-
entry of intermediate results.
$1497.50 per station*
*Four keyboards operating simultaneously from a single electronic package
...exclusively with Wang electronic calculators
You'll get more for your money when you need more than one calculator. Wang's unique multiple-keyboard concept lets up to four operators utilize the electronic speed of its "brain" simultaneously like large time-shared computers. The briefcase-size "brain" can be located anywhere up to 200 feet from the compact keyboards. Choose any of the models above when you want economy without sacrificing performance. JUST ANNOUNCED! Model 301 Column Printer; plugs into any of the models above to validate input and permanently record output.
Dept. 7H, 836 North St., Tewksbury, Massachusetts 01876 • Tel. 617 851-7311
Call today!
(201) 272-7160 (301) 588-3711 (314) 727-0256 (512) 454-4324 (615) 266-5055 (714) 234-5651
(203) 838-1000 (303) 442-1112 (315) 463-9770 (513) 531-2729 (615) 889-1408 (715) 236-4740
(205) 881-5360 (303) 364-7361 (304) 833-6327 (516) 437-2500 (616) 454-4212 (805) 962-6112
(206) 525-2000 (304) 344-9431 (412) 366-1906 (517) 835-7300 (617) 851-7311 (808) 536-5359
(212) 772-5921 (305) 841-3650 (414) 442-0160 (518) 465-1100 (618) 444-1680 (809) 222-8180
(213) 642-4321 (312) 297-4323 (504) 729-6858 (612) 881-5324 (703) 359-6320 (817) 834-1433
(216) 333-6611 (313) 352-2144 (505) 255-5775 (614) 488-9753 (713) 666-2451 (919) 272-5683
All shook up. Vibrator offers low-cost answer to simulating known stresses on the production line.
Adjustable. As long as the components under test, together with their mounting brackets, equal 120 pounds, the vibrations are predictable. Weights can be added to raise the test weight of light equipment and assemblies to the 120-pound level.
Adjustment of frequency and g forces is provided by altering the rotation of the spinning weights and the throw of the encapsulated weights.
According to Ogden engineers, encapsulated weights need checking only about once every three months, thus affording a high level of test repeatability. When adjustment is needed, the job can be done with an accelerometer, band-pass filter and rms voltmeter.
Sound-muffling enclosures, which limit noise to 75 decibels, are optional. Delivery time is up to six weeks.
Ogden Technology Laboratories, 573 Monterey Pass Rd, Monterey Park, Calif. [429]
evening classes won't fit your schedule?
here's a practical way to keep up with new developments
Are irregular hours, travel and family obligations keeping you from attending classes—even though you worry about becoming technically obsolescent? Check into the Special Programs in Electronics for Engineers developed by CREI, the Home Study Division of the McGraw-Hill Book Company.
These are not simply courses, but comprehensive programs in advanced electronics offering major electives in such fields as:
Communications Engineering, Aeronautical and Navigational, Television Engineering, Automatic Control Engineering, Missile and Spacecraft Guidance, Radar and Sonar Engineering, Nuclear Instrumentation and Control, Computers.
Industry-recognized CREI Programs make it possible for you to catch up on new developments in electronics through study in your own home, at your own pace, your own schedule. Free book gives complete information and details of technical material covered. For your copy, mail coupon below or write: CREI, Home Study Division, McGraw-Hill Book Company, Dept. 1870H, 3224 Sixteenth St. N.W., Washington, D.C. 20010.
CREI, Home Study Division, McGraw-Hill Book Company
Dept 1870H 3224 Sixteenth St., N.W.
Washington, D.C. 20010
Send me free brochure describing CREI Programs in Electronics for Engineers.
NAME________________________________________AGE________
ADDRESS_______________________________________
CITY________________________STATE____________ZIP CODE_____
COMPANY______________________________________
TITLE__________________________________________
Thick-film voltage regulators given muscle
Capable of tighter output voltage tolerances than monolithic IC units, one hybrid version handles 120 volts and another handles 59 volts
In the race between monolithic IC's and hybrid thick-film circuits for high-power honors in voltage regulators, the monolithics have had the lead—the highest-rated units, are capable of handling as much as 45 volts. Now, Beckman Instruments Inc.'s Helipot division has pushed the hybrids ahead with two voltage regulators. Model 807 handles from 30 to 59 volts and model 808, from 60 to 120 volts. Both are rated at 0-to-150-milliamperes load current.
John Cole, a Beckman project engineer, says two monolithic regulators, in series, can be run at 60 volts. But, he points out, the operating characteristics of both devices are degraded, and the operation of the dual circuit is governed by the specifications of one or the other integrated circuit.
Beckman engineers cite as a big advantage in their hybrid regulator the capability of adjusting for tolerances. This can't be said of monolithic regulators, says Lyle Pitroff, sales engineer at Beckman. According to Pitroff, the zener diode reference in monolithic regulators usually has a tolerance of about 5 percent. And he points out, be-
Linear positive follower amplifier and current booster model 9510 provides the user with true 100 Mhz bandwidth. It can be used with virtually any operational amplifier to increase the output driving capability without upsetting the stability of the op amp. Minimum slewing rate is ±2,000 v/μsec. Single units cost $56. Optical Electronics Inc., P.O. Box 11140, Tucson 85706 [381]
Constant current a-c supply model 250S-CC provides 250 v-a output with full power current ranges of 0.6, 10, 50, and 200 amps. Current is adjustable from zero to maximum within any range and is regulated to better than 0.5%. Variable frequency ranges are from 10hz to 10 khz. Industrial Test Equipment Co., 20 Beechwood Ave., Port Washington, N.Y. [382]
Infrared detectors series J-10 operate at liquid nitrogen temperature and cover the wavelength range from the visible through 5½ microns. The photosensitive element is of single crystal indium antimonide. Sensitivities are available to 20 x 10¹⁰ cm/w at 5 microns with time constants of less than 2 μsec. Judson Research and Mfg. Co., Conshohocken, Pa. 19428 [383]
Solid state synchro to linear d-c converter model 1637 can replace gear trim servos in dozens of applications at a 90% savings in price and size. Operating temperature is —55° to +85° C. Temperature stability is 0.8 minutes/° C. The converter is 2.6 cu in. and sells for under $100 in lots of 1,000. Transmagnetics Inc., 134-25 Northern Blvd., Flushing, N.Y. [384]
Wideband analog multiplier model 105 has 10 Mhz -3 db bandwidth and a 250 v/μsec slew rate. It is capable of a full power response of 20 v peak-to-peak out to 4 Mhz. Accuracy is specified to be 1% for 4 quadrant operation. Unit is short circuit protected and suited for p-c mounting. Hybrid Systems Corp., 95 Terrace Hall Ave., Burlington, Mass. [385]
Servo amplifier 972A needs no external components, yet drives a 9-w, 400-hz servo motor. Size is 1 x ¾ x ¾ in. Transfer gain is X500, input impedance 20 kilohms, and required B+ only +28 v, d-c unregulated. Heat sinking is through the base. The circuit is overload protected and rfi quiet. Price is $110 in lots of 1,000. Industrial Control Co., Farmingdale, N.Y. [386]
Multiplier model M410 can be used for multiplying, dividing, squaring or square rooting. Bandwidth is d-c to 600 khz, 100 khz full output. Accuracy is better than 1% with external adjustments. High temperature stability is 0.03%/° C. The unit measures 1.5 x 1.5 x 5 in. Price in lots of 100 is $46; delivery from stock. Intronics Inc., 57 Chapel St., Newton, Mass. [387]
Voltage tuned solid state oscillator OS8128A maintains linearity of ±1 Mhz from the best straight line over a frequency range of 460 to 560 Mhz with power output of 10 mw minimum. Frequency stability is held to ±1 Mhz from —30° to +85° C. Tuning voltage is ±8 v d-c at 5 ma max. Omni Spectra Inc., 253 S. Hinton Ave., Scottsdale, Ariz. [388]
Signalite Sets The Pace In Gas Discharge Tubes and Glow Lamps
Signalite started supplying neon glow lamps as an indicator device almost two decades ago. Since then Signalite developed the neon lamp into a circuit component that has solved problems in areas from voltage regulation to photocell drivers...from SCR triggering to unregulated power supplies.
Today, Signalite is a leading source for Neon Glow Lamps as indicators and circuit components.
Today, Signalite is a leading source for spark gaps designed to transfer energies and act as voltage sensitive switches.
Today, Signalite is a leading source for noise tubes and miniature noise sources for noise figure test equipment and monitoring system receiver sensitivities.
Only Signalite offers you this in-depth experience, capability, facility and technology in gas discharge devices and glow lamps...backed by an R&D program to explore new markets and devices.
Signalite Application Engineers are available to you. Share your design problems with them. They'll choose the right product for your application or design custom units to meet unique requirements.
Yours For The Asking...brochures on neon lamps, spark gaps, noise sources. Application Newsletter on technique and application of these products.
Signalite Incorporated
1933 Heck Avenue
Neptune, New Jersey 07753
cause the IC's resistors are either diffused or pinch resistors, they can't be trimmed once the device is made.
"We have the same 5 percent tolerance in the zener reference," Pitroff says, "but we can easily adjust for it by trimming the final resistor after the semiconductor devices are attached to the substrate." This results in an output voltage tolerance of 1 percent.
Except for the voltage rating, both the 807 and the 808 have identical specifications. Both regulators achieve up to 4 watts at 25°C case temperature and 1.6 watts in free air at 25°C.
**Sample and compare.** A triple Darlington circuit having a high current gain is used in both devices. The circuit's input current is the difference between the constant current from a current source and an amplifier output current. The current source operates between an unregulated input voltage source and a common line to produce an initial regulated constant current that is essentially independent of variations in the input voltage. A transconductance amplifier samples part of the output voltage, which is determined by an output divider, and compares it with a precision reference voltage to determine the amplifier output current. When the output voltage is greater than the reference voltage, the amplifier output current increases.
A single transistor operates as a current-limiting amplifier, which is controlled by an external resistor network. Pitroff says the regulators are literally short-circuit proof. Although the output voltage is predetermined, it isn't permanently tied to the output terminal. The user, says Pitroff, can add pass transistors to increase the output current capability without altering the output voltage.
The models 807 and 808 have an output voltage stability of ±0.5 percent and an output voltage temperature coefficient of ±0.015 percent per degree C. Input voltage is a minimum of 6 volts above the output voltage, and the maximum is 150 volts. Both models are priced at $35 each in quantities under 10.
Helipot division, Beckman Instrument Inc., 2500 Harbor Blvd., Fullerton, Calif. 92634 [389]
PHOTOSENSORS AND LEDs FROM ENL
SILICON PHOTODIODES
Types 663, 671
- Large-area 5 and 10 mm diameter detectors
- High sensitivity, low capacitance, fast response
- Guard-ring structure assures low leakage current and low noise
- 10 ns response time, .3 to 1.1 micron sensitivity
- Suited for 1.06 μ radiation detection
- Hermetically sealed packages. Also available in monolithic four quadrant arrays.
Type 622 (3.0 ns response time)
- Totally depleted PiN structure
- Response time, 3.0 ns; sensitivity, 0.5 amp/watt
- High reverse breakdown voltage allows high optical background operation
- Available in 1 mm diameter or 1.7 mm square sensitive area
- Packaged in TO-46 housing with flat window
Detector-Op Amp (Model 682)
- Low-noise silicon detector with hybrid operational amp in TO-5 package
- Sensitive area 2 mm x 2 mm
- Typical peak response 2.5 x 10^4 volts/watt with 400 KHz bandwidth
- Unit price $50 each
Special Photodiode Products
- Enhanced blue response photodiodes with greater than 90% quantum efficiency at 4000A
- High density mosaic photodiodes with active area arranged in binary form
- Staggered 2-line arrays with 0.003 x 0.003 inch areas, 0.006 inch center-to-center, completely integrated with operational amplifiers
PHOTOTRANSISTORS
The industry's most complete phototransistor line designed to economically and flexibly fill most industrial and commercial optoelectronic sensing applications from single units to high density uses. Models 916L and W offer maximum sensitivity in hermetically sealed can with lens.
Molded epoxy encapsulated units give lowest cost for high volume applications.
Flat window units with wide field of view accommodate fiber optics interfacing. All devices are silicon, npn, planar, high gain phototransistors.
Applications in industrial control, intrusion detection, punched card or tape readers, position sensors, industrial counting, photo choppers, and shaft encoders.
VISIBLE AND INFRARED LIGHT EMITTING DIODES (LEDs)
Low Cost GaAs
- Designed to complement the high density application phototransistor line
- Available in packages as illustrated
- 0.9 micron emission matches peak silicon response
- Package selection provides highly directional or divergent output beams
- Also available for military or space applications
GaP
- Designed to emit in the green region of visible spectrum (5600Å) coinciding with peak response wavelength of the human eye
- Desirable for visual display and optical film writing
- Packaged in glass diode (DO-7) or molded epoxy lens (TO-18)
Optically Coupled Isolators (Model 3N 903)
- Specially combined high gain phototransistor and GaAs LED
- Provides signal transfer where electrical isolation is necessary
- Current transfer ratio typically greater than 1.0 due to high sensitivity and efficient optical coupling
- Packaged in single-ended 4-lead TO-18 housing
Complete product literature and price information on request.
Also available, long wavelength detectors: Ge, InAs, InSb to provide response to 7μ.
ELECTRO-NUCLEAR LABORATORIES, INC.
115 Independence Drive, Menlo Park, Calif. 94025 • Phone (415) 322-8451
Regulated DC Power Supplies—from stock!
PRICES START AT UNDER $50.
Single and dual output voltages up to 6 watts.
Wide range and slot voltage models.
Solder header and plug-in styles.
New Rosemount Plug-In dual voltage models are available with up to 175 MA DC output rating. Ideal for integrated circuits and operational amplifiers.
Our new wide range (10 volt adjustable) DC power supplies can serve multiple uses without sacrificing performance.
Further, ripple specifications have been improved on many slot voltage styles, and the output current rating of the silicon transistorized laboratory power supply has been increased to 500 MA.
All outputs are floating, individually adjustable, and have short circuit and reverse current protection.
FOR ORDERING INFORMATION,
REQUEST CATALOG 50000B, JUST OFF THE PRESS.
ROSEMOUNT
PLUG-IN, INC.
(615) 244-1330
Deltron Inc., Wissahickon Ave. North Wales, Pa. 19454 [390]
The Much-Better Multiplexer
There's only one multiplexer that can boost millivolt-level signals to 10-volt levels at switching rates to 20 kHz—with 120 dB common mode rejection and cross-talk below 100 dB.
It's the Hewlett-Packard 2930A Low-Level Multiplexer, featuring MOS FET switches and a fast-recovery amplifier that settles in 40 microseconds. Channel gain can be programmed in 11 binary steps from 10 mV to 10 V. For noise rejection or bandwidth limiting, there's a choice of nine plug-in second and third order presampling filters.
And interfacing with any A-to-D converter and 16-bit or 12-bit computer is straightforward through one of five plug-in interface cards.
Channel capacity is plug-in expandable from 8 to 64 channels in the mainframe; several multiplexers can be controlled through one computer I/O channel. Ask your HP field engineer about other advantages of the HP 2930A Low-Level Multiplexer. Or write Hewlett-Packard, Palo Alto, California 94304; Europe: 1217 Meyrin-Geneva, Switzerland.
New Books
Network coverage
Introductory Topological Analysis of Electrical Networks
Shu-Park Chan
Holt, Rinehart and Winston Inc.,
482 pp., $15.95.
If there is a single book that effectively covers the topic of topological analysis, then this could be it. Essentially a compilation of the author's lecture notes, the book nevertheless provides a basic introduction to the subject. Moreover, the author wisely included some of the significant new results in topological analysis of active networks, and flow-graph applications to linear systems.
Matrix theory appears throughout the book because the author believes that today's engineer will use a digital computer for solving his problems—and matrix theory is required. Circuit theory and control systems are stressed as the two major applications of topology.
Unless the reader has had a course in matrix algebra and linear transforms, he will have to consult the appendix, which contains discussions of determinants, matrixes, and linear equations, together with their proofs. The appendix can also serve as a handy "refresher."
The first three chapters constitute an introduction to the theory of linear graphs. Beside basic definitions, these chapters describe theorems, network matrixes, and duality. Chapter 4 deals with the matrix formulation of network relationships through loops, nodes, and state equations.
In the remaining chapters, the author describes topology for passive networks both with and without mutual inductance. Switching theory and single-contact networks are also discussed. A brief introduction to topological synthesis is also offered.
Recently Published
Technological Forecasting and Long-Range Planning, Robert U. Ayres, McGraw-Hill Book Co., 237 pp., $12.50
A discussion of procedures used by forecasters in the electronics, missile aerospace and nuclear fields. Examples of both good and bad forecasting are given. Methods covered include morphological analysis, extrapolation of trends, and heuristic and intuitive forecasts.
Antenna Theory, Robert E. Collins and Francis J. Zucker, McGraw-Hill Book Co., 666 pp., $24.50
The first of a two-volume text, this book is a compendium of chapters from 19 authorities in the field. It is written as a graduate-level text with exercises and sample problems, but would also be useful for working engineers. Subjects covered include uniformly spaced arrays, linear antennas, conical and spheroidal structures, slot antennas, and open waveguides.
Random Processes, Communications and Radar, William M. Brown and Carmen J. Palermo, McGraw-Hill Book Co., 325 pp., $15.50
Covering such topics as optimum filtering, detection theory, and information theory, this book centers on the problem of determining performance limitations of communications and radar systems. Applications and practical results are also discussed.
Introduction to Numerical Control in Manufacturing, Raymond E. Howe, American Society of Tool and Manufacturing Engineers, 170 pp., $8.85
A primer on numerical control, the book discusses the evolution of the field's technology, elements and systems, and applications to metal-cutting and other machines. It is the first in a series of books on N/C planned by ASTME.
Physics of Semiconductor Devices, S.M. Sze, John Wiley & Sons, 787 pp., $19.95
Intended for first-year graduate students in electrical engineering and applied physics, and for solid-state-device research scientists, this text can also serve as a reference book on most of the important semiconductor devices. It deals with the operational parameters and the physics of operation of semiconductor devices, particularly in the microwave area; it includes microwave transistors, Impatt diodes, Gunn oscillators, opto-electronic devices, and interface devices such as Schottky diodes and MOS structures. In addition, 30 tables of important material and device characteristics can prove useful.
ADAC
A Versatile New Computer-Controlled Data Acquisition and Control System ...starting at less than $30,000!
...with plug-in expandability!
Start with the basic ADAC, and you have a compact, hard-working system which will acquire analog data from a variety of sources, and process and store the data in an integral general-purpose digital computer for a broad range of recording and control applications. And all this at a price well below other currently available models.
Now, expand ADAC to provide for added inputs and a variety of recording and monitoring devices. It's easy with Astrodata's unique new Intercoupler. In most cases, your "custom" output requirements probably already exist as standard designs for ADAC. Inexpensive, too—little or no engineering charges and volume production techniques reduce expansion costs to the minimum.
Whatever your particular application...seismic studies, spacecraft checkout, nuclear reactor monitoring and control, petrochemical process analysis and control, etc....ADAC can easily and inexpensively be your solution. Get full details today on this new, versatile data acquisition and control system.
Write or call...
Astrodta Inc., 240 E. Palais Rd., Anaheim, Calif.; (714) 772-1000.
Circle 167 on reader service card
DIGITALLY CONTROLLED VOLTAGE
KEPCO'S PRECISION VOLTAGE SOURCE features a 4½ digit voltage readout with four rotary selectors and a three-button decade range switch. The combination provides 100 microvolt sensitivity in ranges of:
- 0.0000 – 1.0999 volts
- 00.00 – 10.999 volts
- 000.00 – 109.99 volts
Model PVS 100–1M is a husky power supply capable of delivering 100 watts with a source impedance less than 1 milliohm at d-c. Line variations (105-125V a-c) have less than 0.0005% effect on the output setting and the oven-controlled reference, reduces temperature effects to 0.005% per °C.
The overall accuracy of 0.02% qualifies the Precision Voltage Source as a working standard for low cost voltage calibration.
For systems, the output can be programmed by remote 1-2-4-8 BCD switch closures.
with KEPCO IT'S CONTROL!
For complete specifications write Dept. CA-14
kepco®
131-38 SANFORD AVENUE • FLUSHING, N.Y. 11352
(212) 461-7000 • TWX # 710-582-2631
Technical Abstracts
LSI Design
Threshold logic for LSI
J.H. Beinart, D. Hampel, K.J. Prost and R.O. Winder
RCA Laboratories
Princeton, N.J.
L.J. Michael
USAF Avionics Lab
Wright-Patterson Air Force Base
Previous research and development efforts in digital monolithic integrated circuits and arrays have been almost exclusively concerned with Boolean logic. However, by introducing threshold gates, fewer gates and interconnections are needed. Replacing logic subsystems such as registers, adders, counters, or control logic originally designed with common NOR logic, by subsystems containing threshold gates grants an average savings in gate count of three to one. Moreover, the number of connections between gates is reduced by a factor of two.
The advent of integrated circuits has made the threshold gate economically competitive with conventional gates. This results from the ability of the threshold gate to maintain close resistor ratios, close beta and $V_{be}$ matching, and the importance of the total chip area rather than the number of active components.
A threshold gate is a digital circuit that produces a high output only when the weighted sum of its high inputs exceeds a prescribed value—the threshold. The inputs and outputs are restricted to binary values, and each input is assigned a weight, usually unity, but sometimes two or three. A majority gate is a special case, where each input has unity weight and whose threshold is half the number of inputs. An individual threshold gate can produce a much more complex switching function than can the conventional Boolean gates—NAND, AND, NOR, and OR.
In a program sponsored by the Air Force Avionics Lab, RCA set itself to develop a new family of threshold gates amenable to LSI. The objective of the program: bring forth a simple, low power threshold gate that can be built in modular form from an array...
Cinch introduced 39 new products last year...but we won't sell you any of them.
because every one was custom designed for a Cinch customer.
And each one was designed to meet a special requirement. It may have been an extra-tight tolerance, unusual plating configurations, or even price. No matter what your special requirement might be, Cinch can not only design the connector you need—but we can build it too—on dependable delivery schedules. Cinch production capabilities, in plastic molding, selective plating and assembly are unequaled.
Why not let us build a connector for you that we won't sell to anyone else?
Contact any Cinch Electronics Group sales office or Cinch Manufacturing Company, 1501 Morse Ave., Elk Grove Village, Illinois, 60007 (312) 439-8800
CINCH
DIVISION OF UNITED-CARR
CINCH MANUFACTURING CINCH-GRAFIK, CINCH-MONADWOCK, CINCH-NULINE AND PLAXIAL DIVISIONS OF UNITED-CARR INC. A SUBSIDIARY OF TRW INC.
VACTEC Vactrols
Keep up with all the big-name Photocell-Lamp Assemblies in everything except price!
The standard of the VACTROL line is the inexpensive aluminum case, epoxy sealed VACTROL. Six types from 1.5v (incandescent) through 11.5v (neon). Less than $1.00 in quantities of 1000.
VACTROL is one of several photon isolators (photocell-lamp modules) on the market. Competitors include Rayssistors, Photomods, and Datacels. But none is better than VACTROL.
VACTROL lamps are the same as competitors (we all buy from the same suppliers). But because Vactec makes photocells exclusively, you'll find ours provide the finest, most consistent quality, characteristics, and service.
VACTROLS combine the same photocells we supply for critical camera applications, with the best lamps we can obtain. VACTROLS come up short in only one department. Price. And you don't mind that, do you?
A complete line for every requirement:
LED, Incandescent, and Neon Types.
Hermetic TO-5
New hermetically sealed, welded enclosure with glass to metal feedthroughs. Between 25% and 30% more than standard low cost Vactrols in modest quantities. Available in low voltage (incandescent) and high voltage (neon) types. Bulletin PCD 4C3.
LED
Substitute a light emitting diode for the conventional lamp photon isolator. VT 028-5 is hermetically sealed (modified TO-8). VT 030-1BA is a TO-18 axial device, epoxy sealed. Extremely low signal requirements compared to conventional lamp devices. All solid state. No filaments to vibrate or burn out. Less than $7.00 in volume.
Dual Isolated Photoconductor LED
An isolated dual element photoconductive cell combined with a light emitting diode Cell element. Track to within 2% over 3 decades of illumination. Exceeds compared to the others. Useful in making linear isolators, multipliers, and dividers. Demonstrates our commitment to the complete Vactrol line.
Low Profile TO-5 LED
Comparison New (V-5 LED) Vactrol in a complete hermetic seal like the VT 028-5, in a smaller TO-5 package. Similar characteristics. Anticipated price less than $6.00 in volume.
VACTEC INC.
2423 Northline Ind Blvd. Maryland Hts., Mo. 63042 Phone (314) 432-4200
Specializing in standard Cds, Cdse, and Se cells, Custom engineering for every photocell need. Listed in EBG under "Semi-Conductors" and in EEM Sec. 3700.
Technical Abstracts
of subcircuits. A further aim was a report, written for the logic designer, to introduce the new methods of design needed to use threshold gates.
These objectives have been met. Basically, the approach enables a designer to produce a broad range of threshold functions in LSI form. The result is a more efficient chip area than the one possible from a logic design that uses Boolean function gates. There's no penalty involved in the use of these gates; high speeds are possible and the power-speed product per gate is compatible with alternate bipolar transistor circuit approaches.
Presented at the National Aerospace Electronics Conference (Naecon), Dayton, Ohio, May 19-21.
Soft landing
Digital letdown computer for vertical guidance
Bruce E. Mann
Lear Siegler Inc.
Santa Monica, Calif.
A real-time digital letdown computer calculates the guidance-command information necessary to direct a VTOL (vertical takeoff and landing) aircraft along a three-stage vertical path. The computer uses range and altitude information to determine the aircraft's position with respect to the desired path and calculates the altitude error.
The computer's speed requirement is achieved with transistor-transistor logic. Size and cost requirements are met by organizing the computer serially. The computer is capable of adding or subtracting two 18-bit words in 18 μsec, multiplying and dividing words of the same length in 288 μsec and taking the square root of a 30-bit word in 480 μsec. An integrated scratch-pad memory provides fast access during read and write cycles.
In addition, by using successive approximation analog-to-digital conversion, analog inputs are multiplexed to one converter providing eight 12-bit digital outputs in 400 microseconds.
Present at the IEEE Computer Group Conference, Minneapolis, Minn., June 17-19.
FULLY TRANSISTORIZED
ACCURACY
RELIABILITY
LITTLE POWER CONSUMPTION
EASY OPERATION
EASY MAINTENANCE
DESIGNED FOR
INTEGRATED AUTOMATION
ELECTRONIC CONTROL SYSTEMS
DATA LOGGERS
(MANUFACTURED UNDER
HOKUSHIN LICENSE — JAPAN)
GENERAL SPECIFICATIONS
—Unified signal 2...10, 4...20, 0...5, 0
(Input-Output) ...10, 0...20 mA etc.
—Load resistance 0...3 Kohms
—Ambient temperature
—10°...+60°C (for field instruments)
—10°C...+45°C (for panel instruments)
—Power supply 200 or 220 V (+10...-15%)
A.C. or 60 c/s)
ELECTRONIC CONTROL
SYSTEMS INCLUDE:
—Temperature transmitters with
—thermoresistance (-200...+500°C)
—thermocouples (0...+1600°C)
—radiation pyrometer (+600...+2000°C)
—Pressure transmitters with
—Bourdon tube (0...350 kgf/cm²)
—capsule (0...1 kgf/cm²)
—bellows (0...1000 mm Hg)
—Differential pressure transmitters with
—bell (0...100 mm H₂O)
—bellows (0...400 mm²H₂O)
—bellows (0...35000 mm H₂O)
—Area type flow transmitters:
0, 24...54, 94 m³/h
—Electromagnetic flow transmitters:
0, 41...1770 m³/h
—Displacement type liquid level transmitters:
0...2000 mm.
—pH transmitters: 0...12 pH
—Water quality, psychrometer, mol ratio,
concentration transmitters
—Miniature indicators
—120 and 250 mm scale one and two point recorders
—Multipoint (2, 3, 6, 12) recorders
—Calculators and accessories: square root extractors, multipliers, dividers, adders-subtractors setters, program setter, integrators, signal limiters, manual control stations etc.
—Controllers —continuous (PI-PID) with and without indicators
—Multipoint on-off controllers
—Relay amplifiers
—Electro-pneumatic converters
—Computers: —multi-point scanner
—data logger
MASINEXPORT
Bucuresti — România Str. Matei Millo 7
Cables: MASEXPORT — Bucuresti
Telex: 216
New Literature
Alphanumeric teleprinter, Clary Corp., 320 W. Clary Ave., San Gabriel, Calif. 91776, has issued a color brochure on the Informer model SP-20 alphanumeric teleprinter, a compact, lightweight unit.
Circle 446 on reader service card.
Integrated circuits. Raytheon Co., 350 Ellis St., Mountain View, Calif. 94040. An 86-page illustrated catalog describes the company's line of integrated circuits.
Shielded conduit fittings. Danex Corp., 60 Tomlinson Rd., Huntingdon Valley, Pa. 19006. A four-page brochure covers a complete line of emi-rfi shielded conduit fittings for red and black line communications.
Tv relay links. RHG Electronics Laboratory Inc., 94 Milbar Blvd., Farmingdale, N.Y. 11735, offers eight-page product bulletin 69C on its solid state tv microwave relay links.
Tantalum capacitors. Sprague Electric Co., 35 Marshall St., North Adams, Mass. 01247. Engineering bulletin 3703A contains complete details on hermetically sealed tantalum capacitors for operation up to 175° C.
Linear IC testing. Teradyne Inc., 183 Essex St., Boston, Mass. 02111, has published a 12-page brochure on its new J263 computer-operated linear circuit test system.
Digital-to-analog switch. Halex Inc., 3500 W. Torrance Blvd., Torrance, Calif. 90509, has published a specification sheet on the model HX630 quintuple digital-to-analog switch.
Ferroresonant power supplies. Electro Engineering Works, P.O. Box 338, Forestville, Calif. 95436, has available a technical paper describing high-voltage ferroresonant power supplies.
Electron spectrometer. Varian, Vacuum Division, 611 Hansen Way, Palo Alto, Calif. 94303, announces a 12-page brochure describing the Auger electron spectrometer.
Power instruments. Lambda Electronics Corp., 515 Broad Hollow Road, Melville, N.Y. 11746, has released a 16-page catalog on a line of all-silicon, convection-cooled power instruments for lab and test instrument use.
IC encapsulation. National Semiconductor Corp., 2950 San Ysidro Way, Santa Clara, Calif. 95051, has available a reliability report on transfer mold encapsulation of integrated circuits.
Computer applications catalog. Pulse Engineering Inc., 560 Robert Ave., Santa Clara, Calif. 95050. The 1969 computer applications catalog contains a complete listing of pulse transformers and delay tubes.
Test accessories. Pomona Electronics Co., 1500 E. Ninth St., Pomona, Calif. 91766, has released its 1969 general catalog of electronic test accessories containing 375 products.
Magnetic pickups. Airpax Electronics, P.O. Box 8488, Fort Lauderdale, Fla. 33310, has released a selection chart for choosing the correct magnetic pickup for speed measuring applications.
Digital data logging. Invac Corp., 26 Fox Rd., Waltham, Mass. 02154. A 10-page brochure describes the series DL-100 digital data logging system.
Oscillators. Greenray Industries Inc., 840 W. Church Rd., Mechanicsburg, Pa. 17055. An 82-page catalog includes new models in the frequency standards field, voltage-controlled oscillators, and temperature-compensated oscillators in low profile miniature sizes.
Cabling systems. The Singer Co., 314 E. Live Oak Ave., Arcadia, Calif. 91006, has published a brochure depicting cabling systems designed for extreme temperature, pressure, and radiation environments.
General purpose relay. Price Electric Corp., Frederick, Md. 21701, has released a data sheet on its new miniature general purpose relay, a 4 pdt 3 amp device.
Surge voltage protectors. Siemens America Inc., 350 Fifth Ave., New York 10001, offers a six-page brochure describing its complete line of gas-filled surge voltage protectors.
Semiconductors. Hughes Semiconductors, 500 Superior Ave., Newport Beach, Calif. 92663. A 1969 catalog gives complete specifications on all the company's semiconductors.
High power pulse twt's. Varian, TWT Division, 611 Hansen Way, Palo Alto, Calif. 94303. A 10-page brochure describes a line of high power pulse twt's covering the 0.5 to 16.5 Ghz frequency range.
Clips and sockets. Eldema, 18435 Susana Rd., Compton, Calif. 90221. Q-series clips and sockets for inexpensive, convenient mounting of C-lite cartridges are highlighted in a four-page brochure.
High-temperature materials. Aremco Products Inc., Box 145, Briarcliff Manor, N.Y., has available high-temperature materials chart No. 523.
Lever switches. Switchcraft Inc., 5555
Reticles
Precision etching of glass reticles, scales and other critical tolerance items is a specialty at Buckbee-Mears. We etch polished or water white plate, crown or flint glass to ±.0001" with lines filled permanently with a choice of compounds if required. We etch flat, concave or convex surfaces.
May we tell you more? See your Buckbee-Mears technical representative, or call or write Bill Amundson, our industrial sales manager.
BUCKBEE - MEARS COMPANY
245 E. 6th St., St. Paul, Minn. 55101 / (612) 227-6371
Braincon’s recording artists.
Going places.
Oceanographic applications module with tape recorder, analog to digital converter, output register, programmer and multiplexer.
Typical portable tape recorder for in-field data logging of industrial and scientific parameters.
Braincon Corporation’s new line of digital tape recorders for data acquisition systems upstages the others where low cost and high performance count.
• Flexible recorder programming to suit customer format and data rate • Models for analog or digital input • High capacity (up to ½ million characters) • Lightweight all-weather models • Convenient, reusable tape cartridge • Low cost per data point • Self-contained, rechargeable battery pack • Optional visual display for recorded data • Unprecedented low system cost
For additional information, contact:
BRAINCON
a subsidiary of GENERAL TIME
Progress in the World of Time
MARION, MASSACHUSETTS 02738 / (617) 748-1085
Make your own break.
You can take a lot of the chance out of your future by including yourself in the Electronics Manpower Register.
When you do, your experience and talents become part of a nationwide computerized placement service.
Our computer is programmed to give every registrant the same look for every opening. With your prior approval, you’ll be considered for every opportunity that matches your resume.
All you have to do is send one to:
Electronics Manpower Register
Electronics
330 West 42nd Street
New York, N.Y. 10036
New Literature
N. Elston Ave., Chicago. Solutions to operator error, fatigue, and other critical human engineering problems are described in lever switch catalog S-309a. [469]
Microwave components. Integral Industries Inc., P.O. Box 667, Lansdale, Pa. 19446. An eight-page brochure covers a line of solid state r-f microwave components. [470]
Antenna systems. Cubic Corp., 9233 Balboa Ave., San Diego, Calif. 92123, has prepared a brochure to describe its capability in the area of today's sophisticated antennas. [471]
Laser power supplies. Hadron Inc., 300 Shames Dr., Westbury, N.Y. 11590, has published a four-page illustrated data sheet on its line of power supplies for solid state lasers. [472]
Trimmer capacitors. LRC Electronics Inc., 901 South Ave., Horseheads, N.Y. 14845, has released its latest catalog featuring 28 new miniature trimmer capacitors. [473]
BITE indicators. A.W. Haydon Co., 232 N. Elm St., Waterbury, Conn. 06720. A four-page bulletin covers a complete line of BITE (Built-In-Test-Equipment) indicators. [474]
Data communication system. Ultronic Systems Corp., P.O. Box 315, Moorestown, N.J. 08057. Bulletin U2559 describes and illustrates the Ultracom data communication system, which eliminates the high cost of multiple leased transmission lines. [475]
Resolvers. Weston-Transicoll, Worcester, Pa. 19490, offers a folder on representative size 8 data transmission resolvers, including a temperature-compensated transmitter. [476]
Isolating coupler. Iso-Switch Corp., 2955 Randolph St., Costa Mesa, Calif. 92626, has available a new product and application bulletin on the Iso-Switch, an isolating coupler for digital data transmission circuits. [477]
Crystal filters. Dietz Design Inc., 100 Electronics Pkwy., Belton, Mo. 64012, has available a bulletin covering standard models as well as custom designed crystal filters. [478]
Current interrupters. Macarr Inc., 4360 Bullard Ave., Bronx, N.Y. Two new models of current interrupters for alkaline copper plating are described in bulletin EP-103. [479]
Key punch. Oneida Electronics Inc., P.O. Box 46, Yorkville, N.Y. 13495, has issued a bulletin describing the Telecard I key punch/data terminal that will both prepare and transmit cards. [480]
Looking for a better job?
Ask Electronics' computer all about it
Electronics magazine feels an obligation to help its readers find positions in the electronics technology which will make the greatest contribution to their profession and to society — jobs in which electronics men themselves will be happiest.
Electronics has joined with a nation-wide talent search company—National Manpower Register, Inc.—to form the computerized Electronics Manpower Register. Your qualifications and job requirements will be programmed into a GE 265 computer, direct-linked to the Manpower Register's offices in New York. The computer, once your resume form (bottom of page and following page) is received, will continuously compare all your data with the specific manpower needs of electronics companies. When a match is made, you will be contacted directly or through an affiliated agency. The company and you will be brought together on a confidential basis.
Continued on next page
---
**Electronics Manpower Register**
It is important that your information be complete and that you type or print legibly
| IDENTITY | PRESENT OR MOST RECENT EMPLOYER |
|----------|---------------------------------|
| Name | Date |
| Home address | Parent company |
| City | State | Zip | Location (City/State) |
| Home phone | Do you subscribe to Electronics | or see a library or pass-along copy |
**GEOGRAPHICAL PREFERENCE** (Check appropriate boxes and complete all blanks)
I will NOT relocate □ I will consider opportunities in: □ North East □ Mid Atlantic □ South □ Midwest □ Southwest □ Calif. □ Northwest
Prefer: □ Metro. area □ Medium town □ Rural area Other: ____________
**EDUCATION**
| Degree | Major field | Year | College or University |
|--------|-------------|------|-----------------------|
**EMPLOYMENT INFORMATION**
Position desired
Present □ or most recent □ position From To Title
Duties and accomplishments
HAVE YOU REGISTERED WITH THIS SYSTEM PREVIOUSLY? Yes □ No □
Continued on other side
The cost of all this to you? Absolutely nothing. No fees or charges at any time.
Other advantages of EMR:
- Your resume is sent only to those companies that have a genuine requirement for your particular skills.
- There is no general "broadcasting" in the hope "someone will be interested."
- Your identity is protected because your name is released only according to your prior instructions. Your name can be deleted on request.
- EMR's service is nationwide. You may be considered for job opportunities anywhere in the U.S.
The Electronics Manpower Register is a powerful tool and should be considered when you are seriously seeking a new position. And, although you may be reasonably happy in your present position, chances are that you might have that ideal job in mind.
This is why EMR makes good sense for you. If that job does turn up, you'll be there.
To get your name in the EMR file, just fill out the resume form and return to:
Electronics Manpower Register
330 West 42nd Street
New York, N.Y. 10036
Please enclose a copy of your resume if you have one. A detailed brochure further describing EMR will be sent to you.
Electronics Manpower Register
A computerized employment opportunity service
CONTINUED FROM OTHER SIDE
| Previous Position | Employer | City/State | From | To |
|-------------------|----------|------------|------|----|
| Duties and accomplishments |
| Previous Position | Employer | City/State | From | To |
|-------------------|----------|------------|------|----|
| Duties and accomplishments |
GENERAL INFORMATION
(Summarize your over-all qualifications and experience in your field. List any pertinent information not included above.)
Current annual base salary
Total years of experience
Date available (within four months)
U.S. Citizen □ Non U.S. Citizen □
My identity may be released to: Any employer □ All but my present employer □
Have you security clearance?
Yes □ No □ If yes, What level
Mail (with a copy of your resume, if you have one) to:
Electronics Manpower Register
ELECTRONICS
330 West 42nd St.
New York, N.Y. 10036
NO FEES OR CHARGES
EMR-17
Make your own break.
You can take a lot of the chance out of your future by including yourself in the Electronics Manpower Register.
When you do, your experience and talents become part of a nationwide computerized placement service.
Our computer is programmed to give every registrant the same look for every opening. With your prior approval, you'll be considered for every opportunity that matches your resume.
All you have to do is send one to:
Electronics Manpower Register
Electronics
330 West 42nd Street
New York, N.Y. 10036
SEARCHLIGHT SECTION
- CLASSIFIED ADVERTISING
- BUSINESS OPPORTUNITIES
- USED OR SURPLUS EQUIPMENT
Somebody—Somewhere
needs your idle equipment! Reach that buyer quickly and economically thru the "SEARCHLIGHT SECTION"
The meeting place of Used Equipment Buyers and Sellers
FUNCTION GENERATORS
We are overstocked. Tremendous savings on latest solid state function generators. Sine, square, triangle, ramp, complex. Laboratory quality. Every item 60% to 90% off. Absolutely will not last. Send for free brochure.
LABORATORY EQUIPMENT SALES
15603 12th St., Seattle, Wn. 98148
CIRCLE 954 ON READER SERVICE CARD
Minifluid DISPENSER
for miniature potting and encapsulating
Available in 3 sizes
6cc - 17cc - 30cc
PHILIP FISHMAN COMPANY
7 CAMERON ST., WELLSVILLE, MASSACHUSETTS 01881
CIRCLE 955 ON READER SERVICE CARD
RADIO SYSTEMS GROUND AND AIRBORNE AUTOMATIC ANTENNA SYSTEMS. NIKE AJAX NIKE AIRCUBER. INDOOR RADAR. TPS-19, TPS-20, TPS-28, FAA-ASR-2. AIRBORNE SYSTEMS. APN-84, APN-107, APS-20, APS-27, APS-45, OPS-19. DIGITAL COMPUTERS. IBM 650, IBM 704.
LARGEST INVENTORY OF RADAR AND MICROWAVE EQUIPMENT IN THE WORLD.
RADIO RESEARCH INSTRUMENT CO.
45 WEST 45TH ST. N. Y. 10036 212-61 6-4691
CIRCLE 956 ON READER SERVICE CARD
Watch—the Searchlight Section for Equipment Opportunities
EMPLOYMENT OPPORTUNITIES
ENGINEERS
The leader in the field of amorphous semiconductors and originator of Ovonics offers challenging engineering positions for qualified individuals with hardware design experience in computer memory, logic, or display subsystems.
ENGINEERING MANAGEMENT—Assistant to the Director of Engineering, with major responsibilities in the development of new products, including circuit design, testing procedures, and marketing plans and representation. Should be hardware-oriented with engineering project management experience in a computer oriented field.
ELECTRONIC DESIGN ENGINEERS—Responsible for the design, development and testing of new products incorporating amorphous semiconductor devices. Outstanding opportunities for creative designing with hardware experience in memory, logic, display, or automatic testing systems.
Top salaries and excellent fringe benefits for those who qualify. Please submit your resume to the Personnel Dept.
Energy Conversion Devices, Inc.
1675 W. Maple Rd., Troy, Mich. 48084
An Equal Opportunity Employer
CIRCLE 953 ON READER SERVICE CARD
We have been placing B.S., M.S. and Ph.D. ELECTRONIC ENGINEERS in fee paid positions throughout the U.S. since 1959. Send resume today or request confidential application. We are graduate engineers with plenty of time to work for you.
ATOMIC PERSONNEL, INC.
Suite L, 1513 Walnut St., Phila., Pa. 19102
AN EMPLOYMENT AGENCY FOR ALL TECHNICAL FIELDS
CIRCLE 955 ON READER SERVICE CARD
— RATES —
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ELECTRONICS
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Coordination in European quality control faces delay
Chances that France, Great Britain, and Germany will have a components quality control pact in force next year look slim.
The proposed pact would make quality control tests by a national laboratory in one country valid in the other two countries. Britain and Germany, though, still have to set up national quality control schemes. And French officials say they have no intention of reworking their own setup if the British and the Germans adopt different schemes. The French have an industry coordinating committee which establishes specifications and acceptance standards for components. Manufacturers then can have a production run of a component sampled and tested by an independent national laboratory, which certifies whether the whole lot qualifies as acceptable or not.
Negotiators for the three countries have set a target date of 1970 for agreement on standards and acceptance test procedures for passive components. But French industry officials think it will be 1971 at the very earliest before there'll be any sort of tripartite quality control recognition even for passive components.
British data bank goes commercial
Look for a fast growth in commercial data banks to supplement in-house computer-aided design programs. Britain's Racal Research Ltd. expects to be the first to offer a computer-based data bank service covering common electronic components.
When Racal's new computer-run service starts up this fall, it will give subscribers fast retrieval of data on components being considered in electronic design projects. The information needed for decision making—the component's price, dimensions, and performance parameters, as well as equivalent circuit performance—will be supplied in minutes. The system is designed to find the data and send out replies within two hours.
Customers will be able to access the bank, located at Racal's Tewkesbury laboratories by telephone, telex, or commercial data link. Initially, the service will be limited to common components—resistors, diodes, capacitors, and the standard transistors. Later, less common components, such as field-effect transistors, will be added to the data bank.
Two more navies to see through Seacat's eyes
The British Navy will not be the only one using the missile fire control television equipment developed by Marconi Co. Ltd. for Britain's Seacat surface-to-air missile. Contraves AG, Zurich-based military systems specialist, has become the first commercial customer for the equipment. Contraves plans to install $850,000 worth of the equipment in fire control systems for delivery to two other navies—as yet undisclosed.
The television equipment is a key link in a missile visual guidance system. In Seacat use, it works like this: The television camera, hooked to an optical system, follows the target under the guidance of a radar system. When the missile enters the picture, an operator can direct it toward the target with a joystick control—or positional data can be taken automatically from the television signal and used to calculate trajectory correction signals.
Marconi's package includes television camera and optical system, a control unit and an image display. The camera unit can accommodate different vidicon tubes: regular for daylight, a secondary electron conducBelgrade in bid to join Intelsat
Yugoslavia may become the first Eastern Bloc nation to join Intelsat. Belgrade has already applied to the World Bank for a loan to start construction of a ground station. Should the loan be approved, Belgrade will more than likely follow it up with a formal application for admission to the international satellite consortium—as either a full or as an associate member.
Rumania is also weighing Intelsat membership. And the subject is certain to come up during President Nixon's stopover in Rumania later this month.
Leasco order boosts British computer maker
An order by Leasco World Trade for 30 Modular One small computers establishes Britain's Computer Technology Ltd., designers and builders of the machine, as serious competitors along with Honeywell, Hewlett-Packard and Digital Equipment for the small, fast machine market. Leasco will use the $140,000 machines as the basis of its own European time-sharing network. Before the Leasco order, which runs over 30 months, the company had sold only a small number of machines—in one's and two's. Another sizeable order, for machines intended to process remote radar data for air traffic control displays, is likely to come later this year.
Modular One is a natural for time sharing and real-time applications. It offers high speed (750 nanosecond cycle time, capable of further reduction by an instruction overlap facility), plus program-protected memory organization, a feature generally confined to larger computers such as PDP 10, SDS's Sigma 5 and Honeywell 832. One disadvantage, though, is a softness in software back-up. Company has simply lacked funds to develop it. Thus, to date, buyers are organizations able to provide most of their own software.
Japanese develop high-power twt's
Three Japanese companies are in a hot race to develop new traveling-wave tubes for domestic use—and the results may well spawn a lucrative export product.
As Japan pursues a policy of switching all television broadcasting to uhf, the repeater-translator units used instead of CATV in the mountainous country must be reequipped. The smaller repeater-translators can get by with transistor—or conventional—output stages and the medium-sized units can use available traveling-wave tubes with outputs of 30 to 100 watts. But there are hundreds of repeater-translators with outputs in the 100 to 500 watt range, that will have to be replaced with larger uhf output units, or even two more units, because of the propagation differences between uhf and vhf. In addition, the number of television stations will expand because of the shift to uhf, adding fuel to the traveling-wave tube development race.
The Nippon Electric Co., the Tokyo Shibaura Electric Co., and Hitachi Ltd., have developed tubes with 3,000 watt output, rated at 1,000 watts in repeater-translator service. And they are working on both smaller and larger power versions, with an eye to satisfying the differing needs of other countries around the world.
Fast way to test for flicker noise
West German subsidiary steals a march on its American parent, develops transistor tester suitable for use on the production line.
For all the talk about international exchange of ideas, it's still a rare event when an overseas subsidiary of a large U.S. company beats its parent to a technological advance. This is especially true when it comes to testing and manufacturing techniques, usually adopted in toto by the subsidiary.
Texas Instruments Deutschland GmbH has just pulled off such a coup. Dissatisfied with conventional methods of testing for flicker noise, including those used back home in Dallas, it has come up with a transistor flicker noise tester that gives a reading in one second, rather than up to 50 seconds.
Because it takes so long to check each transistor, it's no wonder that quality control engineers at most semiconductor plants shy away from testing for flicker noise. Now, TI's new devices means that flicker noise testing need no longer be confined to research labs, but can be a regular step in transistor production or quality control—at assembly line speeds.
Flickering. It's primarily makers of consumer electronic products who need to know a transistor's flicker noise characteristics, which can spell the difference between good and poor performance of equipment operating in the audio spectrum. Just what causes flicker noise is not known exactly. Researchers believe it results from spontaneous resistance variations in the transistor's barrier layers and from random changes in surface conditions, especially at the pn junction. And because of minute differences in component structure that crop up during the manufacturing process flicker noise is more pronounced in some transistors than in others.
Whatever its causes, flicker noise is a nuisance. Its level is highest in the audio range, particularly in the 10- to 1,000-hertz portion. With increasing frequency, however, flicker noise decreases. Thus, it is often called "1/f" noise.
But it's at the low end of the audio spectrum that many transistors must operate. Low-frequency types are used, for example, in tape recorder playback units, hi-fi radios, and in high-quality I-F preamplifiers used in sound-studio gear. Requirements for such equipment sometimes call for bass signals to be boosted by as much as 20 db relative to frequencies in the center portion of the audio spectrum.
Speedy. Finding a low-flicker transistor in a certain batch has been a hit-or-miss affair for equipment makers. All too often equipment must be torn down, already installed transistors replaced because they exhibit excessive flicker.
TI's flicker noise tester will put an end to this. It allows 100 percent transistor screening, thus insuring delivery of batches with acceptable flicker noise.
With the new equipment, designed by Wolfgang Sodtke of the company's applications lab, the transistor to be checked is placed in a test socket, and one second later its flicker noise figure can be read off a voltmeter. Prior to testing each batch of transistors, the typical operating point and the source impedance with which the devices will eventually operate are set at their specific values.
The reduction in test time is primarily the result of using an amplifier that broader band than laboratory flicker noise testers. In such testers noise power contained in
Enclosed. Transistor under test forms first stage of three-stage amplifier circuit. Cover is held down to shield device from stray fields.
Electronics International
a very small portion—from 1 to 10 hertz wide—of the noise spectrum is extracted and amplified. With such highly selective amplifiers it takes from 10 to 50 seconds for a valid measurement to settle down—too long for large-volume transistor test operations.
TI's new tester, on the other hand, uses a bandwidth on the order of 50 hertz, giving a response time of only one second.
Japan
Illogical logic
Building switching circuits out of linear circuits for large-scale integration appears to be a contradiction in terms. But workers at the Electrical Communication Laboratory of the Nippon Telegraph and Telephone Public Corporation and the IC Division of Nippon Electric Co. Ltd. have jointly announced a direct-coupled linear circuit that features low power dissipation, high speed, and few circuit elements per gate.
Although the basic building block of the new logic circuit has neither threshold voltage nor stable logic levels, these attributes of normal logic circuits appear if several stages are connected in cascade.
Basic elements of the circuit are NOR gates consisting of two or more transistors with their emitters and collectors connected in parallel. Gates of individual transistors are used for inputs. The circuit resembles that used in current mode logic, or emitter coupled logic, except that the transistor connected to a reference voltage source is removed—which eliminates the current switching feature of CML.
Update. Although the designers don't say so, the new circuit might also be considered an improved version of the direct-coupled transistor logic that was used some years ago. Use of the resistor in the emitter circuit and selection of the proper value of circuit supply voltage prevents driving the transistor into heavy saturation or into the cutoff region—and also prevents the current hogging problem that plagued designers of the old DCTL circuit.
This same choice of parameters limits circuit gain to slightly more than unity. That is, when driven by an identical circuit the output voltage change is almost exactly equal to the input voltage change—and transfer characteristics are essentially a straight line without the transitions at either end that normally characterize switching circuits.
It is this almost linear transfer characteristic that helps give the circuit fast response, because a small change in input signal is able to initiate a change in output signal. In most other types of logic circuits with normal switching-type transfer characteristics, the output does not start to change until input change is large enough to push a transistor into its active region.
Together. With stages in cascade, the output voltage of one stage is the input voltage of the following stage, and stable logic level is develop at the points where the two sets of transfer voltage curves intersect. In experimentally fabricated circuits, emitter resistors of 100 ohms and collector resistors of 140 ohms are used, giving the two logic levels. In these circuits, power supply voltage of about 1.1 volts was chosen, and logic swing is about 0.4 to 0.5 volts. Average power consumption per stage is about 2 milliwatts, and propagation delay per stage averages about 2.4 nanoseconds. This gives a propagation-delay/power-consumption product one-tenth that of smaller conventional circuits.
Thus the circuit meets the requirements for LSI use, which include high speed, low power consumption, and simple basic circuit. Because LSI design minimizes pickup of noise, difference in temperature between different circuit elements, and changes in device characteristics, it is possible to use low values for power supply voltage and logic swing.
Storage of energy that usually occurs in transistors driven into saturation, or heavily OFF, has also been minimized in the new circuit. The lack of stored energy contributes to fast response, but also lowers noise immunity, because smaller energy pulses are sufficient to trigger circuit operation.
The small noise margin and relative lack of noise immunity means that this circuit is only ideal for logic functions within the confines of a LSI chip. It may also be suitable for hybrid LSI circuits consisting of several ordinary or medium scale integrated circuit chips within one package, but tests are still underway. Between packages it is necessary to convert to conventional logic, such as CML or TTL.
Researchers think one example of design might include a logic hierarchy, with the new circuit used for logic functions within chips, CML used for driving other packages on the same printed circuit board, TTL used where signals must be transmitted through backboard wiring, and cable-driver circuits used between bays.
Great Britain
Down to the wire
Though plated wire is leading the pack in the search for a high-speed yet low-cost alternative to toroidal ferrite core stores, the race is not yet over. Researchers are still examining other methods of storing a 1 and a 0, in the hope of finding something even easier to make in large quantity with consistent quality. In England the Scientific Instrument Research Association
Overcoat. Ferrite deposit on 5-mil platinum wire shows graininess.
(SIRA), Elliott-automation Ltd., and Plessey Co. Ltd. are involved in a project under general control of Royal Radar Establishment to see if a practical store element can be made by depositing a coating of ferrite grains on platinum wire.
In theory, ferrite coated wire has similar electrical properties to plated wire, but in continuous strip form could be more economical to produce because deposition is, in principle, simpler than plating.
Also, ferrite materials retain their magnetic characteristics indefinitely, whereas the alloys used for plating tend to deteriorate with time, losing their magnetic properties. Thus, ferrite coated wires should be useful where virtually indefinite store life is desirable.
Finally, the coating process can be used to make arrays of biax-type storage elements with cross-point dimensions only about one-quarter or one-third normal biax dimensions, with a corresponding reduction in drive currents and hence in drive electronics. Engineers at RRE think this may be the main practical application of coated stores.
So far, SIRA and Elliott have each developed a coating technique and built trial hardware. SIRA's is based on electrophoresis—deposition of charged particles held in suspension in a fluid. Elliott uses electrostatic deposition of particles suspended in air. Plessey researchers have contributed to the SIRA technique, supplying the expertise on ferrite preparation and treatment.
RRE is evaluating specimens built by both methods. Though the results are not in, it looks as though the electrostatic method may have an edge in making single wires. However, electrophoresis may be better for making arrays.
**Wet method.** SIRA's deposition technique developed from electrophoretic method commonly used to deposit ceramic films on wire. Green magnesium manganese ferrite particles are suspended in an organic fluid such as nitroparaffin. The solution contains traces of iodine which is absorbed by the particles and gives them a positive charge. The mixture is circulated through a deposition chamber containing a platinum wire array—the cathode—surrounded by a cylindrical wire mesh anode. When a field strength of about five hundred volts per centimeter is set up between anode and cathode the ferrite particles migrate towards the cathode and adhere to it.
Because ferrite has a high resistivity compared to the fluid, when a particle is deposited there is a reduction of field in the adjacent fluid which has the effect of stimulating deposition of particles in the surrounding higher field regions. SIRA says this results in very uniform deposition—less than one percent variation in thickness over the cathode—without any external shaping of the electric field, so that the process automatically tends to create a coating with regular electrical characteristics.
The 40 by 40 arrays made so far were built up in two stages. Platinum wires, 2 mils in diameter, running in one direction are wound on a frame and ferrite coated to a depth of about 1 mil. The wires running in the other directions are then wound on the frame, and the whole lot further coated and sintered. By this means, a thousandth of an inch gap is established between the planes of wire without any danger of short circuits caused by platinum-to-platinum contact.
**Electrostatic.** In Elliot's alternative "dry" method, the continuous 5-mil diameter wire forms the cathode and runs vertically upwards through a positively charged wire ring anode. Both cathode and anode are enclosed in a chamber, which is connected by a narrow pipe to another chamber containing magnesium manganese zinc ferrite powder. The powder is maintained as a cloud—and given a positive charge—by vibration and injection of dry oxygen. The pressurized powder travels through the connecting pipe into the space between cathode and anode, where it migrates towards the cathode. The deposition chamber is followed by an on-line sintering furnace. This apparatus can make smooth, uniformly coated wire at rates up to 3 centimeters per second for short lengths, but so far uniformity cannot be maintained to plated wire standards over long lengths.
**Western Europe**
**A gap is a gap**
It took two years and several re-writings, but a prestigious study of the international computer technology gap now being completed proves one thing—there is no technological gap. It's true that a gap exists, says the report by the Organization for Economic Cooperation and Development, but it's an abyss in marketing—and one so wide that European countries will never be able to bridge it.
The OECD's team of experts cautions countries that would like to fight U. S. computer dominance by launching their own hardware industries to remain spectators. It has become a herculean task to fight the American giants.
Instead, the report urges medium-sized countries to follow the example of Switzerland and Australia, which have concentrated on harnessing foreign computers to imaginative new tasks—a field as challenging and probably more rewarding than machine building. The information revolution is similar to the printing revolution, the OECD experts argue. It's not who makes the presses that counts, but what books are printed.
**Rivals.** The OECD study seems to cast doubt on the long-range success of national efforts like
those in France and Japan to build independent hardware industries that can compete with American firms. But it concedes that these two programs are probably worthwhile because they use computer manufacturing as a "focus point for all the other advanced industries", thus stimulating development of electronics components, scientific instruments and telecommunications equipment.
Still, the OECD experts don't advise existing European and Japanese computer makers to throw in the towel. They urge:
- Inter-company and inter-country cooperation to overcome the fragmentation of the European market.
- Greater use of American-style "technico-economic forecasting," which they say could develop into a common discussion of strategy, particularly in relation to fourth generation time-shared systems.
- More consultation by non-American firms with their customers to estimate future hardware and software needs.
- Language standardization to reduce the ever-increasing costs of software development. Though standardization would inevitably reduce the efficiency of computers, the machines have adequate speed for most commercial applications to permit a degree of wasteful operation, says the report.
**What gap?** To support its thesis that a technological gap in computers doesn't really exist, the report argues that IBM's machines generally have not been the most technically advanced on the market. Instead they sell well because of the American company's "excellent software and first-class sales, maintenance and training service." European firms are just as capable of making advanced computers, the study says, as shown by the success of sophisticated Olivetti and Elliott Automation machines.
But the commercial hegemony of IBM—to which the OECD grants 75 percent of the world market—is self-perpetuating, says the study. New customers have a marked reluctance to look beyond IBM due to the safety factor of its reputation, and old clients don't want to switch suppliers because they would lose investments in personnel skills and programs.
IBM is where it is because it got there first—and with a good measure of U.S. Government help, the report notes. It adds rather pessimistically: "There is little likelihood that the missed opportunities of the past can be redeemed," thus hinting that the U.S. will dominate the computer industry more or less permanently.
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**Sweden**
**Trouble ahead**
When Sweden's Minister of Industry Krister Wickman late last year announced he was launching a study of the future of the nation's electronics industry, there were skeptical Swedish eyebrows raised.
Up to that time, the government had concentrated its attention on industries in trouble or facing severe foreign competition, such as textiles, shoes and shipbuilding. Now, Krister Wickman—considered a socialist empire builder by disgruntled conservative businessmen—was eyeing an industry that had no apparent serious problems.
After some months of investigations, a specially-appointed team within the Ministry of Industry came up with its first report on the electronics industry. Armed with the report, Wickman called in top executives of the dozen largest electronics firms and spokesmen for industry organization—and told them some serious dangers were lurking behind the industry's complacency.
**Synergism.** For one thing, the report criticized Sweden's production of semiconductors as "extremely modest". Indeed, the entire components industry was felt to be disastrously weak. The report noted that many private companies and researchers fear that this could mean serious disadvantages in the long run for Swedish industry.
Stressing the increasing need for intimate contacts between manufacturers of components, particularly of large-scale integration, and systems manufacturers, the report said, "many in the industry feel these contacts can be effective only if there is a domestic component industry. Some even maintain that the Swedish electronics industry is at a crossroads: if a qualified component industry is not launched within the nation, companies will be forced to keep out of production of certain equipment."
Citing an example, the report bluntly warned that if the Swedish computer industry wants to maintain its "satisfactory" position, contact with component development, particularly in integrated circuits, is necessary.
The report said that from a purely technical viewpoint, conditions are good for launching a domestic component industry. The greatest difficulty, however, is to judge the direction of production, which types of components to make, and methods of manufacture.
**What now.** Nothing is expected to be done in the very near future. The next meetings between Krister Wickman and other government officials and industry won't be held until the autumn. In the meantime industry is closely studying—and trying to read between the lines—the ministry's report.
Electronics advertisers
July 21, 1969
Abbott Transistor Labs. Inc. 24
Tektronix Inc. 30
Airco Speer Electronic Components 32
Hazard Advertising Co. Inc. 130
Airpak Electronics Inc. 130
West Mirrors & Co., Inc. 157
Alfred Electronics 116-117
Borland Associates 25-27
Allen Brothers Company 153
Fensholt Adv. Agency 186
American Lava Corporation, Sub. of Minnesota Mining & Mfg. Co. 186
Ammon Instruments Inc. 186
Culver Advertising Inc. 186
Arnold Advertising Company 18-19
Buchen Advertising Inc. 167
Astrodata Inc. 167
Jansen Associates Inc. 167
Ates Componenti Elettronici, S. P.A. 8E
Publicitas 168
Austron Inc. 168
Management Communications Consultants Inc. 168
Babcock Relays Div. of Babcock Electronics Corporation 43
Jansen Associates Inc. 173
Baird-Atomic Inc. 125
Electronic Instrument Division Hixon & Jorgenson Inc. 58-59
Belden Corporation 17
Fairchild Imaging Inc. 17
Bell & Howell Electronic Instrumentation Group CES Division 26
N.W. Ayer Agency/MacDonald Inc. 178
Bendix Corporation Scientific Instruments & Equipment Division 126-127
MacManus, John & Adams Inc. 173
Branson/Geneva 17
Alden Advertising Agency Inc. 17
Brand-Rex 17
Creamer, Trowbridge, Case & Bastorf Inc. 17
Branson Instruments Inc. 17
Industrial Division Van Sant Duftale & Company Inc. 173
Buckbee-Mears Company 173
Midland Associates Inc. 173
Bunnings Company 22-23
Diener & Dorskind Incorporated 174
Burns & Towne Inc. 174
Harris & Harris Associates, Inc. 174
Burroughs Corporation, Electronic Components Division Conti Advertising Agency Inc. 72
Carl Zeiss 113
Michel-Cather, Inc. 113
Central Division of Globe Union Inc. The Brady Company 137
Cinch Manufacturing Company 169
Stromberg-Carlson Co., Inc. Computer Measurements Group Jones, Maher, Roberts Inc. 156
Compumark Inc. 85
Larcom Randall Adv. Inc. 110
Computer Labs 110
Werner Studer 110
CREI, North Study Div. of the McGraw-Hill Book Co. 159
Henry Kaufman & Associates 159
CTS Corporation 122
Pelince, Meyer & Finn Inc. 122
Curtis Instruments Inc. 14
Knudsen Moore Inc. 14
Dale Electronics Incorporated Sub. of Libb Corporation 3rd Cover Swanson, Sinkler Inc. 149
Delco Radio Division of General Motors Corporation 128-129
Campbell-Ewald Company 149
Deutch Company 147, 149, 151
Smith & Henning's Advertising 171
DMS 171
Eagle Signal Division of Gulf & Western Company 50, 52, 54
Feeler & Feeler Inc. 143
Eastman Kodak Company, Business Systems Markets Division 143
J. White & Thompson Company 97
EDP Corporation 143
Lawrence Associates 187
Eldorado Electrodata Corp. of Concord 140
Morgan Stanley Advertising 140
Elco Corporation 140
Schaefer Advertising Inc. 140
Electronica Exhibition Conference 171
Lincoln R. Sundelson 163
Electro-Nuclear Laboratories Hal Lawrence Inc. 133
Electrical Engineering Company of California Marketing Directions Inc. 133
Electronics Management Center 148
Ries Cappiello Colwell Inc. 47
Ericsson Electrical Products Company Inc. 47
Arthur Schmidt International Inc. 120
Fairchild Semiconductor Inc. Chiat/Day Inc. 120
General Electric Company, Capacitor Division 150
Robert S. Cragin Incorporated 12-13
General Electric Company, Semiconductor Products Division Robert S. Cragin 112
General Instrument Corporation Semiconductor Products Division Norman Allen Associates 64-65
General Radio Company 6
Heaton, Church & Scott Incorporated 68-69
G-R Industries Incorporated 119
Larcom Randall Advertising Inc. 138
Graham Associates West Associated 138
Grayhill Incorporated Merchandising Advertising Inc. 138
Hewlett Packard, Frequency & Time Division 66-67, 109
Lennen & Newell Incorporated 1
Hewlett Packard, Loveland Division 2, 139
Tallant/Yates Advertising 53
Hewlett Packard, Mt. View Lennen & Newell Incorporated 49
Hewlett Packard New Jersey Division 165
Hewlett Packard, Palo Alto Division 1
Hewlett Packard, Palo Oiego Division Lennen & Newell Inc. 188
Hewlett Packard Waltham Division 188
Cubist Advertising Inc. 28-29
Honeywell Control & Control Division Creamer, Trowbridge, Case & Bastorf Inc. 56-57
Honeywell Electronic Instruments Division Campbell Mithun Inc. 174
Hughes Aircraft Company 174
Foote Cone & Belding Inc. 154
Indianapolis Power & Light Ruben, Montgomery & Associates Inc. 172
Intronics Inc. 172
Marketing Association ITT, Rialto, Div. of Industrial Telephones Corporation a Subsidiary of Republic Corporation 21
Van Der Boom, McCarron Adv. 172
ITT Cannon Electric MacManus, John & Adams Inc. 70-71
Kepco Incorporated Weiss Advertising 168
Litton Industries Inc. Electron Tube Division 114
MacManus, John & Adams Inc. 106
Magnecraft Electric Company Mills, Fife & McDonald Inc. 108
Maryland Telecommunications Inc. Smith & Sandler Adv., Inc. 171
Maxinexpor Publicoman Romanian International Publicity Agency 3E
Metrix Inc. Huntexto 142
Microsonics Incorporated A. Schmitt & Norback & Company Midtex/Aemco 15
Chuck Ruhr Associates Advertising 187
Miller-Stephenson Chemical Co. Inc. 147
Morton G. Weather Inc. Mohawk Data Sciences Corporation/OEM Marketing 147
McFarland Associates Inc. Monsanto Company 162
Michel-Cather Inc. 15
Motorola Semiconductor Products Incorporated Lane & Bird Adv. Inc. 35
National Electronics Incorporated Connor-Sager Associates 155
National Semiconductor Corporation Hall Blatter Blatherwick Inc. 10-11
Nelson Stud Welding George Z. Griswold Advertising 149
Philbrick/Nexus Research Kenaccio Advertising Inc. 45
Philbrick, Phil Env. Division Marsteller International, S. A. 2E
Powertec Division of Altrionics Cordova Associates 44
Princeton Applied Research Corporation 36
More Barsh Associates Inc. 40
Radio Corporation of America At Pittsfield Company 4th Cover
Rogan Brothers, Inc. 155
Christopher Advertising Inc. 164
Research Advertising Company Colle & McVoy Adv. Agency Inc. 146
Sencor Division Components, Inc. Marketing & Corporate Communications Inc. 161
Signalite Inc. Sub. of General Instrument Corporation McCarthy, Scelba, DiBiasi Adv. Agency Inc. 7E
Signetics Corp. Sub. Corning Glass Works Cunningham & Walsh Inc. 105
Silicon Devices Inc. Publicite Y Ch. Lambert 7
Siliconix Inc. Graphic West 7
Solitron Devices Inc. Transistor Division 135
Hawley, Pearson Advertising Inc. Spectrum Control Inc. 134
Altman-Hall Associates 60
Sperry Rand Corporation, Sperry Microwave Electronics Division 5-9
Sprague Electric Company Harry L. Bridle Company 111
Stackpole Carbon Company, Electronic Components Division Meek & Thomas Inc. 166
Standard Transformer Corporation R.N. Johnson Advertising 55
Stewart Warner Microcircuits Inc. Joseph Mahan, Advertisers Inc. 111
Sylvania Electric Products Inc. Parts Division 186
Doyle Dane Bernbach Inc. 41
Syntronic Instruments Inc. Burton Browne Advertising 41
Tektronix Inc. Dawson, Turner & Jenkins Inc. 46
Test Equipment Corporation Dean & Bain Advertising Inc. 30, 48
Texas Instruments Incorporated, Components Division Albert Frank-Guenther Law Incorporated 42
Transformer Electronics Company West & Associates 63
Transitron Electronic Corporation Larcom Randall Advertising Inc. 124
Trygon Electronics Inc. Kanzler Associates Inc. 118
Tung-Sol Division, Wagner Electric Corporation 132
Feeley & Wheeler Inc. Ross Clay Advertising 155
United Systems Corporation Advertising & Merchandising Inc. 170
Universal Transformer Company, Division of TRW Inc. Fuller & Smith & Ross Inc. 2nd Cover
Unitrade Corporation 51
Silliman & Whetzel Inc. U-Tech, A Division of Industrial Physics & Electronics Co. 158
Ross Clay Advertising
Vactec Incorporated Colman & Associates Advertising 16
Vornado Equipment Company, The Palm & Petersen Inc. 162
Vishay Resistor Products Alpren Communications 158
Wang Laboratories Impact Advertising Inc. 145
Westinghouse Electric Corporation Semiconductor Division 151
Pritchard Wood Associates, Inc. Wiremold Company The Charles Brunelle Company 40
Xcelite Inc. Harold Warner Advertising Inc.
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John A. Flanigan [212] 971-3617
Michael J. Stoller [212] 971-3616
Philadelphia, Pa. 19103:
Jeffrey M. Preston
Warren H. Gardner,
6 Pennsylvania Plaza,
[215] LO 8-6161
Pittsburgh, Pa. 15222: Jeffrey M. Preston,
4 Gateway Center, [412] 391-1314
Rochester, N.Y. 14534: William J. Boyle,
9 Graylock Ridge, Pittsford, N.Y.
[716] 586-5040
Donald R. Furth [312] MO 4-5800
Midwest Advertising Sales Manager
Chicago, Ill. 60611: Kenneth E. Nicklas
Ralph Hanning, 645 North Michigan Avenue,
[312] MO 4-5800
Dallas, Texas 75201: Richard P. Poole, 1800 Republic National Bank Tower,
[214] RI 7-9721
Houston, Texas 77002: Robert Wallin,
2270 Humble Bldg., [713] CA 4-8381
Detroit, Michigan 48226: Ralph Hanning,
850 Woodward Building
[313] 961-7793
Minneapolis, Minn. 55402: 1104 Northstar Center [612] 332-7425
St. Louis, Mo. 63105: Kenneth E. Nicklas,
The Clayton Tower, 7751 Carondelet Ave.
[314] PA 5-7285
James T. Hauptli [415] DO 2-4600
Western Advertising Sales Manager
Denver, Colo. 80202: David M. Watson,
Tower 1, 1700 Broadway
[303] 266-3888
Los Angeles, Calif. 90017: Ian C. Hill,
John G. Zisch, 1125 W. 6th St.,
[213] HU 2-5457
Portland, Ore. 97204: James T. Hauptli,
Don Farrar, 218 Mohawk Building,
222 S.W. Morrison Street,
Phone [503] 223-5118
San Francisco, Calif. 94111: James T. Hauptli,
Don Farrar, 225 California Street,
[415] DO 2-4600
Pierre Braude Tel: 225 85 88: Paris
European Director
Paris: Denis Jacob
88-90 Avenue Des Champs-Elysees, Paris 8
United Kingdom and Scandinavia
London: Oliver Ball, Tel: Hyde Park 1451
34 Dover Street, London W1
Milan: Alberto Salini, Roberto Laureri Jr.
1-9 Baracchini Phone 86-90-656
Brussels: Denis Jacob
27 Rue Ducale Tel: 136503
Frankfurt/Main: Hans Haller
Els-Brauwegem Str. 2
Phone 72 01 81
Geneva: Denis Jacob
1 rue du Temple Phone: 31 95 60
Tokyo: McGraw-Hill
Publications Overseas Corporation,
Kasumigaseki Building 2-5, 3-chome,
Kasumigaseki, Chiyoda-Ku, Tokyo, Japan
[581] 91-01
Osaka: Akihiko Kamesaka, McGraw-Hill
Publications Overseas Corporation, Kondo
Bldg., 163, Umegae-cho Kita-ku [362] 8771
**Business Department**
Stephen R. Weiss, Production Manager
[212] 971-2080
Thomas M. Egan,
Assistant Production Manager [212] 971-3140
Dorothy Carmesin, Contracts and Billings
[212] 971-2908
Frances Vallone, Reader Service Manager
[212] 971-2865
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|
AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA MONICA AMENDING ARTICLES IV and VIII OF THE SANTA MONICA MUNICIPAL CODE BY UPDATING SEISMIC RETROFIT STANDARDS AND TENANT PROTECTION LAWS
WHEREAS, the City of Santa Monica is located in a geological area of high seismicity and prone to earthquakes of significant magnitude; and
WHEREAS, world leading experts and scientists in seismicity have predicted major seismic activity in the Southern California region in the near future with catastrophic destruction potential; and
WHEREAS, a fault line known as the Santa Monica Fault runs through the extent of the City and the City of Santa Monica Safety Element has deemed the Santa Monica Fault an active earthquake fault; and
WHEREAS, earthquakes and seismic activity are known to have the potential to cause significant damage to buildings and related occurrences of possible injury, death, resident displacement, interruption to business and economic continuity; and
WHEREAS, Santa Monica’s inventory of older buildings have been proven to have substandard performance in earthquakes; and
WHEREAS, prior retrofit requirements of the City of Santa Monica resulted in the strengthening and retrofitting of some buildings, but many structures remain unretrofitted; and
WHEREAS, the safety of the City's residents, workforce, and visitors are of paramount concern to the City; and
WHEREAS, updating the City's requirements for seismic retrofit and strengthening of buildings will allow greater performance of buildings during earthquakes and aftershocks and will lessen the chance of injury, death, and damage to buildings; and
WHEREAS, seismic retrofit of older buildings will also provide a greater chance for continuity of building occupancy, business operation and resident habitation after a seismic event; and
WHEREAS, California Health and Safety Code Sections 19101, 19162-63.6 authorize and encourage local jurisdictions to establish seismic retrofit standards; and
WHEREAS, Health and Safety Code Section 18941.5 provides that the City may establish more restrictive building standards if they are reasonably necessary due to local climatic, geological or topographical conditions; and
WHEREAS, based upon the findings contained in the Resolution adopted concurrently with this Ordinance, the City Council has found that certain modifications and additions to the California Building Standards Code, relating to seismic retrofit, are reasonably necessary based upon local climactic, topographic, and geological conditions; and
WHEREAS, relocation benefits are vital to Santa Monica tenants including those who must vacate their homes for repairs necessitated by law or government order or if their residence is rendered uninhabitable through no fault of their own; and
WHEREAS, benefits must be sufficient in length of time and in amount to cover actual relocation costs; and
WHEREAS, experience has shown that certain provisions within the existing relocation law have been subject to differing interpretations by landlords and tenants, and such differences in opinion can lead to unnecessary litigation and uncertainty; and
WHEREAS, both tenants and landlords will benefit from enhancements to the clarity and certainty of relocation requirements and obligations; and
WHEREAS, the City's relocation requirements are intended to protect the rights of both tenants and landlords.
NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA MONICA DOES HEREBY ORDAIN AS FOLLOWS:
SECTION 1. Chapter 8.58 of the Santa Monica Municipal Code is hereby added to read as follows:
Chapter 8.58 Mandatory Seismic Retrofit Administrative Requirements
8.58.010 Purpose and Scope.
The provisions of this Chapter are intended to establish administrative and general requirements to ensure compliance with and facilitate implementation of the retrofit requirements set forth in Chapters 8.60, 8.64, 8.68, 8.72, 8.76, 8.80 of this Code.
8.58.020 Definitions.
The following words and phrases as used to enforce the provisions of Chapters 8.58, 8.60, 8.64, 8.72, 8.76, and 8.80 shall have the following meanings:
(a) "California Building Code" shall mean the 2016 edition of the California Building Standards Code.
(b) "Santa Monica Seismic Retrofit Laws" shall mean Chapters 8.60, 8.64, 8.72, 8.76, and 8.80 of this Code.
8.58.030 General requirements.
(a) Upon being ordered by the Building Officer, an owner of a building within the scope of the Santa Monica Seismic Retrofit Laws shall perform a structural analysis of the building by a civil or structural engineer or architect licensed by the State of California, and if the building does not meet the minimum earthquake standards specified in Santa Monica Seismic Retrofit Laws, the owner shall cause the building to be structurally retrofitted to conform to such standards.
(b) Structural observation, in accordance with Chapter 17 of the California Building Code, shall be required for all structures in which seismic retrofit is being performed. Structural observation shall include confirmations of work required for conformance with the approved construction documents and existing building elements that are part of the lateral force resisting system. Structural testing and inspection for new and existing construction materials shall be conducted in accordance with the California Building Code and other applicable standards.
(c) Special inspection, in accordance with Chapter 17 of the California Building Code and other applicable codes and standards, shall be conducted to confirm work related to the seismic retrofitting of the building. Special inspections shall be conducted
by certified special inspectors. Special inspectors shall be hired by the building owner and shall provide reports of special inspection findings to the Building Officer.
(d) The structural investigation, structural analysis report, and structural design plans for the seismic strengthening and retrofit for buildings within the scope of the Santa Monica Seismic Retrofit Laws shall be designed by a State of California licensed civil or structural engineer, or a State of California registered architect. Plans and associated documents shall bear the seal and signature of the design professional.
8.58.040 Priority Designations.
The Building Officer shall prioritize his or her enforcement efforts as follows:
Priority 1. Unreinforced Masonry Buildings and Concrete Tilt-Up Buildings
Priority 2. Soft-Story Buildings with 3 or more stories
Priority 3. Soft-Story Buildings with 16 or more units
Priority 4. Non-Ductile Concrete Buildings and Steel Moment Frame Buildings
Priority 5. Soft-Story Buildings with 7 to 15 Units
Priority 6. Soft-Story Buildings with 6 or Less Units
8.58.050 Compliance Time Limits.
(a) Compliance time limits for buildings within the scope of the Santa Monica Seismic Retrofit Laws shall be based on the service date of original order issued by the Building Officer.
(b) Sale or transfer of title in the building shall not change compliance dates.
8.58.060 Issuance of Order.
a) Service of Order. When the Building Officer determines that a building is within the scope of the Santa Monica Seismic Retrofit Laws, the Building Officer shall
issue an order to the owner(s) of the building to seismically evaluate and, if necessary, retrofit the building. For this purpose, the last known name and address of each property owner as contained in the records of the Los Angeles County Assessor shall be used. The Building Officer shall serve the order in accordance with Section 1.12.080 of this Code. No person shall fail to comply with the Building Officer's order.
b) Proof of Service. Proof of giving notice shall be made in accordance with Section 1.12.090 of this Code.
c) Failure to Receive Notice. Failure of the owner to receive notice of an order shall not relieve the owner of any obligation to comply with the requirement to retrofit a building within the scope the Santa Monica Seismic Retrofit Laws.
d) Contents of Order. The order required by subsection (a) shall specify that the building has been determined by the Building Officer to be within the scope of the Santa Monica Seismic Retrofit Laws and shall contain the following information:
1) Building Address
2) Assessor’s Parcel Number
3) Building Type
4) Year Built
5) The factual basis supporting the order
6) The relevant Santa Monica Municipal Code Sections outlining the retrofit standards with which the building owner is required to comply
7) Compliance Timeframes
8) A description of the appeal process, including time frames within which the appeal must be filed.
8.58.070 Tenant and Occupant Advisory
(a) When the Building Officer determines that a building does not meet the minimum earthquake standards specified in the Santa Monica Seismic Retrofit Laws, the owner shall, within the time period established by the Building Officer, advise all current and prospective tenants, subtenants, lessees, and subleases of the building. This requirement applies regardless of the length of time the person may use and/or occupy the building.
(b) With respect to current tenants or lessees, the notice required by subsection (a) of this Section shall be hand-delivered, with a proof of service, or sent by certified mail or otherwise delivered in a form of electronic means acceptable to the Building Officer. A copy of the Building Officer's order shall meet the requirements of this Section.
(c) With respect to current subtenants and subleases or prospective tenants, subtenants, lessees, and subleases, the owner shall advise such persons of the Building Officer's determination in a method and written format approved by the Building Officer or designee. A copy of the Building Officer's order shall meet the requirements of this Section.
8.58.080 Appeals.
Except as otherwise provided by Section 8.58.090 of this Code, the owner of any building may appeal any decision or order issued by the Building Officer pursuant to the Santa Monica Seismic Retrofit Laws, including but not limited to, the initial determination that a building is within the Scope of the Santa Monica Seismic Retrofit Laws or the conclusion that a building must be retrofitted, to the Building and Fire Life Safety Commission. Any such appeal shall be filed with the Commission within sixty days of the
date of the Building Officer's order or decision. Any such appeal shall be decided by the Commission no later than ninety days after filing. The filing of an appeal would stay the underlying order or decision and the associated time limits. Should the appeal be denied by the Commission the initial time limits shall be restored, unless the Commission authorizes alternate time limits. The Commission’s decision shall be final except for judicial review.
8.58.090 Extensions.
(a) Notwithstanding any other provisions of this Code, extensions of time from the stated time limits set forth in the Santa Monica Seismic Retrofit Laws may be granted for good cause, provided that the building owner files a written request with the Director of Planning and Community Development or designee.
(b) The decision of the Director of Planning and Community Development or designee may be appealed to a Hearing Examiner, pursuant to relevant procedures set forth in Chapter 6.16 of this Code. The decision of the Hearing Examiner shall be final except for judicial review.
(c) Notwithstanding any other provisions of this Code and upon good cause shown, the Building Officer may extend a construction permit issued solely for the purpose of retrofitting a building to comply with Chapters 8.60, 8.64, 8.68, 8.72, 8.76, and 8.80 of this Code.
8.58.100 Parking Requirements.
Notwithstanding any other provisions of this Code to the contrary, the Zoning Administrator, or designee, may reduce the size of required parking spaces or the number of required parking spaces, to the minimum extent necessary, to achieve compliance with
the requirements of the Santa Monica Seismic Retrofit Laws, if the building owner can show that there is no practicable method to complete the required retrofit without the reduction. The reduction in parking spaces shall not exceed 20% of required parking spaces or one (1) space, whichever is greater. Nothing in this section shall be intended to reduce, change, or eliminate an owner's obligations under the Rent Control laws.
8.58.110 Exception to Construction Rate Program
Notwithstanding any other provisions of this Code to the contrary, construction projects undertaken solely for the purpose of complying with the Santa Monica Seismic Retrofit Laws shall be exempt from the Construction Rate Program set forth in Section 9.37.110 of this Code.
8.58.120 Trash Screening and Enclosure Requirements.
Notwithstanding any other provisions of this Code to the contrary, the Public Works Director, or designee, may waive or reduce the requirements of Section 9.21.130 (Resource Recovery and Recycling Standards) of this Code, to the minimum extent necessary, if the building owner can show that there is no practicable method to complete the required retrofit and comply with Section 9.21.130.
SECTION 2. Chapter 8.60 of the Santa Monica Municipal Code is hereby amended to read as follows:
Chapter 8.60 Mandatory Seismic Retrofit Requirements for Unreinforced Masonry Bearing Wall Buildings
8.60.010 Adoption.
Appendix Chapter A1 of the California Existing Building Code 2016 Edition, entitled "Seismic Strengthening Provisions for Unreinforced Masonry Bearing Wall Buildings" which adopts by reference Appendix Chapter A1 of the International Existing Building Code, 2015 Edition, as published by the California Building Standards Commission and the International Code Council, (excluding Sections A101, A102, A105, A114, Table A1-G), is hereby adopted as the Mandatory Seismic Retrofit Requirements for Unreinforced Bearing Wall Buildings, of the City of Santa Monica.
8.60.020 Purpose.
The purpose of this Chapter is to enhance public safety by providing improved measures for seismic strengthening to unreinforced masonry bearing wall buildings ("URM Buildings") and reducing risks from the effects of seismic activity. This Chapter and the requirements for mandatory seismic strengthening and retrofit, addresses the hazards of URM Buildings and associated elements of these buildings that are unreinforced such as non-bearing masonry walls and parapets.
This Chapter and the requirements therein are considered minimum standards for structural seismic resistance. They are intended to provide a greater measure of safety through improved performance of URM Buildings. Compliance with this Chapter does not necessarily prevent the loss of life or injury or damage to retrofitted URM Buildings.
8.60.030 Scope and Applicability.
(a) The provisions of this Chapter shall apply to all buildings built under building code standards enacted before January 11, 1977 that contain any unreinforced masonry bearing or non-bearing walls or attachments and appurtenances ("URM Buildings").
(b) An owner of any buildings within the scope of this Chapter shall demonstrate compliance with the Mandatory Seismic Retrofit Requirements of this Chapter consistent with the time limits set forth in this Chapter.
(c) URM Buildings that have completed all required seismic retrofit work, with a lateral load resisting analysis and structural design plans, and obtained valid final approval from the City of Santa Monica prior to the adoption of this Ordinance, are exempt from the requirements this Chapter, except that:
Tall slender URM Buildings with wall height to thickness ratio of thirteen or greater (>=13) shall be subject to the requirements of this Chapter regardless of previously retrofit status.
8.60.050 Time limits for compliance.
The owner of any URM Building covered by this Chapter shall comply with the following time limits.
| Action by Building Owner | Time Limits from Date of Service of Order |
|---------------------------------------------------------------|------------------------------------------|
| Structural Evaluation Report | 90 Days or 3 Months |
| Application for Building Permit and Submission of Plans | 180 Days or 6 Months |
| Final Approval | 2 Years or 24 Months |
SECTION 3. Chapter 8.64 of the Santa Monica Municipal Code is hereby amended to read as follows:
Chapter 8.64 Mandatory Seismic Retrofit Requirements for Existing Concrete and Reinforced Masonry Wall Buildings with Flexible Diaphragms
8.64.010 Adoption.
Appendix Chapter A2 entitled "Earthquake Hazard Reduction in Existing Reinforced Concrete and Reinforced Masonry Wall Buildings with Flexible Diaphragms" of the International Existing Building Code, 2015 Edition, as published by the International Code Council (excluding Section A201, A202, A203, A204, A205, A207) is hereby adopted as the Mandatory Seismic Retrofit Requirements for Existing Concrete and Reinforced Masonry Wall Buildings with Flexible Diaphragms of the City of Santa Monica.
8.64.020 Purpose.
The purpose of this Chapter is to enhance public safety by providing an improved component of seismic strengthening to existing concrete and reinforced masonry wall buildings with flexible diaphragms and reducing risks from the effect of earthquakes. This Chapter addresses the hazards of these buildings by establishing requirements for the analysis, design of structural strengthening elements, and seismic retrofit of these buildings.
This Chapter and the requirements therein are considered minimum standards for structural seismic resistance. They are intended to provide a greater measure of safety through improved performance of existing concrete and reinforced masonry wall buildings with flexible diaphragms. Compliance with this Chapter does not necessarily prevent the loss of life or injury or damage to retrofitted buildings.
8.64.030 Scope and Applicability.
The provisions of this Chapter shall apply to all concrete or reinforced masonry buildings with flexible diaphragms, including tilt-up concrete wall buildings, built under building code standards enacted before January 1, 1996.
Concrete or reinforced masonry buildings with flexible diaphragms, including tilt-up concrete wall buildings that have completed all required seismic retrofit work, with a lateral load resisting analysis and structural design plans, and obtained valid final approval from the City of Santa Monica prior to the adoption of this Ordinance, are exempt from the requirements this Chapter.
An owner of any building within the scope of this Chapter shall demonstrate compliance with the Mandatory Seismic Retrofit Requirements of this Chapter consistent with the time limits set forth in this Chapter.
8.64.040 Definitions.
For purposes of this Chapter, applicable definitions in the California Building Code and the following shall apply:
**Anchorage system** is the system of all structural elements and connections which support the concrete or masonry wall in the lateral direction, including diaphragms and subdiaphragms, wall anchorage and continuity or cross tie connectors in subdiaphragms and main diaphragms for retrofit and repairs.
**Expansion anchor** is a mechanical fastener placed in hardened concrete or assembled masonry, designed to expand in a self-drilled or predrilled hole of a specified size and engage the sides of the hole in one or more locations to develop shear and/or tension resistance to applied loads without grout, adhesive or drypack.
Flexible diaphragm is any diaphragm constructed of wood structural panel, diagonal or straight wood sheathing or decking, metal decking without a structural concrete topping, or horizontal rod bracing.
Reinforced masonry wall building is a building with masonry walls which have twenty-five percent or more of the reinforcing steel ratios required by the Building Code for reinforced masonry and is not classified as an unreinforced masonry wall building pursuant to Chapter 8.60 of the Santa Monica Municipal Code.
Tilt-up concrete wall is a form of precast concrete panel construction either cast in the horizontal position at the site or cast off-site in a fabricator's shop, and then lifted and moved into place in a vertical position.
8.64.050 Engineering Analysis and Design.
(a) Reinforced concrete and reinforced masonry wall anchorage. Concrete and masonry walls shall be anchored to all floors and roofs that provide lateral support for the wall. The anchorage shall provide a positive direct connection between the wall and floor or roof construction capable of resisting 75 percent of the horizontal forces specified in Chapter 16 of the California Building Code.
(b) Special requirements for wall anchorage systems. The steel elements of the wall anchorage system shall be designed in accordance with the building code without the use of the 1.33 short duration allowable stress increase when using allowable stress design.
Wall anchors shall be provided to resist out-of-plane forces, independent of existing shear anchors.
Exception: Existing cast-in-place shear anchors are allowed to be used as wall anchors if the tie element can be readily attached to the anchors, and if the engineer or architect can establish tension values for the existing anchors through the use of approved as-built plans or testing and through analysis showing that the bolts are capable of resisting the total shear load (including dead load) while being acted upon by the maximum tension force due to an earthquake.
Expansion anchors are only allowed with special inspection and approved testing for seismic loading.
Attaching the edge of plywood sheathing to steel ledgers is not considered compliant with the positive anchoring requirements of this Chapter. Attaching the edge of steel decks to steel ledgers is not considered as providing the positive anchorage of this Chapter unless testing and/or analysis are performed to establish shear values for the attachment perpendicular to the edge of the deck. Where steel decking is used as a wall anchor system, the existing connections shall be subject to field verification and the new connections shall be subject to special inspection.
(c) Development of anchor loads into the diaphragm. Development of anchor loads into roof and floor diaphragms shall comply with Chapter 16 of the California Building Code using horizontal forces that are 75 percent of those used for new construction.
Exception: If continuously tied girders are present, the maximum spacing of the continuity ties is the greater of the girder spacing or 24 feet (7315 mm).
In wood diaphragms, anchorage shall not be accomplished by use of toenails or nails subject to withdrawal. Wood ledgers, top plates or framing shall not be used in cross
grain bending or cross grain tension. The continuous ties required in Chapter 16 of the California Building Code shall be used in addition to the diaphragm sheathing.
Lengths of development of anchor loads in wood diaphragms shall be based on existing field nailing of the sheathing unless existing edge nailing is positively identified on the original construction plans or at the site.
(d) Anchorage at pilasters. Anchorage at pilasters shall be designed for the tributary wall-anchoring load per Section 8.64.050(a), considering the wall as a two-way slab. The edges of the two-way slab shall be considered fixed when there is continuity at pilasters and shall be considered pinned at roof and floor. The pilasters or the walls immediately adjacent to the pilasters shall be anchored directly to the roof framing such that the existing vertical anchor bolts at the top of the pilasters are bypassed without permitting tension or shear failure at the top of the pilasters.
Exception: If existing vertical anchor bolts at the top of the pilasters are used for the anchorage, additional exterior confinement shall be provided as required to resist the total anchorage force.
The minimum anchorage force at a floor or roof between the pilasters shall be that specified in Section 8.64.050(a).
(e) Symmetry. Symmetry of wall anchorage and continuity connectors about the minor axis of the framing member is required.
Exception: Eccentricity may be allowed when it can be shown that all components of forces are positively resisted. The resistance must be supported by calculations or tests.
(f) **Combination of anchor types.** New anchors used in combination on a single framing member shall be of compatible behavior and stiffness.
(g) **Anchorage at interior walls.** Existing interior reinforced concrete or reinforced masonry walls that extend to the floor above or to the roof diaphragm shall be anchored for out-of-plane forces per Sections 8.64.050(a) and (c). Walls extending through the roof diaphragm shall be anchored for out-of-plane forces on both sides, and continuity ties shall be spliced across or continuous through the interior wall to provide diaphragm continuity.
(h) **Collectors.** If collectors are not present at reentrant corners or interior shear walls, they shall be provided. Existing or new collectors shall be designed for the capacity required to develop into the diaphragm a force equal to the lesser of the rocking or shear capacity of the reentrant wall or the tributary shear based on 75 percent of the horizontal forces specified in Chapter 16 of the California Building Code. The capacity of the collector need not exceed the capacity of the diaphragm to deliver loads to the collector. A connection shall be provided from the collector to the reentrant wall to transfer the full collector force (load). If a truss or beam other than a rafter or purlin is supported by the reentrant wall or by a column integral with the reentrant wall, then an independent secondary column is required to support the roof or floor members whenever rocking or shear capacity of the reentrant wall is less than the tributary shear.
(i) **Mezzanines.** Existing mezzanines relying on reinforced concrete or reinforced masonry walls for vertical and/or lateral support shall be anchored to the walls for the tributary mezzanine load. Walls depending on the mezzanine for lateral support shall be anchored per Sections 8.64.050(a), (b), (c).
Exception: Existing mezzanines that have independent lateral and vertical support need not be anchored to the walls.
8.64.070 Time limits for compliance.
The owner of any building covered by this Chapter shall comply with the following time limits.
| Action by Building Owner | Time Limits from Date of Service of Order |
|--------------------------|------------------------------------------|
| Structural Evaluation Report | 120 Days or 4 Months |
| Application for Building Permit and Submission of Plans | 270 Days or 9 Months |
| Final Approval | 3 Years or 36 Months |
SECTION 4. Chapter 8.68 of the Santa Monica Municipal Code is hereby amended to read as follows:
Chapter 8.68 Voluntary Seismic Retrofit Requirements for Cripple Walls and Sill Plate Anchorage in Single-Family Dwellings
8.68.010 Adoption.
Appendix Chapter A3 of the California Existing Building Code 2016 Edition, entitled "Prescriptive Provisions for Seismic Strengthening Provisions of Cripple Walls and Sill
Plate Anchorage of Light, Wood-Frame Residential Buildings” which adopts by reference Appendix Chapter A3 of the International Existing Building Code, 2015 Edition, as published by the California Building Standards Commission and the International Code Council, (excluding Sections A301), is hereby adopted as the Voluntary Seismic Retrofit Requirements for Cripple Walls and Sill Plate Anchorage in Single-Family Dwellings of the City of Santa Monica.
8.68.020 Purpose.
The provisions of this Chapter is intended to promote the safety and welfare of occupants in single-family dwellings by reducing the risks of earthquake-induced damage to existing wood-framed structures. The standards contained in this Chapter are intended to substantially improve the seismic performance of these buildings but will not necessarily prevent all earthquake-related damage. When fully followed, these standards will strengthen the portion of the structure that is most vulnerable to earthquake damage.
Prior to 1960, many wood frame dwellings were built with raised wood floors supported by short wood stud walls known as cripple walls. These cripple walls are typically braced with weaker seismic materials such as portland cement plaster or horizontal wood siding. In addition, earlier building codes did not require wood frame buildings to be bolted to their foundations. Recent earthquakes of moderate magnitude have shown that if a building has weak cripple walls or is unbolted, it may fall off its foundation. Fallen buildings have collapsed, caught fire or needed extensive repairs to restore their occupancy.
8.68.030 Scope and Applicability.
Owners of any light wood-frame single-family dwellings, which contain one or more of the following structural weaknesses, are encouraged to seismically retrofit their buildings pursuant to the provisions of this Chapter:
(1) Sill plates or floor framing that are supported directly on the ground without an approved foundation system.
(2) Perimeter foundation system that is constructed only of wood posts supported on isolated pad footings.
(3) Perimeter foundation system that is not continuous at locations other than existing single-story exterior walls not exceeding ten feet (3,084 mm) in length forming an extension of floor area beyond the line of an existing continuous perimeter foundation or at porches, storage rooms and similar spaces not containing fuel-burning appliances.
(4) Perimeter foundation system that is constructed of unreinforced masonry.
(5) Sill plates that are not connected to the foundation or sill plate that are connected with less than what is required by the California Building Code.
(6) Floor framing members that are supported directly on an approved foundation system without a sill plate and are not connected to the foundation or are connected with less than what is required by the California Building Code.
(7) Cripple walls that are not braced in accordance with the requirements of this Chapter or cripple walls not braced with diagonal sheathing or wood structural panels in accordance with the California Building Code.
(8) Cripple walls or sill plates that are not connected to the floor diaphragm above or are connected with less than what is required by the California Building Code.
SECTION 5. Chapter 8.72 of the Santa Monica Municipal Code is hereby amended to read as follows:
Chapter 8.72 Mandatory Seismic Retrofit Requirements for Soft, Weak or Open Front Walls in Light, Wood-Framed Buildings
8.72.010 Purpose.
The purpose of this Chapter is to promote public welfare and safety by reducing the risk of death or injury that may result from the effects of earthquakes on existing wood-frame multi-story buildings with soft, weak or open front walls (Soft Story Buildings). This Chapter creates minimum standards to mitigate hazards from structural deficiencies in soft story, weak or open front wall buildings. Adherence to these minimum standards will improve the performance of these buildings during earthquakes and reduce, but not necessarily prevent the loss of life, injury or earthquake-related damage.
8.72.020 Scope and Applicability.
a) The provisions of this Chapter shall apply to all buildings of wood-frame construction, or wood-frame portions thereof, where:
1. The structure was built under building code standards enacted before November 10, 1980; and
2. The ground floor portion of the structure contains parking or other similar open floor space that causes soft, weak or open-front wall lines, and there exists one or more stories above.
b) Buildings described in subsection (a) have completed all required seismic retrofit work, with a lateral load resisting analysis and structural design plans, and
obtained valid final approval from the City of Santa Monica prior to the adoption of this Ordinance, are exempt from the requirements this Chapter, except that:
1. Buildings with pole structures supporting the soft, weak or open front walls shall be subject to this Chapter regardless of previous retrofit status;
2. Buildings of three or more stories having horizontal structural irregularities of Type 2, 3, 4, or 5 listed in ASCE 7-10 “Horizontal Structural Irregularities” Table 12.3-1, shall be subject to this Chapter regardless of previous retrofit status.
c) An owner of any buildings within the scope of this Chapter shall demonstrate compliance with the mandatory seismic retrofit requirements of this Chapter, as set forth in Section 8.72.050, consistent with the time limits set forth in this Chapter.
8.72.030 Definitions.
ASCE 7-10 (March 7, 2013) is a standards publication by the American Society of Civil Engineers entitled “Minimum Design Loads for Buildings and Other Structures.” It provides requirements for general structural design. This publication is referenced in Chapter 35 of the California Building Code.
Cripple Wall is a wood-framed stud wall extending from the top of the foundation wall to the underside of the lowest floor framing of the building.
Ground Floor is any floor within the wood-frame portion of a building whose elevation is immediately accessible from an adjacent grade by vehicles or pedestrians. The ground floor portion of the structure does not include any floor that is completely below adjacent grades.
Open-Front Wall Line is an exterior wall line, without vertical elements of the lateral force-resisting system, which requires tributary seismic forces to be resisted by
diaphragm rotation or excessive cantilever beyond parallel lines of shear walls. Diaphragms that cantilever more than 25 percent of the distance between lines of lateral force resisting elements from which the diaphragm cantilevers shall be considered excessive. Exterior exit balconies of six feet or less in width shall not be considered excessive cantilevers.
**Soft Wall Line** is a wall line, the lateral stiffness of which is less than what is required by story drift limitations or deformation compatibility requirements of this Chapter. In lieu of the engineering analysis required by this Chapter to determine whether a wall line's lateral stiffness is less than the aforementioned story drift limitations or deformation compatibility requirements, a soft wall line may be defined as a wall line in a story where the wall stiffness is less than 70 percent of the stiffness of the exterior wall above for the direction under consideration.
**Story** is as defined in the California Building Code, but includes any basement or underfloor space of a building with cripple walls exceeding four feet in height.
**Story Strength** is the total strength of all seismic-resisting elements sharing the same story shear in the direction under consideration.
**Wall Line** is any length of a wall along a principal axis of the building used to provide resistance to lateral loads.
**Weak Wall Line** is a wall line at the ground floor where the wall strength is less than 80 percent of the strength of the wall above in the direction under consideration.
8.72.050 **Engineering Analysis and Design.**
(a) **Scope of analysis.** This Chapter requires the alteration, repair, retrofit, replacement or addition of structural elements and their connections to meet the strength
and stiffness requirements set forth in this Chapter, except as modified herein. The structural evaluation required by this Chapter shall analyze and identify structural deficiencies in accordance with ASCE 7-10. As part of the structural evaluation, the lateral-load-path analysis shall include the resisting elements and connections from the wood diaphragm immediately above any soft, weak or open wall lines to the foundation. Stories above the weak wall line shall be considered in the analysis but need not be structurally strengthened.
(b) **Design base shear and design parameters.** The design force in a given direction shall be 75% of the design base shear specified in the seismic provision of ASCE 7-10. The value of response modification coefficient, $R$, need not be less than 3.5, provided the strengthening systems are not cantilevered column systems and the strengthened structure will not have vertical structural irregularities of either Type 1a, 1b, 5a or 5b listed in ASCE 7-10, "Vertical Structural Irregularities" Table 12.3-2.
(c) **Lateral vertical systems.** Strengthening systems with concrete walls or masonry walls, or steel braced frames shall not be permitted.
(d) **Horizontal structural irregularities in buildings with three or more stories.** Structures with three or more stories having horizontal structural irregularities of either Type 2, 3, 4, or 5 listed in ASCE 7-10, "Horizontal Structural Irregularities" Table 12.3-1, shall be altered to meet the additional requirements of those sections referenced in the table for the entire story with weak or open wall lines.
(e) **Alternate analysis, base shear and design parameters.** Alternate design methodologies that improve the whole first story seismic performance that are at least equivalent to those prescribed by this Chapter and that achieve the life safety objectives
established by this Chapter may be submitted to the City for alternative analysis for base shear and design parameters.
(f) Additional anchorage requirements for buildings on hillsides. Where any portion of a building within the scope of this Chapter is constructed on or into a slope steeper than one-unit vertical in three units horizontal (33-percent slope), the lateral-force-resisting system, at and below the base level diaphragm, shall also be analyzed for the effects of concentrated lateral loads caused at the building base from the hillside conditions and comply with the provisions of the City of Santa Monica Building Code.
(g) Story drift limitations. The calculated story drift for each retrofitted story shall not exceed the allowable deformation compatible with all vertical load-resisting elements and 0.025 times the story height. The calculated story drift shall not be reduced by the effects of horizontal diaphragm stiffness, but shall be increased when these effects produce rotation. Drift calculations shall be in accordance with ASCE 7-10 requirements.
(h) Pole structures. The effects of rotation and soil stiffness shall be included in the calculated story drift where lateral loads are resisted by vertical elements whose required depth of embedment is determined by pole formulas. The coefficient of subgrade reaction used in deflection calculations shall be based on an approved geotechnical investigation conducted in accordance with approved geotechnical engineering reports.
(i) P-Delta effect. The requirements of the California Building Code shall apply, except as modified herein. All structural framing elements and their connections not required by the design to be part of the lateral force resisting system shall be designed and detailed to be adequate to maintain support of design dead plus live loads when subject to the expected deformations caused by seismic forces. The stress analysis of
cantilever columns shall use an effective length factor of 2.1 for the direction normal to the axis of the beam.
(j) **Ties, continuity and collectors.** All parts of the structure included in the scope of analysis shall be interconnected and the connection shall be capable of resisting the seismic force created by the parts being connected as required per the California Building Code.
8.72.060 Time limits for compliance.
The owner of any building covered by this Chapter shall comply with the following time limits.
| Action by Building Owner | Time Limits from Date of Service of Order |
|---------------------------------------------------------------|------------------------------------------|
| Structural Evaluation Report | 2 Years or 24 Months |
| Application for Building Permit and Submission of Plans | 3 Years or 36 Months |
| Final Approval | 6 Years or 72 Months |
SECTION 6. Chapter 8.76 of the Santa Monica Municipal Code is hereby amended to read as follows:
Chapter 8.76 Mandatory Seismic Retrofit Requirements for Existing Welded Steel Moment Frame Structures
8.76.010 Purpose.
The provisions of this Chapter are intended to promote the public welfare and safety by reducing the risk of death or injury that may result from the effects of earthquakes on Existing Welded Steel Moment Frame Buildings. The welded connections
and non-ductility of the steel connecting elements introduce poor performance of these buildings in seismic events. The deficiencies in the lateral force resisting system beam-column connections could experience damage and possible connection failures. This Chapter creates minimum standards intended to improve the performance of these buildings during earthquakes and reduce, but not necessarily prevent, the loss of life, injury or earthquake-related damage.
8.76.020 Scope and Applicability.
(a) The provisions of this Chapter shall apply to any building utilizing a Welded Steel Moment Frames that was built under building code standards enacted before January 1, 1996.
(b) Buildings described in subsection (a) above that have completed all required seismic retrofit work, with a lateral load resisting analysis and structural design plans, and obtained valid final approval from the City of Santa Monica prior to the adoption of this Ordinance, are exempt from the requirements this Chapter.
(c) An owner of any buildings within the scope of this Chapter shall demonstrate compliance with the mandatory seismic retrofit requirements of this Chapter, as set forth in Section 8.76.050, consistent with the time limits set forth in this Chapter.
(d) Welded steel moment frames in existing unreinforced masonry buildings or in soft story buildings are exempt from the requirements of this Chapter.
8.76.030 Definitions.
ASCE 41-13 (2014 Edition) is a standards publication by the American Society of Civil Engineers entitled "Seismic Evaluation and Retrofit of Existing Buildings" and describes deficiency-based and systematic procedures to evaluate and retrofit existing
buildings to withstand the effects of earthquakes. This publication is referenced in Chapter 35 of the California Building Code.
**Load path deficiency** occurs when the structure does not contain a complete, well defined load path, including structural elements and connections, that serves to transfer the inertial forces associated with the mass of all elements of the building to the foundation.
**Steel moment frame** is a frame capable of resisting horizontal forces caused by the steel members (beams and column) and joints resisting forces primarily caused by flexure.
### 8.76.040 Compliance requirements.
The structural evaluation, structural analysis report, and structural design plans for the seismic strengthening and retrofit for Welded Steel Moment Frame buildings shall be conducted by a State of California licensed civil or structural engineer, or a State of California registered architect.
For Welded Steel Moment Frame buildings over 55 feet in height as described by Section 8.44.090 of the Santa Monica Municipal Code, the structural evaluation, structural analysis report, and structural design plans shall be conducted by a State of California licensed structural engineer.
Plans and associated documents shall bear the seal and signature of the design professional.
### 8.76.050 Engineering analysis and design.
(a) **Evaluation, analysis and engineering report.** This Chapter requires the alteration, repair, retrofit, replacement or addition of structural elements and their
connections to meet the strength and stiffness requirements set forth in this Chapter, except as modified herein. The structural evaluation required by Section 8.58.030 shall analyze and identify all structural deficiencies in accordance with ASCE 41-13. The engineering report, containing the required structural evaluation, shall further identify major deficiencies observed in the analysis of the building including: deficient load path, weak or soft story conditions, horizontal or vertical irregularities.
(b) **Major deficiencies.** Any of the major deficiencies described in 8.76.050(a) shall cause the building to be retrofitted. Retrofit work to mitigate the major deficiencies shall not impact the existing lateral load elements by increasing any demand-to-capacity ratio by more than ten-percent unless the existing elements are shown to be capable of resisting the increased demand. The mitigation of the major deficiencies shall also not create additional structural deficiencies or make the existing structural deficiencies more severe.
(c) **Advance analysis.** The engineering report may show that the major deficiencies meet the requirements of ASCE 41-13 by advanced analysis.
(d) **Structural analysis, design and evaluation.** The building shall meet or exceed the structural performance level for the associate earthquake hazard levels based on Risk Category as defined in ASCE 41-13 as follows:
| Risk Category | Hazard Level 1 | Hazard Level 2 |
|---------------|----------------------|----------------------|
| I & II | BSE-1E, S-3 | BSE-2E, S-5 |
| III & IV | BSE-1E, S-2 | BSE-2E, S-5 |
8.76.080 Time limits for compliance.
The owner of any building covered by this Chapter shall comply with the following time limits.
| Action by Building Owner | Time Limits from Date of Service of Order |
|---------------------------------------------------------------|------------------------------------------|
| Structural Evaluation Report | 3 Years or 36 Months |
| Application for Building Permit and Submission of Plans | 12 Years or 144 Months |
| Final Approval | 20 Years or 240 Months |
SECTION 7. Chapter 8.80 of the Santa Monica Municipal Code is hereby amended to read as follows:
Chapter 8.80 Mandatory Seismic Retrofit Requirements for Existing Non-Ductile Concrete Buildings
8.80.010 Purpose.
The purpose of this Chapter is to promote the public welfare and safety by reducing the risk of death or injury that may result from the effects of earthquakes on existing concrete buildings. Older concrete buildings are typically vulnerable in seismic events due to deficiencies in the lateral force resisting system (beams, columns and joints) that render the building incapable of sustaining gravity loads when the building is subjected to earthquake-induced lateral displacements. This Chapter creates minimum standards to mitigate hazards from these structural deficiencies. Adherence to these minimum
standards will improve the performance of these buildings during earthquakes and reduce, but not necessarily prevent, the loss of life, injury or earthquake-related damage.
8.80.020 Scope and Applicability.
(a) The provisions of this Chapter shall apply to any concrete building built under building code standards enacted before January 11, 1977.
(b) Buildings described in subsection (a) above that have completed all required seismic retrofit with a lateral load resisting analysis and structural design plans, and obtained valid final approval from the City of Santa Monica prior to the adoption of this Ordinance, are exempt from the requirements this Chapter.
(c) An owner of any buildings within the scope of this Chapter shall demonstrate compliance with the mandatory seismic retrofit requirements of this Chapter, as set forth in Section 8.80.050, consistent with the time limits set forth in this Chapter.
8.80.030 Definitions.
ASCE 41-13 (2014 Edition) is a standards publication by the American Society of Civil Engineers entitled “Seismic Evaluation and Retrofit of Existing Buildings” and describes deficiency-based and systematic procedures to evaluate and retrofit existing buildings to withstand the effects of earthquakes. This publication is referenced in Chapter 35 of the California Building Code.
Concrete building is a building having concrete floors and/or roofs, either with or without beams, supported by concrete walls and/or concrete columns, and/or concrete frames with or without masonry infills, or any combination thereof.
Masonry infill is the unreinforced or reinforced masonry wall construction within a reinforced concrete frame.
8.80.040 Compliance requirements.
The structural evaluation, structural analysis report, and structural design plans for the seismic strengthening and retrofit for Non-Ductile Concrete buildings shall be conducted by a State of California licensed civil or structural engineer, or a State of California registered architect.
For Non-Ductile Concrete buildings over 55 feet in height as described by Section 8.44.090 of the Santa Monica Municipal Code, the structural evaluation, structural analysis report, and structural design plans shall be conducted by a State of California licensed structural engineer.
Plans and associated documents shall bear the seal and signature of the design professional.
8.80.050 Engineering analysis and design.
(a) Scope of analysis. This Chapter requires the alteration, repair, retrofit, replacement or addition of structural elements and their connections to meet the following requirements in this section.
(b) Building structural analysis, design and evaluation. The building shall meet one of the following criteria:
1. Strength of the lateral-force resisting system shall meet or exceed seventy-five percent (75%) of the base shear specified in the California Building Code seismic provisions. Elements not designated to be part of the lateral-force resisting system shall be adequate for gravity load effects and seismic displacement due to the full (100%) of the design story drift specified in the California Building Code seismic provisions.
2. Meet or exceed the requirements specified for "Basic Safety Objectives" from ASCE 41-13 using ground motions and procedures established by the City based on ASCE 41-13.
8.80.060 Time limits for compliance.
The owner of any building covered by this Chapter shall comply with the following time limits.
| Action by Building Owner | Time Limits from Date of Service of Order |
|-------------------------------------------|------------------------------------------|
| Structural Evaluation Report | 3 Years or 36 Months |
| Application for Building Permit and Submission of Plans | 4 Years, 6 Months or 54 Months |
| Final Approval | 10 Years or 120 Months |
SECTION 8. Chapter 4.36 of the Santa Monica Municipal Code is hereby amended to read as follows:
Chapter 4.36 TENANT RELOCATION ASSISTANCE
4.36.010 Definitions.
For purposes of this Chapter, the following words and phrases shall have the following meaning:
(a) **Comparable Housing**. A replacement unit shall be comparable to the existing unit if both units are reasonably comparable in size, number of bedrooms and bathrooms, accessibility, price, location (which may be in either Santa Monica or Los Angeles),
proximity to services and institutions upon which the displaced tenant depends, and amenities, including the allowance for pets should the tenant have pets.
(b) **Person with Disabilities**. Any person who is receiving benefits from a Federal, State, or local government, or from a private entity on account of a permanent disability that prevents the person from engaging in regular, full-time employment.
(c) **Displaced Tenant**. Any tenant who vacates a rental housing unit in the City for any of the reasons set forth in Section 4.36.020 or 4.36.100(a).
(d) **Landlord**. Any owner, lessor, sublessor, or any other person entitled to receive rent for the use and occupancy of a rental housing unit, or any agent, representative or successor of any of the foregoing.
(e) **Minor Child**. Any person younger than eighteen years of age.
(f) **Permanent Relocation**. The relocation of a tenant due to permanent termination of tenancy, in which case the tenant will not reoccupy the unit.
(g) **Rental Housing Unit**. A housing unit in the City of Santa Monica including a room in a single-family home, hotel or motel, rooming house or apartment, single-family home, mobile home or mobile home space, trailer or trailer space, offered for rent. A dwelling unit lawfully registered with the City’s Rent Control Board also constitutes a “Rental Housing Unit.” “Rental housing unit” does not include any unit occupied pursuant to an innkeeper-guest relationship.
(h) **Senior Citizen**. Any person sixty-two years of age or older.
(i) **Temporary Relocation**. The relocation of a tenant temporarily and where tenancy has not been terminated.
(j) **Tenant**. Any tenant, subtenant, lessee, sublessee, or any other person occupying a rental housing unit pursuant to a written or oral rental housing agreement.
4.36.020 When permanent relocation fee required.
(a) A relocation fee shall be paid in accordance with the provisions of this Chapter by any landlord who terminates or causes the termination of a tenancy for any of the following reasons:
(1) The landlord seeks to withdraw all rental housing units from the rental housing market as provided in Government Code Sections 7060 et seq.
(2) The landlord seeks to recover possession of a rental housing unit pursuant to Section 1806(a)(8), 1806(a)(9), 2304(a)(8), or 2304(a)(9) of the City Charter.
(3) The landlord seeks to recover possession to demolish or otherwise withdraw a rental housing unit from residential rental housing use, including units that were illegally converted to residential use, after having obtained all proper permits from the City, if any such permits are required.
(b) A relocation fee shall be paid in accordance with the provisions of this Chapter to a displaced tenant who serves a landlord with a notice to terminate tenancy after having received written notice from either the landlord or the Santa Monica Rent Control Board that the landlord has filed a notice of intent to withdraw residential rental units pursuant to Government Code Section 7060.4 and Santa Monica Rent Control Board Regulation 16002(a) or an application for removal permit pursuant to Santa Monica Charter Section 1803(t).
(c) The fee required by this Chapter shall be due and payable to a displaced tenant whether or not the landlord actually utilizes the rental housing unit for the purposes stated in the notice of eviction.
4.36.030 Notice to tenants being displaced.
(a) Any notice to terminate a tenancy which is served upon tenants for any of the reasons set forth in Section 4.36.020 shall be accompanied by the following on the form provided by the City:
(1) A written statement of the rights and obligations of tenants and landlords under this Chapter;
(2) A written statement informing the tenants that the required relocation fee has been placed in an escrow account or other account approved by the City;
(3) A written statement that the landlord has complied with Section 4.36.050. If the landlord has complied with Section 4.36.050 by obtaining City approval of a Displacement Plan, a copy of the Displacement Plan shall accompany the written statement.
(b) A landlord shall comply with the provisions of this Section within two working days after receiving a tenant’s notice to terminate tenancy as set forth in Section 4.36.020(b).
4.36.040 Amount of relocation fee—Permanent relocation.
The amount of the permanent relocation fee payable pursuant to the provisions of this Chapter shall be established in accordance with the following formula: 2011 relocation fee adjusted for inflation by the percentage change in the rent of primary residence component of the CPI-W Index for the Los Angeles/Riverside/Orange County area, as
published by the United States Department of Labor, Bureau of Labor Statistics, between November 2011 and the July 1st preceding the date of vacancy rounded to the nearest fifty dollars. This amount shall be updated annually commencing on July 1, 2012 and on July 1st of each year thereafter.
(a) The 2011 permanent relocation fee established pursuant to Ordinance 2383CCS and determined according to the size of the retail housing unit, was as follows:
| Apartment Size | 2011 Relocation Amount | 2011 Augmented Amount |
|-------------------------|------------------------|-----------------------|
| Single or studio | $7,800 | $8,900 |
| One bedroom | 12,050 | 13,850 |
| Two or more bedrooms | 16,300 | 18,750 |
(b) If a tenant is evicted from more than one rental housing unit on a property, the tenant shall not be entitled to receive separate permanent relocation fees for each rental housing unit. The tenant shall receive a single relocation fee based on the combined total number of bedrooms in the rental housing units from which the tenant is being evicted. If one of the rental housing units is a bachelor or single unit, it shall be counted as a one bedroom unit for purposes of determining the amount of the relocation fee (e.g., a tenant who is evicted from a bachelor rental housing unit and a one bedroom rental housing unit would receive relocation benefits for a two bedroom unit).
(c) If the rental housing unit from which the tenant is being evicted is furnished, two hundred fifty dollars shall be deducted from the amount set forth in subsection (a) of this Section. For purposes of this subsection, a rental housing unit shall be considered to
be furnished if the landlord has provided substantial furnishings in each occupied room of the rental housing unit.
(d) If one or more of the displaced tenants is a senior citizen or disabled person, or is a tenant with whom a minor child resides, an augmented amount shall be paid as set forth in subsection (a) of this Section. The amount added pursuant to this subsection shall be adjusted annually pursuant to the formula specified above commencing on July 1, 2012, and each July 1st thereafter.
(e) Any tenant still in possession of a rental unit after the permanent relocation amounts have been updated pursuant to this Section, shall be entitled to the updated relocation amounts even if the landlord commenced the termination of the tenancy prior to the update. In the event that a landlord has already complied with the provisions of Section 4.36.060 based on the relocation amounts previously in effect, but has not yet received a written request from a tenant for distribution of the fee pursuant to Section 4.36.070, the landlord shall place in escrow the additional amount of relocation fee required by this Section within five working days of the effective date of the updated amount.
4.36.050 Additional fee for required counseling.
(a) For each rental housing unit from which tenants are displaced for any of the reasons set forth in Section 4.36.020(a), prior to service of a notice to terminate tenancy, the landlord shall pay a fee to the City in the amount of two hundred fifty dollars to be used by the City to pay for counseling or other assistance required by displaced tenants as a result of displacement.
(b) In lieu of the fee required by subsection (a) of this Section, a landlord may prepare a Displacement Plan which must be approved by the Housing and Economic Development Department prior to service of a notice to terminate tenancy. The Displacement Plan shall identify the special needs of the displaced tenants, identify the types of assistance that will be provided and include a commitment to pay for any such assistance. At the time of submitting the Displacement Plan to the City for review and approval, the landlord shall pay a fee to the City for such review and approval in the amount of one hundred dollars for each rental housing unit.
4.36.060 Deposit of relocation fee into escrow for permanent relocation.
(a) The permanent relocation fee required by this Chapter shall be placed in an escrow account prior to service by a landlord upon any tenant of a notice to terminate tenancy for one of the reasons set forth in Section 4.36.020(a) or within two working days of service by a tenant upon a landlord of notice to terminate tenancy as set forth in Section 4.36.020(b). All costs of an escrow opened pursuant to the provisions of this Section shall be borne by the landlord. Escrow instructions shall be approved by the City.
(b) The escrow instructions shall provide that monies deposited in the escrow account shall only be distributed to displaced tenant in accordance with the instructions of the landlord and that no monies deposited in escrow may be returned to the landlord without the written approval of the City.
(c) In lieu of deposit of the permanent relocation fee in an escrow account, a landlord may deposit the fee in another account approved by the City.
4.36.070 Payment to displaced tenants of permanent relocation fee.
(a) Within two working days of the written request by the tenant, the landlord shall deliver written instructions to the escrow holder to distribute all or a portion of the permanent relocation fee to a third party providing moving or replacement housing to the tenant. The instructions shall direct the escrow holder to make the distribution within three working days of delivery of the instructions.
(b) Within two working days of the vacation of the rental housing unit, the landlord shall deliver written instruction to the escrow holder to distribute the amount of the remaining relocation fee to the displaced tenant or displaced tenants of such rental housing unit. The instruction shall direct the escrow holder to make the distribution within three working days of delivery of the instructions.
(c) The entire fee shall be paid to a tenant who is the only displaced tenant in a rental housing unit. If a rental housing unit is occupied by two or more displaced tenants, the permanent relocation fee shall be paid to all displaced tenants jointly. In no event shall a landlord be liable to pay a total amount more than the fee required by Section 4.36.040 of this Chapter for one rental housing unit, and the landlord shall have no responsibility or liability for disputes between displaced tenants over allocation of the relocation fee between such displaced tenants.
(d) In the event the landlord has been required to commence a legal action to recover possession of the rental housing unit and a decision is rendered or a judgment has been entered in favor of the landlord prior to the tenant’s vacation of the unit, the landlord may instruct the escrow holder to withhold from distribution to the displaced tenant or displaced tenants of such rental housing units any unsatisfied monetary award provided in such decision or judgment in favor of the landlord. Upon the judgment
becoming final, the City shall authorize the escrow holder to return to the landlord the amount withheld. If no decision has been rendered or no judgment has been entered for a monetary award in favor of the landlord prior to the tenant's vacation of the unit, the landlord must authorize the distribution of the entire relocation fee in accordance with Section 4.36.070.
4.36.080 Physical relocation in lieu of fee.
(a) In lieu of the permanent relocation fee required by Sections 4.36.040 and 4.36.050, the landlord may, at the landlord's option, relocate the displaced tenant into a comparable replacement housing unit satisfactory to the tenant, in which event the landlord shall be liable only for the actual costs of relocating the tenant, except that this Section shall not abrogate any rights already created by Section 1806(a)(8)(ii) of the City Charter. A tenant shall not unreasonably withhold approval of a comparable replacement rental housing unit offered by the landlord.
(b) If a tenant displaced for the reason set forth in Section 4.36.020(a)(2) elects to occupy a noncomparable vacant unit on the same property from which that tenant is being displaced, pursuant to the terms set forth in Section 1806(a)(8) of the City Charter, in lieu of the permanent relocation fee required by Sections 4.36.040 and 4.36.050, the landlord shall only be liable for the actual costs of relocating the tenant.
4.36.085 Prohibition against agreements limiting public participation.
No landlord shall, with respect to property used as rental housing, any rental housing agreement or other tenancy or estate at will, however created, do any of the following:
(a) Enter into an agreement with a tenant which prohibits or limits the tenant from participating in the City's public process, including speaking at a meeting of the City Council or any City Commission, submitting written comments to the City, or otherwise communicating with City elected officials, appointed officials, and employees on any subject.
(b) Attempt to enforce an agreement such as described in subsection (a).
(c) Withhold deposit of relocation fees into escrow or withhold payment of such fees or other payments otherwise owed to the tenant in an attempt to induce a tenant to enter into an agreement such as described in subsection (a).
4.36.090 Remedies.
(a) In any action by a landlord to recover possession of a rental housing unit for one of the reasons set forth in Section 4.36.020, the landlord shall allege and prove compliance with this Chapter.
(b) Any landlord who fails to provide relocation assistance as required by Sections 4.36.040, 4.36.050, 4.36.070 and 4.36.100 or who violates Section 4.36.085 of this Chapter shall be subject to injunctive relief and be liable in a civil action to the tenant to whom such assistance is due for damages in the amount of the relocation fee the landlord has failed to pay, a civil penalty in the amount of five hundred dollars and reasonable attorneys' fees and costs as determined by the court. The court may also award punitive damages in a proper case as defined by Civil Code Section 3294. Any person, including the City, may enforce the provisions of this Chapter by means of a civil action.
(c) Any person violating any of the provisions of or failing to comply with the requirements of this Chapter, including failure to comply with a relocation order issued by
the Building Officer pursuant to Section 4.36.100, shall be guilty of an infraction which shall be punishable by a fine not exceeding $250.00, or a misdemeanor and upon conviction shall be punished by a fine of not greater than $500.00 or by imprisonment in the County Jail for not more than six months, or by both such fine and imprisonment.
(d) Failure to comply with a relocation order shall be considered a strict liability offense; accordingly, the prosecution shall not be required to prove criminal intent or that the violator meant to violate any provision of this Chapter.
(e) Any person convicted of violating any provision of this Chapter shall be required to reimburse the City its full investigative costs.
(f) If a landlord fails or refuses to provide relocation benefits required by this Chapter, and the City chooses to pay such benefits to tenants in the landlord's place, the City shall have the right to recover such monetary outlays, plus any administrative fees incurred by the City, from the landlord as restitution in any criminal case filed pursuant to this Chapter or in any appropriate civil or administrative proceeding.
(g) Unless otherwise specifically authorized, no landlord shall attempt to secure from a tenant any waiver of any provision of this Chapter. Any agreement, whether written or oral, whereby any provision of this Chapter is waived, shall be deemed against public policy and shall be void.
(h) Any contractual term which violates Section 4.36.085 of this Chapter, whether written or oral, shall be deemed against public policy and shall be void.
(i) Nonexclusive Remedies and Penalties. The remedies provided in this Chapter are not exclusive, and nothing in this Chapter shall preclude any person from seeking any other remedies, penalties or procedures provided by law.
4.36.100 Temporary relocation mandated by code compliance or by government order.
(a) A landlord is required to provide temporary relocation benefits to tenants as required by this Section when:
(1) The landlord is required to temporarily recover possession of a rental housing unit in order to comply with housing, health, building, fire or safety laws of the State of California or the City of Santa Monica, or
(2) A rental housing unit has been rendered uninhabitable, necessitating the tenant(s) of the housing unit to no longer dwell within that unit, or
(3) A tenant is required to vacate a rental housing unit upon the order of any government officer or agency.
A landlord's obligations under this subsection shall be self-executing; nonetheless, the Building Officer may issue a relocation order to the landlord to compel performance under this Section. No person shall fail to comply with any such relocation order.
(b) These relocation benefits shall include both temporary housing as provided in subsection (c) of this Section and moving costs as provided in subsection (d) of this Section and shall be paid until such time temporary relocation benefits are no longer required by law, such as when legal tenancy is terminated or the tenant is returned to his/her dwelling unit which has been made habitable. Provision of temporary relocation benefits does not relieve the Landlord's obligation to provide permanent relocation benefits as required by this Chapter.
(c) The type of temporary housing, required by this Section is dependent on the duration of the tenant's displacement. When the Building Officer or landlord determines
the need for a tenant to vacate, he or she shall estimate the projected duration of the vacancy. That estimate will determine whether subsection (c)(1) or (c)(2) of this Section must be followed. If the Building Officer orders relocation, he or she shall provide notice to the landlord and all affected tenants of the relocation requirements and responsibilities pursuant to this Section. This notice may include a copy of this Section and the City Council's resolution regarding per diem rates. The landlord shall facilitate the Building Officer's provision of tenant notification by providing forwarding contact information for affected tenants if the tenants vacated the premises prior to the Building Officer's Order.
If the landlord determines that the provisions of this code require a tenant to vacate, the landlord shall provide notice of the estimated relocation period to affected tenants and relocation benefit requirements and responsibilities established by this Section.
(1) Relocation Less Than 30 days. If it is anticipated that a tenant will be displaced for a period less than thirty days, the landlord shall pay the tenant relocation costs in the per diem amounts set by the City Council pursuant to subsection (e). The per diem amount shall be calculated to include compensation for the following:
(A) Temporary relocation to a motel or hotel accommodation which is safe, sanitary, located in Santa Monica and contains standard amenities such as a telephone;
(B) Meals, if the temporary accommodation lacks cooking facilities;
(C) Laundry, if the rental property included laundry facilities; and
(D) Accommodations for lawful pets if the temporary accommodation does not accept pets.
The landlord shall have the option, in lieu of providing tenant relocation costs in accordance with this subsection, of providing the tenant with comparable housing
pursuant to subsection (c)(2) for the period of the displacement or temporary placement in a safe and sanitary hotel/motel if the relocation is estimated to be five (5) days or less. If the relocation extends beyond five (5) days, the tenant shall be entitled to the per diem or comparable housing, unless the tenant explicitly agrees to extend his/her stay in the hotel/motel. The tenant shall remain responsible to pay to the landlord rent which falls due for the tenant's existing unit during the period of displacement.
(2) Relocation 30 days or Greater. If it is anticipated that the displacement will be for a period of thirty days or greater, the landlord shall provide either temporary rental housing or per diem payments in accordance with Subsection (c)(1) of this Section, prepaid by the landlord in weekly increments. If the landlord elects temporary rental housing, such housing shall be comparable to the tenant's existing housing, as determined by the Building Officer. However, a landlord's election of temporary rental housing shall not be revocable by the landlord, once the tenant moves into the temporary housing. In cases where the landlord elects temporary rental housing, the landlord must provide per diem payments in accordance with Subsection (c)(1) of this Section until such time the displaced tenant is housed in temporary rental housing. The landlord shall pay all costs associated with the temporary housing, including rent, even if the temporary housing is more expensive than the tenant's existing unit. The tenant shall remain responsible to pay rent to the landlord for the tenant's existing unit during the period of displacement.
(3) The relocation benefits required by this Section shall be paid within twenty-four hours of when any condition outlined in Subsection (a) of this Section arises, or at least
twenty days prior to the vacation date set forth in any order or notice to vacate, whichever is later.
(4) If the landlord or the Building Officer determines that the actual relocation period will be longer than a landlord has paid for, or than projected by the landlord or the Building Officer, the landlord must notify the affected tenant as soon as the determination is made and promptly pay the tenant the amount owed and remain current on such payments. If a tenant's actual vacancy period is shorter than the period the landlord has paid for, the tenant must repay any overpaid amount to the landlord within thirty days of receiving written notice from the landlord of the overpayment. The landlord must make a good faith effort to monitor the necessity of the tenant’s continued displacement and provide the tenant with advance notice of any changes to the anticipated relocation period.
(5) The landlord shall ensure that temporary relocation of a tenant does not exceed the estimated relocation period as determined by the Building Officer pursuant to this Section. Should a longer period be necessary, the landlord shall request an extension from the Building Officer and demonstrate good cause for such an extension.
(6) The landlord and the tenant may mutually agree upon a housing type or relocation benefit other than what is required by this Section. The landlord may not coerce any tenant into such an agreement. Any such coercion may constitute unlawful tenant harassment, subject to the remedies set forth in Chapter 4.56 of this Code.
(d) Moving costs shall consist of all actual reasonable costs of moving, including transportation of personal property, packing and unpacking, insurance of personal property while in transit, compensation for any damage occurring during moving,
necessary storage of personal property, disconnection and reconnection of utility services related to the move and any other additional costs attributable to a tenant's special needs, including needs resulting from disability or age.
(e) The City Council shall periodically establish by resolution reasonable per diem rates for the following items of temporary relocation expenses required under this Section. These rates shall be adjusted annually for inflation by the percentage change in the Consumer Price Index ("CPI") commencing on July 1, 2007 and on July 1st of each year thereafter.
(1) Hotel accommodations;
(2) Meal allowance;
(3) Laundry allowance;
(4) Pet accommodations.
(f) The displacement and relocation of a tenant pursuant to this Section or Section 8.100.030 shall not terminate the tenancy of the displaced tenant. The displaced tenant shall have the right to reoccupy his or her unit upon the completion of the work necessary for the unit to comply with housing, health, building or safety laws, any governmental order, or the unit is otherwise restored to a habitable condition, the tenant shall retain all rights of tenancy that existed prior to the displacement.
(g) Upon receiving a relocation order from the City, the landlord is required to promptly obtain any required permits and/or approvals from the City and/or other regulatory agency who has jurisdiction over the required work, promptly commence the necessary work to restore the affected unit(s) to a habitable condition, diligently work towards completion of the work and return all affected tenants to their units.
(h) If a displaced tenant's behavior causes the tenant to be removed or evicted, for cause, from his/her temporary housing accommodations, the landlord may request and the Building Officer may grant early termination of temporary relocation obligations with respect to that tenant. The Building Officer may develop criteria that would aid in reviewing such requests.
(i) A landlord or tenant who disputes a notice or order regarding temporary relocation benefits may request a hearing pursuant to the procedures set forth in Chapter 6.16. Any such hearing request shall be filed with the Building Officer within two business days of the notice or order on a form provided by the Building Officer.
(j) An appeal shall not automatically stay the underlying relocation order. However, the Building Officer or the Hearing Examiner on appeal may grant a written request to stay the relocation order. Any such request to stay the relocation order shall be considered as soon as practicable. The Hearing Examiner may choose to make any preliminary inquiries necessary, including holding a preliminary in-person or telephonic hearing, to receive preliminary facts. However, if the Building Officer rejects a landlord's written request to stay a relocation order pending an appeal and the landlord ultimately prevails in overturning the Building Officer's relocation order, the City shall reimburse the landlord any actual reasonable housing, moving and storage costs incurred by the landlord as required by Section 4.36.100, which shall begin to accrue on the first business day after the date the City receives a written stay request. The landlord may not recover other costs, such as attorney's fees or court costs, from the City.
4.36.110 Applicability of relocation assistance requirements as provided in this Chapter.
(a) A tenant shall be entitled to the relocation benefits established by this Chapter pursuant to Section 4.36.100.
(b) The landlord shall comply with the requirements contained in Sections 4.36.030, 4.36.040, 4.36.050 and 4.36.060 within five days of the effective date of any ordinance codified in this Chapter or any update of the fee amount pursuant to Section 4.36.040 in the event that a notice to terminate tenancy for one of the reasons set forth in Section 4.36.020(a) has already been served on a tenant or a notice to terminate tenancy pursuant to Section 4.36.020(b) has already been served on a landlord. In the event that on the effective date of any such amendment or update, a landlord has complied with the provisions of Section 4.36.060 previously in effect, but has not yet received a written request from a tenant for distribution of the fee pursuant to Section 4.36.070, the landlord shall place in escrow the additional amount of relocation fee required by Section 4.36.040 within five working days of the effective date of the amendment or update.
(c) Nothing in this Chapter shall limit the amount of the relocation fee that the City Council may require under Government Code Section 65863.7.
(d) An administrative citation’s fine amount shall be doubled, when the citation is issued in connection with a landlord’s commencement of construction work without first obtaining all necessary governmental permits and that the work necessitated the relocation of a tenant.
4.36.120 Applicability of Chapter to certain situations.
(a) Notwithstanding Section 4.36.110 and 4.36.100 (c), the requirements set forth in this Chapter shall not apply to any tenant whose tenancy is terminated pursuant
to a lawful notice to terminate tenancy pursuant to Section 1806(a) of the City Charter served on or before June 10, 1986.
(b) No landlord shall be required to pay temporary relocation benefits pursuant to Section 4.36.100 if the displacement and relocation of the tenant is the result of an earthquake or other natural disaster, terrorist attack, or other incident occurring or substantially initiated off of the property from which relocation is required, but not caused by the landlord, as determined by the Fire Marshal or Building Officer (such as vehicle accident, criminal activity, public utility failure or adjacent building failure). However, to the extent that any person, other than the landlord, causes tenant relocation pursuant to Section 4.36.100, such person shall be responsible for the provision of temporary relocation benefits, as required by Section 4.36.100.
(c) The displacement and relocation of a tenant for repair and retrofitting pursuant to Municipal Code Chapters 8.60, 8.64, 8.68, 8.72, 8.76, and 8.80 shall not terminate the tenancy of the displaced tenant. The displaced tenant shall have the right to reoccupy the unit upon the completion of the repairs and retrofitting and shall retain all rights of tenancy that existed before the displacement.
(d) No landlord shall be required to provide temporary relocation benefits pursuant to Section 4.36.100 to a tenant if that tenant or his or her guest or invitee was entirely or primarily responsible for causing the condition that necessitated the temporary relocation. In such cases, the landlord's responsibility to provide temporary relocation benefits to other non-responsible tenants remains.
(e) If a tenant elects to remain in his/her unit (including day, evening, and/or night time hours) following an order directing temporary relocation, said tenant shall not
receive relocation benefits. However, the tenant's right to relocation benefits shall not be affected by the tenant's limited access to the unit to retrieve personal belongings.
(f) If a tenant interferes, obstructs or delays an owner's ability to conduct necessary repairs to restore a unit to habitable status, the owner's obligation to provide relocation benefits to that tenant may be lifted by order of the Building Officer.
4.36.130 Coordination with other relocation requirements.
In the event that a landlord is required by any other governmental body to provide relocation benefits to a tenant who receives a notice to terminate tenancy for one of the reasons set forth in Section 4.36.020, such benefits shall be offset against the amount of relocation benefits required by Section 4.36.040. This Chapter shall not apply to any relocation plan approved by agreement by the Rent Control Board on or before June 24, 1986.
4.36.140 Security deposit for temporary relocation.
The Building Officer may require the landlord to furnish security to the City sufficient to ensure the timely and faithful performance of all work included within the scope of a permit and the payment of all relocation assistance necessitated by the temporary displacement of the tenants, if any, based on an analysis of the following factors: size of project, duration of project, potential for impact on tenant safety, and invasiveness of project. If required, any of the following or similar instruments are acceptable forms of security:
(a) A deposit, either with the City or a responsible escrow agent or trust company, at the option of the City, of money or negotiable bonds of the kind approved for securing deposits of public monies;
(b) An instrument of credit from one or more financial institution subject to regulation by the State or Federal government or a letter of credit issued by such a financial institution;
(c) Bond or bonds by one or more duly authorized corporate sureties;
(d) A restricted bank account.
SECTION 9. Chapter 8.100 of the Santa Monica Municipal Code is hereby amended to read as follows:
Chapter 8.100 TENANT PROTECTION DURING CONSTRUCTION
8.100.010 Construction means and method plan required.
(a) When applying for a permit to alter, repair, or rehabilitate any structure that contains one or more dwelling units or mobilehome park, the applicant shall indicate on a form furnished by the Building Officer whether the property is occupied by tenants.
(b) If the property is tenant-occupied and, as determined by the Building Officer, the construction work could impact the habitability of any unit on the property, prior to obtaining a permit, the applicant shall submit a construction means and method plan to the Building Officer which contains the information required by Section 8.100.020. The Building Officer may consult all relevant sources of authority, including Health and Safety Code Section 17920.3 or its successor legislation, to guide his/her determination of habitability.
(c) No permit shall be issued until a satisfactory means and method plan is approved by the Building Officer, if required.
(d) If the unit or building was not tenant occupied at the time a permit application was submitted, the applicant shall submit a construction means and method plan prior to
any unit in the building being tenant occupied. If the Building Officer determines that the work could impact the habitability of any unit on the property given the manner in which the construction is being undertaken, the requirements of Sections 8.100.020, 8.100.030, 8.100.040, 8.100.050, and 8.100.060 below shall also apply.
(e) The Building Officer may stop construction until all applicable requirements of this Chapter have been met.
8.100.020 Contents of construction means and method plan.
The construction means and method plan required by subsection (b) of Section 8.100.010 shall provide the following information:
(a) A detailed description of the construction process, organized sequentially;
(b) An explanation of the impact that this construction will have on the occupancy of the units by tenants;
(c) The owner’s plan to address the habitability impacts on the tenants created by the proposed construction project;
(d) An assessment of whether any or all of the tenants will need to be temporarily relocated during any phase of the work, including relocation intermittently during the project;
(e) A description of the construction mitigation measures that the owner will implement to minimize the impacts of noise, dust, vibrations, utility shut-offs, and other construction impacts on tenants;
(f) A description of all related construction projects at the property that would commence concurrent with or immediately after the proposed project is scheduled to end.
8.100.030 Relocation plan.
(a) If the construction means and method plan demonstrates, as determined by the Building Officer, that the work being performed on the property may require that tenants be temporarily relocated, the applicant shall also prepare and submit a relocation plan on a form provided by the Building Officer for City approval prior to issuance of a permit which shall contain:
(1) The fair and reasonable relocation benefits that will be provided to all displaced tenants as required by Municipal Code Section 4.36.100;
(2) The timing of the displacement will be provided to all tenants who will be displaced;
(3) A copy of the notice required by Section 8.100.040(a) with all information required by Section 8.100.040(b).
(4) Based upon a recent survey and analysis of both the housing needs of persons who will be displaced and the supply of available temporary housing, and considering the competing needs for that housing, verification that sufficient temporary housing of the type required by Section 4.36.100 will be provided;
(5) Verification that the owner has adequate resources to provide the required relocation benefits and adequate provisions have been made for the orderly, timely, and efficient relocation of displaced tenants to comparable replacement housing.
(b) If the Building Officer determined, at the time of permit approval, that temporary relocation was not required and if new construction conditions could potentially impact habitability of any tenant unit, the applicant must submit an amended means and method plan and obtain all required City approvals prior to commencing any work beyond the scope of work originally approved. If the Building Officer determines that the work could
impact the habitability of any unit on the property given the manner in which the change in construction is being undertaken, the requirements of this Section and Sections 8.100.040, 8.100.050, and 8.100.060 below shall also apply.
8.100.040 Tenant noticing requirements.
(a) Contemporaneous with the submission of a construction means and method plan to the City, the applicant must certify that all affected tenants of the property have received the proposed means and method plan, the proposed relocation plan if required, and information explaining how to contact responsible City officials regarding the processing of such plans. Provision of the above information to the tenants shall be by hand-delivery, with a proof of service, to each affected tenant of the property or sent by certified mail or otherwise delivered in a form of electronic means acceptable to the Building Officer.
(b) Before a permit can be issued for the alteration/repair/rehabilitation of a building or mobilehome park which required an applicant to prepare a construction means and method plan pursuant to Section 8.100.010 of this Chapter, the applicant must certify that all affected tenants of the property will receive the information required by subsection (b) of this Section, in a form approved by the City within five days following the issuance of the permit and that no work shall commence under the permit until five days after the date all affected tenants were notified. This notice shall be hand-delivered, with a proof of service, to each affected tenant of the property or sent by certified mail or otherwise delivered in a form of electronic means acceptable to the Building Officer.
(c) The notice required by subsection (b) of this Section shall contain the following information:
(1) A detailed description of the nature and type of construction activity that will be undertaken;
(2) Information regarding the scheduling of construction and the periods in which services such as laundry, parking, elevators, water and power, will be unavailable;
(3) A statement that the construction being undertaken at the property will not terminate the tenant's tenancy;
(4) A statement informing the tenants of their right to seek mitigation from the property owner for nuisance conditions at the property, including, but not limited to, noise, dust, vibrations, utility shut-offs and other construction impacts. Mitigation measures may include, but are not limited to, temporary rent reductions, quiet office space for tenants working at home and temporary accommodations;
(5) A statement informing tenants of their right to review and receive free copies of the owner's approved construction means and method plan and how to obtain;
(6) A statement informing tenants of their right to review and receive free copies of the owner's approved relocation plan, if such plan was required and how to obtain;
(7) Information explaining how to contact the project applicant, including the designation of a project manager responsible for responding to tenant inquiries, complaints, and requests for mitigation of nuisance conditions;
(8) A statement informing tenants that they should immediately contact the City regarding any conditions at the property which they consider to be unsafe, unsanitary, in violation of the City's technical or safety codes, or in violation of the applicant's construction means and method plan;
(9) For construction projects that exceed thirty days in duration as measured from the date that construction commences, the applicant shall also inform the affected tenants that the applicant will provide monthly notices to the affected tenants regarding the progress of construction and will schedule meetings periodically, or by order of the Building Officer, to address the construction progress and obtain tenant input and feedback regarding the construction. The Building Officer's order to schedule such tenant meetings is not appealable.
(10) Any other information that the Building Officer determines is necessary due to the unique circumstances of the construction work.
(d) In addition to the information required by subsection (c) of this Section, the tenant notification shall provide the following information if the project will require the temporary relocation of tenants:
A statement that the construction activity may require displacement, but that to the greatest extent practicable, no tenant lawfully occupying the property will be required to move without written notice from the owner in accordance with this Chapter.
(e) In addition to the notice required by subsections (a), (b), (c), and (d) of this Section, the landlord shall post the property with a preprinted sign or signs prepared by the City measuring thirty inches by forty inches in size in a conspicuous location visible to tenants that include the information on where to file a complaint with the landlord or landlord's representative and the City regarding any conditions at the property which any tenant considers to be unsafe, unsanitary, in violation of the City's technical or safety codes, or in violation of the applicant's construction means and method plan.
8.100.050 Security.
Before receiving a permit for a project which requires an applicant to prepare a construction means and method plan pursuant to Section 8.100.010 of this Chapter, the applicant shall furnish security to the City in accordance with Section 4.36.140 of this Chapter.
8.100.060 Compliance with required means and method plan.
(a) **General.** No person shall erect, construct, enlarge, alter, repair, move, improve, remove, sandblast or convert the use of any building, structure or building service equipment regulated by this Code without complying with all conditions of any required construction means and methods plan.
(b) **Owner’s Responsibility.** The property owner shall remain responsible for any violation of the construction means and method plan regardless of the responsibility of any other person for the violation or any contract or agreement the owner entered into with a third party concerning the owner’s property or the construction that necessitated the preparation of the means and method plan. A licensed contractor serving as the agent of the owner or as the applicant for a permit may be held jointly responsible for violations of the means and methods plan.
8.100.070 Administrative regulations.
The Building Officer shall have the authority to promulgate and/or adopt administrative regulations to implement the provisions of this Chapter.
8.100.080 Hazardous Materials
(a) Any owner shall ensure that hazardous materials, such as mold or asbestos, are properly handled and abated during any construction, demolition or modification to any building.
(b) Whenever handling or abatement of hazardous materials, such as mold or asbestos, is undertaken, the owner shall provide proof, to the satisfaction of the Building Officer, that proper handling and/or abatement procedures, performed by appropriately certified experts, were followed, and that the site is safe for its intended occupancies.
(c) The City may reasonably engage the services of qualified experts, at the owner’s expense, to assist the City in evaluating the owner’s compliance with this section.
SECTION 10. Any provision of the Santa Monica Municipal Code or appendices thereto inconsistent with the provisions of this Ordinance, to the extent of such inconsistencies and no further, is hereby repealed or modified to that extent necessary to effect the provisions of this Ordinance.
SECTION 11. If any section, subsection, sentence, clause, or phrase of this Ordinance is for any reason held to be invalid or unconstitutional by a decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this Ordinance. The City Council hereby declares that it would have passed this Ordinance and each and every section, subsection, sentence, clause, or phrase not declared invalid or unconstitutional without regard to whether any portion of the ordinance would be subsequently declared invalid or unconstitutional.
SECTION 12. The Mayor shall sign and the City Clerk shall attest to the passage of this Ordinance. The City Clerk shall cause the same to be published once in the official newspaper within 15 days after its adoption. This Ordinance shall become effective 30 days from its adoption.
APPROVED AS TO FORM:
JOSEPH LAWRENCE
Interim City Attorney
Approved and adopted this 28th day of March, 2017.
Ted Winterer, Mayor
State of California )
County of Los Angeles ) ss.
City of Santa Monica )
I, Denise Anderson-Warren, City Clerk of the City of Santa Monica, do hereby certify that the foregoing Ordinance No. 2537 (CCS) had its introduction on February 14, 2017, and was adopted at the Santa Monica City Council meeting held on March 28, 2017, by the following vote:
AYES: Councilmembers Himmelrich, McKeown, O’Connor, O’Day, Vazquez, Mayor Pro Tem Davis, Mayor Winterer
NOES: None
ABSENT: None
ATTEST:
Denise Anderson-Warren, City Clerk
A summary of Ordinance No. 2537 (CCS) was duly published pursuant to California Government Code Section 40806.
|
Meeting digital traffic demand with 20-GHz systems
## FIRST AT VALLEY FORGE!... NOW ACROSS THE COUNTRY!... THE MOS TECHNOLOGY TROOPS STAND READY TO SERVE!
| PART NUMBER | CAPACITY (ORGANIZATION) | SPEED | COMPATIBILITY | NUMBER OF CLOCKS | TYPE | PACKAGE & NO. LEADS | MOS PROCESS |
|-------------|-------------------------|-------|---------------|------------------|------|---------------------|-------------|
| MTS1001 | 2Kx100 | DC=1MHz=2MHz | NO | YES | 2 | X | TO | Standard H.V. |
| MTS1002 | 2Kx32 | DC=1MHz=2MHz | NO | YES | 1 | X | TO | Standard H.V. |
| MTS1016 | 3Kx64 | DC=1MHz=2MHz | NO | YES | 2 | X | TO | Standard H.V. |
| MTS2001 | 2Kx50 | DC=1MHz=2MHz | NO | YES | 2 | X | TO | Low Voltage |
| MTS2013 | 2Kx100 | DC=1MHz=2MHz | YES | YES | 2 | X | TO | Low Voltage |
| MTS2100 | 1Kx12 | DC=1MHz=2MHz | YES | YES | 2 | X | TO | Low Voltage |
| MTS2102 | 2Kx100 | LC=2MHz | YES | YES | 1 | X | DIP/16 | Low Voltage |
| MTS2104 | 2Kx32 | LC=1MHz=2MHz | YES | YES | 1 | X | TO | Low Voltage |
| MTS2108 | 2Kx12 | LC=1MHz=2MHz | YES | YES | 1 | X | TO | Low Voltage |
| MTS2105 | 2Kx4 | DC=1MHz=2MHz | YES | YES | 1 | X | TO | Low Voltage |
| MTS2107 | 2Kx12 | LC=1MHz=2MHz | YES | YES | 1 | X | TO | Low Voltage |
| MTS2108 | 2Kx12 | LC=2MHz | YES | YES | 1 | X | TO | Low Voltage |
| MTS3100 | 1Kx1024 | DC=1MHz=2MHz | YES | YES | 2 | X | TO | Low Voltage |
### READ ONLY MEMORIES
| PART NUMBER | CAPACITY (ORGANIZATION) | SPEED | COMPATIBILITY | NUMBER OF CLOCKS | TYPE | PACKAGE & NO. LEADS | MOS PROCESS |
|-------------|-------------------------|-------|---------------|------------------|------|---------------------|-------------|
| MCS1004 | 2240(7X5X64) | 700ns, Char., 350ns, Col. | NO | YES | 0 | X | DIP/24 | Standard H.V. (28V) |
| MCS1004A | 2240(7X5X64) | 700ns, Char., 350ns, Col. | NO | YES | 0 | X | DIP/24 | Standard H.V. (24V) |
| MCS2000 | 2240(5X7X64) | 800ns | YES | YES | 0 | X | DIP/24 | Low Voltage |
| MCS2001 | 2240(7X5X64) | 800ns | YES | YES | 0 | X | DIP/24 | Low Voltage |
| MCS2002 | 2560X | 800ns | YES | YES | 0 | X | DIP/24 | Low Voltage |
| MCS2003 | 320X8 | 800ns | YES | YES | 0 | X | DIP/24 | Low Voltage |
| MCS2004 | 512X8 | 800ns | YES | YES | 0 | X | DIP/24 | Low Voltage |
| MCS2005 | 640X4 | 800ns | YES | YES | 0 | X | DIP/24 | Low Voltage |
| MCS2006 | 1280X2 | 800ns | YES | YES | 0 | X | DIP/24 | Low Voltage |
| MCS2007 | 256X8 | 800ns | YES | YES | 0 | X | DIP/24 | Low Voltage |
| MCS2008 | 2560X1 | 800ns | YES | YES | 0 | X | DIP/24 | Low Voltage |
| MCS2009 | 2048X1 | 800ns | YES | YES | 0 | X | DIP/24 | Low Voltage |
| MCS2010 | 1024X2 | 800ns | YES | YES | 0 | X | DIP/24 | Low Voltage |
| MCS2011 | 512X4 | 800ns | YES | YES | 0 | X | DIP/24 | Low Voltage |
| MCS2012 | 256X8 | 800ns | YES | YES | 0 | X | DIP/24 | Low Voltage |
| MCS2014 | 768X3 | 800ns | YES | YES | 0 | X | DIP/24 | Low Voltage |
| MCS2015 | 384X6 | 800ns | YES | YES | 0 | X | DIP/24 | Low Voltage |
| MCS2017 | 4092(7X9X64) | 400ns | YES | YES | 2 | X | DIP/24 | Low Voltage |
| MCS2018 | 3840(10012X52) | 400ns | YES | YES | 2 | X | DIP/24 | Low Voltage |
| MCS2020 | 2240(7X10X32) | 400ns | YES | YES | 2 | X | DIP/24 | Low Voltage |
### RANDOM ACCESS MEMORIES
| PART NUMBER | CAPACITY (ORGANIZATION) | SPEED | COMPATIBILITY | NUMBER OF CLOCKS | TYPE | PACKAGE & NO. LEADS | MOS PROCESS |
|-------------|-------------------------|-------|---------------|------------------|------|---------------------|-------------|
| MCS2050 | 256X1 | 800ns | YES | YES | 0 | X | DIP/16 | Low Voltage |
### UNIVERSAL COUNTER TIMERS
| PART NUMBER | CAPACITY (ORGANIZATION) | SPEED | COMPATIBILITY | NUMBER OF CLOCKS | TYPE | PACKAGE & NO. LEADS | MOS PROCESS |
|-------------|-------------------------|-------|---------------|------------------|------|---------------------|-------------|
| MCS1003-001 | Decade | DC=500KHz | NO | YES | 1 | X | DIP/24 | Standard H.V. |
| MCS1003-002 | Decade | DC=500KHz | NO | YES | 1 | X | DIP/24 | Standard H.V. |
---
**STANDARD PRODUCT LISTING**
**NOW QUARTERED IN DEPTH AT:**
- **NEWARK ELECTRONICS**
- East
- 661 Main Street, Waltham, Massachusetts 02148
- (617) 321 3930
- **NEW YORK CITY-NEW JERSEY AREA**
- 330 West Avenue, Kenilworth, New Jersey 07033
- (201) 272 8410
- **LONG ISLAND AREA**
- 80 Everset Street, Plainview, New York 11803
- (516) 823 1000
- **ROCHESTER**
- 30 Allens Creek Road, Rochester, New York 14618
- (716) 473 6600
- **BALTIMORE-WASHINGTON AREA**
- 207-1615 Bowie, Maryland 20715
- (800) 621 2604
- **NEWARK ELECTRONICS**
- Central
- 500 North Pulaski Road, Chicago, Illinois 60624
- (312) 631 3111/TWX 910-221-0258
- Phone 25 3218
- **CHICAGO**
- 500 North Pulaski Road, Chicago, Illinois 60624
- (312) 631 3111/TWX 910-221-0258
- Phone 25 3218
- **DETROIT**
- 20700 Hubbard Avenue, Oak Park, Michigan 48237
- (313) 348 0250
- **GRAND RAPIDS**
- 2111 South Division, Grand Rapids, Michigan 49507
- (616) 452 4111/TWX 810 273 6904
- **MINNEAPOLIS**
- 336 Hoover Road, Minneapolis, Minnesota 55413
- (612) 331 6350
- **CINCINNATI**
- 112 East Liberty Street, Cincinnati, Ohio 45210
- (513) 421 5282/TWX 810-461 2662
- **CLEVELAND**
- 4500 Superior Avenue, Cleveland, Ohio 44103
- (216) 311 4340
- **COLUMBUS**
- 1153 Northridge Road, Columbus, Ohio 43224
- (614) 267 9474
- **DAYTON**
- 3422 Linden Avenue, Dayton, Ohio 45410
- (513) 251 9197
- **OAKLAND**
- 3422 Linden Avenue, Dayton, Ohio 45410
- (513) 251 9197
- **INTERMARK ELECTRONICS**
- West
- 17192 Santa Ana Street, Santa Ana, California 92705
- (714) 540 1322/(213) 860 8589
- TWX 910-955 1583
- **SAN CARLOS**
- 1000 Sand Hill Road, San Carlos, California 94070
- (415) 592 1641/TWX 910-376 4999
- **SAN DIEGO**
- 7933 Claremont Mesa Blvd., San Diego, California 92111
- (714) 540 1320/TWX 910-335 1238
- **VAN NUYS**
- 7110 Gerald Avenue, Van Nuys, California 91406
- (213) 82 0982/TWX 910 495 2005
- **SEATTLE**
- 621 South Michigan Street, Seattle, Washington 98108
- (206) 767 3160/TWX 910-444 2054
- **DENVER**
- 1000 West Second Street, Denver, Colorado 80219
- (303) 936 8284/TWX 910-931 0501
- **TEMPE**
- 1318 East Princess Road, Tempe, Arizona 85257
- (602) 968 3469
**OR CONTACT MOS REGIONAL HEADQUARTERS DIRECT:**
- **EASTERN REGIONAL SALES DIRECTOR** — Mr. William Schreiber, MOS TECHNOLOGY, INCORPORATED, 88 Sunnyvale Blvd., Suite 307, Plainview, New York 11803 • Phone (516) 822-4240
- **CENTRAL REGIONAL SALES DIRECTOR** — Mr. Alan Martin, MOS TECHNOLOGY, INCORPORATED, 10400 A. Higgins Rd., Suite 621, Rosemont, Illinois 60018 • Phone (312) 298-2035
- **WESTERN REGIONAL SALES DIRECTOR** — Mr. Jack Yuen, MOS TECHNOLOGY, INCORPORATED, 2172 Dupont Drive, Palo Alto, Suite 221, Newport Beach, California 92660 • Phone (714) 833-1800
Circle 900 on Reader service card
We built in the decoder/driver so you don’t have to.
Not only the decoder/driver but the memory too! Now available for immediate delivery is the HP 5082-7300 series solid state display.
It’s completely TTL compatible. All you do is address it directly with four-line BCD input. The on-board IC allows for either the storage of input data or real-time display. You save design time, space and money, and get a completely reliable integrated display system.
A bright .290 inch high, shaped character gives excellent readability over a wide viewing angle in a compact .600 inch by .400 inch package.
So why wait? For immediate delivery on the HP 5082-7300 call your local HP sales office, or Hewlett-Packard, Palo Alto, Calif. 94304. In Europe: 1217 Meyrin-Geneva, Switzerland.
Why the best high frequency transistors cost less than the second best.
It doesn’t happen often. But in the case of microwave transistors, you don’t have to trade off performance to get the lowest price. That’s because we’ve combined advances in silicon semiconductor technology with efficient mass-production. The result to date has been:
**The workhorse: HP 21.**
This small signal transistor is the backbone of any RF/microwave amplifier design. It has a 12 dB gain at 2 GHz (useable to 5 GHz), a noise figure of 4.2 dB at 2 GHz and a price of only $19 each in small quantities. So you won’t be making tradeoffs in your design.
**Really low noise.**
The HP 22, a significant new high frequency device, has a maximum guaranteed noise figure of 4.5 dB at 4 GHz with 6.5 dB gain when biased for optimum NF (10 V, 5 mA). With 3 dB more gain across the band than the HP 21, the HP 22 is useable to 8 GHz in its stripline packages. All for just $75 each. No other transistor can make that statement.
**More power out.**
That’s the function of the new HP 11. It fills the power gap between the HP 21 and high power devices. As a preamp output or linear driver, it offers low distortion from 2 to 4 GHz. Yet it costs the same as the small signal HP 21.
**The low price of success.**
You’ve seen the kind of performance our transistors offer. Now let’s get down to the cost factor.
| Quantity | HP 21 | HP 22 | HP 11 |
|----------|-------|-------|-------|
| 1-99 | $19 | $75 | $19 |
| 100+ | 15 | 65 | 15 |
(Domestic USA prices for stripline packages.)
Can you afford not to use them?
HP transistors: a small price to pay for performance.
Firm delivery and great reliability.
We can deliver most orders from stock. And you can count on device reliability. Our proven manufacturing process not only provides excellent parameter stability from batch to batch but insures healthy devices. Like 10 million hours MTBF for the HP 21.
An HP field engineer is nearby to answer your questions and handle your orders promptly. Why not give him a call for complete information about our transistors. Or write Hewlett-Packard, Palo Alto, California 94304. Europe: 1217 Meyrin-Geneva, Switzerland.
Circle 2 on reader service card
Electronics Review
INTEGRATED ELECTRONICS: First CCD vidicon built, 29
COMMERCIAL ELECTRONICS: Frame grabbers big market? 30
MILITARY ELECTRONICS: Pentagon looking to European arms, 31
COMPANIES: Educational VTR a lucrative sideline, 31
GOVERNMENT: Computer to sense mine gases, 32
COMMUNICATIONS: Suppliers win domsat contest, 34
INSTRUMENTATION: Six-port coupler simplifies job, 36
LOGIC: Raytheon offers power-compensated ECL, 36
DISPLAYS: Planar processing yields big figures, 38
SOLID STATE: Correlators that solve problems, 38
AVIONICS: NASA test advances VTOL, 40
FOR THE RECORD: 42
ELECTRONICS INTERNATIONAL: Gloom in Paris, 53
Probing the News
SOLID STATE: Japanese target: MOS markets, 59
COMPONENTS: X-band amplifiers go solid-state, 62
COMMERCIAL ELECTRONICS: Unmanned banks—a new investment, 65
COMMUNICATIONS: Ship-satellite system sought, 68
COMPUTERS: IBM threat to hold back service vexes industry, 70
Technical Articles
COMMUNICATIONS: Data to speed over 20-GHz radio relay, 81
CIRCUIT DESIGN: Building a range tracker with digital circuits, 86
DESIGNER'S CASEBOOK: Series-tied op amps null offset voltage, 92
Linear signal limiting with feedback amplifier, 93
Simple logic circuits compare binary numbers, 94
COMPONENTS: New applications open for the isolation amplifier, 96
CIRCUIT DESIGN: One-shot timing: don't take it for granted, 101
COMMUNICATIONS: Digitizing rf signals requires optimum sampling, 106
ENGINEER'S NOTEBOOK: Finding loop gain without opening loop, 113
Coaxial buses help suppress power supply transients, 113
A quick solution to conductive heat transfer problems, 114
New Products
IN THE SPOTLIGHT: Side-brazed LSI packages make room at the top, 119; Software cuts sensitivity-analysis cost, 123
COMPONENTS: A-d converter is ratiometric, 125
INSTRUMENTS: Amplifier is monolithic, 128
MICROWAVE: One-port counter covers 18 GHz, 133
SEMICONDUCTORS: MOS RAM offers 100-nanosecond access, 136
MATERIALS: 138
Departments
Publisher's letter, 4
Readers comment, 6
40 years ago, 8
People, 14
Meetings, 20
Electronics Newsletter, 25
Washington Newsletter, 47
Washington Commentary, 48
International Newsletter, 55
Engineer's Newsletter, 117
New Books, 138
Personal Business, PBI
Highlights
Automated banking systems gain a foothold, 65
Teller stations built around minicomputers perform 80% of all banking functions without human help. Staffer Marilyn Offenheiser reviews their present status and the prospects for a $1 million-a-year market.
Japanese to test 2-GHz radio-relay system, 81
All-digital 13-hop trial link will use phase-shift keying with four-phase modulation to speed data at 4,000 Mb/s. Author Yasuaki Ninomiya discusses criteria considered by Nippon Telegraph & Telephone Corp. in designing the system, and he outlines concepts still to be tested.
Engineer's Notebook, 113
A new regular department debuts with useful tips on an easy way to measure loop gain, suppressing power supply transients, using do-it-yourself coaxial tubes, and a nomogram for solving heat transfer problems.
Program checks out dc sensitivity, 123
Software packages, till now discussed only in the "Technical Articles" section, will now be covered in "New Products." This innovation underlines the growing importance of programed aids for the circuit designer.
And in the next issue . . .
Functional trimming of hybrid circuits . . . a solid-state direct replacement for vacuum tubes . . . a microelectronic watch with liquid crystal display.
The cover:
Intermediate-frequency amplifier is shown in front of Japanese quasimillimeter-wave radio relay tower.
During the more than 42 years that *Electronics* has been published, there have been a great many changes in its format. Some were revolutionary, some evolutionary—but all were designed to help the magazine keep pace with our readers' changing expectations and changing information needs.
We've just completed another redesign, one that has—among other things—added two new sections to the mixture of news, analysis, technical articles, and new products information that we bring you every two weeks. This redesign is an evolutionary one: therefore, many of the changes may not be apparent at first glance. But we're sure you won't want to miss the two new sections—Engineer's Notebook and Engineer's Newsletter. You will find them on pages 113 and 117, respectively.
These departments add a whole new dimension to *Electronics*. The material in both departments will deal with various everyday problems that continually frustrate engineers. The emphasis is on the engineering tradeoffs involved in solving design problems, as well as insights and tips on applications, novel designs, and engineering shortcuts.
The best examples of what you'll be finding in the new sections are the headlines of the stories in the first Engineer's Notebook:
- A quick solution to conductive heat treatment problems.
- Coaxial buses help suppress power supply transients.
- Finding open-loop gain without opening the loop.
And we'd like this to be a two-way street. If you have any ideas that you think would be of interest to your fellow readers, send them to us, addressed to Dick Gundlach.
The rest of the changes include a Highlights section added to our Contents page (see page 3). We've done that to speed you on your way to the most important and timely stories in the magazine.
Then we've added some new types of headlines in the Electronics Review section (see page 29). We designed these to make it easier for you to find the stories that interest you most.
From now on, you'll find our Probing the News section immediately following Electronics Review. We made this change so that all news stories will be near the front of the magazine for your convenience. Now, you'll be able to find all of *Electronics'* up-to-the-minute stories of technology and business that are covered in the newsletters and Electronics Review right beside the in-depth analyses of industry trends that are the specialty of Probing the News.
Also, don't look for the old, yellow newsletter pages. From now on, the Electronics, Washington, and International Newsletters will be printed on a crisp white stock that's easier to read.
All these changes add up to a better way to meet your changing expectations and information needs. I would welcome your comments and suggestions.
A more functional generator for $495.
The new Krohn-Hite Model 5200 linear sweep/function generator gives you more versatility and performance for your money. If that's a sweeping statement, we stand ready to prove it! Model 5200 generates basic sine, square, triangle and ramp waveforms that you can manipulate with sweeps and triggers from 0.00003Hz to 3MHz. For even more versatility, the new Model 5300 adds an exponential ramp for logarithmic sweeping at only $695. For fast action, call the Wavemakers at (617) 491-3211, TWX 710-320-6583, Krohn-Hite Corporation, 560 Massachusetts Ave., Cambridge, Mass. 02139.
Eight rays of hope for the incurably trigger-happy.
You know how it is with conventional dual-channel scopes. You reposition a trace and you have to re-adjust the trigger. A man can get trigger-happy.
Well, Dumont's 1050/1060 scope series puts an end to all that. All eight models have trigger systems that bypass the positioning circuits. Result: No loss of trigger (in either channel, in any position), no trace flicker in dual trace, and no readjusting the trigger level after trace positioning.
Ask us about our 1050/1060 Series. About the easy operation, about the tremendous sensitivity, about the excellent wide-band operation.
At prices that begin at $1845, they should shed a little glow in the budget department too.
Write or call for details.
DUMONT OSCILLOSCOPE LABORATORIES, INC.
40 Fairfield Pl., W. Caldwell, N.J. 07006
(201) 575-8666 TWX (710) 734-4308
Decoding tree
To the Editor: Louis E. Frenzel Jr.'s decoding trees described in "Positive and negative gates trim package count" [Electronics, Oct. 25, 1971, p. 78] can be rearranged by using 7408 quad AND gates throughout, but using 7408 or 7400 at the output whereas it should be connected to the non-inverting (+) input. The drain of the FET goes to the inverting input. In other words, reverse the plus and minus symbols on the 741 inputs.
Thomas D. Price Jr.
Saunderstown, R. I.
Revised version
To the Editor: In Max Artusy's article, "Tunable active filter has controllable high Q" [Electronics, Jan. 31, p.57], I fail to agree with the equation for resonant frequency—$f_0 = \frac{1}{2\pi}(R_1R_2C_1C_2)^{1/2}$—and results based on the values shown in the schematic.
Where have I made an error? Has the author erred?
Leonard E. Herzmarsh
Biomedical Instrument Systems
Prairie Village, Kan.
Other readers who raised this point include Alexander Bell, of Xan Instrumatics, Beaufort, N.C.; Joseph S. Laughter, of the University of Tennessee's division of biomedical instrumentation; Harry G. Newman, of Sangamo Electric Co., Springfield, Ill.; and William S. Wagner, of the University of Cincinnati's department of electrical engineering.
The author replies: there are several points that require clarification concerning the circuit, which is perhaps better described as a tunable active bandpass filter. The floating junction of $R_1$ and $C_1$ should have been grounded (see corrected schematic below). Resonant frequency is $f_0 = \frac{1}{2\pi(R_1R_2C_1C_2)^{1/2}}$, where $R_1 = R_2$ and $C_1 = C_2$. To prevent oscillation, the following condition must be met: $l + R_1/(R_2 + R_3)$ must be less than 3. The op amp is, of course, made by Fairchild and many others.
ANOTHER MYTH DESTROYED.
Myth: National doesn’t make FET op amps. And, even if they did, they probably wouldn’t be as good as bipolar devices. And, besides, everybody knows that FET op amps have lousy offset voltage and drift specs. And, FET op amps are too expensive. And, anyway, why not just go to a module house in the first place...
Fact: National does make FET op amps. A “family” of five devices, to be exact. Including the super precise new LH0052 (with an offset voltage of 0.1mV, an offset voltage drift of just 5µV/°C, and bias current of less than 1pA); the LH0022 (high performance good general purpose FETop amp); the LH0042 (lowest cost FETop amp on the market with even better performance than cheap module designs); the LH0033 (at 1500V/µS, the fastest voltage follower available anywhere); the LH0032 (a 500V/µS device); and coming soon: The precise-and-speedy new LH0062 (slew rate, 80V/µS; bandwidth, 15MHz; settling rate, 800nS). Significantly, each of the above was designed and manufactured completely in-house using a special chip construction technique combining the best of J-FET and bipolar technologies. All of which goes to show that FET op amps are, indeed, alive and well at National Semiconductor Corporation, 2900 Semiconductor Drive, Santa Clara, California 95051. Phone (408) 732-5000. TWX: (910) 339-9240. Cable: NATSEMICON.
Extralytic® Aluminum 'Lytic Capacitors give you extended temperature range without sacrifice in life or leakage current.
Type 601D Tubular Case
-55C to +105C
Superior performance over entire temperature range, unlike conventional 'lytics that do not operate satisfactorily at low temperatures. High volumetric efficiency, long shelf life, low leakage current. Withstand high ripple current. Write for Engineering Bulletin 3456A or; CIRCLE 240 ON READER SERVICE CARD.
Type 602D Cylindrical Case
-55C to +85C
Power supply filter capacitors specifically designed for maximum efficiency. Offer the power supply design engineer the lowest ESR and the highest ripple current capability per case size available today for long, trouble-free life. Write for Engineering Bulletin 3457 or; CIRCLE 241 ON READER SERVICE CARD.
MORE FROM SPRAGUE . . . THE BROAD-LINE PRODUCER OF ELECTRONIC PARTS
HALL EFFECT SWITCH ICs. Actuated magnetically, not mechanically or optically. Hall generator trigger circuit and signal amplification circuit on single silicon chip. Reliable (no moving parts). Easy interfacing with DTL/TTL/MOS logic. High speed. Low cost. Write for Engineering Bulletin 27,402A or; CIRCLE 242 ON READER SERVICE CARD.
U.L. LISTED FILTERS. Series JX5000 for EDP equipment and general-purpose use. Rated 125/250 VAC, 0-60 Hz, 1 thru 50 amps, 60 db @ 150 kHz, 80 db from .5 MHz thru 1 GHz. Special designs and rectangular multi-circuit units also available. Write for Engineering Bulletin 8210 or; CIRCLE 243 ON READER SERVICE CARD.
TYPE 430P METFILM® 'E' CAPACITORS. High-Voltage metallized polyester-film capacitors designed for voltage multiplier circuits used in electrostatic copiers, TV power supplies, etc. Working voltages from 4,000 to 15,000 V. Capacitance is stable with time, temperature, voltage. Write for Engineering Bulletin 2445.1 or; CIRCLE 244 ON READER SERVICE CARD.
BLUE JACKET® RESISTORS. Vitreous-enamel power wirewound. Unique all-welded end-cap construction eliminates moisture paths along leads, anchors leads securely to resistor body. Expansion coefficients of vitreous enamel, ceramic body, and end caps are closely matched. Write for Engineering Bulletin 7410E or; CIRCLE 245 ON READER SERVICE CARD.
40 years ago
From the pages of Electronics, March 1932
Harmfulness of city smoke, less because of smoke particles breathed into the lungs than because smoke decreases the transparency of the air and shuts out part of the health-giving rays of sunlight, was emphasized by an exhibit on clean air and clean streets arranged recently by the committee on public health relations of the New York Academy of Medicine. One new instrument shown was a portable meter and recorder for ultraviolet rays. Two such meters, one inside the smoky area of a city and another somewhere outside the smoke zone, provide a continuous record of the percentage decrease of the solar rays by smoke.
Springfield, Mass., makes use of a new application of carrier currents or high-frequency impulses on the power wires, to control 800 local street lights. The regular power service is 60 cycles, while the control impulses for the street lights are 480 cycles, and those for turning on and off the water heaters are 720 cycles. Use of carrier currents, of course, eliminates the necessity of a separate circuit for the control mechanism, hence making possible a pronounced saving. The double-control method, employing currents of two frequencies, is already so practical that it is suitable for general utility purposes.
Groszkowski, writing in L'Onde Electrique, Paris, describes use of the new Lange-Schottky photocell, Cu$_{2}$O-Cu, specially sensitive to the ultrared radiations. A quartz lens forms the image of part of the anode of the tube under test on the sensitive surface of the cell, thus eliminating the effect of the glass bulb, of daylight, and of the cathode luminosity.
Dr. Karl T. Compton, president of the Massachusetts Institute of Technology, has announced that construction will shortly begin on a 15,000,000-volt X-ray tube, to be operated by a Van de Graaff electrostatic generator. The tube will be of the double-acceleration type.
This new "See-Through" mask will more than double your present production yields of usable semiconductor devices.
Your yields will increase.
Dry processing eliminates residue, swelling and contamination which account for most rejects in finished chips. Also, GAF® Microline® "See-Through" Plates eliminate rejects due to misalignment.
Your production costs will decrease.
Photomasks are made right "on-site" on low-cost equipment thereby saving you time and outside costs. Also, these masks last about 10 times longer than conventional emulsion photomasks.
The resolution characteristics of new GAF® Microline® Plate are without match. Micron line-widths are easily obtained.
(Manufacturers in commercial production have resolved 2000 lines/mm using the United States Air Force resolution target in the photorepeater.)
New wafer photofabrication system.
The processing of silicon wafers using GAF® Microline® positive-working photoresists and GAF® Microline® plates results in a simplified, positive high yield system for producing usable semiconductor devices.
If high reject rates are the problem in your company, just fill out the coupon. We'll gladly send you full technical data on these new products and/or phone for an appointment to demonstrate just how great the savings can be in your own plant.
Available Plate Sizes:
2"x2"x0.060"
2½"x2½"x0.060"
3"x3"x0.060"
3½"x3½"x0.060"
GAF Corporation
Commercial Development Dept.: 506-032-10020
440 West 51st Street, New York, New York 10020
Please send complete technical information on GAF® Microline® High-Resolution Plate.
Please send complete technical information on GAF® Microline® positive-working photoresists.
Name ____________________________ Title ____________________________
Company ____________________________ Phone ____________________________
Address ____________________________ City ____________________________ State _______ Zip _______
World Radio History
Help save inner space.
New Burndy High-Density Connector
We've been busy winning another space race. Our new 145-position, high-density connector takes less space, but still offers several distinct advantages. The nylon hood with a unique molded hinge permits it to be opened without removal from the connector. This simplifies wiring inspection and correction and protects the wires.
An original, five-position, strain-relief-cable clamp of molded nylon allows you to choose from straight through to a 90° takeoff by simply turning the cable to the desired position and locking the clamp.
Contact spacing is 100° center-to-center (shown at right actual size) in a square grid arrangement which permits adapting the connector for automatic or semi-automatic solderless wrap.
The contacts are standard #22D rear-release type qualified to MIL-C-38999 and accommodate wire sizes 22-28. These contacts can also be used with the miniature round Compact Bantam™ connectors, available in 9 configurations. Another Burndy first—3 discriminating keys in a rectangular connector which prevents inappropriate mating of like connectors on the panel. By inserting the keys in the molded keyways, 18 different discriminations can be made. Use this new high-density connector for mother board or I/O. It's ideal for computer mainframe and peripheral applications. So make things better for yourself—specify the new HD145 connector. And get more out of inner space.
BURNDY
Norwalk, Connecticut 06856
BURNDY CONNECTS
World Radio History
Circle 11 on reader service card
SCHOTTKY TTL DEVICES DELIVERABLE IMMEDIATELY
Our TTL Family Tree has a vigorous new Schottky branch:
SSI devices now. Proprietary MSI (and more SSI) devices soon.
Just as important, these are but the first of the new Fairchild Schottky TTL family. Soon other SSI elements. Soon also, our first 93S series of proprietary MSI functions.
**FAIRCHILD TTL/SSI DEVICES AND AVAILABILITY**
| Device | Description | Available |
|-----------------|--------------------------------------------------|-----------|
| 9S00 /54S00, 74S00 | Quad 2-Input NAND Gate | Now |
| 9S03 /54S03, 74S03 | Quad 2-Input NAND (O.C.) Gate | Now |
| 9S04 /54S04, 74S04 | Hex Inverter | Now |
| 9S05 /54S05, 74S05 | Hex Inverter (O.C.) | Now |
| 9S20 /54S20, 74S20 | Dual 4-Input NAND Gate | Now |
| 9S22 /54S22, 74S22 | Dual 4-Input NAND (O.C.) Gate | Now |
| 9S40 /54S40, 74S40 | Dual 4-Input NAND Buffer | Now |
| 9S74 /54S74, 74S74 | Dual D Flip-Flop | Now |
| 9S04A | Fast Hex Inverter | Now |
| 9S05A | Fast Hex Inverter (O.C.) | Now |
| 9S64 /54S64, 74S64 | AND-OR-Invert | Now |
| 9S65 /54S65, 74S65 | AND-OR-Invert (O.C.) | Now |
| 9S140 /54S140, 74S140 | Dual 4-Input NAND Line Driver | Now |
| 9S109 | Dual J-K Flip-Flop | 2nd Qtr. |
| 9S112 /54S112, 74S112 | Dual J-K Flip-Flop | 2nd Qtr. |
| 9S113 /54S113, 74S113 | Dual J-K Flip-Flop | 2nd Qtr. |
| 9S114 /54S114, 74S114 | Dual J-K Flip-Flop | 2nd Qtr. |
**FAIRCHILD TTL/MSI FUNCTIONS AND AVAILABILITY**
| Device | Description | Available |
|-----------------|--------------------------------------------------|-----------|
| 9S341 | 4 Bit ALU/Function Generator | 2nd Qtr. |
| 9S305 | Variable Modulo Counter | 2nd Qtr. |
| 9S389 | Multiple Port Register | 3rd Qtr. |
| 9S310 | Synchronous Decade Counter | 3rd Qtr. |
| 9S316 | Synchronous Hexadecimal Counter | 3rd Qtr. |
| 9S312 | Eight Input Multiplexer | 3rd Qtr. |
| 9S342 | Carry Look Ahead Unit | 3rd Qtr. |
| 9S300 | 4 Bit Universal Shift Register | 3rd Qtr. |
Other MSI functions in development include high speed decoders and parity checkers.
Whatever your High Speed needs we have the answer. Schottky TTL for retrofitting existing systems, or our temperature compensated Easy ECL 9500 family for new high-speed systems.
Your Friendly Fairchild distributor has both our Schottky TTL and Easy ECL devices in stock, deliverable immediately. Or for more information, we have data sheets and application notes on both.
More power to you!
AND BANDWIDTH TOO...
Our Model 406L is an ultra-wideband RF power amplifier whose wide range of frequency coverage and power output provides the user with the ultimate in flexibility and versatility in a laboratory instrument. Easily matched to any of your signal or signal sources, this completely solid state unit amplifies AM, FM, SSB, TV pulse and other complex modulation with minimum distortion.
Constant forward power is continuously available regardless of the output load impedance match, making the 406L ideal for driving highly reactive loads.
Unconditional stability and instantaneous failsafe provisions in the unit provide absolute protection from damage due to transients and overloads. Complete with power supplies and output meter, this low cost instrument provides over 5 watts of power from 100 KHz to over 250MHz...and there's no tuning.
Applications include:
- RFI/EMI testing
- Laser modulation
- Communication systems
- Ultrasonics
- Laboratory instrumentation
- Spectroscopy
For complete information write or call Electronic Navigation Industries, 3000 West Henrietta South Rochester, New York 14623. (716) 473-6900
People
Dresselhaus scores an MIT first
MIT has just appointed the only tenured woman professor in its school of engineering, Mildred S. Dresselhaus, an associate head of the EE department. The first woman to be named to a major academic post in the engineering school, in her new position Dresselhaus is responsible for electrical science and engineering, which includes about half of the 1,100 students and 110 faculty members in the department. The other half are in the computer science and engineering section.
In her new role, Dresselhaus has a hand in shaping curriculum policies. "A department is always building up things," she says, "but with a constant budget some things are let slide; they get out of date. I have to see that everything goes together, to see to the natural changes."
One change she hopes to make in her new post is to increase the attention paid to junior faculty members. Dresselhaus feels they shouldn't be overburdened with courses and committees, and should be given "every chance to shine as researchers." It is also important to inform them of their chances for promotion and tenure, especially since tenure is no longer automatic. "Junior faculty should be alerted to their chances so they don't fizzle away."
Physicist, Dresselhaus was a solid state physicist at MIT's Lincoln Lab until 1967, when she was appointed to the Abby Rockefeller Mauze professorship, established to bring distinguished women scholars to MIT. She believes it is important for women students in the sciences to have a role model, and so has been active in several women's programs at MIT. She has conducted a seminar on women in science and engineering, and more recently helped organize a forum to explore women's roles at MIT.
While national figures show a decline in the number of engineering students [Electronics, Feb. 28, p. 42], Dresselhaus says "there is no erosion in enrollment in my section". The computer science section is also attracting an increasing number of students. MIT may be running counter to the trend, she thinks, "because distribution of students is so largely in math, science, and engineering areas."
She has noted certain trends in student interest. "Computers are very high on the list," she says, "and job opportunities, at least for the near future, seem very good. This is one area where we have to turn down students because the size of the department is limited." On the electrical sciences side, she says, "We are going into bioelectric engineering on a much larger scale, and student interest is high in controls."
Staudte and Statek: parlaying a layoff
The heads of most successful small companies seem to be entrepreneurs who chafed under the restraints im-
Town and gown. Mildred Dresselhaus is MIT's associate EE department head. Jurgen Staudte gained by layoff.
0.25pA
Ib (max)
AD523. This one has the lowest bias current of all high performance I.C. operational amplifiers. Even ours. Especially theirs.
The AD523 is our new series of J-FET input operational amplifiers. It's the first linear I.C. to guarantee 0.25 picoamp of bias current under operating conditions. At either input terminal. And in a low leakage case.
And you know what that means. This amplifier is more charge-sensitive and an order of magnitude more current-sensitive than other linear I.C.'s. And with 15 μV/°C of offset voltage drift, 90 dB of CMR, and a slew rate of 5 V/μsec.
We did a number of important things to give you this performance. Like combining matched small geometry FET chips with a specially designed monolithic thin-film chip. And mounting them in TO-99 can with high resistivity glass insulation and a guard pin connected to it. So you can minimize surface leakage currents, power supply induced input noise, and capacitive pickup.
You can evaluate a package of five AD523's at the hundred piece price if you order right now.
You can see all the things we make to solve more of your problems better than anyone else by sending for our 1972 Product Guide.
Analog Devices, Inc., Norwood, Mass. 02062. Tel. (617) 329-4700.
ANALOG DEVICES
Circle 15 on reader service card
the original ME-2 Socket only from Scanbe
a dozen configurations...
with exclusive features from Scanbe's dual inline ME-2 Sockets. Four pin lengths, solder tail, one two and three level solderless wrap in 14, 16 or 24 pin models.
Exclusive features include:
- Closed entry design means precision alignment for DIP leads
- Side gripping contacts means 80% more contact pressure
- Low insertion force means no damage to DIP's
- Highest reliability means Scanbe
Solder relief, replaceable pins, optional screw mountings and U.L. approved molded nylon for caps and bodies are other customer benefits along with Scanbe's quality and experience. The best contact your DP can make is a Scanbe ME-2 Socket.
SCANBE MANUFACTURING CORP.
"The Packaging People"
3445 Fletcher Ave • El Monte, Calif. 91731
Telephone: (213) 579-2300
People
posed on them by large organizations. But not Juergen H. Staudte (pronounced Jurgen Stout), 34, president of Statek Corp., in Orange, Calif. "I was happy at Autonetics, and in the Air Force before that. I didn't mind working for a big organization. You might even say," the German-born Staudte adds with a smile, "I enjoy being regimented."
But Autonetics laid him off, and he turned the misfortune into an opportunity to found a company to develop an idea he had been considering since college—subminiature quartz frequency-determining crystals processed by the photolithographic batch techniques that have made transistors and ICs practical.
Staudte was born in East Germany, and had almost completed chemical engineering school when his father was arrested for "war-mongering" and sentenced to five years. Staudte and the rest of the family then escaped to Hamburg (his father made it out later), where he went to work as a junior chemical engineer in the oil industry. However, the inflexible West German educational system didn't recognize his East German studies, so he came to the U.S. in October 1956.
No wild blue. He had been in the country only a month when he received a draft call, so he "volunteered" for the Air Force. Plans to become a pilot fizzled because he wasn't a citizen, so he got out. After working at Hallicrafters, in Illinois, he realized that he had to get a degree, and worked at Elgin National Watch Co. in the calibration laboratory while he attended Aurora College. He received his bachelor's in physics after three years, then joined a midwest firm as an engineer in crystal manufacturing.
"But it was a little limiting," he says, "so I went to Michigan State to study acoustics under a graduate assistantship." He got an MS in physics. While at Michigan State, an ad for 1-mil-thick quartz blanks in a Swedish magazine gave him the idea for making crystals.
Then he got a job at Autonetics, got caught in the layoff flood, took the chance to apply his ideas, and started Statek.
NEW 5th edition from the leading SCR and triac supplier incorporates 15 years of application experience.
SCR MANUAL
INCLUDING TRIACS AND OTHER THYRISTORS
FIFTH EDITION
GENERAL ELECTRIC
1972-FIFTEENTH SCR ANNIVERSARY
To get your copy, contact any authorized General Electric distributor or any General Electric Electronic Component Sales office.
GENERAL ELECTRIC
Semiconductor Products Department
Electronics Park, Syracuse, New York 13201
A. Digivue 512-60 Display/Memory Unit. An 8½" x 8½" square panel of 512 x 512 lines at 50 lines per inch resolution.
B. Digivue 256-50 Display/Memory Unit. A 5½" x 10¼" panel of 256 x 512 lines at 50 lines per inch resolution.
C. Digivue 64-33 Display/Memory Unit. A 2" x 6" panel of 64 x 256 lines at 33.3 lines per inch resolution.
Take a look at Digivue display/memory units from Owens-Illinois. With the kind of visual impact needed in the new age of communication. And then consider this combination of features never before available in any other single display panel:
**Inherent Memory** — Flicker-free display without refresh requirements. Your computer is, in effect, free to perform other operations after addressing Digivue display/memory units.
**Selective Write/Erase** — Digivue display/memory units are digital display devices, with no digital-to-analog conversion necessary. You directly address Digivue display/memory units at individual display points on the panel matrix for selective write or erase at micro-second speeds.
**Drift-Free Images** — The intersections of thin, narrow electrodes imbedded in the panel positively define all elements of the images.
**Rear-Projection** — Because Digivue display/memory units are transparent they are ideally suited for rear-projection. You have drift-free registration between computer-generated displays and optically-projected images.
**Design Adaptability** — Digivue display/memory units are flat, not curved. As a result, information at the edges is just as sharp and accurate as in the center. And a Digivue display/memory unit is uncommonly slim—regardless of display area—allowing for a variety of installation possibilities . . . in desks, walls, drawers, consoles.
**Hard-Copy Potential** — The resolution of a Digivue display/memory panel allows for integration with standard office duplicating processes to produce page at a time hard-copy printouts of excellent quality.
Digivue display/memory units are available from Owens-Illinois in sizes ranging from 80 by 256 display lines at a resolution of 33 electrode lines per inch to a 512 by 512 display lines panel with a resolution of 60 lines per inch and a display capability of up to 4000 characters. One of them just has to be right for your system.
Think what these Digivue display/memory units can do for time-sharing applications, management information systems, computer-aided instruction . . . and dozens more including airline reservations displays, aircraft cockpit displays, financial data terminals . . . in fact any display terminal for direct readout from digital computers or data systems.
WHO IS OWENS-ILLINOIS? O-I is a multi-product, multi-national manufacturing and marketing organization with 140 major facilities and sales in excess of $1.5 billion a year. You may think of us as a packaging products company, but we also manufacture and market a diversified product line that includes everything from laboratory glassware to inertial guidance test systems for deep-space vehicles.
AND WHY ARE WE MAKING DISPLAY UNITS? As a natural extension of our already broad-based capabilities—in television bulbs, microelectronic products, ground glasses, new generation materials for technical, commercial and industrial use, and elements necessary for laser technology. We’re committed to change, to the future, and to Digivue display/memory units.
If you and your organization are also committed to the future and to opening new and more effective communications systems, we’d like to hear from you. We’ll send you technical data on Digivue display/memory units and a copy of our new full-color brochure.
Call or write: Jon Klotz, Marketing Manager, Electro/Optical Display Business Operations B, Owens-Illinois, Inc., P. O. Box 1035 Toledo, Ohio 43601 • (419) 242-6543.
Flat-Pack RF/Pulse Low Cost Low Loss Transformers
Five new ANZAC flat-pack transformers are ready to help you improve performance and packaging of your solid-state circuits.
| MODEL | BANDWIDTH (MHz) | IMPEDANCE (Ohms) | INSERTION LOSS (db max) |
|-------|-----------------|------------------|------------------------|
| TP-100| 5 - 1000 | 50 unbal / 12.5 unbal | 0.4 |
| TP-101| 5 - 1000 | 50 unbal / 50 unbal | 0.4 |
| TP-102| 5 - 500 | 50 unbal / 200 unbal | 0.5 |
| TP-103| 5 - 1500 | 50 unbal / 200 bal | 0.4 |
| TP-104| .05 - 100 | 50 unbal / 600 bal (DC isolated) | 0.5 |
Meetings
International Electronic Components Exhibition: INII. Parc des Expositions, Porte de Versailles. Paris. April 6-11.
International Conf. on Magnetics (INTERMAG): IEE. Kyoto International Conference Hall. Kyoto. Japan. April 19-21.
International Symposium on Circuit Theory: IEE. Sheraton-University Hotel. Universal City. Calif.. April 19-21.
Southwestern IEEE Conf. & Exhibition (SWIEEFCO): IEE. Baker Hotel & Dallas Mem. Aud.. Dallas. Texas. April 19-21.
Conf. on Computer Aided Design: IEE. IEE. University of Southampton. Southampton. England. April 25-28.
National Telemetering Conf.: IEE. Houston Shamrock Hilton Hotel. Houston. Texas. May 1-5.
Electrochemical Society Spring Meeting: Electrochem. Soc.. Shamrock Hilton. Houston. Texas. May 5-12.
International Electronics Conf.: IEE. AIP. OSA. APA. Queen Elizabeth Hotel. Montreal. Canada. May 7-11.
International Semiconductor Power Converter Conf.: IEE. Lord Baltimore Hotel. Baltimore. Md.. May 7-10.
Spring Joint Computer Conf.: IEE. Convention Center. Atlantic City. N.J.. May 15-18.
Aerospace Electronics Conf.: IEE. Sheraton Dayton Hotel. Dayton. Ohio. May 15-17.
Electronic Components Conference: Electronic Industries Assn.. IEE. Statler-Hilton Hotel. Washington. D.C.. May 15-17.
International Microwave Symposium: IEE. Arlington Park Towers Hotel. Chicago. May 22-25.
If you'd rather be sailing
Let SAE solve your packaging problems.
Surely there's something you'd rather do than hassle with component selection, packaging and assembly. So let us handle all that. You take a few moments to daydream about that 100' schooner.
Only SAE offers you three choices in packaging systems: Plug-in, Planer, and Dipstik™.
We make all the hardware for plug-in systems, including PC cards, card guides, card files, enclosures, connectors, sockets, mounting, and bussing.
Go planer, and we'll provide logic panels, mounting hardware, sockets, all peripheral items.
Or consider unique Dipstik. It gives twice the IC density as PC methods, and eliminates lots of hardware.
Whichever method you choose, we can supply the components you need to do the assembly yourself. Or, we'll pick the parts, do the assembly, and let you do the wiring. Or we'll provide everything: components, assembly, and Wire-wrap™. So, just call us in . . . and you can go sailing!
Free bumper sticker for your desk. Display your "druthers"! If sailing isn't your thing, tell us what is. Maybe we have a bumper sticker for that, too. We'll also send a new brochure on how we can free you from packaging problems and drudgery. Write us:
I'd rather be sailing
Stanford Applied Engineering Inc.
340 Martin Avenue, Santa Clara, California 95050 Telephone (408) 243-9200 — (714) 540-9256 — TWX 910-338-0132
World Radio History
Think Twice:
How will you choose your next portable scope ...on faith, or on fact?
Forget everything you ever knew about portable scopes; today's portables are something else entirely. In the last year, both major scope manufacturers have brought out completely new lines. So, choosing a new portable on "blind faith" in your old make is about as sensible as marrying a girl you've never met, just because her second cousin was Miss America in 1967.
The only rational way to choose a new portable today is to make a head-on comparison between our scopes and our competitor's. And this means more than just a quick look at price tags and specs. It means a thorough investigation of total acquisition cost. Be sure you check these specific points:
Initial purchase price. Are you getting the best price available? HP's Portables are priced as much as $200 below the competition, with special purchase agreements available.
Ease of Use. Are the controls simple and logical? Or are they a jungle of tightly packed knobs. Ten minutes a day, spent in needless tinkering, can add up to hundreds of dollars a year in wasted man-hours.
Fieldworthiness. Some scopes have such high power requirements that battery operation is impossible. HP feels that a portable scope should have "go-anywhere" capabilities, so our Portables all use low-power-requirement designs which permit battery operation. Low power requirements also mean lower heat, which prolongs component life. As a result, only HP's Portables eliminate the need for fans, or dust-admitting vent holes.
Calibration and Service. Have you considered how much your scope will cost you after you've purchased it? For example, HP Portables are quickly calibrated — requiring approximately half the time required to calibrate our competitor's portable scope. This could save you hundreds of dollars over the life of your scope. And are you going to have to deal with one manufacturer for scope service, and another for your voltmeters, signal sources, etc.? Or can you save time and money by limiting your dealings to one company? And don't forget training aids; HP offers live demonstrations, video tapes and literature to simplify conversion problems.
Look into all these points, and we think you'll find that you'll save a lot of time, effort, and money — and avoid a lot of frustration — by choosing HP's Portables. But don't take our word for it; make the comparisons yourself.
For a revealing package of information on HP's new Portables, send for a free copy of our "No-Nonsense Guide to Oscilloscope Selection." Or contact your local HP field engineer for a demonstration. Check before you choose. Hewlett-Packard, Palo Alto, California 94304. In Europe: 1217 Meyrin-Geneva, Switzerland.
Scopes Are Changing;
Think Twice.
HEWLETT PACKARD
OSCILLOSCOPES
Circle 23 on reader service card
You can assemble our SMA connectors in less time than it takes to shave.
Five minutes. That's all it takes to assemble our SMA connectors for subminiature coax cables. A significant savings in production time.
You get your Amphenol SMA connectors factory preassembled, thus keeping loose parts at a minimum. And by using an inexpensive tool kit to prepare the cable, putting them all together is a snap. Parts loss is virtually eliminated.
Amphenol set the trend by making its SMA connectors of high-strength, heat-treated beryllium copper material, which is three times stronger than stainless steel. These superior connectors are, of course, completely intermatable and interchangeable with existing stainless steel designs. Amphenol was the first source qualified for MIL-C-39012 SMA connectors.
Available in a wide variety of flexible and semi-rigid cable connectors; receptacles for strip-line, MIC packages, and numerous other microwave components. And if you need SMA specials or complete cable assemblies, come to the world's largest manufacturer of coaxial connectors.
See your authorized Amphenol distributor or write Amphenol RF Division, Bunker Ramo Corporation, 33 East Franklin Street, Danbury, Connecticut 06810.
Signetics Corp. is reversing common semiconductor pricing practices in a marketing gamble that could have a big payoff. The Sunnyvale, Calif., semiconductor house has developed a universal IC timer and priced it at 75 cents in lots of 100. Instead of hoping that appliance makers will design the new circuit into their washers, dryers, and the like so that prices can come down as volume goes up, Signetics is making the price so low to start with that designers will almost be forced to use the part.
The circuit is capable of time delays from 1 microsecond to 1 hour with a stability of 50 parts per million per degree centigrade. It contains a comparator, a flip-flop, and a buffered output stage; timing is controlled by an external resistor and capacitor. Also, the circuit can work in or out of TTL levels, can supply up to 200 milliamperes of output drive, can be configured as a highly stable one-shot timer, or an ultra-stable oscillator in which the duty cycle can be adjusted independent of frequency.
The latest draft standard by the American National Standards Institute for the safe use of lasers specifies a maximum permissible exposure of continuous radiation on the eye of 1 milliwatt per square centimeter—still not what laser manufacturers were hoping for.
This “safe” level, which increases in steps as exposure time on the 7-millimeter-diameter eye decreases, is well above the 40 microwatts/cm²-level regarded by manufacturers as so disastrously low when it was proposed last autumn but below the 5 to 10 mW/cm² they regard as safe.
“There are still many objections but it will in all probability go through,” comments C. Harry Knowles, who vociferously opposed the 40 µw level. He is a member of the ANSI laser committee and president of laser producer Metrologic Instruments Inc. of Bellmawr, N.J. Weighing in favor of approval is the desire to provide a national consensus on safety that would prevent states from coming up with different standards of their own.
More cable television operators and hardware manufacturers are getting together in bidirectional cable TV experiments to find out if interactive programing using the bands below 50 megahertz is feasible. A neck-and-neck race to be first with 25 home subscriber terminals linked to minicomputers is on between Hughes-supported Theta-Com, Los Angeles, and RCA’s new cable acquisition, EIE Inc. of North Hollywood, Calif. EIE is set to try 25 connections—24 homes and one gasoline station—in Orlando, Fla., together with operator ATC Corp. of Denver, Colo. Theta-Com’s partner for a similar hookup in El Segundo, Calif., is TelePrompTer, New York, the largest CATV operator in the U.S.
Meanwhile, Tocom Inc. of Irving, Tex., is clearing the red tape to set up a two-way experiment in a section of Irving that eventually will cover some 2,400 homes, apartments, and businesses. All the trials will concentrate on digital return of information from subscribers via computer interrogation of home terminals.
Memorex enters computer field
Memorex Corp., the Santa Clara, Calif., maker of magnetic tape, disks, and computer peripheral products, has brought out its first mainframes. The two compatible machines, MRX 40 and MRX 50, are manufactured by Midwest Systems Inc., the company's wholly owned subsidiary in Minneapolis [Electronics, June 25, 1971, p. 25].
The machines are aimed at a market defined by the company as "below the IBM system 360 model 30." Architecturally, they are virtual multiprocessing systems. In each, eight processors, a memory, and an arithmetic and logic unit (ALU) share a common bus. Four of the processors actually process data, and the rest, being dedicated to input-output functions, are termed virtual processors. To the user they look like one black box—he need not distinguish between them in his programming. They share the ALU and the memory. The combination, the company says, produces a task switching time of essentially zero.
The memory is a high-speed semiconductor array. The MRX 40 can hold up to 64 kilobytes of MOS main memory (1.6-microseconds total cycle time). The MRX 50's main memory capacity is 128 kilobytes, and main memory cycle time is only 800 nanoseconds. Monthly system rental ranges from $2,500 to $8,500; shipments begin in September.
Sears to sell $100 NR calculator
North American Rockwell will begin delivering in June electronic calculators that are expected to sell to the consumer for about $100. Among the customers is Sears Roebuck. The calculators, which will have unique features and case designs for individual customers, will use liquid crystal displays and MOS ICs manufactured by NRMEC—North American Rockwell Microelectronics Co.
NR has contracts for more than 150,000 machines with Sears, Lloyds of California, Logic Data of Chicago, and others to be announced. And Donn L. Williams, president of NR's Electronics group, says that worldwide sales are expected to total at least a million units a year.
Sperry to market liquid crystal displays in fall
Sperry Information Displays in Scottsdale, Ariz., best known for its inexpensive seven-segment gaseous displays, will start pilot production of liquid crystal this September—a year ahead of schedule. The displays use packaging technology similar to the firm's present planar displays, and prototypes are operating from -26 to +77°C with no degradation after 5,000 hours of dc operation.
Autonetics readies small version of D 216 computer
Now that its D216 military computer using large-scale MOS plus plated-wired memory is nearing qualification and first deliveries in June, North American Rockwell's Autonetics division in Anaheim, Calif., is working on a miniature, lower-cost version called the DM216. It will be preceded in December by the DI216, a twin of the D216 except for a new CPU that features higher throughput and microprogram control. Then, late in '73, the DM216, using beam-lead versions of the chips plus a new 2-mil plated wire memory, will be ready.
The 16-bit, 8,192-word machine will have 2-microseconds add time, weigh only 4.5 pounds (as against 15 lb for the D version), require 30 rather than 48 watts, and have a volume—including the power supply—of 0.07 instead of 0.26 cubic feet. Autonetics projects its price as about half the D216's $30,000 in quantities of 100.
Yardsticks named do not yardsticks make. And while their minicomputers may be good, they're not good enough to be OEM yardsticks.
They're not even close. Large gaps stand between their definition of an OEM yardstick and that of GRI's Functional Process Minicomputers*, the computers with the original Universal Bus System. Gaps consisting of the dramatic simplicity, ease and efficiency with which you integrate a GRI computer into your systems environment.
GRI's yardsticks: the cost of writing real-time software, of designing hardware interfaces, of debugging both the hardware and the software—the cost and effort it takes to get the total system actually up and running. Yardsticks!
GRI computers' unique combination of functional programming languages and software, sets them apart as standards of efficiency for the real-time applications of today's minicomputers.
It all comes down to accommodating your system to THEIR computer or using a GRI computer designed to accommodate YOUR system.
Yardsticks? Decide for yourself. Write for the GRI story and see if we're not talking your language about yardsticks.
Write to: GRI Computer Corporation
320 Needham Street, Newton, Mass. 02164
Phone: (617) 969-0800. Cable: GRICOMP
Go ahead and crack a nut.
*Patented
Ion Implantation Sparks Tidy Front-End Business
BY NAT SNYDERMAN
NEW YORK — Ion implantation is gaining favor in semiconductor factories and is generating a tidy little business for a handful of equipment suppliers virtually unknown a few years ago.
Considered a laboratory maverick until recently, ion implanters have evolved into sophisticated front-end production equipment which may one day compete with diffusion in microcircuit processing, notably in MOS.
National Semiconductor, Intersil and American Micro-systems are among the major IC producers which have installed ion implanters. Fairchild, Mostek and Hewlett-Packard have units on order.
A solid endorsement of the ion bombarding art will soon be given by IBM which has placed orders for three machines — two for East Fishkill and one for Manassas, Va. — reported to be a prelude to a push in MOS circuits. Made by the Ortec division of EG&G, the units will be delivered in April.
Equipment manufacturers estimate the total cost of the three systems IBM will buy from Ortec at $250,000 to $300,000.
Ion implantation has been a technique for doping semiconductors — generally thin-films — uniformly over each wafer, and from wafer to wafer. In this technology, ions, accelerated to high speeds, are bombarded onto the surface where they penetrate and then diffuse.
Device engineers have found that it permits them to dope with fine adjustments of dose.
Hewlett-Packard Introduces Electronic Pocket Calculator
PALO ALTO, Calif. — Hewlett-Packard Co. said it has introduced a new electronic pocket calculator called the HP-35.
William R. Hewlett, president, compared the nine-ounce battery-powered calculator to a "fast, extremely accurate electronic slide rule, with a solid-state memory similar to those used in computers." The HP-35 is approximately three inches wide, six inches long and one inch high and will sell for $395, according to Mr. Hewlett.
Today ion implantation is big news.
Look what we started!
Two years ago you probably never heard of ion implantation. Today it's big news—helping turn bright ideas into profitable products.
MOSTEK was the first to use ion implantation in the volume manufacture of MOS/LSI, beginning in 1970. Since then we have made process and product innovations that have initiated an industry-wide movement towards implantation. Today you will find our implanted MOS circuits in an ever widening range of applications including: business and scientific calculators; electronic organs; credit verification terminals; industrial timers; computer peripherals; medical electronics; avionics; portable measuring instruments and modems. Looking ahead, implanted MOS is ideal for such new and exciting areas as utility meter reading, time keeping, and automotive electronics.
If you are considering using MOS in your products, check what implanted circuits can do for you, both technically — (lower power, higher speed, and operation over broad supply voltages)—and economically. Let MOSTEK recommend a custom approach or one of its standard implanted MOS circuits to meet your needs.
EDN/EEE, 9/15/71
EDN/EEE, 12/15/71
EDN/EEE, 2/7/72
EDN/EEE, 1/24/72
Major Business Publication, 1/5/72
Ion-Implantation Moves Ahead
Ion implantation technology continues to advance. This was borne out at the recent International Electron Devices Meeting in Washington, D.C., where, of the twelve papers presented on the subject, nine described applications other than the most commonly known ones.
First CCD vidicon, for Picturephone, built by Bell
Developmental array contains 128 by 106 elements, but denser versions are coming for commercial application
Bell Laboratories has built the first solid-state vidicon using charge-coupled technology. It promises better performance and reliability, at a lower cost, than conventional camera tubes. Unlike recently announced solid-state imagers, such as RCA's [Electronics, Feb. 28, p. 72], the Bell device approaches the resolution required by many video transmission applications. In fact, it was the need for a cheap, reliable, and small camera for Picturephone that spurred Bell's work.
The Bell camera can be used for Picturephone by scaling of the element array by a factor of 2 in both directions—from 128 by 106 elements to, say, a 210-by-210 array. That prospect is not distant, since researchers there already have built 500-element linear arrays and are working on charge-coupled structures that minimize element spacing for the high-density arrays required in vidicons.
Bell Labs executives are enthusiastic about CCDs for vidicons, having all but abandoned the alternate, bucket brigade approach as an immediate imaging technique. Eugene I. Gordon, director of Bell's optoelectronic department, general director of the work, says:
"The CCD camera is the next generation of vidicons. We frankly are surprised at the speed at which the CCD effort has progressed. Two years ago no one had heard of a CCD; nine months ago we had the bare bones of 8-by-8-element imagers; now we have something approaching a camera target. And although the device is still in a developmental stage, the speed of CCD implementation is so far ahead of the development rate of the silicon-diode tube in a comparable period of time in its history, that problems of CCD vidicon fabrication pale compared to those encountered with silicon-diode targets."
The Bell device has its 128-by-106 array arranged on a 192-by-240-mil chip, large by IC standards. But since diffusions are required only at the outputs and fabrication involves metalization only, chip size is not the critical factor in yield.
However, as pointed out by H.A. Watson, head of device development, Bell's CCD chip requires highly sophisticated metalization.
Whole picture. Bell Labs' Carlo Sequin, a key developer of CCD vidicon, adjusts display on Picturephone in lab demonstration.
CCD vs silicon
One major advantage charge-coupled-device vidicons have over silicon-diode versions is ease of manufacture. For one thing, a CCD vidicon requires no diffusions in the silicon to form image elements; the diode vidicon requires several hundred thousand diffusions. CCD vidicons are scanned with conventional MOS shift-register circuits—small, low-power, inexpensive, and available. The diode vidicon is a vacuum tube requiring a high-voltage, high-power magnetic-field electron-beam scan, which often burns in and degrades performance. Nor are CCDs subject to lag—or smearing.
Most important, CCD cameras, since they are built with standard semiconductor technology and require conventional low-cost scanning circuits, will be cheap and small compared to today's vidicons. Since this year's camera tube market is expected to reach $50 million, it's no wonder that commercial camera makers (GE, RCA, Fairchild, TI) are racing to build CCD vidicon versions.
techniques—many parallel electrodes, each 9 micrometers wide, with 2-\(\mu\)m gaps. Since 10-\(\mu\)m fabrication rules are standard in the IC business, Bell's 2-\(\mu\)m gaps may indeed become a difficult standard to achieve in production, especially when larger arrays are built. To avoid the metalization strictures, Bell is looking at other structures, using double metalizations, overlapping electrodes, buried channels, and the like.
**Commercial electronics**
**Frame grabbers: a big market?**
When the Telebeam Corp. demonstrates its new system for bringing pay television and other services into hotel rooms next month, it will also be spotlighting a piece of electronic gear that in years to come could have sales in the millions of units. The device, dubbed a frame snatcher, or grabber, is designed to display still pictures on a TV set. Its sales potential is judged not by its use in Telebeam-type systems alone, but in its usefulness in two-way educational television and information retrieval and display systems.
Telebeam's frame grabber, developed by a Plainview, N.Y., company, Systems Resources Corp., stores a frame of information in a single track around a rotating disk of ordinary video tape. The device is critical to the operation of the Telebeam system because it will eventually be the relatively low-cost means by which a company will provide a whole range of free information services in addition to the movies, plays, and sporting events usually associated with pay TV.
These hotel-room services will include information about the hotel itself, about restaurants in the neighborhood and their menus, and about such things as plays, concerts, and other events taking place throughout the city.
Telebeam is also considering tying into airline and theater ticket reservation systems. By presenting airline schedules and prices at the request of the guest, the system would enable him to book space and order tickets from his room.
**Operation.** The frame grabber plucks the desired frame of information from those stored in a mini-computer system located in the hotel and deposits it in a rotating disk on a turntable beside each TV set. The disk continually refreshes the television picture, while the central computer is free to handle other requests.
Several companies have been developing frame grabbing devices (see panel). Price is paramount: Systems Resources' unit is now in the $600-to-$700 range, but once it is toolled for large-scale production, this figure could readily drop to $150, says Eugene Leonard, the president. Leonard's device relies on a circular disk of magnetic material cut from ordinary video tape. This is fastened at its center on a machined aluminum turntable having a \(\frac{1}{4}\)-inch-wide circular groove cut about an inch from its circumference. Early units relied on an 8-inch-diameter disk, but now Leonard is moving to a 10-inch-diameter disk for "better resolution."
Drilled into the bottom of the groove and through the outer edge of the turntable are tiny holes, spaced at about 90°. As the turntable spins, air suction from its spinning outer edge creates a vacuum that sucks the magnetic tape down into the groove. The effect is enough to produce a circular trough in the spinning magnetic disk. One frame of information is produced with each revolution. The speed of the driving motor is controlled by the TV synchronizer.
A magnetic read/write head, positioned over the groove, actually rides on an air cushion over the groove in the tape. "The tape bends out of the way of the head and into the groove," Leonard explains. Thus, the head experiences next to no wear.
**Infinite.** Each 7-in.-diameter track can store elements with 70 nanoseconds of resolution, and a display can have infinite starting point resolution. This translates to 70 characters on 30 lines in a standard 525-line system using an 8-in. disk at 1,800 revolutions per minute, according to Leonard. With the 10-in.-diameter disk spinning at 3,600 rpm, he hopes to get 120 characters on 60 lines by using two tracks and a 1,100-line TV monitor.
Either unit will weigh under 15
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**Grab bag**
While the Telebeam pay-TV system relies on a frame grabber made by Standard Resources Corp. of Plainview, N.Y., other companies are also in this potentially lucrative market. Systems Resources and Sony Corp. store frames magnetically, while systems made by Hughes Aircraft Co. and Princeton Electronic Products rely on silicon tubes.
The hope now is that big orders could get the price down to about $50, according to William F. Mason, technical director of Mitre Corp.'s Systems Development division in McLean, Va. Mitre is setting up a prototype two-way cable TV education system; McLean bases his $50 on a system serving 10,000.
Mason plans to use electronic storage tubes—Mitre now feels that the VTR cassette and reel-to-reel approaches are too expensive. However, Mason says that prototype tubes of 1 or 1.5 in. cost $500 each.
Companies find educational VTR a growing and lucrative sideline
Electronics firms have been flirting with the education field for years—by conducting seminars and selling handbooks, reference books, and design aids—but generally as an adjunct to regular sales efforts. Now, however, several of the best-known names in electronics have committed themselves to the business.
The latest is Texas Instruments, which has set up an independent profit entity, called the Learning Center, devoted to the manufacture and marketing of video tape courses and technical books. It's a big market, considering the number of vocational schools, colleges, junior colleges, and graduate programs. But, says Donald C. Scharringhausen, Components group market communications manager, "We don't have enough history of education VTR [video tape recording] to know how big it really is."
More to come. The learning center's initial three offerings are a 12-hour, 12-set VTR on basic solid state, selling for $2,580; a more specialized 11-hour set on metal oxide semiconductors selling for $3,575; and a $2.95 textbook on general electronics. TI plans to add a semiconductor memory course by midsummer, and courses on linear and digital circuits are planned.
Because of the cost of the tapes, they're obviously aimed at corporate and college users. In fact, William N. Carr, a professor at Southern Methodist University and one of the authors of the MOS course, is using the TI tapes in a graduate class studying MOS ICs.
In the business longer has been Hewlett-Packard Co., Palo Alto, Calif., which got into it by producing training tapes for instrument calibration and maintenance. Jim Taylor says that H-P soon found out there was a need for tapes explaining basic concepts.
There are three types of tapes: tutorial, which come with questions and answers in a complete training package; operation of equipment which includes applications data; and maintenance "we tear down a scope," says Taylor, "and show where R-23 is and what happens if you adjust it."
Full library. H-P has a library of some 77 video programs on 100 reels. One of the best, Taylor says, is a nine-hour 15-tape series on transistors. This series, complete with textbook and assignments, sells for $1,350. Typical customers include the Navy and junior colleges; Stanford University will present the course over a closed-circuit TV net.
As far as H-P is concerned, Taylor says, "the business grew like Topsy. After we introduced some of the calibration and maintenance tapes, we found that others that contained basic information (such as the transistor one) were needed." Next on the H-P production schedule is a series on troubleshooting of transistor circuits; this will be out in about a year.
Taylor points out that the H-P tapes are not made merely by aiming a camera at a man standing up in front of a room, reading a script. "We have trained professional producers, writers, directors, and equipment. This includes 11 studios. All we lack to be a commercial TV station is an FCC license and a transmitter."
TI's Scharringhausen: A big market, "but we don't know how big it really is."
there's not much choice as to what most of the free world will do," Rechtin warned. "And so, we might as well."
**Trend.** The first significant U.S. move toward broadening its procurement perspective to include foreign systems developed by allies was made by David Packard when he was deputy defense secretary. Packard pushed the Army to buy and test models of the French Ratac field artillery radar, as well as low-altitude field air-defense missiles, including the French Crotale [Electronics, Dec. 21, 1970, P.39]. British Aircraft Corp.'s Rapier and the West German Nord combine's Roland [Electronics, March 29, 1971, p.31]. Crotale has completed preliminary tests successfully, with Rapier tests tentatively set for spring, and Roland for this fall. "Selection of one of these systems would eliminate the need for a U.S. development," says John S. Foster, director of defense research and engineering. Foster, when outlining his fiscal 1973 research and development program to Congress, identified 10 other foreign systems under U.S. scrutiny.
Those with heavy electronics content include: the French Exocet ship-to-ship missile under Navy tests, joint service tests of the British-French WG-13 helicopter for possible application in the Navy's Lamps program, a joint U.S.-British sonar for surface ships, and the joint U.S.-French sonar development program called RAP for Reliable Acoustic Path.
Both Foster and Rechtin say that about one-third of Europe's annual outlay of roughly $3 billion for nonstrategic R&D can be duplicated (see table) and that savings can be achieved through increased joint efforts or assignment of a given weapons area to the country or countries that have demonstrated expertise. This approach, it is said, could provide one way of getting around growing constraints on R&D budgets.
**Jobs.** Rechtin visualizes U.S. licensing of production of foreign systems as a way around congressional criticisms of defense industry unemployment—what he calls "the belly-to-the-bench problem"—while holding down overall DOD budget increases. Congressional approval of systems "depends on how much it costs, also," he explained.
Rechtin's view is that "we may not have much choice if trends keep going the way they are. The effective U.S. productivity is half that of most of Europe. I don't see how we stay in business."
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**Government**
**Computer to sense gas in mines**
Present sensing of poisonous or explosive fumes in coal mines isn't precise, fast, or comprehensive enough to suit the U.S. Bureau of Mines. To remedy the problem, the bureau will begin operating an experimental computerized sensing system in June that will probably yield enough data from which it could require similar systems throughout the coal industry, say sources close to the program. The bureau's effort is likely to generate a good market, adds A.C. McInnes, supervisor of instruments and communications for the Mine Safety Appliance Co., Pittsburgh, Pa., which is developing and installing the experimental system in the bureau's Bruceton, Pa., test mine under a $606,000 contract.
**Warning.** The experimental off-the-shelf system will use a General Electric PAC-30-2 computer with 32,768 words of core storage. The topside computer will analyze sensor inputs from 10 areas deep in the mine and display new readings on a operator control console every minute. If any element of the system malfunctions, or if the concentration of methane in a shaft approaches explosive limits, the computer will automatically warn the operator and the mine by flashing lights and buzzers.
Besides methane, the sensors will measure carbon monoxide, hydrogen, air temperature, rate of temperature change, air velocity, noise and smoke. The carbon monoxide and hydrogen sensors, for example, pull the sampled air through chemically-treated cells. An excessive concentration of either gas triggers a chemical reaction, the heat of which energizes a thyristor. Currently, most such measurements are taken
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**Over there.** About $1 billion of Allies' military R&D annually duplicates U.S. efforts.
In Answer To Your Gripes About Every Other Portable Recorder
The no jazz CPR 4010. A 7 speed, ½” or 1” tape, 10½” reel portable recorder/reproducer.
Old Clichés Revisited
What's so great about it? Mainly, it's the easiest machine around to use, maintain and service. (We know you've heard that before, but bear with us for a minute.)
Operation
We've got a single knob for transport speed and electronics equalization. Automatic. Other transport functions are push-button controlled including our proprietary AUTOLOAD automatic, mistake proof tape loader that works precisely, every time. All the electronics are in one housing. Even monitor meters, voice logger, 7 speed servo card, and all 14 record and reproduce modules. It's easy to add options because it's pre-wired. All you do is plug in.
Maintenance and Servicing
Time for the annual P.M.? It's no big deal. The back panel's hinged. Just flip it down. All motors, power supplies, electronics, etcetera, are right there. (It even runs in this position.) Nothing special needed. How's that for simplicity?
Performance
Briefly, from the top: 7 speed transport, 15/16 to 60 ips; 7 speed direct, all automatically switched, 300 kHz at 60 ips; 7 speed FM record; 40/20 kHz, automatically switched. Any 2 speeds of FM reproduce; low tape flutter and TBE; isolation from reel perturbation via dual capstans and tension sensors. Low mass, closed loop IRIG servo system. The same electronics design as our top-of-the-line VR-3700B.
Bell & Howell & the CPR 4010
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manually, says Thomas N. Nasiatka, staff engineer for the bureau. Voice communications between the control room and each station, as well as between stations, will be handled by the experimental system. The computer also will check continuously to make sure that the data and voice lines are working. Each sensor will have a gage so that underground workers can check air conditions at their stations.
Going to work. "The purpose of the experiment," says Nasiatka, "is to demonstrate that technology exists to do this kind of job." The bureau's mine doesn't produce coal, but "we can simulate various kinds of environments to test out the equipment," he says. "We're pretty sure the system is going to work." Nasiatka adds, and it will help "develop better sensors to make the system we will be testing more economical."
Computer sensing systems would be valuable because "it's helpful to the operator to pick up these conditions in advance," Nasiatka says. And continuous operation is an advantage also. In addition, a future system might automatically condition the air, as well as monitor it. The bureau's work, spurred by the 1969 Coal Mine Health and Safety Act, is part of an over-all research program [Electronics, Sept. 13, 1971, p. 103].
A commercial system wouldn't need to be as elaborate, says McInnes. "You could use an inexpensive computer—maybe a mini—and telemetry systems," he estimates. "You wouldn't need the CRT display, hard copy, or redundant power capability either."
Communications
Suppliers are winners, no matter which way FCC goes on domsat
Communications equipment makers will be the ultimate winners in the domestic satellite system competition, no matter which proposals now pending before the Federal Communications Commission are approved. That's the reaction of manufacturers and the Electronic Industries Association to an FCC staff recommendation that narrows the field for the commission. A final decision is expected this year.
Potential. "Whoever wins—we still make the equipment," observes EIA vice president John Sodolski. He adds that domestic satellite systems offer immeasurable potential for producers of ground stations; so do the microwave links and other hardware to interconnect users.
In addition to the business potential for satellites and ground interconnection hardware, Sodolski points out that the domestic satellite market should markedly expand the cable television and special-service common carrier industry.
Though the Common Carrier Bureau, headed by Bernard Strassburg, hinged its recommendation on technological considerations, the seven commissioners must still assess the politics of the matter when the full FCC begins oral arguments on the report on May 1.
Four main groups of applicants were chosen because the FCC staff says it wanted to team those with existing customers and proved technology, and combine those with "novel" technology and no customers. Group 1 is composed of Western Union Telegraph Co., Hughes Aircraft Co. with General Telephone & Electronics, RCA Corp., and tiny Western Telecommunications Inc., all arrayed around Hughes or similar satellites. Group 2 consists of Communications Satellite Corp. and AT&T. In the two "novel" groups are MCI-Lockheed with their proposed 48-transponder spacecraft, and Fairchild Industries with its craft based on Applied Technology Satellite F.
Two paths. The staff offered an option of whether to join or go it alone to Western Telecommunications, RCA, and Comsat-AT&T. Industry observers conjecture that Western can't go independent and might not be included in the first group, either. RCA, which reportedly hasn't solidified its proposed system, was given some restrictions if it went along, which might induce it to stay in Group 1. Comsat-AT&T is seen as a profitable and efficient team, but there is some speculation that AT&T, which has wanted its own system, might pull out after an operational system got saturated, leaving Comsat high and dry.
The staff's plan "makes it all pretty even," says one industry insider. Members of the first group can get together to share risks and costs while the "novel" companies have been told "to go do whatever you want to," he says. Grouping Comsat with AT&T and restricting AT&T to only long lines and WATS service recognizes a "political and practical situation," the spokesman says.
Concerned. One interested party—the White House Office of Telecommunications Policy, which says
Mid-May decision?
A final domestic satellite decision by mid-May is the new goal of FCC chairman Dean Burch, commission sources report. Burch wants to wrap up the program "two weeks after completion" of three days of hearings on the staff report scheduled to begin May 1. Though industry skeptics question whether Burch can get his six fellow commissioners to move that quickly, sources say Burch is determined to get the domsat question on the agenda for the week of May 15. Speculation is that Burch also may face some foot-dragging, though, by the White House Office of Telecommunications Policy.
There's more to ESP rectifiers than you might think.
Customers have already perceived at least two additional features that provide more reasons to go ESP — low leakage, especially at high temperatures and operation over the full military range of -65°C to +175°C.
Now Unitrode has added three more reasons. The voltage range has been increased to 150V. The three UES series are now available as 1N5802 through 1N5816. And you can get them in high efficiency assemblies as center tap rectifiers, bridges, and higher current modules.
Of course, you already know about the 15nsec typical recovery time in any circuit — forward voltage drop as low as 0.8V at 20A — continuous ratings of 2.5A to 20A — very low diode losses and low cost — and off-the-shelf delivery from local Unitrode distributors. These features alone added up to the best in Efficiency, Speed and Power.
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Electronics review
it wants an "open skies" approach—apparently is concerned about the staff's recommendation and is likely to have further words about any domsat decision.
Three posers. When the May arguments begin, the staff has urged the commission to seek opinions on three questions: should domsat be open to everyone or restricted, as the staff suggests? Should AT&T be limited just to phone service? Should Comsat have to choose between AT&T or a separate system?
Cable television backers seem to have gotten strong support from the recommendations. Particularly pleasing was the staff's urging that cable users be allowed to use low-cost receive-only earth stations. "They did us a good turn there," says a National Cable Television Association spokesman. "We have leverage in our favor" against costs of long-lines or microwave connections, such as those by AT&T.
Instrumentation
6-port coupler simplifies job
A six-port coupler developed at the National Bureau of Standards in Boulder, Colo., promises to enable engineers to use three inexpensive off-the-shelf hybrid junctions to measure transmission-line voltage, current, power, complex impedance, and phase angle. Present methods are complex and require expensive components.
The device, developed by Cletus A. Hoer, consists basically of a pair of directional couplers, in addition to the junctions. It has four side arms and two main-line ports. By measuring only the magnitudes of the voltages at each of the side arms, one can calculate all the other desired data.
Actually, only three of the magnitudes are needed to determine the system completely, but the fourth enhances the accuracy of the phase-angle calculations and provides an estimate of the accuracy of all of the measurements. In the diagram, \( v \) and \( i \) are the voltage and current at the reference plane, while \( a \) and \( b \) are the amplitudes of the forward and reflected voltage waves, respectively. The side-arm outputs are voltages proportional to the subscripted quantities.
Good sweeper. Instead of measuring voltage, one could use power detectors on the side arms and still calculate all of the quantities of interest. As Hoer will explain when he describes the coupler at the Conference on Precision Electromagnetic Measurements this June in Boulder, the device is made entirely of broadband components, hence it is well suited to making measurements on a swept-frequency basis.
An important feature of the new device is that it does not require high-quality junctions and couplers to yield accurate results. So long as the components are stable, their imperfections can be nulled or included in the calibration of the output detectors.
Logic
Raytheon offers power ECL
Large-mainframe computer builders, taking their cue from the rest of the industry, now seem willing to consider standard logic families. Texas Instruments' 5400/7400 series TTL has become the standard in electronics circles, and it appears that Motorola's MECL 10,000 series will become the standard ECL family in computer circles.
Fairchild Semiconductor has brought out a line [Electronics, March 13, p. 41], and the latest company to announce MECL 10,000-type parts is Raytheon Semiconductor.
The Mountain View, Calif., firm is actively soliciting development contracts for what it calls TPECL (temperature and power supply compensated ECL), which the company will make in either MECL 10,000 pinouts or Fairchild 9500 pinouts.
Fast. Speed is one of the most important specs in an ECL circuit, and Walter Seelbach, manager for advanced development at Raytheon, says that because TPECL is made with Raytheon's V-ATE process [Electronics, June 7, 1971, p. 35] it is faster than the others. For the Raytheon equivalent of the 10109 and 95102 dual OR-NOR gate, the spec is 1.5 nanoseconds typical propagation delay versus 2 ns for the Fairchild and Motorola parts.
The big advantage, however, is that the user doesn't have to worry about power-supply fluctuations—a built-in voltage regulator keeps the high and low logic levels within a few millivolts of the nominal value, even over wide fluctuations. For TPECL, with a \( V_{cc} \) of 5 volts at 25°C and all outputs loaded with 50 ohms to -2 v, high-level output is 915 mv ±45 mv. This is guaranteed not to
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HA-2102A HA-2602 HA-2622 HA-2502 HA-2522 HA-2700
HA-2107 HA-2510 HA-2400
HA-2107-3 HA-25*2
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DISTRIBUTORS: Schweber Electronics; Westbury, New York (1-816) 334-7474; Rockville, Maryland (301) 881-2200; Orlando, Florida (305) 937-5611 / Harvey R & D Electronics: Lexington, Massachusetts (617) 861-2929; San Jose, California (408) 279-1000; Detroit (313) 255-0300; Minneapolis (612) 884-8132; Kansas City (816) 453-3900; St. Louis (314) 428-6100; Dallas (214) 339-0211; Indianapolis (317) 243-8271; Pittsburgh (412) 781-8120; Dayton (513) 278-9455 / R.V. Weatherford Co.: Albuquerque (505) 265-5671; Anaheim (714) 547-0891; Austin (512) Enterprise 1443; Dallas (214) 231-6051; Denver (303) 427-3736; Glendale (213) 849-3451; Houston (713) Enterprise 1443; Palo Alto (415) 321-5373; Phoenix (602) 272-7144; Pomona (714) 623-1261; San Diego (714) 478-7409; Seattle (206) 762-4200 / HARRIS SALES OFFICES: Western Region (305) 727-5430; Wayne, Pennsylvania (215) 681-6850; Palos Heights, Illinois (312) 597-7110; Melbourne, Florida (305) 177-6400; Palo Alto, California (415) 321-5280; Melville, New York (516) 249-4500; Syracuse, New York (315) 463-3373; Washington, D.C. (202) 337-4914; Dallas, Texas (214) 321-9031; Scottsdale, Arizona (623) 946-3556; Long Beach, California (213) 426-7687
Electronics review
vary more than 1.3 mv per volt of power supply deviation, and not more than 10 µv per degree centigrade of temperature deviation. For Fairchild's 95102, the deviation is 9 mv per volt of power supply deviation and 60 µV/°C of temperature change.
Besides the difference in specs, the two new ECL circuits are being marketed differently. Fairchild will come out with standard circuits, while Raytheon will work with customers in developing a line of products. The primary reason for this is money—Raytheon, smaller than Fairchild, can not spend in-house dollars to develop circuits. But Seelbach points out that the Raytheon circuits, whether they have Fairchild 9500 or MECL 10,000 pinouts, will be "standards" in that they will be compatible with the other devices in the family.
It's also interesting to note that many of the new Fairchild 95100 parts are pin-compatible with 10,000 parts, and so it appears that for the mainframe business, the standard family will be MECL 10,000, even when it is called 95100.
Seelbach says samples will be available next month in the form of a dual OR-NOR gate with either Fairchild 9500 or MECL 10,000 pinouts; the price for the Raytheon parts will be about $5.
Displays
Planar processing yields big figures
Workers in fast-moving technologies have a way of abandoning relatively fresh developments before all their potential has been realized. A new type of display developed by Antex Corp., Palo Alto, Calif., is a good example of that. Antex was formed a year ago by Ken T. Chow, founder of Electro Nuclear Labs, and has been developing light-emitting-diode displays for calculators. The company is now supplying them for several Japanese calculator makers.
Number game. Panarray display, made by planar process, features half-inch to 2-inch figures and needs low voltages.
Chow, aware that most of the talk about large displays these days is centered around liquid crystals, felt that there was much to be gained by expanding existing technology. The goal was to come up with a low-cost display for half-inch to 2-inch characters. The result is Panarray.
Low voltage. The biggest advantage over other planar panel arrays is that Panarray is a low-voltage display (Burroughs' Panaplex requires upwards of 200 volts) and thus it can be driven directly by MOS circuits. While Panarray is only in the developmental stages now, William S. Routh, engineering vice president, says that samples should be available in about six months.
Panarray combines an excited phosphor digit, similar to what can be found in RCA's Numitron and several Japanese display digits, with planar processing techniques. In a three-layer sandwich, a seven-segment pattern of phosphor material is deposited on the back of a glass plate, and electrodes are attached to each segment. This is backed up by a conducting glass plate which acts as a control grid. Next comes a cathode, which is a plate coated with a cesium oxide, producing what Routh calls an active emitter.
Using digit multiplexing, the middle layer, or grid, controls which digit in an array is on. Total drive current of a display in on the order of "tens of microamps at 20 volts," according to Routh, and the display is available in most colors.
Solid state
Correlators offer cheap solutions
A pair of digital LSI correlators developed at TRW Systems, Redondo Beach, Calif., promise an economical solution to important problems in bit synchronization, bit detection, error correction, and pulse compression. Furthermore, they achieve high yields on chips as large as, or larger than, any others made to date—and one of them uses a fabrication technique that some people think is largely obsolete in today's world.
Digital correlation requires a binary word to be delayed by a time increment, multiplied bit for bit by another underlaid word, and the products then added. Both new TRW circuits use exclusive-OR gates to do the multiplying. Ordinarily, exclusive-OR gates are used for binary addition, but here analog summing does that chore.
Respective bits of the two words to be correlated, as inputs to the exclusive-ORS, are interpreted as ±1 rather than 1 and 0; in this context the exclusive-OR output, inverted, correctly represents the product of the inputs.
Epi method. One of the two correlators is made with conventional epitaxial techniques, but interconnections on the chip require two levels of metallization. The chip also has a cermet film to form stable resistors and to inhibit a chemical reaction between aluminum and silicon, which tends to reduce the yield.
The other correlator is made by a triple-diffusion process, using arsenic instead of phosphorus as a collector dopant, a technique some consider obsolete. Arsenic diffuses more slowly, and therefore the diffusion is harder to control than when phosphorus is used; also, devices made with diffused arsenic have a relatively low unity-gain crossover frequency. These factors hastened the general acceptance of the epitaxial deposition process for
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Electronics/March 27, 1972
Electronics review
Together. Pair of LSI digital correlators from TRW. Top device is made by conventional epitaxial fabrication; bottom one by triple-diffusion method using arsenic as a collector dopant.
IC manufacture. And where diffusion is still in use, arsenic is the dopant for the buried layer, not the collector. But using arsenic for the collector in the correlator results in a simpler process that requires only one level of metallization.
Yields with the epitaxial method are similar to those obtained with conventional integrated circuits, such as p-channel MOS devices. This is remarkably good because the epitaxial chip measures a whopping 214 by 236 mils. The epitaxial correlator is good for data rates of 25 to 200 megahertz and up.
On the other hand, although the triple-diffusion method is basically inferior in some ways—its maximum data rate, for example, is only 30 MHz—it reaches yields much higher than those of the epitaxial method, and the maximum data rate is good over the entire military environmental specifications of temperature, humidity, and so on. The triple-diffused correlator is on a 220-by-230-mil chip—about the same area as the epitaxial one but a different shape.
Getting good yields on such enormous chips is remarkable in its own right. If chips of a more pedestrian size—say, 100 to 125 mils square—were used, the yield at the chip level would probably be several times higher; but then, of course, interconnection problems would arise, limiting the yield and the reliability at the system level.
Avionics
NASA test advances VTOL
Vertical takeoff and landing (VTOL) aircraft look ideal for short-haul commuter traffic in built-up urban areas, but two technological problem areas have been dimming that promise—noise and uneconomical operation. The aircraft must operate under all weather conditions on flight paths that will lessen their perceived noise, keep them safe, and minimize their hover time so that they won't burn up too much fuel. Until now, VTOL advocates have had to rely too much on the pilot.
But researchers at NASA's Langley, Va., Research Center claim a major milestone in VTOL avionics development with the first fully
Call RCA if you want to talk about MIL-M-38510 COS/MOS
Now, for high-reliability types in COS/MOS ICs — for full MIL-STD-883 — call RCA.* And let's talk about advanced MIL-M-38510 techniques. In RCA's rapidly evolving 38510 program, high-reliability type product becomes not just the result of screening, it will be built in, through procedures being developed to the specification:
• Scanning electron microscope (SEM)
• Radiographic inspection
• Product traceability for permanent product control
• Rigorous operator training to maintain high quality-control standards
The COS/MOS CD4000A series is available in high-reliability types now being produced under MIL-STD-883, with SEM inspection specified in NASA-Goddard Space Flight Center specification GFSC-311-P12A, on special order.
And, since RCA's COS/MOS production is a single, integrated process, process advances that are developed for high-reliability product are automatically reflected in the commercial type you specify.
If you want the leader's standard of quality plus volume capability and systems cost effectiveness, go COS/MOS. See your RCA Representative or your RCA Distributor. Or write, RCA Solid State, Section 70C-27, Box 3200, Somerville, N.J. 08876. International: RCA, Sunbury-on-Thames, U.K., or P.O. Box 112, Hong Kong. In Canada: RCA Limited, Ste. Anne-de-Bellevue 810, Quebec.
*For information on high-reliability COS/MOS and our MIL-M-38510 progress, call RCA's high-reliability marketing specialist, Garry Miller (201) 722-3200 Ext. 2805.
RCA's scanning electron microscope at 1000 X magnification shows excellent conformity of conductors over wafer contours, assuring continuity and reliability of metal interconnects. This is a dramatic example of process refinements achieved under the RCA high-reliability program which are automatically applied to commercial products.
6000 X magnification shows excellent metal coverage over an oxide step, eliminating intermitter opens, thereby enhancing reliability. The scanning electron microscope has become a major tool in RCA's diagnostic and high-reliability procedures.
automatic landings by a manned CH-46 tandem-rotor helicopter. Using a NASA-developed experimental landing system, the helicopter flew automatically two to three miles to the intended spot at speeds of 60 miles per hour at an altitude of 800 feet. At 1,500 feet from touchdown, the helicopter automatically decelerated until it was hovering 50 feet over the touchdown point and then landed. The pilot monitoring the operation had to intercede once each flight to flick on the descent mode, reports John F. Garren, program manager.
Signal smooth. The Langley-developed guidance equipment included a Bell Aerospace GSN-5 ground-based tracking radar, linked by fm multiplex to onboard equipment: an Electronic Associates analog computer, and a special inertial signal-smoothing device with a fixed-gain common filter. The last device, by coordinating radar signals with the aircraft's instruments, provides control signals to a four-axis servo-control system.
NASA considers the tests significant. Garren explains, because it freed the pilot from actual flying so he could judge the flight better. Commercial VTOL craft will need guidance and avionics systems that select each landing profile for optimum noise, safety, and fuel requirements—a task no pilot can perform now, he says. "Conventional aircraft find a landing speed and hold it until touchdown," he explains, "but with VTOL you keep the speed as high as possible for as long as possible because low-speed flight burns up fuel at a high rate."
The tests indicate that, besides special avionics, VTOL-based transit will need ground-based radar equipment at each landing pad. "You need good range information and good ground-speed information," which is best provided by such equipment, Garren says.
For the record
Site. The world's largest planned radio telescope finally has a home—Datil, N.M. And electronic subsystem makers are getting ready to compete for chunks of an anticipated $20 million in contracts. The telescope, which will operate at microwave frequencies of 2.695 and 8.085 megahertz, is an array of 27 dish antennas arranged in a Y with each arm about 13 miles long. Each dish will be 82 meters in diameter. The project, called VLA for very large array, will be managed by the National Radio Astronomy Laboratory. Completion is scheduled in 5 years; total cost is estimated at $76 million. The fiscal 1973 budget contains $3 million [Electronics, Jan. 31, p. 75], and Congress has still to approve the program.
The message. Only one new element, although an important one, turned up in President Richard Nixon's unexpectedly brief special message to Congress on expanding civilian research and development through new technological opportunities [Electronics, Sept. 27, 1971, p. 33, and Jan. 31, p. 76]. The new proposal calls for creating a larger role for state and local participation in the effort under a three-part program.
Nixon said he wants science adviser Edward David to develop broader ties with state and local groups through discussions aimed at developing: (1) systematic means for communication of local groups' R&D priorities to appropriate FedBoxes, boxes, and more boxes. Hundreds of them, zipping along an automated conveyor-belt. In some are motors for air conditioners; in others, hinges for freezer doors, agitators for washing machines, blades for electric carving knives.
Each box is destined for a particular assembly line, and somehow, miraculously, it arrives at the right time, in the right order, with the right parts. Yet no one seems to be keeping track of things; how does it happen?
The secret is a binary coded label on each box, and a laser beam that knows how to read. Regardless of the position of the box or the label, it can't get by the laser scanning station without revealing its identity, contents, and destination to the computer-controlled system. It used to be done with mirrors, and a touchy optical system with an unreliable tungsten light source. And it made mistakes. But the new laser system stays right on the beam—regardless of variations in ambient light intensity and color—and the only down-time on the assembly lines is over the weekend.
Spectra-Physics OEM lasers are shedding new light on a lot of old problems, in manufacturing, communications, transportation, research, you name it.
Perhaps you have a problem one of our lasers could illuminate. Write the #1 laser people today at 1280 West Middlefield Road, Mountain View, California 94040. 415/961-2550.
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Circle 43 on reader service card
The Ortec P-554
Ion Implantation Processor:
• It's safer and simpler to operate than the other machines on the market.
• Its price is competitive.
• It can be delivered in 90 days or less.
Sounds great.
But who's Ortec?
The question is justified. For all you know, we could be a garage operation.
Truth is, we were once just that—about twelve years ago. Now we're one of the leading producers of ion sources, semiconductor detectors, and electronic instrumentation for nuclear physics research. We're into life-sciences instrumentation, too, and x-ray analysis systems.
We're no strangers to vacuum and accelerator technology, for sure. Both are in our normal line of work. And as for semiconductor technology—well, we're the world's largest manufacturer of precision silicon and germanium radiation detectors.
In other words, although you may not have heard of us, we've been toiling in your back yard for quite some time.
And our Ion Implantation Processor shows it. The P-554 is a very practical production machine. Take, for example, its extraordinary simplicity: the operator has only to load the tray with wafers and push a button to start the implant cycle. After that, the process is completely automatic.
Safety precautions—for both operator and the wafer load—are elaborate. With our system of interlocks, it's nearly impossible for an operator to foul up the works. Or expose himself to high-voltage or radiation hazard.
But perhaps the best proof of performance is for us to implant a few of your wafers. Which we'll be glad to do. Or, if you prefer, we'll send you a copy of our P-554 brochure. Either way, you have only to call or write our systems specialist, George Thoeming. The phone number: (615) 482-4411. The address: Ortec Incorporated, 110 Midland Road, Oak Ridge, Tenn. 37830. In Europe: Ortec Ltd., Dallow Road, Luton, Bedfordshire, England. Phone: LUton 27557. Ortec GmbH, 8 München 13, Frankfurter Ring 81, West Germany. Phone: (0811) 359-1001. In Japan: Toyo Trading Co., Tokyo. Phone: 279-0771.
Electronics review
Federal agencies so they can be incorporated into Federal planning; (2) ways of assuring state and local access to Federal R&D centers' technical resources in such areas as transportation, the environment, and energy programs, and (3) aggregation of state and local markets for specific products so industries can give government purchasers benefit of innovation and economies of scale.
That final point, say industry officials, could accelerate and expand sales of such items as communications equipment for law enforcement to state and local markets.
Univac spectrum. Computer facilities for the Federal Communications Commission's spectrum management task force operating in Chicago will be provided by Sperry Rand Corp.'s Univac division, Washington, D.C., under a 40-month contract for $870,000. The computer will assemble information on land mobile radio service in the Chicago area to determine the most efficient use of those frequencies. Losers in the competition were IBM, Control Data, and Honeywell.
China flap. RCA Global Communications, Inc.'s $2.9 million communications satellite earth station which it sold in January in Shanghai to the People's Republic of China and which went on the air in February [Electronics, Feb. 28. p. 44] got its permanent export license from the U.S. Department of Commerce. And that action has generated a disapproving uproar among members of Cocom, the committee that coordinates allied controls on the sale of high-technology equipment to Communist powers.
However, Washington could hardly take back the ground station now. RCA says it is in operation, with Intelsat 4 over the Pacific carrying telephone, leased-channel telegraph, and facsimile communications between the U.S. and China. Upset nations such as Japan and Britain contend that Cocom rules have barred them from sale of comparable high-technology equipment to the mainland Chinese.
Meet Trinidad electronics specialist Derrick Govia... he speaks your language!
You need people who understand and respect expensive electronic equipment, right? Well, you're looking at one of them, Derrick Govia. Service Manager for one of Trinidad & Tobago's leading electronic companies.
He's got good fingers and a good head and he believes that "Trinidad & Tobago has great potential for foreign investment in any field."
If that's the kind of talk you like, you'll hear plenty of it in our 10-year old nation, from young, highly trained people like Derrick Govia, from older successful businessmen who might serve as your partners, help introduce you to new sales areas like the new CARIFTA market that spans the Caribbean.
Think about it. Then contact us or fill in and send this coupon.
Trinidad & Tobago Industrial Development Corp.
400 Madison Avenue New York NY 10017
(212) Plaza 5-9160
Clyde S. Namisco North American Director
Please send me factual information on Trinidad & Tobago as an investment location.
Name & Title ____________________________________________
Company ________________________________________________
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SUE: THE FIRST GIRL MINICOMPUTER.
It's a woman's right to change her mind.
SUE is as different from other minicomputers as women are from men. And for the same reason. It's the way she's built.
SUE is the System User Engineered minicomputer.
From the beginning, the first principle in her make up was flexibility. In that she's unmatched.
Look at her main frame. The wide bandwidth Infibus you see there has plugs for up to 24 cards. Memory cards. Logic cards. Arithmetic cards. Input/Output cards. Special interface cards. Even multiprocessors on a common Infibus. So there are literally hundreds of SUES. What she can do depends on the number and combination of cards chosen for a particular application.
In short, whatever kind of minicomputer you want her to be, she is. And that's all you pay for. Exactly the minicomputer you need.
As your needs change, you can change SUE. Simply by changing cards. You can expand her memory to 32K. You can mix core and semiconductor memories, and memories of different speeds, in the same system. She'll give you a throughput of 80 million bits a second.
If you've got a system that's looking for a minicomputer, have we got a beauty for you.
Call SUE for her vital statistics. (213) 722-6810 or write: 6201 E. Randolph St., Los Angeles, California 90040
Lockheed Electronics
Data Products Division.
A Subsidiary of Lockheed Aircraft Corporation.
Visit SUE on the COMPUTER CARAVAN in a city near you.
EIA turns around on export trade legislation . . .
Pressured by what it calls a changed "climate of opinion," the Electronic Industries Association says it now favors extension of the Export Administration Act of 1969. It is urging the Government to remove those export controls found to be "unnecessary burdens on the U.S. export industry."
This position differs from its recommendation of eight months ago that Congress "take no action" on extending act. Nevertheless, EIA's governors for second time deferred development of an international trade position paper (Electronics, Nov. 22, 1971, p. 45).
. . . seeing threat in Burke-Hartke bill
The change in EIA's attitude stems from the introduction of the Foreign Trade and Investment Act of 1972 by Rep. James Burke (D., Mass.) and Sen. Vance Hartke (D., Ind.), which EIA and other groups contend is strongly protectionist and certain to produce international trade wars. At the same time, EIA's governors have formed a committee to monitor the nine-part bill to thwart possible efforts of organized labor to get sections passed as riders to other laws.
The AFL-CIO's reported withdrawal of the bill from its "must pass" list indicates to industry leaders that labor has given up on getting it through Congress as a package. The legislation would amend tariff and trade laws to "promote full employment and restore a diversified production base," would exact penalties on companies with foreign plants, and would eliminate foreign tax credits.
Airlines may use X-ray units for tighter security . . .
Besides making the airlines buy about 400 more magnetometers, the Government's speedup of anti-skyjacking precautions is expected to result in the purchase of short-pulsed, low-dose-X-ray equipment for baggage inspection. Moreover, some FAA staff members are saying privately that X-ray machines to screen passengers will eventually replace the magnetometers. For baggage inspection, one expert's guess is that one or two X-ray snoopers, costing $27-$45 thousand each, might be installed at about 100 likely airports to be used in case of a threat.
. . . as may Customs in war on dope
As part of a phased experimental program to help crack down on dope smuggling, the U.S. Customs Bureau is expected shortly to announce purchase of two second-generation X-ray devices from American Science and Engineering Inc., Cambridge, Mass., for evaluation in New York City. The two units, at a total cost of $120,000, will test the usefulness of X-rays in spotting contraband in high-volume mail.
Addenda
A two-week trade mission to explore communications and industrial electronics sales to the Soviet Union, Poland and Czechoslovakia is set for September by the Government and the Electronic Industries Association, which expects to sign 12 corporations for the trip. The seven signed up so far include GE, GTE-Sylvania, Magnavox and RCA. . . . The Army's $171 million request to continue FY 1973 advanced development on SAM-D, successor to the improved Hawk, is seen vulnerable in Congress in view of speculation it will not go to production.
Defense procurement policy and practice: the case of the F-14
By October the Navy must exercise its option to buy 48 more F-14 fleet defense fighters from Grumman Aircraft. And insiders on both sides of the project agree that, when it does so, the price will be higher. Renegotiation of the Grumman contract is starting, despite public pronouncements by high defense officials about holding Grumman's feet to the fire.
Defense Secretary Melvin Laird, for example, told Congress not long ago that "while the contractor has indicated that he is unwilling to accept this option, we retain the position that we have a valid and legal contract with Grumman." Yet Laird nimbly sidestepped the issue of specific prices when he added, "I want to reassure the Congress that the option will be exercised only if I am convinced that the F-14 will provide the capability the Navy needs and at a realistic cost." What is realistic? Laird didn't say.
The money in the till
The current fiscal year budget of the Pentagon comptroller has the Navy down for 48 planes at nearly $1,031 million, including initial spares, RDT&E, and a small amount for related military construction. That works out to a bit more than $21.4 million a plane without Government-furnished weapons. On the same basis, the Navy wants to commit itself to 48 more planes in fiscal 1973 for $734.8 million, or an outlay of roughly $15.3 million a plane.
If that price is renegotiated upward—and industry sources, including some subcontractors, believe it will be—it will make a joke of former Deputy Defense Secretary David Packard's effort to give credibility to the concept of "fixed price" contracts. A new F-14 contract will also give a very hollow sound to the ringing statements of such dedicated persons as assistant secretary of defense Eberhardt Rechtin, who recently told electronics manufacturers that contractors' price must contain "numbers which really mean something and which Defense must enforce."
The Grumman side
The other side of the coin, the Grumman side in the case of the F-14, is that some unrealistic economic estimates were inserted in the proposals of F-14 bidders by the Pentagon. For example, bidders were required to premise their costs on an estimated inflation rate of less than 4% when it has proven to be more like three times that figure. Moreover, individual contractors' overhead escalated sharply as economic recession set in and contracts were cut back. Thus were first estimates of overhead charges found to be low. Now Grumman is trying to convince the Pentagon that the company should not be held responsible for a price built around faulty Federal economics.
But Congress is unlikely to buy those arguments in this election year. Viewing the problem in the simplest terms, the public is going to be left with the impression that the F-14 is but one more mucked-up military program to be recited with the litany of Lockheed's C-5A Supertransport, General Dynamics' F-111 swing-wing fighter, and their predecessors.
A way out?
Is there a way out? Solutions are being sought by the commission on Government procurement, which has been at work more than a year. Ironically, however, that body's effort has slipped to the point that its report, expected at the end of last year, will not come out now until the end of 1972, after the election.
Apart from the prospect of canceling the F-14 program and substituting the Air Force's F-15 now under development by McDonnell Douglas, an unlikely prospect at this point, it seems there is little that can be done to hold down the cost of the Grumman plane. But there may be an answer for future contractors if the Defense Department will eliminate the requirement that bidders accept its economic forecasts and permit them to substitute their own estimates predicated on Federal statistics plus any other private intelligence they may want to factor in. Then at least they would be responsible for their own pricing policies and be better held accountable.
The Pentagon's comptroller, Robert Moot, says his office has found that there are techniques available which can determine "the final actual cost of a system within 10% to 20%" compared to the spread of up to 200% or more that has resulted from some major buys in the past. If so, these techniques need to be made available to industries such as aerospace and defense electronics whose technological expertise far exceeds their capability in Federal procurement economics.
That contractors need such information quickly is demonstrated not only by the immediate problem of Grumman but also by the broader observation of assistant secretary Rechtin when he commented that, in defense procurement generally, the United States "has run out of price."
—Ray Connolly
Cal-Tex: we do MOS
Custom MOS is our offering.
Custom MOS starts with custom design.
We have a team of system and circuit designers who have worked together on major products for major names like Canon, Olympia, Omron, Olivetti, Lagomarsino, IBM, SCM, and Eiko.
Custom MOS requires computer-aided design and artwork generation.
We're equipped to do it all in-house on our Calma/Calcomp computer/plotter system. No waiting.
Custom MOS is done best when the guys who do the system development, design and artwork also oversee production.
We've got the newest production, test, and packaging equipment available. It's all in place. Operating. Delivering. And growing.
If custom MOS is what you need for computers, terminals, industrial controls, instrumentation, timing circuits, or whathaveyou — and if speed is of the essence — give us a call.
We do MOS. Fast.
Coming: In April, CT5003/4, 2-chip multi-function printing calculator set with memory — programmable for 8-16 digits; in May, CT5005 12-digit display calculator chip with memory; in June, CT5006 printing circuit to match the CT5005.
And what can we do for you?
$8.00
in 50,000 quantities. Other quantity prices on request.
CAL-TEX SEMICONDUCTOR, INC.
3090 Alfred Street, Santa Clara, California 95050
(408) 247-7660
In the grand tradition
The 3M drive band.
A new concept in tape handling.
Based on an entirely different, elegantly simple drive technique, the new Scotch® Brand Data Cartridge combines reel-to-reel performance with cassette convenience and price. The Data Cartridge functions as its own transport and needs to be driven at only a single point. There are no pressure pads, no pinch rollers, no capstans—tape handling is fast, accurate and precise with no external tape guidance.
With our new technique, tape is handled—not just driven—in the Data Cartridge. The drive band travels around three tension rollers and is wrapped partially around the tape on both hubs, making...
"rolling" contact with the tape. Tape wear is extremely low since the tape oxide touches nothing else except the head. Compliance in the band provides controlled tape tension at all times. No machine operation can cinch, spill, stretch or break the tape.
A single external motor powers the drive band through contact with extended hubs on one of the tension rollers. Tape motion is easily controlled by starting, stopping or reversing this motor.
Since no external guidance is required, tape/head alignment is simplified and a variety of head and data configurations may be used with consistently high data reliability.
The end result is low cost digital data storage like nothing you've ever seen before. The Data Cartridge starts and stops within 25 ms at any operating speed, shuttles at up to 180 ips, stores up to 8 times as much data as the 0.150" cassette and has an expected lifetime in excess of 5000 passes.
Add to this a cost comparable to cassettes and only one quarter that of 1/2" compatible tape decks, and you have a breakthrough in digital tape handling for any application.
Need more data? Simple.
Contact Data Products, 3M Company, 300 S. Lewis Road, Camarillo, California 93010, Tel. (805) 482-1911. TWX 910-336-1676.
Data Products 3M COMPANY
Electronics/March 27, 1972
Now, Helipot offers covered cermet trimmers for low-budget projects.
There's not much sense in using cheap wirewound or carbon trimmers anymore. Not when the new Helipot Series 91 Cermet Trimmers are available off-the-shelf for a few cents more.
These single-turn, \( \frac{3}{8} \)”, covered trimmers come in 10 different mounting styles and 19 standard resistance values from 10 ohms to 2 megohms. Covered construction helps protect against moisture, corrosive atmospheres, dust, oil and other contamination. Which means, in addition to cermet stability and better resolution, you get long-term dependable performance.
The breakthrough price is just 35¢ each in the 50,000 piece quantity, and they're equally well-priced in other quantities.
Send now for complete data on the Series 91 Trimmers...the finest of their class. We've made them for your projects where the budget may be tight, but you don't want to compromise performance.
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INSTRUMENTS, INC.
HELIPOT DIVISION
Fullerton California
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Circle 52 on reader service card
Flowering of MOS, displays brighten cloudy view at Paris Components Show
April in Paris is usually a lot gloomier than the song suggests, so it may well be suitably cloudy from April 6 through 11 during the Paris Components Show, Europe's largest international electronic products exhibition.
The show at the giant Porte de Versailles exposition hall will have just over 1,000 exhibitors from 25 countries—down about 100 from last year because of what show managers call "economic constraints." For the first time, however, there will be large block exhibits sponsored by the United States, Japan, and Spain, showing products made by smaller companies from those nations. The new American exhibit represents 48 companies—most of them seeking sales representatives for their products in Europe.
Despite a continuation of the generally sluggish markets that characterized European electronics in 1971, there are enough bright spots to generate optimism among component makers that 1972 will end up better than last year. French manufacturers underscore this optimism with plans to introduce important new products, including integrated circuits for watch markets and other applications, liquid crystal displays, diversified instruments, and electronic components for automotive use.
British instrument makers are focusing special attention at the burgeoning market in vhf/uhf mobile radio systems and in communications generally. German companies, although not optimistic about the near-term prospects of the semiconductor and component market, view 1972 as the year for metal-oxide semiconductor devices to take off in terms of applications and production. The Germans also point out that the semiconductor price decline has been arrested, and that demand for TV components continues strong.
French exhibits. Among French exhibits—which represent about 40% of the total—one highlight will be the introduction of Thomson-CSF's liquid-crystal display that changes color as voltage is raised and lowered. The firm will demonstrate it in a system with brilliant, solid, uniform colors that can be used on an X-Y grill to create images of alphanumerics. The formula for the crystals includes a proprietary additive. Thomson says, and this formula enables a relatively large surface to react uniformly to a given voltage. Also, the parallel alignment of the crystal's molecules is achieved by electrically controlled birefringence, a method which Thomson says has significant advantages over the more generally used dynamic scattering mode.
Sescosem, France's only native broad-line semiconductor supplier, will feature a 100-product line of temperature-compensated zener diodes, infrared emitters and couplers, an automotive IC that combines amplifier and oscillator functions, a complementary-MOS circuit for electronic watches, low- and medium-power thyristors, and power transistors.
British exhibits will spotlight new instruments, many of them aimed at makers and users of mobile radio systems. Two new instruments mark the debut of light-emitting diodes in British-made units. Both instruments are portable, taking full advantage of the low-voltage characteristics of LEDs. Marconi Instruments Ltd. will show a 6½-pound frequency counter intended for field-checking of mobile radio transceivers. It uses Hewlett-Packard's seven-by-four gallium arsenide phosphide diode matrices in a four-digit readout.
Also using LEDs is a 2½-pound multimeter from Solartron Electronics group. The four-digit readout uses seven-segment numerals, all on the same substrate, from Monsanto and Bowmar. Counters will be exhibited by Advance Electronics Ltd., SE Laboratories Ltd., and G. and E. Bradley Ltd. Among component features will be Plessey Company's lines of emitter-coupled-logic frequency dividers, integrated circuits for TV, and a variety of calculator chips.
West German MOS. In West Germany, volume delivery of MOS devices will get underway in 1972. Marketing officials at Siemens AG predict that the MOS market will double to about $6 million. During the past year, Siemens has readied for mass production more than 20 MOS circuits of varying degrees of complexity, and for 1972 another 50 are planned. Besides using conventional manufacturing technologies such as high-voltage p-channel and nitride techniques, the company is increasingly concentrating on ion-implantation methods to come up with circuits capable of operating with less-than-10-volt supplies.
MOS components on the Siemens stands at Paris will range from low-complexity circuits with 20 to 40 gates per chip to devices with more than 600 gates on a chip smaller than 18 square millimeters. Applications are in telephone communications equipment, computer peripherals, and entertainment products.
Siemens will also show ICs for sensor-type channel selection in radio and TV sets, and low-speed logic ICs. AEG-Telefunken will exhibit a new delay line for TV receivers, using the French Secam color transmission standard, and a cathode-ray tube designed for transistorized broadband oscillographs.
In telephone companies around the world, inclusion-free copper-clad laminates from Norplex provide the extra measure of dependability demanded by sophisticated communications systems. They are without equal for stress-free uniform quality and reliability.
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Circle 54 on reader service card
Russians and U.S. companies push to open Soviet market
The Soviet Union's drive to obtain high-level Western computer and data processing know-how for its economy is accelerating. Three groups—including banking, planning, and scientific research leaders—are to be sent to the U.S. soon to study American advances. It would be Russia's highest-level computer-related industrial delegation to have toured the U.S.
And the potential of the Russian market is a two-way street. American companies are eager to cash in—when export controls on many strategic items, such as large computers, are eased. Many observers expect an easing to be announced around May 22, when President Nixon is due in Moscow for summit talks. Control Data Corp., for one, is reported to be near a sale of a CDC 6200 for use at the Dubna nuclear research institute. And Russian sources say that Roy Ash, Litton Industries' chairman, is due to visit Moscow to promote Litton's sales prospects. An ITT team is planning a similar trip in early April. What's more, IBM is still awaiting U.S. Government approval for the sale of a System 360/50 brought to last fall's Leningrad computer show and then delivered to the chemical industry ministry. It won't be hooked up, Moscow sources say, until final approval of the deal.
Philips aims $870 video cassette unit at consumer market
Starting in April, Philips will hit the market with video cassette recorders for consumer uses. They will initially be distributed in several West European countries—including Belgium, Denmark, Luxembourg, the Netherlands and West Germany—with sales elsewhere following later. The VCR equipment, for magnetic recording and playback of black and white and color TV programs, operates with 30-, 45-, or 60-minute cassettes. The price for a record/playback system incorporating a clock and a built-in color TV receiving section will be around $870 on the German market. A 60-minute cassette will sell for about $43.
East Germans show off liquid crystals at Leipzig Fair
East Germany's electronics industry, though generally lagging behind Western technology, is apparently doing well in some specific areas. At the Leipzig Spring Fair this month, East German component makers showed for the first time liquid crystal display elements for applications in desk calculators, measuring equipment, and other electronic indicating systems. The prototype devices, shown operating in time-indicating equipment, are now being offered to prospective customers, according to East German experts on the stands.
The seven-segment digit elements displayed in Leipzig are IC-compatible and consume less than 100 microwatts per digit. Designed for an ambient temperature range from 10° to 60° C, the new liquid crystal devices come in two sizes and feature response and decay times of about 100 and 200 milliseconds, respectively. The current requirements are from 1 to 2 microamperes.
Laser to read current flow in electric lines
An experimental laser-based instrument for measuring current flow may soon go to work on transmission lines of the Central Electricity Generating Board, Britain's national electricity utility. Emission from a helium-neon laser at ground level is polarized and split into two beams
directed at the end faces of two flint-glass rods, fixed one on each side of the conductor. The polarization angles rotate in the glass in proportion to the magnetic field induced by the current flow, but in opposite directions. The angle is measured on the ground in a double detector, which receives the beams reflected from the back faces of the rods. Two contrarotating beams enable common interference from adjacent lines to be detected easily. CEGB men say the system offers, compared with the conventional technique, vastly improved bandwidth—30 to 50,000 amperes compared with 100 to 4,000 amperes—better sensitivity to transients, 50% cost savings, and no effective limit on line voltage because no insulation is required.
Swedish defense budget leans toward unsophisticated gear
The Swedish government has proposed that about $2.6 billion be appropriated over the next five years for defense material purchases and research and development. The sum was much less than the military had hoped for, even though it does constitute a slight increase over current appropriations. In presenting the proposal to parliament, defense minister Sven Andersson outlined new Swedish thinking in the type of armaments this neutral nation will need in the future. Defense will be aimed at preventing an aggressor from securing a fast footing in the nation, which in turn means creating deep defenses as well as forces in strength on coasts and the borders. For electronics companies, that means a greater amount of less sophisticated weapons systems, rather than a few highly sophisticated ones, will be called on to do the job.
Ion implantation scheme cuts uhf transistor noise
Mullard Ltd. reckons to halve noise in its microwave transistors by using ion implantation to implement an idea proposed by Shockley 25 years ago but not practicable until now. Using electron beam lithography, a fine nichrome-gold grid is built over the transistor surface, roughly at right angles to the emitter and base contact fingers. Boron implanted between the grid bars creates low resistance paths from the base contacts under the emitters to active base areas. Further, the grid bars are narrow compared to the emitter stripes, reducing base resistance into active base areas. The combined effect on some test uhf transistors is to cut noise from 8 decibels to under 4 dB at 2 gigahertz, mostly from a drop in base resistance from 56 to 14 ohms. The price is a sacrifice of about 15% in $F_v$. The researchers believe the technique will provide 4-gigahertz devices with a noise figure of 2 dB, about half of what is quoted for the best devices presently available.
Color TV cassette uses 8-mm film
A new color video cassette system that uses conventional 8-millimeter film has been developed by Vidicord Ltd. of Britain. The Vidicord OR-1 will sell for about $1,000 and will hit the teaching and training market early next year. A home-market version is planned for 1975-76. The first prototype, introduced this month at the Videa video cassette show in Cannes, France, uses a new EMI improved phosphor CRT with a 0.1 microsecond decay time and a 1.5-square-inch raster. Lawrence V. Mayhead, designer of the OR-1, says the new CRT uses less expensive photomultiplier tubes and eliminates the need for corrective electronics called for in slow-phosphor tubes. He claims the system's main advantage is the wide availability and low price of compatible software.
How many Cherry Switches can you find in these products?
HINT: Think big. Think of 97,650 switch configurations that let products like those above use mostly stock switches like those below. Think of Cherry’s modern new facilities... with staffs of electrical, mechanical, tooling, industrial and manufacturing engineers guiding every phase of design and production. Think of 160 million switches produced during 19 solid growth years. And 104,000 more new switches passing through Quality Control every day, keeping our volume high... and our prices low.
How many Cherry switches can you put in your products? Find out: Check Cherry’s latest big catalog. Send for your free copy today.
1. Vending machine, up to 10 Cherry switches.
2. A TV tunes with 2 Cherry switches.
3. Washer-dryer combination, at least 3, up to 7.
4. Electric typewriter, 1 or 2 Cherry switches.
5. Photocopy machine, a surprising 55!
6. An auto, 1 to 6 Cherry switches.
7. A computer has 2 Cherry switches.
8. Electronic video recorder, 5 Cherry switches.
9. Electronic calculator—63 Cherry “Goldies.”
10. Digital data generator, 4 Cherry thumbwheels.
IT ADDS UP TO AT LEAST 146 CHERRY SWITCHES!
CHERRY ELECTRICAL PRODUCTS CORP.
3608 Sunset Avenue, Waukegan, Illinois 60085
Makers of patented Leverwheel/Thumbwheel Switches, Matrix Selector Switches, Snap-Action Switches and Keyboards.
It doesn’t cost any more for a quality connector. It could cost less.
How do we do it?
Well, first we design a totally new miniature rectangular connector that practices economy without losing sight of reliability. After all, you need both.
That’s good, but we go beyond that. We offer you AMPECONOMATION—fast working automated application machinery in your own plant for high speed application of contacts. Depending on your requirements, machine capacities range from 2,000 to 12,000 finished terminations per hour with single applicator. So, whichever machine you choose, you’re assured the greatest number of reliable contacts at the lowest applied cost.
Put them together—quality, low initial cost and lowest applied cost, and you’ve got a miniature rectangular connector that’s hard to beat. Which is exactly as we planned.
Sound reasonable? It’s more than that. It’s downright economical, and the facts to prove it are available now. Just write AMP Incorporated, Harrisburg, Pa. 17105
AMP INCORPORATED
Manufacturing and direct sales facilities worldwide: Barcelona, Brussels, Buenos Aires, Frankfurt, London, Mexico City, Paris, Puerto Rico, Sao Paulo, 's Hertogenbosch (Holland), Sydney, Stockholm, Tokyo, Toronto, Turin, Vienna.
Accepts #26-18 AWG, solid or stranded wire in insulation diameters of .050" to .110".
Positive locking feature on housing prevents disengagement of connector halves or dislodgement from panel.
Available in 1, 2, 3, 4, 6, 9, 12, 15, 20, 24 and 36 positions.
Pin or socket crimped in same applicator.
Egg-crate design of socket housing and extended skirt of pin housing fully protect contacts.
Cap and plug mountable in same panel cutout.
Commoning bars available for 2, 3 & 4 circuit.
Two locking lances assure positive retention.
One piece, molded "clam-shell" strain relief to facilitate wire bundling—available in 20 & 36 circuit. Strain relief grommet available to cover three ranges of cable diameter.
Japanese target: MOS markets
Manufacturers, taking dead aim at the computer memory potential, make determined effort to catch up in semiconductor technology
by Charles Cohen, Tokyo bureau manager
Japanese digital integrated circuit manufacturers are out to capture the fastest-growing IC market of them all—the metal oxide semiconductor memory market. By 1975, that market is expected to grow to $400 million, an increase of 90% over today's figure. This added to the expected growth in calculators, business equipment, and consumer and government sectors will bring the estimated MOS market up to $700 million by 1975.
Although the Japanese are aiming their heavy guns at memories, they will participate in all sectors of the MOS market—for example, in calculators, where they already have a beachhead in equipment and assembly. Only two years ago, 100% of the calculator chips sold in Japan came from the U.S. By midyear the Japanese are expected to take over 45% of that market.
Competing with U.S. Using the most advanced n-channel silicon gate technology, Nippon Electric Co. is building random access memories that compete with the best that U.S. manufacturers are offering. For example, 1,024-bit RAMs with 220-nanosecond access times—for mainframe, buffer, and scratch-pad memory—are already in production; units of 2,048, 4,096, and even 8,192 bits are goals, offering LSI circuit users speed-power products unheard of a year ago.
Like semiconductor manufacturers everywhere, Japanese companies are relying heavily on new MOS technology to accomplish their aims in the digital IC market. Right now, production of digital ICs in Japan is about evenly divided between MOS and bipolar. In the next year or so, MOS production is expected to rise to about 60% of the total, but the ratio will not become more lopsided than that. Hiroe Osafune, general manager of the Semiconductor division at Nippon Electric Co. thinks MOS will overshadow bipolar because of its increasing use in computer peripherals and terminal equipment.
One of the most advanced mem-
On the way to MOS/LSI. At Toshiba, a thermal diffusion furnace is being loaded.
Probing the news
ries in production in Japan is a 1,024-bit memory using n-channel technology. Seitaro Tsuneki, assistant general manager of Nippon Electric's IC division, says his company's 1,024-bit n-channel memory now on the market outperforms Intel's 1103 in every specification, including compatibility with transistor-transistor logic for some types. Chip size is about 130 by 138 mils—slightly larger than Intel's chip.
N-channel in production. NEC's n-channel line includes a 512-bit dynamic memory, a 256-bit static memory (both available immediately), a 1,024-bit dynamic memory, to become available in April, and a 1,024-bit dynamic memory for TTL without drive or sense circuits, to become available in June.
Toshiba says that it is bypassing n-channel technology altogether and concentrating on development of complementary MOS. Mitsubishi claims to have developed n-channel MOS in its laboratory, but says it has no orders.
Hitachi Ltd. says it now can make MOS memories with 1,024-bits and bipolar with 256 bits. Ion implantation is under development, and Hitachi expects a product within a year.
Another general-purpose LSI memory being built by NEC is a programmable metal aluminum semiconductor array [Electronics, Electronics International, Feb. 28]. Osafune says demand for that unit now exceeds supply. By the end of the year, he expects the company's memory business to total half of its LSI business. He adds that, in addition to the general-purpose LSI memories, NEC will also build devices for buffer memories, main memories, and read-only memories for microprogramming.
Hitachi, the largest producer of MOS in Japan, is now shipping samples of 100-bit and 1,000-bit Intel-compatible shift registers with silicon gates. The registers are aimed for use in terminals, such as typewriters and line printers.
In April, Hitachi plans to ship samples of 1103-type high-speed RAMs. And by the end of the year, Hitachi predicts that its non-calculator LSI business will reach about 10% of its total sales.
Who's making MOS. Other Japanese entries in MOS include Mitsubishi Electric Corp. and Toshiba Corp. Sony Corp. has produced some chips, and Matsushita Electronics Corp. expects to start production this summer, with Sharp Corp. beginning production units by fall. Fujitsu Ltd. has begun production of n-channel memories for its computers. Oki Electric Industry Ltd. and the Seiko group of companies are expected to begin manufacture of logic chips for calculators and electronic watches.
So far, NEC has sold about 1.5 million bits of its 144-bit MOS memory chip, used in cache memories of Japan's Electro-technical Laboratories large-scale project computer, and in Nippon Telegraph and Telephone Public Corp. DIPS communications computer. NEC is also working on high-speed bipolar memories for internal use. But because all Japanese computer manufacturers make semiconductors, NEC doesn't feel there is a general market for bipolar in Japan.
Suco Hattori, senior vice president and director, says NEC is producing 5 million bits of memory per month. And, when NEC completes its new production line at the company's plant in Kumamoto City in Kyushu this summer, it will add another 20 million bits to its monthly capacity.
Hattori says there is a good chance that NEC can compete with U.S. firms because costs are falling rapidly. Initially, NEC's price will be about 5 cents a bit for standard (64,000-bit) memory subsystems consisting of 1,024-bit devices mounted on printed circuit boards. But when demand begins to approach capacity, the price may go to 1 cent a bit, says Hattori.
Sacrifice now to gain later. The Japanese are dead serious about taking over the MOS market even if it means financial sacrifice at first. Osafune says NEC is willing to take a loss on its MOS so that it can keep production lines going and develop economical and reliable production technology. When the scene shifts to computer components, where NEC expects to be able to operate profitably, the company will be all set to go.
The effect of technical assistance agreements, such as between Texas Instruments and TI-Sony and North American Rockwell Microelectronics Co. and Sharp, is difficult to gauge. The U.S. production know-how being transferred to Japan is probably at least two years old and confined to relatively unsophisticated devices. If the Japanese catch up with U.S. manufacturers, it will be on their own.
A U.S. view of Japanese MOS/LSI technology
Hitachi, Nippon Electric, and Mitsubishi are recognized by U.S. Semiconductor makers as the main Japanese producers of MOS. But even these companies are considered to be at least a year behind the U.S. One American firm cites two limitations of Japanese MOS makers: "Their chips are relatively small, under 150 mils," and their computer-aided design for custom parts is "very limited," as regards both software and equipment.
Another source, James Imai, president of Imai Marketing Associates Inc., Sunnyvale, Calif., says that the Japanese are on the right track and that they will be successful in MOS "as long as no new technology comes along." In other words, it took them years to develop an MOS capability and if something new came along, it would take them years to shift their technology and build that up, too.
Imai believes this is a basic difference between U.S. and Japanese planning: in the U.S., many companies are working on many things at the same time, but in Japan the companies tend to work on one thing at a time and expect it won't be the wrong one.
At Texas Instruments, Eugene R. McFarland, semiconductor circuits marketing manager for the Dallas-based Components group, says that TI-Sony—a Japanese-manned and -managed company wholly owned by Texas Instruments—has the potential to pull alongside the U.S. in MOS/LSI capability. "They have assembly and test technology that's technically equivalent to that in the U.S.," he says.
Brand-Rex produces over 3,000 new designs every year.
Every year we design over 3,000 new wire and cable configurations... because your needs constantly change. Each new design must be as sophisticated as the equipment it connects... so it's as right for tomorrow's applications as it is for today's. That's why Brand-Rex products are designed into the first stages of so many of today's advanced systems, in the telephone/communications; computer/peripheral; commercial/appliance; industrial/utility; and military fields. Even our tubing and sleeving and microwave dielectrics are made with the future in mind.
For our comprehensive All-Products Brochure, write to Buck Rogers, Brand-Rex Company, Willimantic, Conn. 06226. Or call (203) 423-7771.
BRAND-REX...WAY AHEAD IN WIRE AND CABLE
Components
X-band amplifiers go solid-state
By stacking up to five stages, designers at several companies have built amplifiers with 1-W output and 30-dB gain
by Lyman J. Hardeman, Communications & Microwave Editor
The high-gain solid-state X-band amplifier is about to poke through a number of technological barriers and emerge as a practical component in microwave relay systems. Because of greater reliability, lower power requirements, and potentially lower costs of solid-state amplifiers, the day of the travelling-wave-tube amplifier for systems requiring 1- to 2-watt output with 30-decibel gain is ending.
Design engineers at several microwave houses have recently overcome the major problems in achieving stable amplifiers with high gain over bandwidths of several hundred megahertz. In every case, multistage amplifiers are proposed—but that's about all the designs have in common. Numerous combinations of negative-resistance amplifiers and injection-locked oscillators are being used, with both Gunn and Impatt diodes as the active elements.
As frequency allocations at the lower end of the microwave spectrum become saturated, the market for solid-state X-band amplifiers, industry spokesmen predict, will call for at least several hundred units a year for the next few years.
Companies in the race include Hewlett-Packard, Hughes, Raytheon, Microwave Associates, and Watkins-Johnson.
The engineers at Hewlett-Packard Co., Palo Alto, Calif., have changed over from conventional amplifier designs to a two-stage injection-locked oscillator that achieves 1-w output with 30-dB gain. Over-all efficiency is about 4.5%. The amplifier consists of a varactor-tuned Gunn-diode first stage, followed by a fixed-tuned Impatt diode output stage.
H-P feels its approach is the most economically viable in the commercial market. "We will soon be able to sell this amplifier for under $800 in quantities of 100," predicts Del Hanson, project manager responsible for the amplifier's development.
ILOS. The advantages of an injection-locked oscillator over reflection-diode amplifiers are, according to H-P: greater gain per stage over the desired bandwidth, higher efficiency, less sensitivity to temperature, and lower cost.
Hughes Aircraft's Electron Dynamics division of Torrance, Calif., makes a commercial amplifier that operates in the 7-to-11-gigahertz band. The two-stage-silicon Impatt unit yields 10-dB gain with 1-w minimum output. Single diodes power each stage. The amplifier sells for under $1,000 each in lots of 100.
According to Richard Johnson, marketing manager for solid-state devices at Hughes, the company is presently developing injection-locked oscillators to give greater than 20-dB gain to drive its commercial unit. "Adding a high-gain unit like this would just about double the sale price," says Johnson.
A third manufacturer developing injection-locked oscillators is Raytheon's MicroState division, Waltham, Mass. Its 30-dB gain design comprises three stages—all powered by GaAs Impatts, a company specialty.
The first stage gives about 10-dB gain with a broadband amplifier for operation at all X-band frequencies. An injection-locked Impatt-diode second stage yields some 17-dB gain with up to 300-MHz bandwidth. Finally, a single Impatt diode adds about 4-dB gain to give 1-w output.
The noise added in the last two stages of the amplifier is 50 to 75 picowatts in a 3-kilohertz bandwidth 5.5 MHz away from the carrier. Since the amplifier is being developed for digitally modulated systems, lower noise was not a goal. The company feels that, if necessary, this noise added figure can be reduced to under 20 pw.
Microwave Associates, Burlington, Mass., puts four cascaded Gunn-diode stages together to obtain 30 dB of gain and a 1-w output. Says Allen A. Sweet, who engineered the design, "Trying to get that gain with fewer stages makes the amplifier susceptible to spurious oscillation."
Staging. With a 1-mw input, the gain of the first stage is 10 dB. The second and third stages add 10 dB and 5 dB of amplification. Two parallel diodes in the output stage boost the signal level by 5 dB to the 1-w output. The four-stage amplifier operates at an efficiency of 2% with a noise figure of 16 dB.
An amplifier built by Watkins-Johnson Co., Palo Alto, Calif., achieves 30-dB gain at X-band, but uses Impatt diodes in the last three of five stages. Gunn devices power the first two stages, and were chosen over Impatts to get lower noise.
"An important advantage in these amplifiers over the traveling wave tube," says Keith Kennedy, head of W-J's solid-state research and development, "is that stages can be added almost indefinitely. Each stage contributes up to ±0.2-dB additional gain across a typical 5% band, but compensation can be made in higher-gain units to flatten the over-all response."
Brand-Rex produces over 3,000 new designs every year.
Every year we design over 3,000 new wire and cable configurations... because your needs constantly change. Each new design must be as sophisticated as the equipment it connects... so it's as right for tomorrow's applications as it is for today's. That's why Brand-Rex products are designed into the first stages of so many of today's advanced systems, in the telephone/communications; computer/peripheral; commercial/appliance; industrial/utility; and military fields. Even our tubing and sleeving and microwave dielectrics are made with the future in mind.
For our comprehensive All-Products Brochure, write to Buck Rogers, Brand-Rex Company, Willimantic, Conn. 06226. Or call (203) 423-7771.
BRAND-REX...WAY AHEAD IN WIRE AND CABLE
Components
X-band amplifiers go solid-state
By stacking up to five stages, designers at several companies have built amplifiers with 1-W output and 30-dB gain
by Lyman J. Hardeman, Communications & Microwave Editor
The high-gain solid-state X-band amplifier is about to poke through a number of technological barriers and emerge as a practical component in microwave relay systems. Because of greater reliability, lower power requirements, and potentially lower costs of solid-state amplifiers, the day of the travelling-wave-tube amplifier for systems requiring 1- to 2-watt output with 30-decibel gain is ending.
Design engineers at several microwave houses have recently overcome the major problems in achieving stable amplifiers with high gain over bandwidths of several hundred megahertz. In every case, multistage amplifiers are proposed—but that's about all the designs have in common. Numerous combinations of negative-resistance amplifiers and injection-locked oscillators are being used, with both Gunn and Impatt diodes as the active elements.
As frequency allocations at the lower end of the microwave spectrum become saturated, the market for solid-state X-band amplifiers, industry spokesmen predict, will call for at least several hundred units a year for the next few years.
Companies in the race include Hewlett-Packard, Hughes, Raytheon, Microwave Associates, and Watkins-Johnson.
The engineers at Hewlett-Packard Co., Palo Alto, Calif., have changed over from conventional amplifier designs to a two-stage injection-locked oscillator that achieves 1-w output with 30-dB gain. Over-all efficiency is about 4.5%. The amplifier consists of a varactor-tuned Gunn-diode first stage, followed by a fixed-tuned Impatt diode output stage.
H-P feels its approach is the most economically viable in the commercial market. "We will soon be able to sell this amplifier for under $800 in quantities of 100," predicts Del Hanson, project manager responsible for the amplifier's development.
ILOs. The advantages of an injection-locked oscillator over reflection-diode amplifiers are, according to H-P: greater gain per stage over the desired bandwidth, higher efficiency, less sensitivity to temperature, and lower cost.
Hughes Aircraft's Electron Dynamics division of Torrance, Calif., makes a commercial amplifier that operates in the 7-to-11-gigahertz band. The two-stage silicon Impatt unit yields 10-dB gain with 1-w minimum output. Single diodes power each stage. The amplifier sells for under $1,000 each in lots of 100.
According to Richard Johnson, marketing manager for solid-state devices at Hughes, the company is presently developing injection-locked oscillators to give greater than 20-dB gain to drive its commercial unit. "Adding a high-gain unit like this would just about double the sale price," says Johnson.
A third manufacturer developing injection-locked oscillators is Raytheon's MicroState division, Waltham, Mass. Its 30-dB gain design comprises three stages—all powered by GaAs Impatts, a company specialty.
The first stage gives about 10-dB gain with a broadband amplifier for operation at all X-band frequencies. An injection-locked Impatt-diode second stage yields some 17-dB gain with up to 300-MHz bandwidth. Finally, a single Impatt diode adds about 4-dB gain to give 1-w output.
The noise added in the last two stages of the amplifier is 50 to 75 picowatts in a 3-kilohertz bandwidth 5.5 MHz away from the carrier. Since the amplifier is being developed for digitally modulated systems, lower noise was not a goal. The company feels that, if necessary, this noise added figure can be reduced to under 20 pw.
Microwave Associates, Burlington, Mass., puts four cascaded Gunn-diode stages together to obtain 30 dB of gain and a 1-w output. Says Allen A. Sweet, who engineered the design, "Trying to get that gain with fewer stages makes the amplifier susceptible to spurious oscillation."
Staging. With a 1-mw input, the gain of the first stage is 10 db. The second and third stages add 10 db and 5 db of amplification. Two parallel diodes in the output stage boost the signal level by 5 db to the 1-w output. The four-stage amplifier operates at an efficiency of 2% with a noise figure of 16 db.
An amplifier built by Watkins-Johnson Co., Palo Alto, Calif., achieves 30-dB gain at X-band, but uses Impatt diodes in the last three of five stages. Gunn devices power the first two stages, and were chosen over Impatts to get lower noise.
"An important advantage in these amplifiers over the traveling wave tube," says Keith Kennedy, head of W-J's solid-state research and development, "is that stages can be added almost indefinitely. Each stage contributes up to ±0.2-db additional gain across a typical 5% band, but compensation can be made in higher-gain units to flatten the over-all response."
Bendix printed circuit board connectors put an end to close order drilling.
You know close order drilling. It's what's called for to produce ultraprecise hole locations in printed circuit boards. Eliminate this need and you'll cut costs for sure. Bendix P.C.B. connectors help you do precisely that. Their optional floating pin terminations "give" enough to make it easier to align pins with the printed circuit board holes.
Bendix boasts other features, too. Options like wire wrap or solder terminations. Straight or right angle. Insertable crimp contacts.
Applications? Wherever printed circuit boards are used, such as switching circuits, computers, business machines, process controls, etc.
Chances are, Bendix Printed Circuit Board connectors can help you. Why not find out. The Bendix Corporation, Electrical Components Division, Sidney, New York 13838.
Signetics chooses 10,000
Two years from now you’ll wonder why you waited.
Take the time for a good hard look into ECL 10,000’s high speed/performance advantages. And engineer your own head-start into tomorrow’s optimized logic. Available today—and tomorrow—from the major new source for ECL series 10,000, Signetics.
Because Signetics never settles for less than total IC capability, we researched your future requirements in high speed logic. And cut through the claims of existing ECL alternatives without mercy. All the know-how, the back-up, the all-out commitment you expect in Signetics linear, digital and MOS, stands behind our development and production of proven, line-ready ECL 10,000 devices.
What’s in it for you? A constant reliable supply of the best high speed/low power trade-off yet. Typical speed level: 2.0 ns propagation delay per gate. Low power dissipation of 25mW—with no special cooling required in any environment, still air or forced. Switching rise and fall times compatible with conventional system layouts (3.0 ns edge speed).
ECL 10,000 delivers outstanding design/function flexibility. Multi-level gating on a single chip, through open emitter outputs and high impedance inputs, means a significant savings in gate and package count. Plus a free choice of terminating schemes and logic interconnects.
Packaged in plastic Silicone DIP or Cerdip, Signetics ECL 10,000 line will provide a complete high speed logic family—some already on-shelf in factory or distributor stock, the remainder due by summer.
Contact your Signetics salesman, rep or distributor for availability information. He will also rush you our informative ECL 10,000 booklet, free upon request. Or write Signetics/ECL directly. 811 E. Arques Avenue, Sunnyvale, California 94086.
SIGNETICS ECL 10,000 SERIES
| Part Number | Description |
|-------------|--------------------------------------------------|
| 10101 | Quad 1-Input OR/NOR Gate |
| 10102 | Quad 2-Input NOR Gate |
| 10105* | Triple 2,3,2-Input OR/NOR Gate |
| 10106* | Triple 4,3,3-Input NOR Gate |
| 10107 | Triple 2-Input Exclusive OR/NOR Gate |
| 10109 | Dual 4,5-Input OR/NOR Gate |
| 10110 | Dual 3-Input 3-Output OR Gate |
| 10111 | Dual 3-Input 3-Output NOR Gate |
| 10112 | Dual 3-Input 1-OR/2-NOR Gate |
| 10113* | Quad Exclusive -OR Gate/Comparator |
| 10115* | Quad Differential Line Receiver |
| 10116 | Triple Differential OR/NOR Line Receiver |
| 10117 | Dual 2-wide 2,3-Input OR-AND/OA Invert Gate |
| 10118 | Dual 2-wide 3,3-Input OR-AND Gate |
| 10119* | 4-wide 4,3,3,3-Input OR-AND Gate |
| 10121* | 4-wide 3,3,3,3-Input OR-AND/OA Invert Gate |
| 10130 | Dual D-Type Clocked Latch |
| 10131* | Dual D-Type Master-Slave Flip-Flop |
| 10161 | 1 of 8 Demultiplexer/Decoder (Low) |
| 10162 | 1 of 8 Demultiplexer/Decoder (High) |
| 10170* | 9 - 2-Input Parity Circuit |
| 10171* | Dual 1 of 4 Demultiplexer/Decoder (Low) |
| 10172* | Dual 1 of 4 Demultiplexer/Decoder (High) |
*Coming soon.
Unmanned banks—a new investment
Automatic teller stations offering up to 80% of banking functions promise to generate a billion-dollar market in next few years
by Marilyn Offenheiser, New York Staff
Any investment-minded banker with an extra $12,000 to $50,000 can cash in with a new automated banking machine. An automated teller can handle 80% of the bank's functions—including withdrawals, deposits and transfers—and save a bank about $10,000 a year, according to a cost study done by Payment Systems Inc., New York City, for the Mosler Safe Co.
The market is just opening up. Already 350 automatic tellers have been installed, and 300 more are on order for the 75,000 banks in the United States. "We expect a market in the billions [of dollars] over the next few years," says Justin Guidi, president of Digital Security Systems, a leading manufacturer of automated banking equipment.
In addition to Digital Security Systems, Natick, Mass., other automatic teller makers include Docutel, Irving, Texas; Mosler Safe Co., Hamilton, Ohio; Diebold Inc., Canton, Ohio.; and Burroughs Corp., Detroit, Mich. As the market grows, however, other companies providing equipment to banks now—including IBM, Poughkeepsie, N.Y. and Optel Corp., Princeton, N.J.—can be expected to expand further into the automatic banking market. "Right now," says Earl Ward, Mosler's marketing manager of automated products, "the market is much greater than we can supply."
Europeans were among the first to install cash-dispensing systems in their banks, but have been slow on the uptake with automatic teller stations. Leading makers for the laggardly market are England's Smiths' Industries Ltd. and Chubb & Son Ltd., France's CIT, Germany's Siemens AG, and Sweden's Metior AB.
In Japan, the front runners are Fujitsu Ltd., Oki Electric Industry Co. Ltd., and Omron Tateisi Electronics Ltd.
"Mini" heart. The automated bank teller, with a minicomputer as its heart, uses printers, card readers, and optical and magnetic sensing equipment. To activate the machine, a user inserts a credit card encoded with a magnetic stripe and then punches his account number on a keyboard. The computer is programmed to "capture" stolen cards, but if the card is good, the user pushes the proper button to complete his transaction, and a printer delivers a receipt.
None of the teller stations on the market is compatible with each other and "won't be, since none wants to change," according to Ward. But the American Banking Association has set up a standard for the magnetic stripe, which must be encoded at 75 bits per inch, 40 characters on a single track. A problem is that the magnetic stripe can be rubbed, scratched off, or altered. A Diebold spokesman says that the company is now embedding the stripe into the card. The magnetic stripe approach is not mandatory, however—Digital Security Systems offers an automated teller that uses a punched plastic card.
Mechanics to electronics. "On the whole, teller systems still have a lot of mechanical parts, but we are converting to total electronics as fast as we can," states Robert Faught, marketing manager at Docutel. The Docutel teller uses a core memory in the minicomputer and MOS circuitry. "But the closest thing to optoelectronics right now is the photocells we use to check for error," continues Faught.
Automatic teller Units offer 24-hour banking and provide 80% of services. There are 350 units in operation in the U.S., 300 more on order.
Probing the news
Burroughs is upgrading its model RT2000 automated teller, which has been marketed in the United Kingdom for the past year. The Burroughs teller uses a controller to check the reliability of the logic circuitry. Although Burroughs is using diode transistor logic now, the company says MOS/LSI will be introduced soon. The system operates from a microprogrammed head-per-track disk memory that completes a transaction in 7 seconds. "Other systems have 30-second transaction times," says Burroughs' John Healy, corporate production manager, "and that can be an eternity for the user."
Going on-line. None of the tellers is on-line to a central computer now, although each company claims to have that capability. Data is stored mainly on punched paper tape, but other options are available. "Now, someone has to collect the information periodically from the teller," says Ward. "But when we are on-line, the information will go directly into the bank's central processor." However, Digital Security's Guidi predicts that developing on-line software programs will deter conservative bankers. "It takes time to set up special software programs that have to be incorporated in the bank's central computer," he says.
Another problem is created by the banks themselves: because it's a legal hassle to get a branch charter, most bankers are opting for terminal installations in their bank lobbies or vestibules to reduce operational costs and provide 24-hour service. So far, only one bank, the Huntington National Bank of Columbus, Ohio, has installed an automatic teller as a branch. However, Columbus City National bank, says vice president John Fisher, "will eventually open an unmanned branch bank for drive-in customers, as well as pedestrians."
Eliminate money? The Hempstead Bank of Syosset, N.Y., is taking another route. Point-of-sale terminals, installed by participating local merchants, have been hooked up on-line to the bank's central processor. Besides dispensing cash, purchases made in the stores are automatically transferred from the customer's checking account to the merchant's. The bank's aim is to eliminate both checks and credit cards—perhaps even money itself.
Eventually," says Michael Shade, vice president, "the bank will be authorized to pay a customers' bills—such as utilities—directly. This will eliminate paperwork, and eliminate the branch bank altogether."
Banking on electronics
How does a business like banking become technologically oriented? The routes to automation are various: the progressiveness of a technically oriented bank chairman, close association with a bank supplier, and employing men from other fields.
Six years ago, Bruce Wood Hall, chairman of the Hempstead Bank, Syosset, N.Y., found himself unable to get a check cashed on a trip. Hall, trained in construction engineering, got together with the bank's executives, drew up a plan in laymen's terms, and began knocking on doors. Two years ago, the bank hired an engineering consultant after the initial terminal contract was firmed out. "We should have hired him five years ago," says vice president Michael Shade, "We were like fish out of water. This has been a real learning experience."
The Huntington Bank, Columbus, Ohio, has had a long association with the Mosler Safe Company, a supplier of bank vaults and safes. When Mosler decided to expand its services, the Huntington Bank naturally went along with the tide, relying on the technical expertise at Mosler. "But a bank does need someone who is technically inclined," says David Cottie, vice president, who himself has a background in engineering.
John Fisher, vice president at Columbus' City National Bank came out of the radio business. Says Fisher: "A bank today has to import and attract men from other industries. Our data processing group is from the computer field. It's the job of these men to keep abreast of technology and develop relationships in the field."
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Circle 67 on reader service card
Communications
Ship-satellite system sought
Proposed network, to be operational by 1980, would provide navigation and communications for ships on Atlantic, Pacific, and Indian Oceans
by William F. Arnold, Aerospace Editor
A worldwide satellite communications and navigation network to connect 4,460 large vessels with computerized data links is being jointly advanced by planners in the U.S. Maritime Administration and the shipping industry. Still in the planning stage, the network would cost at least $256 million over a seven-year installation period, including satellites, ground terminals, shipboard terminals, and land-leased circuits, according to industry estimates.
The proposed Maritime Satellite System (Marsat), to begin operation by 1980, would cover the Atlantic, Pacific and Indian Oceans. Each satellite would use global coverage antennas; four large-antenna ground stations would reduce satellite power requirements; and a network control center would use large computers to direct communications traffic. Shipboard terminals would include automatic-pointing antennas and computers to process communications data. Ship-to-satellite links would use the L band, and satellite-to-shore communications would use the C band. The network would use existing technology, say its backers.
The system most likely would be privately run. Possible operators would be an Intelsat-like group, the Communications Satellite Corp. (Comsat), private companies, or a consortium of maritime interests. A network that would combine Marsat and the proposed Aeronautical Services Satellite (Aerosat) looks favorable.
Brass key. "Satellite communications and navigation capability will be the greatest thing to ever hit the U.S. maritime community," says Edward P. Fitzgerald, chairman of the advisory telecommunications special committee for the American Institute of Merchant Shipping (AIMS), an industry trade group promoting the system. He points out that 93% of the messages aboard ship today are sent by "brass key" telegraphy in Morse code at a slow rate and require six hours delivery time. The new network would "give 1-minute access time to any ship in the world" with "land-line quality" facsimile, digital, and real-time communications. Fitzgerald says, "It costs 38 cents a word today," he adds. "You could send it for about 6 cents with satellites."
The Maritime Administration also considers such a network long
All the ships at sea. The proposed maritime satellite system would use C-band ship-to-shore, L-band ship-to-satellite links for fast global communications and navigation.
overdue. "We have a tremendous asset in space technology that heretofore hasn't been used in the merchant marine," says Stanley D. Wheatley, chief of the Office of Advanced Ship Operations, who adds that the system is an effective way for fleet owners to keep competitive. Ship size and costs are increasing, and, even though they handle more cargo, vessels have to be kept at sea longer to recover the huge investments by their owners.
Phase two of a four-phase experimental program leading to an operational domestic system is being started by the Maritime Administration, says Harry A. Feigleson, program manager. Nine merchant ships will be selected, along with a Maritime Administration ship, for a test of shipboard terminals late this year. The five-month test will use NASA's Applications Technology Satellites (ATS) 3 and 5.
Unfortunately, says Feigleson, the ship-to-satellite test will use C-band, the Intelsat frequencies of 4 and 6 gigahertz. "They're the wrong frequencies, but we can get the systems techniques checked out." Maritime is dicker ing with NASA for L-band space—either on the upcoming ATS F or G—to test the system pre-operationally as phase three.
Operational. A prototype system should begin operating in 1975, about the same time the Aerosat is to be ready, Feigleson says. The prototype system would use four satellites—two over the Atlantic and two over the Pacific—and existing earth stations. He estimates the cost at about $150 million.
But, "you may need more than six satellites in a worldwide operational system," he says. "It depends on whether or not you have navigational services in the satellite."
S-cubed. Also as part of the $3 million phase-two effort, the Maritime Administration is gaining experience with ground station technology at the National Maritime Research Center, Kings Point, N.Y. Here, the new Maritime Data Coordination Center will spearhead antenna tracking and control center research, Wheatley says. The satellite project is part of a program, called S-cubed (for Ship/Shore/Satellite), that is designed to spur shipboard automation and computerization, he says.
The comparatively low initial investment should attract users, says the Initial Maritime Satellite Consortium (Imsco), composed of large corporate fleet owners. Officials estimate that a shipboard terminal would cost about $22,000, including about $9,000 for installation. Deck and mast-mounted equipment would include a high-gain antenna, automatic tracking unit, duplexer and rf lines, preamplifier and preselector, totaling about $7,000. Below-deck gear, costing about $6,100, would include up/down converters, voice, data, and access control modems and a 100-watt power amplifier.
By 1980, Imsco officials foresee Marsat accommodating simultaneously as many as 1,500 vessels in the Atlantic. Each ocean would be served by a maximum of 10 equivalent voice channels, of which teletypewriter traffic would require only one-quarter the effective satellite power of voice circuits. Small, simple satellites—requiring less than 500 watts of dc power—would be used. Ships would be polled for messages. Estimated traffic per ship per day would be about 2.5 minutes each of business and crew personal radio-telephone and 200 words of radio-teletypewriter traffic.
Easy money. The network would return its investment in a relatively short time, according to a confidential Imsco study. With the 4,460 potential subscribers, which comprise only 30% of the projected world's large vessel fleet, the network would completely pay for itself in seven years. "The system is not only self-supporting, it is profitable," the AIMS-backed study says.
Several additional factors are propelling Marsat. In addition to proven satellite technology, a mandate was given the Maritime Administration by the 1970 Merchant Marine Act to upgrade the Merchant Marine. The strong interest by oil companies is indicated by Imsco, composed of representatives of British Petroleum Tanker Co., Shell International Marine Ltd., Sea Land Services S.S. Co., the Standard Oil Companies of New Jersey and California, and their affiliates, Esso International, Humble Oil Co., and Chevron Shipping.
IBM threat to hold back service vexes industry
Computer giant has refused to service some machines with enhanced memories; are the changes that drastic?
by Wallace B. Riley, Computers Editor
Some users of International Business Machines Corp.'s System 360 are finding that IBM won't maintain their machines because they've enhanced the main memory beyond the IBM-specified maximum capacity. A maker of these memories, Advanced Memory Systems, Inc., got so worried at the turn of events that it haled IBM into court. The legal hassle hangs on the changes required for expanding IBM computer memories.
Memory enhancement (as distinguished from memory add-on, which does not exceed IBM's maximum) requires some internal changes to the central processor. IBM says these changes render the machine unfamiliar to its servicemen, and therefore unserviceable.
Thus far only users of System 360 model 30 with enhancements from Data Recall Corp., El Segundo, Calif., have received these notices. But the development worries at least four other leading companies—Advanced Memory Systems Inc., Sunnyvale, Calif.; Ampex Corp., Marina del Rey, Calif.; Fabri-Tek Inc., Minneapolis, Minn.; and Electronic Memories & Magnetics Corp., Los Angeles, Calif.—as well as users of larger models of the 360 where enhancement requires fewer changes than on the model 30.
The 360/30's specified memory capacity ranges from 8,192 to 65,536 bytes. Data Recall has enhanced some of them to 131,072 bytes.
Complicating the situation is the slack in IBM's revenues from System 370 sales, because customers are trading in their 360s for 370s at nearly a one-for-one rate. Says Frederick G. Withington, a computer-industry analyst at Arthur D. Little Inc., Cambridge, Mass., "This cuts sharply into IBM's income and for multiple trade-ins may even represent negative income."
Worse yet for IBM, many customers who previously replaced their IBM peripheral equipment with compatible gear from independent makers at lower prices are now trading in their 360s for new 370s, but keeping the old non-IBM peripherals. Thus IBM is getting hit twice by the same competition.
Modifications. What are these changes that IBM says cause so much difficulty for its servicemen? "The biggest one is an extra bit position in each of the five address registers in the model 30," says Edward V. Garcia, vice president, technical operations, at Comma Corp., a large independent maintenance firm.
Doubling the memory size requires an increase in the address length from 16 to 17 bits. In addition, the "wrap-around" detection logic, which warns that a program has called for a memory location beyond the maximum, must be modified, as does the address decoder, which now must decode 17 bits instead of 16. Finally, the microprogram must be changed.
Architecturally, all models of the 360 are geared to a 24-bit address, capable of directly addressing over 16 million bytes. But physically the smaller models, like the 360/30, are restricted to much lower capacities. Modifications in the 360/30 are more extensive for memory enNot New...Just the Best
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Erie, Pennsylvania 16512
Circle 71 on reader service card
at Circuit Technology we make our customers smile
We have the know how to miniaturize complex circuit functions and subsystems without compromise in performance. We combine creative circuit design, extensive thick film hybrid manufacturing experience and unique mechanical packaging to produce quality custom devices in compliance with MIL-M-38510 and MIL-STD-883.
Illustrated below are just a few of the custom hybrid circuits we have supplied, over the years, to our satisfied customers.
A High Speed A/D Converter
B 100 MHz Bandwidth Video Amplifier (1.25" x 1.25" plug-in)
C Two Watt Servo Amplifier (1" x 1" Flatpack)
D Analog Multiplier (5/8" x 5/8" Flatpack)
E Voltage Regulator (3/8" x 3/8" Flatpack)
F Active Filter (SHP) NAFI Module
G FET Input Operational Amplifier (Triple Deck TO5) and many, many more.
Our credits include: F14 • F15 • S3A • E2C • A6E • F4 • ATS • Apollo • Pioneer • Sea Sparrow • SRAM
For a complete description of our capabilities send for our custom hybrid circuit listing, you may find something very close to what you need. Better yet, send us your circuit requirements and we will send you a quote to make you smile.
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160 Smith Street, Farmingdale, N.Y. 11735 • (516) 293-8686
Probing the news
hancement than are those in larger models, because they involve the input/output channels and because the 360/30's data path is 8 bits wide—just right to handle an unenhanced memory address in two machine cycles. That 17th bit requires more machine time, obtained through microprogram changes. Larger machines have external I/O channels, wider data paths, and higher specified memory capacities, making the changes simpler.
Changing words. The microprogram for the 360/30 contains just over 3,000 words, of some 70-odd bits each; 500 of these are changed when the memory is enhanced. "But the most extensive changes involve only five or six bits per word, and most of them are only a bit or two," says Garcia. And actually making the change, after its correctness has been checked, is very easy; it involves only punching a few holes in a Mylar card similar to a conventional paper punched card. Conductive spots on the Mylar make one plate of an array of capacitors; the other plate is a permanent part of the machine. Changing the microprogram involves only punching a new 12-word Mylar card and installing it in place of the original. "These changes to the microprogram, together with the new printed circuit cards and some new wires, are rather ordinary when compared with the total number of cards and wires in the machine, and with changes that are routinely made to correct 'bugs' and improve performance," says Garcia—speaking, of course, from the serviceman's point of view.
Pull cards. But a supplier of enhanced memories has a different view. "We feel safer from errors by pulling all the cards and replacing them with our own," says H. Frederick Koehler, chief engineer for core and semiconductor memories at Ampex Corp.'s Computer Products division. Koehler also feels that the changes of enhancement are bigger than routine changes. "But we follow IBM's standards, so it's only a problem of magnitude," he hastens to add. "I'm not sure other makers follow them."
All 51 models in our OEM series qualified for UL listing. Every one: from 4 to 32 volts, from 0.9 to 36 amps. That's another big bonus to boost your confidence in our OEM power supplies. Proven in actual use, now they're proven through UL's exhaustive testing for cool operation and safety requirements.
Yes, these are our low-priced units. But you still get 0.1% regulation, reliable overload protection, stability, versatile mounting, off-the-shelf delivery, and our "guaranteed forever" performance. All the dependability you always get with any ACDC power supply. So follow UL's lead and make us big on your list.
acdc electronics inc.
Oceanside Industrial Center, Oceanside, California 92054, (714) 757-1880
Circle 73 on reader service card
If TRW can design a 700-volt, 10-amp, 200nsec power switching transistor
...think what TRW can do for you in precision motor systems, resistive networks and back plane connectors.
TRW's SVT 7000 Series power switching transistors have a pulse energy rating of 4.5 KW for 100μsec. They make significant size, weight and cost savings possible in such designs as off-line power supplies and power modulators. Microwave and mobile transistors, hybrids, high speed diodes and microelectronic power amplifiers are some other areas of TRW's advanced semiconductor technology. (For more information, circle 216 on the reader service card.)
TRW/Globe precision fractional horsepower motors operate everything from sophisticated space and missile systems to high-volume industrial applications. Globe precision miniature motors are available from 1/1000 to 1/6 hp, AC, DC or wound field, in over 40 types, with integral gear trains and a choice of ratios. Also as blowers, fans, timers, actuators, motor switches, tachs, pumps and "next assemblies." And these are just examples of the hundreds of AC and DC motors and motor systems we offer. (For more information, circle 217 on the reader service card.)
TaNFilm™ resistive networks are an excellent example of TRW/IRC advanced resistor technology. These subminiature precision thin-film devices offer inherent low noise, excellent stability, and hermetic performance without hermetic cost. Tolerances of ±0.03% are quite feasible. TRW also makes the industry's most complete line of discrete fixed resistors. (For more information, circle 218 on the reader service card.)
TRW/Cinch back plane connector systems solve the high density interconnection problem characteristic of computers and related equipment. They consist, basically, of a series of PC board edge connectors mounted on a precision punched aluminum plate, with voltage and distribution capabilities. Other Cinch connectors meet the precise needs of every segment of today's electronic industry. (For more information, circle 219 on the reader service card.)
What else do we make? Just about every type of electronic component in the books from actuators to zeners. Plus amplifiers, cable, capacitors, chokes, diodes, filters, gearmotors, power hybrids, inductors, RF modules, potentiometers, printed circuits, rectifiers, resistors, transformers, tuners, wiring harnesses, color convergence yokes...and more.
One source — your local TRW representative — offers you all of these product lines and can supply almost all of your component needs. With a direct pipeline to all of our plants, he can assure you fast delivery, applications assistance, custom designs and special engineering help whenever you want it.
Think what TRW can do for you. Then call or write TRW Electronic Components, 10880 Wilshire Blvd., Suite 1700, Los Angeles, CA 90024. Phone (213) 475-6777.
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STATE-OF-THE-ART ELECTRONICS: Longer life, higher noise immunity and higher accuracy because of the LED's, photo-transistors and fiber optics used in all our readers. (TRS9300BD with 7½" reels shown.)
SPEED: Stop-on-character at up to 750 ch/s with our 8000 Series, up to 300 ch/s with our 9000 Series, and no overshoot — ever. (TS-8000 with 10½" reels shown.)
GENTLE TAPE HANDLING: Noiseless, fully-proportional reel servos and a sprocket drive virtually eliminate tape wear and tear at any speed. (TRS9300B with 5¾" reels shown.)
HIGH RELIABILITY: No lamps to replace, all solid-state electronics and only one moving part (the sprocket drive) with an MTBF of over 10,000 hours. (TR-9300B shown.)
ERROR-FREE TAPE READING: Self-cleaning, easy access heads read all standard tapes with up to 60% transmissivity. (TRF9300B fan-fold reader shown.)
MINI-READER: Reads bidirectionally at the same 300 ch/s speed and uses the same state-of-the-art electronics as all our other 9000 Series readers. (TRM9300B shown.)
HOW TO GET YOURS:
If you need versatile, reliable, state-of-the-art readers, they're yours for the asking. Just write or call our tape reader department and get what you need. Free for 30 days.
Electronic Engineering Company of California, 1441 East Chestnut Avenue, Santa Ana, Calif. 92701.
Telephone (714) 547-5651.
EECO OEM readers and spoolers: what more could you ask for?
RT-01. The data entry terminal you didn’t think there was the remotest chance you could afford.
An RT-01 with a 16-character keyboard, numeric Nixie* readout, four status indicators to display non-numeric information from your computer, Teletype and EIA serial line compatibility will only run you from $600 to $1000.
Or as little as $500 without the Nixie display. Chickenfeed.
So now, if you’re a big operation, you can have an RT-01 here, an RT-01 there, an RT-01 everywhere you’ve ever wanted one.
If you’re little, you can have one at last.
We’ve got a booklet that’ll tell you all about it that you can write for.
Or, if you’re in as big a hurry as we hope you are, we’ve got a good egg who’ll be happy to run right over and explain it to you.
We’re the Logic Products Group, Digital Equipment Corporation, Maynard, Massachusetts 01754. (617) 897-5111.
digital
*Registered trademark of Burroughs Corporation
Circle 77 on reader service card
NOW YOUR MOS/LSI BUILDING BLOCKS CAN LAST FOR GENERATIONS.
When you know about our advances in the state of the art, you're able to get a continuing return on your design investment in our MOS/LSI electronics.
Over and over again.
Since MOS/LSI circuits embrace so many functions, it's just good business to think of using them in different systems. And, with our unique custom-layout computer-aided design, we give those circuits versatile building-block capabilities.
In a single basic design, for instance, we provide MOS/LSI building blocks for several model generations of calculators, accounting machines, cash registers, appliance timers, automotive controls, or for modem and multiplexing subsystems of data transmission and telecommunication equipment.
MOS/LSI beats the high cost of product development.
Our MOS/LSI building-block circuits can be adapted quickly and inexpensively for use in a succession of different models. You can produce a new model before your salesmen can say "competition"—and go to Petty Cash instead of your Board of Directors to finance the changes.
We can even make it possible to produce a number of different models of a machine from exactly the same circuits. Wiring changes, that's all. And, of course, circuit costs drop. Because you buy in quantity for a number of models, instead of buying a few circuits for each model.
Lower costs elsewhere, too.
Mastery of MOS/LSI design and of high-volume production has enabled us to produce commercial electronic systems at an all-time low cost. As much as 50% the cost of conventional systems—electromechanical or electronic.
And, our MOS/LSI systems can be packaged so that non-electronic manufacturers can assemble them into their equipment without teaching employees new trades.
For many of the functions performed today by little black boxes selling for around $20,000, you can buy our MOS/LSI digital filter circuits (in small quantities) and fabricate a plug-in digital filter for less than $1,000. Or, you can buy our MOS/LSI modem circuits and save substantially.
We've MOS/LSI memory systems and circuits that cost less per bit than conventional devices—and we're ready with other processes, too. For example, silicon-on-sapphire (SOS) diode arrays that make beautiful ROMS (3,000-plus bits) with 20 ns maximum access times. Within 24 hours we'll custom encode them with our special laser and sell them to you one by one for $64. Less, much less, in quantity of course.
Collaboration made easy.
As part of NR's Electronics Group, we're ready to share with you the long-term commitment required for new product design, testing and development.
Even more.
We'll join you in product planning, so that you may share in the progress of current research.
Drop us a line on your company letterhead for a copy of our new brochure, "The Economics of Change." Write A.B. Chambers, P.O. Box 3669, Anaheim, California 92803.
North American Rockwell Microelectronics Company
Centralab Technical Ceramics... in line with your design requirements
What's next for our ceramics?
We've been involved since 1928 when we built vacuum tube bases for six-tube radios.
Since then new-idea ceramics for electronics have put us in such varied applications as medical and scientific equipment, instrumentation, home and portable appliances, communications, office machines, computers and peripheral equipment. Our ceramics have found use as hybrid circuit and thin-film substrates, VHF tuner parts, LED substrates, MOS packages, LSI multilayer interconnections, SCR housings and vacuum tube parts.
So, what's next for our ceramics? Only your new design requirements will tell. You can specify aluminas, steatites, cordierites, or metallized ceramics in the configurations you need. A variety of metallizing systems is available to insure satisfaction in your particular application. We also offer full capabilities in ceramic-to-metal assemblies and engineering service to aid you in design.
It's this kind of involvement that allows Centralab to be one of the largest manufacturers of technical ceramics. And, because we're also our own largest customer, it's important that we produce only the finest ceramics available. To us, developing better and more reliable ceramic materials for electronics means higher quality electronic components. It will mean the same to your products.
What's next for our ceramics? Whatever you need. For the complete capability story, call Centralab Technical Ceramic Sales at (414) 228-2942.
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Electronics Division
GLOBE-UNION INC
5757 NORTH GREEN BAY AVENUE
MILWAUKEE, WISCONSIN 53201
Circle 79 on reader service card
MOD POT™ versatility is unmatched. Hundreds of standard modules give you millions of options.
MOD POT is the most versatile 3/8" square potentiometer available today. A whole family of cermet or hot-molded composition resistive modules, switch options and vernier drives with single or concentric shafts. These pre-engineered, pre-tested modules form single, dual, triple or quadruple section controls. Millions of possible combinations to solve your unique control problems. Cermet elements are rated at 2 watts (70°C) with resistances from 100 ohms to 5 megs. Composition elements rated at 1 watt (70°C) with resistances from 50 ohms to 10 megohms, five standard tapers. And if you need something truly special we're equipped to handle that too. Call your appointed A-B distributor for details, or write: Allen-Bradley Electronics Division, 1201 South Second Street, Milwaukee, WI 53204. Export: Bloomfield, N. J. 07003. Canada: Galt, Ontario. United Kingdom: Bleitchley, Bucks.
Until recently, the increasing demand for communications has not forced the use of frequencies above 15 gigahertz. But with anticipated demand for new communications services and saturation of transmissions at presently used frequencies, digital techniques are being developed to overcome the less desirable propagation characteristics that must be tolerated at the higher frequencies.
This advancing technology has made feasible for the first time a multihop radio relay link operating in the quasimillimeter band at about 20 GHz. Such a system is being developed in a large project at the Musashino Electrical Communications Laboratory of the Nippon Telegraph & Telephone Public Corp.
NTT now operates a commercial digital radio relay system in the 2-GHz band, with a capacity of 240 telephone channels per radio carrier. The highest frequency fm radio relay operates at 15 GHz and has a hop distance of about 13 kilometers. It is designed as a local system, however, with maximum length of about 200 kilometers and a capacity of 960 telephone channels. Bell Laboratories in the United States is presently testing a digital system at 20 GHz, but only a single-hop link is being evaluated.
The experimental 13-hop system, planned for the near future, will span approximately 60 km between two of the company's laboratories. An experimental single-hop system was constructed last month to study the various interference characteristics and problems of pole-mounted stations.
The goal of the current experimental effort is to achieve a transmission capacity of 4,000 megabits per second, which is equivalent to about 57,000 two-way voice telephone channels.
To achieve this, a maximum of 20 transponders will be used in each repeater station—10 in each direction (Fig. 1). The 3.5-GHz total bandwidth is centered near 20 GHz.
The relatively high tolerance to interference achieved by using digital modulation allows two carriers of the same frequency (one horizontally polarized and one vertically polarized) to be used as two separate radio channels under normal propagation conditions. However, heavy rainfall degrades the polarization of the radio waves. This may make it necessary to stagger horizontally and vertically polarized channels, which will not permit the entire two-fold capacity increase potentially available.
The 13-hop circuit will initially have only two channels in each direction. This long system is intended to study transmission characteristics of multistation relays and characteristics of simultaneous transmission of several kinds of information, including voice, picture telephone, and data.
The choice of 20 GHz results from a tradeoff between the crowded frequency spectrum at low frequencies and higher attenuation losses, together with difficulty in building hardware at high frequencies.
Prototype receivers and transmitters were completed in 1970, and tests have shown that they should be suitable for practical use. Improved units have been manufactured, and further development is continuing on a commercial system.
Each transmitter and receiver (Fig. 2) will have a capacity of 400 megabits per second and utilize four-level phase-shift-keyed (PSK) modulation and coherent phase detection.
The 60-km system, a first at 20 GHz, will have a hop distance between repeaters of about 5 km, a little longer than the hop lengths planned for commercial links in the future (these commercial circuits will be designed for a total length of 2,500 km). Longer hop distances increase outage caused by heavy rainfall, but because the experimental circuit is relatively short, the 5-km hop distance is considered satisfactory.
Commercial systems probably will be mounted on steel pipe poles about one meter in diameter at a height 20 meters above ground level. The experimental installation will be mounted on towers to facilitate frequent adjustment and changing of equipment for tests.
**Digital system improves quality**
In existing frequency-modulated analog systems, the noise on each span adds, and the total circuit noise thus increases approximately in direct proportion to the number of repeaters. However, with digital repeaters, the transmitted pulses are regenerated in each repeater to eliminate distortion caused by noise. Thus, network quality remains relatively high, regardless of the number of repeaters.
When it rains, the noise on an fm system increases in direct proportion to the additional attenuation caused...
1. **Using full bandwidth**. In full operational system, twenty 400-Mb/s transponders (ten in each direction) are accommodated in a 3.5-GHz bandwidth with a complex network of polarization and channel branching filters. Notice alternate use of transmitting bands.
2. **Repeater**. Each 400-Mb/s repeater utilizes coherent phase detection in the receiver and four-level phase-shift-keyed transmitters.
by the rain. The regeneration of the signal in digital links, however, maintains the transmission quality without degradation so long as the signal level does not decrease below a threshold.
Because of the large number of repeaters needed at 20 GHz, digital transmission is the only type that can be used because it is the only kind of system that can maintain a satisfactory s/n ratio under adverse conditions. Spacing for the individual spans is determined by the probability of circuit outage that can be tolerated over the total route length.
At lower microwave frequencies, another important factor helps determine the choice between analog and digital systems. The PCM-encoded voice signal generally occupies a bandwidth several times that of the frequency-modulated signals commonly used for microwave telephone repeaters. But there are many ways of increasing the efficiency of spectrum utilization of the digital signal until it approaches that of the frequency-division-multiplexed fm type.
Phase-shift keying is more efficient than conventional frequency-modulated systems for the transmission of data and video signals. A typical FDM fm system with a capacity of 1,800 voice channels is capable of a data transmission rate of 4,800 bits per channel, or about 8.6 megabits per second over a single rf carrier.
The information capacity of the phase-shift-keyed radio carrier can be increased by dividing the available $360^\circ$ into smaller increments. In this system, four-phase modulation has been chosen, a tradeoff between increased capacity and the lower tolerance to interfering signals encountered at more than four-phase levels.
A digital system using four-level phase-shift keying could transmit about 60 Mb/s using the same rf spectrum, or about seven times the information capacity of the analog circuit. The relatively high tolerance to interference achieved by using the digital modulation also allows a frequency to be assigned to more than one link in the same geographic area.
With the requirement for many repeaters separated by short hop lengths, it is necessary to design repeaters carefully to reduce costs and increase reliability, as well as to provide a modulation system to reduce the effects of cumulative noise and distortion.
**Repeater gets cost-cutting design**
Costs will be lowered and reliability increased by use of semiconductor devices—both microwave integrated circuits at rf and high-speed monolithic logic circuits at baseband. With these general requirements as guidelines, the repeater configuration was determined.
A 1.8-meter Cassegrain antenna, which is limited in size for aesthetic reasons, gives the repeater a gain of 49.6 dB at 21 GHz. The receiver noise figure is slightly lower than 10 dB. These parameters, together with a design objective allowing a 50-dB margin for rainfall fading, require a transmitter power of 200 mw, a value which is achievable at reasonable costs for a solid-state power source.
Relay station equipment consists of two antennas, the FDM repeaters and three levels of branching filters. These filters separate vertically and horizontally polarized waves, receiving and transmitting signal bands, and the individual channels.
While the vertical/horizontal and receive/transmit branching filters use conventional designs, the channel branching filter design is new. The technique was developed for millimeter-wave systems. Again, the main requirement was cost, since each repeater will contain dozens of these filters.
Channel-branching filters must maintain a balance between interference due to coupling between adjacent channels caused by a wide passband and distortion of transmitted pulses by an excessively narrow passband. A bandwidth of approximately 300 MHz appears best.
The channel-branching filters (Fig. 3) consist of an input waveguide, multiple ring resonators, and output waveguide. The ring resonators are bent along the H-plane with coupling to apertures in that plane.
The output of a two-ring filter contains the desired frequency attenuated by about 0.3 dB. Attenuation at frequencies 300 MHz on either side of center frequency is at least 15 dB. Similar performance for a three-ring filter is shown. The two-ring resonator design has been adapted.
Quasimillimeter wave oscillators are used in two places in each repeater—one as a receiver local oscillator and one as a reference oscillator in the transmitter. Gunn devices are used in both.
Recently developed Gunn oscillators have a power output of 40 milliwatts with a frequency stability within \( \pm 5 \times 10^{-5} \) over the operating temperature range of -10
**3. Three-ring filter.** These channel-branching filters were designed for millimeter-wave systems. Resonators are coupled to each other by multihole directional couplers and to waveguide via slots in the H-plane. Curves show transmission loss for typical 3-ring resonator centered at 19.9 GHz. However, 2-ring resonators give adequate performance and were adopted for the 20-GHz link.
4. Steady Gunn. Oscillator incorporates a non-reflecting termination at the end of the stub which couples the Gunn diode to stabilizing cavity. Thus, unwanted oscillating modes, which can be generated during turn-on, are suppressed. Output is 40 mW. Invar cavity yields an output with a frequency stability within $\pm 5 \times 10^{-6}$.
In the receiver, the oscillator output exceeds the excitation requirements of the mixer, so a 3-dB attenuator is used between the oscillator and the mixer. The transmitter oscillator has a varactor diode connected in parallel with it for narrow-band frequency modulation for transmission of supervisory signals.
The oscillator is reflection-stabilized by a high-Q Invar cavity. It differs from other stabilized oscillators in that it has only a single tuned circuit. In other oscillators, the Gunn diode is coupled to the stabilizing cavity through a stub that resonates between the discontinuity at the diode and the short circuit at its far end. The presence of these two heavily coupled cavities causes the resonant frequency to split into two modes, either of which may start when the oscillator is started. This greatly complicates maintenance.
Termination prevents resonance
In the new Gunn oscillator, the short circuit at the end of the stub is replaced by a non-reflecting termination (Fig. 4), which prevents the stub's operation as a resonant cavity. Thus, the oscillator diode is effectively coupled into the stabilizing cavity, and unwanted modes are suppressed.
A microstrip mixer is used in the receiver to down-convert the incoming signal to an intermediate frequency of 1.7 GHz (Fig. 5a). The circuit is fabricated on a substrate of fused quartz. Schottky barrier diodes are used in the balanced mixer circuit to give a bandwidth of 600 MHz and a conversion loss of about 5 dB. Noise figure is 10 dB. A two-stage i-f preamplifier follows the mixer, giving the 1.7-GHz signal an extra 16-dB gain.
The main i-f amplifier is of stripline construction on alumina substrates (Fig. 5b). Ten microwave transistors give the amplifier a gain of 70 dB at the center frequency of 1.7 GHz. Amplifier bandwidth is 800 MHz, but a two-stage filter at one interstage coupling limits frequency response to 400 MHz. P-i-n diodes automatically control intermediate-frequency gain over a dynamic range of about 56 dB.
The demodulator, designed for phase-coherent detection of PSK signals (Fig. 6), is implemented with microwave IC in the 1.7-GHz i-f portion and monolithic logic circuitry in the baseband portion.
A key feature of the carrier regenerator is the use of a four-phase reverse modulator. As shown in the diagram, the incoming signal is divided in a 3-dB coupler. The signal on one path is detected to form two separate 200 Mb/s pulse streams, each of which is amplified. The signal on the second path is fed into a reverse modulator with the appropriate time delay so that it arrives at the same time as the detected pulses.
The amplified pulses reverse-modulate the modulated i-f carrier, cancelling the phase modulation produced at the transmitter to give an unmodulated signal. This unmodulated 1.7-GHz signal is then amplified and
5. Up front. A microstrip balanced mixer (a) converts down to an i-f of 1.7 GHz with a noise figure of 10 dB. A two-stage preamplifier boosts the signal 16 dB; main i-f amplifier (b) provides 70-dB gain with automatic level control over a range of about 56 dB.
6. Four-phase demodulator. The 400-Mb/s demodulator uses MIC construction: a: the i-f frequency and monolithic logic circuitry at baseband. Block diagram shows how reverse modulator regenerates i-f carrier. Four-phase detector drives pulse regeneration circuitry.
fed into a phase comparator, the output of which determines the phase of the voltage-controlled oscillator that is the reference for the four-level phase detector.
The clock-pulse regenerator is conceptually similar to the carrier regenerator. The four-phase demodulator of Fig. 6 is followed by a digital equalizer. This configuration was chosen over a more conventional phase delay equalizer between the i-f preamplifier and the main i-f amplifier because improving the phase response with an equalizer does little to improve the pulse waveform.
Because of distortion in the amplitude response, a given pulse in the received pulse train will cause, not only a large output at its own sampling time, but also a small output at the sampling time of the next pulse. A feedback loop, consisting of a delay line (equivalent to one clock interval), a variable attenuator, and a subtracting circuit, cancels the output from a given pulse at the sampling time for the next pulse. This does not provide true pulse shape equalization, but it does provide the required reduction in intersymbol interference. The reconstructed baseband pulse stream now modulates the transmitter.
The transmitter reference oscillator operates with about 40-mw output, a comfortable operating level for the Gunn device.
A transmitter amplifier boosts the output to the higher level required by the system. An injection phase-locked Gunn diode amplifier serves this function. Amplifier gain is about 10 dB, and output power is greater than 200 mw over the operating temperature range from -10 to +60 C.
The four-phase modulator (Fig. 7) is driven by two separate 200 Mb/s streams, giving an output modulation rate of 400 Mb/s. In the modulator, two Schottky barrier diode switches control the phase by adding and subtracting rf line segments in increments of $\pi$ and $\pi/2$ radians. This control is accomplished by switching shorted transmission lines of lengths $\lambda/4$ and $\lambda/8$, respectively, in and out of the circuit. Power loss between the modulator input and output terminals is about 2 db. A similar modulator technique developed several years ago is now operating in phase-shift-keyed repeaters at 2 GHz. [See Electronics, May 25, 1970, p. 91.]
The future holds no limit
Operation of both the single-hop test link and the 13-hop 60-kilometer link will provide additional data on degradation of cross-polarization by rainfall, variations in rainfall fading with direction, and other types of interference and signal degradation.
These data will be used in the design of a commercial 20-GHz digital radio-relay system. Testing of such a system is expected to begin in a few years.
The Nippon Telegraph and Telephone Public Corp. is continually evaluating broadband communications systems. Components for a 40–80-GHz circular waveguide system are also being developed.
Tentative features of such a system include gallium arsenide Schottky diode up- and down-converters, a 1.7-GHz thin-film i-f amplifier and Impatt diodes for use in the local oscillator. The most recent laboratory measurements show Impatt power outputs of 91 milliwatts at 82 GHz.
Twenty-six channels in each direction will each have a transmission capacity of 800 Mb/s using four-level phase-shift keying.
Building a range tracker with digital circuits
Breaking down basic servo loop into its fundamental components simplifies design of digital range tracker; optional features, such as an excess-range computer, can also be added with relative ease
by Edwin Drogin, AIL, a division of Cutler-Hammer, Deer Park, N.Y.
Designing a radar system, even a simple one, usually takes up a good deal of engineering time and creates many problems in hardware implementation. But digital design techniques and the availability of sophisticated large-scale ICs are simplifying the whole business. A complete digital range tracker, for example, can be built with only one or two LSI chips. A very complex tracker, of course, would require a larger bank of digital circuits, perhaps even an entire small general-purpose digital computer.
Getting down to basics
Most digital range trackers cannot be designed in a strict step-by-step fashion. Still, the basic guidelines can be derived from the fundamental elements that make up any standard tracking loop.
In its digital form, such a loop is commonly built around a binary counter that starts when a radar pulse is transmitted and stops when a reply (echo) pulse is received. The number left in the counter represents the range (distance) of the target from the radar system.
This sort of measurement is an open-loop technique that is feasible for a single target and a high signal-to-noise ratio, provided the reply pulse either has a fast rise time compared to the range accuracy desired or has a relatively constant amplitude.
Unfortunately, few of these conditions are met in the real world. It is usually necessary to construct a tracking loop that follows the target's range. The loop must be unaffected by the presence of other possible targets occurring either earlier or later than the target of interest. And noise effects, pulse rise time, and variations in target amplitude should also be minimized.
The analog-to-digital converter
A block diagram (Fig. 1) of a digital range tracking loop shows the three key loop elements: an analog-to-digital error converter, a tracking gate generator, and a range register (integrator). There may also be several auxiliary subsystems, such as a display interface and manual or automatic range position and slew systems for target acquisition. Further, it may be necessary to add circuitry to prevent a transmitter pulse from interfering destructively with a target reply pulse.
One popular technique for implementing the first main element—the a-d error converter—is illustrated in Fig. 2. Here, the video reply pulse is applied to two electronic switches. An early and a late gate actuate the switches to isolate the target from earlier or later reply pulses.
When the reply pulse is centered between the gates, equal energy is passed by both switches, and the voltage outputs from the two RC integrators become equal. As the target moves from the center position, the voltage difference between the two integrators varies monotonically, as the range error graph shows.
To cover the full range of possible error outputs, the early and late gates must be at least as wide as the expected target reply pulse, and in practice are made very wide to ease the problem of acquiring a high-velocity target. Such gates also help the system stay in track during rapid target maneuvers or bad signal fades.
A voltage-controlled oscillator converts the error voltage to digital form. The VCO is driven by a single-pole double-throw electronic switch, which is connected to the error voltage for half a computation cycle and to a reference voltage for the other half. A square wave oscillating at or less than the radar pulse repetition frequency...
2. From analog to digital. Error measuring circuitry and error counter make up analog-to-digital converter. When video reply pulse is centered between early and late gates, outputs of RC integrators are equal. Error voltage is created as target shifts from center position. Range error graph shows gate tracking characteristic. Voltage-controlled oscillator converts error voltage to digital output for up/down counter. If error voltage is greater than reference voltage, net count after one up/down cycle is positive; if it is smaller, net count is negative.
Frequency (PRF) is applied to the switch input. (The square-wave frequency should be high compared to the time constant of the RC integrators.)
The output of the VCO is a digital clock, which feeds an up/down counter. While the VCO is connected to the error voltage, the counter counts up. It counts down when the VCO is connected to the reference voltage. If the error is higher than the reference, which is nominally 0 volts, there will be a net positive number in the counter at the end of one up/down cycle. The reason is that the VCO frequency output is higher when the counter is counting up than when it is counting down. Conversely, if the error voltage is lower, the counter will contain a net negative number.
In actual practice, the up/down counter is enabled for only part of the square-wave period, as indicated in Fig. 2, to allow time for transients in the VCO output to settle after switching. Also, there must be enough time to load counter contents into the error register and to clear the counter before the next cycle. With this enabling scheme, the square-wave frequency need not be precise. For example, it could be the PRF of a variable-PRF radar. Only the two enable intervals must be precisely matched.
Tweaking the converter
A relatively inexpensive VCO is allowable, since its center frequency is not critical and can drift slowly without affecting circuit operation. (The residual count error accumulated in the counter depends only on the stability of the VCO's frequency-versus-voltage characteristic.) Also, the tracking point can be made to compensate for switch offsets and dc voltage drifts by adjustment of the reference voltage, since the loop automatically makes the error and reference voltages equal.
If the design allows switching from the error voltage output to a potentiometer, it becomes possible to slew the early and late gates in or out manually with respect to range. To provide a very fast slew capability, the binary error count from the counter can be loaded into higher-bit positions in the error register.
As the amplitude of the target reply pulse fluctuates, the gain of the error-measuring system also fluctuates and may lead to under- or over-damping of the tracking loop—or even to instability in more complex loops. To avoid this, the integrator outputs can be summed and the resultant voltage used in an automatic gain control circuit. The over-all gain is usually set so that a motion of the target reply by E feet from the center position will result in a digital error count equivalent to E feet.
The gate generator
The second key loop element for a digital range tracker is the early-late gate generator. This consists of a range counter and associated logic.
At the start of the transmitter pulse, the one's complement of the expected binary digital range is loaded into the range counter, which then moves in the up direction. The time it takes for all counter flip-flops to reach logic 1 is equivalent to the time it takes for the target reply pulse to be received—that is, if the target is at the exact digital range expected.
Because this all-logic-1 state detects target range, an ordinary ripple-carry counter can be used instead of a synchronous binary counter. Specifically, the first counter flip-flop is the last to go to logic 1 once all other counter flip-flops have arrived there. Consequently, the delay in reaching an all-logic-1 state is the necessary number of clock periods plus the delay of the first flip-flop after clock actuation. This being identical to the delay of a fully synchronous counter, a ripple-carry counter is quite adequate.
Figure 3a illustrates a gate-generating technique with a simple counter chain of flip-flops A through J. NAND gate G₁ is enabled when the outputs of all the flip-flops become logic 1. This resets the early-gate flip-flop (G₂ and G₃), and sets the late-gate flip-flop (G₄ and G₅). The former is set at some count less than the all-logic-1 state, the latter reset at some count past this state. These
Analyzing tracking loops
The input variable to a digital range tracker may be a quantity like shaft position, the phase of some sine wave or other waveform with respect to a reference, or the time of occurrence of some pulse with respect to a reference pulse. The output of the tracking loop is simply a digital representation of the analog quantity. It is compared with the input variable, and any discrepancies result in a digital error that is used to drive the digital output closer to equivalence with the input.
If the computation (sample) rate is high compared to the loop noise bandwidth, the loop transfer function can be approximated with Laplace transforms:
\[ E_e / E_i = G(1 + G) = \alpha K \cdot (s^2 + \alpha s + \alpha K) \]
where \( G \) is the open-loop transfer function, \( s \) is the Laplace operator, and \( \alpha \) is the low-pass cutoff radian frequency of the integrator in the error measuring circuit. If a simple RC filter is used, then \( \alpha = 1/RC \). Variable \( K \) is called the velocity constant—this is simply the update rate that achieves unity gain in the error subsystem. For example, if the range register is updated 50 times a second, then a 1-foot error will result in a range rate of 50 feet per second in the register.
The denominator of the loop transfer function is the characteristic equation, and can be written as:
\[ s^2 + \alpha s + \alpha K = s^2 + 2F\omega_n s + \omega_n^2 \]
where \( \omega_n \) is the undamped natural frequency of the loop in radians per second, and \( F \) is the damping constant. For this loop:
\[ \alpha = 2F\omega_n \text{ and } K = \omega_n^2/2F \]
When \( F \) is unity, the loop is critically damped. If \( F \) is less than unity, the loop is underdamped and will overshoot and/or oscillate before settling to some final value after a step input. For \( F = 1 \):
\[ \alpha = 2\omega_n \text{ and } K = \omega_n^2/2 \]
Manipulating the values of \( K \) and \( \alpha \), therefore, allows the setting of noise bandwidth and the lag or lead error for a constant-velocity target. Usually \( K \) is limited to some submultiple of the radar pulse repetition frequency, and \( \alpha \) is then established for best damping.
Higher-order loops can be implemented by adding velocity, acceleration, and even higher-order registers. With a velocity register installed between the error and range registers in the loop, the characteristic equation becomes a cubic equation. And there is no lag or lead error for a constant-velocity target, since the velocity register, after an initial transient interval, stores the target velocity, causing the range register to follow the target with zero error in the error register.
Besides eliminating lead or lag error problems, higher-order loops can have narrower bandwidths than first-order loops. And since the integrators are all digital, the drift or gain-stability problems that complicate high-order analog loops are nonexistent.
Loop analysis with Laplace transforms may be inaccurate for high-order loops, because the higher the order of the loop, the higher the data sampling rate must be as compared to loop noise bandwidth. For an exact analysis of a digital range tracker, z-transforms or finite difference equations must be used for characterization, since a tracker is a sampled-data system.
Gate edges do not have to be accurate; therefore the counter propagation delays do not matter. But the edge of the pulse derived from the all-logic-1 state is critical, because it corresponds to the tracking point.
In practice, there may be several available counts for setting and resetting the two gates so as to provide a variety of gate widths for a variety of situations. For instance, a wide gate could be used for target acquisition and a narrow gate for tracking. For a narrow gate, signals B and C of Fig. 3a are fed to NAND gate \( G_6 \) to generate the early-gate set pulse. Signal C prevents additional set pulses from falsely restarting the early gate or interfering with the reset pulse. Similarly, the load command to the range counter resets the late gate, preventing a hangup if that gate is run into the next transmitter pulse for maximum range.
Delays in the transmitter and/or the radar beacon (if the target carries one) can distort range. To compensate for them, the width of the load command pulse can be varied. Alternatively the position of this pulse with respect to the transmitter pulse may be varied to obtain the same result.
A sum gate is provided for age circuitry and an absolute-range gate for a digital display. The second gate starts when the flip-flop chain starts counting and ends at the tracking point (beginning of the late gate). It is used to gate clocks to a binary-coded-decimal counter that drives a decimal display system. By selecting the appropriate clock rate to the BCD counter, the same display can read out in miles, feet, kilometers, or any other desired system of units.
Interpolation boosts resolution
For the digital range tracker of Fig. 1, range resolution depends on the clock rate to the range counter. However, by adding the three-bit interpolation network shown in Fig. 3b to the gate generator of Fig. 3a, the resolution of the entire tracker can be improved without increasing the clock rate. For instance, a 6.2-megahertz clock rate allows a tracker resolution of about 80 feet. Adding three delay lines will improve the resolution to 10 feet—the equivalent of a 49.6-MHz clock.
The path of the tracking pulse through or around each delay line is controlled by the three lowest-order bits of the tracker loop—for this example, represented by 40, 20, and 10 feet, respectively. The range counter receives the highest-order bits (80 feet and up). There is a fixed delay, even with all delay lines bypassed. But it is easily calibrated out of the system by adjusting the range counter load point or the tracking point on the reply pulse.
Although this interpolation technique is relatively
3. Counting and gating. Time required for every flip-flop in range counter (a) to go to logic 1 is time needed to receive target reply pulse. Early gate is enabled at some count lower than all-logic-1 state, late gate is reset at higher count. Sum gate output is for automatic gain control circuitry, and absolute-range gate output allows incorporation of digital display. Inserting interpolation network (b) improves resolution without increasing clock rate. Number of interpolator delay lines corresponds to number of lowest-order tracker-loop bits needed.
easy to implement, it does not allow the range to be displayed to full system resolution: for it doesn't make use of the absolute-range gate or the clock to the range counter. A way to avoid using a higher-frequency clock and yet improve display resolution is to set up a separate range counter that employs all the range bits.
If this counter is driven by the same clock that drives the gate-generating counter, the range gate produced will be eight times wider than true range, when interpolating over three bits. But now the range gate and system clock can directly drive a BCD counter to produce a range display with full system resolution. The maximum update rate for the display will be restricted to one-eighth the radar PRF because of the interpolation scale factor introduced.
The range register
The third and last key loop element is the range register. It's shown in Fig. 4 with its associated error register and adder.
The error signal (represented by inputs $E_1$ through $E_5$) from the up/down counter of the a-d converter subsystem is transferred, in parallel, to the error register. Then it is shifted out serially to an adder, where it is summed with the range information stored in the range shift register. Serial arithmetic is used to save parts, and also because the required shift rates are usually low compared with the capability of standard ICs.
The error register need not have as many bits as the range register, since the error requires fewer significant bits than the range. Instead, the sign bit is fed to the input of the error register, and is used to fill the higher-order error bits. This can be done when the same number of clocks drives the error and range registers.
A positive error has a sign bit of logic 0, so that zero is added to the higher-order range bits. A negative error is converted into two's complement form with a sign bit of logic 1 and added to the range. In effect, a negative error automatically subtracts from the range since all higher-order error bits are also logic 1. For the two registers in the figure, a burst of 10 shift clocks circulates the range through the adder to complete one cycle.
Adding excess-range computation
Sometimes, high-PRF radars are used, because they reduce the peak power required in tracking long-range targets, yet maintain adequate average power on the target. Figure 5a shows the echo pattern in relation to the transmitter pulses for such a radar. The true range of the target is $R_T$ and the apparent range is $R_E$ (also called the excess range):
$$R_E = R_T - nP$$
4. Storing range data. Error signal from error counter is fed to error register. Error is then shifted to adder and summed with existing range data in range register. Since serial arithmetic is used, only a few parts are needed, and these can be operated at low shift rates.
5. Worthwhile additions. Tracking long-range target requires high-frequency radar that causes multiple-pulse echo pattern (a). To find true range $R_T$ of target an excess-range ($R_E$) computer (b) is needed. Absolute-range counter provides gate proportional to width of $R_T$. Excess-range counter is only on during absolute-range gate, making its count the desired $R_E$ for generating proper early and late gates. Anti-eclipsing circuit (c) prevents transmitter pulse of ambiguous-range radar from eclipsing target reply. If early or late gate runs into transmitter pulse, NAND gate is enabled, and radar jumps to new PRF so that new $R_E$ can be found without loss of track.
where $P$ is the radar interpulse period and $n$ is the integer number of echoes.
To track the target and utilize all the transmitter energy efficiently, a set of early and late gates is needed at a range $R_E$ from each transmitter pulse. At the same time, the range in the range register should be true range, $R_T$. Both requirements can be met by including an excess-range computer, like the one in Fig. 5b, between the range register and a range counter that cycles at the radar PRF.
This "computer" is merely an additional pair of range counters. One of them generates an absolute-range gate that is proportional to $R_T$ in width and that is essential for displaying range in any radar. The other operates during the absolute-range gate interval, but is cleared during every transmitter pulse time. The count remaining in the excess-range counter at the end of the absolute-range gate is the desired excess range. This $R_E$ output is then used to generate the necessary early and late gates. The excess range is updated at a rate that is counted down from the radar PRF.
To ensure that the range in the range register is true and does not reflect an incorrect number of echo pulses, the radar usually has several PRFs—that is, several values of $P$. For each PRF, the value of $R_E$ will be different, so long as the various values of $P$ have no common factors and true range $R_T$ is less than the product of the $P$s. If these conditions are met, a new value of $R_E$ will be computed when the PRF is changed. But the target remains in the early and late gates if, and only if, the range register contains the correct value of $R_T$.
For acquisition purposes, it is unnecessary to jump back and forth between different PRFs to make sure that the range register is slewed to the correct range. Rather, target returns can be shown on a display that has a wide enough sweep to cover the full range. And every nth transmitter pulse must be jittered. Then, when the display sweep is synchronized to the jittered pulse, the true target echo appears to be steady. The approximate true range can now be measured off the display to check that the range register is slewed to near the correct value.
Anti-eclipsing circuitry
With an ambiguous-range radar, a tracked target may run into a transmitter pulse, forcing $R_E$ to go to zero since $R_T = nP$. Because the receiver cannot usually be on during the transmitter pulse time, there is also the possible danger of loss of track. To avoid these problems, the position of the early-late gates in relation to the transmitter pulse can be monitored by an anti-eclipsing circuit (Fig. 5c).
Both gate signals drive a NOR gate, forming a sum gate that is applied to a NAND gate along with the radar PRF. Whenever an early or late gate bumps into a transmitter pulse, the NAND gate is enabled, and the radar PRF is jumped, causing the radar to operate at a new PRF. The time constant of the anti-eclipsing circuit is long enough to hold the radar at the new PRF, so that a new $R_E$ can be calculated and tracking can be resumed.
Many other features can easily be added to a digital tracking loop. These include automatic search and acquisition logic, anti-jamming circuitry, self-test logic, and self-calibration logic.
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Series-connected op amps null offset voltage
by Lawrence Choice
Burr-Brown Research Corp. Tucson, Ariz.
The input offset voltage and offset voltage drift of a differential operational amplifier can be held essentially to zero by connecting a second amplifier at the inverting input of the first. This auxiliary op amp must have an offset voltage and drift that are matched to the primary op amp. The additional amplifier will then act as a floating voltage source, canceling any offset voltage.
As shown in (a), unity-feedback amplifier $A_1$ is connected to the inverting input of amplifier $A_2$, providing a floating offset voltage source between $A_2$'s non-inverting input and its output. (If $A_1$'s offset characteristics were matched with opposite polarity to those of $A_2$, then $A_1$ could be placed at $A_2$'s non-inverting input.) Letting $V_{\text{ios}}$ represent the input offset voltage of $A_2$, $V_{A1}$ the voltage across $A_1$, $A_o$ the open-loop gain of $A_2$, and $E_1$ and $E_2$ the two input signals, then output voltage $E_o$ can be written as:
$$E_o = -A_o(E_1 - E_2) - A_o(V_{A1} - V_{\text{ios}})$$
If $V_{A1} = V_{\text{ios}}$, then:
$$E_o = -A_o(E_1 - E_2)$$
The composite amplifier consisting of $A_1$ and $A_2$ can be used as a very-low-drift inverting amplifier, like the one illustrated in (b). Resistors $R_1$, $R_2$, and $R_3$ are added to decrease the effects of amplifier bias current on total offset voltage and drift. This particular unity-gain composite amplifier configuration will be stable in circuits having feedback factors as large as 50%.
When used as a unity-gain non-inverting buffer, the composite amplifier should be compensated as indicated in (c). The compensation does not reduce amplifier small-signal bandwidth.
Linear signal limiting with feedback multiplier
by R. J. Karwoski
Raytheon Co., Equipment division, Sudbury, Mass.
A signal can be linearly compressed or limited over a wide dynamic range by using a four-quadrant analog multiplier as a feedback element. Particularly useful for audio applications, this linear limiting technique does away with the signal distortion that occurs with nonlinear methods. Also, the linear limiter does not require the careful calibration and many trial-and-error adjustments needed for a nonlinear limiter.
The control section of the linear limiter consists of three operational amplifiers and a multiplier. Op amp $A_1$ is the throughput amplifier with local feedback through resistors $R_F$, $R_1$, and $R_2$. When $R_F$ is shorted, the control circuitry is bypassed, and the circuit becomes a linear voltage-follower:
$$e_o = e_i (1 + \frac{R_F}{R_1 R_2 / (R_1 + R_2)})$$
The fundamental feedback equation for the limiter is based on amplifier $A_1$:
$$e_o = A_1 e_i / (1 + A_1 \beta)$$
where gain $A_1$ is determined by $A_1$'s local feedback arrangement of $R_F$ and $R_1$ in parallel with $R_2$. Feedback factor $\beta$ depends on the control section, whose operating function resembles the basic feedback equation. The relationship between multiplier input $e_Y$ and multiplier input $e_X$ becomes:
$$e_Y = e_X / (1 + e_X)$$
For small values of $e_X$, this equation degenerates to:
$$e_Y = e_X$$
which is a linear function representing a 1:1 compression ratio between $e_o$ and $e_i$. For large values of $e_X$, the function becomes asymptotically limiting:
$$e_Y = e_X / e_X = 1$$
Over-all limiter transfer function can be written as:
$$\frac{e_o}{e_i} = \frac{1 + R_F / [R_1 R_2 / (R_1 + R_2)]}{1 + 410 R_F (e_i)_{pk} / R_2}$$
Multiplier output $e_X e_Y / 10$ and the product of gains of amplifiers $A_2$, $A_3$, and $A_1$ are represented by the factor $410 (e_i)_{pk}$, where $(e_i)_{pk}$ is the peak input signal amplitude. Resistor $R_F$ controls both circuit gain and compression. However, for any single value of $e_i$, the limiter can be set to provide a gain of unity, regardless of $R_F$'s resistance and how much or how little limiting is needed. Additional over-all gain adjustments are then unnecessary, even if the compression ratio must be changed.
With a 100-millivolt input, the circuit illustrated supplies a 100-mV output, no matter what the setting of $R_F$. For any value of $R_F$, resistor $R_1$ is selected to keep:
$$1 + \frac{R_F}{R_1 R_2 / (R_1 + R_2)} = 1 + \frac{410 R_F (100 \text{ mV})}{R_2}$$
Circuit compression ratio can be varied by changing the value of $R_F$, but circuit gain remains unity for $e_i = e_o = 100$ mV.
The performance curves show the limiter's transfer function for three compression ratios with circuit unity-gain point at 100 mV—1:1 (no compression, $R_F = 0$), 8:1 (maximum compression, $R_F = 25$ kilohms), and 3:1 (midrange compression).
Variable linear limiter. Compression ratio can be varied by adjusting resistor $R_F$ without changing circuit gain—limiter's unity-gain point remains $e_i = e_o = 100$ millivolts. Amplifier $A_1$ is controlled by local feedback through resistors $R_F$, $R_1$, and $R_2$ and by additional feedback from multiplier and amplifiers $A_2$, $A_3$, and $A_1$. When $R_F = 0$, compression ratio is 1:1; when $R_F = 25$ kilohms, compression is 8:1.
Simple logic circuits compare binary numbers
by Edward J. Murray
Inter-Computer Electronics Inc., Lansdale, Pa.
In real-time data acquisition applications, determining the relative magnitude of two binary numbers with hardware, rather than software, now requires only three logic modules if data is being transferred serially. Previously, rather complex circuitry was needed.
Only the most-significant difference between two coincident serial data streams defines their relative magnitude. If the least-significant bit is transmitted first, the last difference between coincident word bits determines which is the largest word. When the most-significant bit is the first transmitted, the first difference establishes relative magnitude, and all other differences can be ignored.
Checking number size. To find relative magnitude of serial words A and B, only most-significant differences between coincident data bits must be considered. Transmitting least-significant bit first (a) requires six gates for comparison. Two additional gates are needed (b) if most-significant bit is transmitted first. In timing diagrams, octal 25 (binary 010101) is compared to octal 15 (binary 001101).
Six logic gates (a) can compare two words when the least-significant bit is the initial input. Eight logic gates (b) are needed when the most-significant bit arrives first. The heart of both schemes is a three-state latch that provides three comparisons for input words A and B: A is greater than B, A equals B, and A is less than B.
The timing diagrams in (a) and (b) illustrate circuit operation when input A is octal number 25 (binary 010101) and input B is octal number 15 (binary 001101). Signals A and B are not limited to a fixed number of bits per word. Any variable word size can be used if the results are interrogated after the word has been transmitted and a reset pulse precedes the word being interrogated.
This type of binary comparator is useful in preliminary data sorting and number ranging prior to software processing for multi-channel data acquisition. In the timing diagram, the "result available" waveform indicates the best interrogation periods.
Designer's casebook is a regular feature in Electronics. We invite readers to submit original and unpublished circuit ideas and solutions to design problems. Explain briefly but thoroughly the circuit's operating principle and purpose. We'll pay $50 for each item published.
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New applications open up for the versatile isolation amplifier
Extremely high common-mode rejection ratios and common-mode voltage ratings make isolation amplifiers ideal for a wide variety of tasks—from preventing the electrocution of heart patients to measuring off-ground signals.
by C. Peter Zicko, Analog Devices Inc., Norwood, Mass
For measuring off-ground signals, protecting delicate circuitry against high common-mode voltages, or interrupting leakage paths in medical applications such as cardiac monitoring, an isolation amplifier is often an economical solution to an otherwise costly problem. At first glance it looks much like an instrumentation amplifier, but is distinguished by its extremely high common-mode rejection (even with high source-resistance unbalance), high common-mode and differential-voltage rating, high common-mode and differential-input resistance, and low leakage capacitance between input circuit and ground (see table).
Unfortunately, an isolation amplifier has less gain, less bandwidth, greater temperature sensitivity, and greater noise than an instrumentation amplifier. This performance degradation arises from the signal modulation circuits used to achieve isolation.
Many applications
From these general characteristics, it is clear that the most obvious application for isolation amplifiers is in data-acquisition systems. Here, off-ground current or voltage readings must be transferred to levels about ground so they can be fed to computers, recorders, and other data-handling equipment. In general, the low cost of modern isolation amplifiers has created a whole new range of applications, much as the development of low-cost operational amplifiers did for linear circuits.
For example, the isolation amplifier not only is useful for measuring signals that are floating hundreds of volts above ground, it can also reverse the signal flow, and actually feed control signals from information sources at ground level to circuitry that is floating at some high voltage level (Fig. 1).
In the illustration, a dc power supply is controlled by digital commands that are fed to the digital-to-analog converter. The power supply is designed so that either output terminal can be grounded for a choice of positive or negative output polarity. In one instance, consequently, the regulating circuitry will be off-ground to the tune of the full-scale output voltage. Coupling problems are solved, of course, by interposing the isolation amplifier between the regulating signal source (d-a converter) and the actual voltage-regulating circuits. Conversely, but not shown, feedback signals for closed-loop voltage control may be brought down to ground level by an isolation amplifier working in the conventional way.
Monitoring motor current
An isolation amplifier's excellent 60-hertz common-mode performance is brought to bear on the motor load indicator of Fig. 2a. Because of its up to 115-decibel common-mode rejection (CMR) from dc to 100 Hz, the amplifier can handle high-voltage ac measurements, as well as dc. In this instance, where the delta connection eliminates any neutral line at or near ground potential, the current shunt is inserted directly into one of the three-phase lines, and readings are transferred to ground by the amplifier. A unit's 1,000-volt common-mode-voltage (CMV) rating enables applications of this type to handle motors operating from 1,000-v peak supplies (600 v rms), or dc supplies in the 1,000-v region.
If isolation amplifiers with high CMV ratings were not available, it would be necessary to use a pair of matched voltage dividers to reduce the CMV (Fig. 2b). But because the pair cannot be matched perfectly, the dividers would degrade the temperature stability of the circuit and reduce its CMR.
An important class of applications for isolation amplifiers—one that has nothing to do with the dangers or
How it works
The remarkable specifications summarized in the table derive from the carrier system, which is used to transfer both signals and power between the amplifier's shielded input stage and the rest of its circuitry. Because a high carrier frequency (150 kilohertz) is used, the amplifier is able to provide a small-signal bandwidth of 2 kHz and a full-power response up to 200 Hz.
The high-value resistor, $R_{\text{in}}$, limits the differential fault current in case one of the input FETs fails. It also keeps the differential input resistance high during periods of input-amplifier saturation. This series resistor gives the amplifier its 5,000-volt differential input rating, making it independent of linear operation of the input circuitry.
Because the FET input preamplifier operates single-ended (non-inverting), only a difference input current flows; no net bias current flows under these conditions. Normally, a differential amplifier has two independent bias currents, one each at the inverting and non-inverting inputs, and requires a return path for these currents.
Unlike the ordinary instrumentation amplifier, which depends upon precise component matching for its common-mode rejection, the isolation amplifier exploits its low-leakage transformer coupling to obtain a distinct interruption in the common-mode circuit. This makes it inherently immune to common-mode signals and highly insensitive to input imbalances.
In point of fact, only the unavoidable leakage capacitance between the shielded input section and the rest of the circuitry keeps the common-mode rejection ratio from being infinite. The reason is that the leakage paths are the only mechanism through which the common-mode input can affect the amplifier's output.
2. Motor monitor. Excellent common-mode rejection of isolation amplifier allows measurement of ac motor current (a). Amplifier has useful gain to 10 kHz, permitting observation of steep-fronted SCR waveforms on oscilloscope. With ordinary low-CMV instrumentation amplifier, voltage divider network is required (b). This reduces CMR because of imperfect matching of resistors.
3. **Ground separation.** Isolation amplifiers keep analog and digital signals separated in this digitally controlled magnet system.
4. **Uniformity.** Driving all strain gauges in series from a single constant-current source ensures uniform excitation. It also ensures the occurrence of a high CMV at top of transducer chain, this situation is easily resolved with isolation amplifiers.
Inconveniences of high common-mode voltages—is the electrical separation of different parts of an electronic circuit. For example, it is often wise to separate the analog and digital portions of a computer-controlled hybrid circuit. When this is done, interface errors in a-d and d-a converters can be eliminated, and ground loops between different components in the system can be broken. In addition, true electrical separation of different circuits can prevent digital pulses from riding on sensitive analog lines, thereby obscuring least-significant-bit analog increments.
**Ground separation**
A representative application of this technique is given in Fig. 3, where a digital computer operating in a closed analog-digital loop sets up precise time-varying currents in a nuclear accelerator’s magnet system. Although just one loop is shown, a particle accelerator may often have 20 different magnet coils, with total power consumption in the megawatt region and total area in the hundreds of square yards. The technique of analog-digital isolation not only keeps digital pulses out of analog signal lines, but provides benefits in reverse: for it allows each analog load to operate at whatever ground potential prevails at the load site, without imposing difficult common-mode problems at the a-d and d-a interfaces.
A modern technique for ensuring uniformity of transducer excitation is to use current forcing (Fig. 4) rather than to energize several transducers in parallel from a common voltage source. This approach overcomes problems arising from voltage drops in the lines feeding the different transducers and ensures tighter reading of different pressure, temperature, and other values. For example, in agricultural research, it is necessary to measure the temperature differential of a sun-warmed field to a resolution exceeding 0.1 C, and this becomes difficult if line drops introduce uncertainty in thermistor excitation voltage.
If a large string of strain-gauge or thermistor transducers is to be driven from a single constant-current source, then appreciable common-mode voltage will appear at the upper end of the transducer chain (Fig. 4). Here, then, is an example of the need for an amplifier.
5. **Life and death.** In medical applications, where patients may be in contact with poorly grounded equipment, isolation amplifier breaks leakage-to-ground path, thus prevents electrocution of the patient. The fatal current need be only a few microamperes in many cases.
6. **Fetal heartbeat monitoring.** Here the problem is not only to reject any muscle noise, but to detect weak signal from baby's heart in presence of strong cardiac signal from the mother. Solution is high common-mode rejection of isolation amplifier.
with high common-mode rejection and the ability to handle 100 V or more of common-mode voltage.
Another important instrumentation application of isolation amplifiers is in cardiac monitoring, where the heart signals can be masked by muscle noise, electrochemical noise, residual electrode voltages, and 60-Hz power-line pickup. An amplifier designed for high-performance cardiac monitoring must provide the utmost in common-mode rejection in the dc to 100-Hz band, handle substantial source resistance unbalance, and separate a few millivolts of heartbeat signal from 50 to 500 mV of residual electrode potential created by electrochemical processes at the patient-electrode interface.
**Cardiac monitoring**
Safety specifications skyrocket when it comes to cardiac monitoring during open-heart surgery or intensive care of patients. In these cases, because the resistance of exposed organs drops to the fractional-ohm level, millivolts of inadvertently applied leakage voltage can create the 20 microamps of body current now known to be lethal. Consequently, an electrically isolated amplifier must be used to avoid grounding of the patient as the electrocardiograph electrodes are connected to the heart.
This isolation is an important safety requirement because the patient may be in contact with such hazards as poorly isolated or grounded respiratory equipment, heart-lung machines, and bed-moving servomotors (Fig. 5). If so, electrical connection to grounded EKG displays would complete the leakage-to-ground path for the potentially dangerous currents from these sources.
The transformer isolation and 10-picofarad maximum leakage capacitance between the isolation amplifier's input and other circuits limits the fault current to well below the 20-μA danger level, even when the patient is exposed to a full 220-v, 60-Hz line. An amplifier with a 1,000-V CMV rating, of course, easily handles accidental connection of the input electrodes to 220-v sources. And a 5,000-V peak differential input rating enables the amplifier to withstand the high-voltage defibrillation pulses that may be applied in an emergency.
In fetal heartbeat monitoring (Fig. 6), the isolation amplifier's specifications can be exploited even further. In this demanding application, not only is it necessary to reject muscle voltages, 60-Hz pickup, and electrode potentials, but the amplifier must be able to distinguish between the weak fetal heartbeat and the much stronger cardiac signals of the mother. The separation between parental and baby heartbeats is accomplished by the 60-db common-mode rejection between input electrodes and shield, while the 115-db input-to-ground CMR screens out 60-Hz pickup, muscle noises, and other interference. In addition, because the amplifier can achieve its high common-mode performance at unity gain, 500 millivolts of residual electrode potential can be handled without its being driven into saturation.
Since isolation amplifiers have only recently become available at unit prices below $70 in OEM quantities, their full range of applications has not yet been scratched. In the next 10 years, like the op amp over the past decade, they are certain to turn up with increasing frequency and in the most unexpected situations.
One-shot timing performance: don’t take it for granted
Study of industry standard monostable multivibrator—the 9601-type of one-shot—reveals that vendor-to-vendor variations in timing accuracy are wide enough to prevent device interchangeability
by David E. Green, Honeywell Information Systems Inc., Billerica, Mass
All too often, designers presume that a component’s data sheet is precise. Inaccurate performance specifications are not intentional misrepresentations on the part of the manufacturer. Instead, they result from problems inherent in processing techniques, device geometries, or packaging effects. But, no matter what its cause, excessive performance variations—particularly those of so-called building blocks that can be used in a number of applications and that are readily available off-the-shelf from several manufacturers—must be brought to the designer’s attention.
Consider, for example, the industry standard retriggerable monostable multivibrator, typified by the 9601. A recent study of a dozen sample lots of these one-shots from several different companies shows that the variations in output pulse width are so severe—sometimes approaching 60%—that some manufacturers are re-evaluating their current designs, whereas others are already in the process of redesign.
Timing errors become especially significant for small values of timing capacitance. For instance, the one-shot’s minimum true output pulse is specified to have a maximum value of 65 nanoseconds, but approximate extremes of 30 and 92 ns were observed.
Examining the problem
Pulse width variation for the monostable is specified at a minimum of 3.08 microseconds and a maximum of 3.76 µs about a nominal output of 3.42 µs. Or, in-specification variations of timing accuracy can be thought of as ±10%. Therefore, after accounting for timing resistor and timing capacitor tolerances, as well as supply voltage variations, the designer must deal with an overall timing limit tolerance of ±15% to ±20%, making any additional one-shot timing inaccuracies difficult to handle.
Adding a trimmer potentiometer is the simplest way to compensate for this wide tolerance spread, or even poor one-shot timing—but an acceptable trimmer is
1. Testing the one-shot. Test circuit for retriggerable monostable multivibrator employs unit TTL load on each output. Timing network formed by $R_X$ and $C_X$ determines output pulse width at Q and $\bar{Q}$. Capacitors $C_1$ and $C_2$ are fixed at 10 picofarads (including stray capacitance and fixture capacitance), and minimum $C_X$ is held to 5 pF. Output pulse width is measured at device’s low-level logic threshold.
2. Plotting the results. Pulse width variations of over 500 9601-type one-shots are shown as percentage deviation from mean pulse width ($\bar{x}$) for entire group. Test points for 12 sample lots are plotted individually. Values noted for $R_X$ and $C_X$ are those used to obtain indicated mean pulse widths from 68 ns to 24 $\mu$s. Scattered distribution of results indicates significant discrepancy between actual and specified timing performance. Also, output pulse variations from one vendor to next are so great that parts cannot be used interchangably.
generally more expensive than the multivibrator itself. And for most printed circuit boards, no provision is made for adding a trimmer at some later date if a problem arises.
Specified one-shot timing accuracy implies that the part holds pulse-width variations to ±10% for outputs above and below the nominal 3.4-μs value. However, extensive testing of over 500 of these multivibrators shows that this is not true. The study notes the variation in output pulse width for 12 sample lots of 9601-type one-shots from a number of different vendors.
The test circuit used is illustrated in Fig. 1. Stray capacitance and capacitance from the test fixture are represented by capacitors C₁ and C₂. The total value for each of these capacitors is fixed at 10 picofarads to permit the use of a variety of test fixtures. Timing capacitance Cₓ is held to a minimum value of 5 pF since the minimum data sheet value of 0 pF is not really achievable in practice.
Both Q and Q̅ outputs are terminated with a unit transistor-transistor logic load and a 15-pF load capacitor that includes probe capacitance. (In this case, a unit load is the equivalent of a standard TTL gate that requires the one-shot to supply 60 microamperes for its high output and to sink 1.4 milliamperes for its low output.)
All pulse widths for the study were measured at the low-level logic threshold of the Q output.
The graph of Fig. 2 summarizes test results by comparing the mean pulse width for each sample lot (x̄) to the mean pulse width for all the units tested (x̄). Final values of x̄ are indicated along the horizontal axis, showing the mean pulse width obtained for the timing components used. For every combination of timing component values, there is a set of 12 data points, each point representing the percentage deviation of mean pulse width x̄ for a given vendor from the group mean width of x̄, which ranges from 68 ns to 24 μs.
**Analyzing test results**
Several observations can be made from the graph. For instance, the data point at 2.29 μs, near the standard test point of 3.4 μs, suggests that the number of units meeting specification is not very high since deviations from x̄ are significant. Also the ±10% tolerance band is drastically exceeded for several pulse widths, indicating a serious discrepancy from predicted performance.
For some sample lots, output pulse width diverges from its specified value as pulse width increases, even though published timing data states that the output width should be linearly related to timing component values when Cₓ is greater than 1,000 pF.
In addition, for narrow output pulses, performance tracking from vendor to vendor is particularly poor, with a highly undesirable broad distribution of data points. A user changing vendors would encounter significant timing performance differences, especially since the plot deals only with deviation from a mean, and does not show worst-case errors. For example, when Rₓ = 50 kilohms and Cₓ = 5 pF, supposedly identical devices from vendor 6 and vendor 12 can generate pulses ranging from 237 to 732 ns in width.
**Published timing data**
The expected output pulse width of the widely used 9601 type of monostable multivibrator is easily determined from its data sheet. Generally, how the unit's timing is computed depends on the value of timing capacitance Cₓ. When Cₓ is greater than 1,000 picofarads, output pulse width can be computed:
\[ T = 0.32RₓCₓ(1 + 0.7/Rₓ) \]
where T is in nanoseconds, timing resistance Rₓ in kilohms, and Cₓ in picofarads. For Cₓ values of less than 1,000 pF, manufacturer's timing curves, like those shown, must be used.
A singular advantage to testing pulse width is the ability to select those vendors whose products fall within the desired tolerance of ±10% over the full timing range. One-shot timing should be monitored for all pulse widths of interest by using permissible combinations of Rₓ, between 5 and 50 kilohms, and Cₓ, up to 1,000 pF.
As this study decidedly points out, in-spec performance at one pulse width does not imply across-the-board in-spec performance. One vendor's products, for instance, exhibited unorthodox characteristics even though the one-shots passed the standard 3.4-μs ±10% pulse width test for Rₓ = 10 kilohms and Cₓ = 1,000 pF. Some devices displayed a variation of ±40% around a 68-ns mean pulse width, while others could not generate pulses wider than 3.5 μs under any conditions.
Once the vendors whose products track together are selected, additional testing should still be done for absolute certainty of timing performance. To virtually eliminate any excessively inaccurate one-shots, the tests should fix the allowable ±10% timing tolerance as the 3σ limit of a Gaussian distribution of test results. Based on the graph of Fig. 2, the recommended pulse widths and timing networks are: 85 ns ±10%, 5 kilohms and 5 pF; 380 ns ±10%, 50 kilohms and 5 pF; 3.4 μs ±10%, 10 kilohms and 1,000 pF; and 17 μs ±10%, 50 kilohms and 1,000 pF.
In 1971 RCA Solid State introduced 448 new products...now
The RCA hot line gets hotter in 1972!
Last year RCA’s tremendous surge in solid state capability erupted in an outpouring of 448 new devices—new products, new packaging, improved performance—for expanded coverage to meet the demands of today’s market.
Here's the 1971 record for new commercial and developmental types:
**Linear IC's** ................. 93
Single and dual op amps, triple programmable op amps, transistor and Zener diode arrays, analog multiplier, sense amplifier, power control circuits, low-noise op amps, AM/FM communications circuits, and stereo multiplex decoder, in packaged, chip, and beam lead versions.
**COS/MOS IC's.**
3 to 15 Volt Circuits ....... 151
Gates, gate arrays, buffers, complementary pairs, flip/flops, latches, adders, decoders, multiplexers, counters, shift registers, timing circuits, memories and chip versions.
**Power Transistors** .......... 76
Hometaxial II,
high-power n-p-n,
high-voltage n-p-n,
medium- and high-power p-n-p,
VERSAWATT n-p-n and p-n-p types, and n-p-n power amplifiers.
**Thyristors and Rectifiers** ... 72
High-current 80-A triacs, ISOWATT ceramic isolated plastic triacs, 400 Hz high-commutating dv/dt triacs, glass passivated-plastic triacs and SCR's, fast-switching SCR's and rectifiers, SCR/rectifier arrays, and fast-recovery power type rectifiers.
**Power Hybrid Circuits** ..... 37
Amplifiers, series regulators, arrays, building blocks and chips.
**RF Power Transistors** ...... 13
Types for microwave, broadband, mobile-radio, and single-sideband applications.
**Liquid Crystals** ............. 6
Single-digit and four-digit transmissive and reflective seven-segment readouts.
The momentum is continuing in 1972. New products, new technological advances, new application aids will be introduced throughout the year. For 1972, RCA's goal—616 man-years of solid state technology at Somerville, N.J. and at the David Sarnoff Research Center at Princeton, N.J. Here's how RCA developments in 1971 and 1972 will influence the directions of solid state in the remainder of the seventies:
**Linear IC's**
RCA, a leader in consumer linear IC's, recently made one of the largest single product introductions ever to come from a solid state supplier: 21 new types for the communications controls and instrumentation markets. The pace continues in 1972, with many other new types—including op amps, A/D converters, control circuits, transistor arrays. The total line of 175 types represents one of the industry's broadest-coverage sources.
**COS/MOS IC's**
RCA pioneered complementary-symmetry MOS, and now has more design, engineering, technological and manufacturing background than anyone in the industry. RCA shipped 7 out of 10 of all C/MOS devices sold in 1971. Besides the 3- to 15-volt commercial types announced in 1971, RCA initiated and completed numerous custom LSI devices. Coming in 1972—additional functions including three-level registers, triple AND/OR pairs, word-organized memories, counters, buffers, latches, multivibrators, multiplexers.
**Power Transistors**
In 1971 RCA led the industry with: the concept of thermal-cycling ratings to extend equipment life; cost-effective high-voltage devices to make off-line switching economically feasible; and delivery of cost-effective reliable planar packages. In 1972 RCA is extending its low-cost packaging (plastic and metal) technology to all the power transistor manufacturing approaches—hometaxial chips for linear operations, multi-epitaxial design for fast switching, and a wide range of Darlingtons, both n-p-n and p-n-p. Perhaps this capability is why RCA is filling 39% of the industry's power sockets (November, 1971 EIA figures., U.S. factory sales).
**Thyristors and Rectifiers**
To the industry's broadest line of triacs, RCA added the first 80-A device last year, and continued to lead the way in plastic/glass passivated chip technology. RCA remains the world technology center for TV horizontal deflection devices. The 1971 sales record: industry thyristor sales down about 10%, RCA up about 10% (U.S. factory sales).
**Power Hybrid Circuits**
RCA now offers the industry's broadest commercial line for use in servo amplifier, audio amplifier, deflection amplifier, power supply, hammer driver, stepper motor, high-current dc motor control and many more applications. And it's still expanding.
**RF Power Devices**
In 1971, the RCA-originated overlay technology was expanded in a rapidly developing line of emitter-biaseded high-output microwave devices. A broad new line of emitter-biaseded microwave power transistors already announced in 1972 is providing 10 W at 2 GHz and 6.5 W at 2.3 GHz—in both stripline and coaxial.
New products announced at the rate of more than one a day.
What does this mean to you?
First, a major source of supply, broad product range (10,000 devices)...ability to deliver products in volume with competitive pricing.
Second, a worldwide sales organization with in-depth applications back-up and a strong network of distributors to serve you.
Plus, a total capability of people, products and technology that brings an applications-oriented approach to your requirements...and results in reliable systems cost effectiveness with RCA products.
And now RCA has expanded technical and applications information to bring you up to date on all existing and new RCA types in the 3000-page, six-volume SSD-200 DATABOOK series. Updating service will keep you posted on 1972 developments.
Before you make any commitments for solid state devices, check RCA—the hot line that's getting hotter all the time. See your RCA Distributor or Sales Representative about any of the product lines listed here. Or call Dan Del Frate, Marketing Manager, about your special requirements. RCA Solid State Division, Box 3200, Somerville, N.J. 08876; (201) 720-2000. Internationally: RCA Studio, on-Thames, U.K., or P.O. Box 112, Hong Kong. In Canada: RCA Limited, Ste. Anne de Bellevue 810, Quebec.
Digitizing multiple rf signals requires an optimum sampling rate
Based on an advanced radio using an analog-to-digital converter to process a selected signal, design rules relate lowest a-d conversion rate to rf passband width, not carrier frequency
by Arthur G. Stephenson, TRW Systems Group, Redondo Beach, Calif
Sampled-data techniques have recently been combined with analog-to-digital conversion in an experimental wideband high-frequency radio receiver (Fig. 1), proving the practicability of on-line real-time digital reception of a transmitted signal. If multiple tunable digital filters and fast digital conversion are used, and the cost of analog-to-digital converters and large-scale integration continues to drop, such a digital receiver could be designed to do the job of multiple conventional receivers. For example, a single digital receiver could very likely handle signals from 16 stations at a time.
Commands from a digital computer can instantaneously set the digital filter to the desired center frequency. As a result, the receiver's output, suitably demodulated but in digital format, is ready for data processing. The computer processing analyzes the signal, and through feedback to the receiver, provides automatic tuning for optimum signal-to-noise ratio.
Key to the receiver's versatility is the analog-to-digital converter that rapidly samples and digitizes a preselected rf passband. Sampling creates multiple image spectra of the original band, each of which—also digitized, but centered at lower (and higher) frequencies—contains the same information as the band. Any digitized spectrum can act as input to the digital filter.
Functionally, each spectrum is analogous to an intermediate-frequency passband obtained by heterodyning. Consequently, creating spectra by sampling and a-d conversion can be thought of as digital heterodyning, similar to the analog heterodyning of conventional receivers. Sampling, though, creates many "intermediate frequencies" at the same time.
The digital receiver (Fig. 2) can be tuned to within 100 hertz anywhere in the radio-frequency band of 2 to 30 megahertz. The varactor-tuned presampling analog filter selects any 1.5-MHz portion of that band, and its output is then digitized by the a-d converter into 8-bits-plus-sign data words at any of four sampling rates up to 14 million times a second.
Filter action
In accordance with command signals, the tunable digital filter momentarily looks at any selected frequency in the rf passband. The corresponding stream of digital words represents the modulated signal of the selected transmitter. Also on command, this filter can be set to any one of eight bandwidths ranging from 250 hertz to 6 kilohertz. The demodulator contains logic to process a-m, fm, pm, and pulsed cw signals.
Because of the samplings and digital conversion processes, the design of a digital receiver has to take into account considerations that are foreign to the superheterodyne receiver. The most critical is the selection of the a-d converter's sampling frequency. If this is not done properly, particularly with respect to the bandwidth and roll-off characteristics of the analog presampling filter, the sampling process will generate spurious signals in the spectrum of interest.
Known as aliasing signals, they can crowd this spectrum, defeating the selectivity of the pre-sampling filter and negating the benefits of digital heterodyning and processing. During the development of this receiver, criteria for the optimum sampling frequency have evolved which can be applied to the design of other bandpass sampling systems. And, because practical system constraints may prevent use of an optimum sampling frequency, additional information for non-optimum sampling frequencies has also been worked out.
The a-d converter, when digitizing an analog signal, samples the input for a very short time, called the aper2. Digital heterodyning. In the experimental radio, the analog-to-digital filter supplies multiple information spectra, one of which feeds into a remotely tunable digital filter. The filter's output is demodulated in digital format for signal-to-noise analysis by a computer.
According to sampled-data theory for the low-pass case, the sampling frequency must be at least twice as great as the highest frequency of interest ($F_{H1}$) in the sampled time-varying signal if it is to preserve the information content. In practice, to minimize aliasing, the sampling frequency must be even greater.
In the present context, the optimum sampling frequency is one that in combination with a suitable presampling filter is high enough to attenuate aliasing to some satisfactory value. On the other hand, choosing too high a sampling frequency puts a burden on the specifications of the analog-to-digital converter, to the point that, even with the best a-d converters now available, digital heterodyning would be difficult in the rf spectrum. Also, high sampling rates mean high data processing rates, and thus more cost for equipment.
Although sampling actually occurs on time-varying signals, the consequences are easier to understand if they are represented in the frequency domain. Fig. 3a shows the frequency spectrum envelope for a time-varying signal containing frequencies starting at zero ($F_0$ or dc) and going up through $F_{H1}$. (In this ideal band-limited spectrum, the solid sloping line does not indicate actual spectral characteristics, but is an artifice to distinguish the original spectrum from its mirror-image.)
The sampling process repeats or images the original spectrum at harmonics of the sampling frequency $F_S$, where each image spectrum is located in frequency with respect to its harmonic as the original spectrum is with respect to $F_S$. In Fig. 3b the repeated spectra also slope down to the right. However, the sampling process also "folds" each imaged spectrum, including the original one, around $F_0$ and $F_S$ and its harmonics, creating a series of mirror-image spectra, shown here as sloping down to the left. In Fig. 3b, the sampling frequency has been chosen as exactly twice the highest frequency, $F_{H1}$, and because of the sharp cutoff characteristics of the original none of the spectra overlap to create aliasing frequencies that intrude into any other spectrum.
A more typical case, however, is a low-pass filter with a gradual roll-off characteristic (Fig. 3c). Here, $F_{3dB}$ is the same as $F_{H1}$, and $F_S$ is twice this frequency. In this case, when the sampling process creates its repeated and image spectra (Fig. 3d), the portion of the original spectrum above the 3-dB frequency repeats and folds into all spectra, creating aliasing. The figure implies the cure— increasing $F_S$ for a given roll-off characteristic will separate the spectra and reduce aliasing.
Consider now an rf bandpass spectrum with ideal cutoff frequencies at the filter's 3-dB points (Fig. 4a). This spectrum contains many carrier frequencies, each modulated with an information-bearing signal. Assume that only one carrier frequency exists, centered between $F_{H1}$ and $F_{L1}$, the lower edge of the spectrum, and that this
4. Optimum sampling rate. Digitizing an rf passband (a) creates multiple image spectra (b), (c), and (d), the separation of which depends on the sampling frequency $F_S$. Optimum sampling is shown in (b), in which the selected $F_S$ causes $\Delta F_X$ to equal $\Delta F_Y$.
5. Spectral density. The sampling frequency depends on the width of the passband, shown here as the same for five different cases. Computation of the actual sampling frequency for a given case depends on the spectral density, $K$, the number of spectra below the original band.
is modulated by only one signal with a bandwidth $B = (F_{H} - F_{L})$. Because the sampling process must preserve only the integrity of the information signal, the required sampling frequency depends on the width of the band, which is much less than the carrier frequency.
The optimum sampling frequency, or rate for digitizing a bandpass signal, is the lowest one that produces an acceptable signal distortion from aliasing. The occurrence of aliasing also depends on the presampling filter's selectivity and on the symmetry of the roll-off characteristic on each side of the filter's center frequency. Since roll-off in practical filters is usually nonsymmetrical, distortion due to aliasing is minimized when each spectrum is separated by the same amount, in frequency, from its neighboring spectra. Optimum sampling frequency, then, occurs when $\Delta F_X = \Delta F_Y$, as shown in Fig. 4b. The effects of non-optimum sampling rates are shown in Figs. 4c and 4d.
The optimum sampling frequency depends not only on equal separation but also on the bandwidth and where the bandpass center frequency falls in relation to the total frequency spectrum. Figure 5 contains representations of the same-bandwidth original spectrum at five different center frequencies in the total 2- to 30-MHz range. In each case, the optimum sampling frequency is the same and, as shown, may be lower than the original spectrum. The five cases differ in spectral density, which is defined as the number of spectra, $K$, between zero
frequency and the original bandpass spectrum.
Figure 6 defines the spectral edges of passbands for odd and even spectral-density numbers. With these edge definitions, the optimum sampling frequency for each K value can be determined by setting $\Delta F_Y = \Delta F_X$, where $\Delta F_Y$ is the frequency separation between the original and the next higher spectrum, and $\Delta F_X$ is the separation between the original and next lower band.
For $K = 1$
\[
(2F_S - F_{H}) - F_{L} = F_{L} - (F_S - F_L)
\]
\[
2F_S - 2F_{H} = 2F_{L} - F_S
\]
\[
F_S = \frac{2(F_L + F_H)}{3}
\]
For $K = 2$
\[
F_L - (2F_S - F_L) = (2F_S - F_{H}) - (F_{H} - F_S)
\]
\[
2F_L - 2F_S = 3F_S - 2F_H
\]
\[
F_S = \frac{2(F_L + F_H)}{5}
\]
For $K = 2n$
\[
(2n + 1)F_S - 2F_{H} = 2F_{L} - 2nF_S
\]
\[
4nF_S + F_{H} = 2F_{H} + 2F_{H}
\]
\[
F_S = \frac{2(F_L + F_H)}{4n + 1}
\]
For $K = 2n + 1$
\[
(2n + 2)F_S - 2F_{H} = 2F_{L} - (2n + 1)F_S
\]
\[
4nF_S + 3F_S = 2F_{L} + 2F_{H}
\]
\[
F_S = \frac{2(F_L + F_H)}{4n + 3}
\]
For the general case, including $K = 0$, the optimum sampling frequency is
\[
F_S = \frac{2(F_L + F_H)}{2K + 1}
\]
The preceding relationships do not give the actual frequency width of the separations which are needed to evaluate aliasing effects. Using the edge definitions in Fig. 6 and only integer values of $K$, the separations are:
\[
\Delta F_X = 2F_L - KF_S
\]
\[
\Delta F_Y = (K + 1)F_S - 2F_H
\]
Equations 2 and 3 apply to both optimum and non-optimum sampling.
In practice, the sampling frequency may have to be derived from the system's clock. Then, more than likely, the separations will be unequal, or non-optimum. To determine the separations with non-optimum sampling, the value of $K$ is first determined from Equation 1, rewritten
The fractional part of the $K$ value obtained from Equation 4 is dropped, and the remaining integer-value of $K$ is inserted into Equations 2 and 3. The answers provide basic information about the non-optimum separation of neighboring spectra. However, the fractional value actually obtained from Equation 4 provides additional insight into aliasing. For example, if the computed value of $K$ contains a fractional value of exactly one-half ($K + \frac{1}{2}$), the sampling frequency is a submultiple of the center frequency of the spectrum being sampled, and there is a direct overlap of 3-dB points of the spectra. That is, aliasing will occur regardless of the pre-sampling filter's characteristics.
**Spectra positions**
If the fractional portion of the value of $K$ computed in Equation 4 is less than one-half, the nearest aliased spectrum centers above the center of the original spec-
---
6. **Edge definitions.** With these spectral edge definitions of multiple spectra resulting in either odd or even values of $K$, the actual values of separation between neighboring spectra can be computed for both optimum and non-optimum sampling frequencies.
7. Final evaluation. Even with an optimum sampling frequency to reduce aliasing, some further aliasing can occur: for the skirts of the presampling filter may generate frequencies that intrude into the selected imaged spectrum that is fed into the tunable digital filter.
If the fraction is greater than one-half, the nearest aliased spectrum centers below the center of the original spectrum.
If either solution to Equation 2 or Equation 3 results in a negative number, the spectra overlap. With no negative solution, the smaller of the two spectrum-separation values is used to determine whether separation meets aliasing requirements.
As mentioned, the foregoing analysis presupposed an original spectrum with 3-dB-down points at $F_L$ and $F_H$ and with extremely sharp cutoff at these frequencies. In the practical case, the presampling filter has skirts that roll off gradually, so that frequencies extend above and below the 3-dB points. As Fig. 7 shows, the skirts introduce spurious signals into the desired spectrum. Here, in the worst-case condition, the unwanted alias signals are down 30 dB in the spectrum.
If the sampling frequency is fixed, but attenuation is still not satisfactory, the filter's order can be increased to provide sharper roll-off. A convenient way to specify the filter's selectivity for this kind of application is to determine acceptable aliased spurious content at a specified frequency away from the spectrum's center frequency. This frequency is $(\Delta F_Z + \frac{1}{2} B)$, where $\Delta F_Z$ is the lesser of $\Delta F_X$ or $\Delta F_Y$, as shown in Fig. 7. The attenuation vs frequency parameter then specifies the rejection requirements of the filter.
If the sampling frequency can be altered, the results of Equations 2 and 3 can be examined to determine whether $F_S$ should be increased or decreased to reduce aliased signals. If $\Delta F_X$ is less than $\Delta F_Y$, then the optimum $F_S$ is higher than the one postulated, which should therefore be increased. If $\Delta F_X$ is greater than $\Delta F_Y$, $F_S$ should be reduced.
Once the correct sampling frequency has been determined to provide adequate spectra separation, and the filter's selectivity has been adjusted if necessary to minimize spurious signals, any one of the image spectra below the frequency of the original spectrum can be selected as the input to a succeeding stage in the system—since they all contain the same information. Generally the digital filter is locked-on to the imaged spectrum that is closest to $F_0$ and that is a direct and not a mirror image of the original spectrum. By choosing the lowest possible spectrum, the digital filter's processing-speed requirements are kept to a minimum.
Aperture time
Although the sampling rate of the a-d converter depends on the rf bandwidth, and not on the much higher carrier frequency, the maximum carrier frequency that can be digitized is determined by the a-d converter's aperture time. In general, the aperture time is inversely proportional to the carrier frequency and the a-d converter's bit length. For example, a 7-bit a-d converter (128 quantization levels) with an aperture time of 1 nanosecond can digitize a 100-megahertz carrier with an error less than 1 quantization level. Some commercial sample-and-hold circuits that are used for a-d conversion have aperture times of less than 100 picoseconds.
In the high-frequency range, digital heterodyning avoids requirements for analog frequency conversion and thus the need for a synthesizer, or analog heterodyning. But even for higher frequencies such as vhf and uhf bands, a digitizable intermediate frequency can be obtained using an analog synthesizer stepped in increments as large as 50 MHz.
It took us years to develop the best stereo microscope.
Now give us a few minutes to prove it.
Let us compare our StereoStar/zoom to any stereoscopic microscope in your lab. Our microscope offers high resolution, larger fields of view, greater working distance. We have as wide a magnification range as you're likely to need: a full 6 to 1 zoom range with magnifications from 3.5 X through 210 X. The zoom control knob is coupled—so that it's conveniently located on both sides, for either left or right-hand operation. And the entire head is easily rotatable through 360°.
135 years of optical excellence went into the AO StereoStar/zoom. Let us compare it to any stereo microscope in your lab. After all, if it's worth your money, it's worth your time. Call your AO Representative. Or write for our convincing 24-page brochure.
AMERICAN OPTICAL CORPORATION
SCIENTIFIC INSTRUMENT DIVISION • BUFFALO, N.Y. 14215
IF YOUR DISPLAY STILL COMES IN A BOTTLE, DROP IT.
Here are six good reasons to go solid state with Litronix LEDs:
1. **They last and last.** Solid state LEDs have an anticipated life span far, far greater than their fragile bottled ancestors, as long as 20 to 30 years. They can take vibration and they don’t break.
2. **And they are quiet.** Solid state LEDs produce no electrical noises, that’s no RF interference. That’s a cost savings on fancy shielding.
3. **They love IC’s.** Solid state LEDs operate at low voltage and low power. They are directly compatible with IC’s and that makes them ideal for handheld battery operated things. No voltage converter needed and you save again!
4. **Small, medium and large.** Solid state LEDs come in all sizes. To name but a few: Our DL-62 has a 6/10 inch character in a DIP. Our DL-34 has four, 1/8-inch digits set on 187 mil centers for end-to-end stacking. (Calculator people love it.) And there’s the DL-10A. It’s a high efficiency, high brightness, low cost, ¼-inch display. (Purchasing agents love it.)
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Finding open-loop gain without opening the loop
by David Luttrapp
Hewlett-Packard Co., Loveland, Colo.
Measuring the closed-loop response of regulated power supplies can be a tricky problem, particularly when operational amplifiers are used. Even though IC makers supply frequency-response plots for their devices, closed-loop response problems always pop up when an additional pole or zero is picked up from the pass transistor and filter. The total loop response now depends on both the op amp and the additional circuitry.
Unfortunately, measuring open-loop response requires breaking into a high-gain loop, which isn't very practical. It is much better to determine the open-loop response with the loop closed.
Circuitry can be designed and built to do the job, but with Hewlett-Packard gain phase meter model 3575 handy, you're already halfway there. Simply add an ac voltage source, dc-coupled and floating in series with the feedback path, and determining open-loop gain is almost reduced to reading a meter.
Although the oscillator's signal isn't critical, it should be low enough for the amplifier to remain linear. An oscilloscope can be used to monitor the signal.
The open-loop response of an amplifier with gain $A$ and feedback function can be expressed as:
$$A\beta = \frac{E_{OUT}}{E_{IN}} \left(1 + \frac{Z_{OUT}}{Z_{IN}}\right)$$
If $Z_{out}$ is much less than $Z_{in}$, then the expression reduces to $E_{out}/E_{in}$. The gain and phase plot of $E_{out}/E_{in}$ is a simple Bode plot, but the 3575 is well suited for this role because it measures the log ratio of $E_{out}$ and $E_{in}$ and the phase between them.
Coaxial buses help suppress power supply transients
by Herman Levin, Jeffrey O'Neil, and William Lord,
Colorado State University, Fort Collins, Colo.
The engineer using today's faster logic circuits may face the problem of power supply switching transients that have frequency components in excess of 1 gigahertz. Adding suppression networks to an adequately designed power supply will have little effect, but suppressing these transients along the power-supply feeder lines proves a viable technique.
Instead of using large parallel tubes just to satisfy the system's current requirements, try them in a coaxial configuration, and thus attenuate those transients, as well. A practical approach is to use copper tubes axially configured with polyvinylchloride tubing slipped over the inner tube and heat-shrunk tightly to it.
An experimental feeder-line section can be made easily by using copper tubing in sizes readily available from a hardware store. Connections to the section are
Experimental coaxial section uses standard copper tubes
made at the ends of the inner and outer tubes. For convenience, holes can be drilled prior to assembly in the outer tube at regular intervals, and connections to the inner tube can be made by drilling small holes through the sleeve and inner tube and using blind pop-type rivets to attach the leads. Connections to the outer tube can be made with clamps or presoldered connectors.
When production quantities are involved, most of the parameters can be optimized: the dielectric material and ratio of tube diameters can be chosen to increase the attenuation, and the inner tube connectors can be made with special feedthrough components for ease of fabrication.
Standard coaxial cable can be substituted for the copper tubes and sleeving. However, an excessively large cable would be needed to equal the current-carrying capacity of the tubes, and making connections to the inner conductor of standard coax isn't simple. Moreover, the ratio of the tube diameters can be adjusted to provide greater attenuation per unit length of the power supply feeder line.
### TYPICAL BUS CONFIGURATIONS
| Bus No. | Outer tube nominal | Inner tube nominal | PVC tubing nominal |
|---------|--------------------|--------------------|-------------------|
| 1 | 3/8in. | 1/4in. | 3/8in. |
| 2 | 1/2 | 3/8 | 1/2 |
| 3 | 5/8 | 1/2 | 3/4 |
| 4 | 3/4 | 5/8 | 3/4 |
| 5 | 1 | 3/4 | 1 |
### TYPE L RIGID COPPER TUBES
| Nominal size | Outside diameter | Inside diameter | Equivalent B & S wire size |
|--------------|------------------|-----------------|----------------------------|
| 1/4 in. | .375 in. | .315 in. | 4 |
| 3/8 | .500 | .430 | 2 |
| 1/2 | .625 | .545 | 1 |
| 5/8 | .750 | .666 | 0 |
| 3/4 | .875 | .785 | 00 |
| 1 | 1.125 | 1.025 | 0000 |
---
**A quick solution to conductive heat transfer problems**
*by International Electronic Research Corp. staff.*
*Burbank, Calif*
Anyone looking for a shortcut to solving the conductive heat transfer equation should find this nomograph very useful. It is based on the more familiar units of watts and inches, and can help solve for any unknown within the equation. The accuracy of the result depends on how careful you are in plotting the points.
For example, suppose you wished to find the temperature drop across each segment of a one-inch-square sandwich of beryllium oxide and aluminum, separated by a 0.001-in. layer of air, that must conduct 30 watts.
The nomograph can be used to solve for $\Delta T$ across the 0.12-in. BeO layer once the heat conductivity, $k$, is found (table lists typical values).
- Draw a line from 30 on Q scale to 0.12 on L scale, and note the point where it crosses reference line 1.
- Draw another line from this reference point to 80 on k scale (exact value depends on the particular type of BeO). Note where this line crosses reference line 2.
- Draw a third line from this point through 1 on the left side of A scale—and read 0.78 C on the left of the $\Delta T$
### THERMAL CONDUCTION DATA FOR VARIOUS MATERIALS AT APPROXIMATELY 65 C
| Material | Density (lb/in.$^3$) | Thermal conductivity, $k$ (W/in.·°C) | (Btu/hr-ft.$^2$·°F) |
|---------------------------|----------------------|--------------------------------------|---------------------|
| Silver | 0.380 | 10.6 | 241 |
| Copper | 0.322 | 9.7 | 220 |
| Gold | 0.696 | 7.5 | 171 |
| Aluminum, pure | 0.098 | 5.5 | 125 |
| Aluminum, 63S | 0.100 | 5.1 | 116 |
| Magnesium | 0.063 | 4.0 | 91 |
| Beryllium oxides | 0.109 to 0.136 | 1.7 to 3.9 | 38.7 to 88.7 |
| Red brass | 0.316 | 2.8 | 63.7 |
| Yellow brass | 0.310 | 2.4 | 54.6 |
| Beryllium copper | 0.297 | 2.1 | 47.8 |
| Pure iron | 0.284 | 1.9 | 43.2 |
| Phosphor bronze | 0.318 | 1.3 | 29.6 |
| Soft steel | 0.284 | 1.18 | 26.8 |
| Monel | 0.318 | 0.9 | 20.5 |
| Lead | 0.409 | 0.83 | 18.9 |
| Hard steel | 0.284 | 0.65 | 14.8 |
| Steatite | 0.094 | 0.06 | 13.6 |
| Pyrex | 0.094 | 0.032 | 0.728 |
| Grade A Lava | 0.085 | 0.03 | 0.683 |
| Soft glass | 0.094 | 0.025 | 0.569 |
| Water | 0.0361 | 0.0167 | 0.380 |
| Mica | 0.101 | 0.015 | 0.341 |
| Paper-base phenolic | 0.0497 | 0.007 | 0.159 |
| Plexiglas | 0.043 | 0.0047 | 0.107 |
| P 43 casting resin | 0.045 | 0.0046 | 0.105 |
| Maple | 0.025 | 0.0042 | 0.096 |
| Pine | 0.018 | 0.003 | 0.067 |
| Polystyrene | 0.038 | 0.0027 | 0.061 |
| Glass wool | 0.001 | 0.001 | 0.023 |
| Air | 0.000043 | 0.0007 | 0.016 |
scale. (If the right side of the A scale were used, then the right of the $\Delta T$ scale would also have to be used).
The $\Delta T$ across the 0.09-in. thick piece of aluminum and the $\Delta T$ across the 0.001-in. air gap are found in similar fashion. But there is one correction that must be made for the air gap case: since the L scale does not extend to 0.001, a factor of 10 must be used and the line drawn from 30 on the Q scale to 0.01 on the L scale. The remaining steps are performed in the same way, except for the last. When the line is extended and intersects the $\Delta T$ scale at 430 C, a correction factor of 10 must again be applied. The correct $\Delta T$ is 43 C.
---
**Engineer's Notebook** is a regular feature in *Electronics*. We invite readers to submit original and unpublished design, applications, and measurement ideas.
---
**FINDING $\Delta T$**
**STEP 1:** DETERMINE POWER Q (WATTS).
**STEP 2:** DETERMINE THICKNESS L (INCHES).
**STEP 3:** CONNECT POINTS OF STEPS 1 & 2. THIS FIXES REFERENCE POINT (1) ON REFERENCE LINE 1.
**STEP 4:** DETERMINE THERMAL CONDUCTIVITY K (BTU/HR-FT$^2$-F$^\circ$).
**STEP 5:** CONNECT REFERENCE POINT (1) WITH POINT DETERMINED IN STEP 4. THIS FIXES REFERENCE POINT (2) ON REFERENCE LINE 2.
**STEP 6:** DETERMINE CROSS SECTIONAL AREA (SQUARE INCHES).
**STEP 7:** CONNECT REFERENCE POINT (2) AND AREA, AND EXTEND LINE TILL IT CROSSES THE $\Delta T$ C SCALE.
---
**SAMPLE SOLUTION**
$Q = 10 \text{ W}$
$L = .25 \text{ IN.}$
$K = 100$
$A = 2$
$\Delta T = 0.28409$
---
**NOTES**
1. NOMOGRAPH INCORPORATES CONVERSION OF (BTU-FT$^2$-F$^\circ$) UNITS TO WATTS IN C. (BTU-FT$^2$-F$^\circ$ UNITS MUST BE USED WHEN EQUATION IS USED IN PLACE OF NOMOGRAPH).
2. WHEN $\Delta T < 1^\circ$C, USE AREA AND $\Delta T$ NUMBER ON LEFT SIDE OF AREA AND $\Delta T$ LINES. WHEN $\Delta T > 1^\circ$C, USE AREA & $\Delta T$ NUMBER ON RIGHT SIDE OF AREA AND $\Delta T$ LINES.
3. FOR VALUES NOT SHOWN ON Q, L, K, & A LINES, A MULTIPLICATION FACTOR MAY BE EMPLOYED. INCREASING Q OR L BY A FACTOR OF 10 INCREASES $\Delta T$ 10 TIMES; INCREASING K OR A BY A FACTOR OF 10 DECREASES $\Delta T$ BY AN ORDER OF MAGNITUDE.
YOU HAVE A SPECIAL NEED FOR FAST TURNAROUND. ALL THE BIG 3 GIVE YOU IS THE OLD RUNAROUND.
It's sad but true. The giant semiconductor manufacturers are geared to meet mass demands. They are not geared to meet anybody's special needs.
Raytheon Semiconductor is. We're organized to handle unusual requirements. We even have a new Quick Reaction Capability program designed for superfast turnaround on hot projects. We're small and agile enough to deal effectively with your special problems. We have the technical know-how and state-of-the-art manufacturing processes to solve them.
Raytheon Semiconductor is on the leading edge of our technology with such processes as beam-lead and V-ATE, such facilities as computer aided design and testing, such products as bi-polar memories, the Beyond Super Beta op amp, and high-speed ECL and TTL devices.
Raytheon Semiconductor is small enough to offer you personal attention from engineering, manufacturing, product applications, and top management.
And, small as we are, we're backed by a billion-dollar corporation. Which gives us the strength to offer you volume production, the highest quality products at reasonable prices, and absolute reliability.
If you have a special need, we'll meet it.
Call up our Director of Marketing or nearest regional sales manager and talk to him about it. Or stop by Raytheon Semiconductor, 350 Ellis Street, Mountain View, California 94040. (415) 958-9211.
Come to Raytheon Semiconductor. We're ready to go with you all the way.
Try compatibility for instruments until standards set
Got any thoughts on how programmable test equipment should be standardized for timing, coding, connectors, and other interface factors? The Scientific Apparatus Makers Association, 1140 Connecticut Ave., N.W., Washington, D.C. 20036, has put out a questionnaire on the subject in preparation for upcoming standardization meetings of the International Electrotechnical Committee meetings in Germany. You can get a copy of the questionnaire from James E. French at SAMA. Meanwhile, if you're designing a programmable instrument and haven't set your own standards yet, make it compatible with existing equipment if at all possible. The easiest way to do this, says Robert Fulks, engineering vice president at General Radio, West Concord, Mass., is simply to look at the catalogs of other instrument makers. The GR 1682 and 1683 automatic bridges are examples of his own company's standards, says Fulks, who heads the IEC working committee.
Check specs for DIP lead lengths
If you're using sockets for dual in-line packaged integrated circuits, you'd do well to keep an eye on your IC supplier's specs on DIP lead lengths. Dick Grubb, marketing manager for Augat, Inc., Attleboro, Mass., says that tolerances on DIP lead lengths are so wide that some IC makers have tooled up for leads at the shorter end of the tolerance band, and some users are having difficulty with leads that aren't fully gripped by the socket contacts.
N-channel MOS has advantages for logic circuits
Look for n-channel MOS to make its mark in MSI AND LSI logic circuits—perhaps even before it succeeds in memories: it's as fast as TTL, and its logic levels, reference levels, and other specs are compatible with TTL. Thus, you will be able to breadboard a circuit with TTL logic cells and then have it translated directly into n-channel MOS, where you'll get the benefit of lower costs because of higher densities.
Hot pencils—$10 a dozen
Ten bucks for a dozen pencils? Try that on your purchasing department. But if you're trying to figure out how to mark ceramic substrates before firing with something that doesn't vaporize at temperatures as high as 1,500°C in the furnace, such pencils may be the only way to do it, says George Lane, president of Electro Materials Corp. of America, Mamaroneck, N.Y. EMCA, a maker of thick-film paste, has been making and using the pencils in the lab, and now is going to sell them. The per-dozen price drops to $6 at the 10-dozen level, Lane adds.
Addenda
Need a simple but accurate analog squaring circuit? Connect the voltage to be squared to the input of an analog-to-digital converter and also to the reference input of a multiplying digital-to-analog converter. Let the a-d output be the other input to the d-a; output of the d-a then is the square of the input. (From Bruce Smith, Micro Networks Corp., Worcester, Mass.) . . . "Understanding Solid-State Electronics," a 12-chapter self-teaching book from the Texas Instruments Learning Center, Dallas, is as good a basic book as we've seen. For $2.95, it will take a novice from basic electricity through MOS and linear ICs.
the window is optional
in Microsystems International’s new monolithic 2048 bit MOS ROM family
A choice of five ROM’s and PROM’s that meet just about every application need.
There are MF1701 and 1702, both recognisable by their quartz window. Unique because you can erase a program on the spot, simply, with high intensity ultra violet light. Then electrically program it again, and again.
That is why these PROM’s are being widely used for system prototypes and in low volume applications requiring a frequent reprogramming capability.
MF1601 and MF1602 primarily for the lower volume applications, use the same 256 word by 8 bit chip and are electrically programmable by you or us.
When you need high volume, lower cost ROM’s, our mask programmed MF1301 is unbeatable.
There are many options on product, but none on quality. It’s the best. With our guarantee that all 2048 bits are programmable, and 100% factory tested for performance, plus immediate delivery. All good reasons for you to contact Microsystems International. Now.
MF 1701, 1702
MF 1601, 1602
& MF 1301
silicon gate MOS LSI from the performance leader
For further information — call or write your nearest Microsystems sales office or distributor.
U.S.A. MICROSYSTEMS INTERNATIONAL SALES OFFICES: CALIFORNIA — Palo Alto, Phone 415—493—0448 ILLINOIS — Schaumburg, Phone 312—851—7800 NEW JERSEY — Union, Phone 201—864—3131.
SALES REPRESENTATIVES: ARIZONA — Scottsdale, Eshkin Associates; Phone 602—265—7004 CALIFORNIA — Los Altos, W.W. Posey, Phone 415—948—7771 Santa Ana, Rich Associates, Phone 714—557—6453 CONNECTICUT — New Canaan, Slatin Pierce Inc., Phone 203—566—4630 FLORIDA — Indianapolis, Tech-Info Associates, Phone 312—723—9140 Largo, Tech—Info Associates, Phone 813—595—2854 Charleston, Tech Rep Associates, Phone 404—539—8333 ILLINOIS — Itasca, Lou Bachar & Associates, Phone 312—723—1810 INDIANA — Indianapolis, R.E. Marquart & Associates, Phone 317—291—3997 MARYLAND — Baltimore, Arrow Electronics Inc., Phone 301—247—5200 Massachusetts — Boston, Arrow Electronics Inc., Phone 617—482—2278 New York, ABC Electronics Sales, Phone 516—747—6610 OHIO — Columbus, Tom Mulligan & Associates, Phone 614—473—2242 PENNSYLVANIA — Philadelphia, Arrow Electronics Inc., Phone 215—627—2278 TEXAS — Dallas, Arrow Electronics Inc., Phone 214—692—2278.
DISTRIBUTORS: ARIZONA — Phoenix, Kieruff Electronics, Phone 602—273—7331 CALIFORNIA — Gardenia, Santa Monica Ball, Phone 213—321—5802 Los Angeles, Wesco, Phone 213—686—9325 Menlo Park, Arrow Electronics Inc., Phone 415—321—5802 San Francisco, Arrow Electronics Inc., Phone 415—321—5802 San Jose, Arrow Electronics Inc., Phone 408—998—3030 303—343—7000 LONG ISLAND — Freeport, Milray Electronics Inc., Phone 516—546—6500 MARYLAND — Baltimore, Arrow Electronics Inc., Phone 301—247—5200 MASSACHUSETTS — Dedham, Gerber Electronics, Phone 617—322—1100 Newton, Arrow Electronics Inc., Phone 617—964—2278 New Bedford, Arrow Electronics Inc., Phone 617—964—2278 Buffalo, Canada Radio & Parts Co., Inc., Phone 716—873—7171 Rochester, Simpura Electronics, Phone 716—328—3220 NEW MEXICO — Albuquerque, Kieruff Electronics, Phone 505—247—1055 TEXAS — Dallas, Semiconductors, Phone 214—692—2278 Houston, Arrow Electronics Inc., Phone 713—627—1700 San Antonio, Semiconductors, Phone 512—941—1530.
CANADA — MICROSYSTEMS INTERNATIONAL SALES OFFICES: ONTARIO — Ottawa, Phone 613—828—8191, Toronto, Phone 416—366—7721 QUEBEC — Montreal, Phone 514—875—2814.
SALES REPRESENTATIVES: BRITISH COLUMBIA — Vancouver, A.W. Beale, Phone 604—605—7914.
DISTRIBUTORS: BRITISH COLUMBIA — Vancouver, R.E.A. Industrial Electronics Ltd., Phone 604—687—2621 ONTARIO — Malton, Semiconductor Specialists (Canada) Ltd., Phone 416—678—1444.
QUEBEC — Montreal, Cinco Electronics Limited, Phone 514—736—5511.
LSI packages make room at the top
Ceramics manufacturers to market side-brazed types that provide a variety of cavity sizes for big MOS chips
by Stephen E. Scrupski, Packaging & Production Editor
MOS chips are getting larger, and it's not just because more functions are being put on them. In addition, computer-aided design increasingly is being used to lay out the chips and, though it is much faster and makes fewer errors, the computer just isn't as efficient as a human in making use of available space.
So semiconductor makers are looking for packages with larger cavities to accommodate the bigger chips designed by computers. Packages with lead frames brazed to pads on the top surface are limited in cavity sizes by the space needed for the pads. When lead frames are brazed to the underside of the package, some users fear short circuits to the printed circuit board. The third approach is to braze the leads to the sides of the package, and the increasing popularity of this design is indicated by a series of new LSI packages to be announced in the next month or two.
Kyocera International Inc., Sunnyvale, Calif., which last August introduced the first 40-lead side-brazed package—with a 250-mils-square cavity—is ready to announce a 40-lead side-brazed package with a 310-mils-square cavity. The earlier package has since been made the standard at Fairchild Semiconductor division for all its custom-designed MOS chips.
American Lava Corp., Chattanooga, Tenn., a subsidiary of 3M Co.; Metalized Ceramics Corp., Providence, R.I.; and Semiconductor Component Substrates Corp., Garland, Texas, will also be marketing side-brazed LSI packages during the next month.
However, not all ceramics makers are ready to jump on the bandwagon. Centralab Electronics division of Globe Union Inc., Milwaukee, has had a 40-lead DIP with a 250-mils-square cavity on the market for more than a year, and one with a 315-mils-square cavity was introduced late in 1971.
Centralab brazes leads to the underside of the top substrate, but another layer of ceramic—slightly narrower—raises the bonding pads away from the printed circuit conductors and thus prevents shorting. J.C. "Chuck" Thompson, Centralab sales manager, points out that his package preserves the planar packaging format, whereby the lead frames come out in the same plane as the package and are bent down in the last phases of production.
Retooling is required for the side-brazed package, but a bending step is not required. And one ceramic package maker views retooling for the side-brazed package as the "dues" that a semiconductor maker must pay for wide cavity sizes.
Kyocera offers a full line of side-brazed packages—from eight to 40 leads—both in white and black ceramic, used for light-sensitive chips. In the 24-, 28-, and 40-lead packages, maximum cavity size of the first packages was 250 mils square. Now, the 310-mils-square cavity "is about the maximum you can get with the side-brazed package," says Arthur Jonichi, Kyocera vice president. Typical price for the new 40-lead unit will be less than 90 cents in quantity, he adds.
One interesting offshoot of the Kyocera package is the receptacle recently introduced by Amp Inc., Harrisburg, Pa., which handles a leadless side-brazed package. Contacts in the socket simply press against the bonding pads along the sides of the package. The receptacles are zero-insertion-force type—Versatile. Receptacle from Amp Inc. handles leadless ceramic package that is designed for side-brazed lead frame, as well as packages with pads on top.
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the contacts are actuated when the cover is pivoted into place. In its present form, the receptacle handles a 40-lead package and provides contacts to the printed circuit board on the same 600-mil spacing as packages with leads.
Another version of the Amp receptacle will handle the ceramic package introduced last year by the Electronic Products division of E.I. DuPont deNemours & Co., Wilmington, Del. The DuPont package normally uses a lead frame with a C-clamp structure that grips the edges of the substrate and is soldered to bonding pads on the top and bottom of the substrate. For use with the Amp receptacle, the lead frames would be eliminated, and contacts in the receptacle would contact the pads on the top.
DuPont also is working on a "simulated" side-brazed package, which should be ready in about three months, reports John J. Cox, division manager for packages. The C-clamp lead frame in this package is used on pads that are remote from the cavity; but near the center of the package edge—where the cavity is—the top arm of the C is removed so that contact is made only to the side and bottom of the ceramic.
Only four of the 20 leads along one side of the 40-lead package would have to be modified in this way, says Cox, in order to reach cavity sizes of 310 mils square or even larger. Structural integrity would be maintained because the lead frame is held together by the shorting strip until the final stages of the process, when it's clipped off for final test.
The Fairchild custom-MOS operation has standardized on side-brazed packages for all devices. Fairchild has had to re-tool to handle the vertical leads on the package, but Tom Dyer, program manager, points out that the use of standard seal rings and the savings in elimination of the lead-bending step, together with improvements in packaging, more than pay for any redesign of test jigs and the like. Dyer sees the Amp receptacle as a useful approach in reducing cost of maintenance and board rework. By eliminating the lead frame, the package cost may drop to less than 20 cents, assuming high-volume usage, Dyer predicts.
"Side-brazed packages will take the major portion of LSIs," says Robert Applewhite of American Lava. Right now, his company has packages of this type with up to 22 leads, and it is tooling up for 24-, 28-, and 40-lead units.
Metceram has a 22-lead unit, and Frank Rydwansky, applications manager, says the 40-lead housing will be available within a few weeks, followed soon thereafter by 24- and 28-lead versions.
At scs, tooling was begun in the third quarter of last year for side-brazed packages, marketing manager Don Fleming says, and units with 28 and 40 leads are now being released in evaluation quantities. Prices could drop to 80 cents each in large quantities, Fleming says.
Texas Instruments' Hermetic Seals department, Dallas, is providing sample lots of 22-lead side-brazed packages, but hasn't yet made a full commitment because TI officials are not convinced that it's the way to go, says Richard Presby, marketing manager.
Another approach to wide-cavity packages is being taken by Space Ordnance Systems, Saugus, Calif., which is offering a 40-lead glass-ceramic package with a die-bond area measuring 280 by 350 mils at about 90 cents in large quantities. For smaller packages with leads on 300-mil spacing, the company recently introduced a unit in which the Kovar lead frames are bent before the glass-ceramic is fused to the metal.
1,577,703 Photodiodes
Typical ST-Vidicon shown with greatly enlarged portion of silicon target. Thirty photodiodes of the 613,346 covered by the standard 4:3 raster are shown.
... make one silicon target that takes the compromise out of vidicon performance.
It took a technological breakthrough to produce RCA's unique silicon target structure. RCA conceived a way to achieve the excellent performance of which silicon targets are inherently capable. Then one of the industry's most talented teams went to work. The no-compromise performance was well worth the wait. Now available from stock are silicon target vidicons with outstanding resolution, as well as low dark-current and low lag.
The RCA-4532A is the outstanding example of this unique photodiode target technology and is intended for high-quality TV pickup. The RCA-4532 is ideal where quality criteria are less stringent.
RCA ST-Vidicons have the sensitivity needed for security and surveillance. Quantum efficiency of at least 60% through the visible range provides pictures at as low as 0.1 lux (0.01 footcandle) on the faceplate. Covert systems using infrared are made possible through the ST-Vidicon's 30% QE at 900 nanometers.
Use the ST-Vidicon wherever you now use a conventional vidicon. Get low lag, low dark-current, immunity to highlight burn, and high sensitivity. Use it in broadcasting, education, security, and surveillance.
Ask your RCA Representative or RCA Industrial Tube Distributor for more information on these and other RCA ST-Vidicons. For technical data, write: RCA, Commercial Engineering, Section 70C-27/ZC13, Harrison, N.J. 07029. International: RCA, 2-4 rue du Lièvre, 1227 Geneva, Switzerland, or Sunbury-on-Thames, U.K., or P.O. Box 112 Hong Kong.
Stop wasting matches—TRW power resistors won’t burn!
PGR power resistors are flameproof, not just flame retardant. You can’t beat them for economy and reliability. Available in IRC’s famous Metal Glaze™ thick film construction, PGR’s come in 1 to 5 watt sizes, values to 100K, ± 2, 5 and 10% tolerances.
PGR resistors are tough enough to withstand transients, even continuous power overloads without failure. Under severe fault conditions, these units open without flame or sufficient heat to ignite adjacent components. If your product must be certified for fire safety, it will pay you to investigate.
If non-flammability isn’t enough benefit, compare the price with other power resistors — even those not designed to be flameproof! The PGR is less than 6¢ in quantity. That’s why so many appliance, TV, and industrial users specify TRW.
PGR joins IRC’s type PW wirewound series which for many years has been the price and performance leader in consumer electronics. PW’s are available in equivalent sizes to PGR and serve those applications where lower resistance values down to .1 ohm are required. In addition, specific fusing characteristics and positive temperature coefficients are available where the resistor is used for component or circuit protection. 2 to 50 watts.
Call us about your application. TRW/IRC Fixed Resistors, an Operation of TRW Electronic Components, Boone, N.C. 28607. (704) 264-8861.
Software cuts sensitivity-analysis cost
Easy-to-use computer program checks hundreds of parameters in seconds, determining their effect on circuit-output functions
by Lucinda Mattera, Circuit Design Editor
Running through a sensitivity analysis with most computer programs can be time-consuming and very expensive. But a software system called Aedcap (Automated engineering design circuit analysis program) can now reduce the cost of sensitivity analysis to a matter of a few seconds and a few pennies. Besides dc and ac sensitivity analysis, new features include worst-case analysis and finding the square root of the sum of the squares.
Aedcap, which was developed by SofTech Inc., Waltham, Mass., allows the user to treat his design as though it were breadboarded or being checked with an oscilloscope. He can vary the dc bias conditions and then perform ac analysis, all with the same conversational language that is used to create models, subcircuits, and circuits.
Sensitivity analysis with a computer allows the user to vary each design parameter individually by the same or different amounts and determine the effect each change has on circuit performance.
The illustration is an example of a dc sensitivity analysis printout for the amplifier shown. The sensitivity of the voltage, V(14,0), across resistor R_{12} (from node 14 to node 0 [ground] in the circuit) is found. For example, resistor R_5, which is nominally 811 ohms, has a sensitivity of $1.3 \times 10^{-3}$ volts per unit, and causes about a 10-millivolt change in V(14,0) when varied by 1%. All the figures in the normalized column represent a 1% parameter change. To find the effect of larger or smaller percentage changes, the normalized 1% figure is simply multiplied by the desired factor. Transistors, as usual, are represented by the desired computer models.
A sensitivity analysis usually involves many circuit parameters—102 for the amplifier shown. But Aedcap performs sensitivity analysis in a single mathematical step—by transposing a matrix (interchanging rows and columns) that represents the circuit being analyzed. For a 55-node circuit, Aedcap will hold computer costs to a little more than $40 for both an initial dc analysis and a 100-parameter sensitivity analysis.
The program is available for in-house installations or on a time-shared basis through National CSS of Stamford, Conn.
SofTech Inc., 391 Totten Pond Rd., Waltham, Mass. 02154 [339]
Analyzing dc sensitivity. In a second, Aedcap program checks 102 parameters of amplifier circuit, at right. Printout shows results.
Now that we're in your systems, we're looking for a place in your hearts.
It's not that we're unhappy. Our instrumentation recorders are the finest made... they're proving it in systems around the world.
But we would like to remind you that we can make life even easier for you. We have a complete line of easy-to-use, versatile test and calibration equipment: Lab-type and portable. Flutter meters and test sets. A sweep generator that shows you the response of your recorder across its full frequency range at a glance.
A tape care package that cleans, winds, burnishes and certifies your tapes in minutes with the push of a button. Just about everything you'll ever need for trouble-shooting your systems and taking care of your tapes faster, with a lot less grief.
So why not get all the details on all our instruments today. To know them is to love them.
TLC for your tapes and systems.
A-d converter measures ratio
12-bit unit based on successive approximation technique sells for $150
Analog-to-digital converters that can produce a digital value from the multiplication (or division) of two analog inputs simplify the data acquisition problems for subsequent signal processing. Now, such a ratio-metric ADC can be obtained for between $150 and $180, depending on required accuracy. The new line from Hybrid Systems, called the ADC560 series, yields a 12-bit output and is based on the successive approximation technique.
The ratio-metric ADC operates in two modes. In one case, one input is the supplied reference voltage and the other is an external measured variable. Here, the digital output represents the product (or ratio) of a variable multiplied by a constant. In the other case, the reference is disconnected and another external variable is connected, so that the digital output represents the product of two input variables. These input signals can be between 0 and 10 volts or -5 to +5 volts. For a measuring transducer requiring an external reference voltage, that voltage can be the same as the ADC reference, thus reducing the effect of reference voltage fluctuations and the effect of common mode noise.
The four units in the series offer different accuracies. The ADC560-10 is accurate to within 0.05% and is priced at $150. For $175, the ADC560-11 offers accuracy to within 0.025%; and the ADC560-12, priced at $180, is accurate to within 0.0125%. All provide two's-complement output. The ADC560-3-BCD produces three-decade binary-coded-decimal output, has an accuracy within 0.05%, and costs $150.
The ADC560 line uses all hermetic components and thin-film resistors for long-term accuracy. Conversion time is 20 microseconds.
The modules measure 2 by 2 by 0.4 inches for card mounting, and they require ±15-volt and 5-volt power supplies.
Hybrid Systems Corp., 87 Second Ave., Northwest Park, Burlington, Mass. [341]
12-bit d-a converter is housed in a DIP
Functional trimming—adjusting film resistors according to their effects on circuit operation rather than on resistance value alone—is the key to high accuracy of a 12-bit digital-to-analog converter built by Micro Networks Corp. and housed in a hermetically-sealed 16-lead dual in-line package. With a laser, thin-film Nichrome resistors on silicon substrates as small as 40 mils square can be trimmed to within 0.01% of absolute value, and ratio can be trimmed to within 0.003% of desired value.
The trimming operation takes 2 to 3 minutes per circuit, says Bruce Smith, product marketing manager at Micro Networks. For a converter with 1-volt full-scale output, for example, all digital inputs are turned on, and resistors are trimmed until the output voltage falls within the specified accuracy limits. Then the input is changed, and the next resistor is trimmed until that output voltage is reached, and so on until all the resistors are trimmed.
The 12-bit unit offers linearity within one-half of the least significant bit over the operating range of 0°C to 70°C. Settling time to 0.01% of its final value is under 500 nanoseconds and, more typically, 300 ns, according to Smith; although, since it requires an external operational amplifier for output, settling time will be controlled by the amplifier.
Micro Networks Corp., 5 Barbara Lane, Worcester, Mass. 01604 [342]
Time-delay relays offered in 60 models
A line of time-delay relays is designed for use in timing and input-power applications. The line consists of four families: delay-on-make, delay-on-break, single-shot, and flip-flop configurations. There are about 15 models in each family. Input is 120 volts ac and 24 v dc, and output is double-pole double-throw, 10-ampere resistive. Repeat accuracy is to within ±2%, and life is rated at 5 million operations. Price starts at $14.75.
Degmi Systems Div., Nottil Industries Inc., 7648 San Fernando Rd., Sun Valley, Calif. 91352 [343]
Mercury-wetted reed switch is only 1.5 inches long
A double-throw form C mercury-wetted reed switch is 1.5 inches long, with a 0.214-in.-maximum glass diameter and 0.805-in.-maximum glass length. Switching voltage of the model MRC-DT is 28 volts dc at up to 0.5 ampere, and breakdown voltage is 1,000 v dc minimum. The device is designed for applications where contact bounce cannot be tolerated, for dry-circuit applications, and for high inrush
If your catalog data is over 7 months old, it's probably out of date. Send for the latest GE catalogs...they're free.
Solid State Lamps: 4 pages. Data covers 11 infrared and 4 visible Solid State Lamps, previously called Light Emitting Diodes, plus 2 SSL Numeric Readout displays. Diameter range, 0.080" to 0.230".
Circle Product Card #160
Sealed Beam Lamps: 16 pages. Data covers over 180 Sealed Beam lamps, ranging from 4 ¼" to 8" in diameter, with a design voltage range of from 4.0 to 115 and initial candlepower of from 150 to 600,000.
Circle Product Card #163
Sub-Miniature Lamps: 24 pages. Data covers over 200 sub-miniature lamps. Lamp life up to 60,000 hours. Diameters ¾" and smaller.
Circle Product Card #161
Glow Lamp: 8 pages. Data covers 77 Neon Glow Indicator and Circuit Component lamps. Diameters ranging from ¾" to 1 ½".
Circle Product Card #164
Miniature Lamps: 40 pages of data covering over 500 miniature lamps ranging from 3 to 20,000 hours average rated life. With a design voltage range of from 1.2 to 125, and candle-power range from .02 to .50. Diameter range from 1½" to 2½".
Circle Product Card #162
Solid State Optoelectronics Selection Guide: 4 pages. Data covering SS Emitters, Photo Couplers, S Detectors, Photo Transistor Arrays, Programmable Unijunctions Transistors, Selecon Controlled Switches and Rectifiers (SCS's and SCR's).
Circle Product Card #165
All of the above catalogs have been revised or updated in the past 7 months. To get the catalog(s) you need free of charge, circle the product card number shown under each catalog or write, General Electric Company, Miniature Lamp Department, Nela Park, Cleveland, Ohio 44112.
New products
Rf detector has flatness of 0.1 dB per octave
An rf detector for use in the range of 1 to 500 megahertz has a flatness of 0.1 decibel per octave. Called the model 450A, the unit uses low-threshold, hermetically sealed silicon diodes instead of temperature-sensitive germanium diodes. The internal components are potted in a silicon compound and the detector will withstand a 500-milliwatt rf input overload indefinitely. Price is $35 each for one to nine.
Synergex Inc., 459 E. Main St., Denville, N.J. 07834 [344]
Voltage-controlled crystal oscillator consumes 20 mW
A voltage-controlled crystal oscillator uses only 20 milliwatts, and is aimed at applications in radio communications equipment where
space, weight, and power requirements are critical. The unit is housed in a hermetically sealed container measuring 0.75" cubic inch. The model JR10-85 is designed for any center frequency between 17.5 and 22.5 megahertz. Price in 100-lots is $200 each.
Zero-crossover switch isolates load from input
A zero-crossover switch assures zero-volt switching by forming an electrical cushion between the signal input and load power. The output switching circuit is isolated from the input signal through a reed relay. The series 6500 module is suitable for switching solenoid and high-intensity lamp loads. Contact termination is single-pole single-throw with contact rating of 1.0 ampere at 120 v ac, 50/60 hertz. Minimum life is $10^5$ operations.
Glass delay lines attenuate over 14-megahertz band
Glass delay lines offer 30-decibel main signal attenuation, 14-megahertz bandwidth, and less than 50-dB spurious levels. They are aimed at applications in broadcast and studio equipment. The units measure 2.64 by 1.39 by 0.57 inches, and have nominal delay time values of 64 microseconds. Added benefits are low insertion loss and wide noise margins. Price is $245.
Gudebrod is known around the world as the "Quality House" for Lacing Tapes and Harness systems. We use knowledgeable company men and have five branch offices in the United States to serve you. Write to this address for prompt return of our Product Data Catalog. Should you be well into a project that needs immediate attention—phone the nearest office... Ask for the Electronics Division. Then we can really do some talking!
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Circle 127 on reader service card
Instruments
Amplifier is on a chip
Device offers high common mode rejection, slews at 8 volts/microsecond
For signal acquisition, signal processing, recorder front-end, and other applications, designers often need so-called instrumentation amplifiers: specialized linear circuits with high common mode rejection, high input impedance, good linearity, and a small temperature coefficient. Analog Devices Inc., has developed what it says is the first monolithic device that fills the definition. It's called the AD520.
The usual approach to low-cost design combines a number of IC op amps and a closely matched network of resistors in a package or on a board. This costs money in chips, in resistors, and—perhaps even more—in the packaging, which can range from module size to a printed circuit board or more. But at $18 each, Analog says, the AD520 is a half to a third the price of discrete-component amps.
Competing devices use external feedback stabilization and outboard resistor networks to improve common-mode rejection. Analog has switched to internal current feedback, and, instead of outboard resistors, uses direct-coupled Darlington-paired input transistors in each channel, not only to get more than 100 decibels CMR through tight transistor beta and breakdown matching, but also to obtain an input impedance of $2 \times 10^6$ ohms. The only outboard resistance needed is a single gain-controlled trim pot, and the unit allows practically constant input impedance over a gain range of 1 to 1,000.
Unlike input impedance, CMR does vary with gain—but not so much as to hamper the user. At a gain of 1, CMR already is 70 dB, even with a 1,000-ohm imbalance between the two inputs—and generally, input loads are matched as closely as possible when an instrumentation amp is installed. Between dc and 100 hertz, CMR rises to 90 dB at a gain of 10, to 106 dB at a gain of 100, and to more than 110 dB at a gain of 1,000. And though a dc low-frequency amp, the AD520's CMR at 1,000 Hz still is 86 dB.
Input bias is only 30 nanoamperes while offset is 10 nanoamperes and trims to zero. Analog spokesmen say they are trying to lower the latter specification even further.
To avoid matching and temperature tracking problems, Analog's designers have placed many resistors on a thin film overlying the chip. The thin film resistors are not only more accurate than diffused resistors but also have a common heat sink in the chip itself. Thus Analog claims a voltage drift at unity gain of only 0.01% per degree centigrade, and at a gain of 1,000, a maximum drift of 0.05%/C. Maximum nonlinearity for the circuit is 0.02%.
Although designed to work at low frequencies, the AD520 slews at 8 volts per microsecond. This is very fast for any linear IC, according to Analog spokesmen, and fits it for applications like electrocardiography or electroencephalography, where the average wave is a low-frequency one, but where high-frequency information often is contained in abrupt level changes. The ac performance of the device is such that its full $\pm 10$-v, 5-mA output is available over a 150-kHz bandwidth. The AD520 is packaged in a 14-lead plastic DIP.
The $18 unit price drops to $12 in lots of 100. Delivery of the AD520 is from stock.
Analog Devices Inc., 420 Turnpike St., Canton, Mass. 02021 [351]
Portable scope has 350 MHz bandwidth at 5 mV/division
The highest gain-bandwidth product available in an oscilloscope is combined with easy-to-use features and portability in the model 485 developed by Tektronix Inc. It is a 350-MHz, 1-nanosecond-per-division, dual-trace scope that weighs 20.5 pounds.
The user has a choice of switching to 50 ohms or 1 megohm input impedance. Other features include trigger holdoff, trace separation, external trigger display, alternate delayed sweep, automatic vertical scale-factor readout, auto-focus, and B-sweep intensity control. Single-function pushbuttons add to user convenience.
At 5-millivolts-per-division sensitivity, selection of the high impedance limits the full-sensitivity bandwidth to 250 MHz, but the 50-ohm impedance permits a 350-MHz display. A separate signal path for the 50-ohm input gives a VSWR of 1:1.2, and an automatic internal detection circuit protects the 50-ohm input by disconnecting the amplifier whenever the signal exceeds 5 v rms or 0.5 watt and 0.1 watt-second.
Automatic vertical scale-factor readout for attenuating probes is provided by three light-emitting diodes located around the edge of each input attenuator knob. A
glance at the LEDs assures the user of the correct volts/division on the screen.
To complement the higher bandwidth, the 485 has 1 nanosecond/division without magnifier, and this is believed to be the fastest sweep available on any portable oscilloscope.
An auto-focus circuit makes it unnecessary to readjust the focus each time the intensity is changed. This means that the focus will always be correct in single-shot photography. A beam-limit circuit protects the CRT phosphor from high-intensity burns.
Overall dimensions of the 485 are 20\(\frac{3}{4}\) by 12 by 6 9/16 inches. Price is $4,200. Delivery time is 90 days.
Tektronix Inc., P.O. Box 500, Beaverton, Oregon 97005 [352]
Frequency counter covers 20 Hz to 18 GHz range
A frequency counter designated the model 6057, offers continuous-wave, frequency-modulated, and pulse-modulated measuring capabilities of input signals from 20 hertz to 18 gigahertz. The unit combines an automatic computing transfer oscillator for cw measurements with an advanced manual transfer oscillator measuring technique for fm and pulsed rf, all within a portable bench instrument. Full digit readout is to nine places, with automatic decimal point and annunciator. Pulse widths can be as short as 100 nanoseconds, and resolution is selectable in decade steps down to 1 Hz. Price is $5,450.
Options include binary-coded-decimal output, remote programming, and a choice of high-stability oscillators to tailor a model 6057 to
So you're looking for low frequency filters...
Like 10.2 kHz
11.3 kHz
13.6 kHz
Very Small but High Performance
better check Vernitron... (the filters people)
For VLF receivers, Mil-Nav systems, Omega systems, command-destruct systems, underwater sound — these miniature ceramic LF filters are about one-tenth the size and weight of comparable low-frequency types, yet have narrower bandwidths, lower insertion loss and greater stability. This means you can pack more performance into one-tenth the space — and have no worries about shock, vibration, thermal drift. Available in any discrete operating frequency from 7.5 kHz to 50 kHz — including the Omega \(f_0\)’s of 10.2, 11.3 and 13.6 kHz. They’re fixed-tuned, so you have no installation adjustments to make. Hermetically-sealed, immune to environments . . . and there’s no need for shielding.
Performance? Just the single-resonator models have 20 dB / 3 dB bandwidth ratios less than 13, stopband attenuation to beyond 30 dB from dc to above 100 kHz. Less than 5 dB insertion loss. And that’s not all!
Cascaded Models for Higher Selectivity, Higher Rejections
Great thing about ceramic LF filters — they can be cascaded together in the same package, for quantum jumps in selectivity and rejection — with minimum sacrifice to volume and weight. Vernitron supplies them in 2-, 3- and 4-resonator models. Some examples:
2-resonator Models—40 dB / 3 dB ratios of 10; stopbands to above 60 dB.
3-resonator Models—60 dB / 3 dB ratios of 10; stopbands to above 80 dB.
4-resonator Models—80 dB / 3 dB ratios of 13.5; stopbands to above 90 dB.
Both Mil-spec and commercial models. Prices will surprise you. They’re at least competitive with conventional types, and often considerably less. If it’s in the 7.5 kHz to 50 kHz range, it will pay you to check Vernitron. Send us your requirements. We’ll send complete specs and technical data.
Vernitron Piezoelectric Division
232 Forbes Road / Bedford, Ohio 44146 / (216) 232-8600
Complete HF Receive Antenna capability in a 50 meter circle
How Hermes did away with vast rhombic or log-periodic antenna farms. Shoed away by a shrewd array: Take 1 meter diameter loops, 4 meters apart, and get an omni directional broad-band receiving array.
Covers 2 - 32 MHz.
Optimum beam characteristics for both long and short range communications.
Rosette configuration of linear arrays gives a number of overlapping high gain beams - all available simultaneously.
* Using less than one hundredth of traditional real estate.
Aperiodic Loop Systems are shrewd enough for restricted space, quick set up, roof mountable, or just below ground level. And portable version now available.
From polar icecap to sweltering tropics.
Installed in more than 52 locations for more than ten governments and more than 32 of their agencies.
Give up the antenna farm. ASK US
Hermes Electronics Limited
Suite 315
2020 F Street N. W.
WASHINGTON
D.C., 20006
Telephone 202 296-2978
TWX 710-822-1106
New products
special requirements and to systems. Delivery time is 30 days after receipt of order.
Systron-Donner Corp., Instruments Div., 888 Galindo St., Concord, Calif. 94520 [354]
Spectrum analysis system tests ssb, a-m, fm units
Providing rapid tests for calibration and troubleshooting of single-sideband, a-m, and fm transmitters and receivers, the CSA-290 system consists of a spectrum analyzer, a two-tone audio generator, and a high-
impedance probe. Signals from 10 hertz to above 40 megahertz are displayed with 10-Hz resolution and 70-decibel distortion-free dynamic range. Price is $4,950.
Nelson-Ross Electronics, 5 Delaware Dr., Lake Success, N.Y. [356]
Generator puts out 26-kilowatt pulses
Designed for semiconductor testing, modulating microwave tubes, laser pulsing, and other applications, a pulse generator designated the model 350A provides 10%-duty-factor output pulses. Peak power output varies from 26 kilowatts for a single pulse to 2.1 kw at 10% duty. A plug-in feature allows good impedance matching between the pulse generator and load for any impedance between 0.1 ohm and 20,000 ohms. Continuously variable output pulses from 0 to 2,100 volts are available, and pulse width may be varied from 0.1 microsecond to 300 μs. Pulse rise and fall times are 30 to 50 nanoseconds respectively. Price is $4,490.
Velonex, Div. of Varian, 560 Robert Ave., Santa Clara, Calif. 95050 [357]
If your IC Logic doesn’t give you a guaranteed 3.5 volt noise immunity...
Fire yours and hire ours.
HiNIL, High Noise Immunity Logic
Teledyne’s Series 300 HiNIL has a 3.5 volt worst-case noise immunity spec. But that’s just one reason for designing with HiNIL. Here are a few more that take the sweat out of industrial logic design.
HiNIL offers MSI. Included in the Series 300 are such complex functions as BCD to decade decoders and drivers, Nixie**drivers, decade and hexadecimal counters, a quad latch and a 4-bit comparator.
HiNIL is slow. HiNIL is one of the slowest logic families since relays. It has a nice 100-nanosecond propagation delay, so it is unperturbed by high voltage transient noise. HiNIL won’t switch falsely when a fork lift rolls by or a lathe turns over.
HiNIL is easy to use. There are very few system interfaces that cannot be handled simply with HiNIL devices. The open-collector devices in the family, including the simple gates, have ample output sink and drive currents to operate a small lamp or relay.
For output interfaces to TTL, DTL or MOS—you simply connect an open collector output through a pullup resistor to the desired high logic level.
HiNIL is versatile. Every IC in the Series 300 family comes in a 16 pin dual-in-line package, providing better than 10% more functional utility than you get with most standard TTL circuits. Vcc and Ground take up two of the pins, leaving 14 for functional use compared with 12 for TTL. You can do more with HiNIL.
HiNIL is priced right. It’s priced competitive with TTL. Need we say more?
Write for a free copy of our 64 page HiNIL handbook. Save yourself from those embarrassing noise problems—use Series 300 HiNIL.
*Nixie is a registered trademark of Burroughs Corp.
The mini-maxi machine.
Kearfott SKC-2000 Airborne Digital Computer has a new number—AN/YUK-13.
Here's a general purpose, high performance digital computer based on a single data and control bus, and an interconnecting series of modules. Modules that can be combined to form a simplex central computer, a multi-computer or a multi-processor—simply, quickly, efficiently.
But there's more. Through the use of asynchronous module operation, a complete spectrum of input/output capabilities is made possible. Because the SKC-2000 modules can be mixed and matched, and even replaced as new technological advancements are made.
We can provide you with a whole family of compatible modules for our SKC-2000. And one of our experts can help you put together a winning combination, from a mini-machine all the way up to a maxi-machine.
For more information, and a detailed new brochure, write The Singer Company, Kearfott Division, 1150 McBride Ave., Little Falls, N.J. 07424. Or call (201) 256-4000.
Typical Characteristics (CPU)
Number Systems: Binary, floating point and two's complement fixed point
Data words, Floating Point: 24 bit mantissa, 8 bit exponents
Data words, Fixed Point: 32 bits including sign
Instruction Words: 16 bits short, 32 bits long
Instructions: 99 total long & short
Address Modes: Direct, indirect, relative, immediate
Average Execution Times For 1.9µ sec memory (LSI): Add-2.125µ sec, multiply-5.875µ sec, Divide-5.875µ sec
Memory words directly addressable: 131,072
Microwave
One-port counter covers 18 GHz
Instrument has—35-dBm sensitivity to 12.4 GHz, —25 dBm up to 18 GHz
It's not usual to measure X-band signals and signals in the 1-Hz region through the same input port. Neither is it usual to make microwave frequency measurements without changing plug-ins, switching ranges, or tuning a transfer oscillator. However, if this versatility is desired, Hewlett-Packard's Model 5340A microwave frequency counter is the instrument to do it.
H-P says that this is the first microwave counter that can trigger reliably on signals as small as —35 dBm (up to 12.4 GHz) and —25 dBm (up to 18 GHz). The counter displays eight digits with both the decimal-point position and the correct units automatically selected. The counter is actually two instruments in one. For frequencies to 250 MHz, it acts as a direct counter. Above this frequency, it changes into an automatic transfer oscillator system. To prevent incorrect measurements and confusing displays, the instrument's circuits are disabled while it decides how it's going to operate.
In addition to its full-range 50-ohm input port, the 5340A has a 1-megohm input that can be used over the frequency range from 10 Hz to 250 MHz. This second port has a sensitivity of 50 mv rms for a sine wave. A front-panel slide switch selects either of the two ports.
The counter's resolution can be varied from 1 Hz to 1 MHz in seven decade steps. Since the unit can only display eight digits at a time, it is necessary to overflow the most significant digit of the display to increase the obtainable resolution at the higher frequencies. When in this mode, the instrument energizes an OFLO lamp to remind the user of the invisible digits.
The standard instrument, which has a time base with an aging rate of less than 3 parts in $10^7$ per month, is priced at $5,300. For an additional $400, the counter comes with a special high-stability time base with an aging rate of less than 5 parts in $10^{10}$ per day. The standard time base changes by less than 2 parts in $10^6$ over the range from —20 to +65 C. The high-stability time base cuts the temperature drift to less than 1 part in $10^5$.
Inquiries Manager, Hewlett-Packard Co., 1601 California Ave., Palo Alto, Calif. [401]
4-GHz transistors put out 5 watts at 30% efficiency
Five watts of output power at 4 gigahertz can now be extracted from a commercial transistor. Its performance gives the circuit designer new options in developing C-band communications gear and for applications in S-band telemetry, electronic countermeasures, and phased-array radar. The devices can also be used as driver circuits for X-band radar and communications.
The 5-watt device is one of the new series MSC4000 transistors developed by Microwave Semiconductor Corp., Somerset, N.J. Typical saturated power output versus frequency for units in this series is shown in the graph.
"Efficiency for the 5-w, 4-GHz device is above 30%," says Ron Rosenweig, the company's president, "and 25% efficiencies are achieved at 4.5 GHz with 1-w output." Power gain at 4.5 GHz is about 5 dB, increasing to 10 dB at 2.3 GHz, with 50% efficiency.
Key to the transistor's performance is an interdigitated structure that yields an unusually high ratio of emitter periphery-to-base area. With emitter fingers of 1-micrometer width aligned to within 1.5 μm of the base, the company claims an emitter periphery-to-base area ratio of eight can be achieved. Thermal resistance is less than 7.5 C/watt for model MSC4005 and 30 C/w for model MSC4001.
Projected mean-time-to-failure is greater than 20 years when the device is operated at a junction temperature of 140 C. This is achieved with bandwidths greater than 10% in the 2- to-4-GHz range.
Prices are: MSC4005, $400; MSC4003, $250; and MSC4001, $175. Microwave Semiconductor Corp., 100 School House Rd., Somerset, N.J. [402]
Shutter coaxial switches offer low insertion loss
A remote shutter coaxial switch is designed for applications including protection of components from rf overload in receiver circuits. Frequency range is from dc to 12.4 gigahertz, and isolation is 60 decibels minimum. Insertion loss from dc to 7 GHz is 0.3 dB maximum, and from 7 to 12.4 GHz it is 0.6 dB maximum. Price is $90 for dc-control units and $105 for ac-control types. Delivery is from stock.
RLC Electronics Inc., 83 Radio Circle, Mt. Kisco, N.Y. 10549 [405]
Harmonic absorption filter passes 8 GHz, stops 16 GHz
A harmonic absorption filter, designated model 2748, passes 18 gigahertz and absorbs 16 GHz. Passband loss is 0.2 decibel, and voltage standing wave ratio is 1.10 maximum. The 16-GHz absorption of 30 dB is achieved with virtually no reflected power, and the unit
**New products**
mates with WR112 waveguide flanges. The 2748 measures 1.93 by 4.50 by 6.87 inches. Price of the filter is $575 and delivery time is six weeks.
Microwave Filter Co. Inc., 135 W. Manlius St., E. Syracuse, N.Y. 13057 [404]
---
**Transistor delivers 20 W at 400 MHz to 1.2 GHz**
A power transistor, designated model D20-28, offers 20 watts available power from a 24- to 28-volt supply over the range of 400 megahertz to 1.2 gigahertz. The device features single-chip construction and the ability to withstand an infinite voltage standing wave ratio at all phase angles when operated at rated output power from a 24-volt supply. Price is $70.
Communications Transistor Corp., 301 Industrial Way, San Carlos, Calif. 74070 [406]
---
**Miniature attenuator operates over dc to 2 GHz**
A miniature, continuously variable attenuator with flat frequency response measures 1.3 inches long by 1.62 in. in diameter, making the device suitable for applications in rf-level control where panel space is limited. The model 907 offers attenuation ranges of either 0 to 10 decibels or 0 to 20 db. Both versions operate over the frequency range of dc to 2 gigahertz. Incremental phase shift of the rf signal as a function of the attenuation setting is $1^\circ$/dB times the frequency. The model 907 with 10-db range is priced at $300, and the unit with 20-db range, $325.
Weinschel Engineering, Gaithersburg, Maryland [403]
---
**YIG-tuned transistor oscillator covers 4-8 GHz**
Series AV-7400 YIG-tuned transistor oscillators are operable over the range of 4 to 8 gigahertz. The units are built on sapphire substrates, and use thin-film integrated circuits. Applications are in wideband military and commercial fields requiring high linearity. Three versions are available. Power output is 10 milliwatts for two types and 5 mw for the third. Linear tuning accuracy is to within ±0.1%. Prices start at less than $1,000 in production quantities.
Avantek Inc., 2981 Copper Rd., Santa Clara, Calif. 95051 [407]
---
**Miniature choke is useful from 300 MHz to 12 GHz**
Exceptionally high self-resonant frequency, coupled with broadband characteristics, makes the M series miniature microwave choke useful for a variety of applications in oscillators, frequency multipliers, mixers, and some radio-frequency interference equipment. The choke, useful over the range from 300 MHz to 12 GHz, is suited for broadband modulators and power supply filtering. Price is under 50 cents each in small quantities.
Piconics Inc., Cummings Rd., Tyngsboro, Mass. 01879 [408]
New: I.C. Burn-In System
Front and rear doors, allowing programming of power supplies and stimuli on either or both doors, are features of a new oven system for aging IC's and power devices. This standard system permits configurations of 30, 58 or 74 board positions and is designed for either maximum pin usage, maximum density or a mixture of both. The oven system is versatile, so that regardless of the original configuration systems are easily changed over. Send for Bulletin OV-62.
WAKEFIELD ENGINEERING INCORPORATED
AUDUBON ROAD, WAKEFIELD
MASSACHUSETTS 01880
TELEPHONE (617) 245-5900
Circle 214 on reader service card
Power Burn-In System with Heat Sinks interchangeable to any case style in 30 minutes!
✓ Demountable heat sink bars hold constant temperature for Burn-Ins, HTRB, Life Testing, Product Evaluation.
✓ Versatile System never becomes obsolete.
✓ Complete System or Modules available.
Write or call for Standard Burn-In Literature.
WAKEFIELD ENGINEERING, INC.
Systems Div. Wakefield, Mass. 01880 • Phone: 617-245-5900
Circle 135 on reader service card
MULTIPLE APPLICATION LED/PHOTOCELL MODULES
5S series light coupled LED/Photocell Modules are comprised of a Gallium Phosphide light emitting diode with fast-response Cadmium Selenide photoconductive detector. Optical coupling is enhanced by a clear epoxy encapsulant without degrading high emitter-to-detector isolation voltage. Solid-state; hermetically sealed package for high reliability; directly compatible with AC circuitry; ideally suited for switching triacs or feedback.
NSL options: Silicon photodetector, neon or incandescent lamp Optically Coupled Isolators.
Let us look at your applications. Technical literature on request.
NATIONAL SEMICONDUCTORS LIMITED
331 Cornelia St., Plattsburgh, N.Y. 12901, (518) 561-3160
2150 Ward St., Montreal 378, Que., (514) 744-5507
Circle 148 on reader service card
Push ON Push OFF
Exceptionally high current. 6A @ 125 VAC. Snap-action — with fast make & break contacts. SPDT, DPDT & 4PDT — useable either as Norm. Open, or Norm. Closed switch. Silver contacts & terminals. Also available as momentary.
ALCOSWITCH®
DIV. OF ALCO ELECTRONIC PRODUCTS, INC., LAWRENCE, MASS.
Shown with optional switch guards
Circle 149 on reader service card
ROTARY SWITCH MINIATURES
Two series: MRA Series with adjustable stop & in 1-2-3-4 poles on a single deck with max. of 10 or 12 positions. MSRE waterproof series meet high reliability standards; non-adj. 1 to 4 poles. 500 mA @ 125 VAC.
ALCOSWITCH®
DIV. OF ALCO ELECTRONIC PRODUCTS, INC., LAWRENCE, MASS.
Circle 150 on reader service card
MOS RAM offers 100-ns access
'Invisible' refresh mode allows 1,024-bit n-channel unit to simulate cores
The availability of a 100-nanosecond 1,024-bit metal oxide semiconductor random-access memory has put MOS back at the leading edge of memory technology. The EA1500, a 1,024-bit n-channel RAM, is being marketed by Electronic Arrays Inc. Besides being the fastest MOS RAM available, it has other unusual features, such as invisible refresh. This is a technique that allows direct simulation of core memories, and means that the memory can be refreshed with a single pulse without interruption of the normal cycle.
Conventional RAMs cannot be refreshed by a single pulse because they require a refresh buffer for each column in the 32-by-32 array of storage cells. The n-channel silicon-gate process permits buffering to be incorporated in each cell. Consequently, it is not necessary to determine logically which columns are scheduled for refresh and then address pulses to those columns. The EA1500 cells are arranged so that any "write" pulse is bussed to all write data in all cells. However, only the addressed cell will accept the new data input.
Refresh intervals of most RAMs depend on charge-storage time in the storage field effect transistors—normally 2 milliseconds. But the EA1500 has slow charge leakage, extending the storage time to 5 to 10 ns, depending on operating temperature.
If desired, modules of a memory system built with EA1500s can be refreshed only on demand. One technique is to place a timing circuit in each memory module and refresh that module whenever 5 to 10 ms have elapsed without a write into that module. If write accesses are made randomly throughout the memory, this mode may eliminate any busy time. "Invisible" refresh is an alternative mode, requiring a write pulse in every regular memory cycle, following chip-enable time during a read operation.
Memory configuration, which is easily expandable, is 1,024 by one.
The new memory is available in two versions. The EA1500 offers a maximum access of 85 ns at 70 °C and operates from ±15-v supplies. Power dissipation is 185 milliwatts. The EA1501 operates from +12 v and has a 150-ns access time. Power dissipation is 89 mw. The EA1500 is priced at $25 each in quantities of 100; the 1501 sells for $10.50. Delivery is from stock.
Electronic Arrays Inc., 501 Ellis Street, Mountain View, Calif., 94040 [411]
FET features 0.6 μV noise over 10 Hz to 20 kHz range
A field effect transistor called the c813N is designed for low level amplifier use in applications such as professional microphone amplifiers, instrumentation inputs, and phonograph and tape playback amplifiers. Input noise voltage is six microvolts rms over the frequency range from 10 hertz to 20 kilohertz. Other characteristics include a gate leakage of 3.0 nanoamperes and a pinch-off of 1.5 volts. Price is $35 in small quantities.
Teledyne Crystalonics, 147 Sherman St., Cambridge, Mass. 02140 [416]
IC stereo decoder uses phase lock loop technique
A monolithic integrated circuit, capable of decoding multiplexed frequency modulated signals in radios and tuners, operates without using...
tuning inductors. The device, designated the MC1310, uses phase lock loop technology to lock onto the 19-kilohertz pilot signal provided by the stereo broadcaster, and to create a signal which is in phase with the pilot signal and double the frequency. This 38-kHz subcarrier is then used to demodulate the stereo information. Price in 100 lots is $4.35.
Motorola Inc., Semiconductor Products Div., P.O. Box 20924, Phoenix, Arizona 85036
Reference diode chips are packaged as LIDs
Channel-mounted temperature compensated reference diode chips are part of a line of zener regulators and rectifier chips. The units are packaged as leadless inverted devices and may be mounted either in the inverted position by epoxy or solder reflow, or in an upright position by wire leads bonded to the gold metalized legs. The units can be used in hybrid circuit applications and measure 0.080 inch long by 0.082 inch wide by 0.040 inch high.
Centralab Semiconductor, 4501 N. Arden Dr., El Monte, Calif. 91734
If you read the May 31 issue of TIME, you won’t want to miss the 1971 issue of Georgia’s Industrial Survey.
If you caught the cover story of the May 31 issue of TIME, you read that “the Southern boom has urbanized and industrialized Georgia more quickly and completely than the rest of the Deep South.”
“Georgia leads the region’s indexes of growth and change.”
Of course, you don’t have to take TIME’s word for what’s happening in Georgia. You can send for your free copy of our 1971 Industrial Survey and get it straight from the source.
Georgia Department of Industry & Trade
Industry Division, Dept. EL-10, PO. Box 38097,
Atlanta, Georgia 30334.
Please send me a copy of your 1971 Industrial Survey.
Name __________________________ Title ________________
Company ___________________________________________
Address _____________________________________________
City __________________ State ______ Zip ____________
Georgia, the unspoiled.
New Products/materials
Cure coating, manufactured in powder form, is designated Eccocoat 721. The material is applied to a component that has been preheated to 180 F. A post-cure of several hours at 180 F or one hour at 250 F will develop electrical properties and chemical resistance. Price is about $2 or $3 per pound.
Emerson & Cuming Inc., Canton, Mass. 02021 [476]
Electroless gold bath will plate uniformly (regardless of loading) thick, nonporous deposits of 24-karat gold directly on many metal and seeded surfaces with good adhesion and solderability. The bath is autocatalytic and deposits the gold to any desired thickness. One-gallon samples are available at $30.
Kollmorgen Corp., Photocircuits Div., 31 Sea Cliff Ave., Glen Cove, N.Y. 11542 [477]
Protective coating, called Anti-Heat, acts as a heat sink in welding, brazing, and soldering operations. The material confines heat to the area being worked on and prevents the adjacent areas from becoming hot. Application is by spreading or brushing and is effective on metals.
Big Three Industries Inc., Hamilton Blvd., S Plainfield, N.J. [478]
Anaerobic sealant, which cures within 5 to 10 minutes, is called Arontite. The material is a single-component liquid compound, and 14 types are available to prevent loosening, leakage, and wear.
Vigor Co., Div. of B. Jadow & Sons Inc., 53 W. 23rd St., New York, N.Y. 10010 [479]
Black devitrifying solder-sealing glass for alumina integrated circuit packages features a melting point of 355 C. Sealing temperature and time of Code 7587 material ranges from 10 minutes at 470 C to 3 minutes at 510 C. Price depends on quantity and type of mesh ordered. Four thousand pounds or more, for example, in the 100/400 mesh range is $2.75 per pound. Delivery is from stock.
Corning Glass Works, Electronic Materials Dept., Corning, N.Y. 14830 [481]
New books
Physical Design of Electronic Systems, Volume IV: Design Process, Staff, Bell Telephone Laboratories, Inc., Prentice-Hall, Inc., pp. 595, $19.95.
This is the last volume in a series published during the last year dealing with all aspects of the design of electronic systems. Previous books presented an over-all look at the design process itself and considered physical and mechanical design, engineering materials, and new semiconductor devices. This volume covers logical and functional aids to design, computer aids to design, system reliability, and the system approach to physical design.
Particularly good is a discussion of "decision trees" in the first chapter. Using the design of a reed relay as the example, the authors show how to arrive at the proper choices for the reed material, the contact plating, and the gas inside the envelope. With a decision tree, the designer can at least bound the problem, making a first cut at the design of a complex system, or in simpler cases, arrive at the proper decisions.
Variations in design tolerances are also discussed, although details are left to the referenced texts. Computer-aided design gets extensive treatment, with emphasis on programing. Reliability, although it's been well-covered in many texts and journal articles, is made more meaningful in this book because of the communications outlook of the authors, in which system reliability is heavily dependent on so many factors.
The sections on partitioning should find immediate interest among many engineers because of the ever-changing cost tradeoffs involved, as integrated circuits become more complex. The book closes with a case history of an advanced data processing system design. This makes interesting reading in itself, since it touches every base of the design process.
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### Carlo Erba
Orma
### Celduc
Foucaultville
### Centralab, Div. of Globe Union, Inc.
The Brady Co.
### Champion Spark Plug Co.
J. Walter Thompson Co
### Chauvin Arnoux
Edition et Publique
### Cherry Electrical Products Corp.
Koehn, Kline and Assoc., Inc
### Circuit Technology, Inc.
Lites Corp
### Colorado, State of Commerce and Development Division
Frye & Co., Inc
### Combusion Engineering
Basford, Inc
### Custom Electronics, Inc.
Laux Advertising, Inc.
### Dale Electronics, Inc., A Sub. of The Clorox Corporation
Swartz, Shiner, Ellis & Co. Advertising
### Digital Equipment Corporation
Kalo & Schneider Inc
### Ducati Elettrotecnica Microtard
Studio Busoli Gastone
### Dumont Oscilloscope Laboratories, Inc.
Battelle Advertising, Inc
### Electronic Engineering
R & H Marketing Communications
### Electronic Navigation Industries
Hart Conway Co., Inc
### ELMEC s.n.c.
TECNOTAMPAS
### Erie Technological Products Co., Inc.
Alvarez & Haas Associates Advertising
### Fairchild Semiconductor, Inc.
Carson Robins Inc. Adv.
### Florion's Transworld Delivery
Post Keyes Gardner, Inc.
### GAF Corporation
Michael Cahnier, Inc
### General Electric Co., Miniature Lamp Div.
Batten, Barton, Durstine & Osborn, Inc
### General Electric Co., Semiconductor Products Dept.
Advertising & Sales Promotion Syracuse Operation
### General Instrument Europe S. P. A.
Sarrià Media
### Georgia Department of Industry & Trade
Cargill Wilson & Acree Inc. Adv
### GRI Computer
Allied Advertising Agency, Inc
### Ground Data Co.
Ground Data Advertising
### Gudbrod Bros. Silk Co., Electronics Division
Coastline Advertising
### Harris Semiconductor
Tucker Wayne & Company
### Heininger
Tobacco Marketing
### Hermes Electronics Ltd.
Public & Industrial Relations Limited
### Hewlett-Packard
Dorland Advertising Ltd
### Hewlett-Packard
Richardson Seigle, Rolls & McCoy, Inc.
### Hewlett-Packard
Taliant Yaties Adv. Inc.
### Hewlett-Packard
Richardson Seigle, Rolls & McCoy, Inc.
### Hughes Aircraft Company
Foote Cone & Belding
### Hughes International Service Company/ I.E. G
Foote, Cone & Belding
### IPT Corporation
ROY MINOR/ Graphic Arts
### Kokusai Electric Co., Ltd.
Aoki Advertisers, Inc.
### Kohn-Hite Corporation
Impact Advertising, Inc.
### Litronix, Inc.
Regis McKenna, Inc
### Lockheed Electronics Company
McCann-Erickson, Inc
### LTT
Publibel
### Microsystems International Ltd.
Media Advertising Ltd
### Microtronica
### Miller Stephenson Chemical Co., Inc.
A B W. Toft and Co
### 3M Company—Mincom Division
D Arcy-MacMinus—Intermarco, Inc.
### The Morgan Group
Patterson, Hill
### MOS Technology, Inc.
Henry S Goodsett Advertising, Inc
### Mostek Corporation
Continental Communications, Inc
### National Semiconductor Corp.
Gordon & Breach Advertising
### National Semiconductors, Ltd.
Knox Advertising, Ltd
### Nippon Kogaku K.K.
K & L Advertising Agency
### North American Rockwell, Microelectronics Co.
Curran & Ewald Company
### D Olivetti & C. Spa
Studio ECO
### Ortec, Inc.
Thomas R. Sundheim, Inc
### Oscilloquartz SA, Neuchatel
M R Hofer Weberagentur BSR EAAA Bern
### Owens Illinois, Inc Digivite
Howard & Associates Advertising
### Pascoe Steel Corporation
Boylhart, Lovett & Dean
### Philips Electronics Instruments
J + M Condon, Inc.
### Philips Gad Elcoma
Federico Garzaro dellaMar
### Philips N. V. P.U.T & M Division
Marsteller International S. A.
### Pignone Sud
Linea Spin
### Powercube Corporation, Div. of Unitrade
Advertising Assistance, Inc.
### PROCOND S. p. A.
QUADRAGONO
### Raytheon Semiconductor
Dorland Advertising
### RCA Ltd.
Marsteller Ltd.
### RCA Solid State Division
Al Paul Leffon Company, Inc
### RCA Electronic Components
Al Paul Leffon Company
### Rohde & Schwarz
Scanne Manufacturing Corp.
Walter McN Co. Wilson & Associates
### Schaffner
40E
### Schauer Manufacturing Corp.
Novak, Keelor & Sitles
### Selenia
Tilligraf
### Sesocom
Pérez Publicité
### Sheraton Park Hotel and Motor Inn, Washington, D. C.
Needham & Grunmann Inc
### Siemens Aktiengesellschaft
Linder Presse Union GmbH
### Signetics Corp., Sub. of Corning Glass Works
Hal Butler Blatherwick, Inc.
### Silec Electronique
Pema
### Singer Company, Kearfott Div.
Gaynor & Ducan, Inc.
### Snelling & Snelling, Inc.
Evans & Matern Advertising
### Sodeco
PR Service
### Sorel
Gerard Micaud
### Souriau & Cie
Aubert & Wills
### Spectra-Physics, Inc.
Hal Lawrence, Inc
### Sprague Electric Company
Harry P. Bridge Company
### Stanford Applied Engineering
Robert L. Smith Advertising & Public Relations
### Systron Donner Concord
Bonfield Associates
### Teledyne Philbrick
Ingalls Associates, Inc. Advertising
### Teledyne Relays
S W McLean Advertising
### Teledyne Semiconductor
Regis McKenna, Inc
### Thompson CSP
Bazaine Publicite
### Tokyo Sokuhan Co., Ltd.
Showa Advertising Service, Inc
### Trinidad & Tobago Industrial Development Corp.
Development Counsellors International, Ltd
### TRW, Electronic Components Division
The Trwelles Company
### TRW Electronics, IRC Boone Division
Odelline Indus. Advertising, Inc
### Unitrade Corporation
Impact Advertising
### Universal Oil Products, Norplex Div.
Campbell Mifflin, Inc
### Verithon Piezoelectric Division
Crompton & Knowles, Inc
### Wakefield Engineering, Inc.
Robert Robertham Advertising
### Watkins-Johnson Company
William C Estler—Public Relations
---
**Classified & Employment Advertising**
F. J. Eberle, Manager 212-971-2557
**EQUIPMENT (Used or Surplus New) For Sale**
Institute of Consumer Research
**Radio Research Corp.**
---
For more information on complete product line see advertisement in the latest Electronics Buyer’s Guide
= Advertisers in Electronics International
A Fine Pair of Medium Power TWTS for Advanced Systems Applications
With hundreds of hours of environmental testing on record, the WJ-3850 and WJ-3860 TWTS are ready for CW operation in the most demanding environments.
Designed for stringent airborne applications, these second generation TWTS are ready to serve as high gain drivers/transmitters for ECM equipment, as transmitters for radar transponders, and as amplifiers for AM and FM communications systems.
The WJ-3850 and WJ-3860 TWTS employ switching grids for fast blanking or for pulsed-only operation. Users can expect the same long life and high reliability found in all W-J tubes, plus full performance in 100°C operating temperature, small size and weight, and conduction cooling.
**WJ-3850**
- Frequency Range: 2 to 4 GHz
- Saturated Power Output: 25 W CW
- Gain at Rated Power Output: 30 dB
**WJ-3851**
- Frequency Range: 2 to 4 GHz
- Saturated Power Output: 50 W CW
- Gain at Rated Power Output: 30 dB
**WJ-3860**
- Frequency Range: 4 to 8 GHz
- Saturated Power Output: 25 W CW
- Gain at Rated Power Output: 30 dB
**WJ-3861**
- Frequency Range: 4 to 8 GHz
- Saturated Power Output: 50 W CW
- Gain at Rated Power Output: 30 dB
Weight, Any Unit: 2.5 Pounds Maximum
**Advertising Sales Staff**
- **Pierre J. Braudé** [212] 971-3485 Advertising Sales Manager
- Atlanta, Ga. 30309: Joseph Lane
100 Colony Square 1175 Peachtree St N E
[404] 982-2868
- Boston, Mass. 02116: James R. Pierce
100 Boylston St. [617] 762 1140
- Chicago, Ill. 60611: Robert W. Bartlett
Kenneth E. Nicklas 645 North Michigan Avenue [312] M4 4 5800
- Cleveland, Ohio 44113: J. Lin J. Boyle
[216] 781-1000
- Dallas, Texas 75201: Richard P. Pool
1340 Republic Virginia Bank Building [214] R17 972
- Denver, Colo. 80202: Harry B. Doyle Jr
Tower Bldg. 1700 Broadway [303] 821 3881
- Detroit, Michigan 48226: Robert W. Bartlett
2600 Peninscot Building [313] 962-17 3
- Houston, Texas 77002: Richard P. Pool
2210 H. Noble Bldg [713] LA 8 383
- Los Angeles, Calif. 90017: Rube J. Reilly
1000 Wilshire 25 W. 6th St [213] HUZ 2 5450
- Minneapolis, Minn. 55402: Kenneth E. Nicklas
1104 Northstar Center [612] 332 7125
- New York, N.Y. 10036
330 West 42nd St
Warren H. Gardner [212] 971 3617
Michael J. Stoller [212] 971 3617
- Philadelphia, Pa. 19103: Warren H. Gardner
330 West 42nd St
[212] 971-3617
- Pittsburgh, Pa. 15222: Warren H. Gardner
4 Gateway Center, [212] 971-3617
- Rochester, N.Y. 14536: William J. Toy
9 Greylock Ridge Pittsford N.Y. [716] 325-1100
- St. Louis, Mo. 63105: Kenneth E. Nicklas
The Claridge Tower 7751 Carondelet Ave [41] PA 5 728
- San Francisco, Calif. 94111: Don Faris
Rogers Building 425 Battery Street [415] 362-4600
- Paris: Alain Offergeld
17 Rue Jeorges Bizet 75 P iris 16 France Tél 720-73 01
- Geneva: Alain Offergeld
1 rue du Temple Geneva Switzerland Tel 32-35-63
- United Kingdom: Keith Mantle
tel 01-451, 34 Dover Street, London W1
- Milan: Robert Sadal Roberto Lauren
1 via Baracchini Phone 89 90 056
- Brussels: Alain Offergeld
23 Chaussee de Wavre
Bruxelles 1040 Belgium
Tel 345-03
- Stockholm: Brian Bowes
Office 7, Konor-Center AB Hagagarten /9
113 47 Stockholm Tel 24 72 00
- Frankfurt/Main: Fritz Krusebecker
Leibigsstrasse 27c
Phone 72 01 81
- Tokyo: Masaki Wajima, McGraw Hill
Pulp and Paper Overseas Corporation
Kasumigaseki Building 2 5, 3 chome
Kasumigaseki Chiyoda-Ku Tokyo Japan
[581] 9811
- Osaka: Ryu Kobayashi, McGraw Hill
Pulp and Paper Overseas Corporation Kondo
Bldg. 163 Umeda e ch Kita ku [362] 8771
- Australia: Warren E. Ball IPO Box 5106
Tokyo Japan
**Business Department**
- **Stephen R. Weiss**, Manager
[212] 971-2045
- **Thomas M. Egan**, Production Manager [212] 971-3140
- **Carol Gallagher**, Assistant Production Manager [212] 971 2045
- **Dorothy Carter**, Contracts and Billings [212] 971-2045
- **Frances Vallone**, Reader Service Manager [212] 971-6057
**Electronics Buyers’ Guide**
- **George F. Werner**, Associate Publisher [212] 971-3139
- **Regina Hera**, Directory Manager [212] 971-2544
INVESTMENTS
Where do you turn when your broker lets you down?
One year ago, as Wall Street was emerging from its most tumultuous period since the 1930s, the investing public was presented with an extraordinary legislative package. Called the Securities Investor Protection Act, the law created a new government corporation—quickly acronymed SIPC by the Street—to guard the average investor against the failure of a brokerage firm. At least, it protected him up to $50,000 in losses of cash or securities if his broker went broke.
It did nothing, however, for the investor whose broker manages to stay solvent but does a shabby or even fraudulent job with the investor’s resources. Today this is a bone of investor-broker contention. It is gnawed from time to time, but particularly in times like these, when the going gets tricky in the market. “The first thing an aggrieved investor should do,” says the sales manager of a leading New York brokerage, “is to try to distinguish between the vagaries of the stock market itself and the possibility—and I repeat, possibility—that his broker just isn’t cutting it. A sliding market can make even the most honest broker look bad.”
Once the investor has made up his mind that it’s the broker, not the market, who’s at fault, he has a number of avenues of recourse open to him. Depending on the severity of his grievances, he can trade his customer’s man for a new one within the same house, take his business elsewhere, or—if he has suspicions of chicanery backed by solid evidence—refer the matter to arbitration procedures offered by the major stock markets, or even haul the rascals into court. None of these, however, can be done without some wear and tear.
Even if it’s simply a matter of distaste for a particular customer’s man (“I can’t seem to get through to that idiot,” is the way it is sometimes expressed), the move may not be easy. Brokerage houses do not like shifting accounts around in-house. It’s bad for morale. It makes it look as though the house is impugning the skills of one broker against another. And it pricks at the heart of a universal brokerage commandment: Thou shalt not steal a customer from thy fellow broker—in this house, anyway. The new man, in other words, may feel slightly soiled, at least in the eyes of his brethren. Brokerage houses prefer conciliation. If that fails, and the account is big enough, they will probably make the change, however.
Breaking off with the firm altogether is simplified if the investor has personal possession of his securities. Otherwise, he must go to his new brokerage house, fill out a form authorizing transfer of the securities, sign it, and generally wait several days for the switch to occur.
All this presumes that the investor is simply displeased with the way his portfolio has been performing and wants to try his luck elsewhere. Unfortunately there are times, too, when an investor feels he has actually been victimized. He may feel, for instance, that his account has been "churned"—that shares were bought and sold merely to generate commissions for the broker. He is likely to get that feeling when he balances the market value of his portfolio, say, six months ago against what it is today, and finds that the broker has done appreciably better than he has in the interim.
But that tabulation alone will get him nowhere in court or in arbitration before the New York Stock Exchange, although "churning" is a violation of Rule 405 of the NYSE constitution.
Complaints of "churning" largely apply to discretionary accounts, and Rule 405 specifies that a broker must have a firm knowledge of his customer's investment objectives. For the protection of all concerned, *this is best stated in writing*. But even then, an unhappy investor must produce solid evidence that the broker not only violated the understanding, but did so in bad faith. And that takes meticulous evidence, hard to get. Proof of loss—the basis of any suit—is also difficult, since hindsight or "what might have been" doesn't count.
A case of "bad faith" might be made of the following ingredients: A novice investor inherits $20,000, and a broker is told in writing to invest it conservatively, for income. But the broker has an allotment of Hot Shot Software, a new underwriting, and is having trouble getting rid of it. So he buys 500 shares for the investor. Hot Shot not only produces no income, it bombs altogether before the broker can shuffle the customer into something more substantial. In court, he should be a sitting duck.
Another case in which an investor has hopes of collecting is when he can prove his broker is buying stock for him that he is actively selling off for other accounts. This is a violation of the Securities & Exchange Act (Rule 10-B-5). In the most notable recent case, Merrill Lynch settled up with retail customers who charged that Merrill knew that Douglas Aircraft was about to report large quarterly losses, tipped off its institutional customers (who began to sell) and let the retail customers go right on buying Douglas.
For the investor with a legitimate complaint, the least costly recourse is the arbitration route set up by the stock exchanges. The Big Board's cost structure for arbitration varies with the extent of the claim, but even at its most expensive, the procedure is no more than $120 per hearing—and often, one hearing will be enough. Here's how it works:
First, any investor who wants to recover damages from a broker is wise to have a lawyer, one familiar with securities law. Claims are initiated by filing with the NYSE's Arbitration Director three copies of a typewritten statement, which must include the name of the investor's attorney, a chronology of facts upon which the claim is based, and the exact amount of damages claimed. When received, the arbitration director sends it to the opposing party, which generally has 10 days to reply with its own statement.
When he has all statements, the arbitration director will set up an arbitration panel—it may vary in size and makeup, depending on the size of claim and wishes of the investor—and schedule a hearing. (New York isn't the only place arbitration will be scheduled by the exchange. They may be held in 12 other cities as well). Prior to the hearing, attorneys for either party or the arbitrators themselves may use subpoena power to extract testimony or summon witnesses. If for some reason the investor is pressing his case without a lawyer's help, the Big Board's arbitration director will arrange for issuance of subpoenas.
Hopefully, the hearing will be held on its scheduled date. It begins with opening statements by each party (usually the attorneys); then, the investor's case is presented, complete with witnesses, presentation of documentary evidence and cross-examination. Closing statements are made, and the parties are dismissed. The arbitrators then meet privately, reach their decision and sign an award—if the investor has made his case. Their decision is final, and the Big Board member firm is bound by Exchange law to pay off.
The major problem with the arbitration procedure is that it is prolonged, often taking as much as one year to complete. But an investor has other options.
For instance, he can always carry his troubles to the SEC, whose new chairman, William J. Casey, seems intent on policing Wall Street. While the SEC is chronically handicapped by overwork and under-financing, a legitimate complaining letter to the chairman (with a copy to the offending brokerage) has been known to work wonders. Writers of such letters, of course, should check them with their lawyers beforehand to avoid the risk of libel.
"An investor's best bet," says the branch manager of a major brokerage, "is to check out the brokerage and his customer's man very carefully before he allows either of them to execute a trade." In any book of investor-broker relations, this might well stand as Rule 1.
—PETER F. EGAN
BOOKS
WALL STREET:
SECURITY RISK
BY HURD BARUCH
ACROPOLIS, $8.95
Sometime within the next year or so, Congress is expected to pass what may well be the most sweeping legislation for Wall Street since the Securities Exchange Act of 1934. Among other things, it will impose more rigorous control on the New York Stock Exchange by the Securities & Exchange Commission, and thus give Chairman William J. Casey's activist SEC a stronger hand in dealing with practices that have scarred the financial community in recent years.
An indicator of the SEC's tougher stance is *Wall Street: Security Risk*, by Hurd Baruch, special counsel for the commission. While both Baruch and the SEC insist that the commission is not responsible for its contents, the book obviously has Casey's blessing. More important, *Wall Street: Security Risk* is a skillful and authoritative account of the weaknesses of the self-regulatory mechanism so cherished by the Big Board. Says Baruch: "The securities industry has a long tradition of opposing every constructive change in the markets, and such is its power that it may again prevail, unless the public understands and actively supports proposed reforms."
So, Baruch's editorial exercise is as much a plea for greater investor awareness as it is an indictment of Wall Street. But as an indictment, the book serves its purpose. In his discussion of the 1968-70 back-office crisis, for example, Baruch notes that Goodbody & Co. once showed differences of $43-million between actual securities on hand and the amount the company's books said should be on hand. Yet, Goodbody's reserve against such differences was a scant $1.5-million.
Baruch also delves into the brokerage community's capitalization structure that—although toughened by the Big Board not long ago—once allowed almost instant withdrawal of funds by a firm's partners. And he castigates the non-competitiveness of Wall Street's commission rate structure—suggesting that while the securities industry extols competitive capitalism, it rarely practices what it preaches. Concludes Baruch: "With 'friends' such as it has had at the head of the securities industry in the past, capitalism has had no need of enemies."
"You name it and I've put Champion Spark Plugs in it."
"I'll tell you this. For 24 years I've put Champions in every single car we tune up at my service station... from Caddys to Fords and Chevys to these new Japanese machines.
"They're the best darn plug you can put in any engine or my name isn't Robert Tank, Omaha, Nebraska."
20 million people have switched to Champion Spark Plugs.
Investment costs that trim taxes, increase profits
"Tax deductions for investment expenses is a muddled proposition," says a tax lawyer with one of New York's leading firms. "A lot of people don't know how far they can go—and others go too far." All of this is, in itself, quite a reasonable proposition, considering the ambiguity of the rules.
The investor who pays out sizable amounts for investment-related services, or who travels widely to manage his investments, knows how fast these costs can add up—sometimes they can even make the difference between a modest profit and a loss on an investment. Unhappily, though, there are no clear, specific tests for determining when a particular expense is deductible. There is a general rule that allows an investor to deduct costs incurred to produce or collect investment income, or for the management of property held for investment. But application of the rule breaks down into several trouble areas.
In most cases, the key issue is whether there is a direct connection between the expense and the investment. For example, in a situation where an investor travels out of town to see his investment counselor for portfolio review, there is no argument—the travel costs, as well as the counselor's fees, are deductible. But what if the investor travels to a stockholders' meeting? Here the line is much finer. If he is a major owner of the company trying to safeguard his investment, the trip costs might be deductible, but where he is simply one of hundreds or thousands of shareholders, the trip would not be considered by Internal Revenue to be essential to the investment. In another situation, a stock market amateur made daily lunchtime visits to his broker's office; he watched the ticker tape to get the "feel" of the market. IRS disallowed his travel expense deductions—the connection between merely pondering the tape and managing an investment portfolio was too tenuous.
For a deduction, the expenses must be related to current investments and merely looking at prospects won't do. In one case, an investor traveled widely to inspect possible investments for diversifying his portfolio. He also hired an investment service that reported on the companies he was investigating. All related deductions were denied because the investments weren't owned at the time. Turning the coin, an investor who travels to check on income property, such as a rental building, can deduct his travel costs. In a recent case, an investor's travel expenses were deductible even though the property was not actually producing income. He owned a Florida orange grove which was not yet yielding fruit. Still, he was permitted to deduct the cost of long trips to the grove to supervise the installation of tree heaters, and such. But his wife's travel expenses weren't deductible, even though she was a part owner—it simply wasn't necessary for her to accompany her husband, said the court.
Legal fees in connection with investment property may or may not be deductible. The lawyer should be asked to bill separately for services related to capital outlays (such as property purchase or long-term leases) which do not give rise to deductions, and income items (such as collection of rents, preparation of tax returns, tax audits, and such)—which produce deductions.
Legal fees in connection with property purchase are non-deductible capital expenses. But what if an investor buys property as part of a tax-saving plan? Here the fee should be split—allocated between tax advice and purchase expense. A carefully itemized bill will help the investor who is trying to convince Internal Revenue that at least part of the fee is legitimately deductible.
If an investor has an office-at-home for working on his investments, he may have a tax deduction.
In a new case, Internal Revenue conceded that maintenance and depreciation attributable to such an office can be deducted. A retired investor claimed that he used about 50% of his large residence in his investment activities. Internal Revenue, however, estimated that he used only about 900 sq. ft. of a total of 1,500 sq. ft. So based on this ratio, it allowed a deduction for maintenance, expenses, and depreciation of 6%. The Tax Court accepted the allocation of footage, but the court estimated that the square footage total was 9,000, not 15,000. Based on a ratio of 900 to 9,000, the allowable deduction was raised to 10%.
In this case, the result for the taxpayer amounted to a considerable reduction of his original claim. Still, the decision is favorable. It is of considerable importance to the highly active investor as well as the man who looks after his investment portfolio in retirement.
One clear-cut rule: The cost of a safe deposit holding securities is deductible.
—BERNARD GREISMAN
Tax scene: dollar items in the news
FRIGID LOSSES. In one of its unnerving generalizations, Internal Revenue says that a casualty loss is the "complete or partial destruction of property resulting from an identifiable event of a sudden, unexpected, or unusual nature." Putting this rule to practice has confounded some taxpayers, and snow-and-ice casualties are atop the slippery list. People tend to overlook some less obvious write-offs. For instance, such items as a car motor that froze solid, a garage wall that caved in due to freeze-and-thaw, and the killing of tropical plants by "chill" have produced dollar-saving deductions. . . . In a current Tax Court case, seeping water had caused a house to settle. Stopped up drains caused snow to crack the garage floor and undermire walls. IRS denied the deduction, but the Tax Court sided with taxpayer despite possible negligence on his part. The case becomes an arguing point—in a common situation.
SAVINGS POSTPONED. "Deferred" interest earned on a long-term savings deposit over a span of more than a year is taxable on a monthly pro-rata basis. New rules provided by the Tax Reform Act of 1969 apply to certificates of deposit, beginning January 1, 1971. For example, say that on June 1, 1971, a taxpayer bought a $10,000 certificate of deposit with a three-year redemption value of $11,941. Thus original issue discount is $1,941, and the ratable monthly portion includable in taxable income is $53.92—$1.941 divided by 36 (months). Taxable income for 1971 is $377.44 (7 months x $53.92); for 1972 and 1973 it comes to $647.04 a year (12 months each), and for 1974, $269.60 (5 months). . . . Banks and S & Ls must file information returns with IRS.
CHILDREN'S GIFTS. Shares of stock may be given to minors with the much publicized custodian account used as a vehicle for transferring the property. If the donor dies before the child is 21, the value of the stock is normally not included in the donor's taxable estate. There may be a hitch, though, when the donor has named himself as custodian. In a new federal court case, the estate of a donor-custodian was liable for the added estate tax. A father-donor might wisely name someone else as custodian—friend, relative, family lawyer, or such. This will take the onus off.
We're trying to keep gas companies from running out of gas.
If they run out of gas, you run out of gas. Gas to boil water for your morning coffee, gas to heat your home, gas to power your manufacturing plant.
One of our subsidiaries, C-E Lummus, is working to prevent this by offering gas companies new processes that make natural gas out of ingredients found in ordinary oil, to assure you of a hot cup of coffee before work... or an operating plant when you get there. We're building three of the first plants to manufacture Synthetic Natural Gas in the U.S. to keep you supplied.
And we're also working with the federal government on the next step: designing and building one of the country's first pilot plants to create clean-burning natural gas out of coal. Which will help cut down on one of the nation's pollution problems, too.
So until gas companies find additional natural sources of natural gas, we're one of their most promising resources. And as one short-term solution to the fuel crisis, we think Synthetic Natural Gas is a natural.
Our name in the process industries...C-E Lummus.
Other C-E names: C-E Combustion Division • C-E Industrial Group • C-E Naco • C-E Tyler • C-E Cermatec • C-E Canada.
Mixing profits with pleasure in condominiums
FROM PALM SPRINGS TO MAJORCA, THE IDEA'S CATCHING ON
A case of March doldrums—that guaranteed annual state of mid-winter blues—can persuade even the thriftiest traveler to fork over $100 a day for a double room near a beach, a golf course or a ski slope. In the past few years, however, penny-wise vacationers have discovered the resort condominium, and developers from the Mediterranean to the Rockies are rushing to accommodate a demand that shows no sign of abating.
For many, the resort condominium is a dandy way to enjoy a place in the sun when they want it—and at the same time, pocket a tax shelter, an appreciating asset, and a potential profit. "Many of our buyers consider it an investment alternative," says Roy D. Chapin, III, marketing vice president of John's Island, a posh ocean-front golf resort north of Vero Beach, Fla.
Indeed, the investment motive is so strong that many developers have had to alter their plans to accommodate it. "We expected a significant number of sales to people who would not rent their units on a transient basis," admits David Warner, vice president for land development of Rockresorts, Inc. (1290 Avenue of the Americas, New York, N.Y. 10019), which is currently building luxurious condominium units along a fairway at Puerto Rico's Dorado Beach. "We have discovered that the bulk of our market is people interested in investment."
From the sandy beaches of Majorca to the glistening slopes of Aspen and the desert mecca of Palm Springs, real estate developers are tuning in to this burgeoning new market. The economics of an affluent society with its many three-day weekends and increasingly common four-week vacations has spawned a new breed of tax-conscious, leisure-minded investors. Buyers range all the way from well-heeled globe-trotters who have long eschewed the burdens and responsibilities of a second home to young "swingers" who probably could not buy a primary home at today's prices.
Typically, the condominium developer organizes or contracts with a management company, which services the community and rents out the units when owners are not in residence. The management company charges a fee for protecting and maintaining the unit, plus a percentage of the gross income earned from rentals.
This income can be substantial. At Mission Hills Golf & Country Club in Palm Springs, Calif., for example, a luxuriously-appointed $50,000 unit will bring as much as $3,000 a month. At Villa Dorado in Puerto Rico, a one-bedroom condominium rents for $125 a day during the winter season when Dorado Beach Hotel charges $105 for a double room. Both are offered on a modified American plan.
The management's share of this rental income represents a significant bit of recurring income to the developer. For this reason, many developers require that the unit be made available for rent during specified periods of the year. At EsWHEN YOU BUY A JAVELIN
YOU GET SOMETHING YOU CAN'T GET WITH A MUSTANG,
CAMARO OR FIREBIRD.
You get a lot more than a good-looking sporty car when you buy a Javelin.
You get a car that's been road-tested and checked over so thoroughly, we make this promise: If anything goes wrong and it's our fault, we'll fix it. Free.
And, if we have to keep your car overnight to fix it, over 1900 dealers will loan you a car. Free.
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AMERICAN MOTORS
BUYER PROTECTION PLAN
World Radio History
tate Questa Verde in St. Croix, for example, a condominium owner has the use of his apartment for two weeks in the winter season and four weeks in the summer. (Vice President Spiro Agnew was among the early purchasers of these units.)
Many of the ski-resort condominium developers exact similar agreements so that they, too, may get a piece of the high-rent action in peak season. Increasingly, though, ski resort developers are installing year-around facilities such as tennis courts, golf courses, and artificial lakes for boating and swimming to attract the non-skiing market during other periods of the year. At Breckenridge, Colo., for example, Four Seasons Village, now under construction, will feature bowling, golf, tennis, sailing, horseback riding and skeet shooting as well as live theater and concerts. And Village Two, a condominium resort at New Hope, Pa., even offers year-round skiing and swimming—courtesy of plastic snow and an enclosed pool.
International travelers who prefer their pleasures urban-style are also getting a crack at the investment condominium. The Melia Organization of Spain (its U.S. address: 30 East 42nd St., New York, N.Y. 10017) is finding a ready market for the "Apartotels" it is developing in major cities around the world. Its $23-million, 1,000-unit Melia Castilla in Madrid, the largest hotel in Western Europe, has sold all but a handful of its apartments to investors at prices ranging from $21,000 for a studio to $53,000 for larger suites. In addition to occasional use of the apartment and the income earned by it in his absence, a buyer also gets a 20% discount in all other hotels in the Melia chain, 20% off on car rentals, 10% on Melia tours, and 5% on investments in all future Melia real estate developments.
Melia buyers pay 20% down, the rest in five to 20 years, at 8%. Melia charges 5% of gross rentals to cover operating costs and promotion expenses, and 15% of the net rental income as a commission. It has land and plans for additional urban hotels in London, Paris, Brussels, Rome, and Mexico City. Beach resorts include the Magaluf in Majorca, which is nearly sold out, and the Alicante, now under construction on the eastern coast of Spain. A third is planned for Puerto Rico.
The condominium hotel has caught on in many other areas, too. Many of Hawaii's hotel units are individually-owned and rented out. Developers of John's Island are building a 108-room ocean-front hotel, all of whose rooms will be sold to members of its property owners' association and run as an investment for them. Chapin estimates a relatively-low break-even occupancy rate of 30%.
Beachfront property has almost a built-in appreciation factor for investors. So does property bordering a well-planned championship golf course by a "name" designer. Buyers of golf course condominiums at Sea Pines Plantation on Hilton Head Island off the coast of North Carolina have seen their units appreciate from less than $20,000 to well over $45,000 in a few years. Resales at John's Island have been even more heady: A golf cottage that sold for $48,500 one and a half years ago is now selling at $70,000. "And we never have..."
one on the market more than three hours," says Chapin.
Golf course architect and planner Desmond Muirhead usually aims to combine the appeal of both water and golf course views in his condominium communities. At Mission Hills, for example, the $44,000 to $95,000 condominium units are on an island in a lake in the middle of the golf course—safely out of range of errant golf balls.
Nothing must detract from the course's appeal to the golfer, Muirhead says. "At the same time, the course's main function is to help sell houses. The trick is to balance these two factors."
As in any other types of real estate investment, however, the resort condominium is only as good as its location, its design, and its management. An investor may, of course, depreciate the unit, write off an occasional trip to inspect his investment, and deduct management fees for the period during which he makes the unit available for rental—even if there are no takers. He may even clear enough this way to cover the cost of amortizing the investment. But a poor rental record won't make the unit very appealing when he tries to re-sell it. So if capital gains figure in his reckoning, he had best do some preliminary research before he takes the plunge. One of the best ways to evaluate a unit from a tenant's point of view is to rent one like it from another owner.
Despite the caveats, however, the condominium boom continues to spread. It has even reached the boating market. A new wrinkle dubbed "Aquaminium," dreamed up by a houseboat dealer in St. Thomas, Virgin Islands, is a floating version of the condominium housing concept.
The buyer purchases a fully-equipped, 46-ft. houseboat for $50,000 through the Compass Point Club in St. Thomas. If he makes the boat available for charter at least 26 weeks out of the year, Aquaminiums, Inc., says his net return over a five-year period will be $45,500. A five-year franchise fee of $3,000 is paid to Aquaminiums out of the first year's rentals, but all charges for mooring, maintenance, insurance and such are absorbed by the company. The owner gets four weeks free use of the boat a year. If he uses it more than that, however, he must pay the management company its share of potential income it lost while he was aboard.
—RESA W. KING
If you are planning to build any type of industrial, commercial, or institutional building, this free guide is a "must" regardless of how much you intend to spend. It tells how to avoid costly mistakes in planning. And covers the numerous questions that should be answered before construction begins...such as engineering, zoning, soil tests, drainage, access roads, rail spurs, expansion potential.
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Plants in Columbus, Georgia and Pomona, California
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World Radio History
Ways with coffee: In a cup or cake, or even on meat
THE BEAN IN CUISINE
FROM RED-EYE GRAVY TO TALLEYRAND'S CUP
Americans consume better than 30 pounds of coffee per person each year, one way or another. Most of it is sipped from that favorite cup, but a good deal reaches the American palate through candy, ice cream, baked goods and other culinary efforts. Next to chocolate and vanilla, coffee is our favorite flavor. It can be bitter or sweet (but never cloying), and it is great drunk straight or wedded to such lovely things as thick cream, Cognac or chocolate. And, as a flavoring for cuisine, it is a many-splendored thing.
One of the most unusual recipes among the manifold ways coffee can be used in cooking comes to us from Mrs. Joseph Martinson, wife of the noted coffee taster and roaster. Here it is:
BAKED STEAK, COFFEE SAUCE
Take a thick steak—at least 2½ in. thick. Sear it quickly in butter on both sides. Place it in a baking dish. Add generous dollops of chili sauce, A-1 Sauce, a cup of canned mushroom pieces, a generous handful of tiny button onions (or a cut-up larger one), salt, pepper, and a pinch of paprika. Bake at 325 degrees for about two hours, basting now and then. Twenty minutes before the end, pour a cup of very strong coffee into the pan. Continue basting. When you serve, use the pan juices as gravy. As a matter of fact, a favorite recipe for "country" ham in the South calls for coffee added to the fry pan in which a thick slice of ham has been cooked. That is the famous "Red Eye" gravy of Kentucky, Tennessee and points South. But the coffee yen knows no regional boundaries, and Mrs. Martinson's steak is a success anywhere.
Coffee in its non-beverage form is more usually a dessert component. For instance, there's coffee gelatin: Soak 2 tsps. unflavored gelatin in ½ cup water for five minutes; boil a cup of water and add to the gelatin; then add two very strong cups of coffee, ½ cup sugar and 3 cloves, and pour into mold. Better yet, try this:
COFFEE SOUFFLE
¾ cup hot, strong coffee
2 tbsp. flour
½ cup sugar
½ tsp. vanilla
3 tbsp. butter
¼ cup cream
4 eggs, separated
pinch of salt
In the top of a double boiler, melt the butter and add the flour. Pour the coffee in slowly. Bring it just to the boiling point, then add the sugar and salt, then stir until smooth. Add the egg yolks, and keep heating until the mixture is thick. Fold in the egg whites (well beaten, of course) and the vanilla. (It may be wise to have an extra egg white or two—it can only help assure a nice rise). Pour into a soufflé dish and bake at 400 degrees for 25 minutes, or until nicely risen. Serve it with whipped cream, and discover why coffee soufflé is considered a dessert par excellence.
It is as a beverage, of course, that coffee is most popularly known. Everyone has his own favorite method of making it—Joseph Martinson, for instance, used to boil his in an ordinary saucepan with just coffee, water and an egg shell, without percolator, drip pot, pressure or other gadgetry. So telling anyone how to make coffee is about as productive as telling a confirmed martini man how to mix his next one. Possibly the best tip for making good coffee is use enough coffee. Remember this before all: Coffee cannot be too strong!
There are ways, however, to add variety to your coffee drinking. Cappuccino, an Italian coffee, is a favorite, but it is best made with an Italian pressure coffeemaker. Unless you have one, relegate Cappuccino drinking to restaurant visits.
But anyone can easily make Café Brulôt... It is nicest when made at table in a chafing dish, but it can be made in a small saucepan on the stove just as well. To make enough flavoring for six small cups of coffee, use 1 cup of Cognac, 10 lumps of sugar, six or eight whole cloves, the rinds of half an orange and a quarter of a lemon. Heat almost to a boil, then touch a match to the Cognac and flame it—but don't let it burn too long. Pour a good teaspoonful into each demitasse of strong coffee.
Another interesting version of our favorite beverage is Cuban Coffee, a much richer drink than good old café au lait. Instead of using water, simmer (but do
not boil) ½ cup of ground coffee in two cups of milk and 1 cup of cream for five minutes. Strain. Serve with sugar and whipped cream.
For a change from regulation iced coffee, there is the Italian invention, Coffee Granito—a sophisticated version of a drink often made with fruit juices. To make it, dissolve ½ cup of sugar in a pint of very strong, hot coffee. Let it cool, then put it in a bottle and set it in the freezer compartment of the refrigerator or a pot of cracked ice. Turn it from time to time. It must be half frozen, about the consistency of mush, and it is usually served in sherbet glasses.
Indeed, when it comes to being imaginative with coffee, there are even ways for the coffee-lover literally to have his cake and eat it, too. The most obvious way is to bake a coffee-flavored cake like this:
**COFFEE CAKE, MOCHA ICING**
To make the cake, beat together ½ cup of butter and 1 cup of brown sugar. Add two eggs, ½ cup of molasses, ½ cup of strong coffee, and 2 cups of flour sifted with 3 tsps. of baking powder. Add ¼ tsp. of ground cloves, ¼ tsp. of cinnamon, ½ tsp. of salt. Divide the mix in half, and bake as two layers for about 25 minutes in a moderate oven.
Now for the icing. Cream ½ of a cup of sweet butter, 1 cup of confectioner’s sugar, and 1 tbsp. of cocoa. Mix thoroughly. Add 3 tsbps. of strong, hot coffee and enough more sugar to make the icing thick enough—but not too thick—to spread easily. Beat well, and coat both layers and sides while the layers are still warm.
These, of course, are only a few of the ways that man has devised to enjoy the savory pleasures of coffee, for which we owe a debt (according to legend) to an anonymous goatsherder of ancient Arabia. One day, the story goes, he noticed that his goats were behaving with unusual liveliness after nibbling some berries growing on a glossy-leaved bush. He tried some, and found them awful. With a little experimenting, however, he found that when roasted they weren’t bad, and brewed they were even better.
However it came into being, coffee has been captivating palates throughout history. Among its most devoted admirers was the famous Talleyrand, who is reputed by some biographers to have sipped up to 40 cups of the brew a day. And, in Talleyrand’s immortal words, there was only one way to make it: “Black as the Devil, hot as Hades, pure as an angel, sweet as love.”
—ROBERT J. MISCH
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American antiques: where tastes and values aim high
Antique shows and auctions this winter make the point that more buyers with more money are seeking Americana than ever before in history. Values are up 5% to 10% over last year, and the trend is to more of the same. High-styled 18th century furniture—the prime buy—has tripled in value in 10 years. Limited supply in the face of rising demand is fundamental. So is the current trend in taste toward the simplicity of the past, and away from disappointing machine-made products. . . . Pre-1830 antiques are most coveted, and today the market is bullish for the works of leading 18th century cabinetmakers such as Goddard, Townsend and Chapin. A Goddard Queen Anne chair recently brought $15,000. Works of lesser known men of the period fall into the $2,000-$10,000 range. Federal period pieces (circa 1800) by such cabinetmakers as Seymour, Duncan Phyfe and Shaw are priced from $150 for small chairs up to $1,500 for sofas and highboys. A boom is also on for Empire furniture (1800-1820), with a current range of $100 to $700.
Museums such as New York’s Metropolitan (American wing) and the Boston Museum of Arts are excellent places to learn about antiques. Auctions conducted by leading houses are good, too (though country “barn” sales may be wisely avoided). Top dealers are well known at local museums. Characteristically, the better dealers stick to prices, and offer little chance for dickering. . . . Must reading: *American Furniture, the Queen Anne and Chippendale Period 1725-1788*, by Joseph Downs; *American Furniture of the Federal Period 1788-1825*, by Charles F. Montgomery; and *Fine Points of Furniture: Early America*, by Albert Sack. The magazine, *Antiques*, will give you the feel of the market with its deceptions and vagaries.
“Retirement”—or graceful layoff?
“Pretty soon it’ll be like the military,” says a Chicago management consultant. “You’ll be ‘retired’ young enough to start a second career.” . . . His view is held by a growing number of specialists. A report by J. K. Lasser, for example, indicates that early retirement is being used by more companies as a way to replace older men with younger ones. Lasser points to IBM with its pensioned retirement at age 55, and notes that the company is now offering added early-retirement inducements to 25-year men. IBM’s action still isn’t common, but it’s being adopted by more corporations. . . . A Boston consultant notes: “What this does for many people is to move up their normal retirement planning by quite a few years. A middle manager, especially, will want to keep on top of this trend—and plan accordingly.” (*Personal Business* will review early-retirement, and add practical tips, in a future series on career-planning.)
If you work at home amid cluttered surroundings, consider tidying up operations with the aid of an ingenious piece of Norwegian-made furniture called The Home Office. It’s a cleverly integrated and unobtrusive version of the old giant-size roll-top desk that held everything from a 30-lb. typewriter to fishing tackle. The Home Office has ample cubbyhole space for the usual gadgetry, folds into a sleek cabinet (Greatwood Products, 290 Madison Ave., New York 10017; $370). . . . Real estate scene: Find a good buy in a townhouse? H. Dickson McKenna’s *A House in the City* piles up ideas on renovation of the classic row house; it’s an A-1 review, beautifully illustrated (Van Nostrand, $12.95). . . . Good life: PB’s restaurant-of-the-month is Chicago’s Blackhawk where on St. Patrick’s Day the Irish coffee is strong pub-style. Mix was created by barman Joe Sheridan at Shannon airport: Heat a tumbler with hot water, then fill ¾ up with strong piping hot coffee. Put in 3 small sugar cubes and add 2 oz. Irish whiskey. Top with 1 tsp. whipped cream. . . . PB’s hotel-of-the-month: the new Innisbrook Resort & Golf Club, near Tarpon Springs, Fla.: with two 18-hole courses and golf pro Mike Souchak.
Reduce Custom Power Supply Time and Cost
With a handful of Powercube’s new Cirkitblock™ modules and a few clip leads, you can quickly synthesize a virtually infinite variety of supplies covering the gamut of required voltage and current ratings.
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Design time to operable prototype can be reduced by more than half because conventional breadboarding is eliminated. Your quickly assembled “breadboard” of Cirkitblock modules becomes your operable prototype.
Cirkitblock modules use space technology, but are specified and priced for industrial applications. They can substantially reduce the “as installed” power supply cost in instruments, calculators, computer peripherals, process control equipment, and communications gear.
Cirkitblock functional modules not only save design time and money; they’re also a lot of fun to work with. Circle reader service number to learn more about Powercube’s Cirkitblock functional modules.
Breadboard Custom Power Supplies In Minutes
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DALE ELECTRONICS, INC.
East Highway 50, Yankton, South Dakota 57078. In Canada: Dale Electronics Canada Ltd., A subsidiary of The Lionel Corporation
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Amateur RADIO
For all two-way radio enthusiasts
RECEIVER SPECIAL:
FROM CLASSIC MODELS TO THE LATEST STATE-OF-THE-ART FROM YAESU
... plus all the regular features
PASS THE RAE: BACK TO BASICS
6 Letters
Your opinions on topics of interest
9 Straight and Level
All the latest news, comment and developments on the amateur radio scene
12 Competition Results
Have you won? The answer is only pages away...
14 DX Diary
Don Field G3XTT with this month's DX news
18 G6 and beyond
The ordeals involved in taking the Morse test
20 Receiver special
A survey of reviews, alignment of older receivers and a review of the Eddystone 888. It's all there...
39 Angus McKenzie tests
This month G3OSS reviews the muTek 50MHz transverter and the Trio TH41E 70cm FM handheld
44 Experimental screened loop for 80m
Separate wanted CW signals from the general racket with this construction project by Richard Marris G2BZQ
46 CB Conversions
This month a look at the UK CB specification and the conversion of rigs using the LC7137 PLL chip
50 Back to Basics
This month Bill Mantovani G4ZVB explains amplitude modulation
54 SWL
Trevor Morgan GW4OXB reviews a new RTTY program for the Spectrum
56 On the Beam
Glen Ross G8MWR with all the latest news from VHF, UHF and Microwaves
57 Coming next month
What's in store for you
58 Secondhand
Hugh Allison G3XSE explains the theory behind 'one crystal per channel rigs'
61 Free Classified Ads
The market for buying and selling
SERVICES
35 Newsagents order form
49 Amateurs Handbook order form
60 Subscription order form
63 Free Classified Ad form
65 Radio and Electronics World subscription order form
66 Advertisers Index
66 Advertising rates and information
We regret to inform readers that owing to continually rising production costs and to enable us to maintain the high standard of content in Amateur Radio the price of the magazine will be £1.10 from this issue.
please mention AMATEUR RADIO when replying to any advertisement
LOWE SHOPS
TRIO TS830S
Whenever you enter a LOWE ELECTRONICS' shop, be it Glasgow, Darlington, Cambridge, Cardiff, London or here at Matlock, then you can be certain that, along with a courteous welcome, you will receive straightforward advice. Advice given, not with the intention of 'making' a sale, but the sort which is given freely by one radio amateur to another. Of course, if you decide to purchase then you have the knowledge that LOWE ELECTRONICS are the company that set the standard for amateur radio shops and after-sales service. The shops are open Tuesday to Friday from 9.00 to 5.30 pm, Saturday from 9.00 to 5.00 pm except Glasgow, which on Tuesdays opens at 10.00 am. For lunchtime closing arrangements, please check with the individual shop.
In Glasgow the LOWE ELECTRONICS' shop (the telephone number is 041 945 2626) is managed by Sim GM3SAN. Its address is 4/5 Queen Margaret's Road, off Queen Margaret's Drive. That's the right turn off Great Western Road at the Botanical Gardens' traffic lights. Street parking is available outside the shop and afterwards the Botanical Gardens are well worth a visit.
In the North East the LOWE ELECTRONICS' shop is found in the delightful market town of Darlington (the telephone number is 0325 486121) and is managed by Don G3GEA. The shop's address is 56 North Road, Darlington. That is on the A167 Durham road out of town. A huge free car park across the road, a large supermarket and bistro restaurant combine to make a visit to Darlington a pleasure for the whole family.
Cambridge, not only a University town but the location of a LOWE ELECTRONICS' shop managed by Tony G4NBS. The address is 162 High Street, Chesterton, Cambridge (the telephone number is 0223 311230). From the A45 just to the north of Cambridge turn off into the town on the A1309, past the science park and turn left at the first roundabout, signposted Chesterton. After passing a children's playground on your left turn left again (between the shops) into Green End Road. Very quickly, and without you noticing it, Green End Road becomes High Street. Easy and free street parking is available outside the shop.
For South Wales, the LOWE ELECTRONICS' shop is located in Cardiff. Managed by Richard GW4NAD, who hails from Penarth, the shop (the telephone number is 0222 464154) is within the premises (on the first floor) of South Wales Carpets, Clifton Street, Cardiff. Clifton Street is easily found, being a left turn off Newport Road just before the Infirmary. Once in Clifton Street, South Wales Carpets is the modern red brick building at the end of the street on the right hand side. Enter the shop, follow the arrows past the carpets, up the stairs and the 'Emporium' awaits you. Free street parking is available outside the shop.
LOWE ELECTRONICS' London shop is located at 229/225 Field End Road, Eastcote, Middlesex (the telephone number is 01 429 3256). The shop, managed by Andy G4DHO is easily found, being part of Eastcote tube station buildings and as such being on the Metropolitan and Piccadilly lines (approximately 30 minutes from Baker Street main junction). For the motorist, we are only about 10 minutes' driving time from the M40, A40, North Circular Road (at Hanger Lane) and the new M25 junction at Denham. Immediately behind the shop is a large car park where you can currently park for the day for 20p. There is also free street parking outside the shop.
Although not a shop there is on the South Coast a source of good advice and equipment - John G3JYG. His address is 16 Harvard Road, Ringmer, Lewes, Sussex (telephone 0273 812071). An evening or weekend telephone call will put you in touch with John.
Finally, here in Matlock, David G4KFN is in charge. Located in an area of scenic beauty a visit to the shop can combine amateur radio with an outing for the whole family. May I suggest a meal in one of the town's inexpensive restaurants or a picnic on the hill tops followed by a spell of portable operation.
hf transceiver
The TRIO TS830S is for the operator who wants a dedicated amateur bands only transceiver, who is used to and wants a pair of rugged 6146B valves in the PA stage and who wants a compact rig which has its own in-built power supply. The TS830S is for the radio amateur who requires a rig capable of rising above today's crowded band conditions - a rig that has, as standard, the necessary features that will produce consistently good contacts where other lesser equipment would fail. The TRIO TS830S, a proven rig with an impeccable pedigree.
The TS830S covers on USB, LSB and CW the full amateur bands from 160 through to 10 metres.
Convenient to use, the transceiver has its own in-built power supply.
VBT (variable bandwidth tuning) enables the operator to, at will, vary the IF filter passband width and establish optimum IF bandwidth relative to the interference being experienced.
The IF shift control allows the IF passband to be moved up or down in frequency without having to retune the receiver. Hence, an unwanted signal, present in the IF passband, may be attenuated significantly by moving the passband in the appropriate direction.
As the IF shift and VBT are independently adjustable they can, to advantage, be used together.
The tunable notch filter in the TS830S is a high-Q active circuit in the 455KHz second IF. Sharp, deep notch characteristics will eliminate a strong interfering carrier within the passband of the receiver section.
The RF speech processor in the TS830S provides added audio punch and increases the average SSB output power whilst suppressing sideband splatter. Compression levels can be monitored and controlled from the front panel.
To cope with pulse type (such as ignition) noise, the transceiver has an in-built noise blanker.
For perfect listening, a tone control adjusts receiver audio frequency response to suit operating conditions.
Both RIT and XIT, transmitter as well as receiver incremental tuning are included to aid operating, XIT being a distinct advantage when calling a station that is listening 'off frequency'.
It is possible to monitor the transmitted audio in order to assess the effects of the speech processor: a most useful feature ensuring perfect signal reports.
TS830S amateur band transceiver...........£832.75 inc VAT, carr £7.00
Up and down the country are many 70 centimetre repeaters, some 118 as compared with the 62 on 2 metres. Perhaps it is this wealth of equipment that can be summoned up at the sound of a 1750 Hz tone that now accounts for the increase in activity on 70 centimetres.
TP10, with the introduction of the TH41E, have a worthy transceiver for the 70 centimetre band. The rig is small but size is not its most important feature. It's just the way the transceiver feels when picked up, impossible to put down. I am not going to give a direct comparison with the TH21E because Power output is switchable, 1 watt high and 150 milliwatts low. Operation could not be easier. Frequency selection is by means of thumbwheel switches and the TH41E not only has simplex and 1.6 MHz repeater shift but full reverse repeater as well enabling you to quickly check the input, if possible QSY and make for better use of the band.
I have personally used a TH41E through my local repeater, G8BDY and I must admit that after hours of listening and operating nothing has given me as much pleasure as operating the TH41E. As an owner and with the rig always on your person, the hobby of amateur radio expands to an all-day event. Never miss a contact, never miss a friend.
1 watt output in high power position, 150 mW in low position.
Full coverage of the 70 centimetre band from 430 to 440 MHz.
(TH21E...2 metre band from 144 to 146 MHz.)
Frequency selection by simple thumbwheel switches.
Full repeater facilities including reverse repeater.
The transceiver comes complete with nicad pack, wrist strap, antenna and charger.
TH41E...70 centimetre micro transceiver..........................£214.50 inc vat.
TH21E...2 metre micro transceiver....................................£188.46 inc vat.
The TS430S combines the facilities of a solid state HF transceiver with those of a general coverage receiver. It's the ideal rig for the radio amateur who not only wants to communicate with his fellows but also enjoys listening to the world. As an amateur band transceiver the rig covers top band to ten metres, as a short wave receiver coverage is from 150KHz to 30MHz. Operating on AM, FM, USB, LSB and CW the TS430S is extremely compact and, as such, is the perfect transceiver for mobile, portable or base station operation.
TS430S HF transceiver with general coverage receiver .............£769.50 inc VAT.
Taking into account the amount of activity on the 2 metre FM channels it is not surprising that many people have turned their attention to the wide open spaces of 70 centimetres. With the TW4000A, TRIO have produced a dual band FM transceiver which gives its owner the best of both worlds. Facilities include two memories, two VFO's, memory channel, full repeater operation, band scan and memory scan. In memory scan mode the rig can be instructed to look for either 2 metre or 70 centimetre signals. The transceiver produces 25 watt RF output on both bands and comes complete with mobile mount and microphone. For greater safety whilst mobile the optional VS1 board will announce frequency, memory channel and whether or not the rig is set on repeater shift.
TW4000A dual band FM mobile...........................................£536.51 inc VAT.
For those who are banned from the house and have to operate from the shed at the bottom of the garden, why not consider an R600 to monitor the bands from the comfort of the fireside. No wife would forbid such an attractive looking receiver in the lounge, after all we could also use it to listen to the news. However, The R600 is a full receiver covering from 150KHz to 30MHz and having switched upper and lower sidebands, wide and narrow am and cw. It has a 20dB attenuator and a noise blanker fitted as standard. Operation is simple, select the mode of operation, turn the MHz dial to the correct band and, by using the VFO knob, tune to the desired frequency. The clear digital readout makes station selection simple. The TRIO R600, your passport to comfortable listening.
R600 general coverage receiver...........................................£299.52 inc VAT.
LEGAL CROSSBAND?
I must take issue with Glen Ross' comments regarding crossband working in the February issue. I have investigated this subject in some detail and have taken legal advice from my tame QC. We are of the opinion that it is quite in order for any amateur to work crossband to any other amateur for the following reasons.
The first point to understand is that the conditions under which any amateur station is operated are set out in the individual licence as amended by notices published in the various gazettes from time to time. In the case of the 50MHz permit the individual licence is also varied by the terms of the permit. The licence is a legal document and as such is subject to the normal rules of interpretation.
If we look at specific clauses in the licence, we see that under clause 1 (b) the licensee is only allowed to send to and receive from other licensed amateur stations. Note that there is no distinction between class A or B.
The classes of emissions which may be used are as governed by clause 2 (b), which states which classes of emissions may be used in particular frequency bands. The wording of this clause governs the emissions made by the station. This clause places no restrictions on the modes or bands that may be received. In fact, anyone may freely receive amateur transmissions in the UK without any licence whatsoever.
To summarise, it is therefore quite legal for any licensee to transmit on the bands for which he is licensed, and to receive on any frequency for which the transmitting station is licensed. Now who would like a 10GHz to Top Band QSO with me?
P L Crosland G6JNS, Worcester
The Editor kindly forwarded a copy of the above letter to me and I should like to respond to Mr P Crosland's interpretation of the law with regard to crossband working. There is no doubt that a literal reading of the regulations may well substantiate Mr Crosland's views and advice. Unfortunately he loses sight of the fact that in this country we live by the interpretation of the law not the letter of it. Until a test case is brought to try the validity of these clauses and to set a precedent then we must live by the rules as they are understood at the present time. These are quite clear in the opinion of the DTI and are as stated in my article.
Mr Crosland would do the amateur community a great service if he were to invite prosecution on this point and so clarify the position. I feel sure that his view would be vindicated but until it is I am afraid it is a case of 'status quo'.
Glen Ross G8MWR
A HUMBLE G6
Let's get one thing straight, I'm not qualified to estimate equipment properly, I'm just a humble G6 awaiting a G0 to appear in the post.
I've searched the market for an ATU to suit my needs, which are as follows: one, Top Band; two, at least one coaxial output and three, one wire and ground output. Most ATUs cover these requirements and the Jap ones from the main stables also have twin meters for VSWR and power. So far so good.
I would like to use a full sized G5RV, which seems to be a good compromise to suit my garden and along with my 10FM quarterwave it would make a good start to my antenna farm. But now to the crunch; every time I see the G5RV in a magazine article or my ARRL or RSGB handbooks alarm bells seem to ring loud and clear! Unbalanced to balanced equals problems, so I've been told, a fact which comes to bear when listening around. Some stations have been having trouble on 80m and 40m; surely a balun must be used? But where?
Anyway the problem can be bypassed by running a length of 75 ohm balanced twin feeder from the ATU to the 300 ohm ribbon. As long as the ATU has a balun built in, no problem (so I'm told) should arise.
Have you tried to buy an ATU with all the above features plus balanced output? They are very rare beasts indeed. After searching the local shops I came down to two, the TAU SPC3000 (beautiful but out of my price bracket) and the SEM Transmatch 1.8 to 30MHz, with or without Ezitune built in.
They seem to have the market to themselves. Why is 75 ohm twin so rare? Do the makers of ATUs know something I don't (more than likely)? Am I right in thinking that 75 ohm twin is: one, less lossy, two, cheaper and three, less prone to TVI if feeding a balanced antenna?
Anyway, I'm off to enjoy my investment, hopefully without any TVI. Keep up the good work, and how about a big all-comers contest to sort these ATUs out!
Dino Bragoli, London N20
S-UNIT
With reference to Bill Mantovani's statement that there is no agreed definition of an S-unit on page 53 of the February edition of Amateur Radio.
Surely the agreed IARU Region 1 standard is that at frequencies up to and including 30MHz, S9 represents a signal of 50µV across a 50 ohm load, and that 1 S-point represents a 6dB (4:1) change in power. At VHF/UHF a different standard applies.
I would also like to point out that the second paragraph of my letter published in the same issue (Speculation, p6) has got a bit jumbled at the end.
It should read - 'with a reference to the fact that grounding the screen (of the co-ax) gave better stray radiation/pick-up properties'.
Probably my poor writing; I've tried harder this time.
JW Barker G3WAL, Rugby
HEY HO!
I was delighted to learn that the RSGB HF subcommittee are favourably disposed towards the introduction of a novice licence.
Really these days there's no need to exert oneself to achieve anything – someone will do it for you, even if you're able to do it yourself!!
I just can't wait until – armed with my free novice licence – I fit my trusty FT101Z into my new electric car and go bombing down the M1, calling /M on full power... Just think of all that lovely chaos!
Regulations? Well I suppose there'll be some, but if the 'other lot' can get away with murder, then so shall we.
Get a proper licence? Well, I suppose I could, I'm certainly brainy enough – but what a waste of my valuable time. After all, all I want to do is get on the HF bands with the minimum of effort, and the RSGB are putting their collective feet in the door to help me!
Hey ho! What a life! Now where did I put that 500 watt linear?
N Kirk G3JDK, Yorks
INTERNATIONAL SWL
I am an international short wave listener of many years and I have owned many short wave receivers during this time, and have tuned into radio stations worldwide.
At the present time I have two receivers, one of which is a Hitachi portable receiver and the other is a Realistic communication receiver. I also have the Halicrafter's X140 amateur receiver with which I tune into amateur radio stations.
Over the past few years I have become interested in being a licensed amateur operator, and I am now studying to be one.
In Guyana we do not have books on amateur radio as at the present time Guyana is experiencing a serious economic crisis along with a restricted amount of foreign exchange. This is one of the reasons why I find Amateur Radio magazine so helpful. Thank you for an informative magazine.
Stanley Brownman, Guyana
THEIRS AND OURS
I am a keen reader of your magazine and I look forward to my copy each month. Thank you for an excellent monthly, if I might use such a term.
I am writing to you concerning the article on page 22 of the February edition, entitled Justice/Injustice.
At last someone has had the courage to stand and be counted. I have been driving large trucks for 20 odd years and I can tell you that this article is only the tip of the iceberg. I have often spoken of police harassment and the hopelessness of trying to do anything about it.
I came into amateur radio via CB, dare I say it. I mention this because one of the real benefits of CB to the trucker is that he can at least be warned of certain law enforcement agencies lurking in discreet places to harass, guess who?
I was appalled at the incident reported in the magazine and I wish I could do something to help anyone who finds himself in this predicament. Ignorance of the law is no excuse if you are to be prosecuted but it is fine if the law is ignorant—that does not count. You have to remember that these days there are two sets of rules. Theirs and ours.
I am a respecter of the law and have never done anything to be ashamed of in the amateur radio field, but I don’t know how I would react to the kind of treatment described by Mr G3XSE. I would not be a happy man at all.
R Henderson G1ITC, Oxon
RSGB AGM
For some years now it appears that the RSGB council has successfully gagged its members by not allowing items to be brought up under AOB, even to the point of disallowing items for the agenda notified within the time limits set by company law.
It is no wonder that membership of the RSGB is on the decline when they adopt such an undemocratic stance.
The staff at RSGB HQ do a very good job and I have much praise for them, but I feel that they are handicapped by the RSGB council who on the whole are an inward looking bunch.
Please let’s have some openness in the running of the RSGB and give its members a better chance to voice their opinions by debate. Perhaps then many of those who have left will return and we will attract new members.
I have chosen to write this letter to Amateur Radio because I feel that the censor at Potters Bar would probably not allow it to be printed.
I would be interested to hear from other members and non-members who share my view.
M J Butler G4UXC, Worcs
CLASS B 10m FM?
I work in the electronics industry and after many years of legal CB operation I became interested in radio and took my RAE last November; I am awaiting my result any day now.
In your magazine I’ve read about all these wonderful conversions possible to my legal CB set to turn it into a 10m FM radio but whereas it was legal for me to use FM CB it is illegal for me to use 10m FM as I will only be a class B licensee.
When you are first starting out in amateur radio money can be very scarce (I know), the price of VHF or UHF rigs can be expensive and even secondhand equipment tends to be pricey, especially to someone who is not sure how their hobby will progress. A 10m FM rig, ie converted CB, can be bought for £40 or less and a complete mobile outfit including SWR meter and aerial could be purchased for under £80.
What I would like to see is the provision for class B amateurs to be able to use the 10m band FM portion only for mobile-mobile or mobile-homebase operations. The other alternative of course is for me to stay on FM CB but that’s not why I took the exam.
I look forward to hearing your readers views on this proposal.
N Bristow, Herts
SWLING IN 1959
May I thank you for producing a very readable and interesting magazine. I first started short wave listening in the late 1940s and my hobby reached a peak around 1960, when DX conditions were excellent on the HF bands.
In 1959 I bought an Eddystone 840A and this receiver is still going strong and has not developed any faults throughout its life.
Comparing the October CQ Contest of 1959 with 1984; in 1959 a wealth of DX was heard on 28MHz, all AM: ie, JA2, KG6 (Guam), JA4, KV2, LU9; KR6 (Okinawa), BV1 (Formosa), UL7 (WSiberia), HH2 (Haiti) etc. Similarly on 21MHz it was all AM with JA6, VP8, FM7 (Martinique), ZL2, 3, 4, VK4/5/6, VU2 (India), VST (Singapore) and ZS6. DX on the LF bands was just nonexistent.
However, by 1961 G3FPQ was heard working ZL and VK on 80 metres SSB. It is a great pleasure to hear David working the DX on 80 even now, and the thrill I got hearing those ZLs on 80 will remain with me for the rest of my life.
By contrast in the 1984 October affair I heard nothing of interest on 28MHz. On 21MHz however I heard YA1, V2 (Antigua), ZS1, LU4, 4K1 (USSR Antarctica) and XT2 (Volta).
In the 1959 contest the first SSB stations were appearing on 14MHz; ie, VE7 (British Columbia), LU4, KL7 (Alaska) and ZS5. In 1984, as far as I could tell, all operations on phone were SSB. 14MHz produced UZ9, JH1, JA9, VK2 and SN24.
But the great difference was on the LF bands. No less than 15 countries on Top Band! 80 metres was producing a host of DX including UW9, VP2, Ws etc, and 40 metres was also being used to good effect.
In 1959 I had a 67 foot long wire outdoors, whereas I now have a folded dipole for 21MHz in the loft space, but the receiver is still the Eddystone 840A.
One station was heard in both 1959 and 1984 contests; HZ1AB!
Just as a final note, I am sorry that the amateur fraternity looks down so on CB. In my area it works quite well and I have spent many happy hours chatting and DXing on 27MHz using legal equipment. Incidentally I may soon appear on the ‘higher’ bands as I now have my class B licence.
73s and keep up the high standard of the magazine and its friendly approach.
Philip Davies G1EMD, Shropshire
THE MAG FOR ME
I will be taking the RAE in May and to supplement my studies I have picked up various radio magazines to help me.
It was not until I bought Amateur Radio and read a couple of copies that I decided this is the magazine for me each month.
Keep up the good work.
Brian Navier, Hull
MORE FOR SWLS
GW4OXB’s hornet’s nest (February 1985) deserves to be stirred up as much as possible until SWLS, especially beginners like me, get more consideration.
Whilst there is no doubt that Amateur Radio makes a greater effort for us than other publications, there should also be less jargon to enable the newcomer without electronic knowledge, or even a proper receiver, to get a general idea of the hobby.
As one who unashamedly falls into this category with ownership of a Fidelity RAD21, my own experience is of being inundated with technical information about instruments I can never hope to afford.
Much as I would love to progress by acquiring something more professional, like a Trio R600 or a Yaesu FRG800, I see no prospect of doing so while the radio magazines continue to bombard me with incomprehensible abbreviations.
Firoz Mohamed, Derbyshire
The 1985 RSGB National Convention will be held on Saturday 13th and Sunday 14th April at the National Exhibition Centre in Birmingham. Last year's event was an outstanding success with well over 10,000 visitors in two days, and everybody is hoping that 1985 will set new records.
It is not difficult to see why the NEC exhibition ranks as the big event of the year: traders from all over Britain, large and small, are on hand with large stocks and special offers, brand new products and rare items; clubs and committees representing all the different interests of radio amateurs are in attendance, meeting old members and signing up new ones, spreading 'the gospel' and (of course) selling their specialist wares; lectures on a vast range of radio topics, whether for the beginner or the expert, are taking place throughout the two days—yes, all this and more, and all under the same roof!
The event is held in and around that high-tech aircraft hangar, Hall 3 of the NEC. The doors are open from 10am to 6pm (5pm on Sunday), and admission will be £2.50 (£1 for children). Judging by previous years it certainly pays to get there early; the queue which inevitably builds up before opening doesn't take too long to clear, and it does seem that the early birds always catch the most bargains (and manage to get a seat in the bar!).
What's on
Without doubt one of the big attractions of the NEC convention is the unique collection of traders together in one place. The 'big names' are always well represented, touting their full ranges of goodies from the latest all-singing, all-dancing Japanese 'black box', through a host of kits and add-ons to the simplest accessory. The NEC 'bash' is one of those affairs where nearly everybody appears to be walking around with a big grin on their face and an even bigger cardboard box containing their latest purchase under their arm. Perhaps it's time you treated yourself to a new toy...
Birmingham is a major event in the trade calendar, so keep an eye out for new equipment, latest models and special prices and deals: you could probably save the cost of getting to Birmingham in the first place. With traders of all sizes offering their goods, there's bound to be something to suit everyone's needs and pocket.
It would be wrong to think that the NEC convention is only about buying and selling, since there is so much else to see and do during the day. Clubs and special interest groups, including RSGB Affiliated Societies and not forgetting the RSGB itself, are always on hand to promote their activities.
The RSGB is quite obviously there in force, and as well as organising the whole event and providing stewards and a central information point for the duration of the show, have a complete bookstall service on hand offering their full range of books, maps, RSGB paraphernalia and accessories.
While on the subject of the RSGB, it is worth remembering just how much work Norman Miller (G3MVV) and his committee put in to ensure the smooth running of the event: planning for the forthcoming show started even as the doors were closing on last year's success. Indeed, it is their forethought and close liaison with the people who run the NEC, backed up by the lessons learnt over the last two years, which augur so well for another triumph in '85.
All this and more...
With all this going on in the main hall, you might think that there would be neither time nor space for anything else—but there, my children, you would be wrong. Tucked away in several of the reception rooms that make up part of the Hall 3 complex, takes place a comprehensive series of lectures on various amateur radio topics. It is these talks and forums that turn the NEC show into a 'convention' in the truest sense of the word.
Full details of the programme are not yet available,
but it is hoped that as many as five lecture streams will be running, so there certainly should be something of interest for everyone.
This year the talks will mostly be limited to one hour in length, to allow people time to sample as much as possible of what the convention has to offer. Careful note should be made of timings and locations of the discussions that interest you: obviously this will help to ease some of the problems of keeping to schedule, and prevent you from missing out.
Famous names...
If last year's talks are anything to go by, these lectures certainly are worth all the trouble it takes to get in to hear them: famous names and callsigns are there on show, waiting to be heard and later questioned. In my opinion the talks are of such a high standard that it is well worth organising the rest of your day at the NEC in order to fit them in.
This year's event also features something a bit different. If you happen to hear a stream of 12wpm Morse at some point during the day then the chances are that it will be Mr G H Williams (G3CYP), who will be at the NEC for the duration of the convention conducting BTI Morse examinations.
Facilities
Amidst all this talk of seeing and doing, buying and selling, one should not forget that the NEC also offers one of the largest gatherings of amateur radio enthusiasts of the whole year. The visitor certainly gets a feeling that he or she 'belongs' (unlike when a neighbour is busy complaining about TV!). The show's position as a big social occasion, though perhaps lacking some of the cosiness (and cowpats) of a Woburn or Longleat, is certainly helped by the facilities on offer at the NEC.
Full restaurant, bar and snack bar facilities are available, providing the bargain-hunter with a chance to sit down for a while, chat with old friends or make new ones. The 'discussions' between amateurs in these various locales are sometimes almost as interesting as the officially organised lectures!
A full range of accommodation is available for those who wish to take in both days, ranging in price and sophistication from simple bed & breakfast to the upmarket Metropolitain Hotel, itself part of the NEC complex.
How to get there
Birmingham's central position, combined with the special travel facilities provided for the NEC, help minimise the headaches involved in getting to the convention, even for those with relatively long journeys to make.
By road, there is easy access to the NEC from the many motorways which lead into the Midlands. The NEC itself is well signposted, with special exits taking visitors straight into the complex. Once again the RSGB has managed to obtain free parking for those driving to the exhibition, and on arrival there is a frequent and free shuttle bus to take you from the large parking area right to the entrance of the hall, and return you, and your purchases to your car at the end of the day.
For rail travellers the destination is Birmingham International station, this being located within the NEC complex and linked to the hall by escalators and covered walkways. It is worth noting that the NEC is only 80 minutes by rail from London (Euston).
Jet-setters will find Birmingham Airport adjacent to the NEC, a short bus or taxi ride away. As well as shuttle flights to and from London, the airport has connections to many major European cities.
Don't miss it!
So there you go, hours of harmless fun awaiting you at Birmingham on 13-14 April. If you've been before you'll know just how interesting and worthwhile it can be: you certainly won't need to be reminded of the various bargains to be had. If you haven't been before, there's only one way to find out what you've been missing up to now, and that's to get along there and see for yourself.
Without doubt the NEC provides a great opportunity to look, listen, learn, do some shopping, mix with other amateurs, and have an enjoyable day while you're at it! See you there?
**PRECISION GOLD MULTIMETERS**
The Maplin Precision Gold test meters are designed to serve all situations where fast and accurate measurements are required. Initially, the range comprises five products, but further items will be added over the next few months.
The pocket multimeter is a rugged, easy to operate, general purpose multimeter. Its compact size and ease of portability makes it ideal for those situations where fast, accurate measurements are required. Ideal for use in the house, boat, car etc. Mail order price: £6.95.
The M1028Z is a wide range multimeter having a 90° three colour mirrored scale with a double jewelled precision moving coil movement. There are 23 measuring ranges and the meter costs £14.95.
The M2020S is a professional quality, comprehensive multimeter having a 90mm, full 90° arc, mirrored two-colour scale and a knife-edge pointer needle. In addition to the usual multimeter functions this product also has a transistor and diode checking facility which can determine transistor type and operational integrity. Incorporated are one green and one red alternately flashing LEDs which are very easily interpreted. The mail order price is £19.95.
The M5050E electronic multimeter is an accurate VVM type multimeter which uses FET input stages to present a very high input impedance, and thereby negligible loading to the circuit under test. This versatile multimeter is also calibrated to read peak-to-peak ac voltages as well as rms. The mail order price for this model is £34.95.
The M5010 digital multimeter is a high performance piece of equipment at a highly cost effective price. It has a 0.5in high, 3½-digit LCD display with polarity and battery state indicators. The DMM has 31 ranges, which in addition to providing for the measurement of dc/ac voltage, dc/ac current and resistance, includes continuity and diode testing facilities.
The continuity test sounds an audible buzzer if the resistance measured is below a minimum threshold. In addition the meter circuitry is built onto a gold-plated PCB for long-term reliability and consistently high accuracy. The mail order price is £42.50.
The Maplin Precision Gold range of test gear is available by mail order direct from the company or from the Maplin retail stores in Southend, London, Birmingham, Manchester and Southampton.
For further information contact: Maplin Electronic Supplies Ltd, PO Box 3, Rayleigh, Essex SS6 8LR.
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**RWC MODS**
R Withers Communications are about to launch their latest innovation after six months of development by their design team.
The new product is a modification for the Yaesu FT757GX and serves two purposes: to improve VFO tuning and eliminate 'VCO GLITCH' and to increase tuning speed from 5KHz per dial revolution to 50KHz (selectable on the 500KHz step switch).
The unit comprises a small PCB designed to fit onto the existing microprocessor (Q67) and has two microchips, some small components and only eight connections.
Three of the connections are made to the micro pins direct and the other five are easily made to existing terminals on the main PCB and display board. The modification can easily be installed by an experienced constructor and will be available from selected dealers who will offer a fitting service.
The price is £29.50 for the PCB with fitting instructions and £39.50 plus carriage for a unit factory fitted and tested.
A complete modification board designed to fit CB radios that incorporate the Sanyo LC7137 series of synthesiser chips has also become available. The unit comprises a small PCB with six microchips and fits almost all legal (CB 27/81) radios.
The unit is supplied with full fitting instructions and can be fitted easily by most enthusiasts.
The board costs £22.50 plus £1 P & P and is exclusive to R Withers Communications.
For further information contact: R Withers Communications Ltd, 584 Hagley Road West, Oldbury B62 0BS. Tel: (021 421) 8201.
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**'THE LIMPET'**
How many times have you heard the story of the man who put a ¾" aerial for 2 metres on to a magnetic mount and then found that every time he travelled at more than 30 miles per hour the magnetic mount parted company with the car. Well, now a magnetic mount that should put an end to that sorry tale of woe has been found.
This new magnetic mount (which could aptly be named 'the limpet') is more than three times stronger than the conventional magnetic mount. Its special design means that for normal car mounting surfaces and the legal driving limits, the aerial will stay put.
Tests have indicated that there is every likelihood of the aerial base breaking before the adhesion between the car metal work and base is lost.
The SO239 mount comes complete with 50 ohm cable and PL259 plug. Made in Japan and selling for around £15.00, this unit will be found in most good amateur radio shops from March.
Alternatively, the unit can be ordered direct from the importers at £16.75 incl P+P.
For further information contact: Waters & Stanton Electronics, 18-20 Main Road, Hockley, Essex.
STOLEN GOODS
The following amateur radio equipment was stolen on the night of 13/14 February from Roy Bailey (G6WLE) and we felt his plight was worth a mention in these columns:
- Yaesu FT700R, serial no 041387 with speaker mic, nicad battery and ¾ wave whip.
- 70cm linear amplifier, home-made from a Wood & Douglas 7OLIN10 kit. It comprises an aluminium die-cast box, approximately 4½in x 3¾in x 1½in, with a black heatsink of almost the same length fixed to the underside. The controls on the outside of the box are marked by blue Dymo tape on which the lettering is almost unreadable.
- Oscar 2m/70cm dual-band antenna. This is mounted on an old mag mount that originally held a cheaper antenna.
- Duplexer. Home-made, in an aluminium die-cast box, approximately 1½in square and tin thick, with a BNC socket at one end and two leads, approximately 35cm long, at the other.
- Yaesu PA3 car adapter/charger. Standard item, with cigar socket plug on one lead and a double power and charger plug on the other.
If you are offered any of these items, or you have knowledge of any attempt to sell them, please contact your local police station, or Ron Bailey, tel: (048839) 441.
A UNIQUE TRIP
Five radio amateurs from Goole, Yorkshire, are planning a unique trip for the first weekend in May—to the most northerly, southerly, easterly and westerly points of mainland Britain.
Determined to arrange 'something completely different' to publicise the hobby generally and their town's Radio and Electronics Society in particular, they asked Renault UK Ltd to lend them a new car for the gruelling, 2,000-odd mile exercise. The French manufacturer, which has been importing vehicles through the port of Goole for more than 10 years, duly obliged.
They intend driving up to the north of Scotland on the Friday night/Saturday morning, reaching their first 'target'—Dunnet Head—well before noon. Their next destination will be the most westerly tip of mainland Britain, Ardnamurchan Point, which they hope to reach by Saturday afternoon.
All they will have to do then (!) is drive down to the Lizard, probably completing that leg of the trip first thing on Sunday morning and then tackle the long haul to Lowestoft, which should be reached by mid-afternoon. They aim to be back at Goole by the evening.
The Goole Society believes the journey should be possible without too many difficulties and intends to operate non-stop on 144/145MHz throughout the weekend; a severe test for any rig, let alone the poor Renault 5!
There are hopes that a special event callsign—GB8 Round Britain Trip/M—will be issued, although it's by no means certain that the DTI will approve such a mobile identification. If not, the society's own callsign, G6HSG, will be used.
Either way, the weekend-trippers will issue special QSL cards to those lucky enough to link up with the Renault. It's hoped that fellow amateurs will donate at least 50 pence or £1 for each card, as one of the principal aims of the trip will be to raise money for charity.
Two good causes have been earmarked for help—the £100,000 'Stop-the-Rot' appeal at Goole Parish Church, which needs major repairs, and the National Society for the Prevention of Cruelty to Children. Sponsor forms will also be available for people guessing the precise distance covered.
The team of five are all members of the Goole Radio and Electronics Society, namely: Steve Anderson G6VBU, the society's public relations officer; Ray Thornton G6KCE, secretary; Richard Sugden G8IOH, treasurer; Geoff Cowling G8ERX and Dennis Lockwood G6REL.
If they succeed on this venture they are going to plan something a little more challenging next year!
COMPETITION RESULTS...
AT LAST. The Lucky winners of the competition featured in the December issue have been decided and are as follows:
The first prize of a TAU SPC3000 ATU donated by TAU Systems goes to:
H G Hall of Trimpley, Worcs
and the runners-up prizes of the ATU in kit form donated by TAU Systems and Cirkit Holdings go to:
P Varkalis of St Albans, Herts
and
M Kessel of Stoke-on-Trent, Staffs
Our thanks to the thousands of you who entered the competition.
Saturday evening, 16 February. The phone rings. The message is that Carl and Martha Henson are active from Equatorial Guinea as 3C1BC and 3C1YL and will be there for two weeks. They have no permission for 40 metres, but are expecting to be active on all the other bands including 160. My informant had tried to call me earlier but, as always seems to happen when there is a new one on the bands, we were out.
Desperate need
What to do? Equatorial Guinea is one I need desperately for an all time new country, having missed earlier operations from there (the last was 3C1JA by a Japanese operator about 3 years ago). The first snag is that, having recently moved house, I have yet to get the beam in the air and I am limited to wire antennae hung from a 42ft mast which I have temporarily put up against the house wall.
The good news is that Carl and Martha are first rate operators, with a record of having put on the air several rare countries from Africa in recent years (Zaire, Uganda, Annobon and Tchad, that I know of); they never publicise their operations in advance so there are no disappointed operators if things don't work out. When they do arrive and get the licence they refuse to work via lists or nets but can be found on CW and SSB, on or near the usual DX frequencies. Incidentally, their home calls are WB4ZNH and WN4FVU.
What next?
Having thought about the above I have to decide how I am going to catch them. Initially I have some doubts about the likelihood of working them on 160, and feel that 80 will be rather hectic in the early days of their operation. So will the higher bands but, always the optimist, I decide to start with 15 metres.
First thing Sunday morning up goes a 40m inverted vee (resonant as one and a half wavelengths on 15) and around midday I am busy in the pile-up calling Martha who is on 21288KHz, listening 300 to 310. Not surprisingly, however, I find myself getting nowhere against the people with beams and quads.
Not wanting to miss this new country I decide, against my better judgement, to go out that afternoon to the QTH of a local who has a 60ft tower and triband quad. By the time I arrive however propagation has swung towards the States and I am wasting my time. Just as well really, I wouldn't have got any particular satisfaction from working the 3C from someone else's station.
By Monday more news is available. On the 2m DX net I learn that several G stations got through on 80 yesterday evening. Carl was apparently quite strong, but was limited to transmitting on 3595KHz, although he could listen anywhere in the band. A phone call to a leading Top Band DXer also reveals that Carl was giving out a fair signal on 160CW shortly after midnight.
No sign
At midnight there is no sign of the J7 but, about 15 minutes later, who should show up but 3C1BC on 1821KHz with a 559 signal. He is working US stations and the occasional European. The pile-up is small at first but soon starts to increase. Then Carl disappears. My guess is that he has decided it is time to work split frequency and, sure enough, I find him up on 1828KHz calling CQ 'OSX D8'. In other words he is listening 8KHz down on 1820KHz.
Most of the crowd are still unaware of what has happened and are still calling on 1821, with the result that I am able to raise Carl on the second call. A quick exchange of reports and I have 3C in the bag and on 160 of all bands!
Other commitments prevent me from trying again until late on the Thursday evening. Shortly before midnight I hear Carl on 3595KHz, listening on 3604KHz. Out into the dark again, this time to take down the Top Band antenna and put up the 80m inverted vee. Back into the shack and load up the rig.
Carl is a good 57 signal tonight and very soon he calls 'the G3 go ahead please'. I too bad!) and call him. He comes back at about the third call (not such a rare one as 3C!), and while in QSO I ask him when he will be on 160. He tells me midnight GMT so, having given up on the 3C for tonight, I go out in the dark, take down the dipole and put up the Top Band quarter-wave inverted L.
The first QSO
On Tuesday evening my plan is to check 80m to see whether this band is likely to be my best bet. Sure enough a number of Southern Europeans are working Carl, but there is a teletype transmission right on top of him and I can barely read him. While listening to this there is news on 2m that K4LTA/J7 is on 20 CW. I need a CW QSL from Dominica, so I load up the 40m dipole (high SWR, but the feeder losses shouldn't be
give my call again, together with a report, and Carl acknowledges, giving me a 59 report. Nothing particularly significant in the report though. He is giving everybody 59, probably to make the QSLing easier for his manager back home.
Who needs a beam?
Friday is now with us and, fortunately, I had already arranged a day off work. Shortly after midday I hear a pile-up just below 14200KHz, and 5KHz further down the band is Martha with a reasonably strong signal. She is working into Europe and after a week of operation, and also with it being a weekday, the pile-up is small.
I rush outside to adjust the length of the 160m inverted L so that I can resonate it on 20m. Fortunately the top section runs roughly to the South, so there should be some modest gain towards 3C. Back into the shack and in less than 5 minutes I have her in the log.
The final QSO comes on Sunday on 15m SSB. Carl is operating on 21288KHz, listening on 21294KHz. Although it is 1430GMT he seems to have no propagation to the USA, so I may be in luck. The first few calls are fruitless, but then Carl tries to spread out the pile-up by announcing that he is listening 21295-21300KHz.
Fourth contact
The second station to raise him is one of my locals and I am able to jump on the same frequency before others spot where Carl is listening and have my fourth 3C contact in the log. Four bands, with one CW and 3SSB QSOs. Now all I need are the QSLs.
K4PHE is handling Carl's cards, and M4NX is handling those for Martha. This week's DX News Sheet, which arrived on Thursday, contains full addresses for both managers. What more could I ask?
Why have I used so much space to relate the saga of my chase for Equatorial Guinea? Not to blow my own trumpet, but rather to illustrate from a practical situation how it is possible to work DX successfully even without a big tower and beam. Some readers may have the impression that DXing is the preserve of the 'few', and if my tale encourages more modestly equipped amateurs to join the fray then I will be well pleased.
Other lessons
There are some other lessons to be learned from my tale, ones which I have covered in earlier columns but which are worth emphasising. Good up to date information is vital to the DXer, and other DXing friends are often the best source of this. A willingness to keep odd hours and put up with the inconvenience of messing about with antennae at night with snow on the ground also helps!
In the case of the 3C operation the ability for split frequency working was also vital, either by use of a second VFO or an outboard receiver.
Finally, I should point out that (on SSB) a linear amplifier helps when no beam is available, though a good speech processor can give a similar boost to the signal strength. In my case I use both.
Navassa Island
From 4-9 April look out for an operation from Navassa Island near Jamaica. A large group of operators are planning to go, including 6Y5IC and, possibly, his brother G3RFS. Navassa Island is 75 miles northeast of Jamaica and 30 miles west of Haiti, and is the subject of a dispute between the two countries. In amateur radio terms this manifested itself in July 1981 when a group of Haitian amateurs were airlifted to the island by the Haitian military and operated as HHON. Needless to say, the QSLs were never accepted by the ARRL for DXCC purposes.
The most recent operation from Navassa was in March 1982, when a group of US amateurs operated as KP2A/KP1, making 33,552 QSOs. The expedition was written up in Time magazine (3 May 1982 issue).
When arriving at Navassa by sea the landing is accomplished by jumping on to a wire rope ladder that dangles about 40 feet from a cantilever catwalk. There is no assistance because the island is normally uninhabited, being home only for an unattended lighthouse and various species of wildlife.
The LF bands
LF band conditions continued to improve during February and, once again, 160m was the star of the show. I have already mentioned the appearance of 3C1BC on the band; other exotica included G3ZGC/J6L, HH7PV, HK0HE, J87UEE, T7G9NX, 6Y5IC, 7X5AB, 3B9CD, ZL2BT and others. Speaking of ZL2BT, at the time of writing he was laid up with a damaged hip and I am sure readers would want to wish him a speedy recovery. On 80m recent DX has included DJ6SI/5V, TL8CK, KL7U, 9M2RT, T3OAT, ZL7OC and much more.
Other news
If you hear or work FR5DX, this is Herick, ex-FR0FLO, the best known operator from Reunion Island. FG5DL/FS will be operational from the French island of St Barthlemy in the Caribbean for about 2 years.
Cards for A61AA are now being accepted for DXCC credit; good news for those who worked Des last year. Des is now back in England and has no plans to return to A6 at present. Another one which the ARRL is accepting is PS7ABT/S9.
The latest news about ZR6AOJ is that he failed his medical and will not be going to Marion Island. It looks as if we will have to wait for another year or more before ZS2MI is heard on the bands again.
Welcome news
One piece of welcome news is that Thai amateurs are back on the air. Although the club station HS0A has been sporadically active in the last couple of years, there was a ban on operation by individuals.
This news is particularly important for anyone chasing the 5-band Worked All Zones Award, because Thailand is the only currently active country from Zone 26.
On a similar note, the first official amateur licences for many years are now being issued in Turkey.
Although there has been continuous activity from Turkey in recent years there was no official licensing procedure. ON5NT will operate from Burundi from 5-15 April using 9U5JB's station and callsign (ON5NT is 9U5JB's QSL manager). This will be using all bands including, possibly, 160.
Contests
There are no major contests time-tabled for April, but a couple of the RSGB's local events may be of interest: the ROPACCO Contest on 7 April and the Low Power Contest on 21 April; and, of course, don't forget the CQ WPX SSB at the very end of March. I hope to be participating in this with a group of others, signing with a special GB prefix from darkest Berkshire. Hope to hear you on the air.
Finally
Finally, I hope to meet some of you at the RSGB National Convention in the NEC on 13/14 April.
I am scheduled to give a talk about HF operating at some point, and particularly look forward to meeting some readers of DX Diary.
Come and hear the Icom range on stand A68-70 at the RSGB National Amateur Radio Exhibition
This year at the NEC, Thanet Electronics will only have demonstration facilities on their main stand, but the range and scope of these will enable you to appreciate fully the superb specifications and quality of all ICOM Amateur Radio Equipment.
You will be able to try out receivers and transceivers at base stations, mobiles and hand-portables in all the popular frequency ranges.
Buying ICOM equipment at the NEC will not be a problem as it will be readily available at any of the authorised ICOM dealers exhibiting at the show.
A new exciting set will be seen at this year's show...it is the ICOM IC-3200E FM Dual-band transceiver (144-430/440 MHz). This is the smallest transceiver available.
The IC-3200E employs a function key for low-priority operations to simplify the front panel. LCD display is easy to read in bright places, showing frequency, VFO A/B, memory channel duplex mode and S/RF meter information.
Other features include a 10 channel memory able to store operating frequencies, Simplex or Duplex. A memory lock-out function allows the memory scan to skip programmed channels when not required. The IC-3200E has a built-in duplexer and can operate on one antenna for both VHF and UHF. Options include: IC-PS45 DC power supply, HS-15 mobile mic, SM6 and SM8 desk mics, SP-10 external speaker and UT-23 speech synthesizer.
A great future is predicted for the IC-3200E against its rivals, due to the reasonable price of this model. For more details come and see us on stand A68-70, BCNU.
IC-290D/290E
290D is the state of the art 2 meter mobile. It has 5 memories and VFO's to store your favourite repeaters and a priority channel to check your most important frequency automatically. Programmable offsets are included for odd repeater splits, tuning is 5KHz or 1KHz.
The squelch on SSB silently scans for signals, while 2 VFO's with equalising capability mark your signal frequency with the touch of a button. Other features include: RIT, 1 KHz or 100KHz tuning CW sidetone, AGC slow or fast in SSB and CW, Noise blanker to suppress pulse type noises on SSB CW.
You can scan the whole band between VFO's/scan memories and VFO's. Adjustable scan rate 144 to 146 MHz, remote tuning with optional IC-HM1 microphone. Digital frequency display. Hi Low power switch. Optional Nicad battery system allows retention of memory.
Soon to be announced!
IC-735 New Compact HF and R7000 VHF/UHF Receiver.
IC-505, 50MHz
A New Dimension for the U.K.
At last, permits are now available in the U.K. for the 50MHz (FM) band. If you wish to use this less crowded amateur frequency the IC-505 SSB CW portable transceiver has already gained an excellent reputation world-wide.
The IC-505 features microprocessor frequency control, dual VFO's and 6-channel memories with memory scan. LCD ensures clear visibility even in sunlight. The 505 accepts a standard dry-cell pack, rechargeable nicad battery pack (BP10) or 13.8V external power supply.
Standard accessory circuits such as split switch, noise blanker, squelch and CW break-in are incorporated in the 505.
Other accessories available include the EX-248 FM unit, BC-15 charger unit and the LC-10 carrying case.
All these features make the IC-505 a great transceiver that will enable you to operate on the 50MHz band, after all the rest of the world does!
Special Offer!
Tono Linear Amplifiers
2M – 100W, £79.00.
MR – 150W, £139.00.
Also available, new G-series with GaAs FET pre-amp.
2M – 130G, £159.00.
2M – 90G, £149.00.
2M – 40G, £ 89.00.
4M – 70G, £179.00.
all inc. VAT.
Carriage charge is free for Cue Dee and Tono special offers.
Authorised Icom dealers in the UK
Alexian Electronics Ltd. Edinburgh, 031-554 2591
Alyntronics, Newcastle, 091-761002
Amateur Radio Exchange, London (Ealing), 01-992 5765.
Amcomm, London (S. Harrow) 01-422 9585.
Arrow Electronics Ltd., Chelmsford Essex, 0245-381673/26
Beamrite, Cardiff, 0222-486884.
Booth Holding (Bath) Ltd., Bristol, 02217-2402
Bredhurst Electronics Ltd., W. Sussex, 0444-400786.
Cable UK Ltd., London, 01-558 0854.
D.W. Electronics, Widnes Cheshire, 051-420 2559.
Hobbytronics, Knutsford Cheshire, 0565-4040.
Photo Acoustics Ltd., Buckinghamshire, 0908-610625
Radcomm Electronics Co. Cork, Ireland, 01035321-632725
Radio Shack Ltd., London NW6, 01-624 7174.
Scotronics, Edinburgh, 031-441 2437
Tyrone Amateur Electronics Co. Tyrone, N. Ireland, 0662-2043
Reg Ward & Co. Ltd., S.W. England, 0297-34918.
Waters & Stanton Electronics, Hockley Essex, 0702-206835
Listed here are authorised dealers who can demonstrate ICOM equipment all year round. This list covers most areas of the U.K., but if you have difficulty finding a dealer near you, contact Thanet Electronics and we will be able to help you.
Cue Dee Antennas Special Offer!
CUE DEE antennas are designed to last for decades – the best possible aluminium alloy for this purpose is used (SIS 4212-06).
The booms are made of 28mm tubing with 1.5mm wall, with colour marks clearly indicating where to fit the elements. By using tubular boom, and a synthetic guy wire on the long yagis, the windload is reduced by a factor 0.66 compared to using square shaped material for boom and guying.
The driver element is made of 12mm tubing and features a PTFE (Teflon) insulated gamma match which is pre-tuned at the factory and made for 50 ohm feeder with a PL 259 type connector. No further adjustments or power consuming balun needed. This matching system ensures a clean radiation pattern and transfers the power without losses.
The parasitic elements are made of 6mm solid rod and mounted to the boom with the aid of a CUE DEE element washer, boom to element part and a screw. This, together with our intelligible assembly manual, makes an extremely easy and solid assembly which assures the long life of a CUE DEE antenna.
2 metre Yagis.
4144A – 4 element, 8dBd gain £19.00.
10144 – 10 element, 11.4dBd gain £37.00.
15144 – 15 element, 14dBd gain £49.00.
Order now while stocks last.
You can get what you want just by picking up the telephone. Our mail-order dept. offers you: free, same-day despatch whenever possible, instant credit, interest-free H.P., telephone Barclaycard and Access facility and a 24 hour answering service.
Please note that we now have a new retail branch at 95, Mortimer Street, Herne Bay, Kent. Tel: 369464. Give it a visit, BCNU.
To me the RAE was an evil necessity. I had been attracted to Morse for many years, and when my husband started to learn it for his G4, I realised that to fulfil my desires I had to enter the mysterious realm of radio. Centuries later, being the proud owner of G6HJT, I cast envious eyes over my husband's equipment. Prepared for this eventuality, Steve presented me with my own beautiful PF70, modified for 70cm, and suggested we try it out on a family trip to London.
After arranging various skeds, we went our separate ways, intending to meet at the Science Museum to see GB2SM. Two hours and one sore throat later I arrived, and after hoarsely tiring Steve for callously ignoring me, he pointed out that I seemed to have misplaced the helical aerial. The resultant blown PA marked my entrance onto the radio scene.
Unabashed by the London experience, I turned to mobile operation. After all, with a gutter-mounted aerial and the rig jammed between the seats, where could I go wrong? The moment I sat in the car the problems began. In which hand should I hold the microphone? If in the right, the steering wheel assumed a life of its own every time I changed gear... if in the left, the mic-lead got inextricably tangled around the gear lever.
There is a tendency to forget the basics of driving whilst being involved in an interesting QSO; only last week I slowly became aware of a pungent smell of burning and an inability to go above 30mph.
Fortunately the hand-brake and brake-pads don't seem any the worse for wear... at least my husband hasn't noticed anything yet. And, as if a mic doesn't present enough problems, one G4 told me recently that his most interesting QSOs are Morse/mobile!
I've discovered a new twist to this radio world; it's called Morse tutors, both male and mechanical. Both are hard, relentless, and 50% wrong (at least according to my copy). Their sole purpose in life is to reduce me to a jibbering wreck by always going at least six words a minute faster than I require. Still, flushed with the success of my radio night class, I decided to join up again...
Morse class
A cold bleak Wednesday evening saw me sitting with 20 or 30 like-minded innocents waiting for the tutor. Suddenly the tension eased for there he was, a pleasant-faced man with an engaging grin, clutching the key (for the uninhibited this is a gadget able to make the most stoic of false teeth stand on edge repeatedly). I felt that life in this class would be a walk-over, pure fun. Unfortunately I didn't realise for whom. Now, I can take a joke with the best of them; after my driving lessons I needed a sense of humour. However I can't find anything funny in a tutor who tries to get into the Guinness Book of Records whilst assuring me it's only test speed.
Here let me give a hint to prospective Morse candidates. If you receive the first sentence complete, and the last sentence yields only 'O's and 'T's, you aren't becoming more dense by the minute; the innocent looking fiend on the key has decided that you are enjoying yourself and feels it his bounden duty to change all that by speeding up.
Should your tutor have a speck of compassion hidden deep in his soul he will read back the double-dutch he has sent and your shame is hidden beneath a muttered 'Well that's not what I heard'. However, if he is called Malcolm G4DVE he requires 10 minutes of purgatory while we all try to piece together what we have received -- 'Astri popf apermay eputa the bottom' being one example of what was on my paper, I decided that silence was golden. The highlight of the evening was the coffee break, not only to uncramp the fingers, but like all students the desire to talk shop was irresistible, and I spent much of the time convincing everyone that there is life on 70cms.
Fortified by coffee we headed back, determined to show that our powers of concentration were now at their height and we had only been warming up before. Unfortunately the tutor felt likewise, and so the sword of Damacles fell as he suggested that we would like to have a go at numbers. Now numbers are logical, consistent and all have one dot or dash more than you expect. Added to this he liked them to be written in groups of five, so misplace one and you are sunk without trace. Malcolm, oblivious to our sickly protestations, started at a leisurely pace, rising to a full-blown gallop in five agonising minutes. By this time in the evening my fervent wish was for a hot cup of tea and a sympathetic husband.
Some hope! When finally I got home and picked my way through the living room (the aerial is now permanently attached to our radiator, and the rig on a coffee table two yards away), Steve shouted down from the shack that he'd love a cup of tea now that I'd finished gallivanting off. Unfortunately, even though there are a thousand more convenient places, our shack is in the loft, so it subtly changes character with the seasons; a very effective freezer in winter, and an undoubted sauna in the summer.
I never actually decided to take the Morse exam. It was a crafty male ploy. Malcolm sent an easy passage (normally unheard of), then in the bonhomnie of 100% copy produced the application forms. Still, easy come easy go. It was Steve's money I happened to have with me! Little did I realise what a stake this gave Steve in the exam. Suddenly the key appeared on the breakfast table, in the kitchen or whilst watching my favourite TV programme, and I didn't dare argue.
Wishing for escape
The date of the test was set for March. A gentleman of immense experience was leaving the salty air of a coastal station to spend two days in land-locked Wolverhampton, just for our benefit, and I was beginning to wish for any honorable way of escape. It was at this point that the key decided to develop a marked stutter every time I touched it. Steve suggested that it might have something to do with the fact that I clutched it as tightly as one of his £5 notes... very technical I thought!
With feelings too deep for words I climbed into the car on the night of the test, one hand clutching pen and paper, the other a large flask of hot sweet tea. At the appointed time I was sitting in the dreaded room with twelve equally green-faced colleagues waiting for the first passage. In no time at all I had 100% copy on my paper and by the smug looks on everyone else's faces so had they!
Back to the waiting room for a brief cup of tea then I was ushered in to 'send'. The grating of teeth as I desperately tried to concentrate was embarrassing, but at least this key didn't stutter. As I left the room I caught sight of the examiner and saw him in a different light. He was tall dark and handsome... quite a dish, but I just hadn't noticed before! Back in the waiting room I shared my tea with the others and beamed reassurance to all, knowing I couldn't have done better, and believing secretly that my pass slip was on its way.
Now officially known as G4TCĐ I can look upon my stuttering key as a friend and the airwaves as a place of intriguing possibilities... a long way from catching sporadic dots and dashes on a dusty old wireless when I was still wearing ankle-socks.
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---
**RSGB National Amateur Radio Convention**
National Exhibition Centre, Birmingham
Saturday 13th April 10am to 6pm Sunday 14th April 10am to 5pm
**FEATURING**
- Lectures on HF, VHF and Microwaves
- Introduction to Amateur Radio for Beginners
- Special session on Packet Radio
- Major Exhibition of Amateur Equipment & Components
- Forum each day for Repeater Enthusiasts
- RSGB stand with book sales and representation by many of the Society’s committees
- Bigger Flea market as a result of last year’s success
Entrance Fee £2.50 (Children ½ price) Car Parking Free
Organised by the Radio Society of Great Britain
As I described in 'The Eddystone Story' (Amateur Radio, September, 1984), prior to the 1939-45 war Stratton and Co produced a series of receivers using 'straight' (ie not superhetrodyne) circuitry, which gained the firm a considerable reputation for quality and reliability.
About 1939, the company designed their first commercial communications receiver, the 358X, and based on this experience, in the years following the end of WWII, produced a number of excellent, moderately priced receivers for both professional and amateur operators.
Starting with the 504 and the rather less expensive 640, these pieces of equipment all exhibited the hallmarks of quality—good electrical design coupled with sound mechanical engineering.
To many operators, the ultimate of these was the 888A which was introduced in the late 1950s.
In this, the traditional Eddystone features of a large, easily-read dial and silky flywheel tuning were allied to a sensitive double superhet circuit of great stability and superb selectivity.
Returning to use one of these receivers after a gap of many years, I have been amazed by its performance and, although by modern standards it is lacking a little in sensitivity on 10 and 15 metres, on lower frequencies I am of the opinion that it can more than hold its own with equipment presently available.
**The circuit**
The traditional design principles of superhetrodyne receivers dictated that the intermediate frequency should be high to ensure adequate image rejection, but low to provide adequate adjacent channel selectivity.
Until the introduction of high frequency crystal filters, these conflicting demands were resolved by the use of two or more intermediate frequencies. Following this principle, the 888A is a double superhet.
The 888A tunes the six pre-WARC amateur wavebands between 1.8 and 30MHz, with each covering the majority of the 12 inch horizontal tuning scale.
The input to the receiver comprises two aerial and earth terminations, a common arrangement at that time. When a balanced aerial is used (such as a dipole with balanced twin feed), the two aerial connections marked A1 and A2 are used, but for unbalanced feed (such as coaxial feeder) the centre core attached to A1 and A2 is connected to the screen and earth. A series tuned circuit tuned to the first intermediate frequency is connected between A1 and A2 to act as an IF rejector circuit.
The signal then feeds, via the wavechange switch, to the radio frequency (RF) stage. This utilises a 6BA6 vari-mu pentode in a conventional circuit. In the cathode of this stage a potentiometer forms the RF gain control and an additional fixed resistor, normally short-circuited, serves to reduce the sensitivity of the receiver when the crystal calibrator is being used.
The signal then passes from the RF stage to the frequency changer, where it is mixed with a local oscillation to
produce an intermediate frequency of 1620KHz.
This stage uses two valves – an ECH81 (6AJ5) as a frequency changer and, to ensure optimum stability, an EC91 (6C4) as the local oscillator. The 1620KHz IF signal derived in this stage then passes to a second frequency changer, again using an ECH81, which converts the signal to 85KHz. At this frequency the signal is amplified by a 6BA6 before being demodulated.
The two 85KHz IF transformers each incorporate variable coupling between their two tuned circuits. At maximum selectivity the coupling is critical, giving a bandwidth of approximately 1KHz for CW operation, whilst at the minimum selectivity position overcoupling broadens the bandwidth to 5KHz for amplitude modulated telephony. Between these extremes the bandwidth is continuously variable.
The second diode of the 6AT6 second detector is capacitively fed from the anode of the 6BA6 IF stage and provides an automatic gain control voltage to each of the previous stages.
For AM signals diode detection is used, but for SSB or CW operation the output from the detector diode is open circuited and the audio taken from V9, a 6BE6 pentagrid valve which operates as a product detector. It is interesting to note that this term had not come into general use at the time of manufacture of the receiver and in the Eddystone leaflet the stage was called a 'CW/SSB converter'.
The triode section of the 6AT6 operates as a conventional audio frequency amplifier and, unusually for a communications receiver, an external audio input is provided. This stage is fed directly from the product detector or from the diode detector via a double diode series noise limiter (V7).
The output of the 6AT6 then drives the 6AQ5 audio output stage. Between these, however, is a switchable audio filter, tuned to 1KHz, for CW operation. This gives a total bandwidth of just over 100Hz at the 10dB point.
The circuit is completed by a valve rectifier (GZ34), a VR150/30 stabiliser for the HT of the various oscillators and a 100KHz crystal calibrator stage.
No S-meter is fitted to the receiver but an octal socket is fitted at the rear to feed an external meter for which a circuit diagram was provided, although Eddystone could supply a ready constructed item mounted in a matching die-cast box.
A further octal socket on the rear of the receiver permitted operation from external power supplies, eg for portable operation.
**Mechanical construction**
On seeing the 888, two features immediately impress the viewer (see photo). Firstly, unlike so much modern equipment, the case is of solid diecast construction and secondly, the exceptional length of the frequency scales.
Beneath the frequency scale the controls are symmetrically laid out, these being dominated by two large knobs, the left hand one being the bandswitch and the right hand the tuning.
Above these are two pairs of smaller knobs which control (left to right) RF gain, BFO tuning, IF gain and AF gain. Below, arranged in two sets of four controls along the lower edge of the facia are (again left to right) mains on/off, send/receive, AGC on/off, crystal calibrator, AM/SSB, AF filter in/out, noise limiter and bandwidth. Between the two large knobs on a lower level is a local oscillator adjustment for use when calibrating the tuning scales.
On opening the case the impression of rugged construction persists. The complete coilpack and tuning assembly are mounted on a solid diecast frame and the remaining circuitry seems to almost fill the (by present standards) generously sized cabinet.
Due to this extremely rugged construction the receiver is surprisingly heavy. Ventilation, however, is quite good and considering the high packing density and number of valves, the equipment remains surprisingly cool even after prolonged operation.
In contrast with many modern receivers, the 888 requires a period of acclimatisation to obtain optimum results.
This is largely due to the lack of automatic gain control when receiving SSB or CW and the consequent necessity to achieve an optimum balance between the RF, IF and AF gain controls. This very weakness, however, gives rise to one of the great strengths of the receiver for, when this balance is achieved, conditions for good cross modulation performance also exist with obvious advantages.
In the demodulation of SSB, the incoming signal at intermediate frequency is mixed with a locally produced oscillation to form an asymmetric amplitude modulated signal, which is then demodulated.
Should the level of this incoming signal approach that of the locally generated oscillation the effect will be the same as an overmodulated amplitude modulated signal. In modern receivers this effect is prevented by the action of the AGC system. However, on receivers...
such as the 888, which were designed when SSB was in its infancy, the control of gain is in the hands of the operator.
**Optimum results**
In general it will be found that optimum results are obtained when the AF gain is quite high, the IF gain is set about half way and the RF gain is advanced sufficiently to bring the loudest signals on the band just below the point of limiting. Overall control of gain can then be achieved by use of the IF gain control.
The 888 was originally designed when amplitude modulation was the common form of transmission. As a result of this the design called for a maximum bandwidth of about 5KHz. This, of course, is far too wide for SSB reception but the selectivity adjustment is continuously variable and if a position of about two thirds maximum is selected this will be found adequate, although the shape factor of the response curve does not remotely compare with modern equipment.
For CW operation the selectivity control is advanced to maximum, giving a bandwidth of 1KHz at the 10dB points. This is adequate for most conditions, but if congestion gets really bad, Eddystone have provided another weapon in the armoury – an excellent audio filter which is so sharp that it can find gaps on forty metres on a Sunday morning!
**Bandspread**
The tuning and frequency scales on the 888 could hardly be bettered. Almost 12 inches of bandspread is available on each of the six amateur bands covered and, to ensure their accuracy, a crystal calibrator is also fitted. Any discrepancy found may be corrected by a panel mounted trimmer. The tuning control is backed with a heavy flywheel which gives a silky feel and also makes possible a very rapid move from one end of the band to the other.
**RF tuning**
On changing band it is often necessary to retrim the RF tuning. This is achieved by a small trimmer inside the cabinet which is accessed by lifting the hinged top cover. This is the subject of my only real criticism of the equipment, bearing in mind its date of design. I feel that this control could, and should, have been brought to the front panel as its present position makes mounting in a console impossible.
At present I am considering whether to modify the receiver to extend this control to the front panel or to put up with the inconvenience in order to leave the receiver in ‘collectors condition’.
In the accompanying leaflet Eddystone provide no sensitivity figures, so it was not possible to compare my sample of the receiver with the original specification. However on a qualitative check, as might be expected from a receiver of this vintage, I found the performance more than adequate on the lower frequency bands but lacking a little in sensitivity on 10 and 15 metres.
Overall, and in particular on the lower bands, I find the 888 a delight to use and I unhesitatingly recommend it for any SWL or radio amateur who requires an amateur bands receiver.
**Comparison**
Finally, two questions must be asked. Firstly, can it be maintained? The obvious thought is for the availability of replacement valves. All, however, are available through the pages of the various radio magazines. Secondly, does the 888 compare with the Drake 2B which I described last year? The answer to this is yes and no! The shape factor of the IF circuits on the 2B seem to be superior to the 888, with obvious advantage during SSB reception.
At maximum selectivity however, the 888 seems sharper and the assistance of the audio filter makes the superiority even more evident. In fairness though, it must be remembered that the 2B was described without the Q-multiplier or audio filter add-on units. In sensitivity and stability I found little to choose between the two receivers.
If pressed to make a choice between the two receivers, I think that the final decision would be made on price and availability rather than technical merit.
On the secondhand market the 888 can be purchased at a cost of between £35 and £75. Despite this low price, it will easily out-perform most new receivers costing up to several times as much and consequently must be seriously considered as a ‘best buy’.
A SURVEY OF RECEIVER REVIEWS
by Hilary Humphries
Unlike the hi-fi enthusiast, the short wave listener is not particularly well served in the matter of receiver reviews. Magazines that have broad appeal, such as *Which?*, pay scant attention to the short wave performance of sets that come their way and the SWL has nothing like the excellent range of publications entitled *Hi-Fi Choice* aimed at the music lover.
This position was confirmed by Lowe Electronics when I wrote to them concerning the availability of a review of the NRD515. They replied that magazines for the amateur radio enthusiast concentrate more on transceivers than on receivers alone. This article attempts to help readers by indicating those publications that carry reviews of specific models. I have also attempted to compare the RF performance of a number of popular sets and have included brief details of older professional receivers available on the surplus market.
**Choice**
It seems reasonable to suggest that, home brews apart, one's choice of Rx will fall into one of three categories: (a) the domestic portable with above average short wave performance; (b) sets aimed specifically at the amateur market; (c) professional receivers, subject to availability.
Firms such as Racial and Plessey do not deal with the public and since current models sell for £4,000 and upwards they would be out of the range of all but the wealthiest amateur anyway.
When I wrote to Plessey concerning their PR155G they were not interested in confirming the figure for 3rd order intercept point that I had worked out from their data sheet, so it seems the gods who sit on Mount Olympus have no dialogue with mere mortals. Luckily older models such as the PR155G and the RA17 can be bought for between £200 and £500.
In their day they represented the very best and still give a good account of themselves.
The *World Radio & TV Handbook*, which I will refer to as the *Handbook*, is published annually and its reviews cover the three types of set mentioned above.
Reviews of modern professional receivers are useful since they provide the yardstick by which other sets may be judged. Three such state-of-the-art receivers were reviewed in the 1982 *Handbook* and a glance at the summaries shows that these doyens of the airwaves score over their amateur counterparts, not so much in terms of sensitivity as in the quality of their construction, ease of servicing, reliability, robustness, dynamic range and frequency stability.
Whereas the better ham Rx will tune in increments of 10Hz, readout is normally only to the nearest 100Hz. Racial's current RA6790Gm, on the other hand, has a readout to 1Hz and is accurate to within plus or minus 2Hz, stability which is quoted as bordering on the absolute.
It appears that manufacturers of amateur receivers are not over generous in the number of bandwidths they provide. The NRD515, rated second only to Drake's R7A, has two positions for selectivity, one for MCW and one for SSB, with a choice of two for CW. Racial offer over 20 and this figure does not include the range of offset SSB filters. The former start at 40Hz (-3dB) for CW and extend to 13KHz, affording superb AM reception during daylight hours.
Another thing that becomes apparent from reading professional receiver specs is that the big boys do not cater for knob twiddlers. Racial will provide an RF amp on request but it is not switchable from the front panel. Its gain is pre-set to the user's requirement and is not adjustable externally. It is fair to state that while the professional user will have a number of receivers tailor-made to do specific jobs supremely well, the SWL and amateur must be content with a maid of all work designed to perform a number of tasks on a strict cost-versus-performance basis.
At one time it was sufficient to compare receivers on the basis of their sensitivity and selectivity, but this is no longer the case. The advent of the transistor with its inherent shortcomings at RF has altered the position considerably. As *Radio & Electronics World* stated in its excellent July 1983 article, it is now intermodulation distortion and the effects of reciprocal mixing that dictate the overall performance of a receiver. Third order intermodulation distortion (IMD) consists of an unwanted in-band product caused by two strong out of band signals mixing in the receiver, and great care must be taken in the design of the front end to keep these to a minimum.
**Dynamic range**
There are a number of ways in which a set's ability to cope with weak signals in the presence of strong ones can be quoted. Icom prefer the term dynamic range, given in dB (Trio and Yaesu omit the figure from their specs). Racial refer to the strength of certain signals required to give distortion of one microvolt. MuTek prefer to speak of the 1dB compression point, while Plessey quote the strength of two signals required to give a specific S/N ratio ref a receiver of known noise factor.
Since 3rd order IMD rises faster than the increase in the signals producing it there is an imaginary level at which the distortion would be equal to the level of...
Plessey PR155G
Frequency Range: 60KHz to 30MHz continuous with slight loss of performance down to 30KHz
Modes of Reception: CW, MCW, DSB
Frequency Stability: After 5 hour warm up less than 30Hz drift per hour at constant temperature
Selectivity: -6dB -60dB
1. 12KHz 36KHz
2. 6KHz 18KHz
3. 3.5KHz 12KHz
4. 1.4KHz 5.5KHz
5. 300Hz 3KHz
6. 150Hz 1.8KHz
Sensitivity: CW 300Hz bandwidth. 2 microvolts for 26dB S/N ratio MCW 3KHz bandwidth 30% mod, 4 microvolts for 10dB S/N.
Noise Figure: Not worse than 10dB up to 20MHz, not worse than 13dB above 20MHz.
Tuning: 30 1MHz bands, 84 inch scale length per band.
IF and Image Rejection: 70dB or better.
Intermodulation: 3rd order. 2 signals of 5mV each to give 20dB S/N ratio with reference to a 10dB noise factor receiver.
Power: Mains or 24V dc at 1 amp approximately.
Weight, dims: Suitable for rack mounting. Height 7ins, depth 17ins weight 39lbs.
the interfering signals. This level, measured in dB with reference to 1mW at given impedance, is called the 'third order intercept point', and is favoured by reviewers. In order to compare sets I have listed several in descending order of intercept point. The higher the figure in a positive sense, the better the receiver.
Intermod performance It was on account of its poor intermod performance that Angus McKenzie felt unable to give the R2000 his wholehearted recommendation when he tested it in April '84 and reciprocal mixing on the unmodified Yaesu FRG7700 was also disappointing. This parameter is an indication of poor selectivity caused by oscillator sidebands mixing with unwanted signals to give an in-band product. None of the manufacturers of amateur equipment include this measurement in their specs and thus draw a veil over what otherwise might reveal a multitude of sins.
It is depressing to read in receiver reviews that their RF performance is often below that of the receive sections of transceivers made by the same company. The Amateur Radio review of the FRG7700 pointed out that the Rx portion of the FT757 was in a totally different class while the January edition proclaimed the IC751 transceiver to be even better than the ICR70, this being borne out by reference to the above
| Make | Model | Publication | Date |
|---------------|--------------------------------------------|------------------------------|------------|
| AOR | 2001 VHF/UHF Scanner | Amateur Radio | Apr '84 |
| Collins | 75A-4 | Amateur Radio | Jun '83 |
| Collins | 451S-I professional | The Handbook | 1982 |
| Drake | 2B | Amateur Radio | Sep '83 |
| Drake | R4C | QST | May '81 |
| Drake | R7 | QST | Jan '80 |
| Drake | RTA | The Handbook | 1982 |
| Drake | 4245 professional | The Handbook | 1982 |
| Drake | RX125 | The Handbook | 1983 |
| Eska (Denmark)| W616 Monitor II | The Handbook | 1983 |
| Grundig | Yacht Boy | The Handbook | 1983 |
| Grundig | Satellit 1400 | The Handbook | 1981 |
| Grundig | Satellit 3400 | The Handbook | 1982 |
| Icom | ICR 70 | The Handbook | 1983, 1984 |
| Icom | ICR 71 | The Handbook | Jun '83 |
| JRC | NRD 505 | Radio & Electronics World | May '82 |
| JRC | NRD 515 | QST | Nov '81 |
| JRC | NRD 515 | The Handbook | 1982 |
| JRC | NRD 515 | The Handbook | 1982 |
| JRC | NRD 515 (Giller Mod) | The Handbook | 1982 |
| JRC | DR100 | The Handbook | 1980 |
| JRC | DR33-C | The Handbook | 1981 |
| McKay Dymek | RF2200/DR-22 | The Handbook | 1982 |
| McKay Dymek | RF310 | The Handbook | 1983 |
| National | RF900 | The Handbook | 1982 |
| National | RF9000 | The Handbook | 1982 |
| National | RF6300/DR-63 | The Handbook | 1981 |
| National | RF308 | The Handbook | 1981 |
| National | RF2600/DR22 | The Handbook | 1981 |
| National | RF2600/DR22 | The Handbook | 1981, 1982 |
| National | RF4900/DR49 | The Handbook | 1980 |
| National | RF4900 (Giller) | The Handbook | 1980 |
| National | RA670/SM (with ref to R2174 (F) URR, RA1792| The Handbook | 1982 |
| Racal | DX302 | QST | Aug '81 |
| Radio Shack | DX400 | The Handbook | 1980 |
| Realistic | SE3 PLL ECSS Detector | The Handbook | 1983 |
| Sherwood | ICF2001 | The Handbook | 1981, 82, 83|
| Sony | ICF680W (orange) | The Handbook | 1983 |
| Sony | ICF680 early version | The Handbook | 1980, 1981 |
| Sony | ICF7600A | The Handbook | 1981, 1983 |
| Sony | CRF | The Handbook | 1982 |
| Sony | ICF6500W | The Handbook | 1983 |
| Sony | R600 | The Handbook | 1983 |
| Trio | R1000 | Radio & Electronics World | Dec '81 |
| Trio | R1000 | QST | Dec '80 |
| Trio | R1000 | Amateur Radio | Apr '84 |
| Trio | R2000 | The Handbook | 1980 |
| Yaesu Mussen | FRG-7 | The Handbook | 1980 |
| Yaesu Mussen | FRG7700 | Radio & Electronics World | Dec '81 |
| Yaesu Mussen | FRG7700 | Amateur Radio | Apr '84 |
| Yaesu Mussen | FRG7700 (Surrey Electronics) | Amateur Radio | Apr '84 |
| Yaesu Mussen | FRG7700 | Hi-Fi News | Feb '82, Apr '84 |
There is, I believe, a growing realisation in this age of rapidly escalating equipment costs that on most HF bands many of the older receivers of 1947-65 vintage can perform just as well as their more modern brethren costing several times their price. Of course they do not have synthesisers or digital readouts but, nevertheless, their mechanical dials can often be set to an accuracy of better than 1KHz. Furthermore, in the high signal strength/heavy QRM conditions prevailing on the lower frequency bands, they can often out-perform their modern counterparts due to superior cross modulation characteristics.
Some people, however, on purchasing one of these older receivers find that they are somewhat disappointed with the performance and after a spate of valve changing decide that they were misled. What they forget is that the receiver is, in all probability, well over twenty years old and during that life components have deteriorated slightly. No matter how carefully the receiver has been used, it has received many knocks and bumps over the years which have probably slightly displaced trimmers and inductor cores.
In consequence, to bring the performance back to its original standard all that is necessary is an electrical check to replace any leaking capacitors or faulty valves and an alignment, both of which are well within the capability of an average amateur possessing a multimeter and a signal generator covering the tuning range of the receiver and preferably the intermediate frequency.
**Principles**
Before embarking on an alignment it is a good idea to recap on the principles of a basic superhetrodyne communication receiver.
The incoming signal arrives first at the aerial tuned circuit from whence it is directly coupled to the radio frequency amplifier. This may consist of one or two valves or semiconductors and its purpose is to raise the level of the received (CW) signals a beat frequency oscillator (BFO) was fitted. This operated at approximately intermediate frequency and can be adjusted so that it is displaced from the incoming IF frequency by a convenient amount, usually about 1KHz; the resulting audio beat makes possible the reception of continuous wave signals. It could also be used to provide a local carrier for the reception of single sideband transmissions.
**Variations**
There are several possible variations of this basic layout: there could be two separate intermediate frequencies, one high to minimise second channel breakthrough and the other low to provide good selectivity, or alternatively the first mixer local oscillator could be crystal controlled and the tuning (over the width of an amateur band) could be achieved in the second mixer. Nevertheless, it is possible to lay down certain guidelines and procedures which are applicable to all receivers with only slight adaptation for individual circuits.
As said previously, an adequate alignment can be carried out using only a signal generator and a multimeter, the latter being used on the ac range as an output indicator. Although the use of a wobbulator and oscilloscope will, if used correctly, give a superior result, they are not essential. The first section of the receiver to be aligned is the intermediate frequency amplifier.
The IF amplifier is situated between the anode (in valve equipment), collector or drain (in solid-state receivers) of the mixer and the detector stage. It comprises a selective filter, either mechanical or crystal, followed by two or three stage or amplification-coupled IF transformers.
If the filter is mechanical, which is rare in older receivers, it cannot be adjusted. If the filter is crystal it may be one of two types: half or full lattice, which uses several crystals, or a single crystal filter with phasing controls, these being very common in wartime and early post war receivers.
The coupling between amplifier stages uses IF transformers. These comprise two tuned circuits resonated to the intermediate frequency. The tuned circuits are mounted in such a way that their coupling is over-critical.
If two L-C circuits tuned to the same frequency are brought into close proximity, any signal existing in one will be induced into the other. The efficiency of the signal transfer will be dependent on several factors, one of which is their separation. By reducing this separation, the signal transfer will improve until a point is reached where transfer is maximum.
This is known as critical coupling. If coupling is increased further, the induced signal will not increase but the bandwidth of the combination will widen. This is known as over-critical coupling. In receivers using low (below 1MHz) intermediate frequencies, in order to obtain the bandwidth necessary to satisfactorily receive amplitude modulation signals, it was necessary to overcouple the tuned circuits in the IF transformers. This immediately gives problems in alignment, for when overcoupled, the tuned circuits mutually interact and, without using special techniques, it is not possible to tune both circuits to the same frequency.
Aligning the IF amplifier
The purpose of an IF alignment in a communication receiver is to adjust the intermediate tuned circuits such that they are all tuned to the same frequency.
The first task is to install some type of output level indicator. This can most conveniently be achieved by connecting a multimeter switched to a low ac range across the loudspeaker. The next task is to disable the automatic gain control system, for if this is not done the variation in gain caused by the improving amplifier gain will be partially marked by AGC action, thus making the output indications less definite. Some receivers have an AGC on/off switch for this but if not the AGC line will have to be located and short circuited to earth.
The signal generator has to be connected next. This can be most conveniently achieved by switching the wave change switch to a low frequency range and connecting the generator to the input (grid, base or gate as appropriate) of the mixer, the easiest place usually being on the tuning capacitor. To ensure that no confusion is caused by signals coming through from the aerial, disable the local oscillator – the simple method being to temporarily short circuit the appropriate section of the tuning capacitor.
Having completed these preliminaries, the alignment may be commenced. The initial task is to tune the signal generator to the intermediate frequency of the receiver. If there are no crystal or mechanical filters present this is merely a matter of setting the signal generator dial correctly. Older receivers often have a single crystal filter with panel or internally mounted phasing controls. If your receiver is one of these, adjust these controls for maximum selectivity and tune the signal generator for maximum on the output meter. Re-adjust the phasing controls for broad selectivity and proceed with the alignment.
More modern receivers use a lattice or mechanical filter. For these it is necessary to determine the centre of the passband. To achieve this, slowly tune the generator across the IF passband, noting the output level at each frequency. From these figures sketch the passband of the receiver and from this determine the centre frequency. This can be simplified if the later IF transformers are detuned. Should the receiver possess separate filters for upper and lower sidebands it will be necessary to find the mid-point between the two.
Having set the signal generator on the correct frequency, one small item has to be constructed before starting alignment. This comprises a 500 or 1000pF capacitor with a crocodile clip on each lead.
Set the output level on the signal generator so that it gives about half scale deflection on the meter and locate the primary winding of the IF transformer at the input of the amplifier. Earlier in this article I said that the tuned circuits in an IF transformer were overcoupled and that the tuning of each interacts with the other. The method of accurately tuning, therefore, is to detune one circuit to the degree that it will not interact. This is the purpose of our capacitor with the crocodile clips on the leads. Connect this across the secondary winding and the primary winding can be accurately tuned for maximum indication on the output meter. With the primary winding tuned the capacitor can be removed, placed across the primary and the secondary tuned.
Warning
A word of warning at this point: take great care that you have the correct trimmer tool, for if not there is a great danger that you will break one of the cores in the transformer and then you will have a serious problem on your hands, for the core must be removed and replaced before the receiver can be considered serviceable.
Having aligned the first IF transformer proceed with the next transformer in exactly the same way, detuning the secondary winding and tuning the primary and then vice versa. This technique is repeated until all IF transformers have been aligned.
The beat frequency oscillator (BFO) of the receiver now needs to be adjusted. If
The three types of RF tracking circuit, trimmer and variable inductance (a), fixed inductance, trimmer and padder (b), variable inductance, trimmer and padder
this can be tuned from the front panel, switch on and set the tuning knob in the centre of its travel. Switch off the modulation of the signal generator and adjust the preset BFO tuning to zero beat. This will ensure that the panel control will tune to either side of the pass band and in consequence be suitable for upper or lower sideband operation. If the BFO has no panel control, set the pitch of the beat note between BFO and signal generator to about 1KHz; on the high frequency side of the signal generator if the main station interest is 40-80-160 metres, or on the low side if the main interest is on the DX bands.
This article has so far described the IF alignment of a single superhetrodyne receiver. If, however, your receiver is a double superhet the technique is almost exactly the same, the only difference being that the second intermediate frequency stages are dealt with first, followed by the first IF.
Some receivers, however, particularly those with tuneable first IFs (such as the Drake2B) or with mechanical methods of varying the selectivity (such as some of the Eddystone range), require the use of techniques unique to the particular model. This equipment should not be adjusted without careful perusal of the instruction manual.
**RF alignment**
Having completed the alignment of the intermediate frequency stages it is now time to align the RF and mixer stages. The purpose and technique for this is completely different from the previous task for, whilst the purpose of the IF alignment was to ensure that all the circuits were set to precisely the same frequency, the RF alignment procedure is required to adjust two sets of tuned circuits so that when the tuning control is varied the frequency of one set of circuits maintains a constant frequency difference from the other. This process is known as tracking.
This is accomplished in one of three ways, the first of which is to provide a small variable capacitor, known as the trimmer, in parallel with the tuning capacitor and a variable (slug tuned) inductance in each tuned circuit. The second uses a fixed inductance with trimmer and a further variable capacitor (the 'padder') in series with the paralleled tuning and trimming capacitors. The third method uses trimming and padding capacitors together with a variable inductance.
As the trimmer and padder capacitors are effectively in series across the inductance, adjustment of one affects the other and when the inductance can also be varied this also interacts. Thus it is obvious from the outset that the alignment process could well be time-consuming. The temptation to tune to the middle of an amateur or other band of interest and 'tweak' for strongest signals must be resisted at all costs for, with patience and care, an accurate alignment can be achieved.
There are slight differences in alignment procedures depending on which type of circuit is incorporated in the receiver. However, these will be explained at the appropriate time.
**Less sensitive**
The equipment required is a signal generator covering the wave bands to be aligned and an audio output indicator, such as a multimeter switched to an appropriate ac range as described for IF alignment. Alternatively the receiver S-meter may be used, but my experience is that this is less sensitive and furthermore may be difficult to observe whilst working inside the equipment; but a multimeter or AF output meter can be placed in any convenient, easily seen position. If an output indicator, as distinct from the S-meter, is being used first disable the AGC line, switch the receiver to its lowest frequency wave-band and connect the signal generator to the aerial socket.
The frequencies at which the alignment is to be carried out have then to be decided. One of these will be near the lower frequency end of the scale and the other near the upper. If you have the handbook on the receiver (as distinct from 'instructions for use') these will be given in the text. If this information is not available then a choice has to be made. Many people select frequencies corresponding to the highest and lowest frequencies marked on frequency scale, but the author prefers to use the second frequency calibration from either end.
The signal generator is first tuned to the frequency corresponding to the lower frequency calibration point and the receiver tuning scale is set to indicate the same frequency. The *trimmer* is then adjusted to between half and two thirds capacity.
The next step depends on the type of tracking circuit. If this comprises only a trimmer and variable inductance then adjust the core of the inductance for maximum meter indication. If the inductance is fixed, adjust the padder for the same result. If the inductance is variable but there is also a padder, set the slug about two thirds of the way into the coil, lock and proceed as if the inductance was fixed. Next, return the signal generator to the frequency corresponding to the tracking point at the high frequency end of the scale and adjust the trimmer for maximum meter indication.
**Re-adjustment**
As the trimmer and padder (or inductance) each affect the other, the padder (or inductance) must be re-adjusted at the low frequency tracking point and that complete, the trimmer must be re-adjusted at the high frequency point. After two or three repetitions the frequency being received should agree with the receiver frequency scale. The only circumstances where it may not is if the circuit contains both a padding capacitor and a variable inductance in which case it will be necessary to vary the inductance. If the frequency swing is excessive, reduce the inductance. If the swing is too little, increase the inductance.
With the oscillator accurately aligned, a similar method is used to align the RF tuned circuits. However, care should be taken whilst adjusting the mixer stage for this might also pull the oscillator frequency a little. If an externally adjusted aerial trimmer is fitted, set this to approximately two thirds of maximum capacity. Each wave band is aligned in exactly the same way. When complete, the frequency scale should accurately reflect the frequency to which the receiver is tuned, second channel responses will be minimised and the equipment will be operating at optimum sensitivity throughout its range.
The accurate alignment of older communication receivers can be accomplished in the average amateur workshop. Although the task may seem daunting, with care and patience it can be performed, achieving both a receiver performing at its best and the self-satisfaction of a job well done.
FREE FINANCE*
HAMPSHIRE, DERBYSHIRE, LOTHIAN, STAFFORDSHIRE
FT290R "MULTIMODE PORTABLE"
Multimode 2M Transceiver
Dual VFOs
Microprocessor Control
Selectable Synthesiser Steps
Large LCD Display
Ten Memory Channels
'+' & '-' Repeater Function
Nicads for Portable Available
2.5W / 0.5W RF Output
58(H) × 150(W) × 195(D) mm
FT726R "MULTI BANDER"
Synthesised Multimode Base Station
10W Output on HF, VHF & UHF, Possible Full Duplex! (Crossband, with Option)
Continuous RF Power Control (0-10W)
Dual VFOs – Crossband Operation
Eleven Memories – Mode & Frequency
LED Displays, Dual Meters (S. & P.O.)
8 Bit Microprocessor Control
IF Shift / Width System
129(H) × 334(W) × 315(D) mm
FT730R UHF "MOBILES"
Synthesised FM Transceivers
Full Microprocessor Control
Dual VFO’s
Ten Memory Channels c/w Priority
Selectable Synthesiser Steps
LCD Readout / Analogue 'S' Meter
Switchable '+' & '-' Repeater Split
Better than 0.25uV for 12dB Sinad Outputs – 10W FT730R
58(H) × 150(W) × 174(D) mm
LEEDS
SMC (Leeds)
207 Otley Road,
Leeds 16, Yorkshire
Leeds (0532) 782226
9-5.30 Mon-Sat
CHESTERFIELD
SMC (Chesterfield) Ltd
102 Old Market Street,
New Whittington,
Chesterfield,
Chert (0246) 452340
9-5.30 Tues-Sat
BUCKLEY
SMC (Buckley)
27, Penfold Lane,
Buckley, Cheshire,
Buckley (0244) 549563
10-5 Tues-Fn
10-5 Sat
STOKES
SMC (Stokes)
11, High Street,
Talke Pea, Stoke
Kedsgrove (07816) 72844
9-5.30 Mon-Sat
GRIMSBY
SMC (Grimsbay)
21A Freeman Street,
Grimbsy, Lincs
Grimbsy (0472) 58388
Jersey (0534) 77063
9-5.30 Mon-Sat
JERSEY
SMC (Jersey)
Belmont Gardens
St Helier, Jersey
Edinburgh EH15 2HN
Tel: (031) 657 2439
10-5 Tues-Fn, 9-4 Sat
EDINBURGH
SMC Scotland
23 Main Street
Bangor
County Down
0232 464875
N. IRELAND
SMC N. Ireland
10 West Avenue
Bangor
0232 464875
HQ & MAIL ORDER S.M. HOUSE, RUMBRIDGE ST, TOTTON, SOUTHAMPTON,
please mention AMATEUR RADIO when replying to any advertisement
AUGUST 1985
FT757 GX GEN. COV. HF
100W Multimode HF Transceiver
Fully Computer Compatible
Dual VFOs
100% Duty Cycle
General Coverage Rx
FM & CW Narrow as Standard
Programmable Memory Scanning
All Mode Squelch
Triple Microprocessor Control
Matching Automatic ATU (Opt)
Full Break-in CW
93(H) × 238(W) × 238(D) mm
FT77 "SUPERB-VALUE HF"
100W Output Transceiver
LSB / USB CW Modes Standard
Large LED Display / 'S' Meter
Optional CW Narrow Filter
Optional FM (or AM Unit)
2M or 70cms with Matching Transverter
Matching Antenna Tuner Available
Matching Scanner VFO/ Memories
95(H) × 240(W) × 300(D) mm
FRG8800 £525 INC
FT2700RH £520 INC
FT270R £325 INC
FT270RH £380 INC
STOP PRESS
FRG9600
60-900 MHZ
AM, NBFM, WBFM, SSB SCANNER.
FL7000
500W HF
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A year ago I looked at three receivers in the middle price bracket: the Trio R2000, which in spite of its excellent ergonomics had a rather poor front end, and the normal and Surrey Electronics modified versions of the Yaesu FRG7700.
The problem with the 7700 was that of poor ergonomics with very poor audio quality on the normal version, although these were much better on the Surrey Electronics one. Yaesu have now introduced a new model, the FRG8800, which I suggest is in a totally different class to the earlier three, for it is one of the best short wave listening quality receivers on the market, although more esoteric rigs may be better in some areas.
The rig covers the frequency range of 150KHz to 30MHz and 118 to 174MHz with the optional VHF adaptor. AM, FM, USB, LSB and CW modes are included. On AM both wide and narrow filters can be switched, whilst on CW either the SSB filter or a much narrower one can be switched in.
An optional wide filter is available for FM, but I cannot see any use for it unless you were using the box as an IF for a very much higher frequency, the normal FM filter being around 12.5KHz wide.
Frequency can be entered from a keypad on the front panel by depressing the MHz followed by the MHz button, then the KHz followed by the KHz button. On any particular MHz band you can QSY in KHz by just inserting the new KHz frequency on the buttons or of course using the normal tuning dial, which can be set to give 25Hz or 500Hz steps (6.25 or 125KHz per dial revolution).
The set has 12 memories in which one can put frequency, mode, and narrow or wide filter as appropriate. Most useful is the fact that one can transfer from memory direct to VFO and then tune away from the memory frequency. Thus if you are using the VHF converter, you could, for example, put 144.3MHz (the 2m SSB calling frequency) into memory and VFO from it.
The push pad includes facilities for pushing 0 to 9, MHz, KHz, memory recall, VFO to memory (memory store), memory selective scan, normal memory scan, pause (for stopping scanning), programmable band scan (sweeps between any two adjacent memories), memory select, memory to VFO and, finally, go to VFO.
Other front panel facilities include a continuously variable RIT, memory channel switch, RF attenuator pot with click off for auto AGC, audio gain, squelch (operating on all modes) and tone control. Additional push-buttons select mode, filter, fast/slow AGC, noise blanker on/off (narrow wide selector on the rear panel) and display dim on/off. On the front panel there is also a quarter inch headphone jack and a mini record feed jack (3.5mm).
The loudspeaker projects forward and is mounted on the front panel together with the frequency display (resolution 100Hz) with status indications of many controls. The S-meter is included in the front panel display (a very large LCD) and indicates S units up to 9 and above the latter in 10dB steps. The tuning dial runs very smoothly indeed and has no backlash whatsoever, as it only has to turn an optical interruptor mechanism.
Also provided on the front is a clock function combined with on/off and sleep functions, allowing you to hear your favourite programme from Radio Tirana, Albania when you like. Two separate clock times can be present eg BST and GMT, which is useful as many of us get confused between summer and winter times.
**Rear panel**
On the rear panel is an SO239 socket for the LF/HF antenna input complemented by four spring-lever clamps for earth, low Z or high Z aerial connections and a mute allowing an external transmitter to mute this receiver when on Tx. The VHF adaptor fits in the back and also has an SO239 socket and a telescopic whip. By the socket is a DX/local switch, which is basically a 10dB antenna attenuator.
The mains input is on an IEC socket with a fuse by its side. Two phono sockets are provided, one of which is normally closed with the other normally open, both being switched by the internal alarm system. These sockets can be used to switch on an external recorder, the voltage/current limit being 15V/1A.
Two countersunk 3.5mm jack sockets are provided for an external speaker and tape recorder audio drive (this is at a fixed level coming from before the receiver audio gain control). It is nominally set to give a level of just under 800mV from a source impedance of around 600 ohms.
Note that the recorder jack on the front panel is rated to give a rather lower level from a higher source impedance specified at 50K ohms for feeding DIN inputs on cassette decks etc.
Two DIN sockets on the rear are called accessory and CAT. The accessory socket (5 pin DIN) provides on pin 1 earth, 2 AGC, 3 no connection, 4 11V dc and 5 blocking bias. The CAT 6 pin DIN is for interconnection with a Yaesu FIF series computer interface unit.
The optional interface unit type FIF-232C was supplied to us with leads, but these were not compatible with my BBC 'B' and we did not have the appropriate adaptor so we could not actually try it. Full computer control of the rig is provided including frequency, mode, and filters and status can be extracted.
The rig is supplied in a smooth dark grey metal cabinet, with a carrying handle on the right side cheek and small rubber pressure pads fitted as feet on the left side cheek. Large feet are underneath the rig, the front ones having miniature ball pull forward legs. The whole presentation and ergonomics are superb and amongst the best that I have seen on a Yaesu product.
**Subjective tests**
I have spent many happy hours listening to broadcasting stations and amateurs right across the board from 150KHz to 29.999MHz. I was struck by the far better than usual AM quality which was nearly as good as the Surrey Electronics version of the older model, which in any case is now more expensive.
The SSB reproduction was superb. However, the filter was much wider than usual, causing the selectivity to be only fair, although it seemed better than that of the old model. CW reception was surprisingly good, and the narrow filter helped a lot. Whilst the audible response on AM and SSB was very good, I found FM was very muffled, even with the tone control at maximum treble.
Sensitivity was surprisingly good throughout and the absence of front end intermodulation distortion was most welcome, for I had no troubles on Top Band, 80 or 40 metres provided that I used an external filter to cut below 1.8MHz.
Audio quality was particularly clean, but whilst there was plenty of audio gain for AM, SSB and CW, gain was lacking on FM. Low deviation FM including that on CB, 10m FM and PMR FM on VHF, reproduced only with very limited volume, even with the gain control flat out. An external speaker did not help this, and I would have liked at least 6dB more available gain here.
The signal-to-noise ratio on strong signals was excellent and both the fast and slow AGC actions were very good, but you couldn't turn AGC off, although the RF attenuator, which seemed to be a normal type RF gain control, did back off input gain well, which further improved AM distortion on extremely strong signals.
I found the VFO steps just about right for general use and it was easy enough to use the RIT miniature rotary if I wanted to get SSB pitch exactly right. There was some slight spillage from the opposite sideband on SSB, showing that the IF filter skirts were a little wide below around -40dB.
I was a bit surprised to find that the maximum available audio output power was rather limited, and not really quite adequate for some purposes, although the built-in speaker is reasonably sensitive.
**VHF adaptor**
The VHF adaptor arrived a few days before I wrote this review, and I was surprised at how good it actually was when interconnected with my Discone. I used it to listen on all sorts of fun frequencies and I heard a clarity of general coverage VHF reception that I have not heard on any previous rig, showing that the VHF local oscillators are much quieter than on most scanning receivers.
**Laboratory tests**
The VHF sensitivity was good in the context of the general coverage reception, although it was on average slightly inferior to the sensitivity of a good 2m rig.
I did not note any intermodulation products, and in my general listening tests I did not actually find any image problems until we found out where they would be after the lab tests! However, I wish the VHF tuning range had been extended to cover down to 50MHz or even lower, but perhaps this is requiring the lily to be gilded.
**Good quality**
I also had a long listen to SSB signals on 2m using my 17-element Tonna with the masthead pre-amp switched on and heard many stations transmitting surprisingly good quality, which only shows up with a wider than average SSB filter. Needless to say, the bad stations sounded dreadful! The noise blanker worked well.
There were comparatively few spurious carriers around, and none of these seemed to crop up on important frequencies. I did notice one peculiar glitch in the tuning at every 1KHz when in the slow tuning rate position, this coming up when the display switched from 400 to 500Hz, but this did not seem too worrying. I checked all the basic functions of the radio and they all seemed to work well, including scanning, memories and all modes.
**SSB received audio response**
**AM received audio response (narrow)**
**AM received audio response**
**YAESU FRG8800 LABORATORY TEST RESULTS**
Sensitivity: SSB, level required to give 12dB sinad
| Frequency | Level (dBm) |
|-----------|-------------|
| 28.55MHz | -120dBm |
| 14.2MHz | -121dBm |
| 3.75MHz | -122dBm |
| 1.93MHz | -122dBm |
Sensitivity: FM, 1KHz modulation at 29.55MHz
level required to give 12dB sinad
| Frequency | Level (dBm) |
|-----------|-------------|
| 3KHz | -116dBm |
| 5KHz | -117.5dBm |
Selectivity (SSB)
| Bandwidth | Level (dB) |
|-----------|------------|
| 3dB | 3.3KHz |
| 6dB | 3.7KHz |
| 40dB | 5.2KHz |
| 60dB | 6.5KHz |
| 70dB | 26.1KHz |
| 80dB | 30KHz |
Selectivity (FM)
| Deviation | Level (dB) |
|-----------|------------|
| +12.5KHz | 53.5dB |
| -12.5KHz | 24.5dB |
| +25KHz | 65dB |
| -25KHz | 64dB |
Capture ratio (FM) 5dB
Quieting (FM) 12.7dB
S-meter; levels required to give the following readings
| FM | SSB |
|-----------|-------------|
| S1 | -104dBm |
| S9 | -80dBm |
| S9+60 | -24dBm |
| -100/+200KHz spacing: | -3dBm |
| -20/+20KHz spacing: | -4dBm |
| +10/+20KHz spacing: | -15dBm |
Reciprocal mixing; off channel signal input level to noise floor ratio for 3dB S/N degradation
| Spacing | Level (dB) |
|-----------|------------|
| +100KHz | 108dB |
| +50KHz | 105dB |
| +20KHz | 94dB |
| -10KHz | -1dB |
Product detector distortion (SSB)
| AGC fast | 1.4% |
| AGC slow | 1.3% |
Distortion (FM)
| Deviation | Level (%) |
|-----------|-----------|
| 2.5KHz | 0.8% |
| 0.5KHz | 1.6% |
Output power (10% THD at 1KHz modulation, 5KHz deviation, 8 ohms): 1.3W
Output power (10% THD, SSB, 1KHz modulation)
| Resistance | Power (W) |
|------------|-----------|
| 8 ohms | 1.3W |
| 4 ohms | 1.5W |
AM distortion, slow AGC, -50dBm at rig, 30% modulation depth
| Modulation | Distortion (%) |
|------------|----------------|
| 1KHz | 2.3% |
| 300Hz | 2.7% |
Size: 334W x 118H x 225D
Weight: 6.1Kg
**YAESU FRV8800 VHF CONVERTER**
Sensitivity: level required to give 12dB sinad on FM
| Frequency | Level (dBm) |
|-----------|-------------|
| 144.8MHz | -117.5dBm |
| 125MHz | -121dBm |
| 151MHz | -116dBm |
| 160MHz | -120.5dBm |
| 170MHz | -117dBm |
Intercept point;
+100/+200KHz spacing: -13dBm
+50/+100KHz spacing: -13dBm
+1/+2MHz spacing: -8.5dBm
Typical image response -65dB (NB images between 34MHz and 91MHz)
DX/local ATT: 10dB
Sensitivity: level required to give 12dB Sinad on SSB
144.8MHz -123dBm
AGC action – fast
AGC action – slow
signals from ±10 to ±30KHz is actually better than that of most Icom rigs, which is fascinating.
The reciprocal mixing tests revealed a very reasonable performance indeed for a synthesised VFO, although we did note synthesiser sprogs at 25KHz intervals, which degraded the RM results by around 20dB when the receiver was tuned precisely to them. This is not too serious, however, since the RM ratios are pretty good anyway.
The IF selectivity on SSB was indeed very wide at 3.7KHz bandwidth for -6dB points, the shape factor coming out at 2:1, which is not too bad for a general coverage radio. 70dB selectivity however showed the skirt to widen out to 26KHz bandwidth whilst the 80dB selectivity was around 30KHz wide, so presumably there was some breakthrough at very low level around the SSB filter, with the first IF roofing filters providing the main selectivity here.
**Selectivity**
The AM selectivity was extremely well optimised in the wide position but of course very muffled in the narrow position, which one would only use when there is very bad adjacent channel interference. FM selectivity was surprisingly sharp but lopsided, although once again the skirts opened out below -50dB or so. The CW selectivity on narrow was fairly sharp, but not razor sharp as one is used to on a really good transceiver.
The capture ratio measured well and the AGC characteristics were rather as I like them, for it took around 4 seconds for full gain recovery in the slow position, which allowed dynamic range to be well maintained on an average SSB signal. The AGC threshold was at a higher level than usual though, so it was necessary to bring up the audio gain on weak SSB signals.
Product detector distortion was at a reasonably low level and AM distortion measured surprisingly well, particularly with AGC on slow. We had a look to see the input level required from a signal of 300Hz modulation at 90% depth to give very audible distortion, and found that we had to come up to the stunningly high level of -108m for distortion to reach 16.5%. When one considers the 90% modulation, this is quite remarkable. When we then backed off the RF gain control the distortion fell to 4.4%, which is even more remarkable, distortion rising to 9% at 1KHz.
At lower RF levels distortion readings were typically around 2.5% with AGC slow, rising to 4.3% with AGC fast. It has to be said that these figures are far superior to those of many other rigs on AM. FM distortion at 2.5KHz deviation also measured extremely well at substantially below 1%.
Hallelujah! The S-meter worked surprisingly well on FM as well as on the other modes, and was certainly far better than many. There was 24dB difference between S1 and S9, and above the latter the law remained surprisingly logarithmic.
**Audio power**
The audio power output was indeed very limited at only 1.3W for 10% THD. Power only marginally increased into 4 ohms, and I feel that this is a slightly unfortunate limitation. Frequency responses on SSB and AM were excellent, but FM seemed very muffled and 3KHz was some 9dB down, although 5KHz had only fallen another 9dB. Considering that the response was taken from a pre-emphasised signal, it should have been flatter at 3KHz, but have fallen more rapidly above this frequency. Frequency accuracy was quite reasonable throughout.
We had a good look at the VHF converter and it was actually on average better on sensitivity than the main rig, the SSB sensitivity being very good although FM was not so good. Stability was excellent, and the RF input intercept
point was quite acceptable at -13dBm on 2m. This improved by 4.5dB at a very wide spacing of +1 and +2MHz.
As we had no circuit diagrams, for it was an early imported sample, we had to do some detective work, and found the VHF coverage splitting into three frequency regions, 118-136MHz, 136-155MHz and 155-174MHz. One of three crystal controlled local oscillators at 84.95, 103.95 and 122.95MHz respectively automatically switches in as appropriate to mix the signals down to a lower IF, which eventually mixes down to an IF of around 47MHz, feeding the final IF of 455KHz which contained the filters.
We checked the average image ratio produced by the VHF converter, and this was around 65dB. The images, however, were between 30MHz and Band II, and trouble would only be likely to occur from strong local FM radio stations at the very bottom of Band II, causing very slight breakthrough at around 156.8MHz (image from 89.1MHz, for example).
Yaesu had obviously taken great care in the design of the wide coverage VHF adaptor, and we did notice that it was reasonably free from birdies, just a few popping up here and there.
**Conclusions**
I have been looking for a recommendable general coverage receiver that could give good audio quality on all modes for years, and surprisingly, the FRG8800 appears to be as good as any I have checked before, even if it has some limitations in its IF filters.
I most strongly recommend this radio as a general shack receiver, which would be particularly welcome for general short wave reception of broadcast stations, whilst being adequate as an excellent tunable IF for crossband working from VHF, UHF and microwave transverters.
I praise most highly Yaesu's superb ergonomics, for they have put so much right that has been wrong in the past. Considering all the facilities that are provided, I think the price is reasonable (£525 including VAT), with the VHF adaptor at £95 including VAT, and the FIF232C computer adaptor at £58.65 including VAT.
Very many thanks to SMC for loaning me the review sample so soon after first receiving it from Japan, and to my colleague Jonathan G1LMS who has enjoyed playing with it about as much as I have. Clearly one of the best designed rigs I have looked at for quite a while.
ANGUS MCKENZIE
TESTS: MUTEK TVVF 50c
6m TRANSVERTER
It is always stimulating when muTek release a new product, for they have a happy knack of getting things right. Recently I warmly recommended their HF transverter and now this 50MHz one follows which clearly has tremendous export potential. Hopefully we will all have the 50MHz band soon, so one day the muTek will be an obvious and excellent method of getting going on 50MHz. They will also be introducing a 28MHz IF version fairly soon which may be more convenient for many users.
Metal case
The transverter is supplied in a flat metal case, its front panel having just an on/off button and an output power display using five LEDs, with an additional one acting as an on/off indicator. The equipment requires an external stable 13.8V dc supply and at least a 4A capability is required.
The rig contains a special locking 5-pin DIN socket with its mating locking plug supplied with it. The 144MHz interconnection is on a BNC socket and the 50MHz antenna socket is an SO239. Since the transverter is very thin I suggest that it can be placed almost anywhere in the shack. Tx/Rx changeover is basically RF sensed with a reasonably long hold time for Tx, but a hard PTT override is provided on one of the pins of the DIN socket. This PTT input is high impedance, thus being compatible with more PTT lines than usual.
Another pin is supplied with 12V dc when the rig is switched on and this voltage can be used to switch accessory indicators, although it is not intended to give a high current. muTek have announced that they will be introducing a transverter control system in the future using this facility.
Another pin is open circuit on Rx and approximately 30 ohms on Tx for operating external relays or switching lines on linearers, for example. This pin is controlled by a power FET having both a diode and protection resistor in series.
The transverter can accept peak input from 1W to 10W on 144MHz to give full output of around 10W on 50MHz. An input preset can be adjusted so that at maximum input RF drive the output is just on the onset of ALC. Well-written instructions inform the user of the precise setting up procedure. The ALC loop around the transmitter section is fed from a direction coupler on the output back to a pin diode attenuator on the input.
LEDs
The forward power from the coupler also feeds the row of LEDs to give output power indication. The reverse (SWR) output from the coupler is also designed to shut down the transverter drive if a bad SWR is present on the output. Many of
the circuits in the transverter are common to Rx and Tx, and the block diagram shows the general circuit arrangements. It can be seen that there are many bandpass filters, all of which clearly contribute to excellent harmonic and spurious rejections.
**Receive**
On receive, after the signal from the antenna has come through the relay it passes straight into push/pull BF981s, which are input tuned and noise matched at 50MHz. The output then goes through a bandpass filter and accurate impedance transformation to a bilateral diode ring mixer. On Rx, the output is then very accurately impedance transformed to the input of an IF stage, a J310. This stage makes up the loss of the mixer, and its output is then switched through to the 6dB power attenuator, also used for Tx input, which feeds directly through to the 144MHz socket.
muTek have taken considerable trouble with mixer matching, so that all frequencies are subject to 50 ohm loading on all the ports. The crystal controlled local oscillator is a J310, in which the circuitry has been designed to give very low phase and amplitude noise on the injection. The LO output is buffered by another J310 and carefully impedance matched into the mixer.
It is very clear that muTek's care in accurately loading their mixer contributes to the excellent RF intercept point, and this should be a lesson to many, for it is at least 15dB better than that of most other transverters on other bands that I have looked at.
It is quite clear that muTek's type of circuitry should work superbly well with a good HF transceiver. They will use it in the design of a 28 to 144MHz transverter which should have an intercept point better than 0dBm and it is thus strange that others do not adopt the same design principles.
**Transmit**
The transmitter section takes the output from the 6dB power attenuator into a preset attenuator, which is user adjustable having removed the lid. This is followed by a pin diode attenuator which is controlled by the ALC loop. The IF then feeds into the mixer, with output through the same bandpass filters that are used on Rx.
The Tx amplifiers are in class A up to the driver and the output stage is 2 x 2SC1945 in push/pull combined with transmission line transformers, which are followed by a seven element low pass filter which then feeds the lumped component directional coupler, followed by the antenna relay.
**Laboratory tests**
The receive noise figure was just over 2dB, and the overall receive gain was maximum at 50MHz, being around 10.3dB. Note the gain plot versus frequency 50MHz in and 144MHz out (Figure 1). It will be seen that the bandpass characteristic is excellent and there is very good rejection outside the 50MHz band.
The RF intercept point measures out at about +4dBm and this is a first class performance on VHF. The local oscillator at 94MHz gave a breakthrough at the IF socket of -67dBm (100µV) and this is hardly likely to be a problem to anything. We did not note any image problems and the transversion was considered very clean indeed.
As we needed an extremely clean 1W PEP source for driving the IF input on Tx, we used two 2m rigs with a home-made crude hybrid which gave sufficient port isolation between sources, so that the worst IM product of the source was -56dB ref full carriers.
Figure 2 shows the transverter output well into ALC at 14W PEP, from which it will be seen that even into ALC the products were at a reasonably low level.
Figure 3 shows the output obtained at 4W PEP, and note that the IPs are way down, and the overall shape is superb. Note also that the carriers were 100KHz apart, this being convenient due to the sources used, and figures for closer spacings should be no worse.
**FM or not?**
On FM a full 10W output can be reached, but so far I have not heard an FM transmission on the band, and frankly I do not particularly want to! The transversion frequency accuracy was very good (-140Hz on switch on, rising slowly to +100Hz after one hour of continuous Tx). We very carefully checked harmonics at an output level of 10W, and the important second harmonic
is way down at $-71$dB, the worst one being at $-66$dB at 200MHz which should not present any problem.
94MHz breakthrough on the output was not at all visible, so it was below $-90$dB. This is actually very important, for the local oscillator frequency is slap bang in the middle of Band II FM radio. 144MHz breakthrough on the output was at $-56$dB which should not pose too much of a problem, for it should be further rejected once you add on a linear which most would do.
**Subjective tests**
For the subjective trials I used the rig with a TS711 2m multimode and the received performance of the complete system was excellent. Sensitivity was clearly better than that needed on the band but I must admit that the band noise at my QTH varies from fairly poor to bad because of local thermostats etc.
I cannot really comment about the subjective RFIM performance for at no time were there signals on the band strong enough to cause a problem, but the measurements show that nobody should ever have a problem anyway. Tx quality was excellent, and now several stations are using the transverter on 6m.
There was one trouble initially with the review sample in that the local oscillator went intermittent. By fiddling around with the circuit board we managed to get it reliable but I understand from muTek that a faulty batch of crystals was responsible and they have now put matters completely right by obtaining crystals from another source.
This transverter has no frills for it is so simple, but it has to be emphasised that within this simplicity is a superbly designed piece of equipment which should further enhance muTek's reputation.
**Conclusions**
muTek's 6m transverter is an excellent way of getting on to the band; the performance almost certainly outclasses that of any other 6m rig and it will be entirely the performance of the main exciter that will control the quality of transmitted and received signals.
Just before sending this review in to the editor, Chris Bartram confirmed that he is about to produce a 28/144MHz model with a very similar specification to this 50MHz one, although the receive gain will be much higher to give enough through to the average exciter so as to overcome front end noise figure problems.
Also imminent is a 28/50MHz model, again with similar specifications but higher gain. These should certainly be worth waiting for, and prototypes may well be shown at the forthcoming VHF convention.
I can very strongly recommend the TVVF50c and Chris Bartram, its designer, is to be heartily congratulated for producing such a fine design. The price of the complete transverter is £189.90 including VAT, P&P £5.00. muTek expect that the 28/50MHz version will be available shortly after this appears in print but the price will be slightly higher as the circuitry is rather more complex.
The new version should accommodate levels from $-10$dBm to $+27$dBm at 28MHz to meet virtually all requirements. The receive converter gain should be at around 20dB so as to overcome HF transceiver noise problems, although the RF intercept point should be retained at the excellent +4dBm figure.
Thanks to muTek Ltd for lending me the review sample and to Myles Capstick G4RCE and Jonathan Honeyball for assisting me with all the measurements.
I recently reviewed the 2m version of this handheld, which I regarded very favourably. The TH41E is virtually identical except that the badge, of course, is different and the plug-in antenna is identified by two green rings around its top, whereas the TH21E whip has orange rings.
Built in repeater shifts of 1.6MHz upshift on Tx and true reverse repeater are provided, a three position switch on the back panel selecting these or simplex. With repeater shift selected it is, unfortunately, still enabled if you transmit at the top of the band, so that you could transmit up to 441.595MHz if you are not careful.
**Coverage**
The entire band is covered from 430 to 439.995MHz, and the unit is very flexible. The recessed thumb wheels are again better than many and easy to rotate, the three covering MHz and hundreds and tens of KHz. Two miniature buttons on the top select 5KHz upshift and auto toneburst on/off.
The volume control incorporates the on/off switch and is very easy to use, whilst the similar squelch control is slightly more difficult to turn as it is nearer the panel.
The antenna socket is a phono type having around its base a thread which takes the special thread locking phono plug fitted at the base of the whip. An optional adaptor BNC socket to thread phono plug is available but is rather expensive, allowing other antennae to be used.
The supplied whip is quite thin and very flexible, although it did not seem to have much gain. Two miniature jack sockets are provided for external mic with PTT and speaker interconnections. On the left side cheek is the PTT lever which occasionally stuck down in operation and I would have preferred it to be more positive. The rig uses the same battery as the TH21, which slides out sideways for recharging.
A high/low power output switch is also mounted on the back panel. The rig is extremely small and virtually all the comments that I made about the TH21 apply to the TH41.
**Subjective tests**
When I used this unit at home as a handheld it was, frankly, rather difficult to access any repeaters at ground level, and even on the first floor I only managed to get into one or two. However, I must admit that no repeaters are particularly strong under roof height at my QTH. When connected to an outside antenna the rig worked admirably, easily accessing very many repeaters.
Both transmitted and receive quality were excellent, although received volume was rather limited but adequate in the context of a handy-talkie. Volume would not really be adequate for mobile use however. I did try my whip from the FT790, and this gave an S-point improvement over the Trio whip and easily enabled repeater access from my first floor.
So, whilst the normal whip will be satisfactory if you have a very local repeater, you will undoubtedly need a better one for many locations. The adaptor really is required, although a phono plug to BNC lead should give a satisfactory interconnection with outside aerials, a normal phono plug fitting the antenna socket. All the facilities worked well, but I do wish that we could have had 25KHz steps instead of 10KHz ones.
**Laboratory tests**
The RF input sensitivity measured well, although one or two larger handy-talkies were slightly more sensitive. At the top end of the band sensitivity fell just slightly but was not bad. The RF intercept point was quite satisfactory in the context of a handy-talkie, although for home station use it might have been a little better. Nevertheless, it is slightly better than other competitive models.
Selectivity for 25KHz spacing was adequate, but wider spacings were better. Limiting characteristics were excellent and the capture ratio superb, thus even a slightly stronger station will capture reception from a weaker one.
The maximum audio output power was 390mW into 8 ohms, and this is of course rather limited, but no worse than most other portables. This is actually very good for its size as the internal speaker seems quite sensitive. FM distortion measured reasonably well and signals seemed clean.
The received frequency response shows a fairly steep LF cut which is welcome on a handy-talkie so that important diction frequencies can be reproduced at a slightly higher level than if the low frequency had been maintained. The high frequency shape was just about ideal, although attenuation above 4KHz could have been a little bit steeper. No improvement to performance could be gained by off-setting the signal generator slightly, thus the rig was tuned up very accurately on frequency in quality control.
The transmitted maximum output was 1.5W into a 50 ohm load, which is 50% above the specified level and is quite useful. The lower output at 250mW was also rather above spec, but probably about right for most users. The transmitted frequency accuracy was excellent, simplex being only 110Hz high, whilst duplex was only 70Hz high.
The 1750Hz tone was within 2Hz accuracy, the toneburst deviation averaging just under 5KHz for about 0.5 secs. The maximum provoked audio deviation was well held: at 5KHz and average deviation it was peaking at around 4.8KHz, thus showing a well designed threshold limiter with mic gain set just about right.
No spurii of any consequence were noted on the RF output and harmonics were very well suppressed.
**Conclusions**
I feel that this is a very nice little handy-talkie to have, whose nearest rival for size would be the IC4E. The Icom rig is much larger and heavier but is marginally more sensitive. I feel that the TH41E is very practical as it is easily portable and does not make it obvious that you have a rig with you. There is no necessity for a belt clip, nor will you wear out the linings of your overcoat pocket!
I thoroughly recommend this little rig and I am sure it will do very well indeed. Unfortunately its price has just increased by 5% due to the £/yen situation and it now costs £214.50 including VAT, whip, battery and charger. The antenna adaptor, type A/J3, costs an additional £7.64 including VAT.
Thanks to Lowe Electronics for the loan of the review sample and to my colleague, Jonathan Honeyball G7LMS, who has just passed the RAE and received his new callsign.
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**TRIO TH41E LABORATORY TESTS**
**Receiver Tests**
- **Selectivity**
- 420 MHz required to give 12dB cined ratio: 121.5dBm
- 425 MHz: 127 dBm
- 435 975MHz: 121.5dBm
- 435 985MHz: 120 dBm
- **Selectivity**
- +5 25KHz: 47.8 ± 5.5dB
- -5 25KHz: 55.2dB
- **Quelting**: 16dB
- **3dB limiting point**: 126.7dBm
- **Calculated intercept point**: 236dBm
- **Maximum audio output power into 8ohms at 10% THD**: 0.399W
- **THD distortion at TV output**
- 1kHz modulation frequency: 2.3%
- 1MHz deviation: 3.0%
- **Capture ratio**: 3 dB
**Transmitter Tests**
- **Maximum RF output power**
- High: 1.59W
- Low: 0.25W
- **Tx accuracy**
- Simplex: -110Hz
- Duplex: -70Hz
- **Toneburst frequency**: 1740Hz
- **Toneburst deviation**: 5kHz
- **Maximum provoked deviation**: 5kHz
- **Normal deviation**: about 4.8KHz
- **Dimensions inc projections**: 57mm (W) x 120mm (H) x 29mm (D)
- **Weight**: 290g inc antenna and Ni cad batteries
BUILD AN EXPERIMENTAL SCREENED LOOP ANTENNA FOR 80m
RICHARD MARRIS G2BZQ
Have you listened or operated on the 80 metre CW band lately? If not then try it during the hours of darkness, especially before dawn.
You will hear the most diabolical racket... QRM ... QRN ... howls and screams and crash bang wallop! It is even worse, some weekends, when our Eastern European friends have one of their frequent CW contests. It is similar on the phone band.
Experimental
With this in mind the writer recently constructed an experimental screened (or shielded) loop antenna to try and separate wanted CW signals from the general racket on a receiver. It may be of interest to the licensed amateur and the SWL.
The target was to produce a working experimental prototype not a finely engineered model at this stage.
The use of a screened loop on 80 metres is controversial. You will either come to hate it or love it! The writer experienced both love and hate, but found it intriguing in the end. Either way the cost is minimal, as it uses mostly bits and pieces found in the junk box.
A total of under £3 was expended on TV coaxial cable, offcuts of wood from the local DIY shop, and 15p was given for an old bread board, for the base, which was obtained from the local Age Concern shop. Well, £3 is about 1½ gallons of petrol, or 3 pints of beer, and neither last very long.
The screened loop (or shielded loop) to be described is only used when actually needed. The loop is connected to a spare receiver and the main station antenna is connected to the 80 metre transceiver, so that one has the choice of either receiving on the transceiver (main station antenna), or on the spare Rx (loop antenna), or both together if one is an accomplished juggler. In a final engineered version of the loop it would be preferable to have an antenna selector switch to select the main antenna, or loop, on receive.
In the following story of the loop the writer has put the cart before the horse by commencing with a general description and the operation of the loop, prior to describing its construction. The article then ends with suggested refinements and improvements for anyone who wishes to proceed a stage further.
Description and operating
Screened loops are not often used these days. Their application in the past has usually been for direction finding on the lower frequencies, and in the USA they are sometimes used to reduce interference on the 160 metre band.
The overall circumference of the screened loop should not exceed .08 wavelength but this usually has to be reduced, because of space considerations, down to say .035 wavelength. The circumference of the conductor on this 80 metre loop is slightly over 9 feet or about .035 wavelength; this being the largest structure that the writer can accommodate when the loop is standing.
on a small table near the operating position.
**Research**
While researching the small amount of literature on screened loops, the writer came across the following statements in an old edition of the *ARRL Antenna Handbook*, when talking about the use of such a loop on 160 metres:
1. Shielded loops are not affected noticeably by nearby objects and can therefore be installed indoors or out after being tuned to resonance. Moving them from one place to another does not significantly affect the tuning.
2. During DX and contest operations on 160 metres it helped to prevent receiver overloading from nearby 160 metre stations that share the band. The marked reduction in response to noise has made the loop a valuable station accessory when receiving weak signals. Reception of European DX signals (on 160 metres) has been possible from New England at a time when other antennae were totally ineffective because of noise.
3. It was also discovered that the effect of approaching storms (with attendant noise, ie atmospheric) could be nullified considerably by rotating the loop away from the storm front. It should be said that the loop does not exhibit meaningful directivity when receiving skywave signals. The directivity characteristics relate primarily to ground wave signals. This is a bonus feature in disguise, for when one is nulling out local noise or interference, one is still able to copy skywave signals from all compass points.
Reference to Figure 1 will show that the 80 metre loop consists of one turn of coaxial cable on a frame 30 inch x 24 inch (ie 9 feet). It is tuned to resonance by the capacity between the inner and outer conductors of the coaxial cable, plus variable tuning by VC. VC is a 500pF variable capacitor (one section of an old 2 gang capacitor is used).
The coaxial cable used was reputed to be the best quality TV co-ax with an overall diameter of \( \frac{9}{32} \) inch with semi airspaced polythene dielectric. Reference to tables indicated that TV coaxial cable has a capacity of 20/30pF per foot between inner and outer conductors, depending on the type used. So the loop has a 'built in' fixed capacity of say \( \pm 225\text{pF} \) in this case.
It was found that it could conveniently be brought to resonance with VC when the capacitor plates were approximately half meshed. Therefore, in practice, any variation in coaxial cable used could be compensated by a small adjustment of VC. The writer used 50 ohm coaxial cable to connect the loop to the Rx. Here again ordinary 70/80 ohm feeder should be all right.
**In use**
Using the screened loop for the first time is quite a shock. The immediate reaction is that it is just not working!
The Q of the loop is quite low, so that the tuning is not critical. The adjustment of the tuning capacitor VC will easily cover the whole of the 80 metre band, and checking on a general coverage receiver indicated that it was usable over the range 70 to 110 metres.
**On CW**
The writer uses CW only, and it has been found that by adjusting VC to the middle of the CW band, no further adjustment has to be made to cover the entire 80 metre CW band.
Next there is a radical reduction in noise level over the main station antenna, which is disconcerting at first. The strength of the received signals is up to 15dB less than when using the main antenna but the noise and interference can be reduced by at least 30dB, or even nulled out completely, by rotating the loop until it is 90 degrees from the source of interference. It is easier to decode a weakish signal with low interference than a medium strength signal with heavy interference (ie when using the main station antenna).
Now take the case of two signals on top of each other. Unless they are on the same bearing, rotation of the loop to left or right will find a spot where the wanted signal 'comes up' and the unwanted signal (fairly local) 'goes down'. It took the writer several hours of practice to get the hang of it.
**All in the mind**
Using the main station antenna over the years, one gets used to trying to decode weak, medium or good signals from even stronger QRM. Therefore with the loop, at first, it is mentally quite difficult to accept a weakish signal with little or no interference, but it is much easier on the eardrums when using headphones! To prove this, peak the readability of the wanted signal against noise (QRM/QRN) on the loop and then change to the main station antenna. It is quite a shock! Figure 2 shows the directional pattern of the screened loop.
**Construction**
Reference to Figure 3 will show that the frame is constructed of \( \frac{3}{4} \) inch x \( \frac{7}{16} \) inch timber. The outside circumference is 30 inches x 24 inches giving a total of 9 feet. The type of timber used is not critical, but the type used in this case was considered the minimum possible to give a robust structure. A centre vertical member is put in to brace the structure, and to enable the frame to be fitted to the baseboard as shown.
A length of best TV coaxial cable was obtained. As this comes in metres these days, the length purchased was 3 metres, which is slightly more than required.
At the exact centre of the coaxial cable a length of 1\( \frac{1}{2} \) inches is stripped off the outside screen conductor as shown in Figure 1. The coaxial is then strapped with plastic tape around the outside of the frame as shown in Figure 4.
The variable capacitor, VC, is mounted at the bottom of the loop, and the two ends of the cable are terminated at that point, as shown in Figures 1 and 4. This means cutting off a few inches from the ends of the coaxial cable. A length of 50 ohm coaxial cable is run to the Rx, connections being as in Figure 1.
---
*A possible refined version of the loop antenna*
In April 1981 the Radio Regulatory Department of the Home Office issued a performance specification No MPT1320 for CB equipment for use in the UK. The specification for the UK Citizens Band service differs radically from the specification issued by the FCC in America. The Home Office released forty channels in the 27MHz band which did not coincide with the American channels. I presume this measure was taken to prevent American AM sets from being converted for use on the new frequencies, and thus stamp out the use of AM. Additionally, the upper half of the 27MHz band was being used by CB operators using illegal sideband equipment.
Concentrating the UK FM CB service on this part of the 27MHz band reduced the number of CB operators using illegal equipment. However, moving the UK CB frequencies into the upper half of the 27MHz band also created problems for the set designers and manufacturers.
The current customised PLL chips could not be used to generate the correct frequencies required for UK CB. Early set designers had been using PLL chips such as the PLL02 and MC145106 discussed earlier in the series. I can recall at the time many pundits were forecasting that the Home Office specification would lead to sets costing £300 or more!
**Sanyo LC7137**
Sanyo came to the rescue with the LC7137 PLL chip. The LC7137 is a single crystal PLL system similar in its configuration and pin connections to the LC7130. In fact the only thing different between them is the contents of the ROM which selects the required 'divide-by-N' numbers for each channel on transmit and receive. The program code and 'divide-by-N' ratio are given in Figure 1. You will see that the program code is the same as for the LC7130 (see last month, Figure 5).
**Typical UK CB rig**
The UK CB sets using the LC7130 PLL chip is configured as shown in Figure 2. The operating frequencies specified for UK CB make it difficult to obtain and maintain exact 10KHz spacing. The manufacturer has had to use a 5.000226KHz reference frequency, derived by dividing by 2048 in the normal way, but with a 10.24046285MHz crystal. In practice a standard 10.24MHz crystal can be pulled this far by a trimmer capacitance.
On receive, the VCO is fed to the receiver first mixer. Taking Channel 1 as an example using a 'divide-by-N' ratio of 3381, the VCO will be operating at a frequency of \(3381 \times 5.000226\text{KHz} = 16.9057641\text{MHz}\). The VCO frequency is injected into the receiver first mixer with the first IF frequency of 10.695MHz, resulting in a receive frequency of \(27.6007641\text{MHz}\). Not exactly 27.60125, but 486Hz low.
On transmit, the VCO frequency is doubled to give the required operating...
frequency. It is also easier to achieve linear FM by starting at half the output frequency. The transmit 'divide-by-N' ratio for Channel 1 is 2760 and the corresponding VCO frequency is 13.8006238MHz, so the final transmit frequency is 27.6012476MHz, which is 2.4Hz low. The resulting frequency at Channel 40 is 27.99078MHz on receive and 27.99126MHz on transmit - well within the tolerance of the UK specification.
**LC7137 conversion to 10m**
It has proved difficult to modify rigs containing the LC7137 PLL chip. If one considers the previous techniques of adding a mixer and crystal oscillator into the phase loop (Figure 3), then we require two crystal oscillators: one for transmit and another for receive. If one examines closely the relationship between the mixing frequencies and the reference frequency of 10.24MHz there exists a near fixed ratio.
Hugh Allison G3XSE¹ has suggested a relatively cheap method of conversion (Figure 4). If one happens to divide the 10.24MHz reference frequency by 6, we obtain 1.706666MHz which is close to the required frequency of 1.70875MHz on receive, and if the reference frequency is divided by 12 we arrive at a frequency of 0.853333MHz which is close to the required frequency of 0.8533718MHz.
However, life is not always simple. It is difficult to ensure that the correct filtering will take place after the mixer to ensure that 'Fin' does not respond to the VCO frequency. This is especially difficult on transmit with only some 853KHz separating the two frequencies. Problems can also be experienced with 'Fin' if there is interference from CB operating in close proximity.
The resulting frequencies obtained by using this cheap modification are not exactly on the required frequency. For example, on Channel 30 the transmit frequency is around 2KHz low, and the receive frequency is nearly 2.5KHz lower than the required frequency of 29.6MHz. G3XSE claims that no problems have been observed because he believes the first IF is so wide that it can accommodate the frequency offset.
For those of you contemplating this modification, the frequency calculations in Figures 5 and 6 will be of assistance to you.
**Memory board**
Another method of modifying this type of set or American CB rigs containing the LC7130, is to scrap the PLL chip and replace it with an all-singing, all-dancing multi-purpose PLL chip. The program information for the 'divide-by-N' register will need to be held in some sort of memory because of the different values of 'N' required for transmit and receive. The most common form of memory device used is the ultra-violet erasable electrically programmable read only memory (EPROM) which will be dealt with in detail later.
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**Fig 2 Block diagram of typical UK CB using LC7137**
**Fig 3 Block diagram of rig using LC7137 converted for 10m**
**Fig 4 Modified UK CB rig for use on 10m FM**
**Fig 5 Transmit frequency chart for the G3XSE modification**
| Chan | +N | Fin /MHz | Fvco/MHz | Frx/MHz | Req freq | Error/KHz |
|------|------|----------|----------|---------|----------|-----------|
| 1 | 2760 | 13.80062376 | 14.63599556 | 29.30799112 | 29.31 | -2.009 |
| 5 | 2764 | 13.82062466 | 14.67399646 | 29.34799292 | 29.35 | -2.007 |
| 10 | 2769 | 13.84562579 | 14.69899759 | 29.39799518 | 29.40 | -2.005 |
| 15 | 2774 | 13.87062692 | 14.72399872 | 29.44799744 | 29.45 | -2.003 |
| 20 | 2779 | 13.89562805 | 14.74899985 | 29.49799997 | 29.50 | -2.000 |
| 25 | 2784 | 13.92062918 | 14.77400098 | 29.54800196 | 29.55 | -1.998 |
| 30 | 2789 | 13.94563031 | 14.79900211 | 29.59800422 | 29.60 | -1.996 |
| 35 | 2794 | 13.97063144 | 14.82400324 | 29.64800648 | 29.65 | -1.994 |
| 40 | 2799 | 13.99563257 | 14.84900437 | 29.69800874 | 29.70 | -1.991 |
**Fig 6 Receive frequency chart for the G3XSE modifications**
| Chan | +N | Fin /MHz | Fvco/MHz | Frx/MHz | Req freq | Error/KHz |
|------|------|----------|----------|---------|----------|-----------|
| 1 | 3381 | 16.905763 | 18.612507 | 29.307507 | 29.31 | -2.493 |
| 5 | 3389 | 16.945765 | 18.652509 | 29.347509 | 29.35 | -2.491 |
| 10 | 3399 | 16.995767 | 18.702511 | 29.397511 | 29.40 | -2.489 |
| 15 | 3409 | 17.045769 | 18.752513 | 29.447513 | 29.45 | -2.487 |
| 20 | 3419 | 17.095771 | 18.802515 | 29.497515 | 29.50 | -2.485 |
| 25 | 3429 | 17.145774 | 18.852518 | 29.547518 | 29.55 | -2.482 |
| 30 | 3439 | 17.195776 | 18.90252 | 29.59752 | 29.60 | -2.48 |
| 35 | 3449 | 17.245778 | 18.952522 | 29.647522 | 29.65 | -2.478 |
| 40 | 3459 | 17.29578 | 19.002524 | 29.697524 | 29.70 | -2.476 |
Motorola MC145151
The general purpose PLL chip selected for this modification is the Motorola MC145151. This PLL chip has a 14-bit program line which gives a 'divide-by-N' ratio from 3 up to 16383. The reference divide values can also be selected. Figure 7 shows the internal configuration of the MC145151 and the associated pin connections. The reference 'divide-by-R' codes are shown in Figure 8. The three reference program inputs define one of eight possible divide values for the total reference divide.
The output of the phase detector gives a dc signal output to drive the capacitance diode in the VCO circuit. Alternatively an additional phase detector output OR and OV is also provided. These phase detector outputs can be combined externally to produce a loop error dc signal. There is also provision to offset the 'divide-by-N' ratio by 856 when pin T/R is low, with no offset when T/R is high. This is normally used for offsetting the VCO frequency by an amount equal to the IF frequency of the transceiver. A pull-up resistor ensures that no connection will appear as a logic one, causing no offset addition.
The MC145151 also provides an on-chip reference oscillator when a crystal is connected to the terminals of OSC out and OSC in. A lock detector signal LD is provided at pin 28 and is set at '1' when the loop is locked. The 'divide-by-N' program inputs are connected to on-chip pull-up resistors, thus ensuring that if left open the inputs remain at logic '1' and require only a single pole, single throw (SPST) switch to alter the programming line to logic '0'. The PLL chip is a low-power complementing MOS device capable of operating at an 'F/in' in excess of 30MHz.
It is unfortunate that the 'divide-by-N' offset between transmit and receive on this chip has been fixed at 856. The offset for the American AM rig is 91, with 881 for the UK FM rig. To obtain the required values of 'N' we will have to use an EPROM to contain the required code for each channel.
The American rig
In both the American rig using the LC7130 and the UK set using the LC7137, the chip can be removed and substituted with a PCB containing the MC145151. In the LC7130 and LC7137 chips the 'divide-by-R' ratio is fixed at 2048. To obtain this same divide ratio with the MC145151, pin 6 (RA1) needs to be earthed (see Figure 7). Figure 9 shows an experimental circuit using simple switches to program the 'divide-by-N' register.
If this experimental circuit is used in an American AM rig which previously used the LC7130, then the required 'divide-by-N' ratios for transmit and receive for the rig to operate on 29.6MHz will be as follows. The VCO will be operating at a
frequency of 19.36MHz on transmit and 18.905MHz on receive (see Figure 6 last month). The corresponding 'divide-by-N' ratios, with a 'divide-by-R' ratio of 2045 will be 19.36MHz, which divided by 5KHz yields an N value of 3872 for transmit and 3781 on receive.
To obtain a 'divide-by-N' value of 3872, P_{11}, P_{10}, P_9, P_8, and P_5 need to be at logic level '1' (switches open circuit), with all other switches closed. For an 'N' value of 3781, P_{11}, P_{10}, P_9, P_7, P_6, P_2 and P_0 require to be at logic level '1' with other switches closed to ensure logic level '0'.
The Motorola MC145151 is easily interfaced into the rig. The existing 10.24MHz crystal oscillator is used together with the low pass filter. A small amount of difficulty was experienced at first with getting the loop to lock. Eventually it was discovered that both the LC7130 and LC7137 require a reasonably high level of 'Fin' to operate successfully.
The MC145151 is quite happy operating at a much reduced level and initially tended to be overwhelmed by the high level input. This problem was overcome by reducing the value of the coupling capacitor C305 (see Figure 8 last month) from 100pF down to 22pF. By initially using switches to preset the program code, the VCO and transmit mixer together with the power amplifier and receive front end can be tuned prior to adding the EPROM containing the programming codes for each channel.
**The UK rig**
If this experimental circuit is used in a UK FM CB rig which previously used the LC7137 it will be necessary to make minor modifications to the VCO circuitry. Figure 9 shows a popular circuit using the LC7136/LC7137. The LC7136 differs from the LC7137 because its ROM does not contain the facility to automatically select Channel 9 and Channel 19.
You will recall from Figure 2 that the VCO frequency differs by a large extent between transmit and receive, partly because the VCO is oscillating at half the operating frequency on transmit. To overcome some of the possible problems of making a capacitance diode swing the VCO over 4.5MHz, the set designers have introduced a switching transistor Tr115, which switches into the VCO tuned circuit (on transmit) C221, which is nominally selected by the factory on tune up, but is generally around the 33pF value. To ensure that the VCO operates without difficulty and is easily tuned on 10m, C221 should be exchanged for a 50pF trimmer.
It may also be necessary to reduce the level of 'Fin' by reducing the value of the coupling capacitor C198. Again the 10.24MHz reference crystal and associated circuitry can be directly coupled to the Motorola chip. However, if you wish to utilise the lock detector output LD, you will have to invert the output.
If one again requires Channel 30 to be on 29.6MHz, then from Figure 3 you will see that the VCO must operate at 14.80MHz on transmit and 18.905MHz on receive. The corresponding 'divide-by-N' numbers are 2960 for transmit and 3781 for receive. To obtain these values the program lines P_{11}, P_9, P_8, P_7 and P_4 must be at logic level '1' with all other switches closed. On receive P_{11}, P_{10}, P_9, P_7, P_8, P_2 and P_0 must be at logic '1' with all other switches closed.
In practice I have used the midband frequency corresponding to Channel 20 on 29.50MHz as the frequency on which to tweak up the rig's transmitter and receiver tuned circuits.
**Next month**
Next month we examine the EPROM (an Intel 2176) used to store the program codes required in these conversions, and the design of the memory board PCB.
**Reference**
1. How to convert unconvertible CB rigs, by Hugh Alison G3XSE, Short Wave March 1984.
As pointed out last month, it is necessary to understand the meaning of the term modulation and the various modulation methods because of the possible effects to both your own transmission, and to that of other users of the radio frequency spectrum if modulation is not performed correctly.
Overmodulation, for instance, not only causes the transmitted signal to sound distorted but results in the PA stage being overdriven and generates unwanted harmonics which are then radiated as spurious sidebands. The signal splatters over a wide bandwidth, invariably interfering with other transmissions; if you have ever sat listening to DX only to have it obliterated by splatter from someone on an adjacent frequency who is obviously overdriving, you will know exactly what I mean and understand how bad a problem this can be.
This type of interference isn't just restricted to users in the same frequency band - anything that incorporates a tuned circuit may be affected. There are many ways in which the interference can manifest itself and if the pursuit of your hobby suddenly starts to interfere with someone else's enjoyments, relationships can become strained very quickly.
Not everyone can hope for a QTH sited well away from his nearest neighbour, so the easiest way of tackling interference is to be able to recognise the possible causes of such problems and their prevention before they actually happen. This has a great bearing on how freely you will be able to enjoy the hobby of amateur radio once you get your licence and are ready to start transmitting.
The first (one hour) paper of the RAE is in fact set to test you on your knowledge of transmitter interference, so this topic will be more thoroughly covered in a later part of this series. First though, you must understand how the more common methods of modulation are performed.
**Keying**
Information can be conveyed by a transmitter in a number of forms, such as speech, visual signals, teleprinter messages or Morse code. Taking a simple continuous carrier wave, one way of transmitting intelligence is to break-up this carrier into long and short pulses, i.e. the dots and dashes of Morse code. This switching on and off of the transmitted signal is known as *keying*.
The keying of a circuit should take place at a point where the current or power flowing through the contacts of the key will be at a minimum in order to reduce sparking (itself a source of interference) and, for the sake of the operator's safety, to avoid exposing him to any danger from electric shock (many Morse keys have their metal parts completely uncovered). It is not advisable to directly key the VFO as this may cause *chirping* or small changes in transmitter frequency. As the VFO is usually followed by an isolating buffer or frequency multiplier stage, this is the logical point where keying should be performed, although in certain designs keying at other points is quite possible without any problem.
**Amplitude modulation**
As it implies, with amplitude modulation the speech waveform is used to control the amplitude of the radio frequency signal envelope. This can be done by taking the audio picked up by the microphone, amplifying it and superimposing it onto the HT supply to the transmitted RF power amplifier stage using a *modulation transformer*. Figures 1a and 1b show how the modulation transformer couples the amplified audio signal to a transistor and valve PA stage respectively.
For 100 percent modulation the speech amplifier must be capable of increasing the dc input power to the PA by about 50 percent. Thus, the RF power output of a fully modulated carrier wave is one and a half times the level of the unmodulated carrier wave output. This extra power, added to the power amplifier HT supply by the modulation transformer as explained, is supplied by the modulation stage or *modulator*, which is in effect a high power audio frequency amplifier. To 100 percent modulate the carrier wave of a PA stage working at 100W input, the modulator would be required to supply 50W of AF power.
In practice, slightly more than this figure is needed because the efficiency of the modulation transformer must also be taken into consideration. In the above example therefore, to supply an effective 50W of AF power into the PA, the modulator must be designed for an actual AF power output of about 70W.
You will remember that a characteristic of the Class C amplifier is that the output voltage is directly proportional to the HT voltage. This is useful because if the PA stage is arranged to operate in Class C, the shape of the RF envelope will be a true replication of the AF waveform and a high efficiency is achieved.
This is the most effective method of amplitude modulation, but it does have its disadvantages. A high-power AM transmitter would require the use of a large and expensive modulation transformer and high-power audio amplifier to achieve full-power operation, so whilst AM in this form is technically simpler than SSB, it can be a more costly method, especially for input powers over 100W. There are various other lower cost approaches to amplitude modulation but these all tend to have a lower efficiency than the above method.
**Frequency modulation**
With AM, the amplitude of the audio signal varies the transmitted power, but with frequency modulation it is the frequency of the carrier wave that is changed. This can be done in several ways depending upon the type of oscillator used.
*Reactance modulation* of the VFO is one method of producing FM, the change in oscillator frequency being achieved by varying the reactance of the tuned circuit in the VFO. In practice this can be done using a varactor, a form of diode whose capacitance varies according to the reverse voltage applied across it. One of the benefits of this method over AM is that very little audio amplification is required.
It must be remembered that any frequency multiplication that may take place after the oscillator stage will also multiply the frequency deviation by the same factor, so in an HF band FM transmitter steps must be taken to adjust the oscillator deviation relative to the amount of multiplication required for each band so that the bandwidth of the transmitted signal is not excessive.
On the VHF and UHF bands most FM operation takes place on specified frequencies, and for good stability a crystal-controlled oscillator is generally used, again with a varactor to deviate the frequency.
**Single sideband generation**
To produce a single sideband signal it is necessary to do two things – remove one of the sidebands and suppress the carrier wave. The latter is achieved by using a *balanced modulator*, so called because when fed with an AF signal and an RF carrier it balances out the RF input producing a *double sideband suppressed-carrier* (DSB) signal at the output. It is then a simple matter to remove the unwanted sideband by means of a filter. This arrangement is known as the sideband generator and is shown in Figure 3.
It is not possible to use frequency multiplication to cover a number of bands with this method of SSB generation, because the width of the sideband itself also becomes multiplied. A frequency mixing process is the approved alternative for multiband operation and Figure 4 gives the block diagram of a mixer-type exciter.
In order to provide good rejection of the unwanted product, the mixer is followed by a buffer amplifier employing tuned circuit coupling in the output, and the frequency of the VFO and crystals are chosen so as to keep the wanted and unwanted products from the mixer well apart.
If you listen on the amateur bands you will have noticed that lower sideband is used below 10MHz, whilst above this frequency upper sideband is transmitted. This is purely by convention and not due to any particular regulation. The PA stage of an SSB transmitter must be a *linear amplifier* (ie, operate in Class B or Class AB) to minimise distortion, but with lower efficiency.
Obviously, frequency stability plays an important part in SSB communication and it has been found advantageous to combine the transmitter and receiver circuits into one design, hence the *transceiver*. Study the SSB transceiver block diagram in the *RAE manual* to familiarise yourself with which stages are common to receiver and transmitter sections and why.
**Permitted power**
The schedule in the Amateur Radio Licence indicates the maximum power allowed for the various bands. This is quoted in dBW and for all modes refers to the RF output power supplied to the antenna. This is specified by carrier power except for emissions having a suppressed carrier, such as SSB, where the power is determined by the *peak envelope power* (PEP) under linear conditions. For CW or AM it is much easier to measure the input power, and a table of input powers corresponding to maximum permitted carrier powers is given in the *RAE manual* for reference.
The maximum carrier power permitted by the UK amateur licence on most bands is 20dBW (100W) or 26dBW (400W) PEP. Symbols are used to designate the various classes of emission and the more common ones are given in the table. It is a licensing condition that the class of emission rather than the type be recorded in the log, so remember them – a question on this often crops up in the exam.
A final note about transmitter adjustment and tuning. Never adjust a transmitter on a radiating antenna, to avoid causing obvious interference problems to others: the transmitter should first be connected to a *dummy load* made from a non-inductive resistance. Adjustment of commercial equipment should rarely be necessary with today’s all-solid-state designs. Care should be taken to avoid overmodulating, and any tuning up of the transmitter output stage should also be performed with it connected to a dummy load.
**Power supplies**
All equipment needs a power supply or power source to operate. With some it is
an integral part of the equipment itself, whilst with others it is a separate unit providing the necessary supply. With portable or mobile equipment requiring a supply of 12V this can usually be obtained from batteries, but for fixed equipment it is more common to utilise a power unit to transform, rectify and smooth the 240V 50Hz domestic mains supply.
Today, the silicon diode has taken over as the rectifying element from the valve or metal rectifier of earlier equipment. These are very efficient devices despite their small size, having a low forward resistance and high reverse resistance. Figures 5a and 5b show a half-wave and a full-wave rectifier circuit together with their respective input and output waveforms.
With the half-wave rectifying circuit, the silicon diode only allows current to flow during positive half-cycles of the ac voltage applied to it, but by combining two such circuits full-wave rectification is achieved because each diode conducts on alternate half-cycles. The output is termed a direct or dc voltage because whilst the output waveform varies in amplitude, it never changes polarity. This variation is called ripple and is 50Hz for the half-wave circuit and 100Hz for the full-wave circuit.
**Bridge rectifier**
Another rectifier circuit is the bridge rectifier of Figure 6, where the transformer secondary winding centre tap has been eliminated. This circuit has two diodes carrying current in series at any one time, to also give full-wave output with 100Hz ripple.
The next step is to find some way of storing energy during the positive half-cycles and to supply it to the load during negative half-cycles. For this a capacitor is used and you can see what effect this reservoir capacitor has on the output waveform from Figure 7.
The use of a reservoir capacitor also has a bearing on the rating of the silicon rectifier diode to be used. Assuming for a moment that the load in Figure 7 is disconnected, the capacitor will charge up to have a voltage across it equal to the peak value of the ac voltage that the diode is trying to rectify.
On the negative half-cycle the reverse voltage or peak inverse voltage (PIV) across the diode is double this figure, so allowing also for fluctuations in the mains supply, the diode chosen must have an adequate PIV rating. The PIV across diodes in half and full-wave circuits is taken to be $\pi$ times the dc output voltage, whilst for the bridge circuit it is half of this value.
**Smoothing**
As you can see from Figure 7, the output from the rectifier circuit consists of a fluctuating direct voltage. This fluctuation is known as the ripple voltage and can be greatly smoothed out by adding a choke to the circuit to oppose the alternating voltage superimposed on the output, and another capacitor to provide a low impedance path to earth for this voltage.
The choke may sometimes be substituted by a resistor, although the smoothing will not be as effective. This however is often the answer in a high-current supply where the smoothing choke required would be expensive and large. The value of this resistor must be low so as to avoid any great voltage drop across it, whilst the value of the smoothing capacitor will thus be quite high.
To obtain a high voltage at low current, such as would be required in an oscilloscope circuit, a voltage multiplier can be used of which one of the more common is the voltage doubler circuit. Typical RAE questions might be to state the purpose of the choke, or to identify the half-wave, full-wave or bridge rectifier circuits or the output waveforms from such circuits, so make sure you know them well.
The bridge rectifier can be made up of four individual diodes or bought as four diodes in one single package. Note the radio circuit symbol for a bridge rectifier shown in the practical power supply circuit in the manual. Whilst silicon diodes form ideal rectifiers for PSU circuits, it must be remembered that they can be easily destroyed, which in turn may lead to damage of other components in the unit such as the transformer.
It is not unknown for such a failure to cause the output voltage to far exceed the correct level for the equipment it is supplying, resulting in further, often expensive, destruction. It is good practice therefore to provide some sort of protection against such occurrences, even if it is as simple as the inclusion of an appropriately rated fuse at some point in the output.
Silicon diodes are far less tolerant than other forms of rectifier because they are only capable of withstanding their rated forward current or PIV but no more. Excessive current or voltage surges exceeding these values, even if only momentary, will quickly ruin the device, so it is essential that the possibility of such surges are minimised in the design of the supply. For instance, switching the supply on results in a strong current surge as the reservoir or any high value capacitor charges up, so such transients, as well as the other factors mentioned earlier, all have to be catered for in the rating of the diode.
It may be necessary to provide the diode itself with some means of surge protection, such as connecting a capacitor in parallel with it to absorb some of the energy in the pulse. A resistor on the input to the diode will also serve to limit the current surge, but the resultant voltage drop may be undesirable.
It is permissible to connect several diodes in series to provide a higher PIV capability as an alternative to using a single, high PIV rated diode. Each should have a surge suppressing capacitor connected in parallel across it together.
with a resistor, the latter to equalise the volt-drop across the individual diodes. Like a single diode, diode chains should also be conservatively rated.
**Supply characteristics**
A requirement of most PSUs is that the output should be smooth, i.e. contain very little ripple. For oscillator circuits the supply must also be capable of providing a constant voltage irrespective of the amount of current being drawn to ensure good frequency stability. Such a supply is said to have good regulation.
Factors which cause the output voltage of a power supply to vary include any changes in the mains voltage supply and the effect of the impedance or resistance of that part of the PSU circuit through which the load current flows.
Just as the best battery is one with a low internal resistance, so the ideal power supply is one which has a low source impedance. This can be achieved by careful design, but the more efficient answer is to use some form of regulator circuit which will automatically compensate for any changes.
**Regulated supplies**
Simple voltage regulation can be done using the Zener diode, as described when we looked at solid-state devices. This method is suitable for, say, the supply to a VFO and is reasonably good for supplies up to about 150V, but a more effective method is the circuit shown in Figure 8. This uses a transistor as the regulator. The transistor is connected in series with the supply to the load and a Zener diode of the appropriate value keeps the base at a constant forward voltage, so that if the load increases the transistor conducts more to maintain the output voltage at a constant level.
To provide better control, an extra transistor working as a dc amplifier can be used in what is called a balancing circuit. It is thus possible to compensate for changes in both the load on the power unit and the mains input voltage to the PSU.
Circuits often incorporate other features such as diodes to protect the supply (and equipment) from surges or incorrect connection, or some form of current limit to guard against thermal overload.
**Integrated circuit regulators**
All of the various elements of the regulator circuit, the various transistors, resistors, error amplifier and reference voltage source can now be obtained in one complete, small, integrated circuit package. The more complex IC regulators also have various protection circuits built-in, are relatively cheap to buy and offer a big advantage over building the same circuit up from individual components.
Integrated circuit regulators are available up to a maximum regulated current of about 10A and are quite common in today's power supply designs. For higher currents a number of regulators may be connected in parallel.
The Darlington pair discussed earlier in this series is often used in power regulator circuits and also comes in an IC package, complete with diode protection.
**Safety**
Before we finish power supplies, here is a safety note which cannot be voiced too often. Not everyone appreciates the high peak voltages that can be present at times in a power supply.
For example, for a CW transmitter with a conventional full-wave rectifier supply, when the Morse key is not depressed the load on the supply is effectively removed and the dc voltages can rise to a very high level. These may be considerably greater than the transformer ratings so it is wise to ensure that everything in the circuit, not just the diodes, is adequately rated. This will avoid breakdowns and flash-overs of the transformer or capacitors, reducing any safety hazard, especially with the close presence of RF.
Such voltages can be lethal, as can low-voltage high-current supplies, a point not always realised. The latter may not give you an electric shock but the current may be sufficient to melt metal if accidentally shorted to earth by a screwdriver or even a ring on one's finger.
Remember also that large value capacitors can retain their charge for a very long time unless it is allowed to leak away to earth and so present another safety hazard. There has sometimes been a question or two on this in the RAE.
Next month we'll be taking a look at propagation and antennae.
**Acknowledgements and references**
*Radio Amateurs' Examination Manual* – GL Benbow, G3HB (RSGB)
*City and Guilds of London Institute A Guide to Amateur Radio* – Pat Hawker, G3VA (RSGB)
Hello again! This month I was going to present some of the topics raised by the many letters I have received and give a user report on a new computer program.
This is still the plan of action, but firstly I have a most enjoyable duty to perform. Today, 22 January, I received the first claim for the *Amateur Radio Prefix Award*. Don Robertson GM3JDR, of Caithness, Scotland submitted a claim for 250 prefixes. Not only is Don the first claimant, but the claim is for *all worked CW*!
Whilst congratulating Don most heartily, I note that his list was nicely laid out with the callsigns, date and frequency as per the rules with the signed declaration.
Don was using a Yaesu FT101ZD into a half rhombic at 60ft. His QTH is a ¼ of a mile from the cliffs, so the sea obviously helps enormously with the ground wave signals. He certainly took the award seriously and worked the 250 prefixes in 15 days between 0700 and 1700 GMT. As a lighthouse keeper, Don’s time on the air has to be fitted in with his variable shift duties.
Another noticeable thing about the list is the lack of so called ‘exotic DX’ and the list proves that anyone keen on short wave listening could reach this level reasonably easily.
I’m sure I echo the congratulations of all the readers of this column to Don.
**Considerable Interest**
Over the past few weeks many of the letters that I have received have been about the *Amateur Radio Prefix Award* showing a considerable interest by listeners and licensed amateurs in working for awards such as this. For some of the newer listeners, the term ‘prefix’ seems a bit confusing so I will repeat the rules here.
1. The prefix is the first part of a callsign, eg GW4, GW1, G3, G2. These all count as separate prefixes as do DL6, DL9, UK2, UK4, UK8 etc, even if they are in the same area.
2. Stations working /A count as the actual QTH, eg DL6/G4ZZZ counts as G4, W6/ SV1ZZ counts as SV1.
3. Stations working /M or /MM count as separate claims.
4. Only registered amateur callsigns count. Pirates or other dubious calls will be deducted from submitted scores. In this vein, The Geoff Watts Country/Prefix/Zone List will be the reference (this list is available from Geoff Watts, 62 Belmore Road, Norwich NR7 0PU, for 75p).
5. Lists must be for prefixes heard or worked from 1 January 1985.
6. Claims must be in alphabetical order giving callsign, date and frequency. RST reports or other details are not required. It is not necessary to send QSL cards.
7. A simple signed statement that the submitted claim is made in the spirit of the competition must be attached or entered at the bottom of the claim.
I look forward to receiving the first listener’s claim…judging by the mail, it won’t be long arriving either!
**Review**
So for this month’s review. Over the past month, I have had the pleasure of trying a new (for me, anyway) mode of communication. Unfortunately, time has been extremely limited and a really in depth use of this new mode has been impossible, but enough use has been made of it to get me extremely interested.
RTTY has been the name of the game and a new program for the Spectrum computer by Pearsons Computing under the label ‘GIFTU RTTY’ proved to be the catalyst for the new interest.
‘GIFTU RTTY’ is supplied nicely packaged to order and is a program used for transmitting and receiving RTTY using the Spectrum without an interface. However, I feel that, in the true sense, an interface of sorts *is* required and, in this case, the unit published in this column in the November ’84 issue was used (which proved it works anyway!).
On loading the program you will be presented with a command menu on the monitor screen (please see table).
Connection of the computer to the receiver or transceiver is as explained in my previous article on Morse reception, using the same switching unit or ‘interface’.
As with Morse, the signal should be carefully tuned and the tuning indicator in the program is helpful here. Simply centralise the markers at the bottom of the screen and you have the signal tuned correctly.
With RTTY, most amateur stations use a baud speed of 45 so this should be the selection made using the menu. Commercial stations use a variety of speeds so it’s a matter of trying the speeds until you get the right one.
My first attempts were on the 2 metre band on 145.300MHz and the signals here needed no tuning at all. A number of stations were copied either calling ‘CQ’ or in QSO. Due to my bad VHF location some return signals were not fully heard, so only part of the QSO was translated, the rest being a garbled mess.
Changing the leads over to the TS130, I listened around 14.090MHz and found F5YM calling CQ. Although I waited some time no reply came, so I thought it time to try the program on transmit.
It was not without a little nervousness that I selected the transmit mode in the menu and selected memory 1, which had been pre-programmed by Pearsons to include my own callsign (part of the service).
**No-reply**
My first couple of attempts brought no reply and F5YM was still calling CQ. It was then that I realised that I hadn’t selected transmit on my interface – *twit!*
The next attempt resulted in an instant reply with a beautiful signal from Marseilles and a 599 report in return. My first RTTY QSO logged!
As I was reviewing the program from the listener’s angle, I scanned the bands for more and found the program well up to the task with British, Italian, Dutch and French stations copied with...
ease. I've yet to have a real DX contact but with the bands in a sorry state they will come in time, no doubt.
Two metre contacts have been a delight with very few problems. One point brought to my notice was that, when sending direct from the keyboard, some stations received asterisks between the letters and this made accurate translation difficult from their end, especially as my typing speed is slow. This aside, the program certainly does what it is planned to do.
The instruction manual is an 8 page leaflet and covers just about every problem you might face when using the program. As a complete novice at RTTY, I found it very easy to follow.
I must admit that I have never had any aspirations towards RTTY working but this program makes operating so simple and, once you have got the hang of switching from receive to transmit, is quick to use.
The back-up of the memories makes a QSO very easy to conduct and all of your station details can be memorised and transmitted in any sequence. The type ahead on the lower section of the screen while receiving is a must and allows you to compose your reply as you read the incoming signal.
**In conclusion**
All in all, this is a superb program and I have only two criticisms. These are that for transmitting a CW ident could have been incorporated (perhaps into memory 9?), and for receiving, a copy mode could have been included as some listeners would like hard copy to use for QSL claims.
At only £10 a throw, Pearson Computing have come up with a winner for the SWL and amateur using a Spectrum.
Incidentally, my thanks to Paul Martin G1JOU, for his comments on the program which arrived as I was trying it out, and to GW6JMU (Jim) and GW1DTA (Mark), who put up with some terrible noises from my end while I was trying to type faster than the computer could translate! Many thanks lads.
**The mailbox**
So to the mailbox - and quite a response to the aforementioned Prefix Award, with parts of lists as samples and queries about the rules (which I now hope are clear).
One or two of our readers have tried the interface published in this column in November '84 and it appears to be working out well. Thank you for your comments. If you do have a problem with it please let me know and I'll try to help. Most of the queries refer to the connections to the receiver/transceiver when Yaesu rigs are in use as these have six or eight pin connections, unlike the Trio which has only four pins on the mike socket. Remember, you only connect the PTT line and the audio input lines. For those who don't know the circuit mentioned, send me an SAE and I'll send you a copy.
One of the constant problems with using a computer with receivers is the ability of the receiver to pick up RF from the computer. Readers have tried many methods to overcome this without success. Apparently, the better the receiver, the worse the problem. A letter from Philip Cole of Bristol to Commodore brought no joy either, and lining the computer with foil didn't work. Has anyone got a solution to the RF problem?
One letter, from Den Marriott in Kent, raised a query regarding aerials. Having used a 60m endfed wire, he tried a ½ size GSRV and stated that it seemed more selective than the wire. Actually Den, you'll probably find it less efficient than the long wire and maybe, depending on how you have it erected, a bit more directional, so perhaps this is what you mean. The wire with the ATU could pick up signals that were not received by the ½ GSRV.
I'm also receiving quite a few letters regarding the 'Information Mailing List' mentioned a few months ago. I am computerising the information received (never thought it would be so useful!) and as soon as we have a reasonable list I'll send it out to those interested.
This will be good news for a reader in Lincolnshire who seems to be having a few teething problems with his receiver, as I am sure that one of our readers will be able to help.
**Individual choice**
I receive many letters asking me to recommend a particular receiver, and as much as I would like to help, it would be most imprudent of me to recommend any particular brand.
I have stuck to one brand myself and been rewarded with good performance and reliability. But then so have many other listeners and amateurs, so it is a difficult to pass comment.
There is, as in the world of cars, cameras etc, a form of camaraderie with users of Trio, Yaesu and Icom, each being loyal to his choice in the same way as owners of Ford, Austin, Nikon and Minolta.
Each person makes his choice according to his pocket and requirements and if he is happy with his choice he will sing the praises of that particular brand and protect its name against any other. That's perfectly natural.
The problem is that, as a contributor to *Amateur Radio* it is sometimes taken that my views are those of the magazine.
**Impartial**
It's hard for some people to realise that any reviews undertaken by writers in this (and any other) magazine must be impartial and unbiased, so if I state that a particular piece of equipment is good value (or otherwise), that is my opinion and is open to argument either way; and I still say the Niblic MK7 is the best receiver money can buy - so there!
Please send your letters to: 1 Jersey Street, Hafod, Swansea SA12HF.
Next month I'll be looking at the bands again from a listener's viewpoint and trying out the multiband 'Dipole of Delight' on transmit and receive.
Meanwhile, keep the mail coming and have a good month on the bands. Good listening, all.
SSB Repeaters
As is now well known the Sheffield SSB repeater is on the air. The idea behind this one was not that it should be a DX machine but that it should operate in the same way as any other 'local' repeater. If it can be shown to be a workable project, and there seems to be no reason why this should not be the case, then it would open the door to a significant increase in the number of repeaters that could be placed in the existing allocation, due to the much narrower bandwidth required by the SSB system.
This all seems to be fairly state-of-the-art stuff and G3RKL is to be congratulated on getting it up and running.
Good Ideas
Our report on the SSB repeater has brought a most interesting letter from Mike Pinfold ZL1BTB, of Rotorua, New Zealand. He sends details of a new 'linear' repeater which he has constructed and which is now used as the local repeater.
This repeater is, in effect, a grounded satellite system and functions much along the lines of Oscar 10. It is centred on an input frequency of 144.950 with the output on 144.350MHz, the big difference being that it has a bandwidth of 30KHz. Now, if you think of the SSB end of two metres on a busy contest weekend you will get some idea of just how many signals you can squeeze into 30KHz!
The other really big advantage is that you can handle all types of modulation, so it is possible to use data, RTTY etc all at the same time.
Technical stuff
The maximum output power is about 8 watts and is proportional to the received signal level. This means that if there are two signals on the input and one is twice as strong as the other this ratio will also be found on the output, unlike the conventional repeater where the transmitted power is always the same irrespective of the input signal level.
The aerials are a pair of 5-element vertically polarised Yagis mounted on a forty foot pole with a separation of ten feet between the two aerials. By this means a starting isolation of 40dB is achieved, this is then backed up with two high Q cavities in each feeder giving a rejection notch of ~78dB for each cavity, with an insertion loss of around 2dB.
Power for the unit is derived from solar panels with battery back-up (even in New Zealand the sun does not shine at night time!). It seems that a lot of work has gone into developing this repeater as Mike tells me that it is the third unit they have installed, the other half of 'they' being ZL4DO. Bear in mind that it can handle all those signals at the same time and do it in virtually the same space as is used by one of our repeaters.
April Fools Day
Those of you who have applied for a letter of variation allowing class B operators to use Morse will have received them by now and included with it you will find a guide to operating produced by the RSGB. It really is vital that you stick to these guidelines because any problems which arise from stupid or thoughtless operating could result in the experiment being completely withdrawn or, more importantly, not being written into our licence as a permanent facility.
This is a tremendous relaxation of the rules that has been obtained for us, please do not foul it up. For those who have not heard about the facility (!) simply write to the RSGB, Lambda House, Cranborne Road, Potters Bar EN6 3JW. Enclose two stamps and ask for the 'letter of variation'. You do not have to be a member of the RSGB to get the permit but if you are not you will probably get a nice letter explaining why you ought to be. Give it some thought, there are worse ways of spending a few pounds. The experiment starts on 1 April, hence the headline.
Bandplans
We have had several enquiries from newcomers to the hobby as to what 'the bandplans' are and what purpose they serve. First let it be understood that under the terms of your licence you can transmit any mode anywhere in the band. If you did that the result would be chaos; there are so many people trying to use the bands that the only sensible system is to have a gentleman's (gentleperson's?) agreement as to what is going to happen where.
The bandplans have evolved over the years and, although still not perfect, do serve reasonably well to give all interests a fair crack of the whip. This month we will have a look at the two metre listing.
CW only
This runs from 144 to 144.15MHz; the section from the bottom of the band to 144.025 is set aside for Moonbounce working. 144.05 is the CW calling frequency and 144.1 serves the same purpose for meteor scatter.
SSB and CW
This covers the area 144.15 to 144.5MHz. 144.25 is used on Sunday mornings for the RSGB news broadcasts and 144.26 is used by Raynet. The microwave talkback is on 144.175 and the normal SSB calling spot is 144.3. 144.4 is used for the meteor scatter SSB reference frequency.
These fellows have a very organised system of QSYing and MS operation can spread ±25KHz of the calling frequency. When you consider the weak signals available on this mode it is really criminal of people to sit on this spot and natter away on FMI! An MS contact can take up to a couple of hours to complete and you can ruin it with a ten minute chat across town.
All Modes
This section of the band is from 144.5 to 144.845 and even here there are several frequencies to avoid. First there are several calling frequencies, these being 144.5 for SSTV, 144.55 for microwave, 144.6 for RTTY, 144.675 for data transmission, 144.7 for FAX and 144.750 for ATV. In addition to these, 144.775 to .825 are designated for Raynet use.
Beacons
These are in the section 144.825 to 145 and this should never be used for any other purpose. The point of beacons is that they indicate band conditions in various directions and people spend many hours monitoring them when looking for openings.
Contrary to most peoples' idea you do not spend time listening to the beacons you can normally receive but rather you are waiting for a normally unheard beacon to appear out of the noise. The fact that you can hear nothing on the frequency that you intend using for a local chat is all the more reason for keeping clear of it. One odd fact here is that Raynet have yet another spot at 144.85.
Repeaters' inputs
These are located between 145 and 145.175 and the normal SIMPLEX frequencies are from 145.2 to 145.575. There are still more frequencies to be avoided however. These are yet more Raynet
spots at 145.2 and .25, 145.25, which is used for the RSGB slow Morse transmissions and 145.3 which is the frequency that is used for RTTY FM calling. 145.3 is the general calling channel and .525 is used on Sunday mornings for the RSGB news broadcasts. Another one to check on Sundays is 144.550 which is the accepted 'Talk in' frequency for rallies and exhibitions.
The easy bit
The area between 145.6 and .775 is for repeater outputs and from 145.8 to the top of the band is for the amateur satellites. Apart from only using these parts for the designated service there are no special frequencies to stay clear of - yet!
As you can see the list is quite formidable and one sometimes wonders how we manage to find a space to get a contact on.
The answer is that by keeping to the bandplan at least some order is brought into what would otherwise be a chaotic situation, and as you can see most interests have got at least some space to work in.
It makes a lot of sense to have some 70cm gear available; we will look at that band next month and two things will be immediately obvious: one is that we have five times as much space available than on two metres and, secondly, there are nowhere near as many spots to be kept track of.
Certificates
Our new certificates are causing a lot of interest; we have already had two claims for two metre Bronze certificates. A lot of people have commented on the fact that getting the QSLs can take a long time and that they are anxious to get a foot on the ladder as soon as they can.
To make this possible, and also to lighten the workload involved in running the award scheme, we have decided that all claims shall be presented as a copy of your log entries and that the copy log must be signed by two other amateurs as confirmation of your claim.
Please include your locator and also that of the station you are claiming for the distance part of the award so that we may check the claim.
Contest news
The dates for the various cumulative contests have now been announced. The 3.4GHz event is on 16 June, 5.7GHz on the 11 August and 24GHz on 21 April, 10 May, 14 July and 15 September.
These events coincide with 10GHz activity on all these dates and are timed from 0900 to 2000 GMT. The Microwave Society's 10GHz activity day is also to be held on 21 April so this should be a very busy day. Have a listen around 144.175 to see how they are getting on, or perhaps even visit a site and see how they do it on microwaves!
The weekend of 13/14 April is the BARTG VHF/UHF Contest and on the 21 April there is the RSGB 70MHz Contest. Looking forward into May there is the 432 to 24000MHz contest over the weekend of the 4th and 5th and the RSGB 144MHz affair on the 18/19th.
Sporadic E
The new season will soon be upon us, although some evidence suggests that there may be limited activity at any time of the year with reports coming in of activity around Christmas time.
One new country that may be available this year is Turkey, which has just started issuing callsigns again after a lapse of many years. It seems they have all bands available, more or less as our own licence, with up to 400 watts. It certainly would not be impossible, Israel was worked a few years ago, and it would certainly constitute a first if you can manage it.
Tallpiece
That about wraps it up for this time, please keep sending those letters and let us have as much information as you can about what is happening in your area of interest. The address is 81 Ringwood Highway, Coventry.
An apology
Some time ago a retired listener wrote to the magazine asking where he could get hold of a manual for his CR100 and the editor passed the letter on to me. I knew that a friend of mine had recently bought a manual for this receiver and phoned him. Unfortunately he was working night shift for the month so I had to wait to get the information.
I now have the information but have lost the original letter. Thus, if you are a retired listener who wrote to this magazine ages ago asking for details of where you can get a CR100 manual, please accept my apology for keeping you waiting and try 'The Moorings', 41 Halvarras Road, Truro, TR3 6HD. Tel: (0872) 862575.
'One crystal per channel' rigs
I've had a couple of letters from amateurs attempting to repair rigs themselves who are confused by the fact that the rig is crystal controlled on both transmit and receive, but only has one crystal per channel. The method employed was quite popular just before the outbreak of synthesised rigs and was used in, for example, Palm 2s and 4s, and a few 'Standard' transceivers. It obviously had the advantage of making it cheaper to install extra channels into the rig.
The receiver path is quite normal. Let us take an example of a rig 'tuned' to 145.7MHz (R4) and with a 10.7MHz first IF.
Since the receiver is a superhet, we require a local oscillator on 145.7 minus 10.7, which equals 135MHz. This is normally obtained by a crystal that has been multiplied up three times, so the actual crystal frequency will be 135 divided by 3, which equals 45MHz, all fairly basic stuff.
The clever bit is on transmit. Instead of having another crystal oscillator/multiplier stage as per normal, you keep your receiver local oscillator running and mix it (at the final frequency, in this case 135MHz), with a 10.7MHz oscillator to give you a carrier on the frequency that you were listening on. This is then amplified up to give you the required transmit power.
What about repeaters, you may well ask? Simple, instead of mixing on transmit with 10.7, just mix with 10.1MHz (ie a crystal 600KHz lower), then 135 plus 10.1, which equals 145.1MHz; just what we want.
Servicing 'one crystal' rigs
If you have grasped the above it should be obvious that you FM modulate the 10.7/10.1MHz injection oscillator. What many people fail to realise is that this deviation has to be to full system deviation, ie if you want 5KHz deviation you have to shift your 10.7/10.1MHz 5KHz. In the more 'normal' two crystal rigs the deviation is much less since the deviation is multiplied up as the frequency is increased.
For example, a 12MHz crystal deviated by 1KHz will end up, after being multiplied by 12, as a 144MHz signal deviating 12KHz. This fact was overlooked by a colleague who was repairing a rig with low deviation. He said the 10.7MHz oscillator was deviating by 1KHz on speech peaks, which should be more than enough when multiplied up!
Another big problem is when the rigs go off frequency. Some of the rigs employing this technique are now over five years old, and a quick glance at the frequency stability characteristics of the cheap crystals used in some of these rigs will soon indicate the reasons for reports of off channel, either on receive or transmit.
One reader was stumped as to why his rig worked on receive and on simplex transmit but was consistently 5KHz low on repeaters. If you follow the example above through carefully it should become apparent that the 10.1MHz 'repeater' mix crystal was low in frequency. In practice I normally measure the frequencies of the two crystals before touching individual channel crystals.
The Palm II and IV
These rigs are examples of the above technique, for two and seventy respectively. The IF of the IV was 32.2MHz.
The two meter version has a bit of a reputation for blowing output transistors. This is bad news since they are the collector isolated from the can type and are consequently expensive. As I explained recently, the output transistor goes open circuit; this causes the driver to run into a mismatch, causing it to draw a high current and causing the Tx/Rx change over transistors to burn out.
Treat the two meter rigs with care, never run them without an aerial and don't 'tweak' them for maximum output. Don't run them off dodgy power supplies either. Funnily enough, the 70cms version seems to have a much more rugged PA and failures are uncommon. Both variants seem to suffer from dry joints, this being the common reason for their appearance on the workbench.
It may be because of the unreliability of the 2 metre variant's PA, or it may reflect the greater desire for 70cm equipment, but the 2 metre variant sells for much less than the 70cm one. £55 to £60 for two, £70 to £75 for the 70cm seem to be the going rate for secondhand examples during the 1984 rally season.
The rigs came complete with chargers when new, and I would recommend that you try and get one with your rig. The batteries in the transceivers are really excellent. I recently bought a very dead Palm II for £15 which the owner assured me had been lying untouched in his shack for three years, yet the batteries (ni-cads) came up like new after the first charge.
Both rigs have adequate receive sensitivity and good battery life. I regularly go for a one hour walk chatting through the local repeaters and the rigs will normally last for two outings before requiring recharging, and there are often listening only periods in between. The cases will keep out the odd shower, but I wouldn't recommend using them in a downpour.
The Palm II and IV have only recently been discontinued, and recently a few emporiums have been selling off their last few at quite attractive prices. I would recommend giving the rig a good shake on transmit and receive prior to buying, to pinpoint any dry joints that may be present. If all appears OK then you've probably got yourself a good buy, but don't take chances with the aerial on the 2 metre variant!
Decisions, decisions
I like the Maidstone rally. It is a bit small compared with most, but it is friendly and well organised. It is an oddball since it only happens once every two years, but I have bought some memorable bargains there over the years. For instance, a Hallicrafters SX27 for a fiver and a Microwave Modules 'ten in seventy out' transverter for £15 which were bought at the last one.
I also like the Wireless Revival. This rally dares to be different. For example, it was the first rally to try the car boot sale idea. I am a big fan of these at rallies since they give the seller the chance to flog really small items, like relays and variable capacitors, which would be impractical to sell via the bring-and-buy. Another advantage of the car boot sale, for the organising club, is that the whole show can be organised by one man. There is also the advantage that there is no come back on the club if a rig is stolen, always a problem.
It was thus that my heart was broken when I found out that both of the above rallies were on the same day (26 May). It strikes me as a bit silly having two rallies on the same day at such close venues. The RSGB run a diary service designed to prevent this sort of disaster and it only takes a phone call to the MSO (Membership Services Officer) to check that the day is clear. I appreciate that with so many amateur events to be fitted into a year there have to be clashes, but it would seem sensible to try and avoid an event within, say, a 200 mile radius.
There has been a lot of discussion on the bands about who is going to which rally hereabouts, so it's obvious that attendance at both will be down. It took your scribe ages of heart searching to make my decision because I've been going to both since they started, but in the end the revival won. My son likes the model flying display!
Amateur Radio — The Easy Way, Ham Radio course video £24. 1 Grice Close, Kessingland, Lowestoft
Ex-WD infra red binoculars with power pack and controls, some spares and instruction book, no lamps, £30 ono. M Brown, 15 Hamilton Row, Waterhouses, Co Durham DH7 9AU. Tel: Durham 731585
WANTED
SWL wants a modern digital general coverage receiver, no modifications fullest details, Vic, 5 Egremont Road, Exmouth, Devon EX8 1RX.
Wanted by collector complete set 1150/1165/1155 rig as featured in Amateur Radio January issue, or any separate units, in particular the receiver, your price paid, will collect. Contact Paul, 194 Perth Street West, Hull. Tel: (0482) 445107.
Any information or mod circuits for a Lafayette HF40 communications Rx, also all expenses paid for a complete and total account of this receiver. This Rx is a 4 valve type. John Vernon, 21 Crossbank Close, Lowesight, Manchester.
Have Forte TVT435 TV Tx, and MM receive converter. Would exchange for good 2m, multimode Tx, ie 290R or similar. When writing please include tel no if any. Mr David Bird G1AXIR, 196 Ashmount Gardens, Millhill Estate, Lisburn BT27 5DB.
Army radio WS11, power units, carrier, connectors, control boxes, in restorable condition, £60 offered for radio, more for complete set. Warner, 45 Eastry Close, Ashford, Kent TN23 2RL. Tel: (0233) 36185.
Wanted two metre transverter capable of taking 10 watts input. Home brew would be OK, but must be cheap. Tel: (0723) 365360.
Pye Pockettone 70 (PF2) or Burndep 470/471 in good working order on VHF. Low band to be converted, Good prices please. J Jones, PO Box 4, West-Derby, Liverpool L14 4DH.
Murphy type 618 HF TX AP100333 and power unit AP100336. Also Marconi Kestrel Tx and any other Marconi marine gear. G4FUY QTh. Tel: (0734) 733633.
Nato 2000 must be in perfect condition. Also FT7th or FRG7700 or EC10 Eddystone urgently wanted. Belcom LS102L, cash waiting. Will radio ham from Hebbon-on-Tyne tel: (0283) 221870.
Transmitter monitor oscilloscope. Any information on circuit for 100 watt radio transmitter. EC625A (100-160MHz) valve linear amplifier. R Lucking G11IU, 62 Ember Farm Way, East Molesey, Surrey KT8 OBL. Tel: 01 398 3603.
Ham Radio Today required by collector. The following issues are required: Jan 83, Aug 83, Sept 83, Nov 83, Dec 83, Jun 84. Also wanted the first issue of 'Amateur Radio'. I pay your price. 511MR (T Smith). Tel: (0226) 280470.
Storno type car hand-set. Tel: (0245) 400760.
Service and operating manual for IC290E 2 metre all mode transceiver, to buy, will pay p+p also. M H Clifton, 21 Park Road, Hilton Estate, Feathertons, Wolverhampton, WV10 7HS. Tel: (0782) 728800.
Trio R820 receiver must be in A1 condition. Price and details please, all letters answered. Mr J P Wright, 12 Norr Hill, Basingstoke, Hants, RG21 2HD. Tel: (0256) 468649.
Wanted postwar American receivers. AR88 Hifiliciter, HRF 30 Collins. Also Realistic DX300, Walkie, 'Britten', Margate Grove, Rotherham, S Yorks. Tel: (0709) 63323. Any time.
Exchange my FT757GX plus HD PSU plus auto ATU for FT902DM plus matching speaker and matching ATU plus FRG7700 receiver. Bob. Tel: (0268) 697906.
Telephone servicing Vol 2 by G N Patchett, Norton Price (publishers) Ltd. Reasonable price paid for good clean copy inc postage and package. Tel: Bob, 01 764 0951.
FT707 transceiver. Tel: (0563) 34383.
Wanted circuit diagram for WKS1001, will pay reasonable price, also postage. Please contact Mr Martin Fossey, 37 Great North Close, Eccles, Maldon, Essex. Tel: Maldon 70485.
Two meter multimode mobile. IC290, TR9000, FT480. Must be good condition and reasonable price. I D Porter, G1DHV. Tel: (0902) 50890.
Cassette recording of SSTV audio signals off the air or from SSTV converter for testing out homebrew send and receive SSTV converter. Stan G3XON, 14 Dagden Road, Shaftesbury, Guildford, Surrey. GU4 8DD. Tel: Guildford 42000.
Yaesu FT-1000R multimode. Chris Smith, 35 Allendale Road, Earley, Reading, Berks, RG6 2PD. Tel: Reading 661075 (eve), 875123 ext 6207 (day).
Yaesu FT101ZD MKIII plus FC902ATU. Both items must be in excellent condition. Will pay up to £500. Must be prepared to send both items to Scotland. Prepared to pay carriage fee. Tel: Minsterdene 285.
Any information on RTTY or AMTOR using Tandy TRS80 Model 1 48K computer with RS232, disk drives and printer. Porter, 47 Milford Avenue, Wick, Bristol, BS15 5PP. Tel: Abson 2641.
DNT 10m FM Tx/Rx with repeater, £30.00. Tel: St Albans 39333.
Panel building or not for Marconi FT1320 scope or complete unit in any condition. Service/instruction manual for Cossor 1035 MK2A scope will buy or hire to copy or swap for pre-war radio gear. A Keys, Mill Lane Farm, South Somercotes, Louth, Lincoln.
Exchange 2m SSB for 70cm FM, in other words I'll exchange a TR910 for a TW4000A. Also want TS780. David Rickwood GB6UDM. Tel: (0902) 783338.
National Panasonic DR48 digital general coverage receiver. Also Yaesu YK901 keyboard to go with YR901 CW RTTY reader. Tel: 394336 (Colchester, Essex).
TS780 225RD + 70cm multimode. Tel: Reading (0764) 33685 after 8pm, anytime weekends.
Is there a licensed amateur reading this who might enjoy writing to an RAE student? I am seventeen and need a friend who can respond to my inquisitive nature! I am not looking for a cheap alternative to a proper course and I am genuinely interested in all aspects of radio. Please write for more details (all letters will be answered). Jonathan Baker, Victoria Cottage, 67 East Street, Selsey, West Sussex, PO20 0BT.
HEATHERLITE MOBILE MICS
Made to help you drive safely
Reasonably priced to suit your rig, head/neck band, electret mic, control box, variable mic gain, scanning buttons, plug fitted – superb quality. Priced from £20.50inc.
FULLY GUARANTEED
Ring for Details — Heather G8SAV (0401) 50921
USED AMATEUR EQUIPMENT?
I BUY, SELL & EXCHANGE!
My low overheads mean the Best Possible Deal for YOU!
Whether Buying or selling Phone Dave on HORNCHURCH (0702 24) 57722 ANYTIME, or send SAE for details to:
Q4TNV ELECTRONICS
132 Albany Road, Hornchurch, Essex. RM12 4AQ.
New Equipment Supplied at Competitive Prices!
Marine Radio also Bought and Sold.
PNP Communications
Modular terminal units for
RTTY — MORSE — AMTOR
PL1 RTTY mod/demod ...............£14.50k £18.50a
MF1 Morse demod ..................£12.50k £18.50a
FP1 Power supply/amp .............£11.50k £14.50a
a = assembled PCB, k = kit of parts. Software available for: Dragon VIC20 CBM 64 BBC Amstrad CPC64 Acorn ATOM. Please ADD VAT at the current rate.
ACCESS & VISA welcome
62 Levese Avenue, NEWHAVEN
East Sussex BN9 9SB
Telephone (0273) 514465
LARGE SAE for full Catalogue
DW ELECTRONICS G3 XCF
Amateur Radio Supplies
71 Victoria Rd, Wimsea
ICOM
Open Mon-Sat 9.30-5.30 (closed all day Thurs)
We supply YAESU, ICOM, Tonna, Jaybeam,
Microwave Modules, Datong etc
SERVICE MANUALS
Complete Full set top quality brand Service Manuals [and £1 POST FREE] for All radio equipment. Any size, make, model: Amateur Radio, Test Equipment, Televisions, Colour & Mono, Vintage Wireless, Audio, HiFi, Video, Stereo etc. Thousands stocked, see examples and quote BY RETURNING
BAUNTRON TECHNICAL SERVICES
Dept A, 3 Cherry Tree Close, Chesham, Ox9 4QY.
Tel (0994) 81894
XXX ADULT VIDEO CLUB
For the genuine adult films. Available only from ourselves. Ring
0924-471811 (24hrs)
For the intimate details or write
ADULT VIDEO CLUB
P.O. Box 12, Batley, W. Yorks.
AMATEUR RADIO SMALL AD ORDER FORM
TO: Amateur Radio · Sovereign House
Brentwood · Essex CM14 4SE · England · (0277) 219876
PLEASE RESERVE ............centimetres by ............columns
FOR A PERIOD OF 1 issue........... 3 issues........ 6 issues........ 12 issues.........
COPY enclosed........... to follow...........
PAYMENT ENCLOSED: £ —
CHARGE TO MY ACCOUNT ........
COMPANY ..................................................................
ADDRESS ..................................................................
SIGNATURE ..................................................................
TELEPHONE ..................................................................
CPI
Cheques should be made payable to
Amateur Radio Overseas payments by
International Money Order
This method of advertising is available in multiples of a single column centimetres — (minimum 2cms). Copy can be changed every month.
RATES
per single column centimetre:
1 insertion £7.00, 3 — £6.60, 6 — £6.30, 12 — £5.60.
QSL Cards
Printed on white or colour gloss cards, printed to your own design.
Please send SAE for sample to:
Cawley Press Ltd,
21 Hothorpe Ave, Redhill, Surrey
Tel: (Redhill) 71023
MORSE TUTOR
£4.00 on cassette, £6.00 on microdrive for Sinclair 8K maximum, 1 to 19 words per minute, variable spacing, various groups of random letters, numbers or mixed; Random sentences, own message, single characters and variable pitch. Feedback on screen, printer, or speech (Current Microspeech 4K only) and repeat facility. 16K and 48K versions on one cassette 48K only on microdrive.
WD SOFTWARE
Hilltop, St Mary, Jersey, C.Islands
Telephone (0534) 81392
VALUABLE SPACE FOR SALE!
Telephone the advertising department on:
0277 219876
for details
ALPHA KEYS
Precision engineered keys for the connoisseur. Twin or single paddle keys individually made to be one, two or three times the lightest movements ever. For the fast operator.
CAVITY WAVE METER
One wavemeter to cover 144MHz to over 2500MHz. Can measure RF as low as 50 Milliwatts with suitable meter. Also now short version to cover 430MHz to over 2500MHz.
10GHz WAVE METER KIT
A pre machined cavity to make a 10GHz wavemeter using your micrometer. Can be fixed direct to your wave guide.
COAXIAL RELAY KITS
The cavity block is pre machined to take your BNC or N type sockets.
Send large SAE for full information to:
PAUL SERGENT G40WF
6 GURNEY CLOSE
COSTESSEY
NORWICH NR5 CBH
Tel: (0603) 747782
MORSE READING PROGS
Work on clean signals without hardware interface. ZX81: 1K UNEXPANDED RAM. Translates code into dots and line spaces for easy reading. Automatic scroll action. £7.00 incl.
SPECTRUM 16-48K Scroll action on 10 page scrolling memory, vertical or horizontal display. £28.00. All types variable speeds. Feed signal direct into EAR socket.
Pinchard Electronics, Pinchard Park, West Moors
Winslow, Dorset BH22 0BP.
Pye Type 12VT aerial change over relays. Two for £3.00 100 assorted wire wound resistors £10.00 five red/grey black 1/4in crocodile clips £2.50, 1/4" wide ended lamps, ideal for video, £3.75 for 25.
Surplectronics,
216 Leagrave Road, Luton, Beds.
RTTY/MORSE RADIO SOFTWARE
RTTY/MORSE RELAY for 48K Spectrum. Ultimate RX Program features include: Dual RTTY reception-full character set supported. Morse reception-auto speed control (ASCM), punctuation and wordspace. Also includes 40 page manual, ready for your printer. No extra hardware needed—simple connection to radio via computer's serial port. Price £12.00.
MORSE TX/RX Program for 48K Spectrum. Allows full transmitter operation, including comprehensive morse tutor. No extra hardware required. Price £7.00.
MORSE RX Program for 16K Spectrum and 1K ZX81. Spectrum version includes comprehensive Morse Tutor. Price £2.50.
All above Programs 100% Machine Code.
P Anderson, Wellands, Pitton,
Shepton Mallet, Somerset.
USED EQUIPMENT CENTRE
★ Buying/Selling? ★
RCO Electronics for the Best Deal. Tel: Hornchurch 5933 or send SAE for current list.
RCO Electronics,
65 Cecil Avenue, Hornchurch, Essex
THE PERFECT COMPLEMENT TO AMATEUR RADIO
Packed with construction projects and the latest technology plus pages of readers' classified ads
Take out a POST-FREE (UK) sub while offer lasts
- Delivery to your door by publication date each month
- Inflation proof – price guaranteed for 12 months
On sale NOW at your newsagent and at equipment dealers
RADIO & ELECTRONICS WORLD SUBSCRIPTION ORDER FORM
To: Subscription Department • Radio & Electronics World • 513 London Road • Thornton Heath • Surrey • CR4 6AR. Tel: 01-684 3157
NAME...............................................................................................................................
ADDRESS......................................................................................................................
...............................................................................................................................
...............................................................................................................................
Postcode..........................................................................................................................
PLEASE SUPPLY: (tick box) for 12 issues, all rates include P & P
Inland £11.80 ........................................... ☐ £13.10 ........................................... ☐ £19.20 ........................................... ☐ £25.90 ........................................... ☐
World-Surface
Europe-Air
World-Air
PAYMENT ENCLOSED: £ —
CREDIT CARD PAYMENT ☐ ☐ ☐ ☐
Signature ..........................................................................................................................
Cheques should be made payable to Radio & Electronics World. Overseas payment by International Money Order, or credit card.
AUGUST 1985 please mention AMATEUR RADIO when replying to any advertisement
## ADVERTISERS INDEX
| Advertiser | Page |
|-------------------------------------------------|------|
| Armstrong Kirkwood Development | 64 |
| Caswell Press | 65 |
| Centre Electronics | 26 |
| PNP Communication | 64 |
| WPO Communication | 19 |
| PM Components | 36, 37 |
| Dewsbury Electronics | Outside Back Cover |
| Edwardschild | 53 |
| D W Electronics | 64 |
| G4TNY Electronics | 64 |
| Hatley Antennas | 35 |
| Heather Kit | 64 |
| C M Howes | 59 |
| Keytronics | 8 |
| Lowe Electronics | 4, 5 |
| Marco Trading | Inside Front Cover |
| Mauritron Electronics | 64 |
| Mutek | 38 |
| Paul Sergent | 65 |
| Pinehurst Data Studio | 65 |
| RAS (Nottingham) | 35 |
| RSGB | 13, 19 |
| Sandpiper Communication | 53 |
| Scarab Systems | 59 |
| W D Software | 65 |
| Southdown Radio | 65 |
| South Midlands Communication | 30, 31 |
| Surplectronics | 65 |
| Technical Software | 26 |
| Thanet Electronics | 16, 17 |
| Used Equipment Centre | 65 |
| Viewflint Ltd | 38 |
| Vortex | 64 |
| R Withers | Inside Back Cover |
| Wood & Douglas | 13 |
---
## DISPLAY AD RATES
| Depth mm x Width mm | Ad Space | 1 Issue | 3 Issues | 6 Issues | 12 Issues |
|---------------------|---------------|---------|----------|----------|-----------|
| 81 x 90 | ¼ page | £96.00 | £282.00 | £29.00 | £53.00 |
| 128 x 90 or 61 x 186| ½ page | £115.00 | £310.00 | £39.00 | £72.00 |
| 128 x 186 or 263 x 90| ¾ page | £225.00 | £610.00 | £105.00 | £180.00 |
| 263 x 186 | 1 page | £430.00 | £1,260.00| £200.00 | £345.00 |
| | Double page | £830.00 | £2,460.00| £385.00 | £660.00 |
## COLOUR AD RATES
| Depth mm x Width mm | Ad Space | Colour Rates Exclude Cost of Separations | Series Rates for Consecutive Insertions |
|---------------------|---------------|------------------------------------------|----------------------------------------|
| 128 x 186 or 263 x 90| ½ page | £290.00 | £275.00 |
| 263 x 186 | 1 page | £590.00 | £530.00 |
| 263 x 394 | Double page | £1,130.00 | £1,010.00 |
## SPECIAL POSITIONS
Covers: Outside back cover 20% extra, inside covers 10% extra
Bleed: 10% extra (Bleed area = 307 x 220)
Facing Matte: 15% extra
## DEADLINES
| Issue | Colour & Mono Proof Ad | Mono No Proo & Small Ad | Mono Artwork | On Sale Thurs |
|-------|------------------------|-------------------------|--------------|---------------|
| May 85| 28 Mar 85 | 3 Apr 85 | 4 Apr 85* | 25 Apr 85 |
| Jun 85| 25 Apr 85 | 1 May 85 | 2 May 85* | 26 May 85 |
| Jul 85| 30 May 85 | 5 Jun 85 | 7 Jun 85 | 27 Jun 85 |
| Aug 85| 27 Jun 85 | 3 Jul 85 | 5 Jul 85 | 25 Jul 85 |
*Dates affected by public holidays
---
## CONDITIONS & INFORMATION
**SERIES RATES**
Series rates also apply when larger or additional space is subsequently booked in future.
An ad of at least the minimum space must appear in consecutive issues to qualify for series rates.
Previous series contracts automatically become void if no further copy is received.
A 'hold ad' is acceptable for maintaining your series rate contract. This will be automatically inserted if no further copy is received.
Display and colour ads on different series rate contracts are not interchangeable.
If series rate contract is cancelled, the advertiser will be liable to pay the unearned series discount already taken.
**COPY**
Except for County Guides copy may be changed at any time.
No additional charges for typesetting or illustrations (except for colour separations).
For illustrations just send photograph or artwork.
Colour Ad rates do not include the cost of separations.
**Printed — web-offset.**
All single insertion ads are accepted on a pre-payment basis only, unless an account is held.
Accounts must be opened with series rate advertisers who accept monthly credit terms.
Accounts are strictly net and must be settled by the 1st day of the month following publication.
Overseas payments by International Money Order or Banker's Draft.
FOR FURTHER INFORMATION CONTACT
Amateur Radio, Sovereign House, Brentwood, Essex CM14 4BE (0277) 218878
Commission to approved advertising agencies is 10%
**CONDITIONS**
10% discount if advertising in both Amateur Radio and Radio & Electronics World.
A voucher copy will be sent to Olaypey and Colour for all colour ads.
Ads accepted subject to our standard conditions, available on request.
---
please mention AMATEUR RADIO when replying to any advertisement
APRIL 1985
R WITHERS COMMUNICATIONS
584 HAGLEY ROAD WEST, OLDBURY, WARLEY
B68 OBS (QUINTON, BIRMINGHAM) WEST MIDS.
Tel: 021-421 8201/2 (24 HR ANSWERPHONE)
RWC SPECIAL OFFERS
PLEASE ASK ABOUT THE RWC CREDITCARD
AVAILABLE NOW VIA LOMBARD TRICITY
Come and see us at the NEC Stand B67
THESE PRODUCTS ARE EXCLUSIVE TO RWC
10 Mtr MOD BOARD
This is a complete modification board designed to fit all CB radios that incorporate the SANYO LC7137 series of synthesizer chip, the unit comprises of a small pcb with six microchips and fits almost all current legal (CB 27/81) radios, the unit is supplied with full fitting instructions and can be fitted easily by most enthusiasts, with the current upsurge in interest in this band demand has been high as this means that over 90% of current CB radios can now be used on 10mtr amateur band.
PRICE £22.50 + £1.00 post and packing
LOWE TX40G on 10 METRES
RWC are pleased to offer this very fine radio modified on 10 metres complete with repeater shift built-in. The unit has all of the features remaining except the high/low switch now controls the offset. This high quality Japanese made unit hs RF gain control, RIT, P.A. and 100watts of RF output power, along with -4W RF output power, and typical deviation of 4Khz. The unit comes complete with mobile mount, and is guaranteed for six months. This unit has the RWC mod board unit fitted and represents excellent value for money as this radio still sells for £35.00 on 27mhz.
PRICE £49.50 + £2.50 carriage (price subject to increase when existing stocks are sold)
RWC also stock a comprehensive range of matching linears and antennas specifically designated for 10mtr operation.
COMING VERY SOON . . .
RWC WAVEMETER,
RWC PHASING HARNESS,
RWC DUAL BAND BASE ANTENNA (VHF-UHF)
ANNOUNCING THE SUPER YAESU FT757GX
Following the release of the RWC 10mtr MOD BOARD for the SANYO LC713W/7 series radios, RWC are pleased to announce their launch onto the UK amateur radio market, the RWC design team are now ready to announce their latest innovation.
This new product is aimed at the world market and is a modification for the popular YAESU FT757GX.
After over six months of development by our design team led by G3SBJ, with G8FBX and G4KZH, and successful field trials, the modification has been perfected to enable installation by the end user.
The modification serves two major purposes:
(1) To improve VFO tuning and eliminate "VCO GLITCH"
(2) To increase tuning speed from 5khz per dial revolution to 50khz per dial revolution (selectable on the 500khz step switch).
BRIEF DESCRIPTION
The unit comprises of a small pcb designed to fit onto the existing microprocessor (Q67) and has two microchips and some small components. The first three wires of the micro chips are connected to three of the micro pins direct. The other five wires easily connect to existing terminals on the main pcb, and also the display board. The modification can easily be installed by experienced constructors and will be available from selected dealers who will be able to offer a fitting service.
Each mod board will be supplied complete and tested (as per the RWC 10mtr mod board) no kits of parts will be available. Registered design pending.
PRICES
UK price is £29.50 for the built and tested pcb with complete fitting instructions and £39.50 plus carriage for a unit factory fitted and tested. User warranty will not be affected on units supplied by RWC. All prices include value added tax at the current 15%. Export enquiries are welcomed.
All the above products have been designed and built in the UK and are exclusively available from
R WITHERS COMMUNICATIONS LTD
584 Hagley Road West, Oldbury, Warley B68 OBS
Tel: 021 421 8201 (PBX) Telex: 334303 G
DEALER AND EXPORT ENQUIRIES ARE WELCOME
THE NEW
ELECTRONIC KEYER
STAR - MASTERKEY
The STAR-MASTERKEY has been designed with both the established CW operator and the newcomer in mind.
Featuring full IAMBIC keying, together with the facility for SEMI-AUTOMATIC keying, the STAR MASTERKEY has DASH/DOT memories, SPEED ranges from 1-55 WPM, and the facility to allow the user to select either POSITIVE OR NEGATIVE keying, thus suiting both the latest transistorised transmitters and the valved transceivers.
The built in SIDETONE OSCILLATOR and LOUDSPEAKER offer the facility of monitoring the generated morse code. For practice purposes a HEADPHONE socket has been provided on the rear panel.
Power may be derived from a user supplied 9 volt battery (internally mounted) or from a 6-15 volt DC external power supply, making the KEYER ideal for shack or field day and portable use.
The STAR-MASTERKEY is attractively packaged in a custom designed black vinyl covered steel enclosure with screen printed, anodised aluminium front panel.
The STAR-MASTERKEY has been BRITISH built in response to the soaring cost of imported equipment, and is fully guaranteed for a period of five years.
The STAR-MASTERKEY is available, complete with DC power lead and all necessary plugs from DEWSBURY ELECTRONICS and other discerning dealers for only £49.95 including VAT.
Available by mail order Post and Packing £3.00
Suitable mains power supply £10.00 P&P £1.50 Paddles available for the above from £15.00.
Dewsbury Electronics offer a full range of Trio Equipment always in stock
We are also stockists of DAIWA – MET ANTENNAS – MUTEK – WOOD & DOUGLAS – TASCO TELEREADERS – MICROWAVE MODULES – IC’s AMTOR – AEA PRODUCTS – DRAE
Dewsbury Electronics, 176 Lower High Street, Stourbridge, West Midlands
Telephone: Stourbridge (0384) 390063/371228
Telex: 337675 TELPES G
Instant finance available subject to status. Written details on request.
|
The Epidemic Diseases (Punjab Amendment) Act, 1944
Act 3 of 1944
Keyword(s):
Epidemic Diseases, Vaccination, Innoculation
Amendment appended: 15 of 1984
DISCLAIMER: This document is being furnished to you for your information by PRS Legislative Research (PRS). The contents of this document have been obtained from sources PRS believes to be reliable. These contents have not been independently verified, and PRS makes no representation or warranty as to the accuracy, completeness or correctness. In some cases the Principal Act and/or Amendment Act may not be available. Principal Acts may or may not include subsequent amendments. For authoritative text, please contact the relevant state department concerned or refer to the latest government publication or the gazette notification. Any person using this material should take their own professional and legal advice before acting on any information contained in this document. PRS or any persons connected with it do not accept any liability arising from the use of this document. PRS or any persons connected with it shall not be in any way responsible for any loss, damage, or distress to any person on account of any action taken or not taken on the basis of this document.
THE EMPLOYMENT EXCHANGES (COMPULSORY NOTIFICATION OF VACANCIES) ACT, 1959
(3) उप-रोजगार कार्यालय, गोहर, जिला मण्डी।
(4) उप-रोजगार कार्यालय, जबली, जिला कांगड़ा।
(5) उप-रोजगार कार्यालय, बेंजार, जिला कुल्लू।
2. तबनुसार इस विषय पर सिखले आदेशों के अन्तर्गत: संबोधित करते हुए, निम्नलिखित रोजगार कार्यालयों का कार्यक्रम इस प्रकार निर्धारित किया जाता है:—
| क्रम | जिला | जिला रोजगार कार्यालय का नाम | कार्यक्रम |
|-----|------|---------------------------------|----------|
| 1 | ऊना | जिला रोजगार कार्यालय, ऊना | उप-मण्डल, ऊना |
| 2 | ऊना | उप-रोजगार कार्यालय, अम्ब | उप-मण्डल, अम्ब |
| 3 | शिमला | उप-रोजगार कार्यालय, रामपुर बुगीहर | तहसील रामपुर बुगीहर |
| | | | श्रीराव सब-तहसील |
| | | | ननखड़ी |
| 4 | शिमला | उप-रोजगार कार्यालय, कुमारस्टैन | तहसील कुमारस्टैन |
| 5 | लेहीय | रोजगार कार्यालय, मण्डी | उप-मण्डल, मण्डी सदर |
| | | | तहसील जिला मण्डी |
| 6 | शिमला | उप-रोजगार कार्यालय गोहर | उप-मण्डल चम्पार शुक्लावत गोहर |
| 7 | कांगड़ा | उप-रोजगार कार्यालय, नरपुर | तहसील नरपुर |
| 8 | कांगड़ा | उप-रोजगार कार्यालय, जबली | तहसील जबली तथा उप-मण्डल फतहपुर |
| 9 | कुल्लू | जिला रोजगार कार्यालय, कुल्लू | उप-मण्डल फतहपुर |
| 10 | कुल्लू | उप-रोजगार कार्यालय बेंजार | उप-मण्डल बेंजार |
(R.H.P., dated 20-1-1990, p. 54).
THE EPIDEMIC DISEASES (PUNJAB AMENDMENT) ACT, 1944
(PUNJAB ACT III OF 1944)¹
ARRANGEMENT OF SECTIONS
Sections:
1. Short title.
2. Amendment of section 2 of Act III of 1897.
[Received the assent of His Excellency the Governor on the 11th April, 1944, and was first published in the Punjab Government Gazette, Extra-ordinary of the 18th April, 1944].
¹ For Statement of Objects and Reasons see Government Gaz. Punjab (Extraordinary) of the 4th March, 1944.
Amended, repealed or otherwise affected by—
(i) Adaptation of Laws order, 1950.
(ii) A.O. 1968, published in R.H.P., dt. 1-2-1969, p. 158-61.
(iii) A.O. 1973, published in R.H.P. Extra., dt. 20-1-1973, p. 91—112.
An Act to amend the Epidemic Diseases Act, 1897, in its application to the Punjab.
It is hereby enacted as follows:—
1. Short title.—This Act may be called the Epidemic Diseases (Punjab Amendment) Act, 1944.
2. Amendment of section 2 of Act III of 1897.—After sub-section(2) of section 2 of the Epidemic Diseases Act, 1897, the following sub-section shall be added, namely:—
“(3) The [State Government] may by general or special order empower a Deputy Commissioner to exercise in relation to the district all the powers under this section exercisable by the [State Government] in relation to the [State], other than the power to determine in what manner and by whom any expenses incurred (including compensation if any) shall be defrayed.
(4) The exercise of powers delegated by the [State Government] shall be subject to such restrictions, limitations and conditions, if any, as may be specified by the [State Government] and to the control of, and to revision by, the [State Government]”.
THE EPIDEMIC DISEASES (HIMACHAL PRADESH AMENDMENT) ACT, 1984
(ACT NO. 15 OF 1984)³
ARRANGEMENT OF SECTIONS
Sections:—
1. Short title, extent and commencement.
2. Amendment of section 2.
3. Amendment of section 3.
4. Repeal and savings.
[Received the assent of the President of India on the 9th July, 1984 and was published in R. H. P. (Extra.), dated the 25th July, 1984, at page 1145].
1. Sub for the expression ‘Central Government’ (which was subs. for ‘State Government’ by A.O. 1968) by A.O. 1973. The word “State” was subs. for ‘Provincial’ by Adaptation of Laws Order 1950.
2. Subs. for the word ‘Province’ by the Adaptation of Laws Order, 1950.
3. For the Statement of Objects and Reasons see R.H.P. Extra., dated 14th March 1984, p.
An Act to amend the Epidemic Diseases (Act, 1857 (Act No II of 1897) in its application to the State Himachal Pradesh.
BE it enacted by the Legislative Assembly of Himachal Pradesh in the Thirty-fifth year of the Republic of India, as follows:—
1. **Short title, extent and commencement.**—This Act may be called the Epidemic Diseases (Himachal Pradesh Amendment) Act, 1984.
(2) It shall extend to the whole of the State of Himachal Pradesh.
(3) It shall come into force at once.
2. **Amendment of section 2.**—After the word “Inspection” in clause (b) of sub-section (2) of section 2 of the Epidemic Diseases Act, 1897 (3 of 1897) (hereinafter referred to as the principal Act), the sign “,” and the words “vaccination and inoculation” shall be inserted.
3. **Amendment of section 3.**—The existing section 3 of the principal Act, shall be re-numbered as sub-section (f) of section 3 and after that subsection so numbered, the following sub-section (2) shall be added, namely:—
“(2) Notwithstanding anything contained in the Code of Criminal Procedure, 1973, (2 of 1974) any Magistrate trying an offence under sub-section (1), may, if he thinks fit, try any such offence summarily according to the procedure prescribed in chapter XXI of the said Code.”
4. **Repeal and savings.**—The Epidemic Diseases (East Punjab Amendment) Act, 1947 (1 of 1947) as in force in the areas added to Himachal Pradesh under section 5 of the Punjab Reorganisation Act, 1966 (31 of 1966), is hereby repealed:
Provided that anything done or any action taken under the said Act shall be deemed to have been done or taken under this Act.
THE ESSENTIAL COMMODITIES (HIMACHAL PRADESH AMENDMENT) ACT, 1986
(Act No. 1 of 1992)
ARRANGEMENT OF SECTIONS
Sections:
1. Short title and commencement.
2. Amendment of section 2 of the Central Act No.10 of 1955.
(Received the assent of the President of India on the 19th February, 1992 and was published in R.H.P. Extra., dated 29th February, 1992 at page 1452).
An Act to amend the Essential Commodities Act, 1955 (Central Act No. 13. of 1955) in its application to the State of Himachal Pradesh.
1. For Statement of Objects and Reasons see R.H.P. Extra., dated 3-12-86, p. 2179.
|
Informed Consent to Abortion: A Refinement
Thomas L. Jipping
Follow this and additional works at: https://scholarlycommons.law.case.edu/caselrev
Part of the Law Commons
Recommended Citation
Thomas L. Jipping, Informed Consent to Abortion: A Refinement, 38 Case W. Rsrv. L. Rev. 329 (1988)
Available at: https://scholarlycommons.law.case.edu/caselrev/vol38/iss3/3
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INFORMED CONSENT TO ABORTION:
A REFINEMENT
Thomas L. Jipping*
Much controversy has ensued from the Supreme Court's decision in Roe v. Wade that a woman has a fundamental constitutional right to decide whether to terminate her pregnancy by abortion. The efforts of state legislatures to regulate abortion in various ways have given rise to many questions regarding what this right actually is and how it may best be protected. One such effort toward state regulation has been the establishment of informed consent laws which require the physician to present certain information to the pregnant woman before performing an abortion.
This Article examines and rejects the contention that physicians have a right to be free from government regulation in their practice of medicine. It then looks at the nature of the abortion right, the nature of abortion, and the context in which the abortion right is exercised. Finally, it concludes that a framework focusing on the rights of women rather than physicians and employing an "unduly burdensome" test and a broad definition of "health" would best help courts to assess the constitutionality of informed consent statutes.
I. INTRODUCTION: A GENERAL CRITIQUE OF THE SUPREME COURT'S ABORTION DOCTRINE
THE SUPREME COURT of the United States declared in 1973 that "a woman's decision whether or not to terminate her pregnancy" is a fundamental constitutional right protected against unjustified state interference by the due process clause of the fourteenth amendment.¹ The Court also recognized that two "sepa-
* B.A., Calvin College (1983); J.D., State University of New York at Buffalo (1987); M.A., State University of New York at Buffalo (1988); Ph.D. candidate, State University of New York at Buffalo. The author wishes to thank Professor Richard Myers of the Case Western Reserve University School of Law and Professor Lynn Wardle of the Brigham Young University School of Law for their helpful comments and suggestions.
¹ Roe v. Wade, 410 U.S. 113, 153 (1973).
rate and distinct" state interests are implicated in the abortion context—one in maternal health and one in fetal life. These interests are at all times at least "important" and each eventually becomes "compelling." The Court developed a trimester framework of rules, a "model statute" in Professor Alexander Bickel's words to balance this fundamental right and these state interests. This framework in fact leaves the states little room to actually protect preborn human life.
Not only are increasingly significant state interests at stake in
2. *Id.* at 162.
3. *Id.* at 163.
4. A. BICKEL, THE MORALITY OF CONSENT 28 (1975). *See also* J. NOONAN, A PRIVATE CHOICE: ABORTION IN AMERICA IN THE SEVENTIES 27 (1979).
5. A state may, even potentially, proscribe abortion only during the third trimester of pregnancy, or after the preborn child is considered viable by the abortionist. *Roe*, 410 U.S. at 164-65. *See also* Colautti v. Franklin, 439 U.S. 379, 388 (1979) (Court held that a Pennsylvania statute which imposed a strict standard of care on a physician if the fetus "may be viable" was unconstitutional because this standard deviated from the standard established in *Roe*); Planned Parenthood v. Danforth, 428 U.S. 52 (1976) (Held a provision of a Missouri statute, which required the physician to preserve the fetus' life and health regardless of the stage of pregnancy, to be unconstitutional). Even then, however, a state may not prohibit abortions "necessary, in appropriate medical judgment, for the preservation of the life or health of the mother." *Roe*, 410 U.S. at 165 (emphasis added). In *Roe*'s companion case, the Supreme Court construed "health," as a reason justifying abortion, to mean anything "relevant to the well-being of the patient." *Doe v. Bolton*, 410 U.S. 179, 192 (1973).
Professor Lynn Wardle argues that this very broad definition of "health" from *Doe* applies to the reasons a woman would seek a first-trimester abortion but that a more restrictive definition applies to the third-trimester concerns that can still result in an abortion despite the Court's holding that states can prohibit them during late pregnancy. L. WARDLE, THE ABORTION PRIVACY DOCTRINE: A COMPENDIUM AND CRITIQUE OF FEDERAL COURT ABORTION CASES 7-18 (1980). This distinction may be intuitively appealing, and may help construct a framework with more logical coherence than the Court's actually has, but the Court itself made no such distinction.
Since the very reason a woman would seek an abortion itself relates to her well-being, even during the third trimester a state is effectively prevented from ever proscribing abortion. *See* R. ADAMEK, ABORTION AND PUBLIC OPINION IN THE UNITED STATES 5 (1982) ("Given this broad definition of the components of health, the Court in effect legalized abortion in the third trimester as well."); J. NOONAN, *supra* note 4, at 12 ("The restriction on the [abortion] liberty appeared to be illusory. For the nine months of life within the womb the child was at the [mother's] disposal—with two restrictions: She must find a licensed clinic after month three; and after her child was viable, she must find an abortionist who believed she needed an abortion."); Stone, *Judges as Medical Decision Makers: Is the Cure Worse Than the Disease?*, 33 CLEV. ST. L. REV. 579, 580 (1984-85) (This author asserts that "Of course, the Chief Justice [in his *Roe* concurrence] turned out to be completely wrong: the consequences predicted by the dissent were as accurate as any judicial prediction can be. As Justice White correctly interpreted the decision, 'any woman is entitled to an abortion at her request if she is able to find a medical adviser willing to undertake the procedure.'") (footnote omitted); Balch, *Roe v. Wade: Abortion Is Legal Throughout Pregnancy* 1 (1983) ("Under the Supreme Court decisions of [*Roe* and *Doe*], it is constitutionally impossible for any state to prohibit abortions at any time during pregnancy.").
the abortion context, but public opinion has also consistently favored abortion regulation. Both opponents and proponents of abortion claim the support of public opinion. However, a careful analysis of relevant research shows that, with respect to both the acceptable reasons for obtaining an abortion and the period during pregnancy when abortion for any reason is acceptable, public opinion does not support the breadth of the abortion policy established by the Supreme Court in 1973. Reasons other than the life or physical health of the woman or a pregnancy resulting from rape, situations which amount to fewer than two percent of abortions currently performed in the United States,\textsuperscript{6} do not find support from a majority of Americans.\textsuperscript{7} In general abortion beyond the first trimester fails to garner substantial public support.\textsuperscript{8} Sociologist Raymond Adamek concluded, in his study of popularly cited opinion polls, that less than ten percent of abortions currently being performed in the United States have majority public approval.\textsuperscript{9} Today, after 15 years of widely available legal abortion and many Supreme Court decisions to back up the notion that abortion is a fundamental constitutional right,\textsuperscript{10} less than a quarter of the American people favor unrestricted access to legalized abortion.\textsuperscript{11}
Public opinion and state interest have combined to prompt continuing efforts by state legislatures to regulate abortion. These efforts have been challenged in nearly two dozen Supreme Court cases.\textsuperscript{12} In his 1982 analysis, Professor Lynn Wardle examined more than 145 additional reported decisions by the lower federal
\begin{itemize}
\item \textsuperscript{6} See infra note 228 and accompanying text.
\item \textsuperscript{7} R. ADAMEK, supra note 5, at 5 ("The middle majority . . . believes that abortion should be legal only for hard reasons of life/serious health threat or rape/incest.").
\item \textsuperscript{8} Id. ("only a minority approves of abortion beyond the first three months").
\item \textsuperscript{9} Id.
\item \textsuperscript{10} Researchers commonly find that changes in the law affect public opinion, at least in the short run. See Arney & Trescher, Trends in Attitudes Toward Abortion, 1972-75, 8 FAM. PLAN. PERSP. 117, 124 (1976); Granberg & Granberg, Abortion Attitudes, 1965-1980: Trends and Determinants, 12 FAM. PLAN. PERSP. 250, 252 (1980). In view of this fact, one might think that repeated Supreme Court rulings upholding the constitutional significance and breadth of the abortion right would strengthen public support for it.
\item \textsuperscript{11} See Constitutional Amendments Relating to Abortion: Hearings on S.J. Res. 17, S.J. Res. 18, S.J. Res. 19, and S.J. Res. 110 Before the Subcomm. on the Constitution of the Senate Comm. on the Judiciary, 97th Cong., 1st Sess. 890 (1981) (testimony of sociologist Raymond Adamek) [hereinafter Hearings]; Francome, Abortion Politics in the United States, 28 POL. STUD. 613, 616 (1980); America's Abortion Dilemma, NEWSWEEK, Jan. 14, 1985, at 22.
\item \textsuperscript{12} Most recently, on December 14, 1987, the Supreme Court affirmed, by a 4-4 vote, the judgment of the Seventh Circuit invalidating a portion of the Illinois Parental Notice of Abortion Act. Hartigan v. Zbaraz, 108 S. Ct. 479 (1987). The Supreme Court denied the State of Illinois' petition for a rehearing. Hartigan v. Zbaraz, 108 S. Ct. 1064 (1988).
\end{itemize}
courts dealing with substantive abortion issues.\textsuperscript{13} Nevertheless, the parameters of permissible state abortion regulation are still far from clear. The Supreme Court's abortion doctrine remains unsettled, fraught with ambiguity and inconsistency. Its abortion decisions, and \textit{Roe} in particular, continue to be sharply criticized by a growing minority of Supreme Court justices\textsuperscript{14} and, to an almost unprecedented degree, by scholars spanning the political horizon.\textsuperscript{15}
\begin{enumerate}
\item L. Wardle, \textit{supra} note 5, at xiii.
\item The Court voted 7-2 to overturn Texas' anti-abortion statute in 1973. \textit{Roe v. Wade}, 410 U.S. 113 (1973). The Court voted 6-3 to overturn the city of Akron's anti-abortion ordinance ten years later. \textit{Akron v. Akron Center for Reproductive Health}, 462 U.S. 416 (1983). The Court voted 5-4 to overturn Pennsylvania's anti-abortion statute in 1986. \textit{Thornburgh v. American College of Obstetricians & Gynecologists}, 106 S.Ct. 2169 (1986).
Former Chief Justice Warren Burger had joined the majority in \textit{Roe} and \textit{Akron} but dissented in \textit{Thornburgh}, writing that "I regretfully conclude that some of the concerns of the dissenting Justices in \textit{Roe}, as well as the concerns I expressed in my separate opinion, have now been realized." \textit{Id.} at 2190. He called for reexamination of \textit{Roe}. Justice Byron White, joined by now-Chief Justice William Rehnquist, has written in dissent that "the time has come to recognize that \textit{Roe v. Wade} . . . 'departs from a proper understanding' of the Constitution and to overrule it." \textit{Thornburgh}, 106 S.Ct. at 2193. As Justice Powell observed in his majority opinion in \textit{Akron}, Justice Sandra Day O'Connor's dissent in that case "rejects the basic premise of \textit{Roe} and its progeny. [It] stops short of arguing flatly that \textit{Roe} should be overruled. Rather, it adopts reasoning that, for all practical purposes, would accomplish precisely that result." \textit{Akron}, 462 U.S. at 420 n.1.
Particularly strong or exhaustive substantive dissents from the Court's abortion decisions include those by Justice Rehnquist (joined by Justice White) in \textit{Roe}, 410 U.S. at 171; by Justice White (joined by Justice Rehnquist) in \textit{Roe} and \textit{Doe v. Bolton}, 410 U.S. 179, 221 (1973); by Justice White (joined by Chief Justice Burger and Justice Rehnquist) in Planned Parenthood v. Danforth, 428 U.S. 52, 92 (1976); by Justice White (joined by Chief Justice Burger and Justice Rehnquist) in \textit{Colautti v. Franklin}, 439 U.S. 379, 401 (1979); by Justice O'Connor (joined by Justices White and Rehnquist) in \textit{Akron}, 462 U.S. at 452; and by Justice White (joined by Justice Rehnquist) in \textit{Thornburgh}, 106 S.Ct. at 2192.
\item Professor Mark Tushnet writes that "[m]ost academic commentators probably believe that, as a matter of sound public policy, access to abortions should be relatively unrestricted. But none has been able to provide conclusive arguments that the Supreme Court correctly found that policy in the Constitution." Tushnet, \textit{The Supreme Court on Abortion: A Survey}, in \textit{ABORTION, MEDICINE, AND THE LAW} 165 (J. Butler & D. Walbert eds.) (3rd ed. 1986).
The academic criticism of \textit{Roe} and its progeny is so extensive and diverse that the real task has become organizing it rather than simply keeping a current list. Nevertheless, a representative sample shows the continuing and diverse nature of this critical literature. \textit{See, e.g., ABORTION AND THE CONSTITUTION: REVERSING ROE V. WADE THROUGH THE COURTS} 57-114, 123-81 (D. Horan, E. Grant & P. Cunningham eds. 1987); H. Arkes, \textit{First Things: An Inquiry Into the First Principles of Morals and Justice} 360-91 (1986); A. Cox, \textit{The Role of the Supreme Court in American Government} 113-14 (1976); S. Krason, \textit{Abortion: Politics, Morality, and the Constitution} (1984); J. Noonan, \textit{supra} note 4, at 5-32; Arkes, \textit{Abortion: The Court Wasn't Persuasive}, 9 Hum. Life Rev. 95 (Spring 1983); Byrn, \textit{An American Tragedy: The Supreme Court on Abortion}, 41 Fordham L. Rev. 807 (1973); Csank, \textit{The Lords & Givers of Life}, 3 Hum. Life Rev. 75 (Spring 1977); Dellapenna, \textit{The History of Abortion: Technology, Morality, and Law}, 40 U. Pitt. L. Rev. 359 (1979); Dellapenna, \textit{Nor Piety Nor Wit: The Supreme Court on Abortion}, 6
Uncertainty and confusion within the Supreme Court's abortion
COLUM. HUM. RTS. L. REV. 379 (1974); Destro, Abortion and the Constitution: The Need for a Life-Protective Amendment, 63 CALIF. L. REV. 1250 (1975); Ely, The Wages of Crying Wolf: A Comment on Roe v. Wade, 82 YALE L.J. 920 (1973); Epstein, Substantive Due Process by Any Other Name: The Abortion Cases, 1973 SUP. CT. REV. 159; Ginsburg, Some Thoughts on Autonomy and Equality in Relation to Roe v. Wade, 63 N.C.L. REV. 375 (1985); Gorby, The "Right" to an Abortion, the Scope of Fourteenth Amendment "Personhood," and the Supreme Court's Birth Requirement, 1979 SO. ILL. U.L.J. 1; Horan, Forsythe & Grant, Two Ships Passing in the Night: An Interpretivist Critique of the White-Stevens Colloquy on Roe v. Wade, 6 ST. LOUIS U. PUB. L. REV. 229 (1987); King, The Juridical Status of the Fetus: A Proposal for Legal Protection of the Unborn, 77 MICH. L. REV. 1647, 1653-57 (1979); Krason & Hollberg, The Law and History of Abortion: The Supreme Court Refuted, in ABORTION, MEDICINE, AND THE THE LAW 196-225 (J. Butler & D. Walbert eds.) (3rd ed. 1986); Loewy, Abortive Reasons and Obscene Standards: A Comment on the Abortion and Obscenity Cases, 52 N.C.L. REV. 223, 223-34 (1973); Noonan, Raw Judicial Power, 8 HUM. LIFE REV. 71 (Winter 1982); O'Meara, Abortion: The Supreme Court Decides a Non-Case, 1974 SUP. CT. REV. 337; Rice, The Dred Scott Case of the Twentieth Century, 10 HOUSTON L. REV. 1059 (1973); Rosenblum, Abortion, Personhood, and the Fourteenth Amendment, 11 STUDIES IN LAW & MEDICINE 1 (1981); Strong, Bicentennial Benchmark: Two Centuries of Evolution of Constitutional Processes, 55 N.C.L. REV. 1, 96-104 (1976); Vieira, Roe and Doe: Substantive Due Process and the Right of Abortion, 25 HASTINGS L.J. 867 (1974); Wardle, Rethinking Roe v. Wade, 1985 B.Y.U.L. REV. 231; Wellington, Common Law Rules and Constitutional Double Standards: Some Notes on Adjudication, 83 YALE L.J. 221, 297-311 (1973); Witherspoon, Reexamining Roe: Nineteenth-Century Abortion Statutes and the Fourteenth Amendment, 17 ST. MARY'S L.J. 29 (1985); Comment, Roe v. Wade and the Traditional Legal Standards Concerning Pregnancy, 47 TEMP. L.Q. 715 (1974).
One recent article organized much of the critical literature into no less than twelve different lines of attack. See Horan, Forsythe & Grant, supra, at 230 n.8. Another article reports that "[t]he Index to Legal Periodicals through May 1984 lists 107 law review articles largely devoted to substantive criticism of Roe v. Wade. This does not encompass commentary in books or in articles which cover Roe along with other topics." Horan & Balch, Roe v. Wade: No Justification in History, Law, or Logic, in ABORTION AND THE CONSTITUTION: REVERSING ROE V. WADE THROUGH THE COURTS, supra, at 79 n.2.
Even scholars identified as supporters of Roe resort to rewriting the opinion because they, too, find the actual opinion flawed. See, e.g., Heymann & Barzelay, The Forest and the Trees: Roe v. Wade and Its Critics, 53 B.U.L. REV. 765, 784 (1973) ("Sadly, the court failed to relate the body of long-emerging precedent it recognized as significant . . . to those articulable, widely shared principles that the precedents reflect. . . . This failure leaves the impression that the abortion decisions rest in part on unexplained precedents, in part on an extremely tenuous relation to provisions of the Bill of Rights, and in part on a raw exercise of judicial fiat."); Perry, Abortion, the Public Morals, and the Police Power: The Ethical Function of Substantive Due Process, 23 UCLA L. REV. 689, 690 (1976) ("[I]t is difficult to find a case that raises methodological problems as severe as those left in the wake of Roe."); Regan, Rewriting Roe v. Wade, 77 MICH. L. REV. 1569, 1569 (1979) ("The result in the case . . . was controversial enough. Beyond that, even people who approve of the result have been dissatisfied with the Court's opinion. Others before me have attempted to explain how a better opinion could have been written."); Tribe, Foreword: Toward a Model of Roles in the Due Process of Life and Law, 87 HARV. L. REV. 1, 7 (1973) ("One of the most curious things about Roe is that, behind its own verbal smokescreen, the substantive judgment on which it rests is nowhere to be found."); Wheeler & Kovar, Roe v. Wade: The Right to Privacy Revisited, 21 U. KAN. L. REV. 527, 527 (1973) ("Unfortunately, the decisions themselves fail to yield a reasonable justification of the constitutional basis for protection of the woman's interest in terminating her pregnancy."). Others "repackage" the opinion. See, e.g., Cheremindoctrine stem from several sources. The first is the existence of a constitutional abortion right itself. Since the days of the common law and the first American statute in 1821, "[a]bortion regulation was a matter exclusively for state legislatures." Such state regulation, paralleling the development of medical and general scientific knowledge of human conception and prenatal development, increasingly restricted abortion, abandoned the inaccurate "quickening" distinction, and increased penalties for performing abortions. In the climate of rapid social change occurring throughout the 1960s, at least one third of the states changed their long-standing abortion policies in response to public political pressure.
sky, Rationalizing the Abortion Debate: Legal Rhetoric and the Abortion Controversy, 31 BUFFALO L. REV. 107, 142 (1982). Significantly, Professor Tribe has recanted his defense of Roe cited supra. L. TRIBE, AMERICAN CONSTITUTIONAL LAW 1349-50 (2d ed. 1988). Professor Wardle has called that article "the most influential article written in defense of the Roe decision." L. WARDLE, supra note 5, at xii.
16. George, State Legislatures Versus the Supreme Court: Abortion Legislation in the 1980s, in ABORTION, MEDICINE, AND THE LAW 23 (J. Butler & D. Walbert eds.) (3rd ed. 1986). The first American statute was passed by Connecticut in 1821. See generally Byrn, supra note 15, at 827-35 (discussing 19th century abortion statutes in America); Rosenblum, supra note 15; Quay, Justifiable Abortion—Medical and Legal Foundations, 49 GEO. L.J. 395, 399 (1961) (discussing historical roots of 19th century abortion statutes).
17. Justice Blackmun asserted in Roe that 19th century American statutes banning abortion, and the quickening distinction they incorporated but eventually abandoned, were for the purpose of protecting maternal health rather than fetal life. Roe, 410 U.S. at 151-52. He cited two articles by Cyril Means, legal counsel to the National Association for the Repeal of Abortion Laws, as evidence of "scholarly support for this view" and offered a single case citation to show that "[t]he few state courts called upon to interpret their laws . . . did focus on the State's interest in protecting the woman's health rather than in preserving the embryo or fetus." Id. at 151.
Extensive scholarship has shown Blackmun's conclusions to be false, the product of ignoring much of the evidence and misrepresenting much of the rest. See Byrn, supra note 15, at 827-35; Dellapenna, Abortion and the Law: Blackmun's Distortion of the Historical Record, in ABORTION AND THE CONSTITUTION: REVERSING ROE V. WADE THROUGH THE COURTS 137-58 (D. Horan, E. Grant & P. Cunningham eds. 1987); Dellapenna, The History of Abortion: Technology, Morality, and Law, 40 U. PITTS. L. REV. 359, 402-04 (1979); Destro, supra note 15, at 1278-82; Gorby, supra note 15, at 13-21; Horan & Balch, supra note 15, at 67-70; Horan & Marzen, Abortion and Midwifery: A Footnote in Legal History, in NEW PERSPECTIVES ON HUMAN ABORTION 199-204 (T. Hilgers, D. Horan & D. Mall eds. 1981); Krason & Hollberg, supra note 15, at 207-10; Rosenblum, supra note 15; Witherspoon, supra note 15. A British scholar writes (in direct reference to Means' work) that "[i]t would be a gross distortion, however, to believe that all or even most 19th century laws were mainly attempts to protect women's health. The medical profession was in the forefront of the drive for more restrictive laws, and . . . the main concern of doctors was with the safety of the foetus." Sauer, Attitudes to Abortion in America, 1800-1973, 28 POP. STUD. 53, 57-58 (1974). James Mohr, author of perhaps the best known historical analysis on abortion in America, notes the advocacy nature of Means' scholarship and asserts that "Means . . . was less than convincing on several points" and his conclusions "open to serious questions." J. MOHR, ABORTION IN AMERICA: THE ORIGINS AND EVOLUTION OF NATIONAL POLICY, 1800-1900 29-30 (1978).
18. See generally S. KRASON, supra note 15, at 16-39 (a comprehensive survey of public
Court decision in 1973, however, negated those 150 years of state regulation and discovered a right to abortion\textsuperscript{19} that was deemed to be "implicit in the concept of ordered liberty" \textsuperscript{20} itself.\textsuperscript{21} This ex-
\begin{quote}
and legislative activity leading to reformation of abortion law); Roemer, \textit{Legalization of Abortion in the United States}, in \textit{THE ABORTION EXPERIENCE: PSYCHOLOGICAL AND MEDICAL IMPACT} 284 (H. Osofsky & J. Osofsky eds. 1973); Comment, \textit{A Survey of the Present Statutory and Case Law on Abortion: The Contradictions and the Problems}, 1972 U. ILL. L.F. 177, 179.
19. See Sobran, \textit{Pensees: Notes for the Reactionary of Tomorrow}, NAT'L REV., Dec. 31, 1985, at 54: "The abortion issue had been debated on its substantive merits, but never in terms of constitutionality. . . . 'Discovering,' in its way, a 'right of privacy,' which itself is nowhere explicit in the Constitution, the Court found the 'right' to abortion in the 'penumbra' of this phantom."
20. \textit{Roe}, 410 U.S. at 152 (quoting Palko v. Connecticut, 302 U.S. 319, 325 (1937)).
21. The Supreme Court has used either of two tests to determine which rights are "fundamental" and, therefore, within the liberty protected against unjustified state deprivation by the due process clause of the Fourteenth Amendment. One test would include those rights that are "implicit in the concept of ordered liberty" in such a way that "neither liberty nor justice would exist if they were sacrificed." Palko v. Connecticut, 302 U.S. 319, 325, 326 (1937). The other, broader, test would include those rights that are "deeply rooted in this Nation's history and tradition." Moore v. City of East Cleveland, 431 U.S. 494, 503 (1977) (opinion of Powell, J.). \textit{See also Bowers v. Hardwick}, 106 S. Ct. 2841, 2844, \textit{reh'g denied}, 107 S.Ct. 29 (1986); \textit{Thornburgh}, 106 S.Ct. at 2194 (White, J., dissenting).
In \textit{Roe}, Justice Blackmun began the substantive portion of his majority opinion by surveying "the history of abortion, for such insight as that history may afford." \textit{Roe}, 410 U.S. at 129-47. Commentators have since thoroughly demonstrated that this historical survey was fundamentally flawed. \textit{See supra} note 17. They have also observed not only that Justice Blackmun failed entirely to connect the fruit of this survey with the substantive legal analysis, but also that this survey is entirely irrelevant to that analysis. \textit{See, e.g., Dellapenna, The History of Abortion, supra} note 15, at 424 ("The Court's discussion of history is inaccurate and inconclusive, and, in any event, unrelated to its later conclusions."); Ely, \textit{supra} note 15, at 925 n.42 ("The opinion does contain a lengthy survey of historical attitudes toward abortion. . . . The Court does not seem entirely clear as to what this discussion has to do with the legal argument . . . and the reader is left in much the same quandary. It surely does not seem to support the Court's position."); Epstein, \textit{supra} note 15, at 167 ("Before Mr. Justice Blackmun was ready to deal with the constitutional issues, he found it necessary to burden his opinion with an exhaustive history of abortion from ancient times until the present day. It is difficult to see what comfort he could draw from his . . . [N]either the mass nor the antiquity of the sources can conceal their essential irrelevancy to the constitutional inquiry."); Note, \textit{Roe and Doe: Does Privacy Have a Principle?}, 26 STAN. L. REV. 1161, 1181 n.110 (1974) ("The exercise is most remarkable for its failure to relate the discussion to the Court's analysis.").
Such a survey could have even potential relevance only to the Court's assertion that abortion is a fundamental right. The only approach to answering this question to which an historical review could contribute is the broader "Nation's history and tradition" approach. Some commentators have suggested that this was Blackmun's unstated intention. \textit{See, e.g., Tribe, supra} note 15, at 3 n.13 ("The Court's recitation of the history seems to be designed largely to support its view that 'at the time of the adoption of our Constitution . . . a woman enjoyed a substantially broader right to terminate a pregnancy than she does in most States today.' But the bearing of that proposition on the constitutional issue is unclear") (citation omitted); Note, \textit{supra}, at 1181 ("[T]he Court's labored historical sketch of attitudes toward abortion may have been an attempt to bring that case within the tradition analysis."). However, not only was Justice Blackmun's survey seriously flawed and his connection of that survey to the
tra-constitutional right would form the basis for the continuing revision of state abortion regulation.
In addition to the existence of the right, the source of the right has been an area of confusion. In *Roe*, the Supreme Court itself was unsure whether the right emanated penumbribly from the corpus of the Bill of Rights or derived from either the ninth or the fourteenth amendment.\(^{22}\) Although the abortion right is within the general constitutional "right to privacy,"\(^{23}\) it is inherently different from the Court's previous privacy cases.\(^{24}\) One lower court trying to sort out the Supreme Court's abortion doctrine, stated: "The fact that both procreation and abortion have been held to be fundamental rights is understandably confusing."\(^{25}\)
A further source of confusion, arising from the trimester system created by the Court in *Roe*, concerns the issue of when other interests can be recognized so as to limit the abortion right. *Roe* established the end of both the first and second trimesters of pregnancy as points when the state's interests in protecting maternal health and fetal life, respectively, become compelling.\(^{26}\) Lower federal courts have used these guidelines as bright lines that initially seemed helpful in assessing constitutional challenges to abortion statues.\(^{27}\) Since *Roe*, however, the abortionist decides when the
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legal issues entirely absent, but he explicitly based his finding of fundamentality on the "ordered liberty" test rather than this "history and tradition" test, the only one to which his survey could have had even the most tenuous connection! Nothing but a six-word quote from *Palko* provided the label for Justice Blackmun's actual assertion that the right to choose between alternative methods of ending a pregnancy is "implicit in the concept of ordered liberty" itself.
22. *Roe*, 410 U.S. at 152-53.
23. *Id.* at 153.
24. *Id.* at 159. As Justice White has observed:
However one answers the metaphysical or theological question whether the fetus is a "human being" or the legal question whether it is a "person," as that term is used in the Constitution, one must at least recognize, first, that the fetus is an entity that bears in its cells all the genetic information that characterizes a member of the species *homo sapiens* and distinguishes an individual member of that species from all others, and second, that there is no nonarbitrary line separating a fetus from a child or, indeed, an adult human being. Given that the continued existence and development—that is to say, the *life*—of such an entity are so directly at stake in the woman's decision whether or not to terminate her pregnancy, that decision must be recognized as *sui generis*, different in kind from the others that the Court has protected under the rubric of personal or family privacy and autonomy.
*Thoraburgh*, 106 S. Ct. at 2195 (White, J., dissenting). *See also* Ely, *supra* note 15, at 925, 927.
25. Poe v. Gerstein, 517 F.2d 787, 796 (5th Cir. 1975), *aff'd sub nom.* Gerstein v. Coe, 428 U.S. 901 (1976).
26. *Roe*, 410 U.S. at 160, 163.
27. *See, e.g.*, Gary-Northwest Indiana Women's Services v. Bowen, 496 F. Supp. 894, 899 (N.D. Ind. 1980), *aff'd sub nom.* Gary-Northwest Indiana Women's Services v. Orr, 451
state’s compelling interest in fetal life exists because he alone may determine whether a preborn child is viable.\textsuperscript{28} The state’s interest in maternal health has been limited by the Court which, while claiming to affirm \textit{Roe}, has shifted this line somewhere into the second trimester so as to conform to the “accepted medical practices” of abortion practitioners themselves.\textsuperscript{29} Thus, the already minimal recognition given to state interests by \textit{Roe} has been eroded by subsequent decisions, further demonstrating the slippery nature of the Court’s abortion doctrine and the confusion of state legislatures as to the actual contours of legitimate regulation.
A fourth source of confusion is the question of whose right \textit{Roe} established and subsequent cases supposedly vindicated. This question is of crucial importance in establishing the breadth of the Court’s abortion doctrine and, more particularly, in properly assessing informed consent statutes. \textit{Roe} spoke of “the abortion decision,”\textsuperscript{30} “a woman’s decision,”\textsuperscript{31} and “reasons for which a physician and his pregnant patient might decide that she should have an abortion.”\textsuperscript{32} It also stated that “the attending physician, in consultation with his patient, is free to determine . . . that, in his medical judgment, the patient’s pregnancy should be terminated”\textsuperscript{33} and that “the abortion decision and its effectuation must be left to the medical judgment of the . . . attending physician.”\textsuperscript{34}
\begin{itemize}
\item U.S. 934 (1981); Planned Parenthood v. Fitzpatrick 401 F. Supp. 554, 574 (E.D. Pa. 1975), aff’d sub nom. Franklin v. Fitzpatrick, 428 U.S. 901 (1976).
\item See Colautti v. Franklin, 439 U.S. 379, 388-89 (1979).
\item City of Akron v. Akron Center for Reproductive Health, 462 U.S. 416, 434 (1983). The Court emphasized that regulations furthering the state’s interest in maternal health must not “depart from accepted medical practice.” \textit{Id.} at 431. Such standards are regularly derived from the statements or positions of the American Public Health Association and the American College of Obstetricians and Gynecologists (ACOG). \textit{Id.} at 435-37. Both organizations have unbroken records of advocacy for virtually unlimited legal access to abortion. ACOG, of course, brought the successful constitutional challenge to Pennsylvania’s abortion control statute in \textit{Thornburgh}.
\item \textit{Roe}, 410 U.S. at 154, 155.
\item \textit{Id.} at 153.
\item \textit{Id.} at 156.
\item \textit{Id.} at 163.
\item \textit{Id.} at 164. Dr. Alan Stone, Professor of Law and Professor of Psychiatry at Harvard University, finds this particular statement by Justice Blackmun very revealing. He writes: “Although we have come to know the abortion decision as freedom of choice versus right to life, we find Justice Blackmun writing not that the state must yield to the woman’s choice but to the ‘physician’s medical judgement.’” Stone, \textit{supra} note 5, at 579. Other writers have also acknowledged the substantive ambiguity of the Supreme Court’s abortion doctrine on this particular question. Dr. Stone repeatedly refers to this reference to medical judgment as “misleading.” \textit{Id.} at 580, 581. It also is a criticism urged by some feminist writers. \textit{See, e.g.}, R. Petchesky, \textit{Abortion and Women’s Choice: The State, Sexuality and Reproductive Freedom} 125-26, 289-93 (1984).
\end{itemize}
these formulations suggests a different location of the right. *Roe* spoke of "the right of the physician to administer medical treatment according to his medical judgment,"\(^{35}\) and *Roe*'s companion case spoke of "the physician's right to administer" medical care and "the physician's right to practice."\(^{36}\) These suggestions of an independent physician's right have become central themes in the Court's analysis of informed consent statutes but, upon examination as in this article, are fundamentally flawed.
The question of whose right is implicated when states seek to regulate abortion is crucial to a proper analysis of a statute's constitutionality. While, upon first examination, the Supreme Court's abortion cases may not seem very confusing on this point, actual results and important dicta in some recent decisions strongly suggest that the Court actually bases its decisions on a different answer to this question. That is, although the Court states that the abortion right is the woman's right of choice, it invalidates certain kinds of abortion regulations, like informed consent statutes, on the basis of their impact on the physician and his freedom to practice medicine.\(^{37}\) The Court's failure to properly and consistently address this issue has led to flawed and confusing analysis and, therefore, to improper results. It has produced an inherently nebulous abortion doctrine, lacking manageable and articulable boundaries, and has allowed the Court to achieve whatever results it wants in individual cases and to thwart legitimate state efforts to both improve the woman's decision-making process and to protect preborn human life.
\(^{35}\) *Roe*, 410 U.S. at 165.
\(^{36}\) *Doe v. Bolton*, 410 U.S. 179, 197, 199 (1973).
\(^{37}\) The Court has invalidated informed consent requirements for two "equally decisive" reasons. The first is the Court's conclusion that "much of the information required is designed not to inform the woman's consent but rather to persuade her to withhold it altogether." *Akron*, 462 U.S. at 444. The Court has gone so far as to suggest that it deems the woman's choice already informed, her decision already made, at the time she consults with the physician whom the statute requires to convey certain information, stating that "Danforth's recognition of the State's interest in ensuring that this information be given will not justify abortion regulations designed to influence the woman's informed choice between abortion or childbirth." *Id.* at 443-44 (emphasis added). The second reason for invalidation is that these requirements intrude upon the discretion of the physician, thereby placing him in an "'undesired and uncomfortable straitjacket.'" *Id.* at 445 (quoting Planned Parenthood v. Danforth, 428 U.S. 52, 67 n.8 (1976)). *See also Thornburgh*, 106 S. Ct. at 2179.
This Article analyzes both these reasons. First, it examines the notion that physicians have some kind of right to be free from government regulation in their practice of medicine. It then looks at the nature of the abortion right, the nature of abortion, and the context in which the abortion right is sought to be exercised, in order to assess the claim that informed consent requirements are undue burdens on the woman's right of choice.
Another source of confusion contributing to this malleability of doctrine stems from the Court's failure to delineate and consistently apply the precise nature of the abortion right itself. Is it a right to terminate pregnancy\(^{38}\) or a right to kill the fetus?\(^{39}\) Is it an abstract right to an abortion or the freedom to choose between abortion and childbirth?\(^{40}\) Is it a right to control one's own body\(^{41}\) or the right to make certain kinds of decisions?\(^{42}\)
In addition to the issue of whose right is implicated in the abortion context, a clear explanation of the nature of the abortion right is necessary to a properly confined, consistent analysis of state abortion regulations. Such an explanation is especially important because, as the Court has repeatedly declared, important interests other than the woman's are at stake. If, for example, the right is to an abortion itself, then state requirements for conveying information which could potentially make abortion a less desirable option would be suspect. If, however, the right is one of choice between
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38. *Roe*, 410 U.S. at 153.
39. A three-judge federal court has held that there is no "constitutionally protected right to kill the fetus." Wynn v. Scott, 449 F. Supp. 1302, 1321 (N.D. Ill. 1978), aff'd sub nom. Wynn v. Carey, 599 F.2d 193 (7th Cir. 1979). The Supreme Court has never confronted this precise question. However, the Court invalidated measures prescribing a standard of care by the physician toward the fetus in *Planned Parenthood v. Danforth*, 428 U.S. 52, 81-84 (1976), *Colautti v. Franklin*, 439 U.S. 379, 397-401 (1979), and in *Thornburgh v. American College of Obstetricians & Gynecologists*, 106 S. Ct. 2169 (1986), but upheld a requirement that a second physician be present when abortions are performed after viability in *Planned Parenthood v. Ashcroft*, 462 U.S. 476, 482-86 (1983). As such, the Supreme Court's view on this issue is at least ambiguous.
40. The Supreme Court has held that the right to choose *not* to have an abortion is "at least as fundamental" as the right to choose to have one. *Maher v. Roe*, 432 U.S. 464, 472 n.7 (1977). At the same time, the Court has seemingly protected the right to choose the abortion option more than specifically enumerated individual rights like freedom of speech. *See Ely, supra* note 15, at 953. The Court's strong language in *Thornburgh* is the closest it has yet come to holding that anything even potentially tending to deemphasize the attractiveness of the one option, abortion, is presumptively unconstitutional.
41. Although the Supreme Court specifically rejected this argument in *Roe*, 410 U.S. at 154, the popular media and abortion proponents (even some law school professors) continue to discuss the abortion right in these terms.
On this point, juvenile court Judge Randall J. Hekman has written:
Two basic points need to be made in responding to this argument. First, no one—man or woman—has the unqualified right to the control over his or her own body. For example, a person may legally be punished for taking or using an illicit or nonprescribed drug with his or her body. A person who unsuccessfully attempts suicide can be punished. A woman is not legally free to sell her sexual services even to a consenting adult man.
Second, medical facts show that abortion involves the deliberate taking of *another* person's life.
*R. HEKMAN, JUSTICE FOR THE UNBORN* 49-50 (1984).
42. *See Whalen v. Roe*, 429 U.S. 589, 599-600 (1977).
abortion or childbirth, then the presentation of information germane to that decision rather than the likely side of the decisional scale on which that information may appear for most women is more important.
These doctrinal and analytical problems are particularly acute concerning the Supreme Court's analysis of informed consent to abortion statutes. The issue of the role of the physician constitutes one of the most ambiguous features of the abortion doctrine. When confronting statutes implicating this role, most notably informed consent statutes, the Supreme Court has consistently failed to analyze the issues raised with reference to the nature of the right purportedly established in *Roe* or to traditional jurisprudence concerning public control of the medical profession. Rather, the Court has used vague references to the "rights" of physicians and has failed to specify either the source and nature of these rights or, more importantly, how the statute involving the physician under consideration violates or burdens the woman's right of choice. One commentator has observed that "no consistent policy toward informed consent in the abortion context has emerged."43 Instead, the Court has suggested that informed consent statutes violate the woman's right to abortion by affecting the discretion of her physician.44 In addition to ignoring the nature of the abortion right and
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43. Note, *Abortion Regulation: The Circumscription of State Intervention by the Doctrine of Informed Consent*, 15 GA. L. REV. 681, 685 (1981).
Commentators examining informed consent and the physician's role in the abortion context also have failed to examine either the nature of the abortion right or the state's traditional power to regulate the medical profession, both of which bear directly on the constitutional room that must be given to physician's discretion. See, e.g., Marcin & Marcin, *The Physician's Decision-Making Role in Abortion Cases*, 35 JURIST 66 (1975); Wood & Durham, *Counseling, Consulting, and Consent: Abortion and the Doctor-Patient Relationship*, 1978 B.Y.U. L. REV. 783; Note, *Abortion Regulation: The Circumscription of State Intervention by the Doctrine of Informed Consent*, supra; Note, *The Abortion Alternative and the Patient's Right to Know*, 1978 WASH. U.L.Q. 167.
44. In Planned Parenthood v. Danforth, 428 U.S. 52 (1976), the Supreme Court laid the foundation for subsequent invalidation of statutes which burden a woman's rights by interfering with her physician's discretion. The Court defined informed consent as "the giving of information to the patient as to just what would be done and as to its consequences." Id. at 67 n.8. It added the dictum that "[t]o ascribe more meaning than this might well confine the attending physician in an undesired and uncomfortable straitjacket in the practice of his profession." Id. The Court has never explained why the desire and comfort of the physician is the touchstone for assessing the constitutionality of these statutes.
Courts picked up on this theme and have invalidated informed consent statutes because they constituted such a "straitjacket." See, e.g., *Thornburgh*, 106 S. Ct. at 2179; *Akron*, 462 U.S. at 445; Charles v. Daly, 749 F.2d 452, 461 (7th Cir. 1984), appeal dismissed sub nom. Diamond v. Charles, 106 S. Ct. 1697 (1986).
Other commentators see this theme as stemming directly from *Roe* itself. See, e.g., Stone, *supra* note 5, at 579-82.
the state’s traditional power to regulate the medical profession, this method of analysis prevents the state from properly asserting its interest in protecting the woman’s exercise of her fundamental right by ensuring that her choice of whether or not to terminate her pregnancy by abortion is truly informed. This interest is especially great in the abortion context where the reasons for undergoing the medical procedure, and many of its consequences, are not medical at all.\textsuperscript{45}
Rather, the Court has taken increasingly extreme and logically incoherent positions. By 1986, simply informing women that certain written factual information was available \textit{if they chose to view it} was an unconstitutional “wedge . . . into the privacy of the informed-consent dialogue between the woman and her physician.”\textsuperscript{46} At the same time, the Court has ruled that the state may not ensure that such a dialogue exists by requiring \textit{any physician} to actually convey information to women contemplating abortion.\textsuperscript{47} The Court has held that the state may not require that information about agencies available to assist a woman should she choose the childbirth option be given to \textit{any} women because it \textit{might} not be relevant to \textit{all} women.\textsuperscript{48} Astonishingly, the Court has even held that requiring physicians to tell women contemplating abortion about the detrimental effects of abortion or the particular medical risks of the abortion procedure she would undergo “is the antithesis of informed consent.”\textsuperscript{49} These bizarre results are products of a fundamentally flawed method of analysis and were cited by former Chief Justice Burger as prompting his departure from the majority ranks and his belief that \textit{Roe} itself should be reexamined.\textsuperscript{50}
The Court’s treatment of informed consent provisions is incon-
\begin{itemize}
\item[45.] One commentator put it this way: “Admittedly abortion is a medical \textit{procedure}. But the question remains why the Court in \textit{Roe} insisted that it was a medical \textit{decision}.” Moore, \textit{Moral Sentiment in Judicial Opinions on Abortion}, 15 \textit{Santa Clara Law}, 591, 626 (1975) (emphasis in original). Abortion is as much a medical matter as capital punishment is an electrical engineering matter. Implementation requires the knowledge and technical skill of third-party professionals, but the decision itself is another matter altogether.
\item[46.] \textit{Thornburgh}, 106 S. Ct. at 2179.
\item[47.] \textit{Id.} at 2180; \textit{Akron}, 462 U.S. at 447. The Court bases this contention on its conjecture that a physician taking the time (the Court never says how much) to furnish the limited information required by informed consent statutes may (the Court never shows that it will) increase the cost of an abortion (the Court never says by how much). The Court never explains how a minimal increase in cost is a constitutionally undue burden on a woman’s right to choose between abortion and childbirth such that it alone overcomes the important state interest in ensuring that the decision is informed.
\item[48.] \textit{Thornburgh}, 106 S. Ct. at 2179-80.
\item[49.] \textit{Id.} at 2180 (emphasis added).
\item[50.] \textit{Id.} at 2190-92 (Burger, C.J., dissenting).
\end{itemize}
sistent with its other holdings within the abortion context and to jurisprudence on informed consent to medical treatment outside that context. In short, because its analysis is flawed, the Court's decisions concerning informed consent to abortion have produced improper results, overly hostile to important interests and even to the right of choice that *Roe* itself established. In this area, the Court's decisions have been inconsistent with three other areas of jurisprudence: public control of the medical profession generally, informed consent to medical treatment outside the abortion context, and other aspects of the abortion doctrine itself. These inconsistencies have produced a scheme of ad hoc activist judgments by the Court which have been overly hostile to important interests implicated when the abortion decision is made.\(^{51}\) A new framework, presented herein, is possible once these inconsistencies are highlighted.
Assuming, for present purposes, that *Roe* "seems like a durable decision,"\(^{52}\) this Article will attempt to put the role of the physician with respect to informed consent in better perspective. After briefly reviewing the Court's decisions in this area, it will examine the two reasons given by the Court for invalidating informed consent provisions. First, this section will address the Court's point about interference with physician discretion by noting federal court jurisprudence regarding public regulation of the medical profession in the non-abortion context. Next, it will address the Court's second point about interference with the woman's right by delineating the nature of the abortion right and realistically appraising both the nature of abortion and the context in which the abortion right is
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51. In *Roe*, the Supreme Court acknowledged that the state has increasingly important interests in both maternal health and fetal life. At some point in pregnancy, these interests become compelling. *Roe*, 410 U.S. at 162-63. The source and weight of the state's interest in the integrity of a woman's abortion decision is unclear, though it stems at least in part from the state's interest in maternal health generally. *Akron v. Akron Center for Reproductive Health*, 462 U.S. 416, 443 (1983). This consideration cannot be the sole source of the interest, however, because the Court has held that a state may not regulate abortion in the interest of maternal health during the first trimester. *Roe*, 410 U.S. at 164. The court has, at the same time, upheld a state requirement that physicians obtain written informed consent before performing abortions during the first trimester. *Planned Parenthood v. Danforth*, 428 U.S. 52, 66-67 (1976). The Court so held in *Danforth* because "it is desirable and imperative that [the decision whether or not to abort] be made with full knowledge of its nature and consequences." *Id.* at 67. Therefore, the state interest in the integrity of the abortion decision is separate, at least in part, from the acknowledged state interest in maternal health that becomes compelling at the end of the first trimester or the state interest in fetal life that becomes compelling at the end of the second trimester. This result is not so much a product of the rules the Court laid down in *Roe* as of its ad hoc judgment in *Danforth*.
52. Ely, *supra* note 15, at 947.
sought to be exercised. In conclusion, it will present a more consistent framework for evaluating the constitutionality of informed consent to abortion statutes.
II. THE SUPREME COURT'S INFORMED CONSENT DECISIONS: A REVIEW AND PRELIMINARY CRITIQUE
The Supreme Court held in *Roe* that the constitutional right of privacy encompasses "a woman's decision whether or not to terminate her pregnancy."53 This prerogative is a constitutionally protected interest "in making certain kinds of important decisions" free from unjustified government interference.54 "A woman has at least an equal right to choose to carry her fetus to term as to choose to abort it."55
In *Planned Parenthood v. Danforth*,56 the Court upheld a Missouri statutory provision requiring that women certify their consent to an abortion in writing and that such consent be "informed and freely given and not the result of coercion."57 The district court had upheld that provision, stressing that such a requirement gave the woman control over her physician's discretion and ensured that the person constitutionally empowered to make the abortion decision was, in fact, the one who truly made it.58 The Supreme Court, upholding the provision despite its application in the first trimester of pregnancy and its application to abortion but not to other surgical procedures, emphasized that "it is desirable and imperative that [the decision] be made with full knowledge of its nature and consequences."59 The Court accepted the definition of "informed" as "the giving of information to the patient as to just what would be done and as to its consequences"60 but cautioned that "[t]o ascribe more meaning than this might well confine the attending physician in an undesired and uncomfortable straitjacket in the practice of his profession."61
The same year it decided *Danforth*, the Court summarily affirmed a three-judge district court decision upholding a Pennsylvania informed consent provision. In *Planned Parenthood v.*
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53. *Roe*, 410 U.S. at 153.
54. Whalen v. Roe, 429 U.S. 589, 599-600 (1977).
55. Maher v. Roe, 432 U.S. 464, 472 n.7 (1977).
56. 428 U.S. 52 (1976).
57. *Id.* at 65.
58. *Id.* at 66.
59. *Id.* at 67.
60. *Id.* at 67 n.8.
61. *Id.*
Fitzpatrick, the court applied "the rational relationship test" rather than strict judicial scrutiny because it found that the information the statute required to be given did not "chill the exercise of the abortion option." Requiring that this information be conveyed, the court noted, "is suggested . . . by the realities of the system that provides abortions." The physician remains free to add anything he chooses to make the standardized information required by the statute more relevant to a particular patient's situation. The statute required that each woman be advised: "(i) that there may be detrimental physical and psychological effects which are not foreseeable, (ii) of possible alternatives to abortion, including childbirth and adoption, and (iii) of the medical procedures to be used."
The Court next reviewed an informed consent provision in 1983. The ordinance at issue in Akron v. Akron Center for Reproductive Health required the attending physician to present a woman contemplating abortion with several categories of information including the status of her pregnancy, the development of the fetus, the date of possible viability, the physical and emotional consequences of abortion, and the availability of agencies providing assistance and information on birth control, adoption, and childbirth. It required the physician to tell the woman of the particular risks associated with both her own pregnancy and the abortion technique to be employed. Consistent with the court's observation in Fitzpatrick, the ordinance in Akron explicitly allowed the physician to make standardized information more relevant to an individual patient by imparting "other information which in his own medical judgment is relevant to her decision."
The Court invalidated every part of the informed consent provision in Akron. The court in Fitzpatrick had first determined the general nature of the burden that the informed consent provision under review placed on the woman's decision whether or not to abort. Finding first that it would not "chill the exercise of the abor-
62. 401 F. Supp. 554 (E.D. Pa. 1975), aff'd mem. sub nom. Franklin v. Fitzpatrick, 428 U.S. 901 (1976).
63. Id. at 587.
64. Id.
65. Id.
66. Id. at 587-88.
67. Id. at 583.
68. 462 U.S. 416 (1983).
69. Id. at 442.
70. Id.
tion option," the court then determined that strict judicial scrutiny was not appropriate and upheld the provision under the rational relationship test.\textsuperscript{71} The Court in \textit{Akron}, however, made no such analysis to determine the appropriate standard of review but appeared to apply strict scrutiny immediately.
The Court struck down the informed consent provision for two "equally decisive"\textsuperscript{72} reasons. The first was based on its conjecture that "it is fair to say that much of the information required is designed not to inform the woman's consent but rather to persuade her to withhold it altogether."\textsuperscript{73} Several problems with this apparent constitutional rule are immediately apparent. First, the Court had previously held that the state may legitimately pursue a policy preference of favoring childbirth over abortion to the extent of refusing to pay for abortions women could not otherwise afford.\textsuperscript{74} In his opinion for the Court in \textit{H.L. v. Matheson},\textsuperscript{75} Chief Justice Burger wrote that "[t]he Constitution does not compel a state to fine-tune its statutes so as to encourage or facilitate abortions" and held that encouraging childbirth over abortion was rationally related to a legitimate state interest.\textsuperscript{76} Second, to invalidate an informed consent requirement because it may make some women less likely to choose the option of abortion violates the basic notion that \textit{Roe} established a right to choose between options, not a right to choose only one. Third, the Court's holding in \textit{Akron} begs a fundamental question: if such information is likely to have some persuasive force (in whatever direction), does this fact not argue even more for its introduction into the decision making process? Fourth, the Court professed to base its inclusion of the abortion decision within the right to privacy in \textit{Roe} on a list of possible "detriments" that foreclosing the abortion option might impose on some women.\textsuperscript{77}
\begin{itemize}
\item \textsuperscript{71} \textit{Fitzpatrick}, 401 F. Supp. at 587.
\item \textsuperscript{72} \textit{Akron}, 462 U.S. at 445.
\item \textsuperscript{73} \textit{Id.} at 444.
\item \textsuperscript{74} See infra note 185 and accompanying text.
\item \textsuperscript{75} 450 U.S. 398 (1981).
\item \textsuperscript{76} \textit{Id.} at 413.
\item \textsuperscript{77} \textit{Roe}, 410 U.S. at 153. The Court stated:
The detriment that the State would impose upon the pregnant woman by denying this choice altogether is apparent. Specific and direct harm medically diagnosable even in early pregnancy may be involved. Maternity, or additional offspring, may force upon the woman a distressful life and future. Psychological harm may be imminent. Mental and physical health may be taxed by child care. There is also the distress, for all concerned, associated with the unwanted child, and there is the problem of bringing a child into a family already unable, psychologically and otherwise, to care for it. In other cases, as in this one, the additional difficulties and continuing stigma of unwed motherhood may be involved.
\end{itemize}
then, is it constitutionally impermissible to require the presentation of demonstrably accurate factual information about possible complications of abortion? Is it simply because the Court labels it a "parade of horribles"? Can it be that only the Court is constitutionally entitled to use its imagination?
The Court's second basis for invalidating the Akron informed consent ordinance was "its intrusion upon the discretion of the pregnant woman's physician." Although the Akron ordinance explicitly recognized that a physician is free to use standardized information from a perspective that is relevant to an individual case, the Court stated that a requirement to present such information places "obstacles in the path of the doctor." The Court failed to explain what these constitutionally significant obstacles were or, more importantly, how they burdened or interfered with the woman's right of choice. The issue of whether requiring a physician to present information burdens that physician affects neither the woman's need for information nor the relevance of such information to her. By 1983, the Court had yet to establish its apparent view that physicians have some right to practice abortion (they have no such right outside the abortion context) entirely free from regulation by the state.
The Court approved the substance of one category of information required by the Akron ordinance: "the particular risks associated with her own pregnancy and the abortion technique to be employed." However, the Court struck down even this provision because it required the attending physician, and no one else, to present this information. Thus, even though Roe and subsequent cases had emphasized the central role of the physician in both the making and the implementing of the woman's decision, the state may not require that the physician perform this role. Ironically, the Court struck the requirement for the presentation of more general information about abortion complications because it intruded upon the physician's particular medical judgment regarding his individual patient, and yet invalidated the more individualized information about particular risks of the procedure to be employed in each case.
78. Akron, 462 U.S. at 445.
79. Id.
80. Id. (quoting Whalen v. Roe, 429 U.S. 589, 604 n.33 (1977)).
81. Id. at 446.
82. Id. at 447.
83. Roe, 410 U.S. at 153, 164. See also Colautti v. Franklin, 439 U.S. 379, 387 (1979) (stressing the central role of the physician, both in consulting with the woman about whether to have an abortion, and in determining how any abortion is to be carried out).
on the theory that the physician should not be required to speak at all.
Three years later, the Court again struck down a variety of informed consent provisions. The Pennsylvania statute at issue in *Thornburgh v. American College of Obstetricians and Gynecologists* required the physician to provide five kinds of medical information:
(a) the name of the physician who will perform the abortion,
(b) the "fact that there may be detrimental physical and psychological effects which are not accurately foreseeable," (c) the "particular medical risks associated with the particular abortion procedure to be employed," (d) the probable gestational age, and (e) the "medical risks associated with carrying her child to term."
The statute also required that the woman be told that medical assistance might be available if she chose to continue her pregnancy and that the father of the child was liable to assist in the child's support. Finally, the woman must be informed that printed material is available, should she choose to view it, describing the facts of prenatal development and listing agencies offering alternatives to abortion.
The Court struck down this entire scheme because not all of it is always relevant to every woman's individual decision or some of it may be "out of step with the needs of the particular woman." Such a scheme officially structures the dialogue between woman and physician, the Court said, and is only a means of "discouragement of the abortion decision." Some of it is nonmedical information "beyond the physician's area of expertise."
While the Court in *Akron* had approved in substance the requiring of information as to "the particular medical risks associated with [the woman's] own pregnancy and the abortion technique to be employed," the Court in *Thornburgh* struck down the requiring of information as to "particular medical risks." In *Danforth*, the Court had said "it is . . . imperative that [the decision] be made with
---
84. 106 S. Ct. 2169 (1986).
85. *Id.* at 2178.
86. *Id.* at 2179.
87. *Id.*
88. *Id.*
89. *Id.* at 2180.
90. *Id.*
91. *Id.*
92. *Akron*, 462 U.S. at 446.
93. *Thornburgh*, 106 S. Ct. at 2180.
full knowledge of its nature and consequences." For the Court in 1976, "the giving of information as to just what would be done and as to its consequences" was the very definition of informed consent. For the Court in 1986, the giving of information as to the abortion technique to be used and the complications and risks of abortion and childbirth was the very "antithesis of informed consent." The Court in Fitzpatrick had approved the requiring of information on the "detrimental physical and psychological effects of abortion." The Court in Thornburgh struck down the requiring of information on "detrimental physical and psychological effects of abortion."
Thus, the Court in Akron and Thornburgh assumed that informed consent provisions necessarily and unduly burden a woman's right of choice and unconstitutionally infringe on the physician's judgment and practice of the physician's profession. Further, the Court now holds that the physician need not even be involved at all in the actual counseling with women contemplating abortion. This Article will proceed to address the question of physicians' rights by examining the law with respect to regulation of the medical profession. It will address the question of whether statutes requiring that minimal information be given to ensure informed consent burden the abortion right by examining that right, the context in which it is sought to be asserted, and the nature of abortion itself.
III. ANALYZING THE COURT'S REASONS: INTERFERENCE WITH PHYSICIAN DISCRETION
The Supreme Court, in its abortion decisions, has always placed heavy emphasis on the importance of the physician's role in the abortion context. Indeed, the Court believes that abortion is inherently a medical procedure. This heavy emphasis, combined with the Court's invalidation of informed consent statutes because
94. Danforth, 428 U.S. at 67.
95. Id. at 67 n.8.
96. Thornburgh, 106 S. Ct. at 2180 (emphasis added).
97. Fitzpatrick, 401 F. Supp. at 583.
98. Thornburgh, 106 S. Ct. at 2180.
99. See, e.g., Akron, 462 U.S. at 427, 429-30, 445; Colautti v. Franklin, 439 U.S. 379, 387, 394, 396 (1979); Connecticut v. Menillo, 423 U.S. 9, 11 (1975); Roe, 410 U.S. at 163, 165-66; Doe v. Bolton, 410 U.S. 179, 191-92, 197 (1973); Planned Parenthood v. Fitzpatrick, 410 F. Supp. 554, 564, 569 (E.D. Pa. 1975), aff'd sub nom. Franklin v. Fitzpatrick, 428 U.S. 901 (1976).
100. See Colautti, 439 U.S. at 387; Doe, 410 U.S. at 215.
of their interference with the physician's discretion, suggests that the Court, at least implicitly, recognizes an independent right of the physician to practice medicine, at least in the abortion context, free from such interference. The Court has occasionally made reference, in its abortion decisions, to the "rights" of physicians. Inasmuch as the Court has never explicitly held that such a right exists in the abortion context, it is helpful to examine federal court jurisprudence outside the abortion context to determine whether such a physician's right with constitutional significance has been recognized.
A. A Right to Practice Medicine?
Attempts to assert an independent right to practice medicine have typically been made in the context of attacks on state regulations claimed to violate the due process clause of the fourteenth amendment. The right to practice, it is claimed, is part of the "liberty" or "property" protected by that clause against unjustified infringement by the state.
Such an argument was rejected in some of the early cases in which courts recognized broad latitude for the state's police power to operate in this area. For example, the Supreme Court rejected a fourteenth amendment due process claim of a property right in the practice of medicine in McNaughton v. Johnson, stating: "It is established that a State may regulate the practice of medicine, using
101. See supra note 44.
102. See, e.g., Doe, 410 U.S. at 197, 199. See also Stone, supra note 5, at 579: "we find Justice Blackmun writing not that the state must yield to the woman's choice but to the physician's 'medical judgement.'"
103. In Doe, the Court suggested in dicta that such a right existed. 410 U.S. at 197-98, 199. This suggestion was taken seriously by the Chief Justice of the California Supreme Court who stated in a dissent that Doe "speaks specifically of the doctor's right to administer medical care." People v. Privitera, 23 Cal. 3d 697, 723, 591 P.2d 919, 935, 153 Cal. Rptr. 431, 447 (1979) (Bird, C.J., dissenting) (emphasis in original). However, the U.S. Supreme Court specifically rejected this notion that such cited passages from Doe establish a "right to practice medicine free from unwarranted state inference." Whalen v. Roe, 429 U.S. 589, 604 n.33 (1977). Rather, the Court said that the doctor's right is derived entirely from the patient's. The regulation in Doe was invalidated because it encumbered her right by "placing obstacles in the path of the doctor upon whom she was entitled to rely for advice in connection with her decision. If those obstacles had not impacted upon the woman's freedom to make a constitutionally protected decision, if they had merely made the physician's work more laborious or less independent without any impact on the patient, they would not have violated the Constitution." Id. The Court has never explained the contradiction between this holding and its subsequent elevation of physician discretion to constitutional significance, separate from and even equal to the female patients' right of choice. See supra notes 72-73, 79-80 and accompanying text.
104. 242 U.S. 344 (1917).
this word in its most general sense."105
This due process argument, however, eventually prevailed during the early part of this century, when the philosophy of substantive due process dominated the Court's approach to reviewing state economic regulations. In *Lochner v. New York*,106 the Court said that if the regulation on bakers' hours at issue in that case was upheld, similar regulation of "doctors, lawyers, scientists, all professional men" would soon follow.107 The court in *Baker v. Daly*108 sustained a challenge to the state's Cosmetic Therapy Law on similar grounds, stating that the due process clause of the fourteenth amendment included the right to earn a living and to live and work where and how one wished.109 Likewise, in *Liggett Co. v. Baldridge*,110 the Supreme Court invalidated a state law requiring that pharmacies be owned by pharmacists. While acknowledging that the state "undoubtedly may regulate the prescription, compounding of prescriptions, purchase and sale of medicines, by appropriate legislation to the extent reasonably necessary to protect the public health,"111 the Court held that the mere ownership of a drug store bore no rational relationship to public health. Thus, the court concluded that the regulation infringed upon the appellant's property rights in the business of pharmacy.112
The demise of substantive due process brought an end to the recognition of a constitutionally significant liberty or property right to practice medicine. The Supreme Court overruled *Liggett* in 1973, the same year it decided *Roe*, and noted that the substantive due process philosophy had been rejected and replaced by the principle that "states have power to legislate against what are found to be injurious practices in their internal commercial and business affairs, so long as their laws do not run afoul of some specific federal constitutional prohibition, or of some valid federal law."113
The Court rejected a due process claim in *Semler v. Oregon State Board of Dental Examiners*114 and described the special defer-
---
105. *Id.* at 348-49.
106. 198 U.S. 45 (1905).
107. *Id.* at 60.
108. 15 F.2d 881 (D. Or. 1926).
109. *Id.* at 882.
110. 278 U.S. 105 (1928).
111. *Id.* at 112.
112. *Id.* at 111, 116.
113. North Dakota State Bd. of Pharmacy v. Snyder's Drug Stores, 414 U.S. 156, 165 (1973) (quoting Lincoln Union v. Northwestern Co., 335 U.S. 525, 536-37 (1949)).
114. 294 U.S. 608 (1935).
ence with which it would treat state regulation of the medical profession: "The legislature was not dealing with traders in commodities, but with the vital interest of public health, and with a profession treating bodily ills."115 In Johnston v. Board of Dental Examiners,116 the court upheld the Dental Act of 1940 and regulations promulgated under it, despite the appellant's claim that "unduly oppressive and unwarranted restrictions [had] been placed upon the conduct of his profession."117 In so doing, the court stated: "The courts have so often sustained identical legislative provisions that we are somewhat surprised at appellant's apparently serious re-presentation of this argument here."118
In summary, then, the federal courts no longer recognize an independent constitutionally significant "right to practice medicine" free from government interference.119 The Supreme Court provides no justification for apparently resurrecting this notion within the abortion context while maintaining its burial outside that context. The constitutional significance of the physician's desires and comfort120 is simply stated as fact, rather than established. This notion is not only unsupported, but it has been affirmatively rejected elsewhere. As such, the Court's reliance on this notion is fundamentally flawed. To the extent that reliance on this notion is outcome-determinative, the Court's results are wrong as well. Moreover, the explicit elevation of interference with physicians' discretion to a criterion equally decisive with burdening the woman's right of choice for invalidating informed consent requirements121 shows that this flawed premise has indeed become outcome-determinative.
B. State Regulation of the Medical Profession
It would be erroneous to suggest that, because there exists no independent constitutional "right to practice medicine," any form of regulation by the state is permissible. Such regulation must still
---
115. Id. at 612.
116. 134 F.2d 9 (D.C. Cir. 1943).
117. Id. at 10.
118. Id. at 11.
119. See 70 C.J.S. Physicians and Surgeons § 6 (1987); 61 Am. Jur. 2d Physicians, Surgeons, Etc. § 13 (1987).
120. In Planned Parenthood v. Danforth, the Court approved the general requirement of obtaining written informed consent but cautioned that the state could not define "informed" in a way that placed the physician in "an undesired and uncomfortable straitjacket in the practice of his profession." Danforth, 428 U.S. at 67 n.8.
121. See Thornburgh, 106 S. Ct. at 2179; Akron, 462 U.S. at 445.
conform to the dictates of the Constitution.\textsuperscript{122} In addition, permissible state regulation of the medical profession may in part be determined by the effect it has on the patient/consumer of medical care. It is important, however, to note that the practice of medicine falls squarely within the ambit of the state police power, perhaps more directly than any other profession.
1. \textit{Basis for state regulation}
State regulation of the medical profession is grounded in the police power. As the Supreme Court stated nearly 100 years ago: “The power of the State to provide for the general welfare of its people authorizes it to prescribe all such regulations as, in its judgment, will secure or tend to secure them against the consequences of ignorance and incapacity as well as of deception and fraud.”\textsuperscript{123} Likewise, in \textit{Watson v. State of Maryland},\textsuperscript{124} the Court declared a recognized principle:
It is too well settled to require discussion at this day that the police power of the State extends to the regulation of certain trades and callings, particularly those which closely concern the public health. There is perhaps no profession more properly open to such regulation than that which embraces the practitioners of medicine.\textsuperscript{125}
The “right to practice medicine,” then, if it exists at all, is a conditional one, subject to the states’ police power to safeguard the public health.\textsuperscript{126}
2. \textit{Permissible forms of state regulation}
The police power of the state has justified several forms of permissible regulation of the medical profession. The most significant element of such regulation, for present purposes, is the degree to which such regulation touches the core of the physician’s practice: his discretion and medical judgment in dealing with patients. The
\textsuperscript{122} The fact that constitutional decisions by the Supreme Court can have such a pre-emptory effect on policymaking by state legislatures in areas traditionally left solely to their discretion only heightens the need for careful, clear, consistent interpretation and application of constitutional provisions and cautions against creating new “rights” not clearly found in the text or history of the Constitution. It also cautions against ad hoc formulations to achieve desired results.
\textsuperscript{123} Dent v. West Virginia, 129 U.S. 114, 122 (1889).
\textsuperscript{124} 218 U.S. 173 (1910).
\textsuperscript{125} \textit{Id.} at 176.
\textsuperscript{126} See Geiger v. Jenkins, 316 F. Supp. 370, 373 (N.D. Ga. 1970) (three-judge court). \textit{See also} McNaughton v. Johnson, 242 U.S. 344 (1917); 70 C.J.S. \textit{Physicians and Surgeons} §§ 6-8 (1987); 61 Am. Jur. 2d, \textit{Physicians, Surgeons, Etc.} §§ 131, 132, 134 (1987).
permissible forms of state regulation reviewed here increasingly approach that core; the law of informed consent to medical treatment affects it directly.
a. *Initial licensing.* Perhaps the most clearly recognized means of state provision for the general welfare and of safeguarding the public health through regulating the medical profession is requiring physicians and surgeons to obtain licenses or certificates before practicing and determining the qualifications for such licensure. As long as such requirements for licensure are related to the profession and are reasonably attainable, they are consistent with the police power and have repeatedly been upheld.\(^{127}\) Through licensure, the state may define the practice of medicine and ensure the competence of those who follow that calling.\(^{128}\) As will become apparent in the course of this discussion, however, simply because an individual meets the state's initial requirement for licensure does not mean he is free to practice entirely at his own unfettered discretion.
b. *Supervision and revocation.* Determination of qualifications for practice and the requirement of a license constitute only the bare minimum of permissible state regulation of the medical profession.\(^{129}\) Related to the power to determine qualifications for initial licensing is the state's power to supervise the profession and to suspend or revoke the licenses of those failing to maintain the requisite qualifications.
An important case relating to the subject of this Article is *Missouri ex. rel. Hurwitz v. North*,\(^{130}\) in which the Supreme Court upheld, on equal protection grounds, a statute vesting the state board of health with authority to revoke a physician's license for unlaw-
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\(^{127}\) See Semler v. Oregon State Bd. of Dental Examiners, 294 U.S. 608 (1935); Reetz v. Michigan, 188 U.S. 505 (1903); Dent v. West Virginia, 129 U.S. 114 (1889); Geiger v. Jenkins, 316 F. Supp. 370 (N.D. Ga. 1970) (three-judge court).
\(^{128}\) See Collins v. Texas, 223 U.S. 288, 296 (1912). See also Hawker v. New York, 170 U.S. 189, 191 (1898); 70 C.J.S. Physicians and Surgeons §§ 11-13 (1981).
\(^{129}\) In Doe v. Bolton, 410 U.S. 179 (1973), the Supreme Court invalidated a state requirement that two doctors concur with the determination of a woman's physician that an abortion was necessary. In so doing, the Court stated: "If he fails in this, professional censure and deprivation of his license are available remedies." Id. at 199. In light of both the principles governing state regulation of the medical profession and the Court's later abortion cases, however, this cannot be seen as the infirmity requiring invalidation. Rather, invalidation of this provision was proper because it vested an *absolute* veto of an *adult* woman's fundamental right to decide whether or not to have an abortion in third parties. See Bellotti v. Baird, 443 U.S. 622, 639 (1979); Planned Parenthood v. Danforth, 428 U.S. 52, 74 (1976); cf. H.L. v. Matheson, 450 U.S. 398 (1981).
\(^{130}\) 271 U.S. 40 (1926).
fully procuring an abortion.\textsuperscript{131} Such a statute would be invalidated today under \textit{Roe} because of its direct impact on the availability of abortion. However, the physician’s right in the abortion context can appropriately be viewed only as derivative from the woman’s right to decide whether or not to terminate her pregnancy.\textsuperscript{132} Clearly, barring from practice those who would violate prohibitions on the performance of abortions would make effectuating the woman’s abortion decision impossible and it is for this reason that the \textit{North} statute would be struck down today. As such, that case’s basic principle still retains its vitality:
A statute which places all physicians in a single class, and prescribes a uniform standard of professional attainment and conduct, as a condition of the practice of their profession, and a reasonable procedure applicable to them as a class to insure conformity to that standard, does not deny equal protection of the laws within the meaning of the Fourteenth Amendment.\textsuperscript{133}
The courts have long upheld statutes authorizing boards to determine what constitutes unprofessional conduct or to establish other criteria for the revocation of licenses to practice medicine.\textsuperscript{134} In \textit{Barsky v. Board of Regents},\textsuperscript{135} the Court said:
It is elemental that a state has broad powers to establish and enforce standards of conduct within its borders relative to the health of everyone there. It is a vital part of a state’s police power. The state’s discretion in that field extends naturally to the regulation of all professions concerned with health.\textsuperscript{136}
c. Commercial aspects of practice. In \textit{Johnston v. Board of Dental Examiners},\textsuperscript{137} despite the appellant’s claim that “unduly op-
\textsuperscript{131} Similarly, the U.S. Court of Appeals for the D.C. Circuit upheld an action by a state licensing committee revoking a physician’s license for “misconduct” involving the performance of an abortion. Ladrey v. Commission on Licensure to Practice, 261 F.2d 68 (D.C. Cir. 1958). The court noted that it was not even argued “that practitioners of medicine may not be regulated.” \textit{Id.} at 70. As in Missouri \textit{ex rel} Hurwitz v. North, 271 U.S. 40 (1926), this decision could not be made today, but only because of its impact on a woman’s right to choose whether or not to have an abortion, not because physicians have an independent constitutional right to practice medicine.
\textsuperscript{132} Whalen v. Roe, 429 U.S. 589, 604 n.33 (1977).
\textsuperscript{133} 271 U.S. at 43.
\textsuperscript{134} See, e.g., Johnston v. Board of Dental Examiners, 134 F.2d 9 (D.C. Cir. 1943); Ritzholz v. Indiana Bd. of Registration, 45 F. Supp. 423 (N.D. Ind. 1937).
\textsuperscript{135} 347 U.S. 442 (1954).
\textsuperscript{136} \textit{Id.} at 449. The Court in \textit{Barsky} also stated: “The practice of medicine in New York is lawfully prohibited by the State except upon the conditions it imposes. . . . It is equally clear that a state’s legitimate concern for maintaining high standards of professional conduct extends beyond initial licensing. Without continuing supervision, initial examinations afford little protection.” \textit{Id.} at 451. See also 70 C.J.S., Physicians and Surgeons § 16 (1987).
\textsuperscript{137} 134 F.2d 9 (D.C. Cir. 1943).
pressive and unwarranted restrictions [had] been placed upon the conduct of his profession,"\textsuperscript{138} the court upheld the Dental Act of 1940 which regulated the advertisement of dental services. In that case, the court suggested that such regulations were virtually presumed to be within the police power. The court stated that "[r]egulations preventing the commercialization and exploitation of the medical professions have repeatedly been held to bear a reasonable relationship to the public health and safety."\textsuperscript{139} The same court also found that the practice of medicine constituted a "trade" for purposes of the Sherman Anti-Trust Act.\textsuperscript{140} In that case the court said: "The practice of medicine in the District of Columbia is subject to licensing and regulation and, we think, may not lawfully be subjected to 'commercialization and exploitation.'"\textsuperscript{141} In another form of commercial regulation, the Supreme Court has sustained a state law prohibiting the practice of optometry under a trade name.\textsuperscript{142}
d. \textit{Content of practice}. The just described areas of permissible state regulation of the medical profession are still rather far removed from the actual content of the practice or the discretion of the physician. Yet, getting closer to the heart of the practice itself, the state has the power to establish the very definition of the practice of medicine.\textsuperscript{143} The state may determine what constitutes a particular branch of medical practice. Thus, in \textit{Williamson v. Lee Optical Co.},\textsuperscript{144} the Supreme Court upheld a regulation that permitted only licensed optometrists or ophthalmologists to fit frames, lenses, or other optical appliances. In assessing the due process claim in \textit{Williamson}, the Court emphasized that "[t]he day is gone when this Court uses the Due Process Clause of the Fourteenth Amendment to strike down state laws, regulatory of business and industrial conditions, because they may be unwise, improvident, or out of harmony with a particular school of thought."\textsuperscript{145} Rather, the deferential test the Court applies is that "[i]t is enough that there is an evil at hand for correction, and that it might be thought that the
\begin{itemize}
\item[138.] \textit{Id.} at 10.
\item[139.] \textit{Id.} at 12.
\item[140.] United States v. American Medical Ass'n, 110 F.2d 703 (D.C. Cir. 1940).
\item[141.] \textit{Id.} at 714.
\item[142.] Friedman v. Rogers, 440 U.S. 1 (1979). \textit{See} 70 C.J.S. Physicians and Surgeons § 32 (1987); 61 AM. JUR. 2D Physicians, Surgeons, Etc. § 143 (1987).
\item[143.] Collins v. Texas, 223 U.S. 288 (1912).
\item[144.] 348 U.S. 483 (1955).
\item[145.] \textit{Id.} at 488.
\end{itemize}
particular legislative measure was a rational way to correct it."¹⁴⁶ For this reason the California Supreme Court has held that the state can ban the distribution of drugs not recognized as effective for their intended use.¹⁴⁷
C. Informed Consent to Medical Treatment
The areas of pervasive government regulation of the medical profession discussed above, licensing and revocation, commercial aspects, and definition of practice, begin to approach the heart of the physician's practice of his craft, his discretion and medical judgment in dealing with his patients. The law governing informed consent to medical treatment, however, goes directly to the core of the physician's practice. Determining whether the law in this area recognizes a specially protected role for the physician's discretion and judgment, much less an actual right to unfettered practice, requires review of three factors: the cases and statutes themselves, their trends, and some of the recent Supreme Court decisions in the area of commercial speech. When these pieces are viewed in combination, the picture that emerges is that, even at the heart of the physician's practice, he does not enjoy a "right" to practice at his own discretion. The state retains considerable authority to ensure the integrity of medical care decision-making and to make substantive judgments about the minimal amount of information that patients need to receive.
1. Cases and statutes
a. The reasonable physician model. The cases and statutes concerning informed consent to medical treatment fall into two groups, which can be distinguished by the standard against which the physician's disclosure is to be measured. Since actions against physicians for failing to obtain informed consent are now based on a
¹⁴⁶ Id.
¹⁴⁷ People v. Privitera, 23 Cal. 3d 697, 591 P.2d 919, 153 Cal. Rptr. 431 (1979). In Privitera, a medical doctor and four others had been convicted of conspiracy to sell and distribute laetrile, an unapproved drug intended for the alleviation or cure of cancer, in violation of state statutory law. Id. at 697. The Supreme Court of California found that "a fundamental privacy right is not at stake here" because the constitutional right of privacy protects only "independence in making certain kinds of 'important decisions.'" Id. at 702. "But the kinds of 'important decisions' recognized by the high court to date as falling within the right of privacy . . . do not include medical treatment." Id.
For an example of an attempt to extend the right of privacy to include use of such unapproved or unproven medical treatments, see Comment, The Right to Choose an Unproven Method of Treatment, 13 Loy. L.A.L. Rev. 227 (1979).
negligence theory, and not the old battery theory, this model is described in terms of the physician's duty of disclosure.
The first group of cases and statutes uses the standard of the "reasonable physician," and holds that the duty of the physician to disclose information to his patient is measured "with reference to the general practice customarily followed by the medical profession in the locality." Under this model, the physician's duty to disclose "is limited to those disclosures which a reasonable medical practitioner would make under the same or similar circumstances." The courts generally require expert medical testimony to show what the reasonable practitioner in the local community would do under the circumstances. Statutes reflecting the reasonable physician standard have required that this contention be proven by a preponderance of the evidence. The reasonable physician model emphasizes the complexity of the issues, the physician-patient relationship, the physician's special training and knowledge, and the patient's lack of such knowledge.
148. See, e.g., Congrove v. Holmes, 37 Ohio Misc. 95, 98 (1973):
Informed consent consists of a duty imposed by law upon a physician to inform his patient of the nature of the surgery he intends to perform, the probable consequences, risks and hazards of this procedure, and the benefits that can be anticipated from this procedure. . . . Breach of this duty is recognized as tortious misconduct actionable as medical negligence where harm proximately results therefrom.
149. The shift away from the battery theory of recovery for invasion of bodily integrity by an unauthorized operation began with Salgo v. Stanford Univ. Bd. of Trustees, 317 P.2d 170 (1957). Since then, the physician not only had to gain permission to treat but had to affirmatively make certain disclosures to the patient. See generally Trojun v. Fruchtmann, 58 Wis. 2d 569, 595-96, 207 N.W.2d 297, 311 (Wis. 1973); McCoid, A Reappraisal of Liability for Unauthorized Medical Treatment, 41 MINN. L. REV. 381 (1957); Comment, New Trends in Informed Consent?, 54 NEB. L. REV. 66 (1975). Some courts still cling to the battery theory, however. See, e.g., Karlsons v. Guerinot, 57 A.D.2d 73, 81, 394 N.Y.S.2d 933, 937 (N.Y. App. Div. 1977); Shetter v. Rochelle, 2 Ariz. App. 358, 373, 409 P.2d 74, 86 (1965).
150. Roberts v. Young, 369 Mich. 133, 140, 119 N.W.2d 627, 630 (1963). See Bly v. Rhoades, 216 Va. 645, 652, 222 S.E.2d 783, 789 (1976) (rejecting a national standard in favor of a local standard).
151. Natanson v. Kline, 186 Kan. 393, 409-10, 350 P.2d 1093, 1106 (1960) (emphasis added).
152. See Hamor v. Maine Coast Memorial Hosp., 483 A.2d 718, 722 (Me. 1984); Bly v. Rhoades, 216 Va. 645, 652, 222 S.E.2d 783, 788 (1976); Aiken v. Clary, 396 S.W.2d 668, 674 (1965).
153. See, e.g., Ark. STAT. § 34-2614 (1985 Supp.); DEL. CODE ANN. tit. 18 § 6852 (1984); ME. REV. STAT. ANN. tit. 29 § 2905 (1985-86 Supp.); NEB. REV. STAT. § 44-2816 (1984); TENN. CODE ANN. § 29-26-118 (1984 Supp.).
154. See, e.g., Longmire v. Hoey, 512 S.W.2d 307, 310 (Tenn. 1974); Natanson v. Kline, 186 Kan. 393, 409, 350 P.2d 1093, 1106 (1960) ("How the physician may best discharge his obligation to his patient in this difficult situation involves primarily a question of medical judgment.").
Therefore, the reasonable physician model generally places great emphasis on the discretion and judgment of the physician. Such judgment forms the basis of the standard for determining whether a physician has breached the duty to disclose. However, since the shift from the battery theory to the negligence theory, this standard has imposed a duty, as measured by the standards of the profession, to disclose information to the patient. The state can enforce this duty through the common law or statutes.
b. *The reasonable patient model.* The second group of cases and statutes, in contrast, uses the standard of the "reasonable patient," and generally holds that "[t]he physician is bound to disclose . . . those risks which a *reasonable man* would consider material to his decision whether or not to undergo treatment."¹⁵⁵ Underlying this model is an emphasis on the individual dignity and autonomy of the patient who has the right to make decisions regarding his or her own body.¹⁵⁶
The reasonable patient line of cases emphasizes that the "patient's right to make his decision in the light of his own individual value judgment is the very essence of his freedom of choice."¹⁵⁷ Under this model, the materiality of the information to the patient's decision, rather than the physician's medical judgment, is the measure of the physician's duty to disclose.¹⁵⁸ Statutes reflecting the reasonable patient model require that physicians disclose information about the intended procedure, its risks, and alternatives.¹⁵⁹ Some states have recently enacted statutes based on the reasonable patient model for specific contexts or conditions like breast can-
---
¹⁵⁵. Cooper v. Roberts, 220 Pa. Super. 260, 267-68, 286 A.2d 647, 650-51 (1971) (emphasis added).
¹⁵⁶. *See* Schloendorff v. Society of N.Y. Hosps., 211 N.Y. 125, 129-30, 105 N.E. 92, 93 (1914): "Every human being of adult years and sound mind has a right to determine what shall be done with his own body. . . ." *Schloendorff* represents the old battery theory. For a similar emphasis underlying the negligence theory, see Sard v. Hardy, 281 Md. 432, 439, 379 A.2d 1014, 1019-20 (1977); Congrove v. Holmes, 37 Ohio Misc. 95, 104 (1973); Natanson v. Kline, 186 Kan. 393, 410, 350 P.2d 1093, 1106 (1960).
¹⁵⁷. Wilkinson v. Vesey, 110 R.I. 606, 624, 295 A.2d 676, 687 (1972). *See also* Comment, *Informed Consent: From Disclosure to Patient Participation in Medical Decisionmaking*, 76 Nw. U.L. Rev. 172, 174 (1981): "Today most courts recognize that the patient's right to decide is the *sine qua non* of informed consent."
¹⁵⁸. *See* Canterbury v. Spence, 464 F.2d 772 (D.C. Cir. 1972), *cert. denied*, 409 U.S. 1064 (1972); Holland v. Sisters of Saint Joseph of Peace, 270 Or. 192, 137, 522 P.2d 208, 211 (1974); Miller v. Kennedy, 11 Wash. App. 272, 282, 522 P.2d 852, 860 (1974) ("The scope of the duty to disclose information . . . is measured by the patients' need to know.").
¹⁵⁹. *See, e.g.*, ALASKA STAT. § 09.55.556 (1983 Supp.); KY. REV. STAT. ANN. § 40.1299.40 (1977); MINN. STAT. ANN § 144.651 (1987 Supp.) (very detailed statute); OR. REV. STAT. § 677.097 (1981).
cer.\textsuperscript{160} The diversity of such statutes demonstrates that, outside the abortion context, states take an active role in making judgments about the minimum amount and kinds of information that patients should be told. By making such judgments, states protect the public health and the integrity of medical care decision-making. Although such statutes do not always conform to the precise informational needs of every individual patient in every possible setting, the state unquestionably has the authority to make judgments, based on a reasonable patient perspective, about what patients generally need to know in order to make a minimally informed decision about medical treatment. Dissenting in \textit{Thornburgh}, Justice White observed: “Legislators are ordinarily entitled to proceed on the basis of rational generalizations about the subject matter of legislation, and the existence of particular cases in which a feature of a statute performs no function [or is even counterproductive] ordinarily does not render the statute unconstitutional or even constitutionally suspect.”\textsuperscript{161}
Clearly, under the reasonable patient model, the physician’s judgment and discretion are less important than the patient’s need to know. This statement is true even in those medical contexts in which the indications for and consequences of certain medical procedures or treatments are strictly medical in nature. The physician’s duty to disclose strictly medical information in these situations is still conditioned upon the patient’s decisional needs. Common sense suggests that the less medical the patient’s decision is, the less the patient will need the physician’s expert knowledge. Room for legislative judgments as to the amount and kinds of information necessary for minimally informed consent only increases.
The reasonable patient model, then, suggests an orientation focused more on the patient’s rights and a consumer/contract style of medical care delivery.\textsuperscript{162} While there exist some narrowly defined
\begin{itemize}
\item \textsuperscript{160} See, e.g., Cal. Health & Safety Code § 1704.5; Ga. Code Ann. § 43-34-21(g) (1984); Fla. Stat. § 458.324(2) (1984); N.Y. Public Health Law § 2404 (McKinney 1985); Va. Code Ann. § 54-325.2-2 (1987 Supp.).
\item \textsuperscript{161} Thornburgh v. American College of Obstetricians & Gynecologists, 106 S. Ct. 2169, 2199 (1986) (White, J., dissenting).
\item \textsuperscript{162} See Cooper v. Roberts, 220 Pa. Super. 260, 267, 286 A.2d 647, 650 (1971). It is this reality of the changing nature of the doctor-patient relationship which the Supreme Court in \textit{Roe} seems to ignore. Professor Stone writes: “In [\textit{Roe}], Blackmun had used the phrase ‘attending physician’ to describe the doctor who would make the abortion decision. This language conjures up an earlier time when patients actually had a personal physician who attended them at bedside both at home and in the hospital, but is certainly an inapt phrase for describing doctors who perform abortion procedures in clinics.” Stone, \textit{supra} note 5, at 581. See infra notes 247-52 and accompanying text.
\end{itemize}
exceptions in some reasonable patient jurisdictions, including emergencies, incompetency, or therapeutic reasons,\textsuperscript{163} the basic rule under the reasonable patient model is that "a physician . . . has a . . . duty to disclose all facts, risks, and alternatives that a reasonable person in the patient's situation would deem significant in determining whether to undergo treatment."\textsuperscript{164} The state may codify this rule and make substantive judgments about the minimum amount of information patients generally should receive. The less a medical procedure's indications and consequences are purely medical, the greater the need for and legitimacy of such state judgments.
2. \textit{The doctrinal trend}
The second factor to consider in assessing the relative importance of physician discretion in the area of informed consent to medical treatment is the trend of the doctrine. Without question, the trend is away from the reasonable physician model and toward the reasonable patient model.\textsuperscript{165} Commentators have documented this trend from the old battery theory to the negligence theory.\textsuperscript{166} Within the negligence area, the trend is toward the reasonable patient model. Moreover, most commentators have noted this shift with approval.\textsuperscript{167} Jo Anne Morrow writes:
Doctors have not been permitted to act totally without review for a quarter of a century. . . . It seems unreasonable that the person most concerned, the patient, should have only that information the doctor, no matter how well-intentioned, decides she should have. . . . By retaining the authoritative role in the doctor-patient relationship, the doctor denies the patient the right to make decisions that affect her body.\textsuperscript{168}
This contention closely parallels the emphasis of the district court in \textit{Planned Parenthood of Missouri v. Danforth} that a statutory informed consent requirement "insures that the pregnant woman re-
\begin{itemize}
\item[163.] See Meisel, "The Exceptions" to the Informed Consent Doctrine: Striking a Balance Between Competing Values in Medical Decisionmaking, 1979 Wis. L. Rev. 413.
\item[164.] Note, The Abortion Alternative and the Patient's Right to Know, 1978 Wash. U.L.Q. 167, 184.
\item[165.] Meisel & Kabnick, Informed Consent to Medical Treatment: An Analysis of Recent Legislation, 41 U. Pitt. L. Rev. 407 (1980); Comment, New Trends in Informed Consent, 54 Neb. L. Rev. 66 (1975).
\item[166.] See, e.g., Comment, supra note 165, at 67-72.
\item[167.] Some commentators would see the trend continue beyond mere information disclosure to actual patient participation in the decisionmaking. See Comment, Informed Consent: From Disclosure to Patient Participation in Medical Decisionmaking, 76 Nw. U.L. Rev. 172 (1981).
\item[168.] Note, Women's Health Care and Informed Consent: Who Should Decide What is Best for Women—Patients or Doctors?, 9 Golden Gate U.L. Rev. 553, 575 (1978-79).
\end{itemize}
tains control over the discretions of her consulting physician." 169
Among the reasons commentators cite for approving this trend are its emphasis on personal dignity and control over one's own body, 170 the unequal information status of the physician and patient, 171 and the "danger that physicians will exploit patients by subjecting them to treatment that is not in their best interests." 172
In sum, while a number of jurisdictions continue to adhere to the reasonable physician standard, a substantial and growing number have opted for the reasonable patient standard.
3. Commercial speech
Finally, consistent with the spirit of the trend toward fuller disclosure based on the materiality of the information to the patient's decision about medical treatment, some recent Supreme Court decisions in the area of commercial speech make clear the Court's preference for fuller disclosure, so long as the information is not false or deceptive. The public's lack of information and the inability or refusal of the professions to police themselves has prompted the Court to adopt an attitude leaning toward fuller disclosure. 173 Likewise, the Court has held that there is only minimal interest in not providing particular factual information. 174 These concerns are relevant in the medical context, because of the contractual nature of the contemporary physician-patient relationship in general, and are even greater where important considerations and related information are non-medical in nature.
In cases involving commercial speech, a state restriction on the physician might be invalid because of its effect on the patient/consumer of health care. Significantly, however, the Court has corrected the perceived constitutional defect in these cases by requiring that more, not less, information be given to the patient/consumer so that he or she will be able to make a better decision. The Court has not required that more deference be given to the physician, nor has the Court contemplated the possibility of further restriction of relevant information. In contrast, the Court's
169. Danforth, 428 U.S. at 66 (quoting Planned Parenthood of Central Mo. v. Danforth 392 F. Supp. 1362, 1369).
170. Comment, supra note 165, at 74; Note, supra note 168, at 575-76.
171. Comment, Informed Consent in Washington: Expanded Scope of Material Facts That the Physician Must Disclose to His Patient, 55 WASH. L. REV. 655, 657 (1980).
172. Comment, supra note 168, at 175.
173. See, e.g., Virginia Pharmacy Bd. v. Virginia Citizens Consumer Council, 425 U.S. 748 (1976).
174. See, e.g., Zauderer v. Office of Disciplinary Council, 471 U.S. 626 (1985).
abortion cases suggest that the Constitution somehow forbids the expansion of information for the patient within this particular context. The Court has never explained or justified this fundamental inconsistency.
Although physician disclosure of information to patients involves a physician’s discretion and judgment, the trend of informed consent law and the Supreme Court’s commercial speech cases suggest that the medical profession can be legitimately subject to extensive public control. Therefore, a claim of a constitutionally significant “right” to practice medicine by one’s unfettered discretion is unfounded.
The Court fails to explain why the Constitution itself apparently mandates the application of an extreme version of the outdated reasonable physician model in the abortion context, while states remain free to choose their preferred approach outside that context. The Court does not even explain how the Constitution is related to this inquiry. Rather, the Court’s conclusion is merely stated. Even assuming that the preference for one approach over the other is of constitutional import, many arguments support the application of the reasonable patient model in the abortion context.
D. Summary
Outside the abortion context, physicians do not enjoy a constitutionally protected right to practice medicine by their own unfettered discretion. Even “an undesired and uncomfortable straitjacket in the practice of his profession” as asserted in *Danforth* \(^{175}\) or “unduly oppressive and unwarranted restrictions . . . upon the conduct of his profession” as asserted in *Johnston*\(^{176}\) have not been held to be constitutionally forbidden. Rather, the police power of the state has traditionally justified many such controls on the profession.
In addition, the law of informed consent to medical treatment outside the abortion context is shifting from the reasonable physician model, with its heavy emphasis on the physician’s discretion, to the reasonable patient model. Under this standard, the materiality of information to the patient’s decision, rather than the physician’s discretion, is the measure of the physician’s disclosure duty. Recent decisions by the Supreme Court on commercial speech likewise support the emphasis on greater knowledge by the patient/consumer and downplay interests in non-disclosure of information by physi-
\(^{175}\). *Danforth*, 428 U.S. at 67 n.8.
\(^{176}\). 134 F.2d at 10.
cians. The state has authority to make judgments, based on the reasonable patient model, about the minimum kinds and amount of information patients must be told for their consent to be informed. The state's role increases when the strictly medical nature of the indications and consequences of medical procedures decreases.
The fact that, in the abortion context, the Supreme Court finds informed consent statutes unconstitutional because of their effect on the discretion of the physician is at odds with traditional jurisprudence. This approach fails to establish why the Constitution requires any particular model and why an increasingly outmoded and inappropriate model is the Constitution's substantive choice. Justice White, dissenting in *Danforth*, stated that traditional rules and methods of constitutional interpretation should not be discarded merely because the case before the Court concerns abortion.\(^{177}\) However, the Court seems to take just this approach when reviewing informed consent provisions.
The first of the Supreme Court's two "equally decisive" reasons for invalidating informed consent to abortion statutes, their effect on the physician's discretion, is totally unjustified. The second is that such statutes actually interfere with the woman's right of choice between abortion and childbirth. The next step in this analysis will be to examine the abortion right itself, the nature of abortion, and the context in which the abortion right is sought to be exercised. This investigation will provide further insight into the proper method for evaluating the constitutionality of informed consent to abortion statutes. Although the Court bases its abortion decisions on the reasonable physician model, the reasonable patient model is clearly more appropriate. Not only should states be free to select the model on which to base their statutes, but compelling reasons argue in favor of the model they have indeed chosen in the abortion context: the reasonable patient model.
**IV. Analyzing the Court's Reasons: Interference with the Woman's Right**
**A. The Abortion Right**
Despite the confusion in the Supreme Court's abortion doctrine noted at the outset, a careful analysis of the Court's abortion decisions reveals an underlying framework. The Court's language, if not its holdings, lends itself to some kind of organization. This
\(^{177}\). *Danforth*, 428 U.S. at 98 (White, J., dissenting).
analysis makes clear that the core of the abortion right is a woman's freedom to decide whether to terminate her pregnancy by abortion or continue it to childbirth. The Court's abortion decisions are replete with expressions of the basic notion that *Roe* established freedom of choice between alternative ways of ending a pregnancy: abortion or childbirth.\(^{178}\) At the very least, therefore, state action that literally proscribes either choice, for example, by making it criminal for a physician to perform abortions, is clearly unconstitutional.\(^{179}\) This unconstitutionality does not arise because a physician has an affirmative constitutional right to perform abortions; it arises merely because the involvement of a third party, in this case a physician, is necessary for the woman to exercise and effectuate her constitutional right of choice. State regulations directed at the physician should not be invalidated unless they improperly infringe upon or burden *the woman's constitutional right*. The physician has no such right independent of the patient. Because the nature of the abortion right is freedom of decision, the state may not foreclose either option.
The Supreme Court has, at the same time, held that this right is not absolute.\(^{180}\) Indeed, the abortion right has been limited, at least rhetorically, in a variety of ways. For example, a woman does not have a right to an abortion performed by anyone other than a licensed physician.\(^{181}\) Also, the state may require that the physician
\(^{178}\). *See, e.g.*, Akron v. Akron Center for Reproductive Health, 462 U.S. 416, 427 (1983); Harris v. McRae, 448 U.S. 297, 312, 313, 314-15, 316, 317-18 (1980); Bellotti v. Baird, 443 U.S. 622, 639 (1979); Maher v. Roe, 432 U.S. 464, 473-74 (1977); Whalen v. Roe, 429 U.S. 589, 600 n.26 (1977); Planned Parenthood v. Danforth, 428 U.S. 52, 80, 95 (1976); Roe v. Wade, 410 U.S. 113, 153, 165-66 (1973); Planned Parenthood v. Fitzpatrick, 401 F. Supp. 554, 563, 564, 565, 580 (E.D. Pa. 1975), *aff'd sub nom.* Franklin v. Fitzpatrick, 428 U.S. 901 (1976).
\(^{179}\). Courts have repeatedly said that actual state-created obstacles to the woman's choice are unconstitutional. *See, e.g.*, H.L. v. Matheson, 450 U.S. 398, 409, 411 (1981); Bellotti v. Baird, 443 U.S. 622 (1979); Whalen v. Roe, 429 U.S. 589, 603 (1977); Planned Parenthood v. Danforth, 428 U.S. 52, 70-71 n.10, 74; Akron Center for Reproductive Health v. City of Akron, 479 F. Supp. 1172, 1200 (N.D. Ohio 1979); Planned Parenthood v. Fitzpatrick, 401 F. Supp. 554, 565, 568 (E.D. Pa. 1975), *aff'd sub nom.* Franklin v. Fitzpatrick, 429 U.S. 901 (1976).
\(^{180}\). *See, e.g.*, Maher v. Roe, 432 U.S. 464, 472 (1977); Planned Parenthood v. Danforth, 428 U.S. 52, 83 (1976); Connecticut v. Menillo, 423 U.S. 9, 10 (1975) (per curiam); Doe v. Bolton, 410 U.S. 179, 201 (1973); Roe v. Wade, 410 U.S. 113, 153 (1973); Gary-Northwest Indiana Women's Services v. Bowen, 496 F. Supp. 894, 900 (N.D. Ind. 1980), *aff'd sub nom.* Gary-Northwest Indiana Women's Services v. Orr, 451 U.S. 934 (1981); Planned Parenthood v. Fitzpatrick, 401 F. Supp. 554, 565 (E.D. Pa. 1975), *aff'd sub nom.* Franklin v. Fitzpatrick, 428 U.S. 901 (1976).
\(^{181}\). *See* Connecticut v. Menillo, 423 U.S. 9, 10 (1975); Doe v. Bolton, 410 U.S. 179, 216 (1973) (Douglas, J., concurring).
obtain the written consent of a woman before performing an abortion.\textsuperscript{182} The abortion funding cases\textsuperscript{183} make clear that the woman does not enjoy such an abstract "right to an abortion" that the state must pay for them whenever she cannot. To the contrary, the state is under no obligation to pay for abortions, and can legitimately encourage the alternative choice of childbirth, in which the Court has acknowledged the state has a particularly strong interest.\textsuperscript{184} Such a policy is permissible even when restriction of public funds "results" in unavailability of abortions services for some women.\textsuperscript{185}
The abortion option may not be foreclosed nor may the choice of that option be unduly burdened. Nevertheless, abortion is not a positive "good" that the state is obliged to encourage or make more attractive. In \textit{Roe}, inclusion of abortion in the right to privacy was apparently based on its being a way to avoid certain "detriments" that childbirth and childrearing might involve.\textsuperscript{186} Chief Justice Burger, in his \textit{Thornburgh} dissent, noted the majority's "astounding rationale" for striking down the informed consent provisions that some of the required information "might have the effect of 'discouraging abortion'...as if abortion [was] something to be advocated and encouraged."\textsuperscript{187} He countered that the Constitution does not require states to facilitate or encourage abortion but instead permits states to promote the alternative choice by encouraging childbirth.\textsuperscript{188} Likewise, Justice White observed:
[P]recisely because \textit{Roe v. Wade} is not premised on the notion that abortion is itself desirable (either as a matter of constitu-
\begin{itemize}
\item \textsuperscript{182} Planned Parenthood v. Danforth, 428 U.S. 52 (1976).
\item \textsuperscript{183} Harris v. McRae, 448 U.S. 297 (1980); Williams v. Zbaraz, 448 U.S. 358 (1980); Beal v. Doe, 432 U.S. 438 (1977); Maher v. Roe, 432 U.S. 464 (1977); Poelker v. Doe, 432 U.S. 519 (1977).
\item \textsuperscript{184} H.L. v. Matheson, 450 U.S. 398, 412-13 (1981); Harris v. McRae, 448 U.S. 297, 324-25 (1980); Beal v. Doe, 432 U.S. 438, 445 (1977); Maher v. Roe, 432 U.S. 464, 473, 477 (1977); Poelker v. Doe, 432 U.S. 519, 521 (1977).
\item \textsuperscript{185} See Maher v. Roe, 432 U.S. 464, 474 (1977). In \textit{Maher}, Justice Powell acknowledged that "some" women might not be able to have abortions when the funding restrictions under the Hyde Amendment were enforced. The Alan Guttmacher Institute, the research arm of the Planned Parenthood Federation, estimates that approximately 100,000 women were unable to obtain abortions in 1978 because of the funding restrictions under the Hyde Amendment. See Trussell, Mentum, Lendheim & Vaughan, \textit{Impact of Restricting Medicaid Financing for Abortion}, 12 Fam. Plan. Persp. 120, 120 (May-June 1980). It should be noted, however, that none of the predictions by abortion proponents of increased maternal morbidity or mortality resulting from the funding restrictions came true. See 129 Cong. Rec. S9255, 9286 (daily ed. June 28, 1983); J. Burtchaell, \textit{Rachel Weeping and Other Essays on Abortion} 67 (1982).
\item \textsuperscript{186} \textit{Roe}, 410 U.S. at 153.
\item \textsuperscript{187} \textit{Thornburgh}, 106 S.Ct. at 2191 n.* (Burger, C.J., dissenting)
\item \textsuperscript{188} \textit{Id}.
\end{itemize}
tional entitlement or of social policy), the decision does not command the States to fund or encourage abortion, or even to approve of it. Rather, we have recognized that the States may legitimately adopt a policy of encouraging normal childbirth rather than abortion so long as the measures through which that policy is implemented do not amount to direct compulsion of the woman's choice regarding abortion.\textsuperscript{189}
This array of limitations on a woman's right to choose her method of pregnancy termination shows that a state, even if it theoretically could,\textsuperscript{190} does not need to remain entirely neutral with respect to the particular choice being made.
Abortion is unlike any other situation implicating the "right to privacy" because of the presence and development of the preborn child,\textsuperscript{191} in which the state retains at all times at least an "important" interest. As such, the state has a set of interests entirely absent in other contexts. The significance of these state interests in the abortion context means, as the Court explicitly recognized in the funding cases, that the state can seek to further its preference for childbirth through a variety of means.
This situation naturally leads to two observations. First, consistent analysis emphasizing information relevant to the decision rather than the relatively "encouraging" or "discouraging" nature of such information is necessary for the true nature of the right to be maintained and for these important state interests not to be unduly limited by the Court's policy preferences.\textsuperscript{192} Second, the Court's recent decision in \textit{Thornburgh} is wholly unjustifiable because it is based on the Court's negative view of Pennsylvania's presumed statutory motive rather than the relevant impact and demonstrative unconstitutionality of its statutory scheme. Chief Justice Burger's defection to the dissenters' ranks is perhaps the
\textsuperscript{189} \textit{Id.} at 2198 (White, J., dissenting).
\textsuperscript{190} Even information "as to just what would be done and as to its consequences," \textit{Dandforth}, 428 U.S. at 67 n.8, that the Court approved is not neutral. Such information alone could readily tip the decisional balance in either direction, depending on the knowledge, preferences, values, and other characteristics of the woman. One commentator, making the same mistake as the Court, spoke of "neutral information relevant to a woman's decision." George, \textit{supra} note 16, at 35. However, "neutral" information can hardly be relevant. It is precisely because information is material, that is, can influence the decision, that it is relevant and should be considered.
\textsuperscript{191} \textit{Roe}, 410 U.S. at 159.
\textsuperscript{192} Justice White stated in his \textit{Thornburgh} dissent that "the unrestrained imposition of [the Court's] own, extraconstitutional value preferences" began in \textit{Roe} with denoting the liberty to choose abortion as fundamental. \textit{Thornburgh}, 106 S.Ct. at 2196 (White, J., dissenting). \textit{See supra} note 21.
most poignant evidence of just how far afield the Court has gone in mandating preferred results without reasoned or consistent analysis.
The Supreme Court has also rejected the argument that the abortion right means an absolute "right to control one's own body." Indeed, the Court has held that this notion has little, if anything, to do with the privacy cases at all.\textsuperscript{193} Because of the presence and development of the preborn child, this argument has even less relevance in the abortion context. A three-judge federal panel has likewise rejected the notion that the abortion right means a constitutional right, in any particular case, to actually kill the fetus.\textsuperscript{194}
The nature of the abortion right cannot be described merely by reference to other medical procedures or treatment, even though abortion is undeniably a medical procedure. Just as the abortion right is inherently different from other privacy rights because of the presence and development of the preborn child, so abortion is different from other medical procedures because it involves the termination of the life of the preborn child. Although the Court's early decisions seem to suggest otherwise,\textsuperscript{195} a state may treat abortion differently from other medical procedures.\textsuperscript{196} In \textit{Danforth}, for example, the Court upheld the requirement of written informed consent for abortion even though such consent is not required for any other surgical procedure.\textsuperscript{197}
The abortion right is further limited by the state's interests in maternal health and fetal life, which become compelling at certain
\textsuperscript{193} \textit{Roe}, 410 U.S. at 154.
\textsuperscript{194} Wynn v. Scott, 449 F. Supp. 1302, 1321 (N.D. Ill. 1978), \textit{appeal dism'd}, Carey v. Wynn, 439 U.S. 8 (1978) (per curiam), \textit{aff'd sub nom.} Wynn v. Carey, 599 F.2d 193 (7th Cir. 1979).
\textsuperscript{195} The Supreme Court, in \textit{Doe v. Bolton}, 410 U.S. 179 (1973), invalidated a requirement that the decision by a physician that an abortion was necessary be reviewed by a committee and stated: "We are not cited to any other surgical procedure made subject to committee approval as a matter of state criminal law." \textit{Id.} at 197.
\textsuperscript{196} See, e.g., H.L. v. Matheson, 450 U.S. 398, 412-13, 422-23 (1981); Harris v. McRae, 448 U.S. 297, 325 (1980); Bellotti v. Baird, 443 U.S. 622, 640-41, 643, 649 (1979); Maher v. Roe, 432 U.S. 464, 480 (1977); Planned Parenthood v. Danforth, 428 U.S. 52, 66-67, 103 (1976); Bellotti v. Baird, 428 U.S. 132, 149 (1976); Planned Parenthood v. Fitzpatrick, 401 F. Supp. 554, 587 (E.D. Pa. 1975), \textit{aff'd sub nom.}, Franklin v. Fitzpatrick, 428 U.S. 901 (1976). In contrast to its emphasis in \textit{Doe}, see \textit{supra} note 195, the Court in Planned Parenthood v. Danforth, 428 U.S. 52 (1976), upheld a requirement that a physician obtain written informed consent from the patient before performing an abortion, despite the fact that such a requirement existed for virtually no other surgical procedure. \textit{Id.} at 66. In Maher v. Roe, 432 U.S. 464 (1977), the Court said: "The simple answer to the argument that similar requirements are not imposed for other medical procedures is that such procedures do not involve the termination of a potential human life." \textit{Id.} at 480.
\textsuperscript{197} \textit{Danforth}, 428 U.S. at 66-67.
points during pregnancy and are then sufficient in themselves to justify more extensive regulation.\textsuperscript{198} Another significant anomaly in the Court's abortion doctrine is that, while it defines "health" very broadly when that term is used to justify a woman's decision to have an abortion,\textsuperscript{199} it utilizes a much more narrow definition of "health" when that term is used to justify state regulation after the first trimester in furthering its interest in maternal health.\textsuperscript{200} Because such statutes are justified by their relation to the state's interest in the preservation of maternal health, they affect the informed consent situation.\textsuperscript{201} Consistent application of the broader definition would allow the state to protect the varied aspects of "health" implicated when the abortion decision is being made.\textsuperscript{202} The state could ensure that the information relating to the broader, less medical, aspects of health that go into the decision whether to abort are provided so a better decision for many women will result.
Finally, as the previous section demonstrates, the abortion right is not a physician's right to practice medicine according to his unfettered discretion. Although some dicta exists suggesting the existence of such a right,\textsuperscript{203} the Court has specifically held that whatever "right" a physician may be said to possess in the abortion context is entirely derivative from the woman's right to have her decision effectuated.\textsuperscript{204} The Court's recent creation of an "equally decisive"
\textsuperscript{198} \textit{Roe}, 410 U.S. at 163, 164-65.
\textsuperscript{199} Beginning with United States v. Vuitch, 402 U.S. 62 (1971), the Court has held that "health" should be understood, not in medical or strictly clinical terms, but in terms of "general usage and modern understanding" to include psychological as well as physical "soundness." \textit{Id.} at 72. In Doe v. Bolton, 410 U.S. 179 (1973), the Court expanded on this idea to hold that, in the abortion context, "the medical judgement may be exercised in the light of all factors—physical, emotional, psychological, familial, and the woman's age—relevant to the well-being of the patient. All these factors relate to health." \textit{Id.} at 192.
\textsuperscript{200} The state's interest in maternal health becomes compelling only when the mortality rate for abortion is no longer less than the mortality rate for normal childbirth. \textit{Roe v. Wade}, 410 U.S. 113, 163 (1973).
\textsuperscript{201} Akron v. Akron Center for Reproductive Health, 462 U.S. 416, 443 (1983).
\textsuperscript{202} It should again be noted that this argument for a consistent use of the Court's broad definition of "health" is premised on the assumption of \textit{Roe}'s continued existence. \textit{See supra} note 52 and accompanying text. Those pursuing a litigation strategy to accomplish \textit{Roe}'s reversal, conversely, seek "to limit the scope of criteria which may justify an abortion on grounds of 'maternal health.'" Rosenblum & Marzen, \textit{Strategies for Reversing Roe v. Wade} in \textit{ABORTION AND THE CONSTITUTION: REVERSING ROE V. WADE THROUGH THE COURTS}, \textit{supra} note 15, at 199.
\textsuperscript{203} \textit{See supra} notes 35-37 and accompanying text.
\textsuperscript{204} Whalen v. Roe, 429 U.S. 589, 604 n.33 (1977):
Nothing in [Doe v. Bolton] suggests that a doctor's right to administer medical care has any greater strength than his patient's right to receive such care. The constitutional right vindicated in \textit{Doe} was the right of a pregnant woman to decide whether or not to bear a child without unwarranted state interference. The statutory restricand separate reason for invalidating informed consent provisions because of their effect on the physician’s discretion is, therefore, quite astonishing. As the district court in *Danforth* had emphasized, it is vital that the woman retain control over her physician’s discretion,\(^{205}\) coercion by a man in a white coat should be no less suspect than coercion by legislators in a state capitol.
When the Court in its abortion decisions discusses the physician’s discretion or medical judgment, it always does so in the context of the woman’s right of choice; usually in the same sentence.\(^{206}\) This observation provides more support for the view that there is no independent “right of the physician” but, rather, that any physician’s “right” in the abortion context is derivative from and dependent upon the woman’s right. It is only because the exercise of that right and its effectuation requires the technical services of a third-party professional that the physician is in the picture in the first place. Regulation of the physician should be held unconstitutional to the extent that it *impermissibly* affects the woman’s right of choice. The Court’s willingness to invalidate informed consent abortion statutes because of their effect on the discretion of the physician\(^{207}\) remains a fundamental flaw in its abortion doctrine.
The Court has developed an “unduly burdensome” standard which it uses to measure the constitutionality of state abortion regulations, and which can consistently reflect the true nature of the abortion right and also recognize, but not subordinate, the other important interests involved.\(^{208}\) Under this standard, strict judicial
---
\(^{205}\) *Danforth*, 428 U.S. at 66.
\(^{206}\) See, e.g., Akron v. Akron Center for Reproductive Health, 462 U.S. 416, 429-30 (1983); Bellotti v. Baird, 443 U.S. 622, 639 (1979); Connecticut v. Menillo, 423 U.S. 9, 11 (1975); Doe v. Bolton, 410 U.S. 179, 197, 199 (1973); Roe v. Wade, 410 U.S. 113, 163 (1973); Planned Parenthood v. Fitzpatrick, 401 F. Supp. 554, 564, 569 (E.D. Pa. 1975), aff’d sub nom. Franklin v. Fitzpatrick, 428 U.S. 901 (1976).
\(^{207}\) See supra notes 45, 102 and accompanying text.
\(^{208}\) See Harris v. McRae, 448 U.S. 297, 314 (1980); Bellotti v. Baird, 443 U.S. 622, 640 (1979); Maher v. Roe, 432 U.S. 464, 473 (1977); Bellotti v. Baird, 428 U.S. 132, 147 (1976); Birth Control Centers v. Reizen, 508 F. Supp. 1366, 1379-80 (E.D. Mich. 1981), aff’d, 743 F.2d 352 (6th Cir. 1984). This standard is not unlike the “unfair prejudice” test of the Federal Rules of Evidence. Fed. R. Evid. 403. It allows burdens on the abortion right but finds *undue* burdens unconstitutional. This approach makes sense, since “burden” could easily be construed to mean any “effect” or interface at all. Likewise, Professor Wardle emphasizes
scrutiny is appropriate only when a regulation unduly burdens the right of choice and a compelling state interest is necessary to justify such scrutiny. Under this standard, actual foreclosure of the abortion option by statutory prohibition would unduly burden the choice. Strict judicial scrutiny would render such a regulation presumptively invalid unless it was supported by a compelling state interest. Under the *Roe* trimester framework, an interest sufficient to even potentially justify a prohibition on abortion exists only after viability, when the state's interest in fetal life becomes compelling.\(^{209}\) This conclusion holds whether the performance of an abortion is criminalized\(^{210}\) or a unilateral veto power over the woman's decision is given to a third party.\(^{211}\) In either case, the state is literally acting to foreclose the abortion option without regard to other circumstances.
In her dissent in *Akron*, Justice O'Connor urged consistent application of the "unduly burdensome" test as a way of preserving the true nature of the fundamental right while not imposing the Court's particular value choices on state legislatures and frustrating important state interests.\(^{212}\) In his *Thornburgh* dissent, Justice White also argued that nothing in the dispute triggered strict judicial scrutiny because the informed consent provision "does not directly infringe the allegedly fundamental right at issue—the woman's right to choose an abortion."\(^{213}\) The district court in *Fitzpatrick* applied the rational relationship test rather than strict judicial scrutiny because the informed consent provision at issue did not "chill the exercise of the abortion option."\(^{214}\) The Supreme Court has applied this test in abortion cases involving issues other than informed consent.\(^{215}\) Lower federal courts have applied it.\(^{216}\)
---
that the test is whether an informed consent requirement is detrimentally burdensome, not whether it merely effects the choice. L. WARDLE, supra note 5, at 103.
209. *Roe*, 410 U.S. at 163-64.
210. The statute invalidated in *Roe* made it a crime to perform all abortions except those that were to save the life of the mother. *Id.* at 118 n.1. Similar statutes had been enacted in a majority of states. *Id.*
211. See, e.g., Akron v. Akron Center for Reproductive Health, 462 U.S. 416, 439, 442 (1983) (parental consent); Bellotti v. Baird, 443 U.S. 622 (1976) (spousal and parental consent).
212. *Akron*, 462 U.S. at 453 (O'Connor, J., dissenting).
213. *Thornburgh*, 106 S.Ct. at 2199-200 (White, J., dissenting).
214. *Fitzpatrick*, 401 F.Supp. at 587 (Adams, J., concurring and dissenting).
215. See, e.g., Harris v. McRae, 448 U.S. 297, 314-15 (1980); Bellotti v. Baird, 443 U.S. 622, 640 (1979); Maher v. Roe, 432 U.S. 464, 473-74 (1977); Bellotti v. Baird, 428 U.S. 132, 147 (1976).
216. See, e.g., Akron Center for Reproductive Health v. Akron, 651 F.2d 1198, 1215 (6th
courts have applied it. In Village of Oak Lawn v. Marcowitz, for example, the Supreme Court of Illinois stated: "The fundamental right here involved, of course, is a woman's privacy right to decide . . . whether to obtain an abortion. As to those abortion regulations which do not unduly burden that fundamental right, the Supreme Court has applied only a rational-basis test." Commentators have also identified this scheme as a central part of the Court's abortion doctrine. Professor Mark Tushnet describes what he calls "a unified approach" this way: "[The Court] has prohibited regulations that unduly burden the decision to have or to refrain from having an abortion. The 'unduly burden' approach has been applied in three groups of cases."
Discussing the constitutionality of informed consent provisions in 1980, another writer emphasized that the burden on the abortion right must be "undue" to trigger strict scrutiny and that a compelling state interest is then required.
Regulations that do not foreclose options but only indirectly affect the making of the choice in some way should be treated differently. The Court, in the funding cases, has recognized this difference between the state affirmatively setting up a barrier and acting in other ways that only affect the decision itself indirectly. A relative burden is different from a total denial; limited access is different from prohibited access.
A statute is not unconstitutional if it merely deals with the subject of abortion. It is not unconstitutional if it merely affects the abortion decision. It is not unconstitutional if it can be said merely to "burden" that decision. Consistent use of the "unduly burdensome" standard would mean that those regulations that do not amount to undue burdens should be evaluated according to the so-called "rational relationship" test: as long as there is a problem in need of correction perceived by the legislature and the means chosen bears a rational relationship to that end, the statute is constitu-
Cir. 1981) (Kennedy, J., dissenting); Birth Control Centers v. Reizen, 508 F. Supp. 1366, 1379-80 (E.D. Mich. 1981), aff'd, 743 F.2d 352 (6th Cir. 1984).
217. 86 Ill. 2d 406, 427 N.E.2d 36 (1981).
218. Id. at 416-17, 427 N.E.2d at 40.
219. Tushnet, supra note 15, at 162.
220. Comment, The Maine Abortion Statutes of 1979: Testing the Constitutional Limits, 32 Me. L. Rev. 315, 323 (1980).
221. See supra note 183.
222. Bellotti v. Baird, 428 U.S. 132, 151 (1976).
223. Whalen v. Roe, 429 U.S. 589, 603 (1977). See also Akron Center for Reproductive Health v. City of Akron, 479 F. Supp. 1172, 1200 (N.D. Ohio 1979).
224. See supra 177 note and accompanying text.
tional under the due process clause.\textsuperscript{225}
Looking only at whether a statute “burdens” or “affects” the woman’s freedom of choice, and not at the nature of the burden or the significance of the effect, and automatically applying de facto strict scrutiny, as the Court has begun to do in \textit{Akron} and \textit{Thornburgh} with respect to informed consent provisions, is inappropriate. It makes the imagination and policy preferences of the Court the measure of constitutionality at the expense of important state interests, consistently applicable analysis, and proper deference to legislative judgments.
The proper analysis requires focusing on the nature of the right and to whom it belongs. Achieving the proper outcome of that analysis with respect to informed consent statutes requires further attention to the nature of abortion and the reality of the context within which the abortion right is sought to be exercised.
\textbf{B. The Nature of Abortion}
Abortion is, of course, a medical procedure in that it is a procedure performed by physicians.\textsuperscript{226} It is the most commonly performed surgical procedure in the United States today\textsuperscript{227} but it is not medically indicated in at least ninety-eight percent of cases.\textsuperscript{228} That
\textsuperscript{225} Williamson v. Lee Optical Co., 348 U.S. 483, 488 (1955).
\textsuperscript{226} See Colautti v. Franklin, 439 U.S. 379, 387 (1979); Doe v. Bolton, 410 U.S. 179, 192, 197, 199, 215, 220 (1973); Roe v. Wade, 410 U.S. 113, 148, 163, 166 (1973).
\textsuperscript{227} See generally Statistical Abstract of the United States: 1987, at 98 (107th ed. 1987); U.S. Dept. of Health and Human Services, Health United States 33 (1985); T. Madden, I. Turner & E. Eckenfels, The Health Almanac 153 (1982). See also F. Jaffe, B. Lindheim & P. Lee, Abortion Politics: Private Morality and Public Policy 7 (1981) (By 1978, “[t]ermination of pregnancy had become the most frequently performed operation on adults in the United States.”); L. Wardle & M. Wood, A Lawyer Looks at Abortion 8 (1982) (“Abortion is now the most frequently performed operation in the United States.”).
\textsuperscript{228} This fact is accepted by both abortion proponents and opponents. In testimony before the U.S. Senate Subcommittee on the Constitution in October 1981, abortion advocate Dr. Irving M. Cushner of the U.C.L.A. School of Public Health and director of the women’s health division of the School of Medicine’s Department of Obstetrics and Gynecology, stated that “something on the order of 2 percent of all the abortions in this country are done for some clinically identifiable entity—physical health problem, amniocentesis, and identified genetic disease or something of that kind. The overwhelming majority of abortions in this country are performed on women who for various reasons do not wish to be pregnant at this time. . . . Their reasons are a mixture of social, economic, educational, or whatever.” In response to the question of how often abortions are performed to save the life of the mother or to ensure her physical health, Dr. Cushner replied: “In this country, it is about 1 percent.” Hearings, supra note 11, at 158.
Likewise, abortion opponent Dr. Bernard N. Nathanson, a practicing obstetrician/gynecologist and clinical professor at the Cornell University College of Medicine, testified that “there are only a few medical reasons for abortion. . . . I do not think there are
is, the procedure is not required for either physical\textsuperscript{229} or psychological health reasons.\textsuperscript{230} Rather, it more properly compares to elective surgery.\textsuperscript{231} It was in this context that the shift in the informed consent doctrine from the reasonable physician model to the reasonable patient model first began.\textsuperscript{232} Of course, abortion may be deemed significant or necessary for other, non-medical reasons. However, abortion, from the clinical or medical perspective, is not medically indicated. Therefore, the physician’s special training and judgment
really any abortions designed for the mother’s health.” \textit{Id.} at 172-73. Dr. Nathanson has personally performed more than 5,000 abortions, supervised the performance of at least 10,000 more, and was responsible for 60,000 more as director of the world’s busiest abortion clinic in New York City in the early 1970s. \textit{Id.} at 169. The Supreme Court has called Dr. Nathanson “a widely experienced abortion practitioner.” Planned Parenthood Ass’n v. Ashcroft, 462 U.S. 476, 489 (1983).
See also Hearings, supra note 11, at 194 (statement of Dr. Thomas W. Hilgers, professor of obstetrics and gynecology at the Creighton University School of Medicine): “[T]he overwhelming number of abortions are not being performed for any medical reasons.”); \textit{id.} at 267 (statement of the late Dr. Jasper F. Williams, Sr., chairman of the department of obstetrics and gynecology at Chicago’s Bernard Hospital and a practicing obstetrician/gynecologist): “[T]he number of medical cases in which abortion is an indicated and appropriate part of the treatment is practically nil”; Mecklenburg, \textit{The Indications for Induced Abortion: A Physician’s Perspective}, in \textit{ABORTION AND SOCIAL JUSTICE} 39 (T. Hilgers & D. Horan eds. reprint 1980) (“[T]here are very rare and very individual circumstances which may require therapeutic abortion in order to save the life of the mother.”).
James Burtchaell surveyed the research and expert opinion on this subject and concluded that abortion is medically indicated in 1% of cases, or less. He writes: “Abortion, legal or criminal, serves no one’s health, and is no medical matter—unless those words are stretched beyond their ordinary meanings. In perhaps 99% of present cases it is medical only in virtue of being performed by a physician.” J. BURTCHAELL, \textit{supra} note 185, at 68.
229. See J. BURTCHAELL, \textit{supra} note 185, at 68-72; Mecklenburg, \textit{supra} note 228, at 39-41.
230. This fact has been known for some two decades, and medical opinion has not changed. In 1963, Dr. Myre Sim noted that in 15 years’ experience in Britain “there were no clear psychiatric indications for termination of pregnancy.” Sim, \textit{Abortion and the Psychiatrist}, \textit{Brit. Med. J.} 145 (20 July 1963). Irving C. Bernstein, a professor of both psychiatry and obstetrics/gynecology at the University of Minnesota, stated: “From the psychiatric point of view of the psychiatrist, there are no indications for recommending therapeutic abortions.” \textit{Abortion—Part 2: Hearings Before the Subcomm. on Constitutional Amendments of the Comm. on the Judiciary}, 93d Cong., 2d Sess. 335, 336 (1974). Dr. Sim has written more recently that “the ‘mental’ argument has no basis as an indication for abortion.” Sim & Neisser, \textit{Post-Abortive Psychosis: A Report From Two Centers}, in \textit{THE PSYCHOLOGICAL ASPECTS OF THE ABORTION} 11 (D. Mall ed. 1979).
Dr. Bernard N. Nathanson, as founder of the National Abortion Rights Action League, was a leading advocate of using loopholes in liberalized state abortion laws to get abortions performed on what were claimed as “psychiatric” grounds. He now admits this practice was completely fraudulent. B. NATHANSON, \textit{ABORTING AMERICA} 191, 240-41 (1979).
231. Dr. Nathanson has testified that abortion “can be likened best to cosmetic surgery where a woman will visit the plastic surgeon and tell him what she wishes to have done.” \textit{Hearings, supra} note 11, at 172.
232. See, e.g., Scott v. Wilson, 396 S.W.2d 532 (Tex. Civ. App. 1965), aff’d sub nom. Wilson v. Scott, 412 S.W. 2d 299 (Tex. 1967).
are obviously less important within the abortion context than with most other medical procedures. For these reasons, the reasonable patient model is particularly appropriate.
The reasonable patient model suggests what courts have recognized in the past: the abortion decision is made on the basis of a whole host of factors that have essentially nothing to do with medicine. Justice Blackmun’s majority opinion in *Roe* recognized this and listed some of the relevant factors,\(^{233}\) while Justice Douglas’ concurring opinion in *Doe* listed others.\(^{234}\) Most of these factors are non-medical in nature. The Court has, therefore, adopted a definition of “health” as meaning “relating to well-being” in the broadest possible sense.\(^{235}\) This should not be taken, however, to mean, as the Court apparently has, that the physician’s particular medical judgment and discretion is any more relevant or central. As one commentator has stated, the Court in *Roe* “justified the expansion of the right [of privacy] on the basis of the significant impact on the lifestyle of the woman if she were denied the choice to have an abortion.”\(^{236}\)
The Court’s dichotomous definition of “health” lies at the heart of its inappropriate review of informed consent statutes. The Court defines “health,” as it relates to a woman’s decision whether to have an abortion, so broadly as to mean general well-being or lifestyle preference, thus including a broad array of non-medical considerations. However, the Court defines the same term, as it relates the state’s interest in maternal health underlying certain regulations, very narrowly. This latter definition is limited to physical health and risk of death, thus encompassing only a small range of strictly medical factors. In *Roe*, the Court placed the point at which the state’s interest in maternal health becomes compelling at the end of the first trimester “because of the now-established medical fact . . . that until the end of the first trimester mortality in abortion may be less than mortality in normal childbirth.”\(^{237}\) On its face, a “fact” that something “may be” true hardly seems sufficient as a basis for a constitutional rule. In the abortion context, this denies the state virtually any opportunity to safeguard maternal health (broadly or narrowly defined) during the period when more than ninety percent
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\(^{233}\) *Roe*, 410 U.S. at 153.
\(^{234}\) *Doe*, 410 U.S. at 214-15 (Douglas, J., dissenting).
\(^{235}\) See supra note 199 and accompanying text.
\(^{236}\) Comment, *The Right to Choose An Unproven Method of Treatment*, 13 Loy. L. A. L. Rev. 227, 230 (1979).
\(^{237}\) *Roe*, 410 U.S. at 163 (emphasis added).
of abortions are performed—the first trimester. Maternal mortality from abortion continues nonetheless, as does the real debate over which method of pregnancy termination, abortion or childbirth, is actually safer for most women. That abortion is safer for women in the first trimester can hardly be said to be the established medical fact the Court thought it was in 1973. More importantly, the Court's radical definitional dichotomy is nowhere justified in any of its abortion decisions. The Court's emphasis on the state's interest in maternal health as the basis for informed consent requirement, coupled with its failure to appropriately apply the "unduly burdensome" test, will severely limit the state's ability to ensure the integrity of the abortion decision-making process.
Medical complications in the physical, emotional/
238. See Kaunitz, Causes of Maternal Mortality in the United States, 65 Obstet. & Gynecol. 605 (1985).
239. Some researchers claim that abortion is safer than childbirth. See, e.g., LeBolt, Mortality from Abortion and Childbirth, 248 J.A.M.A. 188 (1982). As a rejoinder to this article, see Laska, Mortality From Abortion and Childbirth, 250 J.A.M.A. 361 (1983).
Several factors must be noted to put this issue in better perspective. First, evidence exists that abortion mortality is underreported. Eleven deaths from abortion were reported to the abortion surveillance unit of the Centers for Disease Control in 1978. Hearings, supra note 11, vol. 2, at 602. An investigation of just four Chicago abortion clinics in 1978, however, turned up 12 abortion deaths that had never been reported. Zekman & Warrick, 12 Die After Abortions in State's Walk-in Clinics, Chicago Sun-Times, Nov. 19, 1978. Political scientist Hadley Arkes comments: "If, as we suspect, the experience in Chicago can find modest duplication in New York, Detroit, Los Angeles and other cities, the total deaths due to legal abortion may now exceed the number of deaths that were thought to occur each year as a result of illegal abortions." H. ARKES, THE PHILOSOPHER IN THE CITY: THE MORAL DIMENSIONS OF URBAN POLITICS 437 (1981). See also Senate Comm. on the Judiciary, Human Life Federalism Amendment, S. No. 465, 97th Cong., 2d Sess. 39-40 (1982).
Second, the formulas used to compare maternal mortality from childbirth and from abortion may be biased to show more favorable results for abortion. See 129 Cong. Rec. S9270-71 (daily ed. June 28, 1983) (affidavit of Dr. Richard G. Moutvic M.D., Professor, Loyola University, Stritch School of Medicine). See also Hilgers & O'Hare, Abortion Related Maternal Mortality: An In-Depth Analysis in NEW PERSPECTIVES ON HUMAN ABORTION 90 (T. Hilgers, D. Horan & D. Mall eds. 1981): "In comparing the relative risk of natural pregnancy versus that of legal abortion, natural pregnancy was found to be safer in both the first and second 20 weeks of pregnancy. The data used in this comparison are thought to be more accurate than previously compiled comparisons done in the traditional fashion." Cf. Cates, Smith, Rochat, & Grimes, Mortality from Abortion and Childbirth: Are the Statistics Biased? 248 J.A.M.A. 192 (1982).
240. See A. Saltenberger, Every Woman Has a Right to Know the Dangers of Legal Abortion 27-133 (3d ed. 2d printing 1983); Barrett & Guidotti, Induced Abortion: A Risk Factor for Placenta Previa, 141 Am. J. Obstet. Gynecol. 257 (1981); Beller, Douglas, Kulker & Rosenberg, Consumptive Coagulopathy Associated with Intra-Amniotic Infusion of Hypertonic Sal, 112 Am. J. Obstet. Gynecol. 534 (1972); Beric, Kupresanin & Kapor-Stanulovic, Accidents and Sequelae of Medical Abortions, 116 Am. J. Obstet. Gynecol. 813 (1973); Bulfin, Complications of Legal Abortion: A Perspective From Private Practice, in NEW PERSPECTIVES ON HUMAN ABORTION 145 (T. Hilgers, D. Horan & D.
psychological, and reproductive capability categories do occur.
Mall eds. 1981); Bulfin, *A New Problem in Adolescent Gynecology*, 72 S. Med. J. 967 (1979); Burkman, Atlenza & King, *Culture and Treatment Results in Endometriosis Following Elective Abortion*, 128 Am. J. Obstet. Gynecol. 556 (1977); Ferrari & Shollenberger, *Abdominal Wall Endometriosis Following Hypertonic Saline Abortion*, 238 J.A.M.A. 56 (1977); Hilgers, *The Medical Hazards of Legally Induced Abortion*, in *ABORTION AND SOCIAL JUSTICE* 57-85 (D. Horan ed. reprint 1980); Iffy, *Letters: Second-Trimester Abortions*, 249 J.A.M.A. 588 (1983); Kimball, Hallum & Cates, *Deaths Caused by Pulmonary Thromboembolism After Legally Induced Abortion*, 132 Am. J. Obstet. Gynecol. 169 (1978); Lowensohn & Hibbard, *Laceration of the Ascending Branch of the Uterine Artery: A Complication of Therapeutic Abortion*, 118 Am. J. Obstet. Gynecol. 36 (1974); Nemeo, Prendergast & Trumbauer, *Medical Abortion Complications: An Epidemiologic Study at a Mid-Missouri Clinic*, 51 Obstet. Gynecol. 433 (1978); Panayotou, Kaskarels, Mettinen, Trichopoulos & Kalandidi, *Induced Abortion and Ectopic Pregnancy*, 114 Am. J. Obstet. Gynecol. 507 (1972); Rubin, Cates, Gold, Rochat & Tyler, *Fatal Ectopic Pregnancy After Attempted Legally Induced Abortion*, 244 J.A.M.A. 1705 (1980); White, Coe, Dworsley & Margolis, *Disseminated Intravascular Coagulation Following Midtrimester Abortions*, 58 ANESTHESIOLOGY 99 (1983); cf. Cates, *Legal Abortion: The Public Health Record*, 215 SCIENCE 1586 (1982); Grimes, Schultz, Cates & Tyler, *Mid-Trimester Abortion By Dilation and Evacuation: A Safe and Practical Alternative*, 296 NEW ENG. J. MED. 1141 (1977); Wulff, *Elective Abortion: Complications Seen in a Free-Standing Clinic*, 49 Obstet. Gynecol. 351 (1977).
241. See A. Saltenberger, *supra* note 240, at 135-55; S. Krason, *ABORTION: POLITICS, MORALITY, AND THE CONSTITUTION* 327-29 (1984); Sim, *Abortion and the Psychiatrist*, 20 Brit. Med. J. 145 (July-Dec. 1963); Sim, *Abortion and Psychiatry*, in *NEW PERSPECTIVES ON HUMAN ABORTION* 151, 155-58 (T. Hilgers, D. Horan & D. Mall eds. 1981); Spaulding & Cavenar, *Psychoses Following Therapeutic Abortion*, 135 Am. J. PSYCHIATRY 3 (1978); Tishler, *Adolescent Suicide Attempts Following Elective Abortion: A Special Case of Anniversary Reaction*, 68 PEDIATRICS 670 (1981); cf. Ewing & Ravse, *Therapeutic Abortion and a Prior Psychiatric History*, 130 Am. J. PSYCHIATRY 37 (1973); Ford, Castenuovo-Tedesco & Lorg, *Abortion: Is It a Therapeutic Procedure in Psychiatry?*, 218 J.A.M.A. 1173 (1971); Greenglass, *Therapeutic Abortion and Psychiatric Disturbance in Canadian Women*, 21 CANADIAN PSYCHIATRIC A.J. 453 (1976).
242. See 129 Cong. Rec. S9270-72 (daily ed. June 28, 1983) (affidavit of Dr. Richard Moutvice); Daling & Emanuel, *Induced Abortion and Subsequent Outcome of Pregnancy in a Series of American Woman*, 297 NEW ENG. J. MED. 1241 (1977); Funderburk, Guttrie & Meldrum, *Suboptimal Pregnancy Outcome Among Women with Prior Abortions and Premature Births*, 126 Am. J. Obstet. Gynecol. 55 (1976); Harlap & Davies, *Late Sequelae of Induced Abortion: Complications and Outcome of Pregnancy and Labor*, 102 Am. J. EPIDEM. 217 (1975); Harlap, *A Prospective Study of Spontaneous Fetal Losses After Induced Abortions*, 301 N. ENG. J. MED. 677 (1979); Kline, Stein, Susuey & Warburton, *Induced Abortion and Spontaneous Abortion: No Connection?*, 107 Am. J. EPIDEM. 290 (1978); Kline, *Induced Abortion and Subsequent Outcome of Pregnancy in a Series of American Women*, 297 NEW ENG. J. MED. 1241 (1977); *Latent Morbidity After Abortion*, BRIT. MED. J. 506 (3 March 1973); Lembrych, *Fertility Problems Following an Aborted First Pregnancy*, in *NEW PERSPECTIVES ON HUMAN ABORTION*, 128, 128-34 (T. Hilgers, D. Horan & D. Mall eds. 1981); Levin, Schoenbaum, Marisun, Stubblefeld & Ryan, *Association of Induced Abortion with Subsequent Pregnancy Loss*, 243 J.A.M.A. 2495 (1980); Madore, *A Study on the Effects of Induced Abortion on Subsequent Pregnancy Outcome*, 139 Am. J. Obstet. Gynecol. 516 (1981); Pantelakis, Papadimitraus & Dexiadias, *Influence of Induced and Spontaneous Abortions on the Outcome of Subsequent Pregnancies*, 116 Am. J. Obstet. Gynecol. 799 (1973); Quick, *Liberalized Abortion in Oregon: Effects on Fertility, Prematurity, Fetal Death, and Infant Death*, 68 AM. J. PUBLIC HEALTH 1003 (1978); Richardson & Dixion, *Effects of Legal Termination on Subsequent Pregnancy*, 29 BRIT. MED. J. 1303 (May 1976); Schoenbaum,
with some frequency, justifying a requirement that physicians inform their patients about the medical complications and risks of abortion. The common law imposes just such a requirement, even with respect to abortion. In *Reynier v. Delta Women's Clinic, Inc.*, for example, Mrs. Reynier sued an abortionist and an abortion clinic after having to undergo a hysterectomy following abortion complications. She alleged that the physician should have informed her that uterine perforation was a possible risk of suction abortion. The court described several elements which the plaintiff would have to prove for the doctrine of informed consent to apply, including the principle that the physician must describe "all risks which reasonably tend to affect the patient's decision." The court concluded that uterine perforation was a normal risk of abortion and, hence, should have been revealed. The astonishing result of the Supreme Court's decision in *Thornburgh* is that the common law can require, based on the reasonable patient model, that risks of abortion procedures be revealed, but that states are constitutionally forbidden from codifying the same requirement in a statute.
Abortion is not medically indicated but, rather, is prompted by non-medical factors. As Justice Stevens has observed, "the most significant consequences of the decision are not medical in character." Consequences of abortion indeed range far beyond the medical and, therefore, support the reasonable patient model of informed consent. Because indications for and consequences of abortion are largely non-medical, information relating to these considerations will likely be largely non-medical in nature. However, the non-medical nature of the information does not make it less important or less relevant. But if, as the Court held in the rather circular *Thornburgh* opinion, requiring that factual non-medical information is unconstitutional because it is beyond the physician's expertise, then information centrally relevant to the abortion decision will likely never reach the women who supposedly
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*Outcome of the Delivery Following an Induced or Spontaneous Abortion*, 136 Am. J. Obstet. Gynecol. 19 (1980); Trichopoulos, Handanus, Danezis, Kalandidi & Kalaputhlzi, *Induced Abortion and Secondary Infertility*, Brit. J. Obstet. Gynaecol.; Wynn & Wynn, *Some Consequences of Induced Abortion to Children Born Subsequently*, 4 Marriage & Family Newsletter (Feb.-April 1973).
243. 359 So. 2d 733 (La. App. 1978).
244. *Id.* at 737.
245. *Id.* at 737-38.
246. *Id.* at 737.
247. Planned Parenthood v. Danforth, 428 U.S. 52, 103 (1976) (Stevens, J., dissenting).
have the right of choice in the first place. It is the reasonable patient model, with its touchstone of materiality, that allows for or can require the disclosure of relevant though non-medical information by the physician.
This discussion leads to two conclusions. First, the Court's insistence on the reasonable physician model is misplaced since so much of what goes into and results from the abortion decision is non-medical in nature. Second, the Court's hostility to state measures designed to ensure informed consent is inappropriate. This conclusion is true for several reasons. First, it prevents relevant non-medical information from entering into each woman's consideration. Second, it prevents medical information about factors relevant to the decision but not directly related to the woman's own health from being considered. Finally, it looks at the physician's discretion rather than the woman's decision. As Justice Stevens has stated:
even doctors are not omniscient; specialists in performing abortions may incorrectly conclude that the immediate advantages of the procedure outweigh the disadvantages. . . . In each individual case factors much more profound than a mere medical judgment may weigh heavily in the scales. The overriding consideration is that the right to make the choice be exercised as wisely as possible."248
The nature of abortion, its indications, and consequences support the reasonable patient model of informed consent. The many non-medical factors involved and the nature of the right as one of personal choice also argue for this model. The Court's "unduly burdensome" standard is also fully consistent with this model, because it keeps the focus on the woman and her right of choice, and avoids making physicians' preferences or comfort the touchstone of constitutionality. The reality of the context in which the abortion right is exercised makes this all the more important.
C. The Abortion Context
The final piece to the puzzle is an assessment of the reality of the context in which the abortion right is sought to be exercised. The Supreme Court has placed obvious emphasis on real-life situations when creating the abortion right in the first place. Its broad definition of "health" testifies to this. This examination of the real context in which the abortion right is sought to be exercised is, then, particularly appropriate. It supports the developing conclusion that
248. Id. at 104.
the Court's assumption of thorough physician involvement in the abortion decision is illusory. Rather, the reality of this context supports the reasonable patient model of informed consent because the physician is rarely, if ever, involved in the decision-making. As the court in *Fitzpatrick* observed, informed consent requirements are suggested "by the realities of the system that provides abortions."249 Especially in free-standing abortion clinics, which perform a large majority of abortions, the physician is a technician only. Those settings are not places in which to decide whether or not to get an abortion; they are settings in which to have the actual abortion performed. No one goes to the grocery store to decide whether or not to buy groceries. People go to grocery stores to buy groceries after having made their decision to do so. Likewise, abortionists sell abortions. The Supreme Court's hostility to state measures protecting some minimal level of decision-making integrity is based on a skewed vision of reality.
The Court's abortion decisions repeatedly reflect a view that the physician either is or ought to be involved in both the making and the effectuating of the abortion decision.250 Reality is much different. The physician actually participates in the making of the abortion decision in perhaps only one percent of the cases.251 Despite its professed preference for physician involvement in the 1983 *Akron* decision, the Court actually began to hold that no physician need be involved in the decision-making at all. Because other personnel can do this, the physician need only ensure that some disclosure is made.252
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249. Planned Parenthood v. Fitzpatrick, 401 F. Supp. 554, 587 (1975).
250. See, e.g., Akron v. Akron Center for Reproductive Health, 462 U.S. 416, 427 (1983); Colautti v. Franklin, 439 U.S. 379, 387 (1979); Planned Parenthood v. Danforth, 428 U.S. 52, 61 (1976); Roe v. Wade, 410 U.S. 113, 164 (1973). See also Stone, supra note 5, at 580: "The language of the [Roe] decision throughout misleadingly suggests that some crucial sort of medical judgement is involved not only in how the abortion is performed but whether the pregnancy 'should be terminated.'" Id.
251. 129 CONG. REC. S9124 (daily ed. June 27, 1983). See also Hearings, supra note 11, at 172 (Testimony of Dr. Bernard N. Nathanson: "The doctor is nothing more than an instrument of her will . . . . There is no physician input into the decision making process in permissive abortion. . . . The physician is not involved in decision making here."); Nathanson, Deeper Into Abortion, 291 NEW ENG. J. MED. 1189, 1189 (1974) ("The phrase between a woman and her physician' is an empty one since the physician is only the instrument of her decision."); Stone, supra note 5, at 581 ("The physician is more appropriately characterized as a technician in an assembly line than an attending physician."); Zekman & Warrick, The Abortion Lottery, Chicago Sun-Times, Nov. 14, 1978, at 1, col. 1 ("When a woman goes to an abortion clinic, she entrusts her body to strangers—doctors she knows nothing about, doctors she has never met.").
252. Akron, 462 U.S. 416, 448-49 (1983).
The reality, again, is different. The problem is not so much *who* gives out information; the problem is that no one gives it out at all or, if someone does, inadequate information is given. Women receive little counseling or information when making the abortion decision, particularly in the many free-standing clinics which exist for the sole purpose of performing abortions for profit. This assertion should not surprise many people and some courts have actually recognized this fact. On the basis of stipulated facts, one court noted:
Women who undergo abortions are not always told of the alternatives to abortion or of the full nature and effect of the procedure they will undergo. . . . In fact, some of the women who undergo abortions would not have had an abortion if they were provided with all the information to be provided by the [statute being challenged].\(^{253}\)
Dissenting from the invalidation of a rather detailed informed consent statute, a federal appellate judge wrote:
The evidence presented at trial showed that the decision to terminate a pregnancy was made not by the woman in conjunction with her physician, but by the woman and lay employees of the abortion clinic, the income of which is dependent upon the woman's choosing to have an abortion. The testimony disclosed that the doctors at [the] clinic did little, if any, counseling before seeing the patient in the procedure room.\(^{254}\)
Similar situations have been cited in the popular media and well-documented by researchers.\(^{255}\)
Under these conditions, disclosure of information making abortion a more attractive option is much more likely than disclosure of information making it less attractive. Again, this assertion should surprise no one. An abortion clinic sells abortions. Information downplaying the attractiveness of this product and suggesting that other options are more readily available than a woman might have thought are hardly likely to be presented absent some incentive. Informed consent statutes can play this role.
The picture that emerges is of a procedure performed by medical personnel, for their own profit, which is not medically indicated but is instead the product of many non-medical factors and about
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253. American College of Obstetricians & Gynecologists v. Thornburgh, 552 F. Supp. 791, 799 (E.D. Pa. 1982).
254. Akron Center for Reproductive Health v. City of Akron, 651 F.2d 1198, 1217 (6th Cir. 1981) (Kennedy, J., concurring in part and dissenting in part).
255. In 1978, Pamela Zekman and Pamela Warrick conducted a five-month investigation of four abortion clinics in Chicago, sponsored by the Chicago Sun-Times and the Better Government Association. The results became a Pulitzer Prize-winning series, *The Abortion Profiteers*, appearing in the Sun-Times during November 1978.
which little information (especially information which would enhance other options, make abortion less attractive, or is largely non-medical) is voluntarily made available. This picture is fully consistent with, and even demands application of, the reasonable patient model of informed consent.\textsuperscript{256} This model increases, rather than decreases, the state's interest in ensuring the integrity of the abortion decision by having certain information considered when that decision is made.\textsuperscript{257} It decreases, rather than increases, the physician's involvement and the deference to be given his judgment. Finally, this model supports using the same broad definition of "health" to justify informed consent provisions as is used to describe a woman's reasons for choosing abortion. The former should respond to the latter.
V. A New Framework
It is apparent that the Supreme Court's approach to informed consent statutes in the abortion context is inappropriate. By using the effect of informed consent requirements on the physician's discretion as the touchstone of constitutionality, this approach ignores traditional jurisprudence on public control of the medical profession as well as the role of the state and trend in the law of informed consent generally. By failing to apply the unduly burdensome test with proper reference to the true nature of the abortion right, the nature of abortion, and the reality of the abortion context, the Court improperly invalidates many legitimate informed consent provisions. Furthermore, this approach unnecessarily prevents states from protecting the integrity of the abortion decision-making process and from properly asserting important state interests in maternal health and preborn life.
A framework which takes these factors into account would include four basic elements. The first is a focus on the woman, rather than a focus on the physician. Physicians enjoy no independent
\textsuperscript{256}. See supra notes 155-172 and accompanying text. Professor Stone writes that "to the extent [Roe and Doe] involved factual inferences about medical standards and medical practice—inferences which suggested a context for the decision, inferences which suggested more limited consequences of the decision, inferences which suggested the realities of medical practice—to that extent, the decision was quite misleading." Stone, \textit{supra} note 5, at 581. He calls Roe and Doe "flawed decisions" and emphasizes that "[i]t was Blackmun and Burger who were out of touch with reality if they honestly believed what they wrote." \textit{Id}. His references above to the context, consequences, and realities of the abortion decision closely resemble the approach taken in this article.
\textsuperscript{257}. See H.L. v. Matheson, 450 U.S. 398, 421-23 (1981) (Stevens, J., concurring); Planned Parenthood v. Danforth, 428 U.S. 52, 103 (1976).
constitutional right to practice medicine free from state interference. Rather, the abortion right belongs solely to the woman and any physician "right" is solely derivative therefrom. The woman's right is one of choice, and informed consent provisions should be evaluated strictly with reference to their impact on that interest.\textsuperscript{258} In light of the fact that abortion is most often not medically indicated, the Court should emphasize criteria such as the autonomy of the woman, the integrity of her decision, and the materiality of information as relevant criteria.
Second, the test for evaluating an informed consent provision should be whether it unduly burdens the abortion right just described. The Court should maintain a distinction between absolute and relative burdens\textsuperscript{259} so that the physician's discretion does not again become the touchstone of constitutionality. Only when a regulation unduly burdens the abortion right should it be subjected to strict judicial scrutiny.\textsuperscript{260}
Third, the determination of whether an informed consent statute unduly burdens the abortion right should be made on the basis of the reasonable patient model. Abortion is not medically indicated in most cases. The Supreme Court has held that a state need not treat abortion like other medical procedures because abortion involves the termination of preborn human life.\textsuperscript{261} The materiality of information to the woman's decision is most important. In addition, because of the profit-making nature of the abortion context and many well-documented instances of manipulation and lack of adequate counseling in that context,\textsuperscript{262} the concern over "the danger that physicians [or their surrogates] will exploit patients by subjecting them to treatment that is not in their best interests"\textsuperscript{263} is
\begin{itemize}
\item \textsuperscript{258} Maher v. Roe, 432 U.S. 464, 473 (1977).
\item \textsuperscript{259} See supra notes 208-23 and accompanying text for an explanation of this distinction. See also Pearson & Kurtz, \textit{The Abortion Controversy: A Story in Law and Politics}, 8 HARV. J.L. & PUB. POL'Y 427, 431, 433 (1985) (distinction drawn between "power investiture" and "burden creation"). Even though the Court does not consistently use the "unduly burdensome" test, it has used this formulation more often in its later cases. Cases involving either state-created obstacles or less burdensome regulations can be analyzed under this test.
\item \textsuperscript{260} Professor Wardle's conclusion is similar. He states that the standard should be that "since (or so long as) as informed consent requirement does not constitute an undue burden or barrier . . . to exercising the right of a pregnancy [sic] woman to choose her course of conduct, the particular statute should be upheld if it is rationally related . . . to a legitimate state interest . . . even if, on close examination, the statute may contain some ambiguous, questionable or unwise provisions." L. WARDLE \textit{supra} note 5, at 92.
\item \textsuperscript{261} See Maher v. Roe, 432 U.S. 464, 480 (1977).
\item \textsuperscript{262} See generally supra notes 249-255 and accompanying text.
\item \textsuperscript{263} Comment, \textit{Informed Consent: From Disclosure to Patient Participation in Medical Decisionmaking}, 76 NW. U.L. REV. 172, 175 (1981).
\end{itemize}
acutely real. The district court in *Danforth* upheld the general requirement of obtaining written informed consent because it "insures that the pregnant woman retains control over the discretions of her consulting physician."264
The Supreme Court's commercial speech decisions increasingly emphasize that more, rather than less, disclosure is necessary in a consumer/contract environment. Abortion services are sought and delivered in just such an environment. As long as information is not false or deceptive, it should be provided whether or not the professional involved would prefer otherwise. It may be that either the form or content of information required by a particular informed consent provision makes compliance unduly burdensome because the information is factually incorrect, deceptive, or inflammatory in nature. These may constitute *undue* burdens. But when information simply affects a decision, or has a potential for making one or the other option more or less attractive, no reason for constitutionally forbidding its disclosure exists. Physicians can remain free, as under the *Akron* ordinance, to make the required standardized information more relevant to individual patients' situations.
Finally, this framework should utilize a definition of "health" as a basis for informed consent provisions consistent with the breadth given to that term when used with reference to the exercise of the abortion right itself. Most of the indications for and many of the consequences of abortion are non-medical but yet are highly relevant to a woman's lifestyle and overall well-being. It makes no sense to continue imposing this unjustified radical dichotomy of definitions. The information about alternatives such as financial assistance for the childbirth option, risks, and the like required by the statutes the Supreme Court invalidated in *Akron* and *Thornburgh*, parallel quite closely some of the very concerns listed in the Supreme Court's opinions that might make women consider abortion.265 A workable doctrinal framework within which to decide
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264. Planned Parenthood v. Danforth, 392 F. Supp. 1362, 1369 (E.D. Mo. 1975).
265. For example, information about the complications of abortion and the risks of the particular procedure to be employed, *Thornburgh*, 106 S. Ct. at 2178, could be weighed against the "harm medically diagnosable" that pregnancy might entail. *Roe*, 410 U.S. at 153. Information about medical assistance benefits for prenatal care, childbirth, and neonatal care, *Thornburgh*, 106 S. Ct. at 2179, would seem particularly relevant to the family concerned about financial inability to care for another child. *Roe*, 410 U.S. at 153. Information about alternatives to abortion like adoption, *Thornburgh*, 106 S. Ct. at 2179, may be very relevant to women who are faced with "a distressful life and future" with another child but who fear the same result were they to live with the knowledge that they have aborted a child. *Roe*, 410 U.S. at 153.
cases involving competing interests, rather than insisting on unprincipled results on the judicial force of *stare decisis* alone, will require a change in the Court's framework.
This framework will allow states to require disclosure of more kinds of information with more specificity than the Court has allowed to date. Accurate information about the preborn child, for example, would likely be permissible. One should again note that the presence of the preborn child makes abortion different from other medical procedures and from other situations involving the right to privacy.\textsuperscript{266} Polls consistently show that women believe life begins at an earlier point than do men\textsuperscript{267} and that new scientific information about the fetus has an impact on attitudes toward abortion.\textsuperscript{268} Whether the fetus is viewed as a "blob of jelly"\textsuperscript{269} or as a recognizable member of the human species with human characteristics and abilities is material to the decision whether to abort it or carry it to term. Such information may be more relevant to women who have not yet finally decided whether to obtain an abortion, but it is important to remember that the choice between abortion and childbirth is the core of the abortion right. The right not to have an abortion is at least as fundamental as the right to have one.\textsuperscript{270} Information about prenatal human development has been widely documented, is commonly understood throughout the medical community, and can readily be put into understandable layman's terms.\textsuperscript{271} The Court's invalidation of the disclosure requirement in *Thornburgh*, because such information may not be relevant to all women, is without justification. The same conclusion may be made
\textsuperscript{266}. \textit{Roe}, 410 U.S. at 159.
\textsuperscript{267}. See Blake, \textit{The Supreme Court's Abortion Decisions and Public Opinion in the United States}, 4 \textit{Human Life Rev.} 64, 73 (Winter 1978); R. Adamek, \textit{ABORTION AND PUBLIC OPINION IN THE UNITED STATES} 6 (1982); S. Rep. No. 465, \textit{supra} note 239, at 48.
\textsuperscript{268}. See Beck, \textit{America's Abortion Dilemma}, \textit{Newsweek}, Jan. 14, 1985, at 22 (results of Gallup poll also showing that 38% of Americans doubt their position on abortion).
\textsuperscript{269}. This is how the fetus is described in many so-called "counseling" sessions at abortion clinics. \textit{See, e.g., Eight Other Women's Stories}, \textit{People}, Aug. 5, 1985, at 83 (account by Loriijo Nerad).
\textsuperscript{270}. \textit{Maher v. Roe}, 432 U.S. 464, 472 n.7 (1977).
\textsuperscript{271}. \textit{See} L.B. Arey, \textit{DEVELOPMENTAL ANATOMY} (7th ed. 1975); G. Bergel & C.E. Koop, \textit{When You Were Formed in Secret} (1980); R. Rugh & L. Shettles, \textit{From Conception to Birth: The Drama of Life's Beginnings} (1971); L. Shettles & D. Rorvick, \textit{Rites of Life: The Scientific Evidence for Life Before Birth} (1983); Blechschmide, \textit{Human Being From the Very First}, in \textit{New Perspectives on Human Abortion} 6-28 (T. Hilgers, D. Horan & D. Mall eds. 1981); Heffernan, \textit{The Early Biography of Everyman}, in \textit{Abortion and Social Justice} 3-25 (T. Hilgers & D. Horan eds. reprint 1980); Koop, \textit{The Right to Live}, 1 \textit{Human Life Rev.} 70 (Fall 1975); \textit{The Beginning of Human Life}, 10 \textit{Studies in Law & Medicine} (1982).
concerning the holding of the court in *Planned Parenthood v. Bellotti* that such information "is not directly material to any medically relevant fact, and thus does not serve the concern for providing adequate medical information that lies at the heart of the informed consent requirement." Materiality to a woman's abortion decision is the heart of the requirement. Non-medical information, or medical information relating to non-medical factors, may yet be highly relevant, even vitally important. As such, a state should have the freedom to require that this information be disclosed so that it may also be considered.
VI. CONCLUSION
The Supreme Court's abortion doctrine is fraught with confusion, stemming from a variety of sources. This confusion is apparent in the area of informed consent to abortion statutes, particularly concerning the Court's willingness to strike down these requirements because of their impact on the physician's discretion. This approach ignores traditional jurisprudence on the public control of the medical profession and the Court's rejection of the notion that physicians have a constitutionally significant right to practice medicine free from state interference. It also ignores the law of informed consent outside the abortion context, and its trend away from the reasonable physician model, which the Court contends is constitutionally mandated within that context, and toward the reasonable patient model, which many compelling reasons support as appropriate for abortion information disclosure. The Court's view that these provisions interfere with the woman's right ignores the nature of that abortion right, the nature, and the abortion context. All of these factors support a framework other than that which the Court has used to date in evaluating the constitutionality of informed consent to abortion statutes. Consideration of these factors would probably produce different results.
Such a framework would focus on the woman rather than the physician, would consistently use the "unduly burdensome" test based on the reasonable physician model, and would use a definition of "health" underlying informed consent requirements which was broad enough to include the integrity of the decision.
This refinement would not only make some sense out of the confusion, and allow more consistent application of identifiable prin-
272. 641 F.2d 1006 (1st Cir. 1981).
273. Id. at 1021.
ples, but it would allow states more room to preserve the integrity of the choice between abortion and childbirth and to pursue its legitimately important interests implicated in that choice.
|
Communities of Practice:
Expanding Professional Roles to Promote Reflection and Shared Inquiry
Patricia W. Wesley and Virginia Buysse, University of North Carolina
The field of early intervention continues to experience challenges in connecting theory and practice, reducing professional isolation, and translating principles into action. An examination of the way we perceive and enact professional roles reveals their limited scope in addressing these challenges. This article introduces the concept of expanding roles to include collaborative reflective inquiry within communities of practice as one way to reform professional practices. We suggest that reflection within communities of practice not only extends our own understanding, insight, and command of the situations in which we work, but also holds the potential to advance the field as a whole.
The construct of role is the primary way to organize conceptually the various responsibilities of professionals in the field of early intervention and education. By defining professional roles and relating them to our goals in serving children and families, we can form a more cohesive picture of the nature of our work than by considering professional competencies, education and training, or job functions alone. An examination of roles reveals that they have evolved rapidly in recent years to reflect changing policies and practices. The early intervention literature, for example, tracks the emergence of roles that are more egalitarian, collaborative, and community focused at a time when services are becoming more inclusive. Although professional roles have expanded to encompass increasingly complex functions, our responsibility to engage in collaborative reflection and inquiry as a way to inform and reform practices is often overlooked in the conceptualization of roles.
Traditional frameworks used to describe professional roles and functions have emphasized the nature of direct services to the child and family (Bailey, 1989; Bricker, 1989; Strain et al., 1992) and the need to plan those services in collaboration with other adults serving the child (Bacon, & Dougherty, 1992; Bruder, 1993; Buysse & Wesley, 1993; File & Kontos, 1992; Gallagher, 1997; Hanson & Widerstrom, 1993; Hutchinson, 1994; Leiber et al., 1997; Ripley, 1998). Increasingly, this collaboration has involved relationships across disciplines and fields and has included a focus on planning and problem solving to enhance service systems (Buysse & Wesley, in press; Buysse, Wesley, & Boone, in press; Buysse, Wesley, & Skinner, 1999; Wesley, 1994).
As reflected by the acceptance of a family-centered philosophy to guide practice, roles in early intervention have evolved first to incorporate a view of the child in the context of the family. Professionals are encouraged to view parents as partners, and family priorities ideally drive services (Bailey, 1996; Bailey, Buysse, Edmondson, & Smith, 1992; Dunst, Trivette, & Deal, 1988). Roles such as family partner, listener, and communicator are cornerstones in professional development and practice in early intervention. Professionals also have begun to view the child and family in the context of the community. The emphasis on forming partnerships to serve children in natural environments and the subsequent move of special educators into community settings have spawned the development of additional roles and functions related to indirect service delivery. Besides the conventional roles of diagnostician, curriculum designer, and intervention provider, early intervention professionals now play the parts of community resource coordinator, services manager, materials broker, childcare consultant, inclusion marketer, community planner, program evaluator, and adult educator (Buysse & Wesley, 1993; File & Kontos, 1992;
Address: Patricia W. Wesley, Frank Porter Graham Child Development Center, Campus Box # 8185, University of North Carolina, Chapel Hill, NC 27599-8185, e-mail: email@example.com
Although professional roles have undergone considerable transformation over a relatively short period of time, reconceptualizations of early intervention roles beyond direct work with children and families have been limited to interdisciplinary collaboration related to service delivery in various contexts. Developing collaborative relationships with new colleagues in community settings is an important first step in supporting the day-to-day implementation of early childhood inclusion, but it does not go far enough to address the challenges and complexities of our work in a dynamic field. Profound changes in the way we view the fundamentals of our work, including redefining who our clients are and where and how we serve them, require a restructuring and reorganization of our individual and collective knowledge. What is missing in current practice is the role and responsibility of participation in a community of people whose goal is to engage in mutual analysis of each other's experiences and observations as a way to continually refine their practice and ultimately contribute to the formal knowledge base. Expanding roles in this way builds on Gallagher's (1998) suggestion to make "teacher craft knowledge the center piece of our efforts to improve both practice and teacher education" (p. 500) and recent recommendations to provide early childhood teachers with additional opportunities to reflect on practice (Bowman, Donovan, & Burns, 2000). It stimulates thinking that is divergent and inductive, rather than convergent and deductive (Kuhn, 1977, cited in Skrtic, 1991), by inviting the ongoing deconstruction and reconstruction of knowledge as a means to interpret new situations and to solve problems with imagination.
The early intervention field could profit in at least three critical areas by the expansion of professional roles to include such reflection and collaborative inquiry: closing the gap between research and practice, reducing the isolation of early intervention practice, and optimizing the translation of principles (e.g., high-quality care and intervention, family-centered values) into concrete policies and practices. A promising approach to this type of shared inquiry and learning is to build communities of practice based on diverse expertise and designed to scrutinize and improve the way we work with children and families in early intervention (Buysse, Wesley, & Boone, in press). The purpose of this article is to examine the concept of purposeful and collective reflection as a strategy for the development of the individual professional and the profession itself. Through this examination, we hope to stimulate dialogue about new ways to enlighten our current practices in early intervention. In the following sections we present a rationale for increased reflection in the field of early intervention and introduce the role of reflective practitioner. We then review the literature on learning organizations and communities of practice and introduce key concepts from these approaches for promoting reflection and inquiry in early intervention. Next we compare the goals, participants, methods, and outcomes of a community of practice with four other models of collaborative inquiry. Finally, we describe various challenges and possible strategies for implementing communities of practice and the implications for transforming professional roles.
**THE NEED TO INCREASE REFLECTION IN EARLY INTERVENTION**
For several decades, the literature on teacher education has advanced with some vigor the practice of reflection as a framework for critical thinking (see Hatton & Smith, 1995). Although definitions of *reflection* have not been used consistently by the theoreticians, researchers, or teacher educators who employ them (Hatton & Smith, 1995; LaBoskey, 1994; Valli, 1992), there is general agreement that *reflection* refers to the ongoing process of critically examining past and current practice to facilitate the development of future action (Han, 1995). According to Schon (1987), for reflection to occur, a professional requires an overarching theory or value with which to compare lived experiences. Research provides evidence for at least four qualitatively distinct forms of reflection: (a) technical examination of one's immediate skills and competencies in specific settings, (b) descriptive analysis of one's performance in a professional role, (c) dialogic exploration of alternative ways to solve problems in a professional situation, and (d) critical thinking about the effects on others of one's actions, considering social, political, and cultural forces (Hatton & Smith, 1995). The ideal end-point in reflective practices is the capacity to apply one or more of these types of reflection to a given situation as it is unfolding (Hatton & Smith, 1995), an undertaking described by Schon (1987) as “reflection-in-action.”
Much has been written about the benefit of reflection to sharpen professionals' perceptions of their usual methods and approaches to challenging situations, both to identify those that are not effective and to reframe them after rethinking the assumptions and understandings that have sustained familiar practices. Entire volumes have been devoted to the analysis of reflective programs and strategies (Clift, Houston, & Pugach, 1990; LaBoskey, 1994; Russell & Munby, 1992; Schon, 1991; Tabachnick & Zeichner, 1991; Valli, 1992). Through reflection, teachers identify gaps between theory and their practices, contrast their practices with those of others in the school, and become aware of discrepancies between their immediate interpretations about what transpires in their classrooms and their retrospective analyses (see Cochran-Smith & Lytle, 1993). New analytic frameworks emerge as well as questions for future inquiry (Howard, 1989).
Studies of reflection have been hampered by the considerable challenge of operationalizing a definition of reflection in research instruments. This, in turn, has made it difficult to develop a means for gathering data and analyzing them to show unequivocally that reflection has taken place. Yet, a notable body of work on this topic exists in this country and internationally. The marked increase in the appearance of the term *reflective practice* in the literature during the past 15 years suggests that reflectivity is becoming an accepted practice in the field of education.
In the field of early intervention, reflection has been addressed, in a somewhat limited way, primarily within the context of seeking individual supervision and mentorship as a first step to developing the disposition, tools, and commitment needed for life-long learning (Fenichel & Eggbeer, 1991; Spielman, 2000; Tertell, Klein, & Jewett, 1998). To expand our understanding of the relevance of reflective practices to the early intervention profession, it may be helpful to consider the notion advanced by Dewey (1933) that the science of education resides in the inquiries of all practitioners. He challenged the field of education to identify the ways in which the function of education could be conducted “with systematic increase of intelligent control and understanding” and urged educators to ponder how educational activities could become “in less degree products of routine tradition . . . and transitory accidental influences” (Dewey, 1929, p. 9, as cited in MacKinnon & Erickson, 1992). Similarly, the rationale for systematic reflective practices in early intervention lies in the belief that child development and disability theory and research are but part of what contributes to effective practices. Knowledge derived from practitioners’ own experiences and observations, coupled with the disposition to question assumptions and practices, is important in the development of individual professionalism and the field as a whole.
In some fields of science (e.g., medicine), individuals function within a scientist-practitioner paradigm, with an understanding of the potential of their work to advance the field as a whole. By contrast, most early interventionists are currently only peripheral participants in the professional education and research communities. For the most part, professional activity consists of applying techniques and methods that have been found by researchers to correlate positively with child and family development and learning. Through systematic reflection, early interventionists would examine their work with children and families through many lenses in a dialectical process, with an awareness of how each experience draws on and in turn shapes their knowledge, beliefs, values, attitudes, and skills.
Drawing from the literature in teacher education, it seems reasonable to expect better practice when early interventionists reflect on themselves in their practice, especially when that reflection occurs within a process of systematic inquiry. Critical inquiry into practice forces practitioners to move into the center of their own doubts (Schön, 1987). As reflective practitioners, early intervention professionals would move from their direct experience of situations that may be puzzling and uncertain through a process of observation, inference, suggestion, intellectualization, and the subsequent testing of hypotheses in practice (MacKinnon & Erickson, 1992). To be optimally productive, this reflection and inquiry would proceed through collaboration with peers, including those from other disciplines and family members who have children with disabilities. To define the role of the reflective practitioner in early intervention, it may be helpful to distinguish among a variety of inquiry-oriented practices, many of which have been developed largely through application in preservice education. LaBoskey (1994) identified three main strategies for reflective practice in teacher education: journal writing and portfolio development, interpersonal interaction with a group or individual (e.g., supervision, coaching, mentoring), and action research. Our conceptualization of reflection in early intervention incorporates key features of each of these strategies.
First, the reflective practitioner systematically records events and reactions to events in everyday practice. Documenting beliefs and perspectives as one goes about one’s profession is a way of expanding the capability of memory alone and assists in the reenactment and reconstruction of experience, which is at the heart of reflective thinking. Second, the reflective practitioner engages in discourse with another person or group so that multiple perspectives can be brought to bear on early intervention issues, thus taking reflection beyond being a means of “personal adjustment” (Bullough, & Gitlin, 1991, p. 39) to one of collective inquiry regarding roles, values, and structures in a larger social and political context. Finally, the role of reflective practitioner in early intervention includes collaboration with researchers, other practitioners, and families as partners in research. Such collaboration provides the opportunity for multiple perspectives to influence the research agenda, to participate in its conduct, to interpret data, and to disseminate findings. As one goal of collaborative inquiry, contribution to the knowledge base represents the full enactment of a complex cycle in which an individual first identifies a question about practice through reflective writing, then engages in a dialogue about that question with other professionals whose collective perspectives may modify the question, and finally develops and implements with the group a plan of research to find a solution to the question. In the next
section, we focus on the notion of promoting collective reflection.
A Framework for Promoting Collective Reflection
Two schools of thought have contributed to the notion that the process of change should be approached as a common knowledge-building process, with reflection and inquiry as the foundation in both. The first is generally referred to as “learning organizations,” and it is widely known in the field of business and organizational development. The second is “communities of practice,” a less well known concept that has recently attracted attention in the field of education.
The Learning Organization
The learning organization is a metaphor for individual self-development within a continuously self-transforming organization (Starkey, 1996). In essence, the sum of individual learning directs the logic of change and creates an organization greater than the sum of its parts. Change is not imposed on the organization by external forces (as in many school reform efforts), nor is it directed internally by the management structure. Indeed, there is no agenda for change in this framework, except as it emerges from individual learning throughout the organization.
The learning organization concept is based, in part, on Donald Schon’s work on reflection, and was first popularized by Peter Senge (1990) in a widely known publication entitled *The Fifth Discipline: The Art and Practice of the Learning Organization*, the subject of numerous critiques within the organizational development literature (see, e.g., Chawla & Renesch, 1995; Flood, 1999; Senge, Kleiner, Roberts, Ross, & Smith, 1994; Senge et al., 1999; Starkey, 1996). Although developed primarily to address the need for innovation and change within the context of organizations, the learning organization framework offers important ideas that may guide the field’s collective struggles to identify effective ways to promote reflection and inquiry in early intervention throughout various organizational structures (e.g., professional organizations, early intervention agencies, professional development programs). It should be noted that the purpose here is to introduce these ideas strictly as a means of stimulating individual and collective thinking about new ways to approach our efforts to build the knowledge base and improve practice.
According to Senge (1990), the core of a successful learning organization is based on five disciplines—life-long programs of study and practice: personal mastery, mental models, shared vision, team learning, and systemic thinking. Reflective practice is central to each of these disciplines.
*Personal mastery* refers to learning that occurs to expand an individual’s capacity to create desired results within an organizational environment that encourages this for all of its members. Personal mastery is achieved by continually clarifying and deepening one’s personal vision. In early intervention, creating a suitable work environment and time for reflection may be the key to helping practitioners develop a personal vision and focus their energies in a positive way toward achieving this vision.
*Mental models* refer to the conceptual structures that drive cognitive processes for creating meaning and making sense of the world. Mental models are internal pictures that can be limiting and self-restricting. For example, the prevailing view of professional development as transferring knowledge from an expert to a novice is a mental model that should be tested within a framework of reflection and inquiry to determine how this view shapes our actions and decisions.
*Shared vision* consists of shared core values and a common sense of purpose. In the absence of a shared vision, members of an organization lack the principles and guiding practices needed to achieve purpose. Promoting a shared vision in early intervention could mean fostering risk taking and experimenting with new ideas (e.g., developing a new mentoring program, expanding services to include community settings, creating opportunities for parent leadership) for the purpose of expanding the field’s capacity to shape its future and define new practices.
The goal of *team learning* is to align people’s thinking and energies through dialogue—to transform the collective thinking of individuals into something bigger than the sum of its parts. Senge (1990) argued that the discourse associated with successful team learning must achieve a delicate balance between discussion, where different viewpoints are presented and defended to support a decision, and dialogue, where people suspend their views to enter into deep listening as a means of exploring the mental models of others. Although working in teams is a familiar concept in early intervention, this distinction between discussion and dialogue as a means of encouraging reflection and inquiry has not been adequately explored. Presently, teaming in early intervention primarily focuses on the needs and priorities of children and families.
Finally, the discipline of *systemic thinking* provides a language for describing and understanding the forces and behaviors that shape entire systems. It integrates all five disciplines into a combined approach characterized by building a community in which it is safe and acceptable to engage in generative conversation and experimentation with new ideas. We now introduce the second school of thought—communities of practice—an innovative approach that is perhaps more relevant for promoting reflection and inquiry in early intervention.
**Communities of Practice**
Although it bears some resemblance to the organizational learning approach, the community of practice framework did not originate in the organizational development field and appears to be a less widely known concept. The notion of community of practice was first used by researchers to describe the way in which meaning was negotiated and reflected on in the practices of specific occupational groups (e.g., architects, physicians, tailors, performing artists; Brown & Duguid, 1991; Lave & Wenger, 1991). Like learning organizations, a community of practice (sometimes referred to as a “learning community”) emerges from a common desire among its members to achieve change (i.e., improve existing practices); it provides regular opportunities for collaborative reflection and inquiry through dialogue; and ultimately, it develops common tools, language, images, roles, assumptions, understandings, and a shared world view (Englert & Tarrant, 1995; Marshall & Hatcher, 1996; Rogoff, 1994; Stamps, 1997; Westheimer & Kahne, 1993). One way in which the approaches differ is in the ability of communities of practice to transcend organizational and geographic boundaries. Members of a community of practice may represent a variety of backgrounds and organizations, but there exists a common set of core issues (e.g., developing and evaluating consultation strategies, discovering the best way to conduct program evaluations, defining school readiness) that binds the members together into a single community. Another important distinction concerns the emphasis placed by communities of practice on sharing new knowledge and products that emerge over time with the broader education community and the field at large.
In education, the emphasis has shifted from *describing* various communities of practice to *creating* communities for the purpose of improving practice, particularly as it relates to professional development (Palincsar, Magnusson, Marano, Ford, & Brown, 1998). Communities of practice originated in response to several barriers to professional development that were thought to exist within the culture of U.S. schooling and within the very institutions of higher learning responsible for preparing practitioners—the separation of research and practice, the isolated nature of teaching, and the lack of agreement about what constitutes recommended practices. These barriers also exist in the early intervention field and contribute to a lack of collegiality, intellectual stimulation, and professional support. Within traditional models of personnel preparation, for example, it is not uncommon to expect students to apply research-based knowledge to the problems of everyday practice with only very limited opportunities for practicum and field-based experiences.
Communities of practice share key elements with other models of collaborative inquiry, but are also distinct from these approaches in several important ways. Table 1 contrasts the goals, participants, methods, and outcomes of communities of practice, learning organizations, action research, learning communities in higher education, and professional development schools. Common to all is the emphasis on increased interactive dialogue among professionals about professional knowledge and practice. Ongoing reflection and inquiry are core practices in each model, as is the notion that by improving what and how they learn, participants create positive outcomes that extend beyond their own learning. As Table 1 indicates, models of collaborative inquiry differ in their scope—who participates and whether the goal is short term and local or long term and public. In learning organizations, action research, learning communities in higher education, and professional development schools, participation by families and other consumers is rare. Communities of practice offer perhaps the greatest promise in terms of achieving diverse expertise and making an impact on the field because the approach recognizes that many concerns related to children and families do not fall neatly into functions or disciplines (Senge, 1990) and cannot be addressed without representation from multiple disciplines and interests.
**Implementing Communities of Practice in Early Intervention**
How might the early intervention field begin incorporating a community of practice framework to shape the future and define new practices? First, we must acknowledge that we have much to learn about the specific mechanisms by which we might transform traditional views of teaching and learning (in which practitioners are viewed as recipients of knowledge) into learning communities (in which practitioners are viewed as co-producers of knowledge; Buysse, Wesley, & Boone, in press; Englert & Tarrant, 1995). Palincsar, Magnusson, Marand, Ford, and Brown (1998) suggest that designers of professional development programs take the lead in building communities from the ground up—bringing together diverse expertise (i.e., parents, university faculty, researchers, policymakers, administrators, service providers) and introducing them to an inquiry-based approach that first explores the meaning of a community of practice. Over time, the goal is to develop shared practices and orientations (e.g., services are inclusive, family centered, culturally sensitive) and to commit to a process
### TABLE 1. Models of Collaborative Inquiry
| Model | Goal | Participants | Methods | Outcome |
|----------------------------------------------------------------------|----------------------------------------------------------------------|------------------------------------------------------------------------------|------------------------------------------------------------------------|-------------------------------------------------------------------------|
| Community of practice | To engage in systematic collaborative discourse, reflection, and inquiry for the purpose of improving professional development and practice and contributing to the field at large | Members with diverse expertise and experience who transcend organizational, disciplinary, and geographic boundaries include families and consumers | Group reflects on professional practice, identifies a set of core issues or concerns, and employs a variety of methods to explore those concerns, including empirical research and ongoing reflection | Coconstruction of the professional knowledge base by researchers, practitioners, and consumers |
| (Lave & Wenger, 1991; Palincsar et al., 1998; Stamps, 1997) | | | | Improved services for children and families |
| | | | | Public dissemination of findings, products, and processes |
| Learning organizations | To promote organizational change and improvement through collective individual learning | Limited to members of a specific organization | Individual and group reflection organized within five disciplines, personal mastery, mental models, shared vision, team learning, and systematic thinking | Transforms organizations into communities in which it is acceptable to engage in generative conversations and experimentation with new ideas |
| (Senge, 1990; Starkey, 1996) | | | | |
| Participatory action research (individual and participatory) | To engage in systematic disciplined inquiry for the purpose of improving teaching, learning, and schooling | Primarily limited to school personnel and university members | Standard qualitative and quantitative research methods applied to a specific area of focus | Provides new knowledge and improves school practice in the area of focus |
| (Calhoun, 1994; Cochran-Smith & Lytle, 1993 Patterson, et al., 1993; Sagar, 1992) | | | | Improves school's organization as a problem-solving entity |
| Learning communities in higher education | To link existing courses or restructure curricular material in higher education so that learners have a deeper understanding and integration of the material | University students and faculty | Courses linked by common theme, historical period, issue, or problem; linkages can be within a major or interdisciplinary | Students connect academic work with active and increased intellectual interaction with each other and with faculty |
| Professional development schools | To connect what student teachers learn in the classroom with practices in the school setting | Primarily limited to school personnel, university staff, student teachers | A variety of strategies build partnerships between the participating schools and university, promote learning from one another, and improve education at all levels. | Joint activities lead to better preparation of students for the real world of professional practice School improvements Continuing education for professionals |
| (Book, 1996; Darling-Hammond, 1994; Holmes Group, 1990; Kochan & Kunkel, 1998; Murray, 1993) | | | | |
of studying and questioning those practices and orientations in an ongoing way in order to refine them when necessary. This idea could be extended easily to include the research and policy arenas as well as professional development. Indeed, the ideal community of practice incorporates diverse expertise to bring together research, policy, and practices in a way that is both meaningful and relevant to all participants—something that is almost impossible to achieve through more contrived, one-dimensional approaches (e.g., a theory-to-practice journal, a set of written recommended practices).
In early education and intervention, we envision communities of practice taking many different forms (Buysse, Wesley, & Boone, in press). Childcare staff, parents, early intervention consultants, and other specialists will engage in dialogue and reflective inquiry to explore the meaning of embedding interventions in community and family activities. Students, university faculty, field supervisors, and parents will meet monthly to discuss what it means to individualize inclusion. Policymakers, parents, researchers, medical personnel, and practitioners will work together to examine developmental practices in neonatal intensive care units and to improve practices and policies affecting children's transitions from hospital to home. Early interventionists, preschool and kindergarten teachers, parents, and public school special education administrators will use their experiences and perspectives to illuminate their understanding of school readiness and investigate the impact of school readiness assessment on children with disabilities. Each of these examples acknowledges the value of involving families and practitioners as co-constructors of knowledge and creates a mechanism for shared inquiry and learning as a means of improving practice. Fostering communities of practice within college classrooms and community-based settings requires a shift in power and philosophy and the creation of a common language to communicate new ideas. As the field moves in this direction, a number of challenges must be addressed.
**Challenges and Opportunities**
The goal of creating communities in early intervention for the purpose of shared reflection on practices will not be easy to attain. In many respects, the entire enterprise of shared inquiry and reflection at various levels throughout early intervention represents an area that is ripe for future research. Numerous obstacles are apparent—from those related to the logistics of creating and sustaining communities of practice to tensions that exist between a reflective orientation and the emphasis on technical skills as the foundation for our work (Skrutte, 1991). In this section, we describe several such challenges and offer ideas for turning these challenges into opportunities for change.
1. **Making reflection a shared value in early intervention.** Aside from recent suggestions to promote supervision and mentorship within the context of professional development, reflection does not appear to be a shared value in early intervention. The current emphasis on identifying and disseminating recommended practices in our field, for example, is somewhat removed from conflicts between theory and practice and may not recognize the tension between institutional ideals and workplace realities. A reflective orientation demands an ideology of early intervention substantially different from that traditionally employed. Because the focus of early intervention practice historically has been on identifying immediate and pragmatic strategies to produce child progress and support families, it is conceivable that reflection could be perceived as an unnecessary diversion from mastering essential technical skills and content. Such resistance to demands for reflection has been noted in the literature on teacher education (Hatton & Smith, 1995; Valli, 1992; Zeichner, 1990).
One approach that we have applied in our own work to overcome this obstacle is to introduce the community of practice framework to groups of practitioners who are already meeting—for example, a group of early intervention consultants who meet regularly to discuss various aspects of their work. By providing written material in advance and organizing a meeting to introduce the notion of collaborative inquiry and learning, we have engaged participants in discussions of the group's reflective process. The format of the introductory meetings has been flexible. Sometimes we have employed a focus group approach that targets a few questions; at other times we have used an informal conversational structure to identify topics that lend themselves to a reflective orientation and to explore how group members might begin to study and share their day-to-day experiences and insights in a new way.
The first step in making reflective practice a shared value is a fundamentally simple one: Begin a dialogue about it with members of an early intervention community. This can be accomplished through a variety of strategies, including face-to-face meetings, Internet communication groups, dialogues through published literature, and cracker barrels or special strands at professional conferences.
2. **Incorporating a community of practice framework into existing professional development programs.** Another challenge is incorporating a community of practice orientation into existing professional development efforts. In early intervention, we face the same hazard as that described by Schön (1983) for teachers of older children, namely the deadening effects of seeing the same kinds of situations over and over again and after awhile, seeing only what we come to expect. How do we design professional development tools, experiences, and environments that support and encourage students and practitioners to employ reflective practice strategies?
In many ways, the field has already begun to apply community of practice principles to professional development efforts. In early education and intervention, the distinction between inservice and preservice training is beginning to blur (McCollum & Catlett, 1997). As a result, professional development activities now frequently include both preservice students and practitioners, as well as family members, administrators, and a variety of other interested participants. Including participants with diverse expertise and applying a reflective orientation will transform professional development from "a research to practice" paradigm to a model in which research and practice are no longer viewed as separate endeavors, but as intrinsically interdependent. One way to build shared inquiry and reflection into existing preservice training efforts is to create communities of practice in conjunction with students' field experiences and practice. Forming partnerships between university training programs and community-based early education and intervention programs could provide richer, more meaningful experiences for preservice students and reap benefits for everyone who is involved. By providing continuing education credit for all participants, for example, the partnership would expand professional development opportunities for practitioners in the field. This, in turn, could lead to improved practices and higher quality services for children and families.
3. Sustaining communities of practice over time. Another set of challenges concerns the logistics of creating opportunities for shared reflection and inquiry and sustaining these efforts over time. These challenges range from motivating and obtaining commitments from a wide array of participants (including family members from diverse groups as well as professionals from a variety of backgrounds and disciplines), to determining group processes (e.g., developing practical strategies for written reflections, addressing changes in membership and leadership, balancing members’ short-term needs with the group’s long-term goals, identifying methods for generating, and sharing knowledge with a broad audience), to allocating time and resources to these efforts. The lack of research in this area means that there are a number of questions we simply cannot answer. What is the best way to orient new members to the community? Is there an optimal size for a community of practice to promote shared reflection and professional growth? What are some effective strategies for promoting tolerance for ambiguity in our work and divergent perspectives?
Although it is unlikely that practical solutions will emerge any time soon in early intervention, the literature on communities of practice in other fields offers promising approaches to some of these obstacles. Waddock (1999) has suggested, for example, that multiple incentives promote and work together to sustain the involvement of diverse participants in communities of practice, including (a) the need for cross-fertilization of ideas and communication, (b) the prospect of solutions from which all members benefit, (c) the opportunity to share leadership and power, (d) enhanced understanding about multidisciplinary learning, and (e) the sense of actually making a difference for children and families. Addressing other challenges will require a concerted effort from the entire field and a fundamental shift in how we conceptualize every aspect of our work. We should begin to question, for example, the need for separate infrastructures to support preservice and inservice training as well as developing programs of research and formulating public policy without input from families and practitioners. The shift to reflectivity will demand that we identify the capacity of our organizations and programs to support this work and advocate for necessary changes. Specifically, this will involve gaining support from administrators, finding accessible places and times for meetings, reimbursing families for their participation, gaining release time for teachers, creating solutions to the issue of lost “billable” hours, and securing clerical support and other resources.
4. Sharing ideas that emerge from communities of practice. A final challenge is creating mechanisms for sharing new knowledge that emerges from communities of practice with the broader early education and intervention community. Strategies for documenting and disseminating new ideas and products represent the least developed aspect of this approach. Yet, ultimately, success in sharing new discoveries with the broader community hinges on the ability to find a common language to communicate effectively with a diverse group of stakeholders, including parents, students, practitioners, researchers, and policymakers. At the program level, new information could emerge as a result of a group effort to document a process that involves reflecting on and describing current teaching practices, problem solving about particular concerns, gathering information to develop new approaches and strategies, and developing case examples illustrating the effects of new practices on individual children and families (Englert & Tarrant, 1995). The products of this endeavor could include new curriculum materials, a collaborative monograph, presentations at professional meetings, or an expansion of group membership via the Internet.
Implications for Roles
To begin and sustain reflective inquiry within communities of practice, we must transform our view of our own roles and those of others, perhaps reframing our professional relationships. Communities of practice alter the linear relationships through which knowledge “trickles down” from those who discover the professional knowledge base to those who provide and receive services shaped by it, because the model invites and builds upon knowledge from each. Who might be affected by these changes in roles and relationships? First, we must assume that early interventionists have the authority to construct knowledge about their practice through reflection with others. It is not uncommon for early intervention professionals to share ideas and solve problems together; the challenge is to formalize, broaden, and deepen such collaboration without losing the interest and commitment of participants. A first step in broadening the reflective process is to replace the traditional parochial view of “our field” with a more inclusive one that values and seeks the participation of early childhood professionals, school psychologists, public health administrators, and others whose perspectives and experiences could contribute to our understanding of the work with children and families.
Second, we must expand our relationship with families to include them as essential participants in the process of collaborative reflection and inquiry. This shift in role goes beyond including families in the planning and
coordination of services for their own child. It extends recent thinking about the way families could be involved in research (e.g., to help set a research agenda, co-author products, and present findings) by requiring their systematic inclusion as vital members of communities of practice and, along with practitioners, as equal partners in generating knowledge in the early intervention field. To achieve this, it will be necessary to provide incentives for their participation, for example, stipends and continuing education credit.
Increased democratization of the research process, which includes gathering data as well as interpreting and sharing findings, could meet resistance among some university-based researchers, who currently maintain control over the type of inquiry and the nature of collaboration with practitioners and families. In communities of practice, university faculty relinquish their privileged position in program design, development, and research (Bullogh & Gitlin, 1991); they are one among many other groups with a responsibility to understand and improve early intervention practice. A shift from working on to working with the world of practice is required (Waddock, 1999). It may be that increased pressure on departments within institutions of higher education to diversify their funding base may point out the need for increased public awareness of their work. This, in turn, could lead to the inculcation of value for outreach activities among all professional staff, including researchers.
Finally, communities of practice promise more than collaborative empirical research. We must ask whether the field is ready to move toward accepting the conceptual analyses and interpretive knowledge of practitioners and families as part of a redefined knowledge base, rather than relying on the traditional approach to discovering new knowledge through the scientific method. Such a change cannot be mandated, expedited, predicted, or controlled, but may have to occur in and of itself. This inclusive approach to knowledge production honors and innovates the contributions and roles of every member of a professional community.
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of living water. Perfection of well-rendered worship, the grandeur of music, beauty of colour, the eloquence in the pulpit, are no substitute for worship in spirit and in truth. 'The letter killeth, but the spirit giveth life' (2 Cor. iii. 6).
The cry of the human heart is still 'Sir, we would see Jesus'. The Lord still reveals Himself to all who worship Him in spirit and in truth.
Rev. L. E. Roberts, M.A.
THE 'SERVANT SONGS' IN THE UNITY OF ISAIAH
ONE of the disservices rendered to the English Bible by the Septuagint is its tradition of an order of the books of the Old Testament, which allows most of what the Hebrew Canon classes as 'The Writings' to fall between the 'Former' and the 'Latter Prophets', that is, between the 'Historical' books and the 'Prophetical' books. There is thus cultivated a distinction in study, for the English student, between the history and the prophecy, which was never intended. It has been the joyful experience of many — including the writer — to treasure as memorable and valuable the time when it suddenly dawned on a bewildered mind, that each of the prophets lived during some definite era of history, and that there is profit to be gained from putting the two together.
This method of studying the prophets is usually claimed as one of the permanent gains of the critical approach to the Old Testament. It has been well stated by Denney, when he writes: 'The Prophets have been put, by the labours of criticism, into their original setting; they have been read as the voice of God addressed to discoverable historical situations, and the voice of God has become audible to them again as it had not been audible for long.'¹ It is undeniable, of course, that this principle has been misinterpreted, and chiefly so by those who are credited with its discovery. Instead of being satisfied with insisting on the 'discoverable historical situation' as a starting point, they went on to demand it as the total area of relevance of the prophet's words, and consequently denied the fact of predictive prophecy. Denney himself fell into this pit: 'We need not believe that the prophets could write history beforehand'; and in the pit he found himself amid a very exalted and in some ways desirable company.²
However, the denial of predictive prophecy does not follow from the principle of seeking a valid historical starting point, and it is not now interpreted as doing so. John Marsh, for example, holds that, given the Exodus revelation of God, and a definite historical situation to which to apply it, the prophet could predict what God would do, and that, indeed, such prediction was his function. He insists that 'the Old Testament prophets were concerned to foretell as well as to forthtell'.³ The purpose of this article is to take the critical principle and apply it to Isaiah, seeking to show in this way that Isaiah i-xxxix and xl-lv can be viewed as a theological and historical unity, and that within xl-lv the prophet's thought develops coherently and steadily round the person of the Servant.
According to the testimony of the book of Isaiah as we have it, the 'discoverable historical situation' of the prophecies from chapter xl onwards is given in chapter xxxix. Merodach-Baladan, a thorn in the side of the Assyrian Empire, occupied the throne of Babylon for two periods: 721-710, and 705-704 B.C. (Pfeiffer gives 703 as the second period). Isaiah xxxviii. 6, speaking of the Assyrian threat as an existing reality, suggests that Hezekiah's illness took place after 711 B.C. — the date of the fall of Ashdod to Sargon, and the presumptive beginning of the Assyrian attention to Judah. Hezekiah's illness would thus coincide with the second period of Merodach-Baladan's reign. We may presume that Merodach-Baladan was seeking to incorporate Hezekiah into the rebellion which he was fomenting in connection with the death of Sargon. Hezekiah, a very minor rebel by comparison, is excited by attention from such a quarter; and it would seem that it was because of his relationship with Merodach-Baladan that he came up for treatment in 701. The attitude
¹ Studies in Theology, p. 214.
² op. cit., p. 215. See also Allis, Unity of Isaiah, pp. 1-21.
³ The Fulness of Time, p. 73. (Author's italics.)
of Isaiah is perfectly in accord with the situation. He finds that Hezekiah has not profited by past experience during his illness. He has not yet appreciated the goodness of Yahweh nor learned the security of casting oneself on Him. He is still filled with a desire for carnal acclaim and worldly strength. Isaiah has, however, already said that Yahweh will disperse the Assyrian threat. Seeing, therefore, in Hezekiah, that trust in the arm of flesh which he has always recognized as ruinous of states and their peoples, he looks, in prophetic inspiration, beyond the danger which he knows is transient, to the time when a carnal policy will reap its inevitable doom; and he finds the doom spelled out in the letters of the name 'Babylon'.
Within the book of Isaiah itself, therefore, there is good reason to see the possibility of a prophecy of the Babylonian captivity, and that on the critics' own principles. It is in the highest degree unscientific to allow, as they do, the historical credibility of the visit of the Babylonian ambassadors, and yet to deny the Babylonian prophecy, merely because their hypothesis of the nature of Isaiah demands that 'Isaiah the son of Amoz did not prophesy about Babylon'. The evidence of chapter xxxix is that he did, and that he had every reason for doing so. We may follow up this clue, and seek to 'imagine' our way into the prophet's situation.
Isaiah has now uttered the final threat. 'Nothing shall be left' (xxxiv. 6). In doing so he has fulfilled the divine forecast of his message as stated in vi. 11-13a. But also by the very comprehensiveness of the judgment he foresees, he has raised some theological problems for himself. Having prophesied on the basis of a real historical situation, he now finds himself compelled to continue prophesying on the basis of a real theological dilemma. How does the prophecy of complete captivity, now spoken with force and detail, accord with the perceptions of Israel's God declared with equal force and detail in the previous years of his prophetic office? If God is such as Isaiah has declared Him to be, can even this complete captivity be the last word? Let us be more explicit:
(a) If Yahweh is Lord of history (chapter x), using the nations as a craftsman uses his tools, and not suffering them to overstep the bounds He has allotted, can the captivity be final? Can Yahweh both be Lord of history and also allow His age-long purpose to be rendered void by historical causes?
(b) If Yahweh is supreme over idols (chapter ii), can Israel remain captive to the idols of Babylon? Can He be supreme over idols and yet allow idols to have the final appearance of being supreme over Him?
(c) If Yahweh has been in earnest when He promised the preservation of a remnant (vi. 13) — and this seemed to be a real part of the inaugural vision — then where is His promise if there is no remnant and the captivity is the end?
(d) If Yahweh spoke a valid word about Himself when He taught Isaiah that there is a way whereby a sinner can be made fit for the divine Presence and service, then is it possible that there is no sin (for which the captivity is the punishment) beyond the scope of a divine atonement?
(e) If Isaiah was undeceived in his vision of Jerusalem as the centre of a world religion (ii. 2-4) — Jerusalem, purged by judgment, the dwelling-place of God Himself (iv. 2-6) — then can Jerusalem remain finally desolate without inhabitant?
(f) If there is to be such a person as Prince Immanuel, the fulfilment of the promise to David, over what will He rule if there is no city, no inhabitant, nothing but an empty land?
This is Isaiah's theological dilemma. If a prophet can be inspired to declare God's truth in the context of history and to meet the problems of history, it is no great demand that he should also be inspired to find the solutions to the theological problems raised by those revelations of God granted to him. Isaiah could not stop at chapter xxxix, so to speak. In his retirement, during the days of the wicked Manasseh, either alone, or in company with some disciples, he meditated on the lessons he had learned from God; and gradually there took shape before his vision the book of comfort, and the mighty things God would yet do for His people.
In order to complete the first part of our task, it remains to show how chapters xl-lv provide the answers to the theological problems raised by chapters i-xxxix. If we may treat the foregoing six points as covering the main theological truths of the first period of Isaiah's prophesying, then we may proceed as follows: (a), (b), and (c). Chapters xl-xlviii are almost entirely taken up with variations on these themes. It is sometimes asserted that the doctrine of the remnant disappears in chapters xl-lv. This is a statement only possible because of the superficial literalism of much criticism. The word 'remnant' is not found, but the truth is. The doctrine of redemption in these chapters is the theological equivalent of the remnant teaching in the earlier chapters. What is stated in fact there, is seen in action here. Space forbids anything more than a single illustration of the weaving together of the themes. In chapter xli all three themes are found. In verses 8-20 we are shown Yahweh's saving purpose for His people; this is, as we have suggested, the equivalent of the remnant teaching. But Yahweh's purposed redemption is seen in the context of His power to save: (i) by His Lordship over history (verses 1-5, 25-27); (ii) by His supremacy over idols (verses 21-24, 28-29).
(d) The doctrine of atonement. It makes an interesting study in Isaiah to examine the way in which his inaugural vision provided the groundwork of his whole message. The centre-piece of the vision is the truth of atonement: the 'live coal' speaking not of purification by fire, but symbolizing the 'power of the altar' — the message of a sacrifice which avails to take away sin. Everything else in the vision is developed elsewhere in Isaiah's teaching; but if we deny to him the prophecy of the Servant of Yahweh, we leave him without a doctrine of atonement to correspond to the greatest element in the vision.
(e) Chapters xl-lv deal with this topic under its two ideas, and leave the association of them to implication. Isaiah speaks of the restored Jerusalem and its glory; and he speaks of the world-wide religion. That we are intended to see these as two aspects of the same thing is made clear, for example, when we observe that the world-wide call of lv. i follows on the vision of the restored Zion in liv.5
(f) lv. 3, 4 implicitly identifies the Servant with the promised prince of David's line. On the basis of the Servant's atoning work (iii), Zion is restored, and in the Servant many are made righteous and inherit His title and functions (cf. liv. 17 with liii. 11). The call goes out to all to partake of what is now spoken of as the covenant with David.
Pfeiffer remarks6: 'Whatever conclusion may be reached as to the authorship and date of Isaiah 40-66, the differences in style, historical background, and theological thought between 1-39 and 40-66 are so marked that it is preferable to treat them as separate books.' Differences in style and historical background are, of course, what the traditional theory would expect; but, as we have shown, it is simply not true that there are such differences in theological thought.
We now turn briefly to the second part of our task. Having seen that chapters xl-lv grow naturally out of the theological dilemma created for Isaiah by his prophecy of captivity, we now seek to trace the logical growth of his thought, which, as the title of this article suggests, is to be found in his increasing perception of the person of the Servant of Yahweh.
Chapters xl-lv fall easily into two sections. In xl-xlviii the main theme is the deliverance of captive Israel from Babylon. This explains the concern with Yahweh's Lordship over history, his call of Cyrus, his supremacy over idols: all which topics disappear after chapter xlviii. The question of redemption from sin is only hinted at and touched in passing. In chapters xlix-lv, however, the foreground of the prophet's thought is taken up with the topic of redemption from sin, and the historical redemption from Babylon is only introduced by way of illustration of the greater divine action in the spiritual realm. When Isaiah first introduces the Servant (xlii. 1-4) the context makes it clear that he is speaking of Israel. This is true of chapters xl-xlviii, where there is constant identification of the Servant with Israel. The first Song, however, is not concerned with the Servant's person, but with his task: he is to be the means of bringing the genuine revelation ('judgment') of Yahweh
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4 (a) xl. 9-11; xli. 8-20; xliii. 1-7, 14-17; xliv. 1-8, 24-28; xlvi. 8-13.
(b) xl. 21-25; xli. 1-4, 25-27; xlii. 24-25; xliv. 24-41v. 7; xlvi. 8-13; xlvii. 1-15.
(c) xl. 18-20; xli. 21-24; xlii. 17; xliv. 9-20; xlvi. 1-7, 8-13.
5 (e) Restoration of Zion: xl. 9; xli. 27; xliv. 26, 28; xlvi. 13; xlix. 17-26; li. 11; liii. 1-2, 7-9; liv. World-religion: xl. 5; xlii. 1-4, 6; xlv. 14, 22-24; xlvi. 13 (RV mg); xlix. 6-7; li. 5-6; lii. 10; lv. 1ff.
6 Introduction to the Old Testament, p. 416.
to the Gentiles, and establishing that revelation in the earth. It would be correct to suppose that at this point Isaiah was answering some such question as: What does Yahweh require of Israel redeemed and restored? No sooner does he ask the question, however, and answer it in the Song (the myth of which is reinforced in verses 5-17), than apparently another question arises: Can Israel — even Israel who has passed through the experience of exile and restoration — be the Servant of Yahweh in its great task? The answer to this question is given immediately in xlix. 18ff. Isaiah there sees Israel as deaf (19), blind (19), and unresponsive (20, 24-25). How can one who is deaf to Yahweh's voice, blind to His truth, and unresponsive to His grace be the mediator of His revelation to the Gentiles? How, indeed? And this is just the beginning of Isaiah's perception of the sinful state of Israel, Yahweh's intended servant. The catalogue of sin grows: Israel's lack of response is again stated in xliii. 20-24; her rebellion against His appointed way of salvation in xlv. 9-13; that she is rebellious, stubborn, far from righteousness in xlvi. 8, 12; that she is insincere, obstinate, deeply idolatrous, spiritually deaf, treacherous and rebellious in xlviii. 1-8.
This, then, is the course of thought in chapters xi.-xlviii. Isaiah starts with a perception of what Yahweh requires in His Servant. This is what He purposed for national Israel, but the nation is far from the divine blue-print. Chapter xlviii ends with the joint recognition of two thoughts: verses 20-21, national Israel will be delivered from Babylon; verse 22, sin raises an issue between man and God which demands a solution; it cannot be overlooked.
When Isaiah turns, immediately, to investigate Yahweh's plan for deliverance from sin, he still finds the Servant to be the answer. Consequently the new section opens with the second Song (xlix. 1-6), but with this significant alteration. Isaiah, having become increasingly aware of Israel's sinful state, sees Israel's restoration as the Servant's primary task, and the salvation of the Gentiles as the next stage of the revelation. The Servant is still called Israel, but is seen as exercising a ministry first to Israel. It is now clear, that Israel is not a self-explaining term, but one which needs definition. In pursuit of this definition, Isaiah takes up the question of the nation's failure to respond to Yahweh. xlix. 14 shows the defeated spirit of Zion. Yahweh replies with some emotion that neither in terms of love (verses 15, 16) nor in terms of power (verses 22-26) has He forsaken her. But yet, though His love and power are still extended towards her, there is no response. Consequently, chapter 1 opens with a double question: Can you produce proof that you are cut off from My love ('certificate of divorce') or proof that you have passed out of My power ('to which of my creditors')? But yet, though proof is not forthcoming, neither is response. There is 'no man'. At this point, however, another voice is heard — the Servant! Though the nation fail to respond, yet there is One who can speak for Yahweh because He has listened daily to Yahweh; One who has learned discipleship in personal tuition, and who is prepared to put His discipleship to the test of suffering for the sake of obedience. The Servant thus emerges in emphatic personal distinction from the nation, a Sufferer because of His obedience. Now the prophet is warming to the task. He takes up the question of salvation. The sequence of thought is: li. 1-16, the announcement of salvation; li. 17-liii. 12, the nature of salvation; and lii. 13-liii. 12, the basis of salvation. The last two sections must be examined briefly. li. 17-23 and liii. 1, 2 are parallel: they declare that Zion, humiliated in judgment by divine action, will also be raised in glory by divine action. This is the nature of salvation: a judgment on sin and a resurrection to new life. liii. 3-10 indicates that the salvation emphatically springs from personal divine intervention; it is the work of the 'arm of Yahweh' — Yahweh Himself intervening in saving action. But how? How can the people humiliated in divine judgment be raised? How will the arm of the Lord be seen? The answer is — the Servant. He is the basis of salvation. We see Him, then, first of all, in summary: His exaltation (liii. 13), which has followed on from His humiliation (lii. 14), which has resulted (lii. 15) in His purification of many nations. It is needless to expound further the rest of the Song. The Servant is declared to be the arm of Yahweh. He is seen in His life (verses 1-3) and death (verses 7-9), and the spiritual significance of His work is declared (verses 4-6, 10-12). He is seen alive after death to dispense the fruits of His sacrifice in making many righteous. The reality of what He has accomplished is declared in chapter liv where 'the
servants of Yahweh' who are given His righteousness are seen. They inherit His name and office, and the call to the world goes out to seek Yahweh, for in the atoning work of the Servant He is come near.
Thus, the theological dilemmas of Isaiah of Jerusalem, under the inspiration of God, became a vantage point from whence the prophet saw, not merely across two hundred years to the captivity and restoration, but across seven hundred years to 'his exodus which he should accomplish at Jerusalem.'
Rev. J. A. Motyer, M.A., B.D.
DATING THE EPISTLES
We are all familiar with the problem of the interrelation of our four Gospels, even if no universally agreed solution to it has yet been discovered. Sometimes we fail to see that a similar problem exists in the case of a large number of the New Testament Epistles. There are some striking resemblances between Romans, Ephesians, Colossians, 1 & 2 Thessalonians, Hebrews, James, 1 Peter and Revelation. Commentaries on any one of these books will often point out the resemblances to many of the others and usually postulate some sort of dependence. The result is that the dating of a letter is often founded upon whether it is thought to precede or follow another, while that other may have been dated by similar means. It is the purpose of this article to attempt to obtain a bird's-eye view of the field in question. Instead of dealing with the problems piecemeal, we shall attempt to date the various documents as objectively as possible and then see how they fit together to form a consistent whole. Those who have read either of the works will recognize that I am much indebted to Carrington's Primitive Christian Catechism, especially as modified and elaborated in Selwyn's commentary on 1 Peter. We shall consider briefly how far the resemblances between the Epistles may be explained by direct copying and how far they are due to the use of a common source or sources.
DATING OF INDIVIDUAL EPISTLES
The Thessalonian Epistles were almost certainly written in A.D. 51, whatever may be the exact relation between them. Romans is generally agreed to have been composed in A.D. 56 or 57, whether or not there was more than one edition of it. Colossians and Philemon must be taken together. The theory of an Ephesian origin of them is not convincing, though it is just possible. It is far more likely that they were written from Rome about A.D. 61. The writing of Ephesians is likewise to be attributed to the Roman captivity, though again some have suggested that it should be dated somewhere in the period A.D. 54-6 while Paul was in Ephesus, and a number of scholars believe that it is post-Pauline and that about A.D. 90 is a more probable date. This last conclusion is based largely on the supposed fact of its dependence upon various other letters. 1 Peter is most likely to have been composed between A.D. 62 and 64. The arguments used against its Petrine authorship are not convincing and depend largely on the supposition that the writer had certain other New Testament epistles before him.
James is notoriously difficult to date. It may belong to the end of the first century; but it is more likely to be the work of the Lord's brother and to have been written at some date between A.D. 45 and his death in A.D. 62, when the issues brought before the Council of Jerusalem were not thought to be of overriding importance. There is fairly wide agreement nowadays that Hebrews was written before the fall of Jerusalem in A.D. 70, and the indications are that it was about the middle of the decade preceding that, probably about A.D. 66. It is not easy to assign a date to Revelation with certainty. There is more to be said for a date about A.D. 68 than is often realized, though it is more generally placed under Domitian in about A.D. 95. If the book is not a unity, it has been suggested that chapters i-xi should be assigned to the earlier date and chapters xii-xxii to the later.
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Eustatic and tectonic control on late Eocene fan delta development (Orava Basin, Central Western Carpathians)
Dušan STAREK, Lubomír SLIVA and Rastislav VOJTKO
Starek D., Sliva L. and Vojtko R. (2012) – Eustatic and tectonic control on late Eocene fan delta development (Orava Basin, Central Western Carpathians). Geol. Quart., 56 (1): 67–84.
The evolution of the Central Carpathian Paleogene Basin (CCPB) reflects an important role of relative sea level changes on a tectonically active basin margin. After the initial upper Lutetian/Bartonian transgression, the next regressive-transgressive cycle played a key role in a formation of the late Eocene fan delta facies associations in the southern Orava region of Northern Slovakia. Detailed sedimentary analysis allowed the separation of the following three facies associations which represent distinct depositional environments: alluvial fan (subaerial fan delta; Unit 1); subaqueous fan delta (Unit 2); and prodelta/slope and basin (Unit 3). The first stage of delta development is connected with eustatic sea level fall at the Bartonian/Priabonian boundary, accompanied by subaerial exposure, fluvial incision and deposition of alluvial fan sediments. Subaerial deposition was characterized by a variety of mass flow conglomerates with a red muddy matrix, interfingering with stream or sheetflood deposits. The next stage of the delta corresponds to high-amplitude transgression related to rapid tectonic subsidence along the CCPB margins during the Priabonian. The vertical arrangement of facies suggests retrograde delta development that shows rapid submergence of the subaerial parts and onlap of subaqueous mass flow conglomerates, often reworked by waves or wave-induced shallow-marine currents. Continuous deepening of the depositional environment during the late Priabonian/early Rupelian led to the relatively rapid superposition of prodelta/slope and basin facies associations by slowly accumulated hemipelagic deposits.
Dušan Starek, Geological Institute, Slovak Academy of Sciences, Dúbravská cesta 9, 841-04 Bratislava, Slovakia, e-mail: email@example.com; Lubomír Sliva, NAFTA a.s., Vatrahova 1, 821-09 Bratislava, Slovakia, e-mail: firstname.lastname@example.org; Rastislav Vojtko, Department of Geology and Palaeontology, Faculty of Natural Sciences, Comenius University, Mlynská dolina 8, 842-15 Bratislava, Slovakia, e-mail: email@example.com (received: June 3, 2011; accepted: December 12, 2011).
Key words: Paleogene, Orava, Western Carpathians, fan delta, mass flow deposits, coarse-grained delta.
INTRODUCTION
Facies associations of alluvial fan deltas (sensu Nemec, 1990a) can preserve detailed stratigraphic records and processes at basin margins. The term “fan delta” denotes coarse-grained deltas, typically fed by alluvial fan feeders, developed along steep topographic gradients where alluvial fans have prograded directly into a standing body of water (McPherson et al., 1987; Nemec, 1990b). Fan deltas therefore represent the interaction between sediment-laden alluvial fans and marine or lacustrine processes (Nemec and Steel, 1988). Delta styles and architecture are mainly controlled by tectonic movement (e.g., Gordon and Bridge, 1987; Dabrio, 1990; Frostick and Steel, 1993); sea level fluctuation (e.g., Posamentier and Vail, 1988; Galloway, 1989; van Wagoner et al., 1990; Bardaji et al., 1990; Dart et al., 1994; Postma, 1995), and climate change (Monecke et al., 2001; Postma, 2001; Deb and Chaudhuri, 2007).
This paper describes sedimentological studies of the coarse-grained sequences which are well-known from outcrops in the southern Orava region of Slovakia and which form part of the Central Carpathian Paleogene Basin fill. These sequences which were named the Pucov conglomerates (Gross et al., 1982), and later categorized as the Pucov Member (Gross et al., 1984); they have been studied by several authors (Bieda, 1957; Mahel et al., 1964; Andrusov, 1965; Gross et al., 1982). The latest, generally accepted interpretation of the Pucov Member is connected with deep marine canyons and fans (Gross et al., 1982, 1993). The aim of this paper is the sedimentological reinterpretation of the Pucov Member based on new field observations. Herein, we present a new alluvial and fan delta depositional model, where the deposition was controlled by both eustatic changes and tectonics. Sedimentation was mainly influenced by a regressive-transgressive cycle in the late
Bartonian to early Priabonian period. The sedimentary facies suggests deltaic subaerial to subaqueous mass-flow deposition, wave-reworking, and deposition by hyperpycnal and hypopycnal flows on the delta slope and in the prodelta and basinal environments.
GEOLOGICAL SETTING
The CCPB lies within the Western Carpathian Mountain chain (Fig. 1A) and it developed in the basin system of the Peri- and Paratethys. The basin accommodated a forearc position on the destructive Alpine–Carpathian–Pannonian (ALCAPA) microplate margin and at the hinterland of the Outer Western Carpathian accretionary prism (Soták et al., 2001). The basin is mainly filled with flysch-like deposits with a thickness of up to a thousand metres and they overlap the Palaeoalpine, pre-Senonian nappe structure. The age of the sedimentary fill ranges from Bartonian (e.g., Samuel and Fusán, 1992; Gross et al., 1993) to latest Oligocene (cf. Soták et al., 1996, 2001, 2007; Soták, 1998; Olszewska and Wieczorek, 1998; Gedl, 2000).
The deposits of the CCPB are preserved in many structural sub-basins (Fig. 1B), including the Žilina, Rajec, Turiec, Orava, Liptov, Podhale, Poprad and Hornád depressions. The
**Fig. 1A** – location of study area within the Alpine-Carpathian orogen; **B** – Central Carpathian Paleogene Basin system with structural sub-basins, basement and surrounding units; **C** – geological sketch of the Orava region (after Gross et al., 1993; Biely et al., 1996, modified)
C – location of studied sections: a – N 49°13′14″, E 19°22′17″; b – N 49°13′5″, E 19°21′18″; c – N 49°12′8″, E 19°19′9″; d – N 49°15′14″, E 19°9′43″; e – N 49°15′12″, E 19°9′57″; f – N 49°15′12″, E 19°10′11″.
CCPB sediments in the study area are bounded by the Palaeoalpine late Paleozoic to Mesozoic units in the south, while the northern boundary is represented by the Pieniny Klippen Belt (Fig. 1) which represents a transpressional strike-slip shear zone related to a plate boundary (Csontos et al., 1992; Ratschbacher et al., 1993; Csontos, 1995; Potfaj, 1998). The CCPB was formed on the upper plate above the subducting oceanic slab attached to the European Platform (e.g., Royden and Baldi, 1988).
The CCPB deposits are commonly divided into four lithostratigraphic formations (Gross et al., 1984; Fig. 2A). The lowermost, Borové Formation consists of basal terrestrial deposits linked to alluvial fan and fluvial systems (Marshalko, 1970; Baráth and Kováč, 1995; Filo and Siráňová, 1998) and shallow-marine transgressive deposits (Kulka, 1985; Gross et al., 1993; Filo and Siráňová, 1996; Bartholdy et al., 1999). This formation is overlain by the Huty Formation, which mainly embraces various mud-rich, deep marine deposits (e.g., Janočko and Jacko, 1999; Soták et al., 2001; Starek et al., 2004). The overlying Zuberec and Biely Potok formations are composed of facies associations of sand-rich submarine fans (Soták, 1998; Janočko et al., 1998; Starek et al., 2000; Starek, 2001;
The Pucov Member in the Orava Basin is generally incised into the Borové Formation and Mesozoic basement. It is overlain by the Huty Formation and eventually its deposition disappears in the lowermost part of Huty Formation (Gross et al., 1982). Nevertheless, the definition of the Pucov Member deposits (*sensu* Gross et al., 1984) is understood to be a lithotype representing coarse-grained input to the deeper parts of the basin and occurring in all lithostratigraphic formations. It exists in almost all regions of the CCPB.
The conglomerates of the Pucov Member have their main outcrops near the village of Pucov and these have been interpreted in several ways. Originally, they were regarded as “basal” transgressive lithofacies (Bieda, 1957; Mahel’ et al., 1964; Andrusov, 1965), but Gross et al. (1982) later showed that this coarse-grained sequence is not a basal component of the transgressive succession – the Borové Formation (*cf.* Gross et al., 1984). They were considered to be conglomerates transported by canyons of submarine valleys 5–10 km towards the north where the sediments formed a 210–270 m thick submarine fan (Gross et al., 1982, 1993).
The conglomerates studied occur at several sites in the Orava Basin. However, only six exposures were applicable to this study because of the poor exposure (Fig. 1C). The most complex data are derived from a more than 250 m thick sedimentary succession near Pucov. The conglomerates are exposed in cliffs 150 m high. The lowermost part of the succession was documented by an exploration borehole (Gross, 1979). The sedimentary sequence at the bottom begins with reddish massive boulder-size conglomerates which are the most abundant deposits at the Pucov section (Fig. 2B, section a). The reddish colour disappears gradually at higher levels, where sandstone and finer conglomeratic beds start to occur. The uppermost part of the Pucov section mainly consists of siltstone, marlstone, and sandstones with scarce, isolated conglomeratic beds. This is referred to as the Huty Formation (*sensu* Gross et al., 1993), and more precisely to the Globigerina and Subenomitile beds (*cf.* Soták et al., 2007).
No biostratigraphical data could be obtained from the massive conglomerates. However, the late Bartonian to early Priabonian time span of the deposition has been determined from their position above the Bartonian Nummulitic limestones of the Borové Formation (Bieda, 1957; Samuel and Salaj, 1968; Gross et al., 1984, 1993) and from the first occurrence of the lower Priabonian (Zone P 15) fossiliferous marls in the uppermost part of the conglomeratic succession (Soták et al., 2007; Soták, 2010).
**RESULTS**
**SEDIMENTARY FACIES**
The classification is mainly based on descriptive parameters such as grain-size, rounding, sorting and grain fabric, supplemented by other parameters including sedimentary structures, shape, occurrence of biogenic remains and bioturbation structures. Herein, grain-size and textural classification was used according to Blair and McPherson (1999). The coarse-grained facies evaluated show wide variation in their roundness and here the standard index of Powers (1953) was applied. The deposits that comprise exclusively, or mostly, very angular to subangular clasts are termed breccias (Facies B1, B2). Those that consist of subrounded to well-rounded clasts are referred to as conglomerates (Facies C). The sandstones are referred to as Facies S and mudstones/marlstones as Facies M. Although the facies are also evaluated by matrix colour, as in reddish and grey conglomerates, differences between matrix colours are not used as parameters to divide the separate facies. Herein, 13 individual facies with their possible hydrodynamic interpretation were distinguished, as depicted in Table 1.
The occurrence and arrangement of facies defined in vertical succession allowed as to separate the following three main units (Fig. 2C) that represent facies associations, specific of distinct depositional environments.
**FACIES ASSOCIATION OF UNIT 1**
**Description:** the deposits of Unit 1 are generally thick-bedded, massive, unsorted or poorly sorted matrix- to clast-supported conglomerates of Facies C (Fig. 3B, D-G) or rarely breccias of Facies B, mainly at the Čremoš locality (Fig. 3C). The beds are sheetlike, non-erosive or with insignificant basal erosion. The thickness of individual beds is variable but it mainly ranges from less than 1 m to 2.5 m. Conglomerates range from texturally polymodal to bimodal, with clast size ranging from pebbles to large boulders. The maximum size of the boulders is often more than 1 m in long axis and locally isolated “oversized clasts” up to 2.5 m across can occur. These are evidently larger than the common large boulder size in the beds and they often equal the bed thickness. Although clasts are randomly arranged, subhorizontal and flow-parallel clasts are relatively common. There is wide variation in the character of matrix but, generally, it comprises poorly sorted gravelly, reddish sandy mud (Fig. 3I). Some conglomerates have a predominantly sandy matrix, while others are more muddy (Fig. 3D). Marked size differences in clast roundness are observable in Facies C$_{1-3}$ at the Pucov locality. The larger, cobble- to boulder-size clasts are often subrounded or rounded, while the smaller clasts are generally less rounded and more subangular or angular. The inverse grading in the conglomerates (Facies C$_3$, Fig. 3F) is marked by a gradual increase in larger cobbles and boulders which occur mainly in the uppermost part of the bed leaving the bulk of the pebble/cobble-size conglomerate vertically unchanged. Less frequently, there is a progressive increase in the size of all clasts throughout the bed. The thick-bedded conglomerates are occasionally interbedded with massive, reddish sandy mudstones with sporadic scattered clasts (Facies M$_1$).
Some deposits of Unit 1 generally form thinner beds, from a few decimetres to a metre thick, and they usually have an erosive base. They are often lenticular and pinch out over a distance of a few metres (Fig. 3A). Clasts size here range from granules to cobbles, typically with clast-supported fabric and crude gradation (Facies C$_0$). However, they occasionally show signs of crudely developed stratification in the upper parts of beds (Facies C$_0$). The clasts usually show horizontal orientation and signs of imbrication. The sorting and roundness of these
| Facies | Occurrence | Characteristics | Interpretation |
|--------|------------|-----------------|----------------|
| Facies $B_1$ – massive, clast supported breccia | subordinate | clast-supported fabric, ungraded, very angular to subangular, poorly to very poorly sorted, coarse pebble to medium boulder-size clasts, sandy muddy matrix slightly organized – parallel-oriented large clasts, isolated vertical clasts, sheet-like laterally continuous beds, bed thickness from decimetres to several metres | laminar shear flow, cohesion less debris flow, hyperconcentrated flow (Allen, 1982; Lowe, 1982; Shultz, 1984; Postma, 1986) |
| Facies $B_2$ – massive to crudely stratified, matrix supported breccia | subordinate | matrix-supported fabric, very angular to subangular, poorly sorted, very coarse pebble to coarse cobble-size clasts occasionally with some isolated “outsized” clasts (medium boulders), gravelly (fine pebble), sandy muddy matrix, disorganized to slightly organized – clasts arrangement shows parallel-orientation to bedding but many of clasts are randomly oriented (much like facies $B_1$); well-sorted, moderately graded clasts do not exceed 1 m in the thickness; sporadic thin inverse grading at the base | debris flow, (laminar shear to plug flow) (Naylor, 1980; Nemeč and Postma, 1993) |
| Facies $C_1$ – massive, clast supported conglomerates | main | clast-supported fabric, subrounded to rounded (rare also well-rounded), poorly to moderately sorted, ungraded (sometimes thin inverse grading at the base), pebble to medium boulder-size clasts (usually not exceed 70–80 cm in long axis); sand/fine gravel matrix with the local marked increasing of mud portion, disorganized to slightly organized (parallel-oriented large clasts, isolated vertical clasts), laterally continuous beds, non-erosive base, beds thickness from decimetres to several metres | cohesionless debris flow (Nemeč et al., 1980; Lowe, 1982; Massari, 1984) |
| Facies $C_2$ – massive, matrix supported conglomerates | main | matrix-supported fabric, subrounded to rounded (rare also well-rounded), poorly sorted, ungraded (sporadic thin inverse grading at the base), very coarse pebble to coarse boulder-size clasts, the isolated “outsized” clasts can reach very coarse boulder size (up to 2.5 m in long axis), variable granule/sand-muddy to sandy fine pebble gravelly matrix; disorganized to slightly organized (randomly oriented large clasts), usually sheet-like beds, from decimetres to several metres in thickness, non-erosive base | debris flow, dominant cohesive strength support, disperse pressure at clast interactions can occur (Johnson, 1970; Hampton, 1979; Lowe, 1979, 1982) |
| Facies $C_3$ – inversely graded conglomerates | subordinate to rare | variably clast- to matrix-supported (clast-supported fabric prevail), subrounded to rounded, poorly sorted, graded (the inversely gradation is often less distinctive and may form all the bed or just part of the bed), pebble to fine boulder-size clasts, sandy muddy matrix, beds thickness are approximately 50–250 cm, the upper boundaries are usually flat; the upward coarsening clast-supported granule to cobble conglomerates, sometimes with erosive base, usually up to 80 cm thick beds | debris flows (Lowe, 1982; Nemeč and Steel, 1984; Postma, 1986; ) channel bar deposits (Nemeč and Postma, 1993) |
| Facies $C_4$ – normally graded conglomerates | subordinate to rare | clast-supported fabric, subrounded to rounded, poorly to moderately sorted, graded, granule to fine boulder-size clasts, sandy muddy to sandy matrix, variable bed thickness from 20–100 cm, usually erosional lower boundary, occasionally with the inverse to very inverse grading, poorly sorted sandstones in the uppermost part of the facies | gravelly high-density turbidite; fluidal sediment flow, water-laid deposits/stream flow, debris fall deposits (Lowe 1979, 1982; Nemeč, 1990; Nemecnad Postma, 1993) |
| Facies $C_5$ – inversely-to-normally graded conglomerates | rare | variably clast- to matrix-supported, subrounded to rounded, poorly to moderately sorted, pebble to fine boulder-size clasts, graded (lower inversely graded part is usually matrix-supported, normally graded part tend to be clast-supported), poorly to well-sorted predominantly sandy matrix, beds thickness up to 150 cm, the lower boundaries are usually flat and sharp | debris flow, high-density turbidity current (Lowe, 1982; Nemeč and Steel, 1984; Kim et al., 1995) |
| Facies $C_6$ – stratified conglomerates and sandstones | subordinate | clast-supported fabric, subrounded to well-rounded, moderately to well-sorted pebble to cobble-size conglomerates (“outsize” fine boulder-size clasts are present) interstratified with coarse to very coarse grained pebble sandstones and granule-size conglomerates with occurrence of cross-bedding and parallel lamination, commonly bimodal or polymodal textures, beds thickness are about 20–150 cm, distinctive lower boundaries, occasionally erosive | deposition in the shoreface zone under wave action (Reineck and Singh, 1980; stream flow (Rust, 1978; Nemeč and Steel, 1984) |
| Facies $C_7$ – well-sorted, imbricated conglomerates | subordinate | massive, close-packed, well-sorted, well-rounded, rod/spherical to disc/blade shaped pebble-size (rare cobble-size) clasts, well-sorted sandy matrix, up to 1 m thick laterally discontinuous beds with erosive bases | shoreface or beachface with rip channels (Bluck, 1967; Grzybowski et al., 1993; Hart and Plint, 1995; Davis and Fitzgerald, 2004) |
| Facies $S_1$ – massive to graded sandstones | subordinate | medium to very coarse sandstones, few centimetres to several decimetres in thickness, can form isolated beds or can be part of larger succession, normal grading usually in the basal part; well to poorly sorted, sometimes with dispersed granule to pebble-size clasts; strong variability in grain shaping (from angular to rounded); occasionally large amount of well to moderately preserved fossil remains (mainly large foraminifers) – dispersed or concentrated at the base; rare bioturbation | turbidity currents, waning traction currents, return storm flows (Lowe, 1982; Brenchley, 1985; Myrow and Southard, 1996) |
| Facies $S_2$ – laminated sandstones and siltstones | subordinate | medium sandstones to fine siltstones, variable in thickness from several centimetres to few metres; sometimes continuing from facies $S_1$ or facies $C_4$; mainly thick beds show finning – upward tendency in grain size (from sandstones to very fine siltstones); possible current ripples; commonly overlain by facies $M_2$ | hyperpycnal flows, suspension settling (hypopycnal flows); low-density turbidity currents (Bouma, 1962; Middleton and Hampton, 1976) |
| Facies $M_1$ – massive, reddish mudstones | rare | unstructuralised mudstones, poorly sorted, occasionally with scattered clasts and varied content of sand; decimetres to maximal 2 m thick interbeds | the result of settling of fines after flooding (Bardaji et al., 1990), mudflow |
| Facies $M_2$ – homogeneous mudstones/marlstones | main | variable content of a silty compound; random bioturbation, rich on microfossils (foraminifers, dinoflagellates, calcareous nanoplankton), rare occurrence of thin tuffite horizons and laminated limestones; thin to very thick (few centimetres to several metres) | hemipelagic setting (Pickering et al., 1986) |
deposits vary considerably from being well-sorted and having relative textural maturity to poorly sorted conglomerates and breccias with an unsorted reddish matrix. The conglomerates locally exhibit textural bimodality with overwork gravel grains filled with fines of – clay and fine silt/sand (cf. Frostick et al., 1984).
No fossil remains were found within Unit 1 and the clast composition reflects the source areas formed by the Choč and Krížna nappes (cf. Gross et al., 1984). Occasionally, at the Čremoš locality, flowstone clasts (Fig. 3H) were found.
**Interpretation:** the internal characteristics of the facies of the Unit 1 indicates that deposition could range from slow-moving, high-strength/viscosity debris flows to more water-rich fluidal flows with intense shearing and possibly turbulence.
Ungraded, poorly sorted beds with random fabric may indicate high shear-strength or high viscosity, and these can be interpreted as “cohesive debris flows” with the development of a “semi-rigid plug” (Johnson, 1970; Naylor, 1980). This semi-rigid plug usually forms in the thicker, upper part of the bed overlying the basal high-shear layer (e.g., Hubert and Filipov, 1989), and it can form almost the entire bed thickness, often with thin inverse grading restricted to the basal few centimetres (shear zone; Fig. 3E). The larger boulders tend to move upwards in the flow and out of the shearing layer, thus producing the inverse grading seen at the base of the beds (Hubert and Filipov, 1989). Although inverse grading throughout the bed has been explained by dispersive pressure in the flow, so that the larger clasts move upwards through the flow to equalize the stress gradient (e.g., Bagnold, 1954; Nemec and Steel, 1984), later laboratory experiments proposed a mechanism known as kinetic sieving. This process involves small grains passing through the interstices between the larger particles through agitation, thus displacing the larger particles upwards (Middleton, 1970; Naylor, 1980; Gray and Thornton, 2005).
The trend of size differences in clast roundness can be observed almost exclusively in those facies with a reddish matrix (Unit 1). This may be a result of more effective abrasive processes for large clasts over a short transport distance, or alternatively it may indicate redeposition of older fluvio-alluvial deposits.
The normal grading in conglomerates (Facies C₄) with signs of basal erosion most likely occurred as a result of deposition from more watery fluidal sediment flows (e.g., Lawson, 1982). A transverse clast alignment (Fig. 3G) suggests development from more fluidal flow with a significant tractional component (Pierson, 1981; Lawson, 1982).
Massive, reddish, sandy mudstone interbeds (Facies M₁) are rare, and these may reflect the settling of fines following flooding (Bardaji et al., 1990) or a redeposition of fine-grained material reworked from debris flow deposits or bedload-dominated deposits.
Water-laid deposits (Bull, 1972), are represented by stream and sheetflood deposits. They represent fluid-gravity flows, with fluid turbulence supporting clasts in Newtonian fluids, and they are characterized by a lack of shear or yield strength (Costa, 1988). The thinner erosive conglomerate beds may represent channel-fill deposits or broad shallow scour fills, the largest clasts at the base likely being bed-load material deposited after erosion in the maximum stage of flooding as channel-floor lags.
The sporadic upward coarsening character of the clast-supported conglomerates (Fig. 3A) occurs in association with channel-floor lags and these can most likely be interpreted as channel bar deposits (Nemec and Postma, 1993).
The presence of the upward-fining sandy capping (Facies S₁), locally with an erosive base, and signs of stratification, may result from turbulent fluid flow or alternatively from heavily sediment-laden stream flow followed by debris flow (Nemec and Steel, 1984). Some beds are more laterally extensive with slight stratification and they can represent sheetfloods deposits. Sheetflood conglomerates can be deposited from extremely heavy but short-lived floods (Blair and McPherson, 1994). In contrast to streams, these form shallow, unconfined flows covering a large surface.
The facies association of Unit 1 comprises sedimentary facies which are predominantly involved in mass flow deposits interfingering with fluid-gravity flow deposits (Fig. 3A).
Massive, disorganized to slightly organized conglomerates (Facies C₁, C₂) including massive to crudely stratified breccias (Facies B₁, B₂) are the most frequent facies in Unit 1. These facies commonly show strong vertical variations, and clast-supported conglomerates often pass to or are interbedded with matrix-supported conglomerates (Fig. 3D). However, some beds exhibit better organization with inversely graded conglomerates being relatively abundant (Facies C₃) and, in a few isolated cases, normally graded conglomerates (Facies C₄) with an erosional base occur. The debris flow-type conglomerates in the lower parts of Unit 1 are occasionally interbedded with massive, reddish mudstones (Facies M₁). This facies has been doc-
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**Fig. 3A** – detailed section of the alluvial fan facies association (Unit 1) specific in mass-flow deposits interfingering with stream deposits; B – matrix-supported, well-rounded boulder conglomerates with reddish sand-clayey matrix (Facies C₃, Pucov site); C – clast-supported reddish breccias (Facies B₁, Čremoš site); D – surging debris flow deposits with vertical variation in character of the matrix from reddish muddy matrix of the matrix-supported conglomerates (Facies C₂, lower part) to the sandy matrix of the clast-supported conglomerates (Facies C₁, upper parts); E – ungraded, poorly sorted, debris flow conglomerates (Facies C₁) with slightly organized to random fabric (“semi-rigid plug” flow deposition) with thin inverse grading restricted to the basal few centimetres (shear zone); F – inversely graded conglomerates (Facies C₃); G – transverse alignment of clasts in more fluidal flow with a significant tractional component; H – rare flowstone clasts in debris flow conglomerates at the Čremoš site indicate karstification the source area; I – breccia with poorly sorted sand-clayey reddish matrix (Čremoš site, microscopic view)
A: DF – debris flow, SF – stream flow, FSF – fluidal sediment flow, g – granule, p – pebble, c – cobble, b – boulder
umented only by borehole investigation (Gross, 1979). Stream and sheetfloods deposits occur in far fewer portions as mass flow deposits.
The facies association of Unit 1 represents the subaerial portion of a coarse-grained fan delta. Subaerial mass-flow deposits are noteworthy for their reddish colour and they form the vertically most extensive succession with a maximum thickness of approximately 150 m (Gross, 1979; Fig. 2B, section a).
**Facies association of unit 2**
**Description:** The deposits of Unit 2 are generally thick-bedded, massive, matrix- to clast-supported conglomerates (Facies C; Fig. 4A) with a greyish-to-yellowish poorly to moderately sorted gravelly/sand to sandy matrix (Fig. 4D). The beds are usually sheet-like, non-erosive, with bed thicknesses ranging from less than 1 m to several metres. Although the bed boundaries are locally indistinct and amalgamated, they are generally much better defined than those in Unit 1. These conglomerates are ungraded, with some beds exhibiting better organization with inverse grading of Facies C₃ (Fig. 4G). Normal grading (Facies C₄, Facies S₁ – in the case of sandy cappings) or rare inverse-to-normal grading (Facies C₅) occasionally occurs. The clasts vary from granule- to boulder-size up to 80 cm.
Some laterally discontinuous beds have an erosive base (Fig. 5A), and they are formed by close-packed, well-sorted, often imbricated, rod/spherical (Fig. 5A1) to disc/blade (Fig. 5A2) shaped pebbles (Facies C₂). A bedset of well- to moderately sorted, well-stratified coarse-grained pebbly sandstones and pebble- to cobble-size conglomerates (Facies C₆; Fig. 4A – upper part) occur within Unit 2. These beds have distinctive and occasionally erosive lower boundaries and laterally they show significant persistence.
The clast composition is almost identical to that of the Unit 1 deposits, but in the uppermost parts of Unit 2 some pebbles of middle Eocene carbonate sandstones from the Borové Fm. also occur (Gross et al., 1982, 1993).
**Interpretation:** The characteristics of the deposits of Unit 2 (Fig. 4F) are generally similar to those of Unit 1, and they indicate deposition within high shear-strength or high viscosity flows (“rigid plug” flow deposition – with random fabric and some clasts projected above the bed), strongly sheared, laminar flows with preferred clast orientation fabric, and more water-rich fluidal flows (normal grading, signs of basal erosion). The scarce inverse-to-normal grading of Facies C₃ may reflect the tendency of subaqueous debris flows to reduce flow density and frictional/viscous resistance and to evolve into high-density turbidity currents (Lowe, 1982; Nemec and Steel, 1984).
Good sorting and lack of intergranular mud within Facies C₂ reveal that the depositional processes were effective in washing and sorting the sediment (Clifton, 1973; Bluck, 1999). Close-packed, well-sorted, well-rounded conglomerates often represent wave-reworked tops of debris-flow conglomerates and they can be attributed to a wave ravinement surface. Sharply bounded tabular gravel beds may be interpreted as wave lag deposits with storm-related erosional surfaces. Small channels and cross-lamination (Fig. 5B, C) may have been formed by either waves or alongshore currents (Hart and Plint, 1995). The channels and scours can represent both alongshore troughs and rip channels (Gruszczyński et al., 1993). However, the clast imbrication shown in Figure 6A is similar to the imbrication in the underlying debris flow deposits in Figure 6B, and this points rather to rip channel features.
As for the deposits of the Unit 1, those of Unit 2 were predominantly supplied as mass-flow deposits (Fig. 4A) and subordinately as wave-reworked deposits that form lateral discontinuous interbeds ranging from a few decimetres up to a metre thick inside debris-flow deposits, or they form bedsets up to 6 m thick sporadically alternating with thinner debris-flow conglomerates.
However, there are generally some textural and structural differences between the mass flow deposits in Units 1 and 2. Unlike in Unit 1, the maximum clast size here is considerably smaller and the mass flow deposits generally exhibit better rounding of all particles (Fig. 4D, E); better sorting; an absence of intergranular mud; a more frequent occurrence of granule/sandy cappings, and more beds that show an upwards increase in their matrix content.
Fossil remains occur in Unit 2 (Fig. 4B) together with rare bioturbation (Fig. 4C), wave-reworked deposits (Fig. 5), and sporadic thin mudstone interbeds rich in microfossils (Soták et al., 2007). These characters suggest that the facies association of Unit 2 reflects deposition in the subaqueous part of a coarse-grained fan delta. Subaqueous coarse-grained fan delta deposits occur at Pucov, Čremoš, and most likely also at Medzihradné. The limited outcrop and monotonous, grey massive conglomerates at this latter locality do not allow unambiguous interpretation of the depositional setting.
**Facies association of unit 3**
**Description:** The deposits of Unit 3 are well-documented as an approximately 50 m thick sequence at the Pucov section (Fig. 2B, section a). The sequence is characterized by decreasing conglomerate volume, while sandstones and siltstones (Facies S₁, S₂) are dominant and the mudstone proportion (Facies M₂) is markedly higher (Fig. 7B).
The bed thickness ranges from a few cm to more than 1.5 m. Thinner beds of up to 20 cm in the lower parts of Unit 3 form isolated granulites to sandstones with distinct bottoms and tops (Facies S₁). Most of the sandstones contain a relatively large number of redeposited fossil remains, predominantly those of large foraminifers (Fig. 7C), and these sandstones are separated by decimetre-thick mudstones.
Infrequent, well-defined, isolated, and non-continuous beds up to 1 m in thickness occur here (Fig. 7D). These are formed by normally graded fine boulder- to pebble-size conglomerates (Facies C₄) passing upwards to very coarse pebbly sandstones (Facies S₁) and to a thin interval of laminated fine sandstones and siltstones (Facies S₂).
Occasionally, there are also composite beds more than 1 m thick (Fig. 7F) with massive, clast-supported conglomerates at the base (Facies C₁). These conglomerates are overlain by normally-graded beds (from base upward Facies C₄, S₁, and S₂) and also by homogenous mudstones (Facies M₂).
The upper portion of Unit 3 is mainly represented by fine-grained marlstones rich in microfossils (Facies M₂), and interbedded with thin sandstones (Facies S₂) as well as with
laminated limestones (Fig. 7G) and thin ocherous brown tuffite horizons (Fig. 7H). The uppermost part of Unit 3 at the Pucov and Čremoš sections shows occurrences of a thick isolated sandstone bed.
**Interpretation:** a relatively thick pebble to boulder size, usually normally graded conglomerate can be interpreted as the deposit of a hyperconcentrated flow (Costa, 1988) or debris-fall avalanche (Nemec, 1990b). The medium pebble size conglomerates to sandstones facies of $S_1$ and $S_2$ in the top of these beds may reflect deposition ranging from gravelly high-density turbidity currents (Lowe, 1982) to low-density turbidity currents (Bouma, 1962). The coarse-grained isolated
Fig. 5A – wave-remixed top of debris-flow conglomerates (Facies $C_7$); A1 – close-packed, well-sorted, imbricated, rod/spherical shaped pebbles; A2 – imbricated pebbles behind the large boulder (relict of debris-flow deposition); B, C – cross-laminated fine-grained conglomerates and sandstones formed by waves or shallow-marine (wave induced) currents (Facies $C_6$, $S_1$)
DF – debris flow, d/b – disc/blade, s/r – rod/spherical
Fig. 6. Measurements of inclined clasts from debris-flow conglomerates of Unit 1 (A) and rip channels of Unit 2 (B) presented by Rose diagram of dip direction
Data is rotated to original position; general palaeotransport is toward the NW to W;
$n$ – number of measurements
granulites to sandstones with distinct tops suggest incomplete turbidites (“top cut-out” beds) that may reflect the downslope bypassing of most of the fine-grained suspended load (Nemec, 1990b). The fine-grained, usually laminated sandstones and siltstones (Fig. 7E) may reflect discharge from a flood-stage stream with a high concentration of sediment deposited by hyperpycnal flows (Bates, 1953; Wright et al., 1988; Mulder and Syvitski, 1995) or by flows of hyperconcentrated bedload (Prior and Bornhold, 1989) that reached the prodelta and slope. The fine-sediment fractions may also be derived from intense fallout from the suspension plume blanketing large subaqueous areas with a dense, mobile suspension which could evolve into a sheet-like underflow (cf. Hay et al., 1982; Wright et al., 1986; Syvitski and Farrow, 1989).
The facies association in the lower parts of Unit 3 suggests deposition in a prodelta and slope environment and forms the uppermost part of the delta fan succession. An increasing trend in the proportion of complete medium- to fine-grained turbidites (low-density turbidity currents; cf. Bouma, 1962; Middleton and Hampton, 1976), the contribution of hemipelagic mudstones/marlstones facies (M₂), and an occurrence of laminated limestones are mainly evident in the higher parts of Unit 3. These components may reflect distal prodelta/slope deposition and a basinal facies (Fig. 7A).
DISCUSSION
BOUNDARY BETWEEN SUBAERIAL AND SUBAQUEOUS FAN DELTA ENVIRONMENTS
The subaerial and subaqueous deposits of the Pucov section are relatively similar and it difficult to precisely distinguish their interface because of their mass flow coarse-grained character (cf. Nemec and Steel, 1984). However, in addition to the presence of fossil remains, rare bioturbation and wave reworking in the upper part of Unit 2, there are other differences among the mass flow deposits in these units. In Unit 2, a large number of greyish conglomeratic beds tend to be better organized and sandy cappings being are more common. This may reflect the tendency of the subaqueous debris flows to evolve towards high-density turbidity currents (Low, 1982). However, beds with an upwards increase in their matrix content are more frequent. A reddish muddy matrix, common in Unit 1, is completely missing in the Unit 2 conglomerates, which also exhibit better sorting and rounding of particles and an absence of conglomerate interstitial mud. This may suggest a redeposition of sediments which were reworked on the seashore as well as cannibalism of the shallow-marine units of previous cycles (Borové Formation). The coarse-grained facies analysed show a positive correlation between bed thickness and maximum clast size (Fig. 8). This could be used to support the idea of mass-flow deposition of the conglomerates (e.g., Larsen and Steel, 1978; Porębski, 1981; Nemec and Steel, 1984; Nemec, 1990b). Although boulder-size clasts are frequent in Unit 2, the maximum average size is less than those in Unit 1. This distinction is also expressed in the different regression line gradient of the MPS/BTh diagram in Unit 2 (Fig. 8), which may reflect a relative decrease in debris-flow competency after passing into water, due to admixing of water into the flow, which reduces their density, viscosity and concentration (Larsen and Steel, 1978; Nemec and Steel, 1984). However, the MPS/BTh diagram shows a relatively wide dispersion of data and a low correlation coefficient. This may have been due to the small number of beds analysed and to the impossibility of determining bed interfaces between the massively textured sediments. Additionally, even if it were possible to define such interfaces, they may represent breaks between sediments deposited by multiple discrete flows rather than breaks between individual flows (Mayor, 1997). Other factors influencing MPS/BTh correlation include (cf. Nemec, 1990b):
– inaccurate definition of flow competence due to the redeposition of pre-sorted debris (seemingly lower competence),
– erosion of the uppermost parts of debris flow deposits,
– the addition of large clasts to freezing debris flows by debris-fall processes (seemingly higher competence).
Moreover, later studies on experimental debris flows by Mayor (1997) and Inverson (2003) cast doubt on the suitability of the MPS/BTh analytical method. These experiments revealed that massively textured, unsorted debris-flow deposits can often result from progressive incremental deposition which can accumulate without obvious stratigraphic contact. This can particularly occur where there is a short time interval between events, or similar source materials, or small travel distances. Vertical accretion of sediment from surges can produce beds that appear to “support” oversized particles which were emplaced rather than being tractional bedloads (Mayor, 1997). Since the above mentioned problems adversely affect the estimation of flow properties emanating solely from MPS/BTh analysis, this correlation was utilized herein only as additional support in distinguishing the Unit 1 and Unit 2 deposits.
The border line between Units 1 and 2 was defined as that partition in the sedimentary section where the reddish muddy matrix disappears from the deposits and the greyish conglomerates bearing the above mentioned signs appear.
TECTONIC AND EUSTATIC CONTROLS ON SEDIMENTATION
Tectonics and eustasy played an important role in the formation of the upper Eocene alluvial fan delta facies associations in the southern Orava region.
After the initial transgression of the CCPB (TA 3.5–3.6 third-order Exxon cycles), deposition changed from subaerial to subaqueous (Baráth and Kováč, 1995), with the deposition of the shallow marine Bartonian facies of the Borové Fm. During the highstand, most of the coarse sediments of the fan deltas were stored adjacent to hinterland, thus restricting the areal extent of the subaerial fans. The marked eustatic lowering of sea level in the early Priabonian, at the beginning of the TA4 supercycle, led to regression accompanied by subaerial exposure and the erosion of deposits of previous sedimentary cycles. Rare flowstone clasts (Fig. 3H) in the debris flow conglomerates can indicate karstification in the source area. The exposed shelf was prone to developing incised valleys as a result of fluvial incision (e.g., Vail et al., 1984; Porębski and Steel, 2003). Consequently, the reddish nonfossiliferous mass-flow domiA Unit 3
B
C
D
E
F
G
H
nant conglomerates (alluvial fan deposits/subaerial fan delta; Unit 1) filled the incised valleys. The fluvial incision into the underlying deposits of the Borové Formation and the Mesozoic basement units is well-marked at the Čremoš locality and it corresponds to a sequence-stratigraphy boundary (SB1). This incision increased from the margin towards the central part of the Pucov conglomerates, with only the central part of this valley incised into the Mesozoic basement being overlain by the Unit 1 and 2 deposits. The incision at the marginal areas terminated in deposits of the Borové Formation. Valley flanks here are overlain by more wide-spread deposits of Unit 2 as a consequence of backstepping of fan deltas.
The conglomerates of Unit 1 are notable for their reddish matrix. We assume that this red pigment is hematite formed by mature hydrated ferric oxides entering the alluvial sediments as finely divided soil-weathering products (Taylor, 1982), following their transport and deposition by rivers (e.g., McPherson, 1980). The red pigmentation may also have been increased by disintegration of red and violet sedimentary rocks of the Mesozoic units (Gross et al., 1982). A subsequent rise in the relative sea level accompanied by relatively rapid tectonic subsidence (Soták et al., 2001) along the CCPB margins during the Priabonian led to extensive transgression and the gradual overlying of subaerial alluvial deposits by the subaqueous fan delta facies association of Unit 2. The onset of transgression is marked by wave-reworked conglomerates and by the onlap of deposits of Unit 2 onto the incised valley walls, where the transgressive surface coincides with the SB1 sequence boundary. Erosive features filled by wave-worked conglomerates may represent ravinement surfaces. The subaqueous environment of delta fans shows a relatively high coarse-grained input which is mainly due to mass flow movement. However, this environment is characterized by heterogeneity of the facies sequences, which can reflect interplay between processes. These include varying discharges of sediment during individual flood events or the effects of wave, tide and current processes. Wave-reworked segments in the Unit 2 may indicate a “transition zone” (Wescott and Ethridge, 1982) where coarse-grained deltas are influenced by wave and tides (Postma, 1984; Coella, 1988).
A subsequent continual relative sea level rise resulted in a deepening depositional environment which is documented by the generally upwards-fining trend in particle size between Unit 2 and 3. This reflects the relatively rapid transition from a shallower-water facies to a prodelta/slope and basinal facies with slow hemipelagic setting. Maximum flooding occurred in Unit 3 abreast of deposition of the Globigerina Marls (Soták et al., 2007).
However, it is difficult to estimate the individual contributions of eustatic fluctuations and tectonic effects to the relative sea level changes (e.g., Schlager, 1993; Massari et al., 1999). While regression at the Bartonian/Priabonian boundary appears to be coupled rather with a eustatic sea level fall, the influence of tectonic activity at the sources cannot be excluded. This is due to the very coarse-grained sediments which indicate a steep gradient in the depositional area which is typical of tectonically controlled basin margins. Additionally, the following transgression and relatively rapid deepening of the depositional environment suggest a significant effect of tectonic subsidence in the Orava region of the CCPB. The continuous relative sea level rise may have influenced the delta front to retreat towards the land. Abandonment of the delta slope and the prodelta resulted in a hemipelagic drape on the subsiding fan delta lobes in Unit 2.
The relatively small lateral extent of individual deltaic bodies, the variable discharge competence, and the limited transport distance as indicated by the scarceness of stable constituents and the dominance of immature debris; all suggest a small fan delta system with a small drainage basin and a short feeder system. The formation of such deltas reflects a rapid response to climatic and tectonic changes (Postma, 1990). The architecture of the Pucov succession corresponds to a shallow-water coarse-grained alluvial delta, generally dominated by gravel, with a steep gradient of the A-feeder type system (sensu Postma, 1990). It is characterized by ephemeral, unconfined streams involving mass flows. Due to rapid tectonic subsidence along the CCPB margins, this initial shoal-water delta stage changed during the Priabonian and deposition reflects the deepening environment affecting the fan deltas’ architecture. This caused the landward shifting of coarse-grained facies with clasts trapped on the shore, while distal parts of the fan delta were deactivated by the superposition of basinal marlstones, limestones and thin turbidites.
SEDIMENTOLOGICAL INTERPRETATION AND SPATIAL OCCURRENCE OF THE PUCOV MEMBER
The interpretation of the Pucov Member presented in this paper differs from that provide by Gross et al. (1982, 1993). From a sedimentological viewpoint, there are at least three reasons for this different interpretation.
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**Fig. 7A** – detailed section of the distal prodelta/slope and basin facies association (upper part of Unit 3) showing mainly its fine-grained hemipelagic deposition and turbidites (Pucov); B – rhythmic deposition of siltstones and mudstones with thin turbiditic sandstones in prodelta (Facies M₂, S₃); C – microscopic view of carbonate sandstones (Facies S₁) with common redeposited fossil remains (mainly large foraminifers: *Nummulites* sp., *Alveolina* sp.); D – isolated, thick bed of normally-graded conglomerates (Facies C₁) underbeded with Facies M₁ and overlapped by thin interval of Facies S₁ with Facies M₁ (prodelta/slope environment); E – fine-grained, laminated sandstones and siltstones (Facies S₁) deposited by hyperpycnal flows; F – thick complex bed formed (bottom upwards) by pebble to fine cobble debris-flow conglomerates at the base (Facies C₁), overlain by a turbidite unit of massive to normally-graded coarse pebble conglomerates with erosive base (Facies C₁), coarse pebble sandstone (Facies S₁) and planar-stratified sandstones to siltstones (Facies S₂) continuous passing into mudstones (Facies M₂); G – laminated limestones; H – thin tuftite horizon
m – mudstone, s – siltstone, sand. – sandstone
Fig. 8. MPS/BTh relationship in debris flows from subaerial (Unit 1) and subaqueous (Unit 2) deposits of the alluvial fan and fan delta
Firstly, if the Pucov conglomerates form a deep-water depositional fan in the lower part of the Huty Formation, the presence of an underlying Eocene basinal/deep-water facies can be presumed. However, such a basinal/deep-water facies was not confirmed by field mapping and by an exploration well. It was established that only other shallow-water deposits of the Borové Formation or the Cretaceous sedimentary basement of the Krížna Nappe are preserved in the studied sections.
Secondly, sedimentary features, such as the colour and composition of the matrix, the absence and upwards increase of fossil remnants, and the occurrence of wave reworked segments, all suggest deposition changing from a subaerial to a shallow marine environment rather than a deep marine one (e.g., Dabrio, 1990).
Thirdly, the total absence of fossils in the rare fine-grained facies associated with the red conglomerates is more in keeping with alluvial fan models rather than with deep-water canyons or terminal fan models, where interbedding with hemipelagic mudstone drapes which are often rich in microfossil content, and also more sandy horizons, are typical (e.g., Wright et al., 1988; Prior and Bornhold, 1990; Gardner et al., 2003).
With regard to criteria such as facies associations, depositional palaeoenvironment, and stratigraphic position, the Pucov Member can be defined as the fan delta facies association which reflects the change from subaerial to subaqueous depositional environments during the late Bartonian to early Priabonian regressive-transgressive cycle. The sedimentary record for the separate locations in the Orava Basin (Fig. 2B) represents coeval equivalents within the fan delta system that changed during evolution of the basin.
However, conglomerate deposits marked as the Pucov Member are documented in different stratigraphical levels in various parts of CCPB (sensu Gross et al., 1984). These are often connected with unrelated events and depositional palaeoenvironments during evolution of the CCPB (e.g., Tokáreň conglomerates on the eastern slope of the High Tatra Mts.; Janočko and Jacko, 1999; Janočko et al., 2000). That they share the name the Pucov Member is confusing (cf. Sliva et al., 2004; Soták et al., 2007).
Sedimentary facies, similar to the Pucov Member with red to grey coarse clastic deposits of terrestrial to shallow marine origin, are preserved at different stratigraphic levels in several CCPB outcrops. The most distinct of these are on the northern flanks of the High Tatra Mts. (Hruby Regiel), where pre-transgressive deposits of red to grey conglomerates and breccias are overlain by the shallow marine strata comprising sandstones and limestones of the Borové Formation (Sokolowski, 1959). A partly similar situation occurs at the eastern part of the CCPB, in the Hornád Member as described by Filo and Siráňová (1998). Pre-transgressive deposits near Markušovce village have been interpreted as a terrestrial fluvial valley fill to the fan delta (Marschalko, 1970; Baráth and Kováč, 1995; Prekopová and Janočko, 2005). The facies association of the Pucov conglomerates is also similar to the Vajsková conglomerates in the Lopejská kotlina Depression (Biely and Samuel, 1982), but despite this similarity, their stratigraphical position remains unclear because of poor exposure area.
Renewal of a succession of pre-transgressive character (developed on the base of the Borové Formation) in the terminal part of the Borové Formation (Pucov Member) suggests a new regressive cycle at the boundary between the Bartonian and Priabonian. Identification of this regressive event in other parts of the CCPB is unclear.
This may be established by the presence of strata rich in plant fragments in the terminal part of the Borové Formation (Nummulitic Eocene in Poland; Sokolowski, 1959; Glazek and Zastawniak, 1999). Soták et al. (2007) suggested that the Pucov conglomerates could be indirectly correlated with alluvial and fluviolimnic deposits such as the freshwater Odorín limestones in the Spiš area or with the freshwater and brackish clays at the top of the Paleogene coral horizon of the Buda Basin (Seneš, 1964). These were deposited during regression and subaerial erosion at the end of the mid Eocene and preceded the new marine transgression at the beginning of the late Eocene.
However, in accordance with the stratigraphical position and facies features of the Pucov Member, it currently appears that its occurrence is limited to the Orava region.
CONCLUSION
The Central Carpathian Paleogene Basin evolution reflects the important role of relative sea level changes on a tectonically active basin margin. After the initial upper Lutetian/Bartonian transgression with shallow-marine deposition, the next regressive-transgressive cycle played a key role in the formation of late Eocene alluvial fan delta facies associations in the southern Orava region.
The first stage of delta development is connected with the regression which corresponds well with the marked global eustatic lowering of sea level at the Bartonian/Priabonian boundary. This sea level lowering was most likely the main reason for subaerial exposure and incision of previous sedimentary successions and also for the consistent deposition of coarse-grained alluvial fans. The subaerial deposition, accompanied mainly by thick boulder-rich conglomerates with a reddish clayey matrix, suggests a mass-flow-dominated alluvial delta with a variety of deposits reflecting a range of slow-moving, high strength/high-viscosity debris flows to more water-rich fluidal flows, likely showing a transition to sediment-laden stream flows. The alluvial fans adjoin the subaqueous environment distally where the mass flow deposits were often subject to reworking by waves or wave-induced shallow-marine currents and they were also subject to further resedimentation.
However, the vertical arrangement of the facies associations shows a retrograding delta system which suggests that high-amplitude transgression resulted in a relatively rapid submergence of the subaerial and shallow water parts of the coarse-grained alluvial delta with accompanying superposition of prodelta/slope and basinal facies associations. During the rapid increase in sea level, the areal extent of the subaerial fans was restricted and the distal parts of the fan delta became inactive. Although this transgression responded to the gradual eustatic sea level rise during the Priabonian and at the beginning of the Rupelian, we propose that rapid tectonic subsidence (Soták et al., 2001) along the CCPB margins during the Priabonian was the main agent leading to this transgression and to the marked deepening of the depositional environment.
Acknowledgements. This work was supported by the scientific grant agency of the Slovak Republic (Vega 0140) and Slovak Research and Development Agency under the contract No. APVV-0465-06. We thank D. Ventra and anonymous reviewer for the detailed review of this paper and constructive comments.
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Cable-Driven Robots with Wireless Control Capability for Pedagogical Illustration in Science
Julien Alexandre Dit Sandretto, Cyprien Nicolas
To cite this version:
Julien Alexandre Dit Sandretto, Cyprien Nicolas. Cable-Driven Robots with Wireless Control Capability for Pedagogical Illustration in Science. CAR - 8th National Conference on "Control Architecture of Robots", Jun 2013, Angers, France. hal-00862752
Cable-Driven Robots with Wireless Control Capability for Pedagogical Illustration in Science
Julien Alexandre dit Sandretto\textsuperscript{1}, Cyprien Nicolas\textsuperscript{2},
Inria Sophia-Antipolis Méditerranée
May 27, 2013
Abstract
Science teaching in secondary schools is often abstract for students. Even if some experiments can be conducted in classrooms, mainly for chemistry or some physics fields, mathematics is not an experimental science. Teachers have to convince students that theorems have practical implications. We present teachers an original and easy-to-use pedagogical tool: a cable-driven robot with a Web-based remote control interface. The robot implements several scientific concepts such as 3D-geometry and kinematics. The remote control enables the teacher to move freely in the classroom.
1 Introduction
Students often find the instruction of technological sciences and mathematics abstract and unclear. To illustrate their lecture and explain theorems, teachers are restricted to use a limited number of tools (e.g., ruler, board) that have an abstract link with the concepts that have to be illustrated. Thus the understanding is difficult, and the interest of mathematics is not physically demonstrated. Our recent work [3] led us to consider that parallel cable-driven robots may be interesting as a pedagogical demonstrator. Cable-driven robots use motorized winches to coil and uncoil cables and a coordinated control of the cable lengths allows one to control the position of a platform moving in space, like a crane with several cables [7]. Moreover, teachers need to move around the robot and walk in the classroom to physically illustrate their speech and provide an interesting course. Under this constraint, the controller has to be remote and wireless.
Cable-driven robots may be used to illustrate a large variety of scientific concepts, such as geometry: Pythagorean theorem, vectors, Grassmann geometry, etc.; robotics: control, calibration, kinematics, statics, etc.; and computer science: user interfaces, network communication, numerical methods, programming, etc., this list being non-exhaustive.
We present a pedagogical system that has already been used at a local science fair, and we base our talk on the experience we gained from that demonstration. We shall first describe the physical aspects of the robot in Section 2. Then, we detail the mathematical model used to move and locate the robot in space in Section 3. We show the web-based control interface in Section 4, and introduce the Hop toolkit used to build the interface in Section 5. Last, we conclude in Section 6 and we discuss future works in Section 7.
2 Our Pedagogical System
Our system is pictured in Figure 1. It is composed of four coiling systems, each put atop of a tripod. The four cables are tied to a single platform made from Lego. Each coil is activated by a stepper motor, which is controlled by a Phidget Stepper board. Each board control interface is plugged by a USB cable. The four USB cables are plugged on a computer either directly (if there are enough USB ports), or through a USB hub. It can be any kind of computer with the USB “Host” capability. We made successful experiments with small embedded systems such as Phidget SBC2 or Fit-PC2 devices. In the pictured setup, we merely used a standard laptop.
The software controlling the robot was running on the laptop. The control interface shows two different controls: a manual activation of each coil to wind or unwind a specific cable, and a Cartesian command to move the robot in a well-known direction.
By creating a WiFi network in the classroom, or using an existing one, any connected device could access the Web server running on the laptop to display the control interface. We actually remotely controlled the robot from a Nexus S Android device. The WiFi network was also created by the same Android device, using the connection sharing ability.
This kind of manipulator is portable, modular in size (it can be put on a table or may cover a whole classroom) and easy to handle by a teacher or students. Moreover the technologies that are used are cheap, easily available and so simple that students of any level may build from scratch their own device.
During the science fair, we used the robot to show how Pythagoras’ theorem is needed to make basic movements. The challenge proposed to the students was to move the robot from a point $P_1$ to a point $P_2$ in the robot’s space using only the manual, per-coil commands. Point $P_1$ was the initial position of the robot’s platform, and point $P_2$ was figured by the hand of a volunteer student. Another volunteer student used the control interface to move the robot’s platform. Less than half of the students managed to make the full movement in less than a minute. Some of them resigned.
We then asked the same students to redo the same $P_1$-to-$P_2$ movement using the Cartesian command. They all succeeded in less than 15 seconds. The challenge opened the students’ curiosity for the robot model.
## 3 Cable-driven modelling
### 3.1 Cable-driven robot architecture
In the sketch presented in Figure 2, the mobile platform (linked to the point $O$) is connected to the base (linked to the frame $\Omega$) by $m = 4$ cables.
The cable connects the points $A, B, C$ and $D$ in the base (coordinate $a, b, c$ and $d$ in $\Omega$) to the point $O$ on the mobile platform. The position $p$ of $O$ expressed in $\Omega$ is directly controlled by the length $l_{a,b,c,d}$ and the tension of each cable.
### 3.2 Kinematics
The implicit kinematics links the position of the platform and the cable length with the four relations:
\[
\begin{align*}
||p - a||_2 - l_a &= 0 \\
||p - b||_2 - l_b &= 0 \\
||p - c||_2 - l_c &= 0 \\
||p - d||_2 - l_d &= 0
\end{align*}
\]
With these relations, we can compute the four cable lengths to reach a position for the platform $p$, with the Pythagorean equation:
\[
l_a = \sqrt{(x - a^x)^2 + (y - a^y)^2 + (z - a^z)^2}
\]
\[
l_b = \sqrt{(x - b^x)^2 + (y - b^y)^2 + (z - b^z)^2}
\]
\[
l_c = \sqrt{(x - c^x)^2 + (y - c^y)^2 + (z - c^z)^2}
\]
\[
l_d = \sqrt{(x - d^x)^2 + (y - d^y)^2 + (z - d^z)^2}
\]
### 3.3 Cartesian control
The mobile platform is controlled in the 3 degrees of freedom, its position, in the global frame $\Omega$. The inverse kinematics (see Section 3.2) allow one to compute the length $l_a$ to reach a given position. We compute the order for the motor $A$, denoted $\rho_a$, as follows:
\[
\rho_a = \frac{(l_a - l_0)}{(2\pi r)} N_{steps} \tag{1}
\]
where $l_0$ is the unwound length of cable at motor’s home position, $r$ the drum radius, and $N_{steps}$ the number of steps per turn. The orders for the other motors $B,C,D$ are computed by the same manner.
### 4 Control Interface
The interface is generated and served by Hop. We wrote a Web interface that allows the demonstrator not only to move the robot, but also to calibrate the coils and get feedback about the robot state. We divided the interface in three pages: one for the actual control of the robot, and two for the calibration part: the trilateration of coil coordinates and zeroing of each motor.
On top of each page of the Web app, links enable to switch between the different roles or to switch between French and English interface languages. In this section we present the interfaces, starting with the Setup and Calibration interfaces. Each interface is composed of several blocks of information. Each block has a title and can be folded or unfolded. To reduce the size of the screenshots presented in this section, some blocks are presented in their folded form.
#### 4.1 Robot Setup
**Figure 3:** The configuration interface
The setup interface is pictured in Figure 3. The page is divided in three blocks. The first block, entitled “Current Status”, is shared among all interfaces. It reports the current cable lengths and the position deduced from the lengths by solving the direct kinematics. The “Save!” button records the current position in order to get back there later.
The second block reports the last known coils coordinates. It helps to ensure that the known coordinates roughly correspond to the actual spatial configuration of the robot. The coordinates are stored within the application configuration for easy reuse in subsequent demonstrations.
The third and last block computes the coordinates of the coils using the coil inter-distances. The Cartesian coordinates are determined by solving circle equations. The computation takes six inputs (as we have four coils); two buttons enable solving and saving the trilateration. Figure 4 shows the solution coordinates of a given set of distances.
### 4.2 Robot Calibration
Figure 5 shows the calibration interface, which zeroes the motors. For each coil, two buttons permit to wind and unwind the cable until it reach the expected length for the coil (each cable has a mark at exactly $l_0 = 100$ cm of the platform). When winding or unwinding, the coil rotates continuously until the “Stop” button is pressed. The “Save” button records the zero (home position) within the stepper controller. Each coil can be zeroed independently from the others. The color tells the user about one coil’s motor status: green stands for zeroed, orange for not zeroed yet, and red signals an error. Errors can mean that the motor cannot be detected, or the system failed to communicate with the motor controller.
### 4.3 Robot Control
The main interface is pictured in Figure 6. It is composed of five blocks. As the first block is common to previous interfaces, we omit it here. The second block controls coils. The colors have the same purpose described above. For each coil there are two buttons: “Wind”, and “Unwind”. Each respectively winds and unwinds a coil by a half-turn which roughly corresponds to 3.5 cm.
The third block enables per-axis motion: each button moves the robot in one direction by 5 cm. The fourth block enables the manipulator to specify coordinates to go to. Either the coordinates represent a vector by which the robot should be shifted, or, if the checkbox is unmarked, an absolute position within the coil-delimited affine space.
Last, the fifth control block lists saved coordinates from the status block. For each saved position, a button loads the coordinates and moves the robot there, while the second button removes the coordi5 Hop
Hop is a programming language and platform for the Web. It incorporates all the required Web-related features into a single language with a single homogeneous development and execution platform, thus uniformly covering all the aspects of a Web application: client-side, server-side, communication, and access to third-party resources. Hop embodies and generalizes both HTML and JavaScript functionalities in a SCHEME/CLOS-based platform [2] that also provides the user with a fully general algorithmic language. Web services and APIs can be used as easily as standard library functions on the server and client. In this section, we give a brief introduction to Hop. Readers interested in extra details should refer to [5, 6].
We use three different aspects of Hop in our system. First, the ability to interact with system (C/C++) libraries, like the libphidget one. Second, the Web service definitions: how can we expose a library function through a Web service, how to deal with concurrency. Last, the Hop ability to generate interactive Web interfaces, which can invoke the just described Web services.
5.1 Layered Control
The coils are controlled by Phidget boards. The Hop’s Phidget library allows the management of Phidget devices as any other Hop value (such as String or any number type). As such they can be passed to functions, returned as results, or stored in variables and data structures.
Thanks to the Hop’s Phidget library, we wrote all the control code in Hop. The code is like C-code, with mainly syntactic differences, and a few stylistic changes. The control code orders a given stepper motor to rotate in a given direction for a given number of steps.
Atop of this low-level control layer, comes the geometric layer, translating points in space into cable lengths \((l_{a,b,c,d})\), and desired cable lengths on a given coil into rotation orders of a given number of steps \((p_{a,b,c,d})\). We choose this separation to keep the ability to replace the control layer by a simulation layer to draw or report what would be done for a given position. It enables us to test the geometric layer separately from the control layer. This separation also allows us to change the geometric layer to deal with different robot designs.
Then, we use Hop to provide access to any functions of the geometric layer through URLs. This last layer also manages the possible concurrent accesses.
5.2 Web services
In Hop, a service is a regular function which can be called from an URL. The Hop web server waits for HTTP requests on a given port (8080 by default). When a request is received, the requested resource identifies a service, and the function associated with the service is applied to the request parameters.
As any Web server, Hop is by default concurrent. Threads, organized in a pool, handle requests concurrently for better performance and multitasking. A Hop server is not necessarily serving only
one service at a time! Hop uses native threads, usually POSIX threads, with preemptive semantics. As such, services with side-effects might require the use of locks to avoid races.
This concern applies to all services wrapping functions to move the robot. Moreover, in our specific situation, the robot should not receive two orders at the same time, even if the orders come from different services. Here we need a global lock for any movement-related service. Querying the robot state is side-effect free and thus does not require resource acquisition.
5.3 Web interfaces
Nowadays, Web interfaces are the most universal way to deploy graphical user interfaces (GUIs). Smartphones and tablets now embed the same modern browsers as we have on our computers. Web applications do not require any installation: the application is downloaded from a Web server and is immediately ready to run. We found it obvious that a pedagogical system should be as device-agnostic as possible, and not requiring any complex setup.
Hop is designed to create Web interfaces. Hop embeds Web-UI languages: it can manipulate any HTML element as it manipulates any Hop value, i.e., aggregating the element in data structures, converting it to String and vice-versa.
As Hop defines HTML trees and Web services, Hop naturally provides simple syntax to call a Hop’s service from a HTML tree, using standard Web events such as mouse clicks or keyboard inputs.
6 Conclusion
We described a pedagogical system made of a cable-driven robot and a remote control. The robot only requires casual hardware for less than 600 Euros. Our system enabled us to give a physical illustration of the Pythagorean theorem and led to a more attractive presentation of lectures. Mobility through wireless remote control improves the teaching conditions by enabling all students to move the robot. These positive results motivate us to distribute our robot in 3 different schools (high school, university and engineering school) during the next year.
7 Future Works
There is an ongoing work on Hop called HipHop [1]. HipHop is about porting the Esterel Reactive Programming style in Hop. Robots are reactive systems that react to inputs coming from their environment or from the manipulator. HipHop is an orchestration language for Hop. By adding such a layer in the cable-driven robot, we will be able to easily program robots movement sequences, preempt actions when an obstacle is detected, and so on. We plan to place a smartphone in the robot to get data from its sensors through Hop (Hop has already been successfully ported to Android platforms). Using HipHop to orchestrate robot movements, we extend the pedagogical system to teach robots and event-based programming. In the robotics field, we plan to apply our recent work on cable-driven robot calibration [4] to this prototype and add it in our Hop based control interface.
References
[1] G. Berry, C. Nicolas, and M. Serrano. HipHop: A Synchronous Reactive Extension for Hop. In Proceedings of the PLASTIC’11 workshop, Portland, USA, Oct. 2011.
[2] R. Kelsey, W. Clinger, and J. Rees. The Revised(5) Report on the Algorithmic Language Scheme. Higher-Order and Symbolic Computation, 11(1), Sept. 1998.
[3] J.-P. Merlet. Marionet a family of modular wire-driven parallel robots. In ARK, page 53–62, 2010.
[4] J. A. D. Sandretto, D. Daney, and M. Gouttefarde. Calibration of a fully-constrained parallel cable-driven robot. In RoManSy, Paris (France), 2012.
[5] M. Serrano. HOP, a Fast Server for the Diffuse Web. In proceedings of the COORDINATION’09 conference (invited paper), Lisbon, Portugal, June 2009.
[6] M. Serrano, E. Gallesio, and F. Loitsch. HOP, a language for programming the Web 2.0. In Proceedings of the First Dynamic Languages Symposium, Portland, Oregon, USA, Oct. 2006.
[7] S. Tadokoro, R. Verhoeven, M. Hiller, and T. Takamori. A portable parallel manipulator for search and rescue at large-scale urban earthquakes and an identification algorithm for the installation in unstructured environments. In Intelligent Robots and Systems, volume 2, pages 1222 –1227 vol.2, 1999.
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Privacy Impact Assessment for the NOAA0520 NOAA Enterprise Data Centers (EDC)
Reviewed by: Mark H. Graff, Bureau Chief Privacy Officer
☒ Concurrence of Senior Agency Official for Privacy/DOC Chief Privacy Officer
☐ Non-concurrence of Senior Agency Official for Privacy/DOC Chief Privacy Officer
Jennifer Goode 05/12/2021
Signature of Senior Agency Official for Privacy/DOC Chief Privacy Officer Date
The NOAA Enterprise Data Center (EDC) NOAA0520 is comprised of several “subsystems” or “locations.” NOAA0520 is a general facility support system. The EDC is responsible for the overall management of operations and oversight at NOAA’s Enterprise Data Center locations. The EDC NOAA0520 is missioned with a primary function requirement to provide co-location services which include common controls to the various NOAA programs who reside in the various rooms, buildings, or facilities managed under the EDC umbrella. This information system is also capable of supporting SCADA information system (IS) which provides building power, badging and CCTV security support services and resources in select locations.
For the NOAA0520, the system boundary is defined both logically and physically. Logically, or from an IT services perspective, the scope or boundary of the NOAA0520 system is considered to include the SCADA systems used to monitor and maintain the facilities that NOAA maintains; environmental monitors for the locations that NOAA does not maintain; and the systems used to support those applications.
Physically, the scope or boundary of the NOAA0520 system is considered to include all of the following data center locations:
Boulder, CO (additional)
Silver Spring, MD (additional)
Ashburn, VA (additional)
Fairmont, WV (primary)
Interconnected with NOAA N-Wave for transport services between NOAA0520 locations.
(d) The way the system operates to achieve the purpose(s) identified in Section 4
PII consists of information provided for building and restricted area access, including video data. PII inside of the NOAA0520 system boundary is only accessible by Federal employees and NOAA0520 support contractors for the determination of access and badge coding. C-Cure is an application used to manage and monitor physical access.
(e) How information in the system is retrieved by the user
Personnel with security responsibilities access door access and video data via an isolated workstation that has limited access to both the room and terminal. Access determinations are stored in Smartsheets and are only accessible by those involved in access determinations.
(f) How information is transmitted to and from the system
Via email, Smartsheets, and via administrative input (workstation) for access determinations. Video data and door access data is transmitted to / from a workstation for security management.
(g) Any information sharing conducted by the system
The PII in the system will not be shared outside of the bureau, except in case of privacy breach reporting.
(h) The specific programmatic authorities (statutes or Executive Orders) for collecting, maintaining, using, and disseminating the information
5 U.S.C. 301, Departmental Regulations and 15 U.S.C. 1512, Powers and duties of Department. E.O. 12107, E.O. 13164, 41 U.S.C. 433(d); 5 U.S.C. 5379; 5 CFR Part 537; DAO 202-957; E.O. 12656; Federal Preparedness Circular (FPC) 65, July 26, 1999; DAO 210-110; Executive Order 12564; Public Law 100-71, dated July 11, 1987.
(i) The Federal Information Processing Standards (FIPS) 199 security impact category for the system
High
Section 1: Status of the Information System
1.1 Indicate whether the information system is a new or existing system.
_____ This is a new information system.
_____ This is an existing information system with changes that create new privacy risks.
(Check all that apply.)
| Changes That Create New Privacy Risks (CTCNPR) |
|-----------------------------------------------|
| a. Conversions | d. Significant Merging | g. New Interagency Uses |
| b. Anonymous to Non-Anonymous | e. New Public Access | h. Internal Flow or Collection |
| c. Significant System Management Changes | f. Commercial Sources | i. Alteration in Character of Data |
| j. Other changes that create new privacy risks (specify): |
_____ This is an existing information system in which changes do not create new privacy risks, and there is not a SAOP approved Privacy Impact Assessment.
_____ This is an existing information system in which changes do not create new privacy risks, and there is a SAOP approved Privacy Impact Assessment (version 01-2015 or 01-2017).
X This is an existing information system in which changes do not create new privacy risks, and there is a SAOP approved Privacy Impact Assessment (version 01-2019 or later).
Section 2: Information in the System
2.1 Indicate what personally identifiable information (PII)/business identifiable information (BII) is collected, maintained, or disseminated. *(Check all that apply.)*
### Identifying Numbers (IN)
| a. Social Security* | f. Driver’s License | j. Financial Account |
|---------------------|---------------------|----------------------|
| b. Taxpayer ID | g. Passport | k. Financial Transaction |
| c. Employer ID | h. Alien Registration | l. Vehicle Identifier |
| d. Employee ID | i. Credit Card | m. Medical Record |
| e. File/Case ID | | |
| n. Other identifying numbers (specify): |
*Explanation for the business need to collect, maintain, or disseminate the Social Security number, including truncated form:
### General Personal Data (GPD)
| a. Name | x | h. Date of Birth | o. Financial Information |
|---------|---|-----------------|--------------------------|
| b. Maiden Name | | i. Place of Birth | p. Medical Information |
| c. Alias | | j. Home Address | q. Military Service |
| d. Gender | | k. Telephone Number | r. Criminal Record |
| e. Age | | l. Email Address | s. Physical Characteristics |
| f. Race/Ethnicity | | m. Education | t. Mother’s Maiden Name |
| g. Citizenship | | n. Religion | |
| u. Other general personal data (specify): |
### Work-Related Data (WRD)
| a. Occupation | | e. Work Email Address | i. Business Associates |
|---------------|---|-----------------------|------------------------|
| b. Job Title | X | f. Salary | j. Proprietary or Business Information |
| c. Work Address | | g. Work History | k. Procurement/contracting records |
| d. Work Telephone Number | X | h. Employment Performance Ratings or other Performance Information |
| l. Other work-related data (specify): |
### Distinguishing Features/Biometrics (DFB)
| a. Fingerprints | f. Scars, Marks, Tattoos | k. Signatures |
|-----------------|--------------------------|--------------|
| b. Palm Prints | g. Hair Color | l. Vascular Scans |
| c. Voice/Audio Recording | h. Eye Color | m. DNA Sample or Profile |
| d. Video Recording | i. Height | n. Retina/Iris Scans |
| e. Photographs | j. Weight | o. Dental Profile |
| p. Other distinguishing features/biometrics (specify): |
2.2 Indicate sources of the PII/BII in the system. (Check all that apply.)
| Directly from Individual about Whom the Information Pertains |
|-------------------------------------------------------------|
| In Person | Hard Copy: Mail/Fax | Online | X |
| Telephone | Email | X |
Other (specify):
| Government Sources |
|--------------------|
| Within the Bureau | Other DOC Bureaus | Other Federal Agencies |
| State, Local, Tribal | Foreign |
Other (specify):
| Non-government Sources |
|------------------------|
| Public Organizations | Private Sector | Commercial Data Brokers |
| Third Party Website or Application |
Other (specify):
2.3 Describe how the accuracy of the information in the system is ensured.
Access determinations information accuracy is ensured via input validation, user validation and encryption. Video and door access data is read-only as received by transmitting devices and cannot be altered based on integrity checks and timestamps.
2.4 Is the information covered by the Paperwork Reduction Act?
Yes, the information is covered by the Paperwork Reduction Act. Provide the OMB control number and the agency number for the collection.
2.5 Indicate the technologies used that contain PII/BII in ways that have not been previously deployed. (Check all that apply.)
| Technologies Used Containing PII/BII Not Previously Deployed (TUCPBNPD) |
|---------------------------------------------------------------|
| Smart Cards | Biometrics |
| Caller-ID | Personal Identity Verification (PIV) Cards |
| Other (specify): |
X There are not any technologies used that contain PII/BII in ways that have not been previously deployed.
Section 3: System Supported Activities
3.1 Indicate IT system supported activities which raise privacy risks/concerns. (Check all that apply.)
| Activities |
|-----------------|
| Audio recordings | Building entry readers |
| Video surveillance* | Electronic purchase transactions |
Other (specify): There is video surveillance in EDC facilities which houses NOAA offices and NOAA employees.
*GSA Building
There are not any IT system supported activities which raise privacy risks/concerns.
Section 4: Purpose of the System
4.1 Indicate why the PII/BII in the IT system is being collected, maintained, or disseminated. (Check all that apply.)
| Purpose |
|-----------------|
| For a Computer Matching Program | For administering human resources programs |
| For administrative matters | To promote information sharing initiatives |
| For litigation | For criminal law enforcement activities |
| For civil enforcement activities | For intelligence activities |
| To improve Federal services online | For employee or customer satisfaction |
| For web measurement and customization technologies (single-session) | For web measurement and customization technologies (multi-session) |
Other (specify):
System security. Archive and Storage only – no dissemination or processing within the EDC environment. Access determination and authorization.
5.1 In the context of functional areas (business processes, missions, operations, etc.) supported by the IT system, describe how the PII/BII that is collected, maintained, or disseminated will be used. Indicate if the PII/BII identified in Section 2.1 of this document is in reference to a federal employee/contractor, member of the public, foreign national, visitor or other (specify).
Two separate cards may be required to gain entry to NOAA offices and work areas: One, to access the building itself issued by the facility; this is needed to use common areas within the facility. The other is a CAC (or Common Access Card) authorized by NOAA, and issued by a Federal Government office. The EDC Access Request, via a Smartsheets form, should be used to request the issue of a building access card and for adding EDC-managed areas to an existing CAC.
In accordance with applicable security controls, unescorted access to EDC must first be requested utilizing the EDC Access Request, via a Smartsheets form, prior to access approvals. Those individuals who would like unescorted access must supply the requested/required data on the EDC Access Request, via a Smartsheets form. Those requested/required data items are Name, Telephone Number, Job Title. Additionally, information collected from CAC is CAC Number (10-digit), Agency, System CS/CI, Personal ID, Org ID and Org Category. Those requests and associated data supplied by the user are stored in a database and accessible only by authorized privileged account administrators. The individual-supplied data is used only for identification and coding of their CAC as well as for contact purposes if there should be a problem with the account. The user base consists of Federal employees and contractors.
5.2 Describe any potential threats to privacy, such as insider threat, as a result of the bureau’s/operating unit’s use of the information, and controls that the bureau/operating unit has put into place to ensure that the information is handled, retained, and disposed appropriately. (For example: mandatory training for system users regarding appropriate handling of information, automatic purging of information in accordance with the retention schedule, etc.)
An insider threat is a malicious threat to an organization that comes from people within the organization. DOC and NOAA has put in place mandatory training for all its uses. The Security Awareness and Insider Threat is an annual requirement, intended to reduce the risk and minimize the impact of an authorized user intentionally or unintentionally disclosing data, and causing adverse impact to sensitive data and mission.
7.4 Indicate whether and how individuals have an opportunity to review/update PII/BII pertaining to them.
| X | Yes, individuals have an opportunity to review/update PII/BII pertaining to them. |
|---|----------------------------------------------------------------------------------|
| | Specify how: |
| | The individual may submit an updated EDC Access Request, via a Smartsheets form, to the EDC Facility Access Control POCs and/or the authorizing signatories. |
| | No, individuals do not have an opportunity to review/update PII/BII pertaining to them. |
|---|----------------------------------------------------------------------------------------|
| | Specify why not: |
Section 8: Administrative and Technological Controls
8.1 Indicate the administrative and technological controls for the system. (Check all that apply.)
| X | All users signed a confidentiality agreement or non-disclosure agreement. |
|---|--------------------------------------------------------------------------|
| X | All users are subject to a Code of Conduct that includes the requirement for confidentiality. |
| X | Staff (employees and contractors) received training on privacy and confidentiality policies and practices. |
| X | Access to the PII/BII is restricted to authorized personnel only. |
| X | Access to the PII/BII is being monitored, tracked, or recorded. Explanation: Individuals who would like access to the NOAA Restricted spaces within EDC must supply the requested/required data on a form. Those requests and associated data supplied by the individual are stored in limited access SmartSheets and only accessible by authorized privileged account administrators. The individual-supplied data is used only for identification and coding of physical access badges as well as for contact purposes if there should be a problem with the account. |
| X | The information is secured in accordance with the Federal Information Security Modernization Act (FISMA) requirements. Provide date of most recent Assessment and Authorization (A&A): 08 Feb 2021. This is a new system. The A&A date will be provided when the A&A package is approved. |
| X | The Federal Information Processing Standard (FIPS) 199 security impact category for this system is a moderate or higher. |
| X | NIST Special Publication (SP) 800-122 and NIST SP 800-53 Revision 4 Appendix J recommended security controls for protecting PII/BII are in place and functioning as intended; or have an approved Plan of Action and Milestones (POA&M). |
8.2 Provide a general description of the technologies used to protect PII/BII on the IT system. (Include data encryption in transit and/or at rest, if applicable).
EDC employs C•CURE for physical access control. C•CURE is a scalable security management solution encompassing complete access control and advanced event monitoring. The system integrates with critical business applications including CCTV and video systems from American Dynamics (Intellex Digital Video Management Systems and VideoEdge NVR), visitor management, and third party devices such as fire alarms, intercoms, and burglar and other alarms.
Badge access to the NOAA facilities is supported 24x7 through the C•CURE system and/or security staff.
Two separate cards may be required to gain entry to NOAA offices and work areas: One, to access the building itself issued by the facility; this is needed to use common areas within the facility. The other is a CAC (or Common Access Card) authorized by NOAA, and issued by a Federal Government office. The EDC Access Request, via a Smartsheets form, should be used to request the issue of a building access card and for adding to EDC-managed areas to an existing CAC.
IAW NOAA 0520’s IT Security Policy, unescorted access to NOAA office spaces is provided to existing employees and contractors of NOAA using their existing NOAA badges, when they give a business justification. The EDC Access Request, via a Smartsheets form, for requesting unescorted access to sensitive IT areas requires confirmation that the applicant has passed at least a Background Investigation of at least a NACI, but the background check itself does not originate and is not stored in the system.
Methods and technologies employed to protect PII, including video data, consist of physical security of the facility and room where the data is maintained with limited access to authorized contract personnel; discretionary access controls on the file system and Smartsheets limited to Federal employees and contractors involved in the access determinations.
Section 9: Privacy Act
9.1 Is the PII/BII searchable by a personal identifier (e.g., name or Social Security number)?
_X_ Yes, the PII/BII is searchable by a personal identifier.
_____ No, the PII/BII is not searchable by a personal identifier.
9.2 Indicate whether a system of records is being created under the Privacy Act, 5 U.S.C. § 552a. (*A new system of records notice (SORN) is required if the system is not covered by an existing SORN*).
As per the Privacy Act of 1974, “the term ‘system of records’ means a group of any records under the control of any agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual.”
| X | Yes, this system is covered by an existing system of records notice (SORN). Provide the SORN name, number, and link. (*list all that apply*):
DEPT-18, Employees Personnel Files not Covered by other Notices;
COMMERCE/NOAA-11, Contact Information for Members of the Public Requesting or Providing Information Related to NOAA’s Mission.
DEPT-25, Access Control and Identity Management System and
GSA/Govt-7, Federal Personal Identity Verification Identity Management System cover the EDC Access Request, via a Smartsheets form, and the video surveillance. |
| | Yes, a SORN has been submitted to the Department for approval on *(date)*. |
|---|---|
| | No, this system is not a system of records and a SORN is not applicable. |
Section 10: Retention of Information
10.1 Indicate whether these records are covered by an approved records control schedule and monitored for compliance. (*Check all that apply.*)
| X | There is an approved record control schedule. Provide the name of the record control schedule:
NOAA1200-02, Research Notebooks
NOAA 1200-06, Data Requests |
|---|---|
| | No, there is not an approved record control schedule. Provide the stage in which the project is in developing and submitting a records control schedule: |
| X | Yes, retention is monitored for compliance to the schedule. |
| | No, retention is not monitored for compliance to the schedule. Provide explanation: |
10.2 Indicate the disposal method of the PII/BII. (*Check all that apply.*).
### Section 11: NIST Special Publication 800-122 PII Confidentiality Impact Level
#### 11.1 Indicate the potential impact that could result to the subject individuals and/or the organization if PII were inappropriately accessed, used, or disclosed. *(The PII Confidentiality Impact Level is not the same, and does not have to be the same, as the Federal Information Processing Standards (FIPS) 199 security impact category.)*
| | |
|---|---|
| | **Low** – the loss of confidentiality, integrity, or availability could be expected to have a limited adverse effect on organizational operations, organizational assets, or individuals. |
| X | **Moderate** – the loss of confidentiality, integrity, or availability could be expected to have a serious adverse effect on organizational operations, organizational assets, or individuals. |
| | **High** – the loss of confidentiality, integrity, or availability could be expected to have a severe or catastrophic adverse effect on organizational operations, organizational assets, or individuals. |
#### 11.2 Indicate which factors were used to determine the above PII confidentiality impact level. *(Check all that apply.)*
| | | Provide explanation: |
|---|---|----------------------|
| X | Identifiability | An individual may be identified from information in the accounts database. |
| X | Quantity of PII | The only PII is account contact information and what is read on the CAC. |
| | Data Field Sensitivity | |
| X | Context of Use | Compromise of building access PII. |
| | Obligation to Protect Confidentiality | |
| X | Access to and Location of PII | This system supports four access controlled physical data centers. Access to and Location of PII is restricted to a limited number of federal employees and contractors. |
| | Other: | |
12.1 Identify and evaluate any potential threats to privacy that exist in light of the information collected or the sources from which the information is collected. Also, describe the choices that the bureau/operating unit made with regard to the type or quantity of information collected and the sources providing the information in order to prevent or mitigate threats to privacy. (For example: If a decision was made to collect less data, include a discussion of this decision; if it is necessary to obtain information from sources other than the individual, explain why.)
Potential threats consist primarily of an insider-type threat based on how the information is collected, stored or accessed. Security controls are in place to restrict or limit access to information based on role. The type and quantity of information collected was evaluated to determine the least amount of data required to perform badge coding and physical access control.
12.2 Indicate whether the conduct of this PIA results in any required business process changes.
| | Yes, the conduct of this PIA results in required business process changes. Explanation: |
|---|-------------------------------------------------------------------------------------|
| X | No, the conduct of this PIA does not result in any required business process changes. |
12.3 Indicate whether the conduct of this PIA results in any required technology changes.
| | Yes, the conduct of this PIA results in required technology changes. Explanation: |
|---|---------------------------------------------------------------------------------|
| X | No, the conduct of this PIA does not result in any required technology changes. |
EDC - Fairmont - Access Request
PERSONAL INFORMATION
First Name *
Last Name *
Email Address *
Make sure you use your NOAA.GOV email address if you have one.
Line / Staff Office *
Division / Program *
EDC - FAIRMONT
NOAA OCIO Office Space
Select all that apply.
NOAA EDC (NOAA0520) Spaces
Select all that apply.
NOAA GOES-R Spaces
Select all that apply.
NOAA JPSS Spaces
Select all that apply.
Customer Cages
Select all that apply.
Comments
Acknowledgment
In order to be granted access to EDC facilities, you must confirm that you have fully read, understand, and agree to the following:
NONE AT THIS TIME
I have read, understand and agree to the EDC policies. *
Privacy Act Statement
Authority: 5 U.S.C 301 authorizes the operations of an executive agency, including the creation, custodianship, maintenance and distribution of records.
Purpose: The purpose of this collection is to create an identity card to allow employees unescorted access throughout the work site.
Routine Uses: NOAA will use this information to determine qualification for unescorted access. Disclosure of this information is permitted under the Privacy Act of 1974 (5 U.S.C. Section 552a) to be shared among NOAA staff for work-related purposes. Disclosure of this information is also subject to all of the published routine uses as identified in the Privacy Act System of Records Notice, COMMERCE/DEPT-25, http://www.osec.doc.gov/opog/PrivacyAct/SORNs/dept-25.html Access Control and Identity Management System.
Disclosure: Furnishing this information is voluntary; however, failure to provide accurate information may delay or prevent the individual from obtaining unescorted access in the work place.
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MEDIA RELEASE
For Immediate Release
November 21, 2012
NS SHOULD KEEP “ENVIRONMENT” IN THE ENVIRONMENTAL GOALS AND SUSTAINABLE PROSPERITY ACT
Halifax, NS – Sierra Club Canada – Atlantic Canada Chapter is concerned that proposed amendments to the Environmental Goals and Sustainable Prosperity Act, which passed Second Reading in the legislature on Tuesday night, removes “environment” from key parts of the Act. Bill 136 will go before Law Amendments Committee shortly before returning to the House for Third Reading.
“At a time when we face so many massive environmental issues and environmental laws are being eroded at the federal level, it is important to keep environment top-of-mind when setting goals,” says Gretchen Fitzgerald, Director of the Atlantic Canada Chapter of Sierra Club, “I see no reason why environment could not have remained in the Act as a premise for setting goals while including mention of a green economy.”
The Environmental Goals and Sustainable Prosperity Act makes a commitment that Nova Scotia will become one of the most environmentally and economically sustainable places in the world by 2020.
“We have all the elements we need here to achieve this ambitious goal of becoming world leaders, however, we need to stand fast to our commitment to protect the environment as an integrated part of our society: this is the current Act’s strength and I would hate to see it diminished,” states Fitzgerald.
For more information, please contact Gretchen Fitzgerald at 902-444-3113 or firstname.lastname@example.org
Backgrounder: Amendments removing the reference to “environment” in Bill 136 (http://nslegislature.ca/index.php/proceedings/bills/green_economy_act--_bill_136)
| EGSPA 2007 Now Reads | Changes Proposed, Bill 136 |
|-------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------|
| 4 (3)(b) establishing environmental goals and interim goals for different sectors of the economy of the Province for the purpose of meeting the environmental goals for the Province referred to in subsection (2); | Clause 4(3)(b) of Chapter 7 is amended by
(a) striking out "environmental" in the first line; and
(b) striking out "environmental goals" in the third line and substituting "goals for sustainable prosperity". |
| 4 (3)(c) establishing additional environmental goals from time to time; | (4) Clause 4(3)(c) of Chapter 7 is amended by striking out "environmental" in the first line. |
| 8 (1) The Governor in Council may enter into agreements with the Government of Canada or the government of a province of Canada, any agency of the Government of Canada or of the government of a province of Canada or any other person for the purpose of undertaking co-operative, complementary or compatible actions to reduce greenhouse gas emissions or meet other environmental goals set out in this Act and the regulations. | (1) Subsection 8(1) of Chapter 7 is amended by striking out "environmental goals" in the fifth and sixth lines and substituting "goals for sustainable prosperity". |
| 8. 2) The Governor in Council may not enter into any agreement under subsection (1) unless the Governor in Council is satisfied that the agreement will be consistent with this Act and with the environmental goals for the Province established by this Act and the regulations. | (2) Subsection 8(2) of Chapter 7 is amended by striking out "environmental goals" in the third line and substituting "goals for sustainable prosperity". |
| EGSPA 2007 Now Reads | Changes Proposed, Bill 136 |
|----------------------|----------------------------|
| | 2. (a) the Province adopts and implements a framework to support a transition to cleaner sources and sustainable uses of energy to produce greater economic, social and environmental benefits for Nova Scotians by supporting and enabling (ii) sustainable transportation options,
Comment: Good. We recommend a timeline for this: by 2015. |
| (b) the Province will adopt emissions standards for greenhouse gases and air pollutants from new motor vehicles, such as the standards adopted by the State of California by the year 2010; | (e) the Province continues to work with other levels of government on national emissions standards for greenhouse gases and air pollutants from new motor vehicles, such as the standards adopted by the State of California; |
| | 2 (f) greenhouse gas emissions are, by 2020, at least 10 per cent below the levels that were emitted in 1990, as outlined in the New England Governors/Eastern Canadian Premiers Climate Change Action Plan 2001;
Comment: We had recommended incorporating long-term targets: “Amend ghg emission standards to account for changing scientific advice from the Intergovernmental Panel on Climate Change, which recommends decreasing ghg emissions by 25-40% by 2020 and 80-95% by 2050.” This is important, as there are projects under consideration right now, such as the Donkin coal mine, which have ~30 year timelines and will impact our ability to meet long-term targets. We need to think about these targets now. |
| 2. (c) emissions of nitrogen oxides will be reduced by twenty per cent by the year 2009 relative to emissions in the year 2000;
(d) sulphur dioxide emissions will be reduced by fifty per cent by the year 2010 from sources existing in 2001;
(f) mercury emissions will be reduced by seventy per cent by the year 2010 relative to 2001 levels; | 2 (g) emissions of nitrogen oxides are reduced by i) 20 per cent by 2009, ii) 28 per cent by 2015, and iii) 44 per cent by 2020, relative to emissions in 2000;
(h) sulphur dioxide emissions are reduced by i) 50 per cent by 2010, ii) 58 per cent by 2015, and iii) 75 per cent by 2020, relative to the 1995-2005 emission allocation;
(i) mercury emissions are reduced to no more than i) 110 kilograms by 2010, ii) 100 kilograms by 2011, iii) 85 kilograms by 2013, iv) 65 kilograms by 2014, and v) 35 kilograms by 2020
Comment: According to NS Power, they are already at 94.4 kg in 2011. We recommend regulations for fines if targets are not met, as an added incentive.
| 2 (k) a comprehensive water-resource management strategy will be developed by the year 2010; | 2 (m) a comprehensive water-resource management strategy is developed by 2010 and implemented accordingly;
Comment: We also recommended: Include commitments in new Natural Resources, Water, Coastal, etc. Strategies in the amended EGSPA. For instance, targets for reducing clear-cutting, stopping whole tree harvesting, to identify ecologically significant water resources, develop water budgets, etc. would be tied to deadlines laid out in the Act.
| 2 (l) wastewater treatment facility discharges will be provided at least primary treatment by the year 2017; | 2 (n) wastewater treatment facility discharges undergo at least primary treatment by 2020;
Comment: Would rather not have seen this extended. Environmental Canada
estimates that benefits of up-grading to upgrading to secondary treatment are three times the costs. However, there needs to be a strategy to get this done.
c) an updated energy efficiency rating system for new and existing homes is available in the Nova Scotia Building Code Regulations made under the Building Code Act;
(d) all new residential dwelling units constructed in the Province after January 1, 2011 are required to meet energy conservation measures adopted in the Nova Scotia Building Code Regulations made under the Building Code Act;
Comment: Good. There is huge potential for jobs in energy efficiency and renewables. We recommend targets for home audits (100% of existing homes in the province audited for energy efficiency by 2030, with interim targets of 15-25% of homes by 2015, 50% by 2020).
2 (s) the Province develops a strategy by 2014 to advance the growth of the green economy, and implements the strategy accordingly;
Comment: This is what we asked for, to make a Green Jobs Strategy by 2014-2015
6 (1) The Minister shall review the goals set out in this Act and the regulations that relate to the environment and sustainable prosperity and shall report annually to the House of Assembly on the progress made toward achieving those goals and on anything that the Minister considers should be brought to the attention of the House in relation to
6(1) The Minister, in consultation with the Minister of Aboriginal Affairs, the Minister of Agriculture, the Minister of Economic and Rural Development and Tourism, the Minister of Energy, the Minister of Finance, the Minister of Fisheries and Aquaculture, the Minister of Labour and Advanced Education, the Minister of Natural Resources, the
goals for the environment and sustainable prosperity.
Minister of Service Nova Scotia and Municipal Relations and the Minister of Transportation and Infrastructure Renewal, as appropriate in relation to their respective mandates, shall review the goals set out in this Act and the regulations and activities of all Provincial government departments that relate to sustainability and shall report annually to the House of Assembly on the progress made toward achieving those goals, on the adequacy of the goals and on anything that the Minister, or any of the ministers who are consulted, considers should be brought to the attention of the House in relation to the long-term objective of sustainable prosperity.
Comment: This is a step in the right direction, although would have preferred Premier Report on this Act. We think this change, in part addresses the concerns that the Roundtable expressed regarding the need for comprehensive engagement in the EGSAP on the part of government.
Additional Comment: The Act should include a target for developing and performing triple bottom-line accounting at the provincial level by 2015. These triple bottom line accounts would be presented to the House, just as the monetary Budget is presented today. The NDP Party promised to incorporate GPI analysis as one of its commitments to in response to a questionnaire from the environmental community before the last election: "The NDP will work with GPI Atlantic to incorporate Genuine Progress accounting into provincial policy analysis."
Donkin Operations** estimated Contribution to Provincial GHGs: • 1,400,000 tonnes ghg emissions, 6.8% of current provincial emissions, 58% of Canada-wide emissions from coal mines
(**This does not include emissions from burning coal, and we do not know how much will be burned locally)
Depending on mitigation required, this could contribute btn 2.6 – 8 % of the 2020 target, 8.8-27.4% of the lower (75%) 2050 target or 14.7-45.7% of the more ambitious (85% reduction) target.
|
Compressors and limiters
mbi studio construction guaranteed to meet broadcasting authority specifications
Architectural and Interior Design of Studio Complex
The mbi Series 24A stereo Mixer
The mixer offers a wide and expandable range of input modules and monitoring, metering, and communications facilities. The modularity of the Series 24A permits the mixer to be used in many operational configurations which may be changed at will. The versatility of the mixer is described in our fully detailed brochure.
mbi broadcast imagineering broadcast systems ltd.
PO Box 112, Brighton, BN2 2RS, England. Telephone Brighton (0273) 607384
Undercutting whose interests?
I'm not so sure about the situation in the US, but I know very well that there is a sad lack of work for freelance engineers in the UK. The reasons are obvious: many clients are tending to use house engineers because they can't afford the cost of studio time plus freelance rates for an outside engineer (obviously, you can't give your studio time away at a much cheaper price because your engineer is now sitting around doing nothing and you still have to pay him). So I guess, a number of engineers who would have gone freelance had they reached this stage a few years ago are staying in their 'home' studio and with any luck are getting promoted to chief engineer or studio manager. And there's no harm in having creative people in the hot seat rather than let the accountant run everything (as long as they can talk to each other).
There being so little freelance work around, it does rather annoy me when I come across some engineers who are heavily undercutting the usual rates for this kind of work. It may be an even greater problem in the US, where there seems to be far more freelance engineering going on. It must be very easy, if you're making your real money elsewhere, to do an album or two as a freelancer at a rate far lower than the price the professionals need to charge to live. It may be easy, but it may force a lot of the true professionals out of business. Of course the top-league freelance engineers will not suffer in this way, but those engineers who are still making their mark in the industry may be driven out of it, and that doesn't bode well for the future.
It would be a good idea, therefore, if we could organise some kind of standard minimum rate for freelance engineering (no, don't throw up your hands in horror!). Obviously the 'top people' will go out for far more than this, and that's fine. But a minimum rate, whilst at first sight looking as if clients would end up paying more, would ultimately make it possible for new talent to survive in the freelance world without being driven into bankruptcy. Undercutting isn't just a bad thing for those of us who don't get the work: it's a bad thing for the future of our industry as a whole.
Forward into the past...
This year sees an important anniversary in the audio world: in a few months time we'll be commemorating 100 years of stereo sound reproduction, with an interesting article on the man who started it all by transmitting the Paris Opera via telephone lines to the 1881 Paris Exhibition. Starting this month, therefore, we will be running a series of more philosophical articles from a number of contributors on the direction the audio industry is taking, and the basic philosophy of recording and reproducing sound. Many of these articles will be quite controversial and will challenge some of the basic assumptions we make in modern multitrack recording techniques, and we hope that many of you will be prompted to write to us with comments on the points raised, and hopefully contribute articles to the discussion yourselves.
In a similar vein, we are getting together a series of articles on New Technology in the studio. In this series, we want to examine not only the technical aspects of console automation, digital recording, reverberation and the like, but also what they are like to use, and give some pointers on how to get the best out of such systems. We'd like you to help us in this: if you have any comments on the design, use and so on of these new systems, please get in touch with us as soon as you can, whether you're a recording engineer, designer or manufacturer. We'd like to hear from you, be it a letter or a 3000-word feature article.
Richard Elen
Cover of ADR compressor limiters
by Adrian Mott
ISSN 0144-5944
MARCH 1981 VOLUME 23 NUMBER 3
If everything were perfect...
It is rarely necessary to have to boost the bass response of a top quality high fidelity system, (although the Quad 44 tilt control does enable subtle changes to be made to the overall balance of the programme), but there are a number of high quality loudspeakers on the market, which because of their Lilliputian dimensions, necessarily have attenuated low frequency response and the Quad 44 is fitted with a bass control which in the lift position provides optimum equalisation.
Considerations of domestic harmony frequently dictate loudspeaker placement that is less than ideal. The almost inevitable result is the excitation of the fundamental eigentones of the room and music reproduction with a characteristic and unpleasant honk.
The step side of the Quad 44 bass control switch eliminates this problem without rolling off the low frequency information, simply by putting a 5dB step in the frequency response, reproducing domestic bliss and a closer approach to the original sound!
To learn all about the Quad 44 write or telephone for a leaflet.
The Acoustical Manufacturing Co. Ltd., Huntingdon, PE18 7DB. Telephone: (0480) 52561.
QUAD
for the closest approach to the original sound
QUAD is a registered trade mark.
fact:
you can choose your microphone to enhance your productions.
Shure makes microphones for every imaginable use. Like musical instruments, each different type of Shure microphone has a distinctive "sound," or physical characteristic that optimizes it for particular applications, voices, or effects.
Take, for example, the Shure SM58 and SM59 microphones:
**SM59**
Mellow, smooth, silent...
The SM59 is a relatively new dynamic cardioid microphone. Yet it is already widely accepted for critical studio productions. In fact, you'll see it most often where accurate, natural sound quality is a major consideration. This revolutionary cardioid microphone has an exceptionally flat frequency response and neutral sound that reproduces exactly what it hears. It's designed to give good bass response when miking at a distance. Remarkably rugged—it's built to shrug off rough handling. And it is superb in rejecting mechanical stand noise such as floor and desk vibrations because of a unique, patented built-in shock mount! It also features a special hum-bucking coil for superior noise reduction!
Some like it essentially flat...
**SM58**
Crisp, bright "abuse proof"
Probably the most widely used on-stage, hand-held cardioid dynamic microphone. The SM58 dynamic microphone is preferred for its punch in live vocal applications—especially where close-up miking is important. It is THE world-standard professional stage microphone with the distinctive Shure upper mid-range presence peak for an intelligible, lively sound. World-renowned for its ability to withstand the kind of abuse that would destroy many other microphones. Designed to minimize the boominess you'd expect from close miking. Rugged, efficient spherical windscreen eliminates pops. The first choice among rock, pop, R & B, country, gospel, and jazz vocalists.
...some like a "presence" peak.
professional microphones...by
Shure Electronics Limited, Eccleston Road, Maidstone ME 15 6AU—Telephone: Maidstone (0622) 59881
A STATE OF THE ART CARTRIDGE MACHINE
NAB cartridges can only be as good as the equipment used to record them. After you've seen our beautifully flat frequency response and superb distortion figures (less than 1-5% at 405nWb/m peak level), the next thing is to listen, as recordings sound cleaner too, because of the Phase Linear record electronics and the sort of headroom you'd be impressed with on a 241K recorder. In fact Cartridge Technology is the closest you can get to reel to reel performance.
For the whole spec. contact - JOHN A. STEVEN Professional Recording Equipment
4 CRESCENT DRIVE SHENFIELD ESSEX CM15 8DS Tel: BRENTWOOD (0277) 215485 Telex: 995701 INTCOM G REF 197
THE ACOUSTIC SCREENS from AK
- Space saving corner interlock system
- Welded metal frames
- Attractive 'cigarette proof' covering material
- Wide differential non crushing castors
- Custom size option
- Roof sections to match
SONAPANEL ACOUSTIC SYSTEM
- Economic and flexible
- Individual layout scope
- Fast delivery
- Detachable fixture allows relocation or resale
Not only but also!
Not only do we manufacture and sell our own products... but also we now stock the best in audio equipment!
Manufacturing:
The S19G and the unique S19GA ½ octave graphic equaliser/analysier, for ultimate control
The PM-10 compact modular production mixing system, of studio quality
Complete high quality P.A. systems for all applications.
Custom built loudspeaker enclosures suitable for any types of JBL drivers, in a variety of finishes
Special projects – custom consoles, capacity for one-off or short production runs.
Stockists:
Large range of JBL loudspeakers, studio monitors, pro-series components, New range of musical instrument chassis, Replacement diaphragms and cones, Tape recorders, cassette decks and mixers by Revox, Teac, Tascam, H/H mos-fet range of power amps, Beyer microphones, stands, headphones, accessories, XLRs, Jacks, Gaffer tape, cable etc.
Service Dept.
JBL recons. Most types of pro-audio equipment serviced.
As a professional audio company with many years experience in systems design and manufacturing we can offer you the best possible advice and service there is.
Formula Sound Ltd.
3 Waterloo Road,
Stockport, Cheshire, SK1 3BD.
Telephone: 061-480 3781
Telex: 669249
Penny-pinching Packages from ITA
| Package Description | List | Package |
|----------------------------------------------------------|-------|---------|
| 4 track package. Teac A3440, Revox HS77, Model 2A Mixer | £1668 | £1350 |
| 4 track package. Teac A3440, Revox HS77, Itam 10-4 Mixer| £2535 | £2090 |
| 8 track ½ inch package. Itam 806, 10-4 Mixer, Revox HS77| £3917 | £3220 |
| 8 track 1 inch package. Otari MX7800, Allen & Heath 16×8 Mixer | £7185 | £6395 |
| 16 track 1 inch package. Itam 1610, Allen & Heath 16×8 Revox HS77 | £9045 | £8185 |
| 16 track 2 inch packages | from | £13800 |
| 24 track 2 inch packages | from | £23000 |
Full range of ancillary equipment available.
Finance facility.
Full after sales service back up.
ITA, 1-7 Harewood Ave., Marylebone Road, London NW1. Tel: 01-724 2497. Telex: 21879.
The combined...
COMPRESSOR EXPANDER
LIMiter
NOISEGATE
NTP has it!
Type 179-160 the combined unit with an excellent performance and intelligent features like:
Compression or expansion can be changed during operation by means of only one knob, while maintaining a constant output level.
The same applies for ratio.
The variable hold level avoids pumping effects.
Includes programme dependant automatic recovery delay.
Also available in dual channel 19'' version
For further information and full technical specifications
NTP ELEKTRONIK A/S
Theklavej 44 · DK-2400 Copenhagen NV · Denmark · Telephone +45-1 10 12 22
Telex: 16378 ntp dk · Telegramme: Electrolab
For a better spec than the one inch 1610, a two inch deck offers a poor alternative.
The ITAM 1610 features identical major components to leading two inch designs.
ITAM direct drive
PPL DC Servo
Capstan assembly.
7½/15/30 ips ±50%
Varispeed.
Sophisticated modular electronics with plug-in EQ card. All electronic switching via FETs for click free operation. +4dBm output level.
Precision plug-in head assembly with rotating tape guides,
8 or 16 track capability.
Full function remote with varispeed and digital tape counter.
Model 1610 1 inch 16 track. UK £5750 excl VAT. Model 810 1 inch 8 track (export only).
DBX and remote control are optional extras. Finance facility.
ITAM, 1-7 Harewood Avenue, Marylebone Road, London NW1. Tel: 01-724 2497. Telex: 21879.
INTERESTED IN E.N.G. MIXERS?
CALL THE EXPERTS AND ASK FOR DETAILS OF THE NEW AD 060
Audio Developments
Hall Lane, Walsall Wood
WALSALL, W. Midlands, WS9 9AU
Telephone: Brownhills 5351/2/3 (STD Code 05433)
Telex: 338212 Audio
ELECTRO-VOICE RE 20.
THE MICROPHONE MOST HIGHLY PRAISED IN RECORDING STUDIOS.
The studio-microphone RE 20 is a cardioid microphone of the variable-D-series, i.e. incorporating the patented system that avoids proximity effect and reproduces the true sound. It was especially developed for broadcasting, recording studios and sound reinforcement applications and therefore features an essentially flat frequency response, a very wide frequency range, an excellent transient response and numerous further sophisticated qualities appreciated in recording studios.
It is, therefore, not surprising that more and more recording studios so highly praise the various Electro-Voice microphones. Why not ask for further particulars from Gulton Europe Ltd., Electro-Voice Division, Maple Works, Old Shoreham Road, HOVE BN3 7EY.
Electro-Voice®
a gulton company S.A.
Telephone: Brighton (0273) 23329
Telex: 87680 Gulton G
OTARI
Where quality stands alone
Otari MX7800 8-track 1 inch recorder.
£4490 + VAT.
Industrial Tape Applications Ltd., 1-7 Harewood Avenue,
Marylebone Road, London NW1. Tel: 01-724 2497. Telex: 21879.
Quality - the one word which truly sums up AMS products - quality of design, performance and construction.
It has been said that quality never comes cheap - this must always be true. However, with the introduction of the 'S' stereo version of the DMX 15-80 the AMS owner has the equivalent of two completely independent systems in one compact box. Two DDLs of the highest quality with up to two pitch change modules at a price little different from two inferior units of other makes.
Add to that the option to expand the system far above the competition [further still as the AMS options list grows] and you'll see the DMX 15-80S is unbeatable value.
If you have seen and heard the DMX 15-80 series then you'll already be a convert to AMS Quality - otherwise why not call one of the distributors below and arrange a demonstration in your own studio - and discover for yourself the audio processor system already in use by the top people.
WORLDWIDE DISTRIBUTORS
U.K. AMS, Head Office, Worsthorne Village, Burnley, Lancashire.
SPAIN: Singleton Productions, Barcelona.
JAPAN: Continental Far East Inc., Tokyo.
HONG KONG: Audio Consultants, Kowloon.
CANADA: Octopus Audio, Toronto.
NORWAY: PRO Technic A/S Oslo.
SWITZERLAND: ABQ, Zurich.
DENMARK: Sweet Silence, Copenhagen.
W.GERMANY: Elmus GmbH, Berlin.
BELGIUM: T.E.M./A.S.C., Brussels.
FRANCE: Studio Equipment, Paris.
HOLLAND: Delcon, The Hague.
SINGAPORE: Auvi Private, Singapore.
ENGLAND
Advanced Music Systems,
Worsthorne Village,
Burnley, England.
Telephone: [0282] 36943
Telex 63108
U.S.A.
Quintek Distribution Inc.,
4721 Laurel Canyon Boulevard,
Suite 209, North Hollywood,
California 91607.
Telephone: [213] 980-5717
The Robust Movers.
When a Studer machine is needed as a rugged, reliable workhorse in the studio or mobile unit, the B67 is the natural choice.
The value-for-money B67 offers proven reliability and performance to justify its acceptance as the direct replacement to the renowned B62.
For more information contact F.W.O. Bauch Limited.
STUDER INTERNATIONAL AG
CH-8105 Regensdorf Telephone (01) 840 29 60
F.W.O. Bauch Limited
49 Theobald Street, Boreham Wood, Hertfordshire WD6 4RZ
Telephone 01-953 0091, Telex 27502
STUDER REVOX AMERICA INC Nashville
Telephone (615) 329-9576
STUDER FRANCE S A R L Paris
Telephone 533 5858
STUDER REVOX CANADA LTD Toronto
Telephone (416) 423-2831
Have you ever wanted an 828 with
Stereo channels...
... RIAA phono inputs
... a stereo output fader
... more monitoring facilities
... PFL on meters?
Well, here it is - the Alice 828S
3 mono mic/line channels
5 stereo channels with RIAA gram and line inputs
External stereo 'B check' input with adjustable gain
Phase reverse, mono and dim on monitoring
PFL reading on meters
PPMs or VU meters
48 volt phantom power
Alice (Stancoil Ltd)
Alexandra Road, Windsor, England
Telephone: Windsor 51056/7 Telex: 849323 AEGIS G
Ambisonics is a comprehensive technology for surround sound recording, broadcasting and reproduction. Sponsored by the National Research Development Corporation and developed by international collaboration between scientists, mathematicians and engineers, Ambisonics frees reproduced sound from the restrictions of stereo. Equipment featuring the Ambisonic symbol is designed in accordance with this technology to give greater realism and listening pleasure.
The UHJ symbol shows that programme material conforms to optimal specifications for playback as stereo, mono or with Ambisonic decoding. Ambisonic surround sound decoders also provide enhanced results from conventional stereo, but the highest fidelity of directional sound is obtained from recordings and broadcasts conforming to UHJ.
NRDC seeks licensees for applications of Ambisonic technology in professional audio. For information on which aspects of this technology are applicable to your area of activity, contact the
NRDC AMBISONIC ADVISORY SERVICE
PO Box 98, High Wycombe, Bucks,
HP111PJ
Telephone: High Wycombe (0494) 445951
Neumann
The Neumann reputation for quality and reliability in condenser microphones has remained unsurpassed since the 1920's.
Half a century later, Neumann are still the first choice.
Audio Export Georg Neumann & Co. GmbH
D - 7100 Heilbronn Fleinerstrasse 29 West Germany
F.W.O. Bauch Limited
49 Theobald Street, Boreham Wood, Hertfordshire WD6 4RZ
Telephone 01-953 0091, Telex 27502
The Ultimate Investment from PA:CE
PA:CE has been producing top quality transportable sound mixers for years and our new DM series is fast becoming another success story. The use of "modular" input and output groups enables the Mixer to start life as a fully comprehensive 8 into 2 and grow to a staggering 32 into 8 recording console.
And that's not all! We've introduced and patented a remarkable Microprocessor controlled routing module to handle individual channel assignments plus 16 preset patches independently and with none of the problems normally associated with mechanical switching. We feel this to be the final touch of advanced professionalism for a top class product.
Just a few of the remarkable DM features:
- PA:CE's electronic balancing gives an outstanding 70dB's of RF hum and noise rejection
- Fully compatible for Microprocessor routing - for multi-track and subgrouping plus future software releases
- 4 band EQ with 4 selectable mid-frequencies and a low frequency cut
- 100mm faders
- 16 segment LED output indicators, .35dB range
- Autofade speed control on each output
- Integral power supply with individual regulators on each channel - definitely more reliable
- Quadromodular construction - always expandable
Clip this ad to your letterhead and mail to:
PA:CE Musical Equipment Ltd.,
63 Kneeworth St., Royston, SG8 5AQ
England. Tel: (0763) 45321
Telex 817929 PACEG
for full details of the fine range of Mixers and amplifiers from PA:CE
POWER AMPLIFICATION BY MUSTANG
Our SS.100 and SS.50 are economical amplifiers with outputs of up to 175 and 100 Watts RMS into 4-16 ohms, typical THD figures being 0.1%, slewing rate > 10v/μs, noise > 90dB down, zero level input, and full electronic protection. Considering these points with their proven reliability and robust construction, plug in output transistors and driver board, optional balanced input and 100V line output, and virtually ex stock despatches we reckon we take some beating! Contact us now for the full technical specifications.
Manufacturers of mixers, integrated mixer amplifiers and slave amplifiers, studio power amplifiers, transformers, lighting control equipment and cabinets for the home and export markets. Contact us for full illustrated technical brochures.
MUSTANG COMMUNICATIONS
Eastfield Industrial Estate,
Cayton Low Road, Scarborough,
North Yorkshire YO11 3UT
Telephone (0723) 582555
CADEY 16 AND 24 TRACK 2 INCH RECORDERS
Fully remote controlled relay-logic transport with Papst Motors. Varispeed + or - 30% available. All 16 track machines are made ready for conversion to 24 track. All noise reduction systems are compatible and can be supplied and installed.
16 track £3780.00
24 track £5300.00
Full conversion 16 track to 24 track £2180.00
16 track machine with full BEL noise reduction wired in £4850.00
24 track machine with full BEL noise reduction wired in £6590.00
All machines 2-head system, CCIR curve. Low rate of head-wear. Modular card system electronics. Silent drop-in, drop-out. High-clarity 3" Sfam VU meters.
Contact Steve Wadey,
CADEY TAPE RECORDERS LTD.
59 Yantlet Drive, Strood, Kent.
Tel. 0634 76117
"The original A77 had set a standard by which I have judged other domestic and semi-professional recorders for many years. It is now clear that the new B77 sets a new standard not easily surpassed at its price."
Angus McKenzie (March 1978)
For the full story contact F.W.O. Bauch Ltd., 49 Theobald St., Boreham Wood, Herts. WD6 4RZ
Custom built studio? Call the professionals.
BRENELL MINI 8
A truly professional machine within the reach of anyone seriously considering 8 track. I.C. logic transport control, sync facilities, silent drop in/drop out record functions, and everything that makes this 1 inch machine probably the best value for money on the market.
REVOX B77
The ideal mastering machine for the small studio giving really excellent results at a reasonable price. And for those who want to go even better we also stock the Revox A700.
TEAC A3440
The new four channel machine replacing the famous A3340S. Now with even more facilities: — I.C. logic control, built-in pitch control, improved function select layout with auto sync for silent drop ins/drop outs, and a new monitor select system for easy monitoring in any mode direct from the tape machine.
ALICE 12-48
The quality mixer for the 4 or 8 track studio. 12 inputs (16 input version also available) 4 outputs but wired for 8 track recording and monitoring. The standard model includes line up oscillator, talk-back and 48V phantom powering. Long throw conductive plastic faders available to special order. All in all a high quality mixer with all the facilities needed at a very reasonable price.
TEAC 80-8
The ½ inch 8 track for the budget conscious studio. Giving high quality at a very reasonable price. The 80-8 has all the facilities normally associated with a machine of this calibre. And with the optional DBX unit gives excellent results.
A&H MODEL III
The high quality modular mixer for the quality 4, 8 or 16 track studio. Available in virtually any configuration up to a maximum frame size of 24/8. This mixer is available together with the Brenell Mini 8 at a special package price.
JBL MONITORS
We can supply the full range of JBL Monitor speakers from the small 4301 broadcast monitor, the 4311, popular with the smaller studio, through to the 4343 for more critical monitoring purposes.
REW Professional Audio 114/116 Charing Cross Road
London WC2. Tel: 01-836 2372/7851
Full range of: AKG · Alice · AHB · Ampex · Beyer Dynamic · Calrec · dbx · JBL · Neumann · Shure · MXR · Quad · Revox · Teac · Soundcraftsmen · JPS · Roland · Auratone · Tannoy · Wollensak
NEW FROM EMT:
THE MORE-AFFORDABLE 948.
From the makers of the world's finest broadcast turntables comes the EMT 948, a direct drive unit that embodies the proven circuitry and reliability of the EMT 950 in a compact format.
Featuring almost instant start (0.02 secs), stop and reverse cue; motor-driven tone-arm lift and integral amplifiers, the EMT 948 has a new shock-absorbing system and pick-up illumination.
Available for use with a standard 47k-ohm cartridge, the EMT 948 is an integrated system ready to drop straight into a desk-top. The EMT 948 brings excellence within greater affordability.
For further information contact FWO Bauch.
EMT FRANZ GmbH
Postfach 1520, D-7630 Lahr, Tel 07825-512, Telex 754319 Franz D
FWO Bauch Limited
49 Theobald Street, Boreham Wood, Hertfordshire WD6 4RZ
Telephone 01-953 0091 Telex 27502
www.americanradiohistory.com
KS Search — Recorder
A new Danish company, KS Technic, has introduced a novel unit termed the *Search-Recorder*, this comprising a conventional tape recorder remote control unit with the additional facility of a search mode. Nothing unusual about that you might think, but the method of operation certainly is. To facilitate the search mode, the reverse side of an open reel tape is coded such that any location on the tape (up to 99 different locations) can be searched out with an accuracy of less than 2mm and without any friction wear to the tape heads.
As can be seen from the accompanying photograph the unit has conventional tape-run mode controls with LED indicators allowing ordinary playback and recording to take place independent of the search points. The additional search mode which automatically searches for the programmed location also has an LED indicator which when extinguished indicates that the recorder is ready for play. Further features of the unit include LED digital display of the programmed location with separate LED indication of when a selected location has been reached; 'up' and 'down' locator keying selectors; an APS (automatic play-stop) key which stops a recorder automatically in the playback mode at the next tape location; and a POS key which when pressed indicates the position of the tape on the digital display. Other features include a rear panel socket allowing remote control of start (ie facilitating remote start from a mixing console).
The KS *Search-Recorder* is supplied as a standard type to accompany the Revox B77 recorder, but is suitable for use with almost any logic controlled tape machine.
KS Technic, Hybenvej 12, DK-2830 Virum, Denmark. Phone: 01 78.32.60.
Sennheiser HD222
For situations where the much respected Sennheiser *HD414X* open headphone is unsuitable due to external noise, Sennheiser has introduced a new dynamic closed headphone with similar characteristics. Termed the *HD222* the new headphone utilises samarium cobalt magnet drive units with light corrugated disc diaphragms. Designed for low distortion and wide range reproduction, the headphones retain the company's characteristic lightweight and modular construction principle. Cost of the *HD222* is in the region of £33.
Hayden Laboratories Ltd, Hayden House, Churchfield Road, Chalfont St Peter, Bucks S19 9EW, UK. Phone: 02813 88447.
IBA standards
A useful new publication from the IBA is its 13th Technical Review which details the IBA standards for television and local radio stations. Covering operational practices, signal paths, OB radio links, tape recorders and reproducers, signal sources, acoustics, and broadcast systems operational requirements; the new publication defines the technical requirements applicable to studio centres and outside broadcasts. Copies of the publication are available from the Engineering Information Service, Independent Broadcasting Authority, Crawley Court, Winchester, Hants SO21 2QA, UK.
Space Station loans
Ursa Major are to loan *Space Station SST—282* digital reverb systems to five American universities. Students will research the systems during a term and then report back to the company what they have learned about reverberation and signal processing.
Survey correction
In our January survey of mixing consoles we stated that the UK agents for Perfectone were Future Film Developments. This is incorrect.
UK agents for all Perfectone's products are Bell & Howell Ltd, Alperton House, Bridgewater Road, Wembley, Middx HA0 1EG. Phone: 01-902 8812. Telex: 26178. Our apologies for the error.
Edcor multiplex snake
Edcor has introduced the *Multiplex Snake* mic cable transmission system which will accommodate up to eight audio signals over a single mic cable. Using digital and analogue circuitry to create a timesharing encoded/decoded transmission system, transmission lengths of 500ft or to a maximum of 1,500ft can be achieved. The system uses either high quality mic cable or data cable consisting of two conductors and a shield. The standard system comprises an encoder and a decoder with the user supplying the connecting cable and two *XLRs*.
Kemps 1981 yearbook
Kemps International Music & Recording Industry Yearbook 1981 is now available. Format of the yearbook follows the established Kemps style with sections covering broadcasting, concert halls, PA equipment and services, recording studios and studio equipment and service suppliers, record companies, and general music industry services, plus an international section. As a handy reference work the yearbook is invaluable.
Kemps Publishing Group, 1-5 Bath Street, London EC1V 9QA, UK. Phone: 01-253 4761.
Clyde Electronics
A new company operating in the field of broadcasting turnkey systems is Clyde Electronics Ltd. Evolving from the engineering department of ILR station Radio Clyde and operating from the same premises, the company is managed by John Lumsden—a figure well known to readers for his editorial contributions to *Studio Sound*—assisted by Phil Collins, formerly with Wayne Kerr, Alice (Stancoil), and Helios Electronics.
The majority of the company's staff have been actively involved with the day to day running of radio stations and Clyde Electronics now handles the maintenance of Radio Clyde's technical equipment. This arrangement provides the company with an ideal testbed for new products and technology, giving excellent feedback of operational requirements.
First project for the new company was the supply, installation and commissioning of all equipment for the new ILR station covering the Dundee area, Radio Tay. For this installation a range of products was designed and produced by Clyde including a station/transmitter interface unit; peak limiters; an automatic sequential monitor unit; a modular distribution amplifier; PPM and line-up oscillator; and fault condition, on-air and cue indication systems. Future products are likely to include a new concept in broadcast consoles. In addition to the aforementioned services Clyde can also supply mobile recording and OB vehicles.
Clyde Electronics have also recently been appointed as UK consultants to ITC the broadcast cartridge machine manufacturers, and in conjunction with UK distributors FWO Bauch, Clyde are making a number of modifications to the well respected 3D triple stack unit to make it more suitable for ILR use.
Clyde Electronics Ltd, Ranken House, Blythswood Court, Anderson Cross Centre, Glasgow G2 7LB, UK. Phone: 041-221 5906.
To be honest, we're not expecting a deluge of replies to this advertisement.
There are few applications in the world of professional sound where an Amcron power amplifier won't effortlessly outstrip anything else on the market.
Over the years, the name of Amcron has become synonymous with reliability and peerless performance. The DC300A, D150A and D75 power amplifiers, as well as the revolutionary self-protecting PSA-2, have variously set new standards in the fields of studio monitoring, live music, broadcasting and domestic hi-fi.
So if you really do have a bone to pick with Amcron, you'll be challenging the professional opinions of sound specialists all over the world.
There is however, one reason why you might look elsewhere for a power amplifier. And that involves the delicate subject of money.
Nevertheless, you'll find that in most cases an Amcron amplifier will cost you only marginally more than an indifferent alternative.
And that, in the long run, the matchless reliability of Amcron engineering will actually save you money on servicing and repairs.
has introduced a new range of polycarbonate knobs to fit all 6mm sockets on electrical equipment. Known as Quicknobs, the range is manufactured by DT Electronic AB of Sweden, and comprises knobs formed from a plain or knurled sleeve and a locking cap. The knobs can be push-fitted onto a shaft in seconds and where necessary can be dismantled with stripping pliers or non-chamfered side cutting pliers. Standard knobs are black with options of graduated flange, directional or positional arrow on flange, and positional arrow on cap. Other sizes and colours are available to special order.
Selectronix Ltd, Tower House, Lower Kings Road, Berkhamsted, Herts HP4 2AB, UK. Phone: 04427 74973.
Peavey PA console
Peavey has announced the introduction of its new Mark III Series of PA sound mixing consoles. Although eventually intended to include 12- and 24-channel mixers, the first Peavey console in this series is a 16-channel model. Features of the console include transformer balanced inputs with switchable 48V phantom powering; two independent pre-monitor sends; 4-band eq; two post effects sends; a PFL/cue button; pre and post fader send and return jacks on each channel; and LED status indication of normal or overload operation condition. The master section includes all the usual facilities plus the facility to blend the signals from the effects and reverb returns to both Monitor A and Monitor B. An additional feature is a sum output with its own transformer balanced line amp that yields a composite of both A and B mains.
Peavey Electronics Corp., 711 A Street, Meridan, Mississippi 39301, USA. Phone: (601) 483-3565.
UK: Peavey Electronics (UK) Ltd, Unit 8, New Road, Ridgewood, Uckfield, Sussex TN22 5SX. Phone: 0825 5566.
C-ducer prices cut
The C-ducer contact mic produced by C-Tape Developments Ltd (see Studio Sound page 32, June 1980) has been reduced in price. The battery-powered C-ducer is now priced at £44, while a 6-way C-ducer drumkit system now retails at £299.
Annis Han-D-Kit
A useful kit to measure and eliminate magnetism in tape machines has been produced by American manufacturer R B Annis. Known as the Han-D-Kit the package comprises a pocket magnetometer, magnetic test strips, hand demagnetiser, clip-on extension probe to reach inaccessible components, and a comprehensive instruction manual which explains the causes of magnetism with reference to tape recorders, how to measure it accurately, and how to eliminate it. The pocket magnetometer measures residual magnetism levels in tape heads, drive capstans or tape guides and is calibrated in gauss. The hand demagnetiser which has a 2in probe provides a sinewave demagnetising field strength of over 350 oersteds.
R B Annis Co, 1101 N Delaware Street, Indianapolis, Indiana 46202, USA. Phone: (317) 637-9282.
Agencies
- Cete International has announced that its Gauss loudspeaker range is now to be distributed in the UK by HHB Hire & Sales, Unit F, New Crescent Works, Nicoll Road, London NW10 9AX. Phone: 01-961 3295. Telex: 923393.
- Ampex has concluded an agreement with ACI/Filmways Pro Audio Sales for the company to market the Ampex ATR 116/124 and MM1200 multitrack tape machines.
- Aphex Systems has signed an agreement with AKG Acoustics for the latter to market Aphex and B&B Audio products in Austria, West Germany, the UK, Africa and Eastern Europe.
- Future Film Developments have been appointed sole UK distributors for the Stellavox range of portable recording equipment.
- Trident Audio Developments has reached an agreement with Melkuist Automation Systems to distribute the company's dual floppy disk based, mixing console processor on a worldwide basis through existing Trident dealers.
- Advanced Music Systems has appointed Audio Consultants, 9th Floor, Kai It Building, 58 Pak Tai Street, Kowloon, Hong Kong; and Avui Private Ltd, Unit 5-316, 5th Floor, Merlin Plaza, Beach Road, Singapore 0719 as its latest Far East representatives.
People
- Wallace Johnson, executive director of the Association for Broadcast Engineering Standards (ABES) is to receive the NAB 1981 Engineering Achievement Award. Mr Johnson was previously head of the FCC broadcast bureau.
- San Francisco's Automatt studios has appointed Michelle Meisner as its studio manager, and Susan Gottlieb and Maureen Droney as recording engineers.
- Tangent Systems has appointed Gary Bailey as its general manager. In addition Craig Olsen has been appointed national sales manager, while sales manager Thomas Scott will now concentrate on broadcast and overseas marketing.
- Robert Weirather has been appointed vice-president, engineering of Broadcast Electronics Inc.
Address changes
- Elliott Bros have moved to new premises at 9 Warren Street, London W1. The company also has a new telephone number: 01-380 0511.
- Harman (Audio) UK Ltd has moved to larger premises at Mill Street, Slough, Berks SL2 5DD. Phone: 0753 76911.
- RABIT, the studio construction company, has moved to 4 The Crescent, Westmead Road, Sutton, Surrey. Phone: 01-642 0139.
- Richard Swettenham Associates is now located at 38 Mount Pleasant, London WC1X 0AP. Phone: 01-837 5873.
Contracts
- Singleton Productions of Barcelona, Spain has supplied Estudio Escoirio, Madrid with an MCI JH 636 automated 36/36 console.
- Eastlake Audio have completed a quality assessment room for Philips Research Labs in Eindhoven, Holland. The room is a conventional control room without tape machines which looks down to a 'studio' housing sophisticated computer equipment and will be used for subjective assessment work in connection with Philips' consumer electronics digital audio development programme.
- Trident has concluded a contract with Swedish Lokalradio AB, Stockholm, to supply a Series 80 console modified for broadcast usage. Further broadcast consoles are likely to be supplied over the next 18 months. Other Trident contracts include a 48-input TSM console with Fadux automation for Master Sound Productions, New York; a 40-input, 32-monitor TSM console for Sound Stage Studios, Nashville; and a TSR tape machine for Eddie Hardin Recording Studios in the UK.
- Solid State Logic has installed a 4000E Series console with Total Recall at RCA Studios, Mexico City.
A similar installation has been fitted in a new mobile for Danish Radio, Copenhagen. Additionally the new BBC Manchester network production centre has received a 4000E 32-channel console.
- Advanced Music Systems has supplied the BBC with a further 13 stereo DDLs bringing its total in to excess of 30 systems. Other recent contracts include DM-DDS disc mastering systems for Strawberry Mastering and EMI Abbey Road in the UK, Frankford Wayne in New York, and Tonstudio Bauer in West Germany; stereo harmonisers for ABC Television; and stereo delay lines for Walt Disney Productions, Los Angeles. Recent live concert users of AMS harmonisers and DDLs include Yes, the Police, and Genesis.
- Melkuist is to supply London Weekend Television with a GT800 console automation system to be installed in a 36-channel custom built video dubbing console supplied by Neve. The equipment, for LWT's new No 2 sound dubbing suite, will also include an event control unit capable of controlling 32 simultaneous on/off events at up to 150 different points in time.
- Quad-Eight is to supply The Palace of The Arts in Sofia, Bulgaria with two custom Coronado console systems incorporating the company's Compumix III automation system.
The Complete Studio.
Studer, Neumann, EMT, Albrecht, Klein + Hummel, Harrison, Urei, Lexicon, ITC, Ivie, Valley People, MRL, Transco, Switchcraft, Gotham, Europa Film and Revox.
We represent all the major names in the audio field and can supply the best equipment for any studio requirement.
F.W.O. Bauch Limited
49 Theobald Street, Boreham Wood, Hertfordshire WD6 4RZ
Telephone 01-953 0091, Telex 27502
Berwick Street, London — a renaissance
No, the GLC have not announced a multi-million pound scheme to close down Berwick Street market, move it to a custom-built site in Battersea and open up a (modern?) market in its place. The rebirth in question quietly took place during the middle part of 1980 behind the unchanging exterior of 8 Berwick Street — or more precisely, Berwick Street Studios.
Sue Manning and Don Boyd originally conceived the idea back in 1975 when a 24-track facility was opened up to cater for the proprietors' film contacts and the small ad agencies in the area. The studio thrived on a mixed diet of new talent, jingles demos and short films and among its many claims to fame was the mixing of *The Secret Policeman's Ball* by house engineer John Middleton.
For the uninformed, Berwick Street (well-known for its daily street market) runs parallel with Wardour Street joining Brewer Street and Broadwick Street, in the middle of London's Soho district. As with any Soho studio, amenities in the area are excellent, ranging as they do from the fresh fruit and veg right outside the door through a veritable plethora of restaurants, hamburger and snack bars to, of course, the usual fair smattering of pubs. After 6pm the street market closes affording excellent access and parking facilities around the studio. That is not to decry daytime access though, which is handled from Wardour Street through an adjacent alley, Tyler's Court.
On the ground floor are located the comfortable and extremely airy reception area and lounge/kitchen equipped with constant coffee and microwave facilities. Also, looking out over the busy street trading scene, is the office of new studio manager Denny Bridges (of AIR Studios, London and Montserrat fame). Denny is charged with the managerial development and administrative duties of the studio and perhaps the occasional emergence from 'retirement' to engineer the odd special project. Other 'staffers' at Berwick Street are John Middleton, already mentioned, and tape op Cheryl Nicholson although freelancers are, of course, very welcome.
Downstairs lies the business end. The control room, which was completely refitted by Rabit, is about 270sq ft and incorporates an impressive array of equipment. The original Helios board has been extensively refurbished and further customised by Peter Smith of S & P Audio, who also calculated and oversaw the new acoustic refit in both the control room and studio. The aim has been to create a fairly natural sound using wall-mounted absorption boxes, fully carpeted floor and ceiling mounted panels.
Tape machines in use are Studer A80/2- and 24-track and two B67 2-tracks. The 24-track comes complete with remote and autolocate. Auxiliaries include Audio & Design Recording *Compx* limiter and *Vocal Stresser*, *SCAMP* gates, noise filters, compressor/limiters and auto panner, AMS J5-80 delay and tape phase simulator, Eventide delay *Instant Flanger* and Helios parametric eqs, UREI limiters, Dolby noise reduction and Klark Teknik graphic. Reverbation is via two EMT 240 *Gold Foils*.
The Yamaha FX1 monitor speakers deserve a mention, being the first pair in the UK. They are rapidly gaining in popularity in US studios but have yet to take off in the UK (perhaps the turning point?). Also available are Yamaha NS1000s and Auratones. Amplification for the FX1s is HH V500 MOSFET, Yamaha BI amps on the NS1000s and Martienet, who also served as interpreter!
The main studio is on a 'one up—one down' basis, with access via the studio itself. Due to the high ceiling the studio looks smaller than it is and fifteen musicians can get themselves in there without feeling the pinch. While being quite functional in appearance, the use of soft colours in the furnishing materials coupled with variable 'mood' lighting, makes for a pleasant working atmosphere. Being fairly irregular in shape, the room also gives good results acoustically. As well as the carpets on the studio floor there are two isolation booths along the far wall—with reference to the control room—with one specialising in drums and the other for vocals, guitar, bass, etc. Again the usual fair collection of instruments at disposal including a Hammond C3/Leslie and Steinway grand piano. There is also quite an impressive array of microphones available with Neumann U47s, U67s, U77s and U87s (whatever happened to the 577), Schoeps, Siemens valve condenser mics, Beyer, Sennheiser, PML and AKG 22Js and C12s. Quite a choice.
The wall that contains the control room window also supports the steps leading up to that same room, which for the sake of convenience we can consider as being on the first floor. Though there is a good view of the studio from up above, the control room is turned through 90° so that the musicmakers can get on with musicking and the recordists on with recording! The room itself is not exactly what you might call symmetrical, both in floor plan and ceiling, but the final result seems to turn out alright so why worry? The main acoustical treatment consists of various acoustic tiles, paneling and panel absorbers, giving a low reverb time and pulling out troublesome resonances, although with the shape of the room, the latter should not be any problem! As a hangover from the fever days of quad, the room is dominated by four immense custom built speakers using RCF components. However, these are now rarely used, having ceded their place to a pair of JBL 4343 speakers that are bi-amped by HH 500Ds and...
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97-99 Dean Street London W1V 5RA Telephone: 01-734 2812/3/4/5 Telex: 27 939 SCENIC G
England Industrial Tape Applications Belgium Sait (Bruxelles) Finland MS-Audiotron (Helsinki)
France Schaeffer, Riesser & Cie (Paris) Germany Estemac (Hamburg) Greece Audiolab Hellas (Athens) Holland Cadac Holland (Hilversum)
Italy Audio Products International (Milano) Spain M. Llewellyn-Jones (Madrid) Sweden Tal & Ton (Gothenburg)
www.americanradiohistory.com
Durium recording studio, Milan
For those of us who were habitués of the Soho Record Shop or who had girlfriends who liked continental records in the sixties, the name of Durium must spark off a few memories. In those days the name was synonymous with Italian films, songs, sun, etc. However, before all the nostalgic rush off to the pub to cry in their beer thinking of the good/bad old days, let me reassure you that Durium are alive and well at the start of the eighties and that I was able to pop in and see them during my walkabout in Italy.
The studio is situated fairly well away from the city centre and off one of the main roads coming into Milan, being in the lower level of a block of buildings set back from the road. Access is by a short service road leading down into the studio and past the security gates. The studio itself is exclusively for artists on the Durium label and this includes people such as Dee Dee Jackson, Papetti and Nini Ropè. In the control room engineer Piero Bisleri was putting the final touches on a vocal overdub, and, pooling our resources of limited English and Italian, we were able to have a chat about the studio!
The control room could be described as small to medium-sized—depending upon what you are used to—and has a functional appearance. The room backs on to the entrance courtyard and has large windows which means that there is the choice between daylight or, if you draw the heavy drapes, electric light. I suppose in modern jargon that could be termed ‘variable mood lighting coupled with variable acoustics’—the brighter the light, the brighter the sound! Hmm. The acoustic treatment consists of a mixture of acoustic tiles and slat and panel absorbers giving a short reverb time and quite an even response.
The equipment is all fairly recent, (1977) and is principally Telefunken, consisting of desk, M15 multitrack and stereo recorders and a large cassette recorder. The rather large, to say the least, console is in a 24-24-24 configuration, with the groups and monitor section placed in the middle. Piero told me that this particular layout made the desk difficult to work with at times due to the physical distance between the two input sections and groups/monitors. Though the desk is classed as a 24 output model—which I suppose it is if you take the fact that each channel has its own direct out—the actual routing consists of 12 groups, with each group output paralleled up with two inputs on the recorder, ie 1/13, 2/14, etc, so that final track selection is determined by the recorder. The desk itself features very comprehensive eq and monitoring facilities and has eight auxiliary sends for the various duties that aux sends are called upon to do. Two Telefunken compressor/limiter modules are also built into the console as are four extra eq modules that can be patched in at will for those times when very precise equalisation is required. In order to keep everything within easy reach—and thus save rack space—all the outboard effects boxes are also built into the desk and these comprise two Dynacord DRS78 dells, two EMT 256/11 compressor/limiter modules and one 156 stereo compressor/limiter/expander, four Kepexes, an Eventide Instant Phaser and two UREI ½-octave graphics. Just arrived and waiting to be installed were also a Prime Time and Publison stereo compressor. Apart from the size, Durium are very pleased with the technical performance of the desk and so far operation has been completely trouble-free. Monitoring is by JBL 4343 speakers that are bi-amped by BGWs and two common or garden speakers (Canton) are used for ‘domestic’ listening. Reverberation is obtained by an AKG BX20 or EMT 140. All tape channels are Dolbyed.
Access to the studio is either from the entrance lobby or the control room, giving free circulation to both engineer and musicians. The studio itself retains the same functional appearance and is large enough to take 40 musicians seated in comfort. The acoustics are quite lively with a fairly short reverb time, making it a good environment for strings, brass, etc. Isolation booths are in the form of little huts with one reserved for drums and the other for all-round use. Instruments available include Bechstein grand piano, large Hammond and Eminent organs, Rhodes and Clavinet. Microphones are mainly Neumann U67 and U87, with a sprinkling of Sennheiser and AKG. The drums are largely mixed up with Sennheisers.
Other facilities at Durium consist of a copy room and cutting room. The former employs the old Neumann 8-track desk from the early days which, still going strong, commands a collection of Telefunken M10 and M15 recorders. The cutting room employs a Neumann lathe with Telefunken recorders and at the time of my visit studio manager and engineer Ugo Scerbo was cutting a Boney M album for Italian release. Durium do a lot of cutting for releases in Italy, i.e labels under their distribution, and this includes people like Boney M, Kiss, Donna Summer, Village People and even the Reader’s Digest! As well as cutting, Durium also have a large pressing plant and this is one of the most important in Italy with a daily capacity of 20,000 LPs and 4,000 cassettes. Clients for pressing include names such as RCA, Ricordi, EMI, Phonogram, and K-Tel. It is also not uncommon to do cutting work for these.
Time to be getting along to the next appointment so I thanked Signori Ugo Scerbo and Piero Bisleri for a friendly welcome and interesting visit and was off for the next on the list.
Durium Recording Studio, Via Troya 7, Milan, Italy. Phone: (2) 470 778.
Terry Nelson
Ricordi, cont’d
equalised by UREI ½-octave graphics. Centrepiece of the room is a large L-shaped Cadac console in a 32-16-24 configuration, complete with four Cadac compressor modules and extensive patch-bay. Recording is on a Studer A80 24-track, complete with autolocator, A80 4-track, two B62 stereo recorders and a Revox bringing up the rear. All recorder channels are Dolbyed. As with many other Italian studios, Ricordi showed itself to be quite a little treasure trove in the effects department having two Fairchild 663 compressors, two Pultec EQP-1A3 equalisers, two Siemens filters and two Altec graphics of long lineage. Fairchild are also represented by their 659 reverb unit which has comprehensive equalisation as part of the control system. Though used mainly for creating special effects on instruments rather than just as straight reverberation, it is also popular for re-creating the ambience of earlier recordings as made in the ’50s and ’60s. Further echo facilities are in the form of EMT Gold Foil and 140 stereo, AKG BX20s and two natural echo chambers. Gain reduction equipment includes UREI 1176 limiters, Gain Brains and Kepex and EMT 256/11 compressor modules, with sibilance control courtesy of Orban. Other joys for sound mangling include Orban parametrics, Eventide Instant Flanger and a Lexicon Prime Time.
Listening to some tapes that had been done recently and that were in the course of production showed that the studio gets a nice airy sound without too much clutter, while at the same time retaining a punchy feel to make it come out well over the airwaves. In fact clarity of recorded sound seems to be a general trade mark in the Italian studios where there is not so much of a struggle to get the last dB out of the tape. In passing I feel I should also mention that the control room (and, indirectly the studio) enjoys the benefits of daylight and that the flat roof, accessible from the control room would make an ideal sun terrace! Whether a roof garden café is on the cards is still a trade secret.
Other facilities officially visited were the copy room where four Studer A80s officiate with a battery of UREI parametrics and 1176 limiters plus EMT expanders should any tweaking be necessary. Ricordi also have a sizable cassette production room where they turn them out by the thousands, and all on Ampex tape.
Time will tell what developments at Ricordi are likely to be as until things are finalised it is being kept very much under the wraps. Still, it’ll be a good excuse to go to Milan when the changes are made! Thanks to all at the studio for their friendly welcome and their time.
Ricordi Recording Studios, Via Barletta 11, Milan. Phone: (2) 539 2392.
Terry Nelson
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Penny Lane, New York
Commercials! Jingles! Can a recording artist find happiness in a studio built to produce 30- and 60-second paens to bubble gum, airlines, and fast food hamburger franchises?
"Absolutely," says Alan Varner, studio director and chief engineer of Penny Lane Studios. Available for just over a year, this 24-track facility was built to service Radio Band of America, parent company and producer of commercials and advertising themes. Now it is attracting jazz and rock recording artists as well.
The studio is owned by Harley Flaum, president of Radio Band. As a writer and producer of radio spots, Flaum and his large creative staff have garnered 18 Clio's and numerous other awards, some for work completed in the adjacent sound rooms of Penny Lane. Three years ago Flaum hired Alan Varner, formerly an engineer with Mediasound, to design a studio complex that would "be the best of all the outside studios we'd been working in."
Flaum's influence over the design of the space is manifest in the signed Al Capp serigraphs on the conference room walls, an antique barber chair in the foyer, and church pews that provide random seating around the halls. In his bright office overlooking Avenue of the Americas he says the current slump in record production in the US has had little effect on a studio geared to so much internal production.
Studio A is roughly $25 \times 35$ ft. The 'blonde' wood planking on the walls extends to the ceiling, where it is broken up into odd angles, irregular coffering, and weird trapezoid-shaped bass traps.
"I became really frustrated with the isolation in some of the newer studios I was working in, so I took the opposite approach," says Varner. "There's a lot of trapping in here but basically we were looking for a very live room that contributes to the music instead of soaking it all up."
Al Fierstein was the acoustic consultant and Maurice Wasserman was the architect for the space. Bass traps are distributed around the room and in some areas the 16-ft ceilings are revealed unobstructed, like the nave in a small church.
Besides an unprepossessing drum kit, the studio has a Steinway piano and a small, single keyboard Rhodes organ. A row of guitars and basses lined up against the control booth window all belonged to company personnel—everybody there plays something. There are plenty of amplifiers, mostly Fenders and a variety of mics, boom and stands.
Clean and roomy, the control booth boasts a Trident TSM console, 32 in./24 out, with 4-band parametric eq. Monitoring controls are separate; it's a longer board but Varner says he finds it easier to work with. Any of the monitoring outputs can be converted to inputs in a mix, expanding the capacity to over 50 tracks if necessary.
The single 24-track recorder is a 3M M79. There are two Ampex 4-track machines and two 2-tracks for in-house advertising work. Because so much of the commercial music is scored for television commercials, a U-matic videocassette player is close at hand, and feeds into both a control room monitor and a secondary monitor on the studio floor.
It's a very basic setup, geared to the daily needs of Radio Band. Besides the ease of a computerised autolocator, few frills are provided beyond EMT and AKG echo systems and a lone $\frac{1}{4}$ in tape machine. Everything else is rented from outside on a 'per-job' basis. There is no noise reduction system, as Varner prefers not to use one. "I'd rather run at 30in/s at elevated levels, and avoid the headaches," he says.
The second studio is a $10 \times 12$ ft space but its control room is nearly as big as the first. The Trident Fleximix is a 4-track console. Eventually it will expand to 24-track and will serve as an overdub and post-production room.
Both facilities are used daily for the production of jingles and advertising themes by Radio Band. The first recording artist to use Penny Lane studio was Aretha Franklin, for her album La Diva. Portions of the Manhattan's hit album After Midnight were recorded here, as was overdubbing on several cuts from a Brecker Brothers release called Detenie. Steve Becker and Donald Fagin (Steely Dan) also booked time earlier in the year to 'try out' the studio, bringing their own engineer.
Twenty-four track recording is $200 per hour; time can be booked through studio manager Mandy Aimetti. Varner, as chief engineer, handles all in-house recording and most outside jobs as well, assisted by his two young 'discoveries' techs Brian Marine and John Terelle. His favourite sessions? Those with Stephen Bishop on the latter's latest album.
Varner says he's also excited about working with some new artists. A fledgling production company TSRP Productions, and a publishing firm, Seller's Music, are associated with Penny Lane. Both are taking advantage of an 'off' period in the industry to aggressively search for and develop new sounds.
One project nearing completion is three spec demos by David Roter, mastered and mixed by Varner and his associates.
"It's rock but it's a little unusual," Varner explains. "It's a little Randy Newman-esque—a little left field." The production of these experimental tracks will perhaps best indicate the direction of Penny Lane in the rock music area.
Commercials are still the company's bread and butter, and it's important to remember that Penny Lane was originally created for the jingle producers at Radio Band. At the time of my visit work in production included themes for television commercials and an entire radio campaign for Greyhound, the national bus service. There were also several in-house projects in the works. Like the David Roter demos, all are being completed at a leisurely pace.
"As the record business dropped off the commercial business has picked up even more," says Harley Flaum. He says this means less late hours and weekend work for his staff, but declines to crystal-ball the future of the recording industry.
"We've had a lot of calls in the past year from people with gold and platinum records under their arms who suddenly want to write commercials," Flaum continues. "Maybe this is a temporary situation, due to the state of the record business, but we're all hoping the record business has bottomed out and will soon be on its way up again."
Mia Amato
Penny Lane Studios, 1350 Avenue of the Americas, New York, NY 10019, USA. Phone: (212) 687-4800.
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Studio News
- Scenic Sounds Equipment has recently completed the installation of the world's largest Allison automation system for Jimmy Page of Led Zeppelin. The facility is based on the latest version of the Valley People/Allison 65K programmer incorporating anti-dither circuitry and expander package. The programmer is interfaced with an API console and the 352 automation channels control all level, pan and equalisation functions.
Other recent automation up-dates using the Allison Fadex system include two retrofit systems installed by 3M France to 52 channel and 36 channel Plus 30 consoles installed at the Grande Armee Palais de Congres in Paris.
- British band Genesis are building a private multitrack studio in the depths of Surrey. The studio is equipped with an Amek M2000A 36/24 console, Studer A80 24-track and a full range of outboard gear. HHB are commissioning the new studio.
- Radio Hallam has re-equipped its commercial production studio with a Tweed Audio 28-channel custom production console. In addition the station has purchased a new radio car—a Range Rover fitted with a Studer 069 console.
- Ampex has presented a Golden Reel Award to Bob Seger and the Silver Bullet Band, for their platinum album Against the Wind. The album was produced in Criteria, Bayshore, Music Shoals and Capital recording studios.
- A range of budget recording services can now be provided by Y Studios at the YMCA in London. During the evening live broadcasts are made to students' rooms within the building but voiceovers for commercials, jingles and promotion and training tapes provide much of the studio's work during the day. Tape and cassette duplicating and editing can also be carried out.
Opened in January 1980, the control room houses an Alice custom 12/4 desk; Revox, Ferrograph and Teac mastering machines; and Tannoy monitoring. A 100sq ft speech booth has been recently completed and it is hoped that further development will include land line broadcasts to local hospitals.
Y Studios, London Central YMCA, 112 Great Russell Street, London WC1B 3NQ. Phone: 01-636 7289.
- De Lane Lea, London, has opened a new self-contained unit for the production of radio commercials and allied work. Operating under the banner Sound Centre Radio, the new studio is equipped with an Alice desk (7 stereo, 5 mono input), Studer and Revox tape machines, Technics disc unit, and Nakamichi cassette decks. Cart machines are from Cartridge Technology, while monitors are JBL 431/s. The studio's recording booth is designed to accommodate up to four artists and is equipped with AKG mics and Beyerd headphones. The new unit also has a transfer suite which in addition to cart and cassette machines is equipped with 16/35mm record and replay units.
- Advision, London has installed a Sony PCM1600 2-track digital recording system which was recently used to record Stevie Wonder's concert tour in the UK and which will result in the release of a digital album.
Other recently installed equipment includes a Studer TLS2000 MkII SMPTE interlock system and JVC 8500LE U-matic recorder.
- Villa Recorders, Modesto, California, has taken delivery of a Studer A80 24-track tape machine and Ferrograph Studio 8 mastering machine for their existing 24-track facility.
Already well known for its musicality and ultra low noise, the EQF-2 Equalizer/Filter packs 3 bands of sweep EQ with peak/shelf and 12 dB of reciprocal boost or cut as well as an independent sweep hi and lo pass filter section in an A.P.I. sized module. With +30dBm output capability, the EQF-2 can fix that impossible part without adding any coloration of its own.
The CX-1 Compressor/Expander offers performance beyond any similar device previously available. Total transparency, headroom to spare, up to 100 dB of expansion/gating without clicks, smooth acting "soft knee" compression and unique multi-function LED metering. It is simple to use, compact, powerful and effective.
Aphex Systems Ltd. 7801 Melrose Ave., Los Angeles, Ca. 90046
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Also available through: AKG Acoustics (U.K., Germany, Austria) Sound Genesis (San Francisco) Cramer Video/Audio (Boston) International Equipment Reps (La Jolla)
Noise measurement
Dear Sir, In his article on noise measurement in your November issue, Hugh Ford condemns the adoption of a 2kHz unity-gain frequency for CCIR/ARM noise measurements as 'commercial cheating' which he feels has no scientific justification.
For the normal purpose of comparing noise measurements made to the same standard it does not matter at all what frequency is chosen; there is certainly nothing 'right' about 1kHz apart from it being a convenient round number. There are, however, two other valid requirements to consider. Firstly, it is desirable that different methods of noise measurement should give about the same figures so far as is possible — they could for example be arranged to read the same on white noise. Secondly, it makes sense that a 60dB S/N ratio should sound like a ratio of 60dB, as is the case when IEC curve 'A' is used since this is based on subjective assignment of loudness. Therefore propose that ideally all methods of noise measurement should read the same on white noise as the IEC curve 'A' measurement.
The CCIR/ARM 2k method meets this requirement within about 1dB, so I believe Dolby Laboratories made the right choice for the wrong reasons when they stressed commercial acceptability. The official CCIR quasi-peak method yields figures 11dB higher, and I think there is a good case for it being revised. Dolby Labs have suggested that the quasi-peak circuit should be redefined to read 11dB lower, but this does not make sense as the same meter is normally used to measure signal as well as noise. I would like to see the weighting curve dropped by 11dB (0dB at 5kHz would be about right) and both 2k/ARM and 5k/Q-Pk methods adopted as IEC standards with the recommendation that they be regarded as interchangeable except on impulsive noise sources such as radio links and telephone lines. If this were done, equipment could be compared regardless of the method of noise measurement used, provided that it was appropriate to that equipment, the quasi-peak method being quite unnecessary for most measurements.
With regard to other parts of the article, I cannot see why the importance of a genuine VU meter is stressed in relation to CCIR/ARM measurements as Dolby made no mention of VU meters in their paper to the AES (1978) and I would not have thought that a VU meter should be used as it is permitted to have a non-linear rectifier and so is not an average responding meter. The ballistics of an average responding meter have no effect on noise readings.
In his discussion of unweighted noise measurement, Hugh Ford makes no reference to standards, and it is worth noting that CCIR Rec 468-2 now includes a filler specification for unweighted measurements. The CCIR curve shown in Fig 6 incidentally, shows incorrect tolerances: they should be symmetrical and are difficult to represent properly on a graph.
Finally, I would like to respond to the request for information from manufacturers of quasi-peak meters. The Lindos LA1-P Professional Audio Analyser incorporates CCIR quasi-peak and 'A' weighted true rms measurement in addition to CCIR/ARM 2k and CCIR (22Hz to 22kHz) unweighted noise measurement. It also measures wow and flutter and distortion and is available with an optional PPM facility. We also manufacture the basic LA1 without true rms or quasi-peak facilities.
Yours faithfully, P.J.Skirrow, Lindos Electronics, Sandy Lane, Bromeswell, Woodbridge, Suffolk IP12 2PR.
Hugh Ford replies: Mr Skirrow's letter adds useful comment to the problems of specifying noise performance but I would take him to task about his statement "it is desirable that different methods of noise measurement should give about the same figures".
The mere fact that noise spectra from different noise sources vary widely make it impossible for different noise weightings to give compatible results. Furthermore, the crest factors of different noise sources make the rectifier characteristics and ballistics of meters incompatible.
It is these factors that have led to the proliferation of different weighting curves and metering methods. Clearly the noise characteristics of analogue and digital audio equipment differ widely as does that of studio equipment, telephone lines and over-flying aircraft. I do not therefore believe that we can ever arrive at compatible figures.
Reverting to my desire for weighting networks to have unity gain at 1kHz, until the advent of Dolby CCIR/ARM methods this was the case. In those circumstances it was possible to calibrate a complete system at 1kHz using reference tapes, disks and sound sources, etc. Calibration at 1kHz was safe because the effect of equalisation, pre-emphasis and de-emphasis is minimal—this is not the case at 2kHz and even worse at 5kHz.
Roll on the discussion, we really do need a sensible international standard for measuring noise in audio equipment both analogue and digital.
Mic response changes
Dear Sir, We were pleased to see the article 'Developments in Recording and Monitoring Acoustics' by Andy Munro in the October issue of Studio Sound.
Mr Munro covered many of the new developments that we are happily involved with at Syn-Aud-Con.
There is one point I would like to make with regard to flush mounting of microphones. Mr Munro notes that a microphone suffers severe response changes when near a reflecting surface. He implies that this problem is solved by flush mounting of the microphone.
True, the microphone has a flat response so long as the source does not move. If the source moves, we're back to the same "severe response changes". (TDS demonstrates this effect.) Pressure Zone Microphones are free of this problem and therein lies one of the outstanding advantages.
Yours faithfully, Carolyn Davis, Synergetic Audio Concepts, PO Box 1115, San Juan Capistrano, Cal 92693, USA.
Tape cutting
Dear Sir, A belated postscript to the reviews and heated correspondence re the Stellavox SP-8 and Uher CR240. Last month I recorded an ecology conference in the south of France. Technology had to maintain a low profile, so five AKG C451s were suspended above head level about the hall and mixed to stereo through a Stellavox mixer and fed simultaneously to the two recorders in question, both set up for Ampex Grand Master tape. Whenever a reel ran out during a particularly long discussion period, I relied on the Uher for subsequent transfer.
Back at the studio, I've now dubbed the overtime to reel-to-reel and tacked it on the end of the appropriate spools. The joints are undetectable. After the first couple of splices, I started cutting experimentally in the middle of words to maximise the difference; still undetectable. Both recorders, incidentally, performed flawlessly through several days of constant use. I've never had such a prolonged trouble-free session. All the controversy, so far as I'm concerned, is strictly academic.
John Whiting, October Sound, 24 Old Gloucester Street, London, WC1.
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REPRODUCTION of a musical event via the stereo medium will never be indistinguishable from the original event, although it can be an aesthetically pleasing facsimile of it. In real life, sounds originate from all directions and distances. Stereo systems, however, usually have only two loudspeakers — considerably less directions of sound origin than the infinite number in real life but it is possible, via the stereo medium, to create the illusion of a curtain of sound when the recording and the playback system are utilised in a manner complementary to the human hearing system's interpretation of sound from a pair of speakers.
The human ear/brain system unconsciously makes use of several clues in live sounds to determine the direction of a sound source. The most important of these is the difference in the time of arrival of the sound at the two ears. Any off-centre sounds arrive at one ear before the other. The ear/brain translates differences of only a few ten-thousandths of a second in the interaural (between the ears) arrival times into accurate directional information. Other far less precise clues include the differences in loudness between the two ears due to the baffling effects of the head at middle and high frequencies; and the colouration of high frequency sounds by the pinnae of the ears.
Any owner of a good stereo system is witness to the amazing ability of the ear/brain to hear sounds which seem to originate from points between the two loudspeakers. These are known as phantom images. A listener seated equidistantly from two identical loudspeakers, positioned approximately 30° to either side of the centre and fed identical signals, will not hear two separate sounds but one phantom source apparently located exactly between the two speakers. Such a phantom image is easily shifted to any position along the arc joining the two speakers, in either or both of two ways. By delaying the signal emanating from one of the speakers, the image will shift in the direction of the undelayed signal — known as the 'precedence effect'. By increasing the volume of one of the loudspeakers so the image will be shifted toward the louder speaker.
The image may be shifted outside the arc formed by the speakers by inverting the phase of one and substantially reducing its volume. In a correctly set-up system the image will shift to the outside of the unaffected speaker. This effect occurs naturally in recordings produced with coincident bi-directional mics at 90°. The subjective effect of this is a noticeable and accurate broadening of the stereo field beyond the left and right speakers, sometimes referred to as 'lateral image width'.
Limitations
It is not widely understood that the inherent limiting factor in the ability of a stereo system to recreate correct or desired image location is the fact that both ears hear the signal from both loudspeakers. In real life, the interaural time delays are unique for each direction of sound. In 2-loudspeaker stereo, because both ears hear both signals, there are always two sets of time delays corresponding to the actual location of the left and right speakers. (Except, of course, with a fully left or right signal where one speaker will be totally silent.) The brain receives two sets of cues for each single source which suggests the presence of two actual sources, namely the speakers, rather than one phantom source which is the desired objective.
Because of this, whenever interchannel time delays are used in the attempt to convey directional information, a seriously distorted left-to-right perspective occurs. For instance, if the signal from the left speaker is delayed more than 0.3ms, which is the interaural time delay for approximately ±30° speaker placement, the sound from the right speaker is heard first by the right ear and then 0.3ms later by the left ear, before either ear has heard anything from the left speaker. Information is already on its way to the brain which will localise the signal at the right speaker and the brain will have difficulty in modifying subsequent information from the left speaker so the image will be placed at the right speaker. Only 0.3ms delay is needed to shift the image from the centre to an extreme position. The image could be shifted back to the centre with varying degrees of success by reducing the volume of the leading speaker but in practice this rarely occurs.
Stable centre image but it generates severe distortions in the signals. It will always be a textbook rule of thumb that two or more mics spaced apart by more than a fraction of an inch should not simultaneously interact acoustically and electrically. Audio frequency \( \frac{1}{2} \)-wavelengths vary from about \( \frac{1}{2} \)in to 20ft long. In the case of the 3-point system, signals arriving at the mic at different times (hence out of phase by varying degrees) are mixed together. If the instantaneous pressures at both diaphragms are positive, then the voltages add; if the pressure at one diaphragm is positive and the other negative, the voltages will partially or completely cancel. In practice, varying degrees of additions and cancellations will occur, dependent upon frequency and interpath differences. Tremendous peaks and dips in the frequency response result (known as the 'comb filter' effect because a graphic representation of the frequency response resembles the teeth of a comb) which cannot be corrected with equalisation, even if desired. Also, low frequency information which is out of phase causes severe unwanted vertical modulation of the cutting and playback stylus, sometimes lifting them out of the groove entirely.
At the cutting stage, recordings made in this way require corrective measures such as substantial low-frequency roll-off, or mixing of the LF information into monaural, with resultant comb filter effects. One audiophile company which uses the 3-point method takes great care to position the bass drum in the exact centre during recording sessions in order to avoid this problem at the cutting stage.
Spaced mics
Nonetheless, recording engineers still make use of these interchannel time delays to present directional clues, with less than satisfactory results. Two or more mics are positioned across the front of the sound stage spaced by an essentially arbitrary distance. Sounds from off-centre take longer to arrive at the farther mic(s) and are louder at the nearer, leading mic, providing faulty delay and amplitude information, which the listener perceives as distorted directional information. If only two mics are used, any sound far enough off-centre to present an interpath difference to the two mics of 1ft or more (corresponding to 1ms or more) will appear upon playback to be located at the speaker reproducing the leading signal (ie from the closer mic). If the mics are separated 50 feet, then any source located more than a few inches to either side of centre, regardless of the width of the sound stage, will cause an interchannel delay of 1ms or more, and upon playback will seem to originate from the speaker fed by the closer, louder mic, thereby reinforcing the exaggerated effect. Only sounds which originate dead centre will produce centre-phantom images. As a source moves gradually off-centre its image upon playback will jump suddenly to the leading speaker; an off-centre stationary singer who turns his or her head will seem to jump from left to right as the difference in loudness alternately reinforces or counters the delay due to the interpath difference.
The standard remedy for this is to place a third mic in the centre of the sound stage, whose output is fed in equal amounts to both channels. This '3-point' technique does produce a stable centre image but it generates severe distortions in the signals. It will always be a textbook rule of thumb that two or more mics spaced apart by more than a fraction of an inch should not simultaneously interact acoustically and electrically. Audio frequency \( \frac{1}{2} \)-wavelengths vary from about \( \frac{1}{2} \)in to 20ft long. In the case of the 3-point system, signals arriving at the mic at different times (hence out of phase by varying degrees) are mixed together. If the instantaneous pressures at both diaphragms are positive, then the voltages add; if the pressure at one diaphragm is positive and the other negative, the voltages will partially or completely cancel. In practice, varying degrees of additions and cancellations will occur, dependent upon frequency and interpath differences. Tremendous peaks and dips in the frequency response result (known as the 'comb filter' effect because a graphic representation of the frequency response resembles the teeth of a comb) which cannot be corrected with equalisation, even if desired. Also, low frequency information which is out of phase causes severe unwanted vertical modulation of the cutting and playback stylus, sometimes lifting them out of the groove entirely.
At the cutting stage, recordings made in this way require corrective measures such as substantial low-frequency roll-off, or mixing of the LF information into monaural, with resultant comb filter effects. One audiophile company which uses the 3-point method takes great care to position the bass drum in the exact centre during recording sessions in order to avoid this problem at the cutting stage.
Amplitude-encoded directional information
There is a way to convey directional clues without these problems. Over the entire frequency range it is possible to present directional information without time delays by the use of in-phase signals differing only in relative loudness. It has been known for years that two loudspeakers driven with the same signal in-phase but with differing amplitudes can convey accurate directional information. This occurs through a combination of physical and psychoacoustic phenomena. At lower frequencies below about 700Hz (whose \( \frac{1}{2} \)-wavelength is equivalent to the distance from one ear to the other) two identical in-phase signals differing only in amplitudes cause a relative phase shift between the two ears because the resultant peak in the combined signal from both speakers occurs a little sooner at the ear closer to the louder speaker. An amplitude-dependent phase shift is thus generated, which the ear/brain interprets as accurate directional...
information.
For signals above about 700Hz, the mechanism is less well understood because it is a psychoacoustic rather than a purely physical effect. Philip Vanderlyn, of the Central Research Labs of EMI, offers the most plausible explanation of this:
"... some time after the onset of the partial stimuli (the sounds from the two speakers reaching one ear) ... the integral of the energy received by one ear will reach a threshold value before the other, depending on the relative amplitudes of these partial stimuli, and an action potential will be generated at that ear earlier than the other, as though it had resulted from a single virtual stimulus." ("Auditory Cues in Stereophony", *Wireless World*, September 1979).
In other words, at frequencies above about 700Hz, the ear/brain responds to relative energy envelopes, rather than to the relative phase of the two signals. With this system, perceived image localisation correlates very closely to actual instrument location, with none of the frequency-dependent problems of the spaced mic system.
**Depth cues**
The use of in-phase signals varying in amplitude guarantees only that the signal will localise properly in the left-to-right arc between the speakers; it does not guarantee the proper sense of depth, which is the ability to sense the front-to-back spatial relationships of the instruments or voices. The practice of multichannel panpotting performs the function of providing in-phase signals varying only in amplitude. The result is unambiguous and smooth left-to-right phantom images. However, in addition to a plethora of insurmountable problems with this system, all instruments treated in this fashion seem to be located along the imaginary line joining the two speakers. The perspective is flat, lacking the illusion of depth, and louder instruments mask softer ones. This is because depth cues are not present on a recording made in this fashion.
Such highlighted instruments are perceived as grossly exaggerated in size relative to the overall group. The instruments will sound different at the very close distances needed for solo mics. There is the problem of balancing all the instruments, which is taken out of the conductor's hands and put into an engineer's. If the instruments being panned are also picked up by the main or overall mic pair, there will be frequency response aberrations and comb filter effects, resulting in smearing of transients, ambiguous location in space and other problems.
Depth cues are provided by "reasonably accurate reconstruction of the directionality and associated time delays of indirect sounds" ("Surround Sound Sense", P B Fellgett, *Hi-Fi News*, February 1975). Each instrument radiates into a particular acoustic environment, setting up reverberation patterns unique to itself, the room and its position in the room. It is the preservation of these reverb patterns on a recording that provides the sense of front-to-back depth. The presence of these patterns makes it possible to determine that one instrument is in front of another and to sense the air and space between instruments or voices. These patterns define the acoustics of the original recording environment and lend overall image stability and balance to a recording.
These subtle patterns must be captured properly. Improperly captured (or worse) injection of artificial reverb smears the sonic image. Reverb patterns cannot be properly captured with only a single mic panned to any location. Reverb by nature comes from virtually every direction and panpotting assigns the reverb to the same specific location as the instrument.
**Coincident mic**
The use of a pair (or more as in the Calrec Ambisonic *Soundfield* mic) of coincident mics produces signals which meet all of the criteria for smooth left-to-right, as well as accurate front-to-back, phantom imaging, with none of the time related problems inherent to spaced mic techniques. Coincident mics are directional (ie not omnidirectional); otherwise there would be no effective difference in the output of the capsules. By definition, the output of all directional mics, at least in part, is proportional to the angle of incidence of the sound, thus they encode directional information into in-phase amplitude variations, which are precisely what the ear/brain needs for accurate interpretation of directional information within the medium of 2-loudspeaker reproduction.
The use of bi-directional coincident mics arranged at 90° to each other (the method advocated by Alan Blumlein) assigns a unique pair of voltages to every position in a 360° plane allowing an entire sound field plane to be encoded on to two channels. This is the most accurate storage of the direct and reverb patterns possible with two channels. Upon playback, recordings made in this manner offer an unsurpassable accuracy of instrument or voice location, sense of space between instruments, ability to sense accurately the dimensions and acoustics of the recorded environment, the ability to follow single voices through dense and complex passages and a noticeable, accurate and subjectively pleasing broadening of the stereo 'curtain of sound' or 'lateral image width'.
**Surround from stereo**
The use of the Blumlein method of recording accurately encodes the entire 360° plane, but loudspeakers usually subtend an arc of only approximately 60°. Thus more directional information is present in Blumlein recordings than can be reproduced via two loudspeakers.
It is not only possible but also relatively easy, to extract this additional genuine (as opposed to synthesised, as in delay networks) directional side or rear information which is present in any recording made with coincident mics. This side information usually represents the reflected sounds which define the acoustic environment and positional arrangements. An additional matched pair of speakers is required, preferably identical in all respects to the main front pair. Additional power amps may or may not be needed. The details of the many possible interconnections are beyond the scope of this article, but generally the additional pair should be connected in series (or in parallel for greater rear volume) with their polarities reversed, across the hot terminals of the power amp such that the left-front and left-rear diaphragms move in the same direction (eg both move out on a positive pulse) together and the left-front and right-rear diaphragms move in opposite directions (eg left-front diaphragm moves out when the right-rear diaphragm moves in on a positive pulse).
**Loudspeaker arrangement**
When reproduced via two spaced loudspeakers, phase coherent amplitude differences between two information channels (due to the nature of the signals resulting from coincident mics) provide a cue which the ear/brain interprets as accurate directional information. It is essential that the reproduction system preserves this delicate relationship of phase and amplitude. Failing to retain these critical requirements will distort the aural image potential (eg width and depth) of stereophony.
The weakest link in the reproduction system is certainly the speakers. In setting up two speakers for stereo it is essential that a monaural signal leaving both speakers at the same time arrives at the same time at a point which would be between the listener's ears. Only one listening axis can exist which can meet this requirement. (Recall that a path difference of only 1ft is enough to shift a central image to the extreme left or right position.) This position will be determined by a juggling of parameters through which the best compromise will be reached.
Stereo loudspeakers should form an arc of approximately 60° with final positioning depending on loudspeaker characteristics. Too great an angle produces what the ear/brain perceives as two separate signals without an integrated spread between the speakers; too small an angle tends to sound monaural. An aid for setting this parameter is to listen to a monaural source and to change the distance between the speakers by a small amount until the spread is as great as is possible while the phantom centre image remains precisely between the two speakers.
Loudspeakers vary dramatically in driver type, arrangement and number; crossovers; cabinet dimensions; dispersion characteristics; tonal balance; phase response; room coupling effects; etc. Because of these differences small final vertical height and azimuth adjustments and rotation about the central axis of the speaker (tow-in-angle) must be performed in order to realise the best subjective compromise. These final adjustments must be made while listening to a recording which contains the cues necessary for accurate image reconstruction by the ear/brain. (Recordings made with a pair of coincidental mics are capable of providing this information.) All of these adjustments are interrelated and changes in any area probably will require correction in other areas.
**Absolute polarity**
Another factor that will affect the sound of a system is the absolute phase of the final sound pressure from the speakers. Due to the asymmetrical nature of musical waveforms, it is essential that the speaker diaphragm produces a positive pressure when the mic diaphragm receives a positive pressure and vice versa. If this relationship is inverted the subjective sound will tend to have less mid-range detail and clarity and a more distant perspective, a subtle but clearly noticeable difference. This relationship will vary from recording to recording and from component to component. The only way to determine the correct polarity for a given system or recording is to listen, invert the polarity of both speakers, and listen again and decide which sounds more natural (ie open and clear). It is important to note that this test is irrelevant to recordings not made with coincidentally placed mics because the absolute phase of such recordings is essentially random.
The means of capturing, storing and reproducing stereo information vary considerably. The research performed by Sound Storage supports the conclusion that the Blumlein system of sampling the sound field provides, both subjectively and theoretically, the most realistic reproduction of sound possible within the limitations of the stereo medium. The result is the natural sound of the musicians in their intended places, in an acoustic environment appropriate to the music — not a sonic spectacular but a musical reality.
The CTEAP 80 Exhibition was held at the Hotel Sofitel, Paris from Saturday November 29 to Tuesday December 2. Noel Bell reports on this annual French professional audio exhibition.
THREE YEARS on from its inception the CTEAP exhibition organised by the Association pour les Techniques Electro-Acoustiques Professionnelles has progressed to become an established annual event. The 1980 exhibition again saw an increase in the number of exhibitors, with a total of 45 displaying their product lines on this occasion. However, although the number of exhibitors was up, this latest CTEAP did not appear to be as well attended as the 1979 exhibition. This could have been a reflection on the present parlous state of the professional recording industry, but could also have been a result of the decision to change the timing of the exhibition. The previous CTEAP exhibitions were held in mid-November whereas the latest was at the commencement of December. Whatever the reason—and despite the advent of winter in Paris which caused exhibitors and visitors alike to think twice before venturing out of the Hotel Sofitel into the semi-Arctic weather—the lack of visitors gave the exhibition a rather subdued atmosphere. As such CTEAP 80 was more a consolidation and retrenchment of the exhibition vis-a-vis the French professional audio scene and an opportunity for the French recording industry to see recently introduced products at first hand, than an all encompassing exhibition with multifarious new product launches. Despite this, several new products debuted at CTEAP, and rather than retread ground covered in previous exhibition reports, I will confine this report to items seen for the first time.
Dynacord displayed a wide range of professional and semi-professional equipment including four new units. These were the MC16/4/2 console; the TAM 21 phaser/flanger; and the EQ270 and EQ210 graphic equalisers. The MC 16/4/2 as its name implies is a 16 input, four subgroup, two output channel console for PA usage. Features include 3-band equalisation with a parametric middle section, plus a 48V phantom powering facility for mics. The TAM 21 phaser/flanger is a 2-channel unit, switchable for mono or stereo operation, with facilities for voice doubling in addition to stereo phasing and flanging. Features include short or long delay effects mode and regeneration control, sweep and depth controls, and a control voltage facility for remote control purposes. The EQ 270 graphic equaliser is a 27-band 1/3-octave equaliser on the standard ISO centre frequencies offering ±12dB of boost or cut. Facilities include a bypass switch, LED display of modulation level, and an input level control covering the range -10dB to +15dB. The same facilities are also provided on the EQ 210 graphic equaliser which is a 2-channel, 10 band/channel unit. The facilities being available separately for each channel.
A company which I hadn't come across before was EAA who are based at Villebon s/Yvette. On this company's stand two ranges were displayed, these being products under the names Quest and Square. From Quest there was the Quest 1200 console, a 12 input, four subgroup, four output console available with numerous options including multipair connectors, phantom mic powering, Penny & Giles faders, a transport case, and with the facility to extend the console for 8-track operation. Also from Quest were the 802 and 1602 film and TV post production consoles, and the EM8 and EM168-8 and 16-track monitor blocks. Finally from EAA, were two stereo amplifiers from Square; the Square 1000, a 500W per channel power amp; and the Square 800, offering 400W per channel.
MCI mounted a comprehensive display of its products with particular emphasis upon the recently introduced JH-600 console and its wide selection of tape machines. Although still handled by Studio Equipment, MCI have opened a French subsidiary company to expand its share of the French market. The new company, MCI Professional Recording Equipment France sarl, is based at 60 Boulevard Pereire, F-75017 Paris. Phone number is 227.25.95.
Pyral introduced a new open reel tape at CTEAP, the type CJ 90. The new tape is polyester based having a total thickness of 55µm (36µm polyester; 15µm magnetic coating; and 4µm grey back coating) Available in ¼in, 1in and 2in widths, the tape features antistatic back coating, and is available in 750m lengths on NAB hubs. Specifications include: coercivity 34kA/m; operating level +1.5dB; print through -51dB; sensitivity +0.5dB (1kHz), +0.8dB (10kHz), +0.5dB (14kHz); output level for 3% third harmonic distortion +11.8dB; and modulation noise level -55dB.
Although not actually showing anything at CTEAP, the UK based studio construction company RABIT were in attendance at the exhibition. This was primarily to announce the opening of a French office for the company. Accordingly, all enquiries for France should now be directed to 18 Rue de Beaudant, F-75017 Paris, (Phone: 294.94.86.).
French console manufacturer SAJE announced the introduction of two new consoles these being the Odyssey multitrack recording console and the Auxy PA and theatre console. The Odyssey is a modular console accepting from 12 to 30 input channels and with eight echo sends and 24 outputs. Features include 3-band parametric, three stereo echo sends, auto-mute, VCA subgrouping, transformerless inputs, and LED VU metering. The Auxy console will accept 12 to 32 inputs and has eight aux outputs, four subgroups, and two main outputs. Both consoles can be automated.
Studio Equipment the French distributors for AMS, Barth and MCI showed a new range of French manufactured stereo power amplifiers called Neva. Three models are available, the Model 400, Model 200 and Model 80, with individual channel power outputs being the same as the model numbers. All the amplifiers are 19in rack mount units and feature 10kΩ asymmetrical XLR inputs (600Ω symmetrical as an option). The top two models also feature LED VU metering of output level. Specifications include frequency response 10Hz to 45kHz, -3dB; harmonic distortion <0.05%; slewing rate 6V/µs; damping factor >100; input sensitivity 0.8V; and S/N ratio >104dB.
To conclude, CTEAP 80 was an excellent opportunity for the French recording industry to see what products its home based manufacturers have to offer, while in addition, a wide range of foreign manufactured equipment available from French distributors was also displayed. As a perhaps somewhat parochial exhibition outside the mainstream Anglo-American affairs CTEAP 80 did not prove to be a launching pad for many new products, but with AES Hamburg looming this wasn't exactly unexpected.
Expression through equalization.
The MXR Dual-Fifteen Band and Thirty-One Banc equalizers are cost effective electronic signal processors designed to meet the most exacting equalization requirements in a wide range of professional applications.
The MXR Dual-Fifteen Band equalizer can be used to tailor the frequency response of two sides of a stereo system, or it can act as two separate mono equalizers. In performance one channel can equalize the house system, while the other is used independently in the stage monitor line adjusting frequency response and minimizing the possibility of feedback. In the studio the Dual-Fifteen Band equalizer can be used to compensate for control room acoustics.
The MXR Thirty-One Band equalizer provides maximum detail in the most demanding equalization applications. It can be used in pairs for ultimate stereo control, or in live performance interfaced with PA systems and other instruments. The Thirty-One Band equalizer is also the perfect tool for conditioning film or video sound tracks, and in mastering applications.
The spacing of frequency bands on ISO centers (2/3 octave in the Dual-Fifteen Band, 1/3 octave in the Thirty-One Band) and a flexible system of controls offer superior accuracy in frequency equalization. Each band can be boosted or cut over a range of ±12 dB. Clear, readable markings alongside each level control allow for quick and accurate checks of equalization settings, and aid in resetting the sliders to predetermined positions. The tight mechanical action of the sliders prevents slips during indelicate handling.
The MXR Pro Group equalizers afford maximum control of frequencies while maintaining the highest level of sonic integrity. The Dual-Fifteen and Thirty-One Band equalizers both have a dynamic range exceeding 110 dB and, as all MXR Pro Group products, will drive low impedance lines. Audio signal, including transients, is reproduced faithfully due to a high slew rate and a wide bandwidth.
The MXR Dual-Fifteen and Thirty-One Band equalizers are designed to withstand the demands of a professional road and studio schedule. Their superior design and superb craftsmanship reflect MXR's continuing commitment to the manufacture of the highest quality electronic signal processors for today's creative artists.
Atlantex Music, Ltd., 34 Bancroft Hitchin, Herts. SG51LA, Eng.. Phone 0462 31513, Tlx 826967
MXR Professional Products Group
Accuracy in sound reproduction
Prof P B Fellgett
Our pleasure in music depends on the ability of the ear and brain to discriminate and interpret sounds but our faculties are becoming blunted. We listen more frequently to reproduced or amplified sounds, often with distortion caused by poor equipment or even deliberately induced, than we do to live, natural sounds. In this article, based on the Reading University Public Lecture presented last December, Professor Fellgett explores the thorny path to overcoming the many distortions that can mar reproduced music. We are publishing this article as a contribution to the continuing discussion on the future and direction of the audio industry.
Our forefathers, who were fond of numbering things, enumerated five senses: sight, touch, hearing, taste and smell. We would today distinguish: mechanical — touch, kinesthetic, balance; thermal — heat and cold; chemical — taste and smell; visual — seeing; and auditory — hearing. All are important, and we regard someone with the misfortune to lack any of them as handicapped, or at least deprived of enjoyments others can have. It is not possible to say that any one is the most important as all are complex and highly developed, but our subject here is hearing.
Hearing is of special social and emotional importance. One of the first things a baby learns is to recognise and respond to its mother’s voice. As we grow up, we use voice and hearing in all our relations with other people, and in learning about the world about us. As our perceptions become practised and refined, we begin to appreciate rhythm, melody and harmony, and so we are led to music. Some assert that all music began from the voice.
What we call ‘the ear’ (really the combination of brain and hearing) has wonderful powers of analysis and discrimination. One example is the ‘cocktail party effect’ — the ability to lock onto one conversation out of a babble of others. Even more strange, in a way, is the ability to recognise who is speaking even when the voice is too faint or too overlaid by other sounds, for the words to be intelligible. We can often do this, for example, on the telephone, where almost every characteristic we know how to measure objectively has been distorted apparently out of recognition.
So far, we do not have any convincing explanation of how the ear manages to do these things. The 19th century pioneers, Ohm, Helmholtz and Lord Rayleigh concluded that all that matters to the ear is the spectral composition of the sound; the relative amplitude of the fundamental and its partials, overtones or harmonics.
There seems no way in which this picture can fully explain the ear’s performance and today we regard it as just a first approximation which needs to be supplemented by other, more complex, considerations. We know that transient effects are important. It also seems logically necessary to suppose that the ear can do what is called ‘non-linear processing’ and thus make use of phase information which the 19th century scientists thought it did not have access to. This is expressed mathematically by saying that the ear can supplement ordinary spectral information. Although strongly supported by indirect evidence, efforts to verify the bispectral hypothesis by direct experiment have so far been unsuccessful, and the research is continuing.
The ‘cocktail party effect’ is important to our appreciation of music, since through it we are able to distinguish voices, instruments or sections, and to hear inner lines. The different sections of an orchestra should blend without losing their identity, and each instrument should be able to make itself heard above the whole orchestra when the music requires it to do so.
Another important ability of the ear is to locate sounds in space, and to recognise the size, shape and characteristics of the place where, for example, a musical performance is taking place. It is an ability we conventionally recognise in blind people, but we must not forget that their special facility is just the result of more intensive practice of a faculty which sighted people also have, and use all the time.
There is little doubt that the ‘cocktail party effect’, and our ability to resolve a complex musical texture, are closely bound-up with spatial auditory perceptions. Each constituent in a rich web of sound is, so to speak, ‘labelled’ with an acoustic quality characteristic of its place of origin. This ‘ambience labelling’ depends on the ear interrelating direct and indirect, reflected sounds, and is very important musically. We hardly care, for example, whether the tympani are to the left or right of the woodwinds; what matters is that each section of the orchestra or chamber ensemble should be perceived as contributing its proper share to the overall sound.
When we listen to reproduced sound, many processes, and many pieces of equipment, lie between us
and the original sound. Each one of these is imperfect, and as their imperfections add up so this progressively distorts the original.
In early loudspeakers, for example, the suspension of the moving parts was not free enough for good reproduction of bass notes. As this was corrected, being able to hear the drum became a sales feature, leading to the mellow-toned Radiogram. Gradually a reaction set in, and it was realised that the lack of top notes was giving a woolly sound of poor definition. To correct this, the moving parts of loudspeakers had to be made lighter, so that they could respond faster (and, of course, matching improvements were needed elsewhere in the equipment).
Better high frequency response, however, exacerbated another form of distortion; non-linearity, which causes the components of the sound to interact, generating combination tones and harmonics, instead of coming through cleanly and separately as they should.
It is also necessary to preserve the sense of space; that is to say of depth and direction. The original single-loudspeaker reproduction, which we now call monophonic, or mono for short, of course gave no perceptible sense of direction. Stereo provides this information only over a front stage, and we really need to be able to reproduce sounds, both direct and reflected, from all around the listener. Unfortunately the first attempts to do this, called by the hybrid name 'quadraphonic', were based from the start on mistaken assumptions and methods and never worked well enough to gain a wide public.
Our own research over the past decade has been very much concerned with a new and more fundamental approach to overcoming directional distortion. The work has been supported by the National Research Development Corporation, and has been done in collaboration with colleagues elsewhere in other universities and in industry internationally.
From this research has emerged a flexible and comprehensive technology, which is called Ambisonics, for surround-reproduction of sound. It depends on a thorough analysis of how the necessary directional information can be picked up, how it can be handled and recorded in the studio, how it can be transmitted to the eventual listener, and how that listener can be given a convincing illusion of the desired directions of arrival of the sounds.
This last step is in many ways the most difficult, as it necessarily involves the psychology of hearing. Michael Gerzon made a fundamental advance by asking not 'what directional clues does the ear use' but 'what clues is it mathematically possible that the ear might use'. In this way he was able to understand the diverse experimental results of perception psychologists in a way susceptible to use in engineering design, eventually incorporated in Ambisonic decoders.
For the first step, picking up the directional information, Michael Gerzon and Dr Peter Craven invented the Soundfield microphone, the world's first truly 'omnidirectional', as opposed to nondirectional microphone. It treats sounds from all directions, horizontally or vertically, not in the same way (as would a nondirectional microphone) but in an equivalent way which distinguishes each direction without favouring any one above another.
Modern high-quality audio equipment has a nominally flat frequency response as wide as from 20Hz to 20kHz, and less than 1 part in 1000 nonlinear distortion. Are we therefore approaching perfection? Look at this quotation: "He said he had just heard the voice of [his colleague in Chicago, from New York] with such an intensity of sound and such clarity that he imagined his colleague must be behind him, among us in the same room, not 1,000 miles away... The voice was vibrant and precise... without the least distortion." Is this a description of the latest digital microwave or optical fibre link between the two cities? No, it actually refers to a telephone experiment in 1886 which we should today regard as primitive.
The history of audio has indeed been a story of always underestimating the discriminating power of the human ear, and therefore of over-estimating the amount of distortion that can be allowed. We have learnt to be suspicious of any claim to be 'without the least distortion'. We would not regard any of the recordings we have made as free from distortion. Modern equipment may indeed have nonlinear distortion levels of below 1/1000, but we are fairly sure that some kinds of distortion can be harmful at levels as low as 1/ million.
The problem of distortion would be much easier if the various kinds of distortion kept themselves to themselves; but of course they interact. For example, one of the first things to be affected by low levels of non-linear distortion is sense of depth. There can also be falsification of the apparent musical dynamics of the performance.
When natural ambience clues are eroded by any kind of distortion, it is tempting in these days of plentiful and comparatively cheap electronic equipment to compensate by artificial means. This is the route that, largely, the industry has taken, using a separate mic for almost every performer or section, recording on anything up to 46 tracks of magnetic tape, and then mixing and adding artificial reverberation in elaborate mixing desks.
Such methods of course destroy the natural clues, with the result that almost every part in the music has to be at nearly the same loudness if it is to be heard at all, and the sense of space and of the scale of the instruments is falsified. The result is an 'overbalanced' presentation which may have initial impact but which soon palls because there is too much coming between the performer and the listener, preventing the intimate communication which should take place.
Today we listen to more reproduced than live music. The availability of the world's repertoire at the touch of a switch has enormously widened our musical experience, with great benefit to our musical appreciation. But there is the danger that if we listen to distorted reproduction, in which natural clues are falsified or suppressed, our ability to respond to these clues may become atrophied.
A manager is reported as having said 'something happens between a group and the audience when they go over 110dB'. Indeed something does; they go deaf. Evidence is accumulating internationally that a generation is growing up whose members may be deaf by 10dB or more through exposure to overloud reproduced sounds. Although undesirable, this is not too serious now, but it means that with the natural deterioration of hearing with age, they may become socially deaf 10 or 20 years earlier than they otherwise would, and this is very serious indeed.
If misuse of modern electronic gadgetry is causing measurable physical deafness, how much greater is the danger that it is impairing our powers of aural discrimination, so that we are becoming less well able to listen to and enjoy live music? The other day I went to a concert by the pioneer jazz violinist Stephane Grapelli. Instead of hearing Mr Grapelli and the obviously talented musicians with him, I was able to hear only a bad reproduction of him and his associates through the electronic equipment littering the stage. So unpleasant was it, that I went home at the interval, where in greater comfort I could, if I wished, hear Mr Grapelli reproduced much better. So widespread is the disease of 'microphone-itis' that when we do go to a live concert, often we still hear only reproduced sound.
Anyone who reads the newspapers will know that the audio and record industries are in a state of depression and upheaval, even in comparison with other industries. It would be absurd to suggest that deficiency in musical interest in many records, caused by distortions and ill-advised attempts to compensate for these instead of removing them, is more than one of the contributing causes to a very complicated situation. Nevertheless a number of firms who have taken a pioneering road in what is sometimes known disparagingly (but why so?) as 'purist techniques' have been doubling and trebling their sales while others have been going out of business.
In this article, I have tried to show through examples, how academic research and contemplation in universities can, by going back to fundamentals, refresh parts of the industry others cannot reach.
Contemplation is not sitting back and day dreaming. It is among the hardest kinds of work a human being can do, requiring a completely dedicated desire to understand.
Acknowledgements are gladly made, for facilities and encouragement, to those who have contributed materially to research, to Amex UK, Calrec Audio, HH Electronics, IMF Electronics, Nimbus Records, Unicorn Records.
Prof Felgett is head of the Dept of Cybernetics at the University of Reading.
Survey: compressors and limiters
ACCESSIT (UK)
UK: Turnkey 8 East Barnet Road, New Barnet, Herts EN5 3RW.
Phone: 01-440 9221. Telex: 25769.
USA: The Mike Shop, PO Box 366, Elmont, NY 11003.
Phone: (516) 437-7925.
Compressor
Simple compact compressor for small studio use. Free standing but rack mounting fitting available in pairs. Requires external 24V power supply.
Noise: -60dBm.
THD: 0.3%.
Attack: 0.5ms to 5ms.
Release: 0.1s to 2s.
Ratio: approx 6 to 1.
ALICE (UK)
Alice (Stancoil Ltd), Alexandra Road, Windsor, Berks.
Phone: 07535 51056. Telex: 849323.
9904 Module
Contains two comp/limiters with switched stereo ganging built into Alice desks, and not available separately.
Noise: -62dB 20Hz to 20kHz.
Distortion: 0.1% THD.
Attack time: 1 to 10ms limiter 100µs.
Release time: auto 600ms to 5s, manual 400ms to 1.2s.
Ratio: 1.3 to 5:1.
Price: £330.
ALLEN & HEATH (UK)
Allen and Heath Brentel Ltd, Pembroke House, Campsbourne Road, London N8.
Phone: 01-340 3291. Telex: 267727.
USA: Audio Marketing, 652 Glenbrook Road, Connecticut 06906.
Phone: (203) 359-2312. Telex: 9965/9.
Feed Forward Delay Limiter
The unit employs an analogue delay circuit in the main signal path that activates a side chain limiter circuit on advance of an incoming transient. This is designed to eliminate normal limiting-related problems such as transient distortion and overshoot. Variable threshold, release time and output level are featured, plus an overload indicator, stereo linkage and a 3-position LED PPM.
Price: £300.
Pro Limiter
Portable limiter designed for use with small studio and PA systems. Features 7:1 compression ratio, balanced mic input, line input, low level hi z input for guitar, switchable attack and delay times, overload indicator, variable input gain.
Price: £55.00.
ALLISON (USA)
Valley People Inc, 2820 Erica Place, Nashville, Tennessee 37203.
Phone: (615) 385-4737. Telex: 558610.
UK: FWO Bauch Ltd, 49 Theobald Street, Boreham Wood, Herts WD6 4RZ.
Phone: 01-953 0091. Telex: 27502.
Gain Brain Model 700
A unit containing the 'unique' combination of peak and rms limiters plus high-speed LED readout. Several units can be connected for tandem limiting.
Noise: -33dB below threshold of peak limiting.
Total harmonic distortion: 0.3%. 40Hz to 15KHz.
Gain: 0-30dB reduction.
Attack time: peak section 1.5dB overshoot 1us after application of 50Hz test tone, corresponding to the threshold of limiting by 15dB; rms section 7 to 40ms for 90% ultimate gain reduction, dependent on complexity of waveform, amount of limiting and control positions.
Release time: peak section 1us for transients of 50µs duration, variable between 50ms and 5s for other peak signals; rms section 0.25 to 5s.
Limiting ratio: peak section approx 50:1; rms section approx 10:1.
Threshold: -20 to +30dBm in peak mode; rms mode raises peak threshold 6dB. This allows a separation of thresholds that is continuously variable from 0dB (peak mode) to 12dB (rms mode).
Power: 24-28V dc.
Price: $283.50, $2,410.8 channels in powered rack, $4,400 16 channels in powered rack.
Gain Brain II
Compressor/limiter/ducker with LED readout of attenuation. Unit has provision for stereo intercoupling, side chain operation for frequency dependent gain control, and for remote VCA and/or remote GR metering.
Gain: 0-48dB reduction.
Series 800.
Designed to leave the final design to you.
A completely new console system, designed to give the creative engineer the sound he desires in the professional 8- and 16-track studio or, as an advanced specification concert, theatre or stage monitor mixing console.
The Soundcraft Series 800 is enriched with all of the technological developments that enhance the Series 1624 studio console, whilst providing total flexibility to the discriminating engineer in any situation demanding a high quality 8 buss mixing console.
This total flexibility means that the engineer's exacting demands can be fully realised, with a series of module options built into one unit.
With two sizes of mainframe to accommodate 18- or 32-channels, you can obtain the console custom-built with the choice of input and output modules for your particular creative application.
You can use the Standard Input Modules and four Double Recording Output Modules to achieve a superb 8- or 16-track studio console with 16-track monitoring.
Or, choose the Standard Input Modules with four Double PA Output Modules each containing two full-function effects return channels, for a highly versatile front-of-house PA Console. The Series 800 on-stage Monitor Input Modules provide up to ten independent mixes which is also ideal for theatre sound.
And, of course, the console is enriched with all those thoughtful Soundcraft touches which are typical of the complete range of Soundcraft products.
Series 800 is the flexible system that gives you all the creative options without compromising your demands. Tough, compact and beautifully finished, the Series 800 mixing console is designed especially for professionals by Soundcraft – Masters of Quality.
Send the coupon for further details and full technical specifications or telephone your nearest dealer as listed below.
The new Series 800 mixer system from Soundcraft.
Please send me further details of the Series 800 mixer console and full technical specifications.
Name ____________________________
Position ____________________________
Studio/Company ______________________
Address _________________________________________________________________
Tel: _________________________________________________________________
Soundcraft. Masters of Quality.
Soundcraft Electronics Ltd., 5-8 Great Sutton Street,
London EC1V OBX Telephone: 01-251 3631, Telex: 21198.
Survey
Attack time: 0.2 to 200ms.
Release time: 0.05 to 5s, lin/log switchable.
Limiting ratio: 1.3:1 to ∞, ducker 1: -50.
Threshold: +20 to -40dBV with in/out/external mode switch.
Price: $380.
ALTEC (USA)
Altec Corp., 1615 South Manchester Avenue,
Anaheim, Cal 92803.
Phone: (714) 774-2900.
Europe: Altec Lansing International Ltd, 17 Park Place, Stevenage, Herts SG1 1DU, UK.
Phone: 0438 3241. Telex: 825495.
UK: The Sound Projects Sound Ltd, 10 Long Acre, London WC2E 9LN.
Phone: 01-240 5411.
1612A Limiter
A 2-input device that functions either as a line amp or a limiter amp.
Equivalent input noise: -130dBm with 1588C mic preamp; maximum output noise -55dBm, 20kHz bandwidth.
Total harmonic distortion: as a limiter amp; 1% typical; 50Hz to 20kHz at +8dBm output, threshold to 25dB compression.
Attack time: typically 10µs in 'fast' mode; 33us in 'slow'.
Release time: typically 800ms in 'fast' mode; 2.8s in 'slow'.
Threshold: variable from -74dBm input with 1588C mic preamp; from -40dBm direct input.
Slope: nominally 20:1 from threshold to 25dB compression.
Limitline balance: 0-20dB of compression.
ASHLY (USA)
Ashly Audio Inc, 100 Fernwood Avenue, Rochester, NY 14627.
Phone: (716) 544-5191.
UK: Atlantex Music Ltd, 34 Bancroft, Hitchin, Herts SG5 1LA.
Phone: 0462 31511. Telex: 826967.
SC-50
19in rack mounting peak limiter/compressor with balanced inputs, detector patch point for frequency sensitive limiting and LED gain reduction indicator.
Hum and noise: -90dBV, unity gain.
Distortion: less than 0.05% THD, 0dBV 20Hz to 20kHz, no limiting, less than 0.2% +18dBV worst case.
Gain: ±30dB.
Ratio: 2:1 to ∞.
Attack: 200µs to 20ms.
Release: 100ms to 2s.
Price: $299.
SC-55
Similar to SC-50 but stereo unit. Limiting determined by the louder channel.
Price: $499.
AUDIO & DESIGN RECORDING (UK)
Audio & Design (Recording) Ltd, North Street, Reading RG1 4DX.
Phone: 0734 84111. Telex: 848722.
USA: Audio & Design Recording Inc, PO Box 786, Bremerton, Washington 98310.
Phone: (206) 275-5009. Telex: 152426.
F690 Broadcast Limiter
A 'straight forward' 2-channel limiter for use in systems that have critical overload conditions, such as optical film recording, disc cutting, and broadcast transmitters.
Noise: -80dB ref limit threshold.
Distortion: 0.2% at 1kHz
Gain: 34dB max, unity in bypass mode.
Attack time: 10, 25, 500us, 1, 2.5 and 25ms.
Release time: 25, 50, 100, 200, 400, 800ms, 1.6 and 3.2s, plus 'automatic'.
Threshold: Input: -19dBm max for limiting; output: up to +15dBm.
Price: £725.
F690 Music Voice Ratio Limiter
Consists of a standard F690 stereo broadcast limiter fitted with a voice-operated threshold switching circuit. Spec virtually identical.
Price: £815.
F760X Compex Limiter
A unit that combines a variable ratio compressor with an overall peak limiter and a low-level, noise reducing expander/gate. Available as a mono or stereo rack-mounting system, and as a mono module. Three limit pre-emphasis values—50, 75 or 100µs—can be supplied.
Noise: better than -80dB ref threshold level as set by output attenuator; better than -87dB with expander operated final.
Distortion: compressor 0.1% at +10dBm threshold (typically 0.04%); limiter 0.3% at +14dBm.
Attack time: limiter 250us for 100% control of overdrive without over-limiting; compressor 250us, 2.5 and 25ms; expander 20us, 2 and 40ms.
Release time: limiter 250ms; compressor 25, 50, 100, 200, 400, 800ms, 1.6 and 3.2s, plus 'automatic'; expander/gate variable between 25ms and 5s.
Threshold: limiter -14dBm max ref level attenuated output; compressor calibrated wrt peak limiter threshold and marked 0 to 20dBm in 2dB steps; expander/gate -40 to +14dBm wrt input.
Price: £1,055 (stereo system).
F769X Vocal Stresser
Basically, comprises a F760X Compex limiter and an E900 sweep equaliser. A routing switch changes the relationship between the two units: the equaliser is switched into line before the limiter, or inserted into the limiter's control side chain, thus modifying its response to frequency content. Not only de-essing, but 'de-rumbling' and 'de-bass end modulating' are among the useful applications said to be possible.
Price: £795.
E500/E560 Band Processor/Limiter
Specifically designed for band-split limiting, the E500 features the following high and lowpass sweep filters for dynamic and static shelf-type eq; parametric notch filter of variable 'Q' for dynamic or static peaking/limiting, monitoring of selected area for adjustment and use as an equaliser, switched through control that converts variable input/output limiters or expanders to unity gain; electronic crossover with zero phase-shift; simulated 'stereo' from mono tracks; and phasing effects by altering sweep notch control. The model E560 has the selective notch section of the E500 with an F600 limiter.
Price: E500: £915; E560: £1,025 (stereo models).
SO1 Compressor/Limiter Module
A member of the Scamp family of 1n modules.
Noise: less than -80dB (no conditions).
Total harmonic distortion: 0.1% (no conditions).
Attack time: limiter 500us; compressor 500us, 2 and 2.5ms.
Release time: limiter 250ms; compressor variable between 25ms and 3s, with an 'automatic multiple network' position that gives a fast recovery time over 5dB gain reduction range on a slowly changing release plateau.
Threshold: limiter -4 to +16dB max output level; compressor linked to ratio selection so that for 10dB compression on any slope the output level remains constant, and above that level of compression the slope tightens to 30:1 as the peak level limit becomes operational.
Compression ratio: 1, 1.5, 2, 3, 5 and 10:1.
Price: £220.
Gemini Compact
Available as Gemini Compact or ITAM Compliment.
Noise: 78dB ref limit threshold at -3dB and 25kHz.
Distortion: 0.2% at 1kHz for 10dB compression.
Attack time: 500us and 5ms.
Release time: variable between 25ms and 3s, plus 'automatic'.
Threshold: -10 to +10dBm at output (-20dBm at input).
Ratio: limiter 20:1, compressor 1.5 and 3.1.
ADR F769X
ADR F690—RS
Stereo matching: ±1dB on control voltage tracking over 100dB range.
Price: £310.
Gemini Easy Rider
Twin-channel comp/limiter with the facility to link control signals for stereo use. LED metering of gain.
Noise: -82dB ref +12dBm.
Distortion: 0.15% at 1kHz ref +12dBm, 10dB gain reduction.
Attack time: fast 500us, slow 5ms, dynamically controlled.
Release time: fast 15ms, slow 4s, plus automatic.
Thresholds: automatically change in relation to ratio.
Ratios: switched 1:1, variable 1.5:1 to 20:1.
Stereo matching: ±1dB channel to channel over 20dB gain reduction.
Price: £450.
Express Limiter
Compact stereo compressor/limiter/expander designed for simplicity of operation. Digital logic switching, memory to retain 'last use' settings when switched off. Meter calibrated in VU and gain reduction scales to display output — left, right or sum and gain reduction.
Noise: 82dB reference to +12dBm (max limit level).
Distortion: 0.15% reference to +12dBm at 1kHz.
Gain: 25dB gain control range from onset of limiting to +20dB max output.
Attack: 500us to 5ms for 100dB over limit threshold.
Release: 25ms to 3s on 10dB over limit threshold. Auto position 25ms on 5s.
Ratio: 1.5:1, 2:1, 5:1 and limit (20:1) turning into a limit slope after 10dB of compression.
Price: £595.
ADM (USA)
ADM Technology Inc, 16005 Sturgeon, Roseville, Michigan 48056.
Phone: 01-734 8400. Telex: 231114.
UK: Amrex GB Ltd, Acre Road, Reading RG2 0QR. Phone: 0734 848346.
302 Limiter Module
Noise: -73dBm max below threshold; -85dBm max at 20dB limiting.
Distortion: 0.15%, typical.
Gain: 0dB below threshold; up to 30dB of gain reduction.
Attack time: 1ms.
Release time: 50ms to 2.5s.
Threshold: -16 to +24dBm.
Power: ±20V, 50mA.
AUDIO DEVELOPMENTS (UK)
Audio Developments, Hall Lane, Walsall Wood, Brownhills, West Midlands WS9 9AU.
Phone: 05433 5351. Telex: 338212.
USA: Coherent Communications, 13733 Glenoaks Blvd, Sylmar, Calif 91342.
Phone: (213) 362-2566.
ADO55
A rack-mounting unit, the two channels of which are completely independent but can be linked for stereo operation. DIN, XLR and audio jack connectors are fitted for ease of connection.
Attack time: 250, 500us, 1, 2, 4 and 8ms, switchable.
Release time: 75, 150, 300, 600ms, 1.2 and 2.4s, switchable.
Threshold: two ranges; 'low ratios' adjustable from -10 to +10dBm in 2dB steps; 'limit' adjustable from 0 to 20dB in 2dB steps.
Ratio: 1, 2, 3 and 5:1, plus 'limit' (20:1).
Distortion: 0.05%.
AUDIX (UK)
Audix Ltd, Station Road, Wenden, Saffron Walden, Essex CB11 4LG.
Phone: 0795 40888. Telex: 817444.
4B02 Module
A compressor/limiter in a 178 × 40 × 255mm module, also equipped with a noise gate.
Noise: less than -94dBm.
Distortion: 0.1%, typically 0.03% at 1kHz for 10dB limiting.
Attack time: 1, 2, 5, 10, 20 and 50ms.
Release time: 100, 200, 500ms, 1 and 2s, plus 'auto' which gives a time related to depth of compression.
advanced technology for the recording industry
Mixing consoles from AMEK
Tape Pack & Allison 65K Automation
Monitoring,
from Eastlake to Auratone
Sole distributors of dbx noise reduction and dbx compressors
Sole distributors of signal processors by, Marshall Electronic, Deltalab, Orban, APSI
Sole distributors of reverberation systems by Lexicon, MIC-MIX, Orban
Scenic Sounds Equipment Ltd.
02-99 Dean Street, London W1V 5RA
Telephone: 01 734 28 2/3/4/5
Telex: 27 939 SCENIC G
Survey
Threshold: -10 to +12dBm in 2dB steps.
Ratio: 1.5, 2, 3, 4 and 6:1, plus 'limit'
Noise gate: sets gate to cut off input signal below
-50, -40, -30, -20 and -10dBm, and 'off'.
SP704 Limiter Amplifier
Designed for insertion into programme lines
operating at 0dBm. Facilities for slave (tandem)
and voice-over applications are incorporated.
Noise: -80dBm (no conditions).
Distortion: 0.03% residual; 0.1% operating (at
50Hz sine wave).
Attack time: 'auto' (nominally 5ms for 12dB of
control)
Release time: 100, 200, 500ms, 1 and 2s, plus
'auto'.
Threshold: -12 to +4dBm in 2dB steps, and 'off'.
Ratio: 8:1 internal drive and 2:1 external drive.
AM-400
AM Compressor/limiter. Operates in symmetrical
or asymmetrical modes, the latter allowing
positive peaks of 25% higher than negative peaks.
Can be used as a stand-alone compressor/limiter,
compressor only or fixed gain conventional line
amp. Rack mounting format and tamper-proof
front controls. VU meter.
Noise: 60dB below +20dBm output with -20dBm
input unweighted.
Distortion: 0.5% or less, 30Hz to 15kHz at +20dBm
output.
Attack: 1.0ms.
Release: 5 to 40s for 20dB release.
Ratio: 30:1 max.
AM-500
Similar to AM-400 but includes audio gating for
optimum low noise operation, overmodulation pro-
tection and a gain indicator meter.
FM-600/FM-601
Mono and stereo FM broadcast limiters. Several
operational compression ranges varying from
sample to sample incoming signal and only applying
compression where necessary to 20dB dynamic
range. Modular construction. Mode switching for
pre-emphasis, frequency response and test
position, gating and limiting. Automatic stereo
balance. Specification similar or better than
AM-400.
BIAMP (USA)
Biamp Systems Inc, 9600 SW Barnes Road,
Portland, Oregon 97225.
Phone: (503) 297-1555.
Quad Limiter
All purpose multi-channel limiter/compressor.
Four independent channels each with threshold
control and LED to indicate when limiting or
compression is occurring. Release time set by
screwdriver adjustment on each channel.
Noise: below max threshold setting 102dB.
THD: 0.03% at 1kHz with 12dB reduction in gain.
Attack: 10ms/20dB; slow: 1.2s/20dB; variable
200ms to 1.2s.
Release: fast: 330ms/20dB, slow: 1.2s/20dB;
variable 200ms to 1.2s or automatically optimised
setting for two channels.
Price: stereo unit $1735, single module $930.
CATHEDRAL (UK)
Cathedral Sounds Ltd, Fourways, Morris Lane,
Halsall, Ormskirk, Lancs L39 BSX.
Phone: 0704 840328.
CL4
Quad comp/limiter, self powered.
Gain: nominal +8dBm.
Ratio: continuously variable from 1:1 to 20:1.
Threshold: operating from -24dB upwards.
Release time: 100ms to 5s approx.
CATHEDRAL (UK)
Cathedral Sounds Ltd, Fourways, Morris Lane,
Halsall, Ormskirk, Lancs L39 BSX.
Phone: 0704 840328.
CL4
Quad comp/limiter, self powered.
Gain: nominal +8dBm.
Ratio: continuously variable from 1:1 to 20:1.
Threshold: operating from -24dB upwards.
Release time: 100ms to 5s approx.
dbx (USA)
dbx Inc, 71 Chapel Street, Newton, Mass 02195.
Phone: (617) 964-3210. Telex: 922522
UK: Scenic Sounds Equipment, 97-99 Dean Street,
London W1V 5RA.
Phone: 01-734 2812. Telex: 27938.
Model 160
Single-channel unit utilising true rms sensing and
feed-forward circuitry. The latter is claimed to
eliminate noticeable distortion even at high
compression ratios. Two units may be ganged for
rack-mounting.
Equivalent input noise: -78dBm, typical
unweighted
Distortion: 0.075% 2nd harmonic at infinite
compression and +40dBm output; 0.5% 3rd
harmonic typical at infinite compression ratio.
Attack time: 15ms for 10dB level change above
threshold; 5ms for 20dB change; 3ms for 30dB
change.
Release rate: 120dB/s.
Compression ratio: 1:1 to infinity.
Threshold: -38 to +12dBm.
Price: £220, dual £440.
Model 162
A 'true-stereo' unit utilising true rms sensing, feed-
forward circuitry and ganged threshold,
compression and output gain control. Two or
more units can be ganged for quadraphonic
operation. Specification virtually identical to
Model 160.
Price: £420.
Model 163
One knob only on the front panel which increases
or decreases the amount of compression
automatically maintaining a consistent output
level. Features over easy transfer curve gradually
adds compression up to 20dB around the
threshold point. 12 LED level display.
Input noise: -78dBm 20Hz to 20kHz.
Threshold: -36dBm to +4dBm.
Output: +18dBm into 2kΩ.
Attack time: 5ms for 20dB level change
Release time: 120dB/s in compression region.
Ratio: automatically varies from 1:1 below
threshold to ∞:1 above threshold.
Price: £110.
Model 164
Stereo version of 163 in 19in rack format.
Price: £220.
Model 165
Professional comp/limiter featuring automatic or
manual control of attack and release rates, 'over
easy compression'.
Input noise: -78dBm 20Hz to 20kHz.
Threshold: -40 to +10dBm.
Ratio: 1:1 continuously variable to ∞:1.
Output: +23dBm into 600Ω.
Attack time: manual 1 to 400dB/ms, automatic
mode 5ms for 10dB level change, 5ms for 20dB,
3ms for 30dB.
Release time: manual 10 to 4000dB/s, automatic
120dB/s.
Features: stereo coupling facility.
Price: £325.
Model 903
Part of the dbx 900 series modular signal
processing system. Each mainframe will hold up
to 8 modules. Uses the dbx 'Over Easy'
compression curve and offers negative
compression that begins reducing the output
volume once threshold is exceeded rms level
sensing.
Noise: -88dBm
Distortion: 0.05% 2nd harmonic, 0.2% 3rd
harmonic at zero compression, 1kHz 0dBm.
Attack: program dependent - 15ms for 10dB above
threshold, 5ms for 20dB over threshold.
Release: 120dB/s.
Ratio: variable (1:1) - (∞:1) - (1:1).
Threshold: -40dBm to +20dBm.
Price: £325.
D&R (Netherlands)
D&R Electronica BV, Keizersgracht 284, NL-1016
EW, Amsterdam
Phone: 020 25.01.30.
Compressor
Frame mounting compressor, mains powered,
adjustable compression ratio, stereo coupling,
LED compression indicator.
Noise: -76dB for unity gain.
Distortion: 0.05%.
MR-2 delivers more usable console for the money. Efficient design has reduced the labor and material content, while improving features, signal handling, and reliability.
MR-2 offers a full range of options and features, allowing you to specialize your console to your functional and budgeting needs.
MR-2 expansion frames and module update kits continue to keep your console matched to your future needs.
Resale prices of Harrison-designed-and-built consoles demonstrate that MR-2 will continue to protect you even at trade-in.
More Usable Console for the Money?
Somehow that sounds like cheating—as though you could get something for nothing. NOT SO!!
The secret is to eliminate things that cost money but do not add any function or “quality” to the console.
The console designers at Harrison Systems have identified many traditional inefficiencies and have eliminated these in the design of MR-2.
Printed-circuit boards have been made smaller (thus, less expensive) through the use of double-sided artwork and a more meticulous, time-consuming design process.
Almost all hand-wiring in the frame has been eliminated. Mother-board-mounted multi-pin connectors are used for inputs and outputs.
Seldom-used features (like Quad) have been eliminated and replaced with more desirable and useful features.
Module width has been reduced to 40.6 mm (1.6"), thus reducing metal-work cost for a given console size.
In other words, every small detail of the MR-2 design has been critically optimized for efficiency. This efficiency does not mean, however, a reduction in signal-handling quality or reliability. In fact, just the opposite is true.
A radical new multiple-ground system is at work to even further reduce induced noise.
Modern "dielectrically isolated" switches are used for all logically controlled switch functions.
Patch points now operate full line level (+4 dBu or +6 dBu) and are isolated and balanced.
These are only a few of the reasons that allow us to confidently say that MR-2 is the most efficient, cost-effective console ever offered by anyone to the industry.
We think you will agree and make it your choice as well.
Harrison
NOW MORE THAN EVER
HARRISON SYSTEMS, INCORPORATED P.O. Box 22964, Nashville, Tennessee 37202/(615) 834-1184, Telex 555133
Survey
Input: -20dBV to +20dBV.
Gain: max 40dB.
Attack time: 20ms to 100ms.
Release time: 20ms to 5s.
Ratio: 1:1 to 20:1.
Price: on application.
Stereo Limiter
Frame mounting limiter, mains powered, linked input and output controls, LED limiting action indicator, bypass.
Noise: -76dB.
Distortion: 0.01% in limit 0.25%.
Input: 0dBm to +20dBV.
Attack time: less than rms.
Release time: 20ms to 2s.
Price: on application.
DUKANE (USA)
Dukane Corp, International Division, 2900 Dukane Drive, St Charles, Illinois 60174.
Phone: (312) 584-2300. Telex: 720426.
Model 2A60B Compressor/Noise Gate
Described as a 2-input line amp combining a compression amp with an 'instantly operating' noise gate that reduces the no signal noise by 15dB.
Noise: -70dB at threshold of compression, -80dB dynamic noise level with amp on.
Distortion: 0.2% at 40dB of compression.
Gain: channel 1:5:15; 2:20:1 at threshold of compression; channel 2:39 ±2dB with 600Ω matching transformer.
Attack time: 30us.
Release time: 1.5s.
Compression ratio: 10 and 5:1.
Model 2A103 Compressor Module
Noise: -85dBm from threshold.
Distortion: 1% max.
Gain: 3dB below threshold.
Attack time: 1ms.
Release time: 1.5s.
Compression ratio: 10:1.
Power: ±24V, 20mA via octal plug.
Model 2A165 Compressor Amplifier
A pcb module designed to plug into standard 19in rack-mounting chassis.
Noise: 80dB bandwidth, 20kHz bandwidth.
Distortion: 5%, 5dB into compression.
Gain: 20 ±2dB below threshold.
Attack time: 500ms.
Release time: 3.5s.
Compression ratio: 20:1
Power: ±22.5V, 20mA.
EMT (West Germany)
EMT-Franz GmbH, Postfach 1520, D-7630, Lahr.
Phone: 78025 512. Telex: 754319.
UK: FWO Bauch Ltd, 49 Theobald Street, Boreham Wood, Herts WD6 4RZ.
Phone: 01-953 0039. Telex: 27502.
USA: General Audio Corp, 741 Washington Street, New York, NY10014.
Phone: (212) 741-7411.
EMT 156
2-channel unit with identical controls of dynamic compression and limiting to avoid any displacement of stereo image. Limiting or compression, or both, are pushbutton controlled.
Limiting threshold: -6 to +7.5dB (referred to internal reference level of 0dB).
Attack time: 0.1ms max.
Release time: 250ms to 2.5s adjustable, for 10dB gain variation.
Compression gain: 0 to 18dB, adjustable.
Ratio: 1.5 to 4:1.
Rotation point: -6 to -1.5dB (0dB internal reference).
Attack times: 1 to 4ms, internally adjustable.
Release time: 500ms to 3.5s, adjustable, for 10dB gain variation.
Expansion ratio: 1.5 or 2.5:1.
Rotation point: -35 to -5dB (0dB internal reference).
Attack time: coupled with compressor release time.
Release time: 1.5 to 7.5s, adjustable, for 10dB gain variation; about 4.5s in automatic mode.
Distortion: 0.6% at 1kHz, 0dB gain.
Crosstalk: 35dB between channels at 1kHz and nominal level.
Other: internal gain can be varied over 40dB range by means of a 6V dc signal applied to a rear-panel socket.
Price: £2,749.
EMT 257 Limiter
In normalisation mode an amp with a frequency-weighting network is inserted into the signal loop. Components for the pre-emphasis are fabricated on a plug-in unit, and can be changed for any desired frequency weighting of the limiting threshold.
Attack time: 50 to 500us.
Release time: 250ms to 20s/10dB.
Threshold: -2 to +10dB relative to internal zero.
Range: 20dB max.
Other: can be switched between linear or pre-emphasis mode.
Power: 24V dc (either polarity).
Price: £511.
EMT 260 Filter-Limiter
Comprises an amp and limiter linked by means of a frequency crossover network. Below the limiting threshold, if components are fed via the amp branch and hf via the limiter. If the threshold is exceeded, gain is reduced in the hf branch.
Attack time: 50 to 500us/10dB.
Release time: 0.25 to 20s/10dB.
Range: 15dB at 20kHz.
Control: responsive to average value below threshold; peak value above threshold.
Turnover frequency: 4.5kHz.
Weighting: 50 or 16dB.
Power: 24V dc (either polarity), approx 130mA.
Price: £511.
EMT 259 Noise Filter
Comprises a bandpass, highpass and lowpass filter, all three set for the same frequency between 1 and 20kHz, linked to an expander circuit. The latter is automatically switched in and out as necessary, and functions in the range below 1kHz to suppress the side effects of the lowpass filter. The unit adapts itself in such a way as to leave the signal modulation unchanged, while attenuating the hf noise components.
Noise: 80dB rms (unweighted) at 0dB internal level.
Distortion: 0.2% at 0dB.
Expander release time: 50ms for 10dB.
Filter release time: 50ms to 2s, adjustable.
Turnover frequency: 1 to 20kHz, dependent on signal amplitude; threshold of signal that determines turnover frequency is adjustable between -25 and -65dB.
Power: 24V dc (either polarity).
Price: £547.
EMT 261 Compressor/Limiter
Provides limiting, compression and expansion in a minimum size with variable adjustment of static and dynamic characteristics.
Ratio: 2:1 to 20:1, 1:25 expanding.
Attack time: 400μs limiting, 2.5ms compression.
Release time: 250ms to 10s (or automatic).
Ratio: 1:1 to 4:1, adding normal level for limiter, expander -35 to -55dB.
Signal-to-noise: better than 69dB compression gain.
Gain: compression 0 to 12dB.
Power requirements: 24V dc, roughly stabilised.
Price: £528.
EMT 266 Transient Limiter
Suitable for FM broadcast modulation, disc cutting and cassette duplication. The input signal is delayed by 0.3ms while the input for the limiting control is taken before the delay. The limiter can then be fully prepared to respond to the program signal and ensure no excessive signals are present at the output. Variable pre-emphasis. Stereo operation.
Noise: 75dB rms unweighted referred to nominal level.
Distortion: 0.2%.
Price: £1,397.
DISC PLAYBACK
Optimum performance from any cartridge
STEREO DISC AMPLIFIER 3
Line level RIAA equalised outputs from moving magnet cartridge inputs.
MOVING COIL PREAMPLIFIER
A preamplifier for all low impedance cartridges
Used by broadcasters and recording studios throughout the world.
Please ring or write for extensive specification leaflets.
Dominus P.O. Box 1, Cranleigh, Surrey GU6 7JF. Tel. 04866 6477
GT800 Automated Automation
Quiet ~ Efficient ~ Simple and Devastatingly relaxing
Melkuist Ltd.
MICROPROCESSOR SYSTEM, DESIGN AND PRODUCTION
35A Guildford Street, Luton LU1 2NO, Bedfordshire, England
Telephone: 0582 416028 Telex: 825828 Melkst G
PRESENTING:-
The next generation of audio connectors for direct to PC board mounting
NEW D SERIES
NEUTRIK Swiss made
Eardley Electronics Ltd
Eardley House, 182-184 Campden Hill Road, Kensington, London W8 7AS
Telephone: 01-221 0606 Telex: 299574
EVENTIDE (USA)
Eventide Clockworks Inc, 265 West 54th Street,
New York NY10019.
Phone: (212) 581-9290.
UK: Feldon Audio Ltd, 126 Great Portland Street,
London W1N 5PH.
Phone: 01-580 4314. Telex: 28668.
Omnipressor
Combines the characteristics of a compressor,
expander, noise gate and limiter in a rack-
mounting unit. Also capable of dynamic reversal
+10dB input produces -10dBm output and vice versa.
Noise: -90dBm below output at unity gain.
Distortion: 0.05% 20Hz to 20kHz, and typically
0.02% at 1kHz with 10dBm applied.
Attack time: 100ms to 100s, continuously variable.
Release time: 1ms to 1s, continuously variable.
Compression ratio: 1:1 through infinity to -10:1,
continuously variable. (Infinite compression
setting gives constant output ±1dB for 60dB
change in input level).
Expansion ratio: 1:10:1, continuously variable.
Price: £402.32.
FURMAN SOUND (USA)
Furman Sound Inc, 616 Canal Street, San Rafael,
Cal 94901.
Phone: (415) 456-6766.
UK: Atlantex Music Ltd, 34 Bancroft, Hitchin, Herts
SG5 1LA.
Phone: 0462 31511. Telex: 826967.
Model LC-2
Compliment, with input/output level controls and
LED display of gain range. Selectable normal
compression, de-essing, or side chain modes. Two
units may be interconnected for stereo operation.
Noise: 92dBm with 5dB of gain reduction.
THD: 0.04% with no gain reduction, 0.07% with
5dB of gain reduction.
Attack time: 20ms, 25ms.
Release: 200ms to 5s, program adjusted.
Ratio: 2:1 to 50:1.
Price: $300.
INOVONICS (USA)
Inovonics Inc, 503-B Vandell Way, Campbell, Cal
95008.
Phone: (408) 374-8300.
UK: Feldon Audio Ltd, 126 Great Portland Street,
London W1N 5PH.
Phone: 01-580 4314. Telex: 28668.
Model 20G
Suitable for recording, mastering and broadcast
work. Operates as fast peak limiter and
independent average-responding limiter. Gain
reduction meter and 19in rack mounting. Stereo
coupling facility.
Noise: 75dB 20Hz to 20kHz referred to +4dBm line
level.
THD: peak limiter—0.5% 50 to 200Hz and 0.25%
200Hz to 20kHz with slow release, average level
limiter—same as peak response.
Attack time: variable between 1µs/dB and 1ms/dB
limiting.
Release: variable between 5ms/dB and 50ms/dB
limiting.
Average level limiter AVG response 10ms/dB
limiting.
Price: £280.89.
ITAM (UK)
Industrial Tape Applications Ltd, 1-7 Harewood
Avenue, Marylebone Road, London NW1 0AE.
Phone: 01-724 2497. Telex: 21679.
Compliment
Only available in Europe. For specifications see
Audio & Design's entry for Gemini Compact stereo
compressor limiter.
Price: £247.
JBL (USA)
James B. Lansing Sound Inc, 8500 Balboa Blvd.,
Northridge, Cal 91329.
Phone: (813) 893-8411. Telex: 674993.
UK: Harman (Audio) UK Ltd, Mill Street, Slough,
Berks SL2 5DD.
Phone: 0753 76911.
7130
Dual input compressor/limiter switchable for mic
or line input. Compression threshold set by input
level control, VU meter to show amount of com-
pression or output level. Rack mounting.
Distortion: < 25dB, -30dB compression +18dB
output 20Hz to 20kHz.
Ratio: 1:1, 2:1, 20:1, switchable.
Attack: 40µs, 3ms, 140ms, switchable.
Release: 30dBs, 8dBs, 4dBs switchable.
Threshold: -10 to +6dBm continuously variable.
Price: on application.
ROGER MAYER (USA)
Roger Mayer Associates, 225 East 57th Street,
New York, NY10022.
Phone: (212) 751-1544.
UK: Scenic Sounds Equipment, 97-99 Dean Street,
London W1V 5RA.
Phone: 01-734 2812. Telex: 27939.
Model RM68
Noise gate with 150ns attack capability and
'exceptionally musical sound'.
Release time: 30ms to 5s.
Attenuation range: adjustable 0 to 30dB.
Distortion: 0.05% under normal operating
conditions.
Output noise: -96dB 20Hz to 20kHz.
Power requirements: +24V dc at 40mA.
Auxiliary kill switch: permits ducking.
Sensitivity adjustable from -65dBm to +20dBm.
Price: £72. RM68X is retrofit for other
manufacturers' racks, price £85.
MM (UK)
MM Electronics, PA:CE Musical Equipment Ltd, 63
Kneeshow Street, Royston, Herts.
Phone: 0763 452075.
EP141
Stereo compressor/limiter for line level operation
in recording and PA applications. Rack mounting.
Noise: 68dB reference to the input.
Distortion: better than 0.5%, typically 0.15%
measured at 1kHz release 500ms, +4dB input and
15dB limiting.
Attack time: 2ms.
Release: 50ms to 1s.
Ratio: 1:1 to 1:1 limit.
Threshold: -15dBm to +20dBm.
Price: on application.
MOSELEY ASSOCIATES (USA)
Moseley Associates Inc, Santa Barbara Research
Park, 111 Castilian Drive, Goleta, Cal 93017.
Phone: (805) 968-9621. Telex: 658448.
TFL-280 Audio Limiter
A single-channel broadcast limiter for fm mono,
stereo, television, radio and sca applications, plus
TV sound. The unit is supplied with 75µs pre-
emphasis, but can be converted for other time
constants. An output de-emphasis network can be
switched in when flat response operation is
required.
Noise: 70dB (de-emphasised).
Distortion: 0.7% 50Hz to 15kHz at any degree of
limiting.
Attack time: hf controller 20us, wideband
controller 20us to 2ms (factory set to 100us).
Release time: hf controller 50 to 500ms, program-
mable; wideband controller 200ms to 5s, pro-
gramme-operated triple-timing.
Filtering: plug-in lowpass filter located prior to hf
AGC.
Control range: 35dB.
Model TAL-320
AM broadcast limiter featuring switchable
lowpass filtering, direct coupled transistors,
output stage, FET input circuitry and stereo
strapping facility.
Noise: better than 70dB 20Hz to 20kHz with
lowpass filter in.
Distortion: less than 0.2% below threshold of
limiting and less than 0.7% at any level or setting
above this.
Attack: continuously adjustable 0.2 to 3ms.
Release: 100ms to 5s
Model TGR-340
Automatic gain rider. Includes recovery enabling
gate to stop gain riding during programme pauses;
control to allow time delay to be added to AGC
recovery, switchable treble AGC.
Noise: better than 70dB, 20Hz to 20kHz.
Distortion: less than 0.3% below AGC threshold
and less than 0.7% at any setting above.
Attack: 2ms.
Release: 200ms on transients, 5 to 25s on
programme.
MXR (USA)
MXR innovations Inc, 277 N Goodman Street,
Rochester, NY 14607.
Phone: (716) 442-5220.
UK: Amplex Music Ltd, 34 Bancroft, Hitchin, Herts
SG5 1LA.
Phone: 0462 31511. Telex: 826967
Mini Limiter
Noise: 73dB below threshold.
Threshold level: -30 to +10dBm.
Attack time: approx 1ms.
Release time: variable via rear-panel trim pot, and
dependent upon amount of gain reduction.
Output: LEDS indicating gain reduction.
Power: +15 to 30V, 22mA.
Price: £103.02.
Dual Limiter
Two independent limiters that may be ganged for
stereo applications, each channel having in-out
switch, slope, input, output, attack and release
controls with LED meter showing gain reduction,
XLR and jack connectors, detector available on
jack socket.
Noise: 90dB below cont out.
Ratio: 4:1 or infinity.
Attack time: 0.5 to 50ms.
Release time: 100ms to 5s.
Distortion: 0.05% below threshold.
Price: on application.
NEVE (UK)
Neve Electronics International Ltd, Cambridge
House, Melbourn, Royston, Herts SG8 6AV.
Phone: 0763 60778. Telex: 817381.
USA: P.R.A. Neve Inc, Berkshire Industrial Park,
Bethel, Connecticut 06801.
Phone: (203) 744-6230. Telex: 996638.
22 Series
Available in a variety of formats: 2254/E standard
version with 133 x 137mm panel dimensions;
2264, repackaged version with 222 x 46mm panel;
3314 another repackaged version with 133 x
35mm panel; 2262, a variant of the 2254/E with
pre-emphasis in the compression side chain to
reduce sibilance; 2264/X, a variant of the 2264 for
use in 150Ω systems, and LCR2P, a 133mm, rack-
mounted package with two 2254/ES, one power
supply and stereo link connector. All models can be
linked for stereo or multichannel operation.
Independent limit and compress functions are also
featured. The compression section samples ahead
of the output amp, thus enabling mean programme
level to be raised after compression.
Noise: better than -75dB, rms unweighted, unity
gain.
Distortion: 0.08% in linear condition, up to 0.5dB
under 1kHz ceiling; 0.2% with compression 61",
800ms release, +80dB output, +20dB input,
-14dB threshold.
Compression threshold: -20 to +10dB in 2dB
steps.
Ratio: 1.5, 2, 3, 4 and 6:1.
Attack time: 5ms (normal).
Release time: 400, 800ms and 1.5s, plus 'auto'
(50ms/5s).
Gain: 0 to 20dB in 2dB steps.
Limit change: +4 to +12dB in 0.5dB steps.
Attack time: 'fast', 100us to 5ms, programmable.
Release time: 100, 200 and 800ms, plus 'auto'
(50ms/5s).
Slope: 'at least' 100:1'.
33699/10/11/12
Range of limiter/compressors that may be linked
for stereo and multichannel operation and which
sample ahead of the amp allowing the mean
output level to be raised after compression.
Noise: without gain make-up -75dB 20Hz to
20kHz.
Distortion: 0.2% compress, 0.4% limit.
Threshold: limiting +4dBm to +150dBm, compres-
sion +20dBm to +100dB.
Attack: limiting 50ms, compression 3ms.
Release: limiting 50ms, 100ms, 200ms, 800ms
and auto, compression 100ms, 400ms, 800ms,
1.5ms and auto.
Technological leadership. It's the reason you buy Ampex equipment. And it's the same reason you should buy Ampex audio products.
Our ATR series recorders, the ATR-100 and the ATR-700, for example, are ideal audio recorders for broadcasters. You'll discover impressive performance and dollar-saving reliability when you put these hard-working recorders to use in your broadcast operation.
**THE ATR-100. THE PROFESSIONAL.**
The ATR-100 is the standard of excellence in the audio recording industry. Its reputation for low distortion, low wow and flutter, and phase corrected equalization is unsurpassed.
For broadcasters, a cue amplifier and editing kit are available. Finding an edit point is as easy as turning the capstan knob.
**THE ATR-700. A RUGGED PERFORMER THAT'S ALSO PORTABLE.**
Our ATR-700 is a master performer. Perfect for those situations where quality is as important as efficient, trouble-free production. You'll find the ATR-700 to be a rugged performer for news and commercial assignments in the field, as well as a first class addition to your audio equipment in the studio.
You'll get standard features like important controls up front for easy operation, plug-in printed wiring assemblies for efficient service, and a built-in 4 in 2 out mixer.
**WHEN YOU THINK AUDIO, THINK AMPLEX.**
Ampex was there first. And we're still the leader. So, when you think audio for your broadcast operation, think Ampex audio.
Call your Ampex representative today for the full Ampex audio story. In a competitive business, it pays to get the edge.
**GET THE AMPLEX EDGE.**
Ampex Corporation
Sales & Service Worldwide
Survey
33609 double unit with power supply, 33610 single unit with power supply, 33611 double unit less power supply, 33612 single unit less power supply.
NTP (Denmark)
NTP Electronik A/S, 44 Theklaejvej, DK-2400, Copenhagen NV
Phone: 01-10.12.22. Telex: 16378.
179-120 Compressor
In order to operate with long attack times, a fast symmetric limiter is provided. Control voltages of two units can be linked for equal gain stereo operation.
Noise: 80dB(A) at compression threshold.
Distortion: 0.5% up to 20dB gain reduction.
Gain up to 15dB.
Attack time: 100µs to 200ms/20dB, adjustable in 11 steps.
Release time: 60ms to 4s/20dB, plus 'auto' (200ms upon 15s), in 11 steps.
Ratio: 1.2, 2, 3, 5 and switched.
Compression ratio: 1, 2, 3, 5 and 20:1.
Threshold: +6dB (normal); +19dB ('normal').
Power: 24V dc, either polarity, approx 100mA. Version for ±15V dc known as 179-140.
179-230 Limiter
Incorporates a combination of a relatively long attack time with a symmetric log clipping curve to eliminate transient noise during striking. Recovery curve is logarithmic and is derived based on a dual-time constant principle, said to eliminate pumping and similar effects. Control voltages of two units can be linked for stereo operation.
Noise: 80dB(A) at limiting threshold.
Distortion: 0.5% at 20dB limiting, 0.3% 20 to 30dB limiting, 0.5%, 20Hz to 20kHz steady conditions.
Attack time: 1.5ms.
Release time: T1: 100, 200, 400ms, 1, 2 and 4s; T2: 1, 2, 4, 10 and 20s, and 'auto'.
Threshold: -8, +0.5dB, referenced to output.
Range: 30dB.
Pre-emphasis: 50µs (normally not connected)
Power: 24V dc, either polarity, approx 75mA.
179-240/340
These are the same amps as the 179-230 but do not have the external controls of gain and release. 240 is for 24V dc operation and the 340 for ±15V dc.
179-300 Limiter Card
Based on same circuitry found in 179-230 limiter.
Noise: 82dB(A) at limiting threshold.
Distortion: 0.2% up to 20dB limiting, 40Hz to 20kHz.
Attack time: 1.5ms.
Release time: dual time constants, 200ms upon 15s.
Control voltage: 1V/5dB, may be linked for stereo operation.
Power: ±15V dc, 60mA.
179-310 Limiter
Built on a card system and intended for the protection of transmission lines. High input overload margin. Via the 31-pole connector external controls may be used for threshold and release. Switches on the board for output threshold and preemphasis.
Noise: 2db weighted CCIR.
Distortion: 0.2% at threshold, 0.3% 0 to 20dB above threshold and 0.5% 20 to 30dB above threshold.
Attack: 1.5ms.
Release: dual time constant 0.1s upon 20s.
Power: 22V to 32V dc or ±11V to ±16V dc, 80mA.
179-160 Compressor Expander
Modular unit containing compressor, expander, limiter and gate functions. Possible to remote control from separate Stereoinkle, 16 LED display of gain reduction. Adjustable reference level to match external equipment separate from output level. In bypass mode acts as a linear amp. Fully comprehensive controls for each function with indicator LEDs.
Noise: 89dB rms 20Hz to 22kHz output noise at 0dB gain.
Distortion: less than 0.1% 40Hz to 15kHz.
Ratio: 1.3:1 to 20:1 compression.
Attack: 0.1ms to 100ms compressor, 1.5ms for limiter.
Release: 0.1s to 6s or programme controlled frequency dependent position for compressor limiter recovery programme dependent with dual time constants.
Power: 22 to 32V dc, 130mA.
179-170
Compact 19in rack mounting compressor/limiter in the form of two channels of 179-160 with identical technical specification. Input and output connections on XLR plugs and 220V ac powered.
ORANGE COUNTY (Canada)
Orange County Electronics Corp Ltd, 1125 Empress Street, Winnipeg, Manitoba R3E 3H1.
Phone: (204) 775-8151.
VS-1 Stressor
A combined single-channel equaliser, limiter, compressor, expander and gate. The equaliser can be routed 'pre' or 'post' compressor-limiter, or installed after the limiter or control switch chain.
Noise: ~84dB below limit threshold, ~91dB with expander.
Distortion: 0.1% for 15dB gain reduction at +18dBm output.
Attack time: compressor 250µs, 2.5 and 25ms; limiter 10us; expander 20us, 2.5 and 40ms.
Release time: compressor 25, 50, 100, 200, 300, 400, 800ms, 1.6 and 3.2s, plus 'automatic'; limiter 20ms; expander 25ms to 8s, continuously variable.
Threshold: compressor 0 to ~20dB ref peak limiter in 2dB steps, or frequency sensitive; limiter +18dBm output unattenuated; expander ~40 to +30dBm input, continuously variable.
Compression ratio: 1, 2, 3, 5, 10 and 20:1.
Price: $1,855.
CLX-S-FM Stereo Processor
A combined limiter, compressor, expander, gate and HF limiter. The two channels may be used independently, or coupled for stereo operation.
Noise: ~84dB below limit threshold, ~91dB with expander.
Distortion: 0.1% for 15dB gain reduction at +18dBm output.
Attack time: compressor 250µs, 2.5 and 25ms; limiter 10us, expander 20us, 2.5 and 40ms; hf limiter 10us.
Release time: compressor 25, 50, 100, 200, 300, 400, 800ms, 1.6 and 3.2s, plus 'automatic'; limiter 20ms; expander 25ms to 8s, continuously variable; hf limiter 20ms.
Threshold: compressor 0 to ~20dB ref peak limiter in 2dB steps, limiter +18dBm output unattenuated; expander ~40 to +30dBm, continuously variable.
Ratio: compressor 1, 2, 3, 5, 10 and 20:1; limiter 250:1; expander 1:2 and 1:20.
Price: $720.
VS-2 Stressor
Combines the features of several units into one while maintaining uncomplicated set-up and operation. Programme controlled comp/limiter and expander/noise gate loudness contour mode.
Noise: 97dB unweighted.
Distortion: less than 0.1% with 15dB gain reduction.
Limiter: ratio 250:1, attack 10us, release auto.
Compressor: internal adjustments for ratio 2:1 to 20:1, attack 250us to 25ms, release 25ms to 4s or auto.
Expander: internal adjustments for ratio 1:2, 1:20, attack 20us to 40ms, release tracks with compressor.
Stereo couple: on barrier strip.
Price: $976.
CLX Module
A combined single-channel compressor, limiter, expander and gate.
Noise: ~84dB below limit threshold, ~91dB with expander.
VS-3
Similar to VS-2 but stereo with additional hf limiter using 25, 50 or 75us characteristics, ratio 250:1, attack 10us, release 20ms.
Price: $1,148, with lowpass filter $1,298.
STABILIZER 4
FREQUENCY SHIFTERS FOR HOWL REDUCTION
The Stabilizer is a high quality, free-running shifter for howl reduction on microphones, and makes it offer variable shifts either up or down between 1 and 10 Hertz so allowing choice of the optimum shift for the particular acoustics of the room. It is also useful for:
+5 Hz FIXED SHIFT CIRCUITS AS WW July 1973 article put under the heading of "Stabilization", adjustable-free oscillator and IC sockets. Marked Small enough to be built inside the cabinets of many amplifiers. Complete kit and board £34. Board built and assembled £44 including all components.
DESIGNER APPROVED C.W.O less 5% + VAT 15%
Stereo Disc Amplifier 2 & 3 ★ 10-Outlet Distribution Amplifier ★ 10-Outlet Distribution Amplifier ★ Ernest Turner Movements ★ Illuminated PPM Boxes ★ Peak Deviation Meter ★ Programme & Deviation Chart Recorders ★ Moving Coil Preamplifier
SURREY ELECTRONICS
The Forge, Lucks Green, Cranleigh, Surrey GU6 7BG
Telephone 04866 5997
Within your grasp: new 3¾, 7½, 15 servo.
We've built a closed-loop, direct drive, servo capstan into the successful SP7 and called it the SP7S.
Giving it external vari-speed in record and replay, improved wow and flutter, improved reliability, quiet running, and longer operating life...without letting the refinement add to the price. 3-speed: 3¾, 7½, and 15 IPS.
It makes this custom-built machine more attractive than ever. Ferrograph quality with top performance and flexibility at the same budget price. Full details are within your grasp too. Just get in touch.
NEAL'FERROGRAPH
Simonside Works, South Shields, Tyne & Wear NE34 9NX Telephone: 0632 566321
Main Dealers: Studio Equipment Services, London · Phono Acoustics Ltd, Watford · Medway Electronics, Chatham · Audio Bristol, Bristol
www.americanradiohistory.com
Survey
ORBAN (USA)
Orban Associates Inc, 645 Bryant Street, San Francisco, Cal 94107.
Phone: (415) 863-1067. Telex: 171480.
UK: Optimum Sounds Equipment, 97-99 Dean Street, London W1V 5RA.
Phone: 01-734 2812. Telex: 27939.
UK (Broadcast units): Lee Engineering Ltd, Bridge Street, Walton-on-Thames, Surrey KT12 1AP.
Phone: 09322 43124. Telex: 928475.
418A Stereo Limiter
Noise: ~80dB, typical.
Distortion: 0.05% at 1kHz
Attack time: hf limiter 3ms; broadband limiter 1-2ms programme controlled.
Release time: hf limiter varies around 15ms according to programme history, broadband limiter continuously variable.
Compression/limiting ratio: 200:1.
Hf time constant: 75, 50, 37.5 and 25us, and 'flat'.
Price: £498.
Optimod-FM Model 8100A
Broadcast FM compressor/limiter/stereo generator suitable for wideband or multiband operation. Incorporates 'master' band compressor above 200Hz, 'bass' band compressor below 200Hz, hf limiter; FM 'smart clipper' output processor and frequency-controlled side chain overdrive. Compensator Unit available in two formats — standard single chassis, or dual chassis (studio/transmitter) option. Standard units are for 75us pre-emphasis, 25us to order ~25us when used with the Dolby 334 broadcast encoder. Features include VU meters, stereo phase reading gain reduction meters; stereo/mono mode switching, and built-in crosstalk test generator.
Frequency response: 75us pre-emphasis, 50Hz to 15kHz ±0.5dB.
Noise: >75dB below 100% modulation, 50Hz to 15kHz max: ~80dB typical.
Distortion: <0.05% THD, 50Hz to 15kHz; <0.05% SMPTE IM distortion (60Hz/7kHz; 4:1) compression/limiting defeated. Other modes <0.2% THD.
Attack times: 1ms master band; 5ms hf limiter; program-controlled bass band.
Release times: program-controlled master (adjustable, fast/slow) and bass (non-adjustable); 20ms hf limiter.
Gain reduction: 0 to 25dB master band; 0 to 30dB bass band.
Optimod-AM Model 8000A
AM broadcast processor incorporating a 6-band (150, 300, 700Hz, 1.6, 3.7 and 7.5kHz) frequency selective limiter with 'smart clipping'; a broadband gain-riding compressor, and a programme equaliser. Other features include a transmitter equaliser, a polarity follower, output filter and clipper; and VCA gain reduction of the 'smart clipper'.
Frequency response: 50Hz to 7.5kHz, ±1dB.
Noise: >60dB below 100% modulation, 30Hz to 20kHz.
Distortion: <1% (0.5% typical) at 100% modulation, 50Hz to 7.5kHz.
Attack times: 2ms broadband compressor; 2 to 10ms hf limiter, dependent on band frequency.
Release time: program-controlled non-adjustable broadband compressor; program-controlled adjusted to band frequency, limiter.
Compression/limiting ratio: 200:1 broadband compressor; 10:1 limiter.
Compression range: broadband compressor 20dB; limiter bands 1 to 4, 20dB, bands 5 and 6, 30dB.
PYE (UK)
Pye TVT Ltd, Coldhams Lane, Cambridge CB1 3JU.
Phone: 0223 45115. Telex: 81103.
USA: Philips Broadcast Equipment Corp, Audio Division, 94 McKee Drive, Mahwah, New Jersey 07430.
Phone: (201) 529-3800.
LDM090 Compression Amp
Available as a stereo (2-channel) or mono unit. Noise: better than -90dB at -10dB threshold setting; typically -78dB at -24dB threshold setting. (Values weighted to CCIR 468.)
Distortion: 1% at 30, 1k and 8k with 600Ω load.
Attack time: compression 0.5ms, limiting 1s and 5ms.
Release time: 100ms to 3.2s in six switched steps.
Compression ratio: 1, 2, 3, 5:1 (switched), plus linear for line-up.
Threshold level: compression -24 to +16dBm; limiting -16 to 24dBm; both controls calibrated in 2dB steps.
QUAD-EIGHT (USA)
Quad-Eight Electronics, 11929 Vose Street, North Hollywood, Cal 91605.
Phone: (213) 764-1516. Telex: 662446.
UK: Audia Kinetics (UK) Ltd, Verulam Road, St Albans AL5 4DH.
Phone: 0727 32191.
CL-22
Compressor/limiter/expander VCA controlled circuitry. De-ess switch offering -3dB at 5kHz and -10dB at 20kHz. Meter with ±30dB range. Available in three formats—horizontal and vertical modular or stereo rack mounting.
Noise: 90dB below rated output.
Distortion: 0.35% 20Hz to 20kHz with 20dB of compression and 5dBs release.
Attack: 0.002ms/10dB to 5ms/10dB.
Release: 100dB/s to 5dB/s.
Ratio: 2:1 to 20:1.
Expansion threshold: to -20dB.
Power: bipolar ±2BV dc, 80mA.
RAC (UK)
Rugby Automation Consultants, 220 Alwyn Road, Rugby CV22 7RA.
Phone: 0788 810367.
LIM Board
A pair of pcs for incorporating a limiter into existing equipment.
Noise: 80dB (no conditions).
Distortion: generally less than 0.5%.
Gain: 13dB unlimited.
Attack time: 20us.
Release time: 33ms/700ms combination.
Compression ratio: 4:1 at -10dB threshold, to 25:1 at -13dB threshold.
Power: 24V dc.
Price: £14.25, $26.
RACLIM 2 Module
A mains powered unit for rack-mounting.
Noise: ~80dB (no conditions).
Distortion: generally less than 0.5%.
Gain: 13dB.
Attack time: 20us.
Release time: switchable, four positions.
Compression ratio: 1:25:1.
Threshold: -20 to +10dB in six switched positions.
Price: £69, $130.
REBUS (UK)
Rebis Audio, Kinver Stret, Stourbridge, West Midlands DY8 6AB.
Phone: 0384 71865.
Export: Scenic Sounds Equipment, 97-99 Dean Street W1V 5RA.
Phone: 01-734 2812. Telex: 27939.
RA 301
A 2-channel 3/1% in rack mounting unit for independent compression and limiting, or ganged for stereo operation. VU metering of input, output and compression.
Noise: -75dBm 20Hz to 20kHz.
Distortion: 0.8% at 5dB compression; 0.2% at 20dB compression.
Attack time: 20us to 1.5ms.
Release time: 50ms to 3s.
Compression/limiting ratio: 1:40:1.
Minimum threshold: -20dBm.
Max gain: 30dB.
Price: £435.
RA203
A 5¼in by 1in module compatible with the Rebis rack. Spec as for RA301 except threshold control instead of separate input and output controls.
Price: £129.
SCV (France)
SCV Audio, Bât 3418 C, Rue de la Jeune Fille, F-95705 Roissy Cedex, France.
Phone: 862.43.04.
Compressor/De-esser
2-channel unit in 19in rack format. Stereo coupling. LED gain reduction meters on both channels. Noise: 70dB at 20dB of compression.
Distortion: 0.5% with 20dB of compression.
Attack: 0.2ms to 70ms.
Release: 300ms to 3s.
Ratio: 2:1 to 20:1.
SESCOM (USA)
Sescom Inc, PO Box 590, Gardena, Cal 90247.
Phone: (213) 770-3510.
UK: Atlantex Music Ltd, 34 Bancroft, Hitchin, Herts SG5 1LA.
Phone: 0462 31511. Telex: 826967.
C-2 Compressor Module
A plug-in, octal-based unit with adjustable AGC time constant between 0.1 and 1s by means of an external resistor.
Noise: 80dB below rated output.
Distortion: 0.5%, 20Hz to 20kHz.
Compression range: input varying between -43 and +14dBm provides constant 0dBm output.
Power: +24V dc.
Price: £24.57.
SHURE (USA)
Shure Brothers Inc, 222 Hartrey Avenue, Evanston, Illinois 60204.
Phone: (312) 328-9000. Telex: 724381.
UK: Shure Electronics Ltd, Eccleston Road, Maidstone ME15 6AU.
Phone: 0622-59881. Telex: 96121.
SE30-2E Gated Compressor/mixer
Combines a 3-input mono mixer and a gated memory compressor in one unit. A 40dB compression range is featured, with a ratio of approx 10:1 in the normal operating range. The response rate (attack and release control) is adjustable to compensate for various types of programme material. Attack and recovery are variable between 100ms and 8s, and in the 'hold' condition the gated memory holds the gain recovery to less than 20dB after 60s to prevent pumping. A stereo parallel jack allows two units to be synchronised.
Price: £321.30.
Model M825 Voicegate
A voice-activated microphone gain controller, typically for PA applications to block out unwanted background noise below a pre-set level.
Price: £105.30.
SOLIDYNE (Argentina)
Solidyne SRL, Tres de Febrero 3254, 1429 Buenos Aires.
Phone: 701-8622.
250-XC Compressor
Compressor/limiter/expander. The attack as well as the recovery times are automatic and are controlled by an analogue computer which adjusts the action of the compressor to suit the programme. Noise: <80dB at unity gain.
Distortion: below 0.25% in any condition between 20Hz to 20kHz at +180dB.
Expansion threshold: between -50/-35dB.
Expansion ratio: 3:1.
Limiter ratio: 3:1 to 50:1.
Power: 190-230V, 50/60Hz.
SONTEC (USA)
Sontec Corp, 10120 Marble Court, Cockeysville, Maryland 21030.
Phone: (301) 628-2283.
DRC-202
Designed for tape and disc transfer. All controls continuously variable. Stereo tracking between channels on compression but independent on limiting to avoid image shift on transients. LED metering.
Noise: 86dB at unity gain.
Distortion: THD 0.6% at any level -30dBm to +20dBm 20Hz to 20kHz.
Threshold: +4 to +24dBm.
Attack: adjustable attack time of the rms detectors only. Affects both limit and compression.
Release: effects both peak and rms timing.
QM3
The new series from Chilton
Available in four versions (12-4, 20-4, 16-8, 24-8) with many options.
Contact:
CANADA
Radio Service Inc.
2500 Bates Road, Montreal, Quebec H3S 1A6
Tel: 342-4503 Telex: 05560070
GERMANY
Werkstatt Tonstudio und ela Technik
Niedergand 3
D-3171 Wedesbunel, Meme, W Germany
Tel: 05304 1058
Telex: 952453 Werks D
PORTUGAL
Ampere Electronica Industrial Lda
Avenida Fontes Pereira de Melo 47, 4ºD
Lisbon
Tel: 532227-532696
Telex: 15888 Amprel P
SWEDEN
Talkback Studios
Luzengatan 12, S-11523 Stockholm
Tel: 08-620109 605012
Telex: 13707 LSIS
Survey
SPECTRA SONICS (USA)
Spectra Sonics, 770 Wall Avenue, Ogden, Utah 84401.
Phone: (801) 392-7531.
UK: Sun Recording Services, 34-36 Crown Street, Reading, Berkshire.
Phone: 0734 595647.
Model 610 Complimiter
The unit can be used for peak limiting and volume compression, either independently or simultaneously.
Noise: -70dB below +4dBm output with -40dBm input (threshold), 20Hz to 20kHz, unweighted.
Distortion: 0.1%, 30Hz to 20kHz, at +16dBm and up to 3dB compression.
Compression/limiting ratio: 1.1-100:1, continuously variable.
Attack time: limiter 0.1us; compressor 0.1us to 1.2ms; both automatically variable.
Release time: limiter 0.09us; compressor 50ms to 10s, continuously variable; both for 90% recovery.
Threshold attack level: -40dBm.
Audimax Model 4440A/4450A Compressor
A compressor for monaural (Model 4440A) or stereo (Model 4450A) broadcasting.
Noise: 70dB with normal gain.
Distortion: 0.5%, 50Hz to 15kHz at +16dBm and up to 3dB compression.
Compression/limiting ratio: 1.1-100:1, continuously variable.
Attack time: 10 to 150ms, depending on programme.
Release time: 0.9, 1.5, 3s, gated and adjustable.
Compression ratio: 10:1.
Attack time: 1dB of gain.
Gating threshold levels: adjustable from -20dB to normal input.
Price: Model 4440A $1,260, Model 4450A $2,245.
TRACK AUDIO (USA)
Track Audio Inc, 33753 9th Avenue South, Federal Way, Washington 98003.
Phone: (206) 838-4460.
CL-100
Comp/limiter using monolithic VCA gain control element (not an op-amp) with additional de-ess control and side chain input. The de-ess control signal may be passed through an external equaliser etc, five LED indication of gain reduction.
Noise: -84dBV with 20kHz bandwidth.
Distortion: no greater than 0.1% with any combination of settings at +18dBm.
Ratio: 2 to 50:1.
Attack: 100us to 1s.
Release: 1ms to 5s.
Stereo: interconnect.
Price: $299, balanced input and output $349.
CL604 Compressor/Limiter Module
Two or more units may be linked to track for stereo or quadraphonic applications.
Noise: -87dBm (or better) at 0dBm gain.
Distortion: 0.1% operating, residual 0.03%.
Attack time: 5ms (CCITT method) but self-adjusting on programmes.
Release time: 100ms to 3s variable, or automatic self-adjusting.
Threshold: -20 to +10dBm in 5dB steps.
Ratio: 1.5, 2, 3, 4, 6 and 9:1, plus 'limit' (20:1).
Power: ±15V, 30mA.
CL605 Noise Gate
Noise gate: 20Hz to 20kHz.
Attack time: 50us.
Release: equal hold and fade times 100ms to 2s.
Threshold: -10dB to -5dB.
Depth: 10 to 30dB.
Bypass: switch provided with LED.
LM-1R
Rack mountable comp/limiter, illuminated VU meter switchable to read actual output level, or gain reduction. Connections by barrier strip.
Ratio: variable 2:1 to infinity.
Attack: 200us to 20ms.
Release time: 100ms to 2s.
Price: $350.
Discriminate Audio Processor II
3-band compressor with each band having full separate controls, metering, compression in/out with separate output meter.
Attack: 2 to 20ms.
Release: 1 to 2s.
Ratio: 2:1 to 30:1.
TRIDENT (UK)
Trident Audio Developments Ltd, PO Box 38, Studios Road, St Albans, Middlesex, Herts, WD17 ODD.
Phone: 0528 2241. Telex: 8813982.
USA: Sound Maintenance Services, 12438 Magnolia Blvd, North Hollywood, CA 91607.
Phone: (213) 877-3311. Telex: 674901.
SG200
Dual channel signal gate. Specification not yet available.
Price: $399.
THOMSON-CSF (USA)
Thomson-CSF Broadcasting Inc, 37 Brownhouse Road, Stamford, Connecticut 06902.
Phone: (203) 327-7700.
VOLUMAX Model 4101/4111 Limiter
A limiter for monaural (Model 4101) and stereo (Model 4111) fm broadcasting.
Noise: 70dB below maximum output level.
Distortion: 0.3% with normal gain reduction levels, 50Hz to 15kHz.
Attack time: between 1us and 3ms, depending on programme waveform and rise time.
Release time: 200ms (low frequencies); 10ms (mid frequencies); 2ms (high frequencies); all field changeable.
Compression ratio: 10:1/infinite.
Control range: 15dB.
Price: Model 4101 $1,515, Model 4111 $2,650.
VOLUMAX Model 4300 Limiter
A limiter for AM broadcasting.
UREI (USA)
United Recording Electronics Industries, 8460 San Fernando Road, Sun Valley, Cal 91352.
Phone: (213) 767-1700. Telex: 6513898.
UK: F.W. Smith Ltd, 41 Theobald Road, Boreham Wood, Herts WD6 4RZ.
Phone: 01-953 0091. Telex: 27502.
LA-4 rms Compressor/Limiter
Utilises an electro-optical attenuator for 'smooth, predictable performance coupled with ease of operation. Because the unit's gain reduction circuitry is rms-responding, it is not recommended for over-limitation protection of transmitters, disc or optical recorders unless followed by a peak limiter, such as model 1176LN. Two units can be linked for stereo application.
Equivalent input noise: 90dBm, 15.7kHz bandwidth.
Distortion: 0.25%, 30Hz to 15kHz.
Attack time: 1 to 10ms for 63% correction, depending on waveform.
Release time: 100ms to 1s for 63% return, depending on duration of limiting.
Compression ratio: 2, 4, 8, 12 and 20:1, front-panel switched.
Threshold of limiting: -30 to +20dBm.
Price: £240.
BL-40 Modulimiter
Designed specifically for AM broadcasting, but with TV and signal processing applications. A 'phase optimum' circuit assures that it maintains most desirable signal purity, reversing phase whenever negative peaks exceed positive ones by a pre-set amount. Independent controls (plus meters) for rms and peak limiting, and variable positive limiting up to 10dB.
Noise: 70dB at the threshold of rms limiting; equivalent input noise less than -100dBm.
Distortion: 0.5%, 30Hz to 15kHz, +24dBm output.
Attack time: rms section 1 to 50ms for 63% correction, dependent on signal; peak section 5us for 10dBm limiting.
Release time: rms section 50ms to 2s for 63% return, dependent on duration of compression; peak section 100ms.
Price: £451.
1176LN Peak Limiter
Utilises an FET as a voltage-variable resistor ahead of the first stage of amplification. Two units can be coupled for stereo applications.
Noise: 81dB at threshold of limiting, 30Hz to 18kHz.
Distortion: 0.5%, 50Hz to 15kHz with limiting at 1.1s release; 0.5% at 10dBm output.
Attack time: 20 to 800us for 100% recovery.
Release time: 50ms to 1.1s for 63% recovery.
Threshold level: dependent on input and output levels and compression ratio setting.
Price: £281.
1178 Dual Peak Limiter
Two channel version of 1176LN.
Price: £451.
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Home taping licence
After criticism earlier this year of the industry's track record on disc pressing quality the BPI reformed its technical committee with a working brief 'to ensure that standards are maintained in UK pressings'. No mention, you will note, of improving standards. A few outsiders from the record retailing and reviewing trade were brought in for a single meeting at which some frank comments were bounced around but there has been no sign yet of any minutes of the meeting or any follow-up discussions or follow-through proposals.
The BPI, on behalf of the British record companies, has now fallen out publicly with the Mechanical Copyright Protection Society, which represents the music publishing arm of the industry. Until recently the BPI and MCPS have been operating a home taping licence scheme which, for £1.73 a year, enables anyone in the UK to break the copyright laws with a clear conscience. The licence entitles the owner of records to tape them. It's obvious that the revenue from these licences (10,000 a year have been sold to honest souls) can't do much more than pay for the paperwork and it's dubious legal practice to license people to break the law but the home taping scheme has been justified because it at least establishes the principle of copyright in people's minds. If the MCPS had their way the licence scheme would continue, but the MCPS cannot have its way and the BPI have pulled out.
Without BPI approval the MCPS licence scheme is a dead duck because there is both record company and music publisher copyright in every recording. If the MCPS were to go-it-alone with a licence scheme, the owner of a record would still have to approach the record company for permission every time he or she wanted to tape it. The MCPS talked about sending out 10,000 letters explaining to licence holders that their honesty in buying a voluntary licence is no longer appreciated, although I (a licence holder) never actually received one. Newspapers are also having to carry correction notices to negate the small print 'buy-a-licence' notice normally to be found at the bottom of any advertisement for tape, rather like a government health warning on a cigarette advert. As one tape manufacturer put it "The record companies have put themselves in an awkward position. They wanted us to put a copyright warning and a mention of the MCPS licence on every tape advert and we've done just that. Now they realise they have made it more difficult to complain about our adverts so they have decided to kill off the home taping licence."
The BPI have pulled the plug on the scheme because the record companies are pinning their hopes and faith on a levy on blank tape. The MCPS is more realistic and realises that although there may one day be a levy on blank tape sold in the UK it won't be for some time yet. This winter the UK Government will probably publish a Green Paper or discussion document on the reform of British copyright law. This Green Paper may recommend a levy on blank tape. After discussion a Bill recommending a levy may be drafted and if and when it gets through parliament intact (assuming of course there isn't a change in government which will kill off any pending bill) the levy may become law.
At last the BPI has started talking (albeit secretly) about the level of levy—£1 on the price of a C60 cassette and pro rata. Unfortunately, there doesn't seem to be any talk (even in secret) about how the levy money will be distributed. It would seem grossly unfair if a few successful artists were to cream off some extra loot from a levy on a pro rata royalty basis. The people who really deserve to benefit from any levy are new artists at the bottom of the success tree. These are the lifeblood of the future but they can't get enough recording time because the record companies are pleading poverty and devoting all their energy to selling safe-bet albums.
Incidentally it's not generally known that the tape companies tried to discuss the whole business of a tape levy with the BPI but the offer was turned down unless the tape companies would agree in advance to a voluntary levy! By an unfortunate coincidence this happened at just the same time that EMI paid Malcolm McLaren of Sex Pistols fame a hefty advance (could it be £55,000?) for a record by a group which rejoices under the name Bow Wow Wow. The group's first single was C30, C60, C90 Go and as everyone by now doubtless well knows, the lyrics, which were printed on the record sleeves to ensure that everyone got the message, positively exalted home taping. Commercial release of the disc was delayed for a while after advance pressings had been broadcast by disc jockeys. There was a fair amount of internal squabbling over whether the contentious record should ever be sold but EMI decided to go ahead and claimed that release of the disc was intended "to bring the whole business of home taping out into the open". This, of course, may have been EMI's original intention, or it could have been a tailor-made philosophy cooked up after the company had recognised its faux pas. Some say that no one at EMI had bothered to listen to the lyrics of the discs before signing the contract with McLaren.
Tape spoilers
Believe it or not the record companies are still dreaming of a technical solution to home taping, ie a 'spoiler system' which magically prevents a record being taped even though it plays perfectly normally for home listening! There's been some awful garbage talked recently on spoilers, for instance it has been suggested that digital recording holds the key. Those who have made this claim have presumably forgotten that we all have analogue ears. So any digital signal will always have to be returned to analogue form at some stage in the chain. And that is where copying will take place. The latest group to claim success with a spoiler is the Bron organisation, which owns the Roundhouse studio in Chalk Farm. Bron's spoiler idea first surfaced at the BPI annual general meeting in June 1980 and there was talk of a "practical demonstration...in about three weeks time". But by the end of August, when the Sunday Times carried an hilariously garbled report on spoilers, there had still been no demonstration.
It would be easy to dismiss the Bron claim as just another example of industry ignorance but Gerry Bron is not your average record company executive. He's the first I've found who has shown any real understanding of the spoiler issue. He recognises all the old pitfalls and talks none of the nonsense constantly mouthed by other industry spokesmen who pontificate on technical matters on which they clearly understand less than nothing. It would surely be a supreme irony if the Bron organisation, essentially a music publishing house with only limited technical resources, were to succeed where the world record companies with massive technical backup have failed. No one doubts that spoiler signals can be made to work in a laboratory or on some domestic equipment.
Making them work without adversely affecting ordinary replay and on home taping equipment in the hands of punters who want to defeat the system, is quite another matter. The video world has already found this out. It's possible to degrade the sync pulses of a TV recording so that it won't re-record; but unfortunately it also won't play back on all domestic TV receivers, and you can already buy anti-anticopy devices for around $100 in the USA. If, as seems a foregone conclusion, the Bron scheme proves impractical on one count or another, or is too easy to defeat, then Bron must be prepared to disclose how it failed. In this way other researchers around the world will be saved the time and expense of re-researching the same dead ends. Any company which isn't prepared to explain how it has failed shouldn't publicly claim success until it has been conclusively proven in secret tests. In other words put up or shut up.
Blank tapes
A couple of reports have filtered through of anti-recording systems. These are not spoiler systems to prevent the unauthorised copying of discs. They are systems designed to prevent a tape recorder from operating normally in a security area. They parallel the situation which exists in some Japanese factories, where hidden ultraviolet lights ensure that any unauthorised photographs are fogged beyond recognition. It seems that several years ago a BBC reporter tried to make a clandestine recording inside the Chinese Embassy, using a hidden Uher Reporter. The tape recording was perfect up to the front door of the embassy but everything recorded inside the building was distorted as if badly under-biased.
More recently Andy Warhol of bean can fame, found an 18 minute gap in a tape recording which he made while covering the Democratic Party convention in New York for a magazine. Warhol had followed President Carter's mother into a lift and recorded some of her characteristically none-too-discreet off-the-cuff comments. Secret Service aides were close by and Warhol found that his tape was mysteriously blank.
Engineers will doubtless have their own theories on how these anti-recording systems work so let's hear them. The most likely suggestion to date is that a super-strong magnetic field is generated in security areas to saturate the recorder transformers, induce eddy currents, to screw up the bias and saturate the tape.
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Designing a professional mixing console
Steve Dove
Part Six ~ When is a Ground not a Ground?
A HUMAN working visualisation of anything electronic soon becomes impossible without a mental image of the nice, solid, infinite, immoveable, dependable god — Ground. Similar to the Messiah, this one has many names too: Earth, Ground, OV, Reference, Chassis, Frame, Deck, etc — each of differing interpretation but all ultimately, alluding to the great Omnipotent Nothingness.
Electrons couldn’t care less about all this. They just go charging about as potentials dictate and any circuit will work perfectly well referred to nothing but itself (satellites, cars and flashlights work, don’t they?). ‘Ground’ in this instance is but an intellectual convenience.
Interconnection of a number of circuit elements to form a system necessarily means a reference to be used between them. To a large degree it’s possible to obviate a reference even then, by the use of differential or balanced interfacing, unless of course power supplies are shared.
So having proved that ground is seemingly only a mental crutch, why is it the most crucial aspect of system design and implementation?
Wire?
Fig 31a shows a typical, ordinary long thin bit of metal known more commonly as wire and occasionally as printed-circuit track. However short it is, it will have resistance which, courtesy of Mr Ohm, means that a voltage will develop across it as soon as any current goes along it; similarly, Mr Maxwell says a magnetic field will develop around it — Bingo! Inductance. If it is in proximity to anything, it will have capacitance to that too.
So, Fig 31a actually looks more like Fig 31b with resistive and distributed reactive components. Admittedly these values are small and seem of little significance at audio frequencies but clues have already been laid (particularly in Part Three Op-Amps — Friend or Foe?) that believing the world ends at 20kHz is not so much myopic as stupid.
A radio engineer looking at Fig 31b would mumble things like “tuned line”, “resonance” or “bandpass filter”, maybe even (are you sitting comfortably?) “antenna”. Rf technology and thinking may seem abstruse and irrelevant to console design until it is considered that devices commonly used nowadays have bandwidths often many dozens, sometimes hundreds, of Megahertz wide. An even more frightening realisation is the enormous quantities of rf energy present as a consequence of our technological being.
A more obscure collection of equivalents is shown in Fig 32: (a) representing a wire into a bipolar transistor input; (b) a wire from a conventional complementary output stage; whilst for reference sake, (c) is a basic ‘crystal-set’ type radio receiver. Quaint, but for the presence now of considerably more V/m rf field energy compared to the heyday of 2LO. In all the three circumstances rf collected and/or delivered by the antenna/tuned line is rectified hence demodulated by a diode (being the base-emitter transistor junctions in (a) and (b)). As contrary as it may seem for demodulation to occur at an amplifier output, it is perhaps the most common detection mechanism with the demodulated product finding its way back to the amplifier input by means of the conveniently provided negative feedback leg.
Making our bit of wire fatter and thicker has the effect of lowering the resistance and inductance whilst increasing capacitance (greater surface area exposed to things nearby) so although the wire’s resonant frequency stays about the same the
dynamic impedance (hence 'Q') reduces. Whilst in general this is deemed to be a 'good thing', in some instances it can merely serve to improve the matching and coupling of the rf source to the resonance.
Carried to a not-quite-fatuous extreme, even the console frame constitutes a big fat resonant tank at a surprisingly low (mid-vhf) frequency—and frame resistance, however heavily constructed, cannot be disregarded and treated as a universal earth path. Some 'earth' eh?
For the purposes of practical design, these considerations perhaps become a little better defined. The reactive elements of capacitance, inductance with the attendant effects of resonance, and filtering are concerned with less obvious aspects such as electronic stability and proneness to radio demodulation, whilst resistance gives rise to most of the horrors usually lumped under the collective 'grounding problems'.
A 'good earth'
The closest most of us get to earth is the big pin on a mains plug and fortunately for most purposes it is adequate provided just the one point is used as the reference. Other points are likely to have slightly differing potentials due to dissimilar routing and resistances. Compared to a 'technical earth' (eg a water pipe (make sure the plumbing isn't plastic, please) alternatively a fortune in copper pipe hammered into the earth) conventional mains earth can have a surprisingly high potential—a volt or two even—considering it is principally a safety facility not ordinarily carrying current. Any potential implies resistance in the earth path which is bad news about something intended as a reference whilst also detracting from the safety aspect. Practically, though, it doesn't matter too much if everything is waving up and down a bit provided everything, including even unrelated things in proximity are waving up and down in the same manner. The potential is usually small thankfully, meaning that the 'earth' impedance is reasonably low to the extent it may be considered zero.
Why earth anything?
With all our component system parts tied together by a reference 'ground' (the organisation of which is a bramble patch in itself, to be trod in later) and everything working as expected, the question arises of why it is necessary to refer our 'ground' to earth. If the internal grounding is completely kosher our system will operate perfectly, quietly and tamely regardless of what potential (with respect to earth) it is tied to, whilst if not tied, it will derive its own potential by virtue of resistive leakages, inductive coupling and capacitance to things in its environ. For an independently powered system (say batteries) these leakages and couplings will be of far higher impedance and hence easily swamped by human body impedance to earth. (We are, dependent on hand-clamminess and footwear reasonably coupled to terra-firma at between 5kΩ and a couple of MΩ at 50Hz).
If, as is most often the case, most of the system is powered off the ac mains this floating ground potential becomes of far lower impedance and consequentially much more capable of dragging current through the human load (it's the current that does you in, not the voltage). A tell-tale sign is a burring/tingling feeling as you drag a finger across exposed metalwork on something that is deriving its own ground potential.
The mechanism for this lower impedance is fairly straightforward. Mains transformers are wound with the optimum transfer of energy at 50 to 60Hz and very high flashover voltages, say 2 or 3kV, in mind—the finer points of transformers such as leakage inductance, interwinding and winding imbalance capacitance are all but disregarded, meaning they end up being horrific.
Being far greater in scale than ordinary ambient reactive couplings, they primarily dictate the floating ground potential at anything up to 240V ac or whatever the mains happens to be locally.
A strange practice by a few, predominantly American, manufacturers is to tie either or both the 'live' and 'neutral' mains ac lines to chassis via capacitors, typically of 1 to 100nF with the result that if the chassis is not directly earthed it rides at (in the case of both lines being tied) half the mains voltage. The capacitor values grossly swamp transformer leakages and give the chassis floating potential an uncomfortably (literally) low impedance. The chassis tingle changes from 'Mmm—interesting' to vile oaths with attendant flailing limbs.
A system composed of many separate mains-powered things will almost certainly hum, buzz and sound generally uneasy—seemingly in direct contradiction to the earlier statement that "... the system will operate perfectly...regardless of what potential it is tied to..." Being tied to lots of different potentials at lots of different points along a ground path is definitely not playing the game, sorry.
Each different mains transformer will have different amounts and permutations of leakage and hence propagate different potentials and degrees of mains-borne garbage into our otherwise perfect grounding path. Assorted ground potentials mean assorted ground currents meaning assorted noises.
Tying the entire grounding path to earth is the ultimate swamp-out of leakage impedances. A connection to a (nearly) zero impedance makes a nonsense of most other potential creating paths, most of which have reactances exceeding 1kΩ. Sledge-hammer technique.
Ordinarily in such a multi-supply circumstance, regardless of earth termination, significant currents exist along the ground reference lines. The resultant inter-element noise and hum voltages (developed across the inevitable line resistances) quickly become intolerable in unbalanced systems—any wobbling of the ground reference becomes directly imposed upon the required signal.
Balanced, or pure differential transmission helps obviate these perturbances by rendering them common-mode in a system that is (theoretically) only sensitive to differential information. In reality, practical transformers can afford a good 70 to 80dB common-mode isolation at low audio frequencies but deteriorate in this respect at 6dB/octave with increasing frequency, to poor rejection (if any) around the winding resonance frequencies unless considerable effort is made to 'fudge' a more accurate balance externally. Although transformer balancing does effect a dramatic improvement
Mixing console
In noise levels, it is far greater for fundamental hum (50 to 60 Hz) than it is for other mains-borne noise. This explains why in 'doggy' systems lighting dimmer buzz, motor spike noise or any source with a high HF energy or transient content is so persistent. The ubiquitous 'tizz'.
The golden rule is to treat any balanced system's grounding as if it was unbalanced — this minimises the inevitable reference ground currents whilst helping to unlearn that transformers are a panacea.
There is one good reason not yet mentioned for grounding to earth. The consequences of a piece of gear's chassis becoming inadvertently mains live potential, are obvious. Rather death to a fuse or breaker than one of us.
Let's assume (giggles) that the grounding for the studio control room is all sensible and that our console has a nice juicy solid earth termination. What about the intra-console grounding paths? This is perhaps the ultimate unbalanced signal path.
Inside the console
Most conventional amplifier stages rely on a voltage difference between their 'input' and 'reference' in order to produce a corresponding output voltage (referred, naturally, to the input's reference). If the input is held steady, though, whilst the reference is wobbled, a corresponding (amplified) inverted wobble will appear at the output.
It is plain, then, that any signal the reference sees that is not also common to the input (eg ground garbage) will get amplified and summed into the output just as effectively as if it were applied to the 'proper' input. The obvious (and startlingly often overlooked) regimen to render extraneous garbage unimportant, is to ensure that the point at which an amplifier's source is referred is tied directly to the amp's reference, whilst the amp's output is only taken in conjunction with its reference. Successive stages daisy-chain similarly — source reference to amp reference, amp reference to destination reference, etc, etc.
This thinking is called...
Ground follows signal
A classic maxim and one that has dictated the system design of nearly every console built. It was particularly true in the era of discrete semiconductor design, where 'ground' was not only audio ground but also the 0V power supply return. As an added complication the power supply positive rails, being heavily regulated and coupled to ground were an equal nightmare as they too became part of the grounding path. This could be fairly simply avoided though by spacing each circuit element away from the supply rail by an impedance considerably greater than that offered by the 'proper' ground path — achieved by either separately regulating or simply decoupling by a series resistor/parallel capacitor network.
Accelerating technology has for once, atypically, actually made life a bit simpler. Specifically, the trend toward IC op-amps with their required differential (+ve and -ve) supply rails. This, thankfully, removes electronic operating current from the audio system ground, whilst individual stage supply decoupling is rendered unnecessary (in most instances) by the excellent power supply noise rejection ratio of most popular op-amps. Nevertheless, correct grounding paths still apply, the removal of supply current just exposing and highlighting audio grounding subtleties.
Unfortunately, whilst op-amps have simplified matters in one respect, their ease of use and versatility have been largely responsible for the creation of enormous systems with so many stages, break points, mix busses and distribution networks that the simple daisy chaining of 'ground follows signal' becomes unwieldy if not unworkable. Alternate grounding schemes, such as 'star' grounding where every ground path and reference is taken to a central ground/earth tend to play an increasingly important role.
In practice, a necessary compromise between these two prime systems occurs in most console thinking. 'Daisy chain' applies mostly to 'on card' electronics (eg in the mic-amp/eq sections) whilst systems switching and routing rely on 'star'.
Ground current summing
A principal grounding-related manifestation is crosstalk, or the appearance in a signal path of things that belong elsewhere. Other than 'air-borne' proximity related reactive crosstalk (Part Two) most unwanted visitations are by courtesy of the resistive ground path mechanism.
In Fig 33a, R1 represents the load of an amplifier output (what it is in actuality, say the 10kΩ of a fader or a 600Ω line termination, is immaterial for the present). RG represents a small amount of ground path wiring, etc, loss resistance. It is quite apparent that the bottom end of the termination is spaced a little way from true ground by the wiring resistance — the combination forms a classic potentiometer network. The 'fake ground' has a signal voltage present of the amplifier output voltage attenuated by R1 into RG.
In a practical circumstance with a 600Ω termination (R1) and a ground loss (RG) of 0.6Ω, the 'fake ground' will have present a signal voltage about 60dB down. Use of the 'fake ground' as a reference for any other circuitry is a sure-fire guarantee of injecting ~60dB worth of crosstalk.
Two identical terminations sharing the same 'fake ground' (Fig 33b) happily inject a small proportion into each other by generating a common potential across the ground loss RG.
Should the second termination be far higher in impedance (say the 10kΩ of a fader) its contribution to the common 'fake ground' potential will be far less (~86dB) since the ground impedance is much smaller in relation to the source. Correspondingly, though, this higher impedance termination is more prone to be cross-talked into from the lower impedance contributors to the common ground.
Typical problems
Let's take a fairly unusual (but definitely not unknown) grounding anomaly caused as a result of inattention to grounding paths. A2 is a line amp feeding a termination of 600Ω, into a lossy ground of 0.6Ω resulting in a 'fake ground' potential 60dB below the amp's output (Fig 34). An earlier stage in the chain (A1), in this example a mic amp, with a considerable amount of gain has its feedback leg (amplifier reference) tied to the same 'fake ground'. Its
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input ground reference (here lies the cock-up) is taken from a separate buss supposedly to provide a nice 'clean' ground. This, of course, it does admirably, the buss being tied straight to 'true' ground and having no sources of great substance going to it.
Any signal present on the 'fake ground' is duly amplified by the mic amp (in its inverting mode), is attenuated at the line amp output back into the 'fake ground' and — you guessed it — as soon as the mic amp gain exceeds the output attenuation the entire chain bursts into glorious oscillation.
A very similar mechanism was responsible for an owner's criticism of his well-known type American console, that whenever he attempted to use the track routing on any channel module, the sound of that channel discernibly altered. It was found that ordinarily nothing in the channel drew much current, all ground impedance requirements being quite light. Until, that is, the track routing line amp was accessed with its load of routing resistors and terminated output transformer demanding a relatively large ground current. This output stage current shared the module's only ground access point (two paralleled connector pins) with all the rest of the module electronics — with the notable exception of the mic and line input transformer ground returns. The resultant feedback, although nowhere near enough to promote oscillation, did by virtue of the output transformer's phase shifting at both hf and lf frequencies result in distinct colouration.
A purist answer to these 'fake' and loop problems is to choose one grounding point for the entire console and to take every reference and ground return directly to it through separate ground wires (which must of course be coloured green in order to function correctly).
A few minor problems would ensue.
The enormous number of ground lines required would soon outstrip the capacity of the module connectors, the mass of wiring would cause apoplexy if not dark mutters of resignation from the wiremen whilst also severely aggravating the already desperate world shortage of copper. Fortunately, a working compromise suggests itself based upon separating the different classes of ground requirements by impedance.
It seems reasonably safe to tie fairly high impedance sources to a common ground point, buss or line, (since the ratio of their impedances is so great that resultant 'fake ground' potentials will be normally low enough to ignore). Anything that is likely to draw current (any kind of output or line amp stage) should go directly to ground, will not pass through any buss and not collect shared ground paths on the way.
Any ground buss must have a measure of resistance and must therefore be 'fake' to a certain degree, if not a truly festering pit of garbled nasties. If we do our sums right, ground buss signal levels can be kept acceptably low, say below — 100dBu.
Smugly, we can expect to ignore figures like that — until we (almost inevitably) amplify them up. If you're wondering what crazy circuit arrangement unavoidably amplifies up garbage ground noise — it's called the...
Virtual earth mix amp
Fig 35a tells the story. As, say, a multitrack mix amp, it can typically have 32 sources applied to it — the through gain from any source being unity (assuming the source resistors equal the feedback resistor) but the real electronic gain of the circuit is 33 or about 30dB. Redrawing the circuit slightly, Fig 35b shows exactly what this 30dB is amplifying. Clue: that which is directly applied to the op-amp's non-inverting input. Yep, ground! True, it is also merrily amplifying the noise due to the resistors and the internal noise mechanisms of the device, but for our argument here it is amplifying ground.
In any reasonably sized console, providing no sources are grossly out of proportion to the majority, ground garbage is pretty random and 'noisy' in character — the result being that on being amplified up it serves to make the mix amp apparently noisier than would be expected from calculation. In suspect systems it has been found to be the predominant noise source. It is truly astonishing what loving care and attention to virtual earth mixer grounding can have on buss noise figures.
For mix amps, practical noise performance has little to do with the device employed and nearly everything to do with grounding.
... And higher up...
Noise generation due to grounds is not limited to the resistance predominant in the ground wiring at audio frequencies. At rf, well within the bandwidths of modern op-amps, even fairly short ground wires and busses can have very significant inductive reactances dramatically raising the effective ground impedance. This not so much reduces the isolation between the various stages as directly couples them together. All the inherent rf noise instabilities of the stages resulting become intermodulated (by the device's non-linearity at those frequencies) down to make their presence felt to audio earthings as yet more audible and measurable noise.
A good 'shock-horror' example, which although described in simplistic theoretical terms, manifests itself sometimes dramatically in practice and can be called the 'Standing On One Leg Effect'.
The box in Fig 36 represents a device that relies on the wire to be connected to the ground mass. Looks OK doesn't it? It is, apart from at the radio frequencies at which the wire is electrically ¼ wavelength or an odd multiple of ¼ wavelength. Our innocuous bit of wire turns into a tuned line transforming the 'zero' impedance of the ground to an 'infinite' impedance at the other end. Result — the device is totally decoupled from ground at those frequencies. Practical consequences of this of course vary, from instability at very high frequencies on cards with long supply and ground leads to the author's most memorable encounter where an otherwise incurable case of TV signal demodulation in an electronic keyboard was fixed just by snipping a foot off the mains lead.
Four sound reasons why you shouldn't call this just a crossover.
The MCS Series 200 Crossover. Modular, Expandable, Professional. With four outstanding features that set it apart from all other crossovers. Mid-filter limiters for each frequency band. Output level meters for each frequency band. 24, 18 or 12 dB per octave filter slopes. Subsonic and high frequency filters. Compact, reliable and versatile. The MCS Series 200 has established its own standard. Complete with two innovative accessories. The AR105 lead tester and the AR116 high performance direct injection box.
Brooke Siren Systems, 92 Colney Hatch Lane, London N10. Tel: 01-444 7892. Telex: 912881 BSSAUDIO.
Also available through: Gerr Electro-Acoustics, 363 Adelaide Street East, Toronto M5A 1N3, Canada. Tel: 416-868 0528.
Regiscene, 21 Rue de l'Alouette, 94160 Paris, France. Tel: 374 58 36.
Accessory range products available additionally from Turnkey and Audio Reinforcement Services.
Sound quality. Quality controlled.
Meet the new baby in the family...
New from Switchcraft—Tini Q-G
The first miniature audio connector
Fully miniaturised, the Tini QG series have all the quality and versatility required for the most exacting connections in industrial, R & D and miniaturised instrumentation of all kinds.
Like their larger brothers and sisters they have the same streamlined design and rugged construction from die cast zinc with satin nickel finish.
They also have the exclusive features which immediately identify them as part of the Switchcraft family.
Insert insulation: High impact thermo-setting plastic for high dielectric strength.
Latchlock: Die cast to high strength zinc for exceptional longevity and maximum punishment.
Dual Pressure Plates: provide a secure cable lock and strain relief for all standard size cables.
Cable entries: Neoprene cable strain relief bushing, keyed to shell and ribbed for easy entry.
Just a few of the good reasons why the professionals choose Switchcraft.
For further information on Switchcraft QG and Tini QG, contact
F.W.O. Bauch Limited
49 Theobald Street, Boreham Wood, Hertfordshire WD6 4RZ
Telephone 01-953 0091, Telex 27502
THE Orban model 418A is a 2-channel stereo compressor/limiter with the control of the gain of the two channels being permanently connected such that the channels track each other.
It follows that there is only one set of controls which operate on the two channels. Monitoring of the levels in the audio inputs and outputs, the instantaneous gain reduction and also the dc levels of the internal +15V supplies is by means of a VU type meter to the left of the front panel, the function of the meter being controlled by means of an adjacent 7-position rotary switch.
Proceeding to the right there is next a 5-position rotary switch which selects the time constant of the pre-emphasis in the hf limiter which may be set to 'flat', 25µs, 37.5µs, 50µs or 75µs. Whilst the limiting threshold and the degree of compression once limiting occurs are fixed, the unit includes two separate control circuits. There is first a wideband signal detector which operates on the overall signal. Depending upon the setting of the limiter time constant switch the signal is then subjected to pre-emphasis and fed to a second control circuit, thus providing a separate degree of limiting depending upon the hf content of the signal. After this the correct frequency response is restored by switchable de-emphasis which automatically corresponds to the pre-emphasis previously applied.
Whilst the unit automatically controls the attack time, a front panel release time control allows the operator to optimise the release time depending upon the type of programme material and the desired effect.
There follow two potentiometer controls acting as input and output level controls, these being stereo controls with no balance adjustment between the two channels being provided (or, for that matter, desirable). A red overload lamp adjacent to these controls is illuminated if the unit is driven beyond 15dB limiting. This gives a good margin before the onset of serious distortion.
The remaining front panel features are the power on/off switch and indicator light, with the power being supplied via a fixed lead at the rear panel. In the review sample this lead had the American colour coding and the importer should rectify this matter.
A clearly identified imperial size mains fuse is fitted at the rear of the unit, together with the audio input and output connections in the form of a barrier strip. Whilst the inputs are electronically balanced, the outputs are unbalanced, but very sensibly links are provided for isolating the signal ground from the earth.
Externally the unit, which is designed for mounting into a standard 19in rack, has a pleasantly finished blue front panel in the form of an alloy plate which supports the controls with the rest of the chassis being made of cadmium-plated steel.
With the exception of the power supply, all the electronics are supported on a single, good-quality, double-sided pcb. Good quality components are used in an exceptionally tidy layout. No component identifications are to be found but the operation and maintenance manual does include a layout diagram, circuits and set-up instructions in a concise and sensible format.
As the front panel controls do not solder directly to the pcb there is a certain amount of wiring which was not particularly tidy with the quality of soldering leaving something to be desired. Also a number of resistors are mounted on the rotary switches—a practice which I do not particularly like!
**Inputs and outputs**
Measurement of the impedance of the balanced inputs showed this to be constant with gain setting at 97.6kΩ with the input metering being before the gain control such that an indication of zero VU corresponded to an input of +4.2dBm—an entirely satisfactory state of affairs.
The maximum input level at the onset of severe distortion was also satisfactory at +22dBm with the common mode rejection being reasonable as shown in Fig 1.
In the case of the unbalanced outputs, the metering is before the output level control with the maximum output for an indicated zero VU being +6.5dBm, and the output at the onset of clipping being +20dBm. In view of the fact that the internal limiting threshold occurs at an output of...
**AUTOMATION NOW**
The Roland Compu-Editor, is the first console automation system we have seen that does not use up valuable tracks and is also sensibly priced.
This self contained unit will control up to 15 channels of audio (inputs, outputs or auxiliaries), and stores all the working level information internally or dumps to tape. You can update, override manually and lock up to any tape machine using the internal SMPTE generator/decoder. Many advanced features make sophisticated automation possible for any studio. On demo now or send for details.
**ANNIS MAGNETOMETER**
It works somewhat like a compass, but tells you when. Put it next to a tape head, guide or capstan, and you get an accurate reading of the residual magnetic field. The scale is accurately calibrated, 0-0.5 Gauss, and an extension probe for awkwardly positioned heads is available. Exclusively from Turnkey.
**ONE FOR THE ROAD**
We've put TEAC's Portastudio into a roadcase with all the facilities you need for a working portable studio setup. A pair of Auratone monitors are driven by a custom 30W stereo amp, and we include headphones, mikes, a patch bay and a selection of Accessor signal processors. All parts available separately or customised to requirements.
**TEAC 32-2**
As predicted in the last Mix, Teac's new stereo mastering machine proves to be a winner. Switchable NAB/IEC equalisation, varispeed, big VU's, motion sensing and a closed loop type tape path all contribute to its success. What's more, it's priced well below the competition.
**12 by 2 SPECIAL**
We have acquired a batch of quality branded stereo recording or PA mixers. Each channel has wide range mike or line inputs, insertion points, four band eq, and two auxiliaries. The output section features echo returns, VU metering and powerful headphone monitoring. A snip at £360.00 plus VAT.
**SHORT TAKES**
Flight cased eight track system available for hire . . . ASC machine now sold but we can do a great deal on Wollensak copiers . . . bulk tape scheme operating . . . we wire a double decker bus for eight language guided tours of London . . . variable delay GBS available soon . . . name band buys 5 portastudios to take on tour and be creative in hotel rooms . . . Turnkey monitor system completed, call in for a demonstration . . . New TEAC sixteen track here at last . . . Plans afoot to double the size of our present premises . . . number one album made using Prokit/Seck mixer . . .
**MIKE BOX**
We now have a range of exclusive wall or cable mounting connector boxes. The standard type takes 8 female XLR's and 4 jacks, the large version is exactly twice that, and the two smaller boxes accept 2 jacks or XLR's respectively. All types have back and side cable entries and fixing holes, and are available with or without connectors.
**EXR EXCITEMENT**
Introducing the alternative aural exciter that you can purchase outright. Employing patented circuitry, this stereo processor provides psycho-acoustic enhancement for any signal. Connect simply to auxiliary send and return, or process stereo direct, and stereo spreads, clarity increases, putting it basically, everything sounds crisper. It is not a fancy tone control or compressor, call for a demonstration, and be convinced. An exclusive US import from TURNKEY.
**ADVANCED AUDIO DESIGNS DDL**
New from America, this processor makes full band delays up to 250mS available in 1mS steps. A front panel digital display shows the programmed delay and full footswitch remote functions are available. As well as normal delay effects, (enhanced by a feedback control) the circuitry allows effects such as flanging, pitch alterations, frequency modulation and infinite repeat hold. Exclusively from Turnkey.
**GREEN BOOK**
Much more than a catalogue, the new "Turnkey by Mail", 28 page book includes hints on setting up a studio, choosing equipment, and other practical advice. Call or write for a copy or use the reply coupon in the September issue of Studio Sound.
**5 STUDER 24 TRACK'S DELIVERED**
The Soundcraft 1624 is the most sophisticated mixer in its price range. The Studer A80 twenty four track is the most reputed, and now at revised prices offers the best value in the market. Put them together and you have a package set for the eighties. Our experience of both private and commercial installations enable us to tailor this package to your exact requirements. Prices start from around £30,000. Call Andrew Stirling on 01-440 9221 for full details.
All the products that we sell can be bought using Accessor Barclaycard/Visa. Order by phone for fast delivery. Call or write for a copy of our new "Turnkey by Mail" catalogue or visit our demonstration room in North London during normal office hours. Our business is helping you with yours.
Turnkey,
8 East Barnet Road,
New Barnet, Herts., EN48RW
Phone 01-440 9221
Telex 25769
+13dBm, this allows a good margin of headroom.
As the output is fed directly from the centre tap of the output level control, the output impedance varied with the output level setting from a minimum of about 2Ω up to 64Ω which is getting on the high side.
**Metering**
Checking the ballistic characteristics of the VU meter showed these to correspond to the ASA standard, as did the frequency response and rectifier characteristics, but not the scale colouring — a matter of little significance.
So far as input and output levels were concerned there was no complaint about meter linearity but at higher gain reductions, the indicated gain reduction was not exact, as shown in Table 1.
**Frequency response and noise**
The overall frequency response of the unit under non-limiting conditions, and also when driven into 6dB of limiting with the hf compressor in the 'flat' setting, is shown in Fig 2, from which it can be seen that in both instances the response is flat within 0.5dB from 20Hz to 20kHz.
Noise was measured in the output, using various measurements, and related to the limiting output level of +13dBm to give the available
---
**Table 1**
| Actual gain reduction | Indication |
|-----------------------|------------|
| 0.4dB | 0dB |
| 5.5dB | 5dB |
| 8.0dB | 7.0dB |
| 12dB | 10dB |
**Table 2**
| Measurement method | Dynamic range |
|---------------------------------------------------------|---------------|
| Band limited 20Hz to 20kHz rms | 70dB |
| A-weighted rms | 81dB |
| CCIR-weighted rms ref 1kHz | 71.5dB |
| CCIR-weighted quasi-peak ref 1kHz | 67.5dB |
---
The Seck 104 is designed specifically to work with budget multitrack recorders.
The mixer has prewired mixdown facility, a four way stereo monitor mix that is switchable between line and tape, and a comprehensive musicians cue mix system. All levels are -10 and 0dBm compatible.
A six channel stereo version Seck 62 is also available. This is based on the original Prokit design and features new panel graphics, meter pod and upgraded IC's.
| Model | Price |
|-------|---------|
| 104 Ass'd | £325.00 |
| 62 Ass'd | £130.89 |
| 62 Kit | £92.60 |
All prices +VAT
For full details of the SECK range of mixers and accessories contact,
TURNKEY, 8 East Barnet Rd
New Barnet, Herts. EN4 8RW
Tel. 01-440 9221
SES Ltd, 100 Hamilton Road,
London NW11 Tel. 01-458 9133
REW, 114 Charing Cross Rd,
London WC2 Tel. 01-836 2372
Glowing praise and flattering photos about the Ex-Press Limiter from ADR.
Stereo input/output attenuators and 1:5:1, 2:1, 5:1 and limit (20:1) ratios.
Digital logic momentary switches for complete function mode control.
The Ex-Press Limiter is a Compressor, Limiter and Expander designed and manufactured at ADR to our usual excellent technical specification.
Function Control is by digital logic switches and Led indicators show options in use as well as remembering 'last use' settings when the power is cut.
The Ex-Press also has stereo input/output attenuators, variable attack and release times and an auto release network for maximum in-studio versatility.
All this in a 1¼" rack mounting makes the Ex-Press about the best signal processor on the market.
And it's in stock! Call us now, we're as near as your telephone.
Unique dual-calibrated meter with both VU and Gain Reduction scales.
RMS or Peak sensing compressor side-chain.
Audio & Design (Recording) Ltd.,
84, Oxford Road, Reading, Berks. RG1 7LJ.
Telephone: Reading (0734)53411.
Telex: 847605 ab TILLEX G.
Audio & Design Recording Inc.,
PO Box 786 Bremerton WA98310 U.S.A. Telephone: (206) 275/3009.
Telex: 152426 ab NOTAB.
dynamic range which was as shown in Table 2.
Whilst the above figures applied at the majority of input gain settings there was a slight deterioration in the noise performance at maximum input gain, amounting to about 4dB for all measurement methods at maximum input gain.
The level of mains hum or other tones in the output was found to be completely insignificant and no peculiarities were noted in the noise performance under dynamic conditions.
**Distortion**
Under non-limiting conditions, the harmonic distortion levels for the second and the third harmonic were below -80dB (0.01%). As with any compressor or limiter the LF distortion under limiting conditions depended upon the release time setting, but with this set to maximum and at 10dB compression the performance was excellent as shown in Fig 3.
Under similar conditions, the intermodulation distortion to the CCIF method using two equal amplitude tones separated in frequency by 70Hz was found to be at a very low level as shown in Fig 4.
**Limiters**
As can be seen from Fig 5, which is an input/output curve for the limiter with both gains at their 12 o'clock position, the I/O has a straight line relation up to a point at 0dBm input where the curve shows a very high degree of compression which is retained until the unit is limiting by 17dB, at which point overload occurred.
In practice, the overload lamp was fairly fast in action and gave an indication of overload before audible distortion was present in the output.
As the manufacturer rightly points out, this is not a very high speed limiter suitable for protecting broadcast transmitters and the like from overload. The primary intention of this limiter is to reduce excessive hf saturation in low speed tape recordings and similar applications where the end-products have soft saturation characteristics as opposed to hard clipping or drastic distortion as in the case of disc cutting.
It is therefore immaterial that in some circumstances the limiter may overshoot for a short time as shown in Fig 6, which illustrates the output when a 1kHz toneburst is applied to the input such that 6dB limiting occurs — the release time being set to 'fast' in this instance.
Under these conditions the range of the release time control gave virtually complete recovery in between 100ms in the fast setting and 1s in the slow position with the 12 o'clock position corresponding to 600ms.
The pre-emphasis characteristics of the hf limiter are shown in Fig 7, which shows a generally correct pattern, but the actual turnover frequencies were all on the high side as shown in Table 3.
**Other matters**
Matching between the two channels was measured at 5dB intervals for the compressors, and at 10dB intervals for the input and output gain controls, with the channel balance being as shown in Table 4.
In the case of the compressor, the creditable maximum error was ±0.2dB at compressions up to 15dB.
As a final measurement, the crosstalk between the two channels was measured, producing Fig 8, which demonstrates an excellent performance.
**Summary**
This Orban unit is an excellent device for tailoring music for recording on compact cassettes and other slow-speed tape devices where hf saturation presents a severe problem. Naturally, it will find its place also as a general limiter or loudness enhancer. However the choice of time constants (as opposed to attack and release times) in the hf section makes this a particularly useful unit.
Overall, both the standard of construction and the measured and subjective audio performance were excellent and this device is to be thoroughly recommended.
Hugh Ford
Sons of Super Red
SRM Series
TANNOY
Our M 1000 Super Red is possibly the best Professional Monitor available; but we admit there is one drawback. Mobile it ain't! So for all of you with neither the space, nor the muscles, we developed the SRM Series.-smaller, but with the same sound characteristics.
Why work with inferior speakers? The advantage of the World's Finest Monitoring System can now be yours, anywhere!
TANNOY PRODUCTS LTD.
77/79 High Street, Watford, Herts. WD1 2DT
Telephone: Watford (0923) 48868
The Name for Loudspeakers
**ADR Gemini Easyrider**
**MANUFACTURER'S SPECIFICATION**
- **Frequency response:** +0 dB, –1 dB, 20Hz to 25kHz at threshold reference 1kHz.
- **Noise:** better than –82dB referenced to limit level. Measured band limited 25Hz to 25kHz.
- **Distortion:** at 1kHz 0.15% referenced to +12dBm (maximum limit level). Measured with 3s release time at 1kHz 0dB gain reduction.
- **Clip level:** output stage +18dBm into 600Ω. Input stage +18dBm.
- **Crosstalk:** at 10kHz –77dB referred to +12dBu on opposite channel.
- **Makeup gain:** 33dB.
- **Output (pre-set):** calibrated –3dBm to +12dBu reference limit threshold.
- **Stereo matching (worst case):** ±1dB channel to channel on pre-set output setting.
- **Input impedance:** >10kΩ at 1kHz.
- **Output impedance:** <1Ω at 1kHz.
- **Thresholds/ratios:** switched 1:1 variable 1.5:1 to 20:1 thresholds automatically adjusted.
- **Limiting:** fast –50ms for 10dB over limit threshold. Slow –5ms for 10dB over limit threshold. Dynamic attack changes in relation to level.
- **Release:** fast –15ms on 10dB over limit threshold. Slow –45ms on 10dB over limit threshold. Automatic time –5s.
- **Input/output/earthing:** via 12-way barrier strip.
- **Side chain access:** via 3-pole jack socket.
- **Metering:** calibrated 20-segment LED bargraph.
- **Power requirements:** 230V ac ±7%. 115V ac ±10%. 50/60Hz selectable.
- **Power consumption:** 15W.
- **Size:** standard rack 1 ¾ x 19 x 7 ½in. (44.45 x 482.6 x 190.5mm)
- **Weight:** 5.5lb (2.5kg).
- **Price:** £195.
Manufacturer: Audio and Design (Recording) Ltd, North Street, Reading, Berks RG1 4DA, UK.
---
The Audio and Design *Gemini Easyrider* is a twin-channel compressor/limiter with the ability to link the control signals of the two channels for stereo use.
Designed for mounting into a standard 19in rack and one rack unit high, there is a long, thin front panel to the right of which is the Shadow power on/off switch and the twin horizontal LED display for showing compression. This display increments in 1dB steps with a total range of 20dB calibrated at 5, 10, 15 and 20dB gain reduction.
At the centre of the remainder of the front panel are three Shadow locking pushbutton switches the centre one of which couples the two channels' control signals for stereo operation with the other two switching their adjacent channels in or out of circuit. This is achieved by directly connecting the unbalanced input and output—a practice which I, personally, dislike as it can upset loading although this can save the situation if the unit goes faulty.
The remaining front panel controls comprise four knobs for each channel and a recessed screwdriver operated output level control for each channel. The left hand black knobs are input gain controls with arbitrary calibrations from 0 to 10. There is next the blue compression ratio knob which controls a switched potentiometer. In the full anticlockwise position the compression ratio is switched to 1:1 whilst in the maximum clockwise position the unit acts as a limiter with intermediate compression ratio calibration points at 2:1; 3:1; 5:1 and 8:1. Two further knobs for each channel coloured red and green control the attack time and the release time respectively with simple calibrations of 'F', 'M' and 'S' for fast, medium and slow.
Turning to the rear of the unit, power is applied via a standard IEC socket with the nearby voltage selector switch and fuse being clearly identified in rating.
The audio connections are via a 12-way barrier strip with the individual inputs and outputs each occupying two terminals for their unbalanced connections. The complete electronics are isolated both from the chassis and from the power earth with the remaining four positions of the barrier strip giving access to the chassis ground, the power earth and two positions for the signal ground. These features are clearly identified as are other rear panel features.
Finally, at the rear of the unit there are two 3-pole ¼in jack sockets which give access to the side chains of the two channels.
The standard of finish and construction was very good, with the complete electronics being mounted on one double-sided PCB. All components were mounted on the PCB with the only hand wiring being the mains supply and the leads to the toroidal power transformer. With one unfortunate exception component identifications were excellent, however, Murphy's law had worked such that the identifications of the value for an onboard fuse partially ended up under the fuse clips!
Whilst the mains power wiring was protected by boots and sleeves as appropriate, I do have to complain about the voltage selector switch which not only lacked insulation on two linked contacts but also was of a type which would not meet British safety standards due to the small clearance between live parts and the chassis.
**Inputs and outputs**
It was found that the unbalanced inputs could handle in excess of +22dBm without clipping, the input impedance varying with the input gain setting. At intermediate gain settings the input impedance was 10.8kΩ which is satisfactory, it however fell to 6.92kΩ at maximum gain. The unbalanced outputs were found to have a very low output impedance with a drive capability of +19dBm loaded into 600Ω or +19.5dB reference 0.775V.
The maximum available gain from the input to the output was found to be 34dB at 1kHz with the screwdriver operated output level control adjusting the output whilst the unit was limiting from –12.5dBm to +11dBm.
**Frequency response and noise**
The overall frequency response without the unit compressing or limiting is shown in Fig 1 demonstrating the unit to be within ±0.5dB from 20Hz to 100kHz and investigating other conditions did not show any response deviations in excess of this.
Noise at the output depended upon the gain setting for gains above 20dB as shown in Table 1.
THE DAWN OF AN AMPLIFIER
Before we start to build our amplifiers we test and select every single component from the 1% tolerance metal film resistors to the drilling of the glasepoxy PC boards. The above picture shows transfer curves of an FM 17418 transistor displayed on a high-power curve tracer, a test that is performed at different voltages, currents, loads and temperatures. One of the four different tests that each and every of the 46 transistors used in an FM ACOUSTICS power amplifier has to pass. Very time consuming, very expensive and very safe. No other manufacturer is able to make this kind of effort, an effort that pays off: superb natural sound reproduction, no unit to unit variation, extreme stability and unmatched long-term reliability under worst case conditions. Just one of the reasons why an FM ACOUSTICS is more expensive initially but in the long run is more cost effective and therefore better value than any other power amplifier.
FM ACOUSTICS. There is no alternative.
Distributors:
ASEAN: LULLA MOTION SINGAPORE, 2528030
AUSTRALIA: DURATONE PHILLIP ACT, 821388
BELGIUM: CD TRONICS EDEGEM, 031/402299
DENMARK: SC SOUND TAASTRUP, 02/998877
FRANCE: SYMPHONIE DIFFUSION PARIS, 3360434
GREECE: LYRIC ATHENS, 01/606187
HONG KONG: JOLLY SOUND LTD, 6-752246
ITALY: ROJE MILAN, 02/4154141
NETHERLANDS: AUDICOM WADDINXVEEN, 01828/6931
NORWAY: PRO-TECHNIC OSLO, 02/460554
SWEDEN: LEAB STOCKHOLM, 08/506039
U.K.: FM ACOUSTICS WEYMOUTH, 0305/784049
All other countries:
FM ACOUSTICS LTD
TIEFENHOFSTRASSE 17
CH-8820 WÄDENSWIL/SWITZERLAND
PHONE: 01/7806444
TELEX: 56058 telag/fma
The Professional Choice*
Rogers
BRITISH HIGH FIDELITY
4/14 Barmeston Road, London SE6 3BN.
Tel: 01-697 8511. Telex: 893980 SWISST.
*Designed by the BBC and manufactured under licence by Rogers in the strictest of quality control environments, the LS5/8 loudspeaker is the choice of the real professional. Worldwide experience and the dedication to faithful sound reproduction that designer and maker share are an unwritten guarantee of excellence in a business where to be without excellence is to be just another studio. Full technical details, professional price list and review reprints are available upon request.
LS5/8 BBC-licensed Studio Monitoring Loudspeaker (Active)
PM510 Studio Monitoring Loudspeaker (Passive) Studio 1 Loudspeaker
LS3/5A BBC-licensed Miniature Monitoring Loudspeaker
Having regard to the output drive capability of +19dBm this noise performance is more than adequate and the comprehensive grounding arrangements lead to a complete absence of power line hum or its harmonics.
**Distortion**
Both harmonic distortion and intermodulation distortion to the CCIF method using two swept tones separated by 70Hz were investigated under various conditions.
Harmonic distortion in terms of the second and third harmonic at the onset of compression are shown in Fig 2 from which it is seen that the third harmonic is at a very low level with the second harmonic predominating as is usual in compressor type devices.
Increasing the input level to attain 10dB compression with a 5:1 ratio with a fast attack time and slow release time, produced Fig 3 for the harmonic distortion, showing some increase over the non-compressing state as is to be expected, but reasonable distortion levels.
Twin tone CCIF intermodulation distortion under the same conditions is shown in Fig 4 demonstrating that the third order product predominates at a relatively constant 0.2%.
**Attack and release times**
Checking the performance of the attack and release mechanisms by means of tonebursts did not reveal any 'nasties', with the result of stupid control settings being that which should be expected.
The range of the attack time control was found
---
**Simply creative**
Signal processing is essential to provide the greatest flexibility in any audio system. Accessit is a constantly growing range of studio quality products designed to be both helpful and creative in pro-audio applications.
- **Compressor £31.97** variable attack and release times give scope for a wide range of effects. Input from 40dBm into 3kohms. Output from 0dBm at 600ohms. Noise less than 60dBm. Attack from 0.5mS to 5mS. Release from 0.15 to 25. Ratio approx 6:1
- **Equaliser £31.97** uses the latest parametric design over two bands, enabling the boost and cut circuits to be tuned to any spot frequency. Input 0dBm at 10kohms. Output +6dB into 600ohms. T.H.D. less than 0.1%. Bass + or –16dBm at 50/300Hz. Treble + or –16dB at 3/14kHz. Noise less than –80dBm.
- **Reverberation £33.12** a circuit made specifically for flexible topologies. The circuitry ensures a natural sound. Input from –30dBm at 33kohms. Output from 0dBm into 600ohms. Decay 3.5 seconds. Noise less than –58dBm. Mix Continuously variable E.Q. Bass/treble balance.
- **Booster £33.12** unique switching systems give the option of driving four separate line drivers or as a distribution amplifier, with balanced or unbalanced outputs. Input 0dBm or –10dBm switched at 47kohm single, 12kohm multi. Output 0dBm unbalanced, +6dBm balanced to drive down to 600ohms. T.H.D. less than 0.1%. Noise less than –80dBm.
- **Compadmer £34.27** up to 30dB of noise reduction for both stereo and multitrack recording is possible – simultaneous operation. Input/Output from –10dBm to +4dBm. Dynamic Range up to 100dB. Ratio 2:1.
- **Power Supply £28.52** the optional mains supply is housed in a standard ACCESSIT case and has independent outputs for up to four processors. Input 240 Volts 50/60Hz. Output 24V DC 200mA. Ground Negative reference. Ripple less than 200uV. Regulated Power Line type. Size 142 x 132 x 43mm.
- **RackKit £19.55** Three Accessit processors may be mounted to a standard 19" rack to create dedicated units.
All prices shown are inclusive of post, packing and VAT. Order directly using your Visa or Access Card.
Write or call for the Accessit Data folder which includes spec. cards, application notes, review reprints and details of the 21 day trial offer.
Accessit
8 East Barnet Road, New Barnet, Herts.
Tel: 01-440 9221.
The RA200 Series has established itself as the most versatile approach to sound processing. Hardly surprising since it's the fastest growing and most comprehensive modular system in the world.
Modules to date include:
- RA201 Noise Gate
- RA202 De-esser
- RA203 Compressor-Limiter
- RA204 Parametric Equaliser
- RA205 ADT/Delay
- RA206 Oscillator
- RA207 LED Meter
- RA208 Modulator
- RA209 Mixer
- RA210 RIAA Preamp.
- RA211 Timer
- RA212 Mic/Line Amp.
- RA213 Mono MDA
- RA214 Stereo MDA
- RA200J Connector
For further information contact: Rebis Audio, Kinver Street, Stourbridge, West Midlands DY8 5AB. Tel: 3394 71865.
Belgium; S.E.D., Brussels 522 706-4. Netherlands; SAP, Amsterdam 797055. Japan; Continental Far East, Tokyo, Tlx 7222498. Spain; Mike Jewellyn Jones, Madrid 637 0752. U.S.A.; Kinko Electronics, Inc., Farmingdale, NY 11701 3660. Sweden; L & T, Gatan, Gatanhamn 10 70116. France; Rebis Electronique, Paris 67942 201.
to be between 1ms and 200µs with the medium setting corresponding to 400µs—the fast setting being faster than the manufacturer’s specification would suggest.
The performance of the release time control was such that the full measured range was from 4s to 15ms with the mid point medium setting corresponding to a release time of 200ms, just to specification.
**Compression characteristics**
Checking the actual amount of compression versus the indicated compression on the LED displays showed the displays to be adequately accurate with the worst recorded error being 1dB which is the resolution of the displays. Under static conditions, measurement of the matching between the two channels (stereo matching) over the full 20dB available compression range gave a worst recorded mismatch of only ±0.4dB which is a creditable performance.
The recovery characteristics from 10dB of compression with slow attack and release and with fast attack and release are shown in Fig 5.
The input/output characteristics for three settings of the ratio control are shown in Fig 6. The top curve depicts the ‘limit’ characteristic which naturally has maximum compression with the middle curve showing the 5:1 condition and the lower curve the 1:1 condition just before the operation of the switch on the ratio potentiometer.
**Other matters**
Crosstalk between the two channels with one channel in 10dB compression is shown in Fig 7 which confirms a more than adequate channel isolation at audio frequencies.
A useful feature of the unit is the facility to break into the compressor’s side chain—that is the feedback connection from the unit’s output to the compressing amplifier. Insertion of an equaliser in this path can provide selective compression, such as de-essing if a highpass filter is inserted, or the reduction of rumble if a lowpass filter is inserted.
The required operating levels for this connection via a tip, ring and sleeve jack are just short of 0dBm for 20dB compression. It follows that any normal equalisers or other frequency modifying equipment should be compatible.
**Summary**
The Audio and Design *Gemini Easyrider* compressor/limiter is a very well made piece of equipment which has clearly been designed with ease of servicing in mind. Access to all components is very easy and identification of components, controls and other features is excellent.
Other than the usual precautions regarding attack and release times when using a compressor the only danger with this unit was clipping when in the 1:1 mode when the output was not up to driving the high level which can be accepted by the inputs.
In other respects the performance was good with excellent stereo tracking when in the coupled mode. Perhaps this compressor/limiter does not have the dramatic range of some units, but, neither does it have the traps to fall into.
Overall a well made and effective unit.
*Hugh Ford*
AKG – the ideal partner for professionals
AKG is an Austrian company engaged in basic research, development, manufacture and marketing of sophisticated and mostly professional audio products.
Sheffield Lab is an American company engaged in direct disc recording and acquired an excellent reputation in this field. Consequently, Mr. Doug Sax, the President of Sheffield Lab, made the following statement:
“For the demanding standards of our custom microphone electronics, Sheffield Lab uses microphone capsules manufactured by AKG. On many of our recordings, the professional microphone of choice is also AKG”.
AKG Acoustics Limited
191 The Vale, London W3 7QS.
TF: 01-749 2042 (5 lines) TX: 289 38 (akgmc g)
AKG Akustische u. Kino-Geräte Ges. m.b.H.
Brunnildengasse 1, A-1150 Wien, Austria
TF: (43 222) 92 16 47, TX: 131839 akgac a
AKG Acoustics Inc.
77 Selleck St., Stamford
Connecticut 06902 U.S.A.
TF: (203) 348 2121 TX: 84451121
THE UREI Model 1178 dual peak limiter is a stereo version of the UREI model 1176 unit and may be used either in the stereo mode with the two channels tracking or as two separate channels with a limited amount of individual control.
To the left of the typical UREI brushed alloy front panel are four potentiometers for adjusting the input and output gains of the two channels, all controls being of the full range configuration permitting the inputs or outputs to be fully shut.
A miniature toggle switch allows separate or tracking stereo operation by linking or disconnecting the dc control lines of the two channels with these lines being capable of being fed to the meters which will indicate instantaneous gain reduction.
An additional two potentiometers, one equipped with a switch, control the attack and release times with the controls being ganged controls for the two channels. When the switched attack time control is positioned in the "off" position the gain control elements are disconnected such that no gain reduction can occur.
Proceeding across the front panel to the right, before the two illuminated VU meters are a vertical array of four interlocked pushbutton switches. These select the compression ratio above the gain reduction threshold: the choice of compression ratios being 20:1, 12:1, 8:1 or 4:1.
A similar set of pushbuttons to the right of the meters select the function of the two meters which may indicate either the instantaneous compression (gain reduction) or the output level. In the latter instance there is a choice of either VU or peak characteristics in addition to a switched choice of either +4dB or +8dB nominal output level.
The final front panel feature of this unit, which is designed for 19in rack mounting, is the power on/off toggle switch and a nearby indicator LED.
To the rear of the unit is the IEC-type power connector with a properly identified imperial size power fuse and a 2-position, screwdriver operated, power line voltage switch. Two 5-way barrier strips provide the audio inputs and outputs for the two channels, the inputs being electronically balanced and the outputs floating transformer coupled connections.
Within the unit all electronic components, except the power transformer and the front panel controls, are supported on a single good quality PCB with clear component identifications for servicing.
All integrated circuits are socketed and the instruction manual contains a clear circuit diagram together with alignment instructions.
The wiring from the PCB to the front panel controls was generally tidy with a sensible standard of soldering. Also the mains voltage wiring was generally insulated, but lacked protective insulation at the front panel on/off switch and the mains voltage selector. The latter was of a type which has insufficient clearance between live parts and parts connected to the chassis, to meet British safety standards.
In other respects the standard of both mechanical and electrical construction was good and the overall presentation clear and uncluttered with good legibility of control positions and input and output connections. Furthermore the manual supplied gave good alignment instructions with some description of the normal usage of compressor/limiters.
**Inputs and outputs**
The electronically balanced inputs were found to
Now...a limiter/compressor and ducker that understands MUSIC
Strong words? We’re prepared to back them up. Just listen to GAIN BRAIN II and you’ll agree it’s the only real advancement in dynamics control in nearly a decade.
GAIN BRAIN II is fundamentally different from any other limiter/compressor device, including our own Allison GAIN BRAIN I. The others struggle along with Peak and RMS detection methods that squash and flatten the life out of music, as if it were a laboratory test signal. GAIN BRAIN II treats music waveforms with greater respect and understanding. It does this by means of exclusive circuitry: Linear Integration Detection, Log Domain Processing, Peak Reversion Detector Correction, and the most transparent VCA ever created by man—namely our own EGC 101.
Sure, these are new words; we invented them. Just like we invented the technology that goes with them. Audibly effective technology that allows GAIN BRAIN II to solve the great limiter paradox: tight control vs. musical integrity.
GAIN BRAIN II can give you the flattest VU meter output of any limiter/compressor device in existence, while maintaining an unheard-of degree of integrity to the subtle dynamics of music and speech. And it’s a ducker, too.
And the GAIN BRAIN II phenomenon is just the beginning. Get your copy of our GAIN BRAIN II literature package. Once you’ve read it, you’ll understand the full implications of our new technology. Better yet, get yourself a GAIN BRAIN II. Your ears will tell you all you need to know.
KEPEX II Our original KEPEX® is credited as the most successful signal processing device of the 70’s. We’re flattered by the imitators who widely advertise claims that they have “improved” on our design.
One fact remains: More studios buy KEPEX than all of the imitations combined, yet we seldom advertise the equipment. Does that tell you anything?
There does, however, exist a genuine “improved KEPEX”. It’s not a copy though, it’s an original in its own right. We call it KEPEX II® New technology from the ground up. New capabilities for the 80’s. new controls, new functions, and best of all, dramatic new levels of audio transparency thanks to our EGC 101 VCA.
Today, more people buy KEPEX II than all of the others. Find out why this is true.
F.W.O. Bauch Limited
49 Theobald Street, Boreham Wood, Hertfordshire WD6 4RZ
Telephone 01-953 0091, Telex 27502
PROLINE PROFESSIONAL recorders
In action with the professionals everywhere –
The Town House London
Radio Clyde Scotland
Radio Trent Nottingham
LBC London
IRN Parliamentary Studio
Swansea Sound Wales
Speak to Tony Costello or John Robinson about them at:
319 Trinity Road Wandsworth
London SW18 3SL
Telephone 01-874 9054
Cables Leemag London SW18
Telex 923455 Wembley
Also at: PICCADILLY RADIO, METRO RADIO, RADIO TEES
RADIO FORTH, THAMES T.V.
LEEVERS-RICH
EQUIPMENT LIMITED
the table represents a satisfactory dynamic range.
Checking the output for mains hum and its harmonics, or any other unwanted signals, showed that no problems existed in this respect.
**Distortion**
Measurement of the second and third harmonic products without any compression or limiting in action showed that the unit introduced negligible harmonic distortion at up to +10dBm output at maximum gain, the harmonics being at less than -80dB (0.01%). As the level was increased towards +20dBm output the third harmonic rose to -70dB (0.03%) with the second and less irritating harmonic rising to -64dB (0.06%).
Investigations into the distortion at other I/O levels at first produced inconsistent results with the review sample until it was discovered that with or without compression the gain control preamplifier produced a high degree of distortion when operating at higher levels. With levels that would give 10dB compression this circuit element could produce 1% second harmonic and in the order of 0.5% third harmonic. It was eventually discovered that in both channels the linearity control was on its end stop—some poor factory procedures release a product adjusted like this!
After very careful adjustment of the best channel the harmonic distortion at 5dB compression with maximum release time and attack time settings was as shown in Fig 3, but the distortion rose at higher compressions.
Intermodulation distortion to the CCIF twotone method using tones separated by 70Hz as measured under the above conditions was constant at just above 0.1% within the audio frequency band and changed little with operating level—a respectable performance.
**Limiters**
The I/O curves for the four different compression ratios are shown in Fig 4, which is generally in agreement with the manufacturer’s data. However, the threshold for the onset of compression for the 12:1 and 8:1 compression ratios are rather close together.
Measurement of the attack and release times for full recovery from 10dB compression showed that the attack time could be varied from less than 10µs up to 4ms with the mid control setting corresponding to 2ms. Similarly the release time could be varied from 80ms to 1.4s with a mid point setting of 700ms.
**Editor's note:** UREI have informed us that points raised in this review have been noted and relevant modifications will be made to 1178 Limiters manufactured in the future.
**Summary**
Subject to the units being very carefully aligned for minimum distortion, this is a good and versatile limiter with a very wide range of attack and release times which, if used sensibly, can be very useful without introducing any unwanted side effects.
The metering was very sensible, with the peak indicating facility being most useful. Perhaps it’s a shame this peak reading facility does not extend to the indicated gain reduction?
The standard of construction and the ease of maintenance was excellent and it is felt that a few minor modifications will make this an excellent product.
*Hugh Ford*
At Trident, we believe in giving you exactly what you want, not simply supplying whichever console comes nearest to your present requirements.
That is why we have developed our latest console — the Series 80.
Being fully modular, it can be tailored from 16-track to its full mainframe capacity of 24-track at any time. And when you want to go automated, that’s simple as well.
So you really can tailor your facilities as and when you need to.
The quality, of course, is up to Trident’s usual high standard, with fully modular patchbay (512 patchpoints), +24dBm output capability and solid state switching, all based on designs proven reliable with the superb TSM range.
But the best feature of all is its highly competitive price: up to £22,000 depending upon format, with a financial package deal available.
Contact Ken Bray or Steve Gunn who’ll be pleased to arrange a free demonstration for you.
Trident Audio Developments Ltd.
Shepperton Studio Centre,
Squires Bridge Road,
Shepperton, Middlesex,
England.
Tel: Chertsey (09328) 60241
Telex: 8813962 Trimix G
TAILORED TO YOUR POCKET
Generation-1
The nearest you can get to live sound.
**Generation-1**
A brand new name. A brand new range of tapes—and a brand new standard of high quality reproduction for the professional sound engineer.
**Generation-1**
Everything from ¼" to 2", from a solo voice to a symphony orchestra—whatever your application, Generation-1 offers the most faithful and realistic sound reproduction you can get.
**Generation-1**
High output, low noise—and an exceptional print characteristic.
**Generation-1**
Backed up by fast delivery and customer support second to none—and the technology for which Racal is famous.
For full details of the new Generation-1 range, send back the coupon today—and find out about the tape that’s made for professionals by professionals.
Please send me full details of Generation-1
Name__________________________________________
Position_______________________________________
Company_______________________________________
Address_______________________________________
Telephone_____________________________________
Racal-Zonal Limited, Holmethorpe Avenue, Redhill, Surrey RH1 2NX England. Tel: (0737) 67171.
Racal-Zonal Limited, Holmethorpe Avenue, Redhill, Surrey RH1 2NX England. Tel: (0737) 67171 Telex: 946520
GENERATION-1 RACAL
THE 1 indispensable RELIC
OF THE ANALOGUE AGE
AMEK
AUSTRALIA: AUDIO CONTROLS, SYDNEY (2) 922 1777 FRANCE: CYBORG, PARIS (11) 845 9448
GERMANY: JEFF NECKAU, B.F.E. MAINZ (06131) 46811 ITALY: AUDIO PRODUCTS INTERNATIONAL, MILAN (2) 236 6628
SOUTH AFRICA: ELTRON, JOHANNESBURG (111) 23 0018
USA: BRIAN CORNFIELD, EVERYTHING AUDIO, LA (213) 995 4175 MARTIN AUDIO, NEW YORK (212) 541 8900
WESTBROOK AUDIO, DALLAS, TEXAS FLANNER'S PRO AUDIO, MILWAUKEE
JAPAN: CONTINENTAL FAR EAST INC., TOKYO (03) 582 8451
AMEK SYSTEMS AND CONTROLS LIMITED/TOTAL AUDIO CONCEPTS LTD, ISLINGTON MILL, JAMES ST,
SALFORD M3 5HW, ENGLAND (061) 834 6747 TELEX 668127 NICK FRANKS/GRAHAM LANGLEY
www.americanradiohistory.com
ANNOUNCEMENT
IF YOU'RE HAVING TROUBLE GETTING YOUR HANDS ON A TEAC/TASCAM PORTASTUDIO CALL ROBIN GLADSTONE ON SLOUGH (0753) 76911. HE'LL BE ABLE TO HELP YOU GET ONE.
THE REASON FOR THE SHORTAGE IS QUITE SIMPLY THAT EVERY PORTASTUDIO THAT COMES INTO THE COUNTRY IS IMMEDIATELY SNAPPED UP.
(Incidently, for those who don't know what a Portastudio is, it's a four track, cassette based, tape recorder with built in mixer and equalisation facilities. You can overdub, bounce, and in general produce good quality master demos. It costs around six hundred quid. And if you send off this coupon we'll send you a brochure containing a complete spec.)
Name ____________________________
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Postcode ____________________________
TEAC
TASCAM SERIES
HARMAN UK, MILL STREET, SLOUGH, BERKS SL2 5DD.
Now-highest quality copying at low cost
OTARI DP4050 C2 cassette duplicator
The first low cost copier to give you reliability and performance to professional standards. No other copier can match its precision engineering, and it is the only budget copier suitable for music programmes.
* One master, 2 slaves.
* Add on units available up to 11 slaves.
* Automatic rewind.
* Ferrite heads.
* 16:1 duplicating ratio.
* Modular slave decks with DC servo motors.
Also available: Reel to cassette version with 6 slaves.
OTARI from ITA
1-7 Harwood Avenue, Marylebone Road, London NW1 Tel: 01-724 2497 Telex: 21879
HISS-OFF
USING BEL NOISE REDUCTION
Up to 30db of tape and machine noise is removed from your tapes when you use the BEL Noise Reduction System. ● Simultaneous encode/decode
● No switching ● No Line up required
● Capable of decoding DBX tapes
● Available in 8 track and stereo versions
BEL. Agents
ITALY
Professional Equipment, 20135, Milano
Via Antossi, 6, Italy. Tel: 02 8353514/
02 581650
HOLLAND
Professional Audio Centre (P.A.C.)
Strijpsestraat 94, 5616 GS, Eindhoven,
Holland. Tel: 040 520662
W. GERMANY
Peter Struven GMBH, Bargweg 45b,
2000 Norddestedt, Hamburg,
W. Germany. Tel: 040 524 5151
DENMARK
Audiopower, Smaaland 1,2300
Copenhagen S, Denmark. Tel: 571223
SWEDEN
Stage and Studio AB, S:T Olofsgatan 35,
S-41728 Gothenburg, Sweden. Tel: 031
224090
U.K.
S.E.S. 100 Hamilton Road,
London N.W.11 Tel: 01-458 9133
PLAN AUDIO
9 South Street, Epsom, Surrey
Tel: Epsom 41822
MUSIC LABORATORY
72-74 Eversholt Street, London N.W.1
Tel: 01-388 5392
HATS-OFF TO HORIZON
Horizon Studios, Coventry, the studio that produces the Two-Tone hits, was one of the first to install the BEL Noise Reduction System, producing hits for bands like Selecta, Bad Manners, Modetts and Reluctant Stereotypes.
Don Larking
Audio Sales
50 CHEAPSIDE, LUTON, BEDS.
Tel: 0582 27195/26693
Telex No. 825488
A range of tape recorders designed for demanding users (typical wow and flutter .03% CCIR at 15 i.p.s.), who can upgrade their equipment as their needs evolve through a wide range of accessories and options such as: remote control panel, varispeed unit with ±13 semi-tone range, tape marker, scissors, NAB hub adaptors, monitoring loudspeaker...
When ordering your recorder, you may select: 2 of the 4 capstan speeds, the tape deck height, your usual equalization standard (CCIR/NAB), the head assembly corresponding to your type of operation (mono / stereo / two-track, with full or separate overlapping track erasure) etc.
...And you can change your mind later by upgrading your configuration at your convenience for a minimum cost.
F 462: an outstanding and flexible range of master recorders.
Give us a call. We'll let you know how and where you can try this product (Why not in your own studio?).
You need an equalizer for:
* Equalizing for room change.
* Equalization of records.
* Equalizing tapes.
* Changing overall balance.
* Hearing deficiencies.
* Sound reinforcement.
* Changing the 'colour' of speaker systems.
* Special effects.
* P.A. feedback elimination.
Audition a Soundcraftsmen today!
**Soundcraftsmen**
**REW PROFESSIONAL AUDIO**
Sole UK Distributor:
REW Professional Audio, 114-116 Charing Cross Road, London WC2. Tel: 01-836 2372/7851.
Agents: Buzz Music, Widemarsh Street, Hereford. Tel: Hereford (0432) 51831.
**RP 2201-R**
Dual 10-band graphic utilizing IC equalizing technology. Only through this innovative circuitry may a true + 12dB cut or boost be obtained with an incredible 105dB signal to noise ratio. Zero gain points and a 19" rack mounting are featured on this model for the cost conscious audiophile.
£150.00 + VAT
**RP 2215-R**
The Soundcraftsmen RP2215-R is one of the finest graphic equalizers available today providing superb performance at low cost. 114dB signal to noise — 0.01% distortion = 15dB cut or lift, LED intensity display, accurate line up — 19" rack mount. A must for the perfectionist.
£165.00 + VAT
**TG 3044**
One third octave equalization has long been favored by professional sound engineers as being the absolute method of achieving balanced frequency conditions in problem listening areas. Up until now, the one third octave unit was either too expensive or too over complicated. The TG 3044 is divided into one third and alternate one third segments. The advantage of this frequency division is two fold. First, there are less often used controls in the high end the unit becomes less complicated to use yet precise and quick set up is possible. Second and most important, this equalizer offers facilities and specifications not available from other manufacturers at any price.
£275.00 + VAT
---
**Now YOU can have access to one of the finest facilities in the country.**
THORN EMI Central Research Laboratories are now able to offer their audio acoustics measurement and calibration laboratory for hire by professional users. This state-of-the-art facility is up-to-date in every way and includes anechoic chamber, low frequency duct, variable geometry listening room and a wide range of instrumentation. In addition to technical back-up a consultancy service staffed by engineers with great experience is available with special skills in architectural acoustic design, transducer development and environmental noise and vibration measurement.
All enquiries to: 01-573 3888 Ext 2782
---
**APRS 81**
JUNE 10, 11, 12
EXHIBITION OF PROFESSIONAL RECORDING EQUIPMENT
KENSINGTON EXHIBITION CENTRE
LONDON
**NEW VENUE**
KENSINGTON HIGH STREET
THORN EMI CENTRAL RESEARCH LABORATORIES
APRS, 23 CHESTNUT AVENUE, CHORLEYWOOD, HERTS, ENGLAND
SAM82
(ac and dc operated)
NEW!
SAM 42
(dc operated)
SAM 82 and SAM 42
- Stable design
- Handy size
- Acceptable weight to carry and to lift
- Clearly arranged and easily operated controls
- Broadcast quality
Made in Sweden by
SATT Electronics
P.O. Box 32006
S-126 11 Stockholm/Sweden
Phone: +46 (8) 81 01 00 Telex: 10884 SATTEL S
SAM 82/SAM 42 will be shown at
68th CONVENTION
1981 MARCH 17-20
HAMBURG GERMANY
SAM 42
- Stereo line output
- Talk-back line output
- Built-in talk-back microphone
- Two PPM instruments
- Phantom powering 48 V
- T-feed (optional)
Worldwide marketed by:
Cine Madeco S.A.
2, Faubourg du Lac
CH-2000 NEUCHATEL
Switzerland
Distributed in Italy by:
Roje Telecomunicazioni S.A.
Via Sant'Anatalone 15
I-20147 MILANO
Distributed in West Germany by:
BFE (css)
Postfach 230080
D-6500 MAINZ 1
Distributed in Japan by:
Hoei Sangyo Co. Ltd
Kobunacho 12—15
Nihonbashi, Chuo-ku
TOKYO 103
I am interested in SAM 82/SAM 42
Company ____________________________________________
Name _______________________________________________
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Country ______________________________________________
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The Ultimate Equaliser
- 2 Stereo bands of 30 faders with centre click stops giving 20db of control
- Entire audio spectrum from 21hz to 21khz in 1/2 octaves
- Up to 20db of gain
- High and Low pass filter on end faders for subsonic and supersonic rejection
- ± 10db of boost and cut, or 20db 'all cut' and 'all boost' with flat response
COURT ACOUSTICS LTD
35 Britannia Row, London N18QH 01-359 0956 Telex 268279 Attn: BRJTRO G
we're moving in all the right directions
to even faster service
S.E.S. has a reputation for fast and personal service in supplying the right equipment for studio installations. Now with improved premises and facilities our supply and installation operations will be even more efficient — and that goes for our 'same day' service too. We hold stock from over 25 leading manufacturers plus a full range of accessories.
Our stocks include AKG, Alice, Allen & Heath, Ashly, Auratones, Beyer, Brenell, Formula Sound, Furman, JBL, Keith Monks, MXR, Neal, Quad, Revox, Sestcom, Sonifex, Speakon, Tannoy, Tascam, Teac, Technics and Uher.
We can therefore select the right 'package' for your needs, without bias.
Please telephone for our brochure and price list.
to larger premises
From July 1st 1980 our new premises became operational. We're not moving far but for the better.
We'll have more room, better facilities, larger and more comprehensive stocks. You are welcome to call at any time and test equipment in our demonstration studio.
Our new address: 100 Hamilton Road, London NW11
Telephone: 01-458 9133 Telex: 87515 WISCO G
Studio Equipment Services Limited
100 Hamilton Road, London NW11
Telephone: 01-458 9133 Telex: 87515 WISCO G
THE GREAT BRITISH SPRING
Spring Reverbs are notorious for the odd sounds that they tend to produce. Many manufacturers have tried to remedy this with limiters, equalisers and the like. In the design of 'The Great British Spring' we took a different approach. We started out with a custom spring unit that sounds good without any fancy electronics. The unit simply has a variable line input and a stereo output.
The six spring paths produce a natural sounding reverberation that is full at the low end and sparkling on the highs. But don't take our word for it. Fifty pence brings you our demo cassette, or drop in and hear it live.
Exclusively from,
TURNKEY, 8 East Barnet Rd.
New Barnet, Herts. 01 440 9221.
REW, 114 Charing Cross Rd.
London WC2. 01 836 2372.
Studio Equipment Services,
The Studio Shop, Oxgate Farm,
Coles Green Rd. London NW2. 01 452 1980.
DEMO RECORD NOW AVAILABLE
The Total Package
If you are considering a complete multitrack installation, Lake Audio can offer you 8, 16 and 24 track at very competitive prices, for further details, call our sales office 8 track from around £30,000, 24 track from around £28,000
Mixers
Our range includes, Alice, AHB, Amek, APSI, HH, RSD, Studiomaster, Soundcraft, Trident & MCI.
Audio Processing
ADR, Allison, Aphex, AMS, dbx, Dolby, EMT, Furman, Klark Teknik, Kepex, Lexicon, Loft, MXR, Rebis, Roland, Statik & Tresham Audio.
Monitoring
Tannoy (unquestionably), JBL and of course Auratone, Beyer Sennheiser, Quad, HH, Tresham Audio & Turner.
Mics & Things
Mics by AKG, Beyer, Cottee Neuman, Shure & Sennheiser; Ampex tape (bulk purchase discount), leader tape – all colours, editing blocks, blades, splicing tape, demagnetisers, cleaning kits etc.
Mail Order
Our mail order dept. will process your order quickly and efficiently by computer.
Call now for your copy of "The Total Package" the Lake Audio guide to multitrack
Lake Audio
Studio design, consultancy, equipment, installation, service and excellent prices.
Lake Audio (Components) Ltd.
33 Church Street,
Rickmansworth
Hertfordshire WD3 1DH
Telephone: (092 37) 70488
Pretty, Perfect.
SYSTEM 1 & 2 MIXERS
By Rank Strand Sound
We know aesthetic design in a mixer is necessary, but not at the cost of buying facilities you may never use, or finding that there are vital controls missing.
Systems 1 & 2 mixers are modular in design, offering a variety of input and output combinations economically achieved by the selection of modules and mainframe.
That way you save money, and the beautiful styling comes free.
Rank Strand Sound, P.O. Box 54, Gt. West Road, Brentford, Middx. TW8 9HR Tel: 01 568 9222 Telex: 27976 Cables: Rankaudio Brentford
DON'T PANIC
Our new 'one-stop easy shopping' catalogue is now available with a substantially increased product range.
Ring for your copy now.
CANFORD AUDIO
"POSSIBLY THE MOST REMARKABLE CATALOGUE EVER WRITTEN" - Encyclopaedia Galactica
Webber Test Tapes are produced by studio engineers for studio engineers. They are manufactured in England on Europe's finest studio tape machines.
Each Test Tape is a master individually calibrated during its manufacture, the results being constantly monitored for uniformity and slitting accuracy.
The format and tone durations are of convenient length for speedy, day to day machine alignment.
| Tape Width (INS) | Tape Speed (MM/S) | EQ Fluxivity (NAB) (NWb/M) | EQ Fluxivity (CCIR) (NWb/M) |
|-----------------|------------------|---------------------------|---------------------------|
| ¼ | 6.3 | 7½ | 190 | 200 | 200 or 320 |
| | 15 | 380 | | 200 | 200 or 320 |
| ½ | 12.5 | 7½ | 190 | 200 | 200 or 320 |
| | 15 | 380 | | 200 | 200 or 320 |
| 1 | 25 | 7½ | 190 | 200 | 200 or 320 |
| | 15 | 380 | | 200 | 200 or 320 |
| | 30 | 760 | AES | 200 | |
| 2 | 50 | 15 | NAB | 200 | 200 or 320 |
| | 30 | 760 | AES | 200 | |
Other tape configurations are available by request. All Webber Test Tapes are recorded across the full width of the tape and each Test Tape is supplied with a Specification Chart and a line up procedure leaflet.
WORLD WIDE DISTRIBUTORS:
50 Cheapside, Luton, Beds.
Tel: 0582 27195 26693
Telex: 825488 DONLAR
Don Larking
Audio Sales
Classified Advertisements
Advertisements for this section must be pre-paid. The rate is 30p per word, minimum £6.00. Box Nos. £1.00 extra. Semi-display rates on application. Copy and remittance for advertisements in MAY issue must reach these offices by 11th MARCH addressed to: The Advertisement Manager, Studio Sound, Link House, Dingwall Avenue, Croydon CR9 2TA.
Note: Advertisement copy must be clearly printed in block capitals or typewritten. Replies to Box Nos. should be addressed to the Advertisement Manager, Studio Sound, Link House, Dingwall Avenue, Croydon CR9 2TA, and the Box No. quoted on the advertisement. The district after Box No. indicates its locality. SEX DISCRIMINATION ACT 1975: No job advertisement which indicates or can reasonably be understood as indicating an intention to discriminate on grounds of sex (e.g. by inviting applications only from males or only from females) may be accepted, unless (1) the job is for the purpose of a private householder or (2) it is in a business employing less than six persons or (3) it is otherwise excepted from the requirements of the Sex Discrimination Act. A statement must be made at the time the advertisement is placed saying which of the exceptions in the Act is considered to apply.
The attention of advertisers is drawn to "The Business Advertisements (Disclosure) Order 1977", which requires that, from 1st January 1978, all advertisements by persons who seek to sell goods in the course of business must make that fact clear. From the above date, consumers therefore should know whether an advertisement relates to a sale by a trader or a private seller.
SERVICES
PRESSINGS of classical quality (colour also), promptly manufactured from your master tapes. Sleeve printing, mailing service. Studio or mobile units for master recording. Specify requirements to Mike Bull, Sound News Studios, 18 Blenheim Road, London W4 1ES. Tel. 01-995 1661.
A QUALITY pressing and duplication service provided to studios, etc. Complete with cutting, processing, labels, sleeves, art work, inlays, etc. Minimum order for LPs—250, singles—500 cassettes—250. Example price for complete 46 minutes cassette to include mastering, printed label and library case, on Agfa tape—80p each plus VAT. For further details: SRT Record and Tapes Ltd., 01-446 3218.
STUDIO ACOUSTIC DESIGN
Acoustic Technology Limited
58 The Avenue
Southampton
SO1 2TA
Tel 0703 3/811
320 Dresser Tower
601 Jefferson
Houston, Texas. 77002
Tel 713/759-9768
Wollensak* Cassette Copiers
SALE & HIRE *SERVICING* *CASSETTE COPYING* RECORDING* P.A. EQUIPMENT
SUPERSCOPE CASSETTE PLAYERS BY MARANTZ
Christian Sound Services
AUTHORISED WOLLENSAK DISTRIBUTOR
43 Linden Gardens, Enfield, Middx
01-363 2337
GEMINI SOUND
SUPERB QUALITY CASSETTE COPYING SERVICE
PRECISION ONE-TO-ONE COPIES WITH PHASE-EQUALISATION FOR OPTIMUM TRANSIENT RESPONSE
Ring David Wright now on (0344) 54935 for further details, or write: Braeside, London Rd, Binfield, Bracknell, Berks RG12 5BS
SPEECH RECORDING
(VOICE-OVERS; LANGUAGES; AUDIO-VISUALS)
HIGH-SPEED CASSETTE COPYING
OPEN-REEL COPYING
(ANY SPEED—ALSO TO BROADCAST SPEC)
HIGH QUALITY BLANK CASSETTES
(C1 - C120)
LABEL & CARD PRINTING
SPEECH-PLUS RECORDINGS LTD
UNIT 32, NO19, PAGES WALK, LONDON, SE1 4SB.
01-231 0961
RING US...
FOR BLANK CASSETTES CASSETTE DUPLICATING
EMPTY SPOOLS WHITE TAPE BOXES
LEADER TAPE ½" TAPE IN ALL LENGTHS
BT CARTRIDGE BODIES SPLICING TAPE
½" NAB REFILLING SER. RAZOR BLADES
RING 01-399 2476/7
MEDIATAPE LIMITED
29A TOLWORTH PARK ROAD, SUBBTON, SURREY
AMPEX MAGNETIC TAPE STOCKISTS
WHY NOT PHONE US NOW FOR A QUOTE!
CAN YOU AFFORD NOT TO
TANNOY SERVICE
We have an extensive stock of Tannoy spares and exchange units and offer a prompt, efficient service including delivery and collection. We perform B & K analysis on all units to factory set specifications.
For all repairs, contact the factory accredited service agents: Elliott Bros. Ltd.
ELLIOTT BROS. (Audio Systems) Ltd.
9 Warren Street, London W1. Tel. 380-0511
Full details of endless Cassettes and Tape Duplicating.
SELECTA SOUND
Freepost, Romford RM2 1BR. Tel. 040-24 53424
CASSETTE COPYING IN THE MIDLANDS
Specialises in short run productions. Prices from 1p per minute inc. cassette and library case. Label and inlay card printing, plus services and supplies for film, disc and AV productions.
Write or phone for rate card to:
AUDICORD RECORDS
59 Mayfield Way, Barwell, Leics LE9 8BL
Tel: 0455-47298 (24 hr answering service)
HIGH SPEED CASSETTE COPYING IN MONO OR STEREO AT COMPETITIVE PRICES
Long or short runs.
Blank cassettes supplied in bulk.
A growing reputation for reliability.
MORARD SOUND PRODUCTIONS
THORNTON HEATH, SURREY
Telephone 01-689 7424
100C-60 cassettes beautifully copied in stereo
Just £59.50 (plus VAT)
We can copy from 100 to 1000 high quality cassettes on our high speed looped system, load them precisely into top-class shells. Price includes library case and all production work from your lim edited master. Any level of copying. NOW ALSO cassettes in SILVER or GOLD effect finish! Ring for price check.
STUDIO REPUBLIC
High Street, Pinner
01-868 5555
ZIPPER MOBILE RECORDING STUDIO
Get Taped Where You Play
16 TRACK Acoustically Designed
Control Room £9.50 per hr
JBL Monitors/Phasing/Flanging
Comp/Lim s/Nos. Gates/A.D.T.
Dolby A's Mastering.
Contact: Jeffrey Cox
01-435 3076 or
01-637 9977
TANDBERG UHER, REVOX NEAL-FERROGRAPH
For the best prices and Service
PHOTO ACOUSTICS LTD.,
255a St. Albans Road,
WATFORD.
Tel: 0923 32006
and at
58 High St., Newport Pagnell
Tel: 0908 610625
COUNTY RECORDING SERVICE
For super quality Master Discs, Demo Discs and Pressings. Scully lathe with our latest MKW 80 Stereo Cutting System.
Also half speed cutting for that special disc.
Dolby 'A', Dolby 'B' and DBX noise reduction
London Rd., Binfield, Bracknell, Berks
RG12 5BS
Tel. BRACKNELL (0344) 54935
YOU WOULDN'T BELIEVE WHAT WE CAN GET ON TAPE
We do work for some of the biggest companies as well as the smallest. Give us a call, you'll find we're very helpful. Whatever your problem.
TAPE DUPLICATING SMALL AND LARGE RUNS
8 IPS 1/4" to 1/4"
OR CASS 1/4" in 3 and 4 track 3% 7½ and 15 IPS
1/4" in 3/4" 4 track 3¾ and 7½ IPS
STUDER EQUIPMENT. DOLBYS A & B.
EDITING A.V. AND AUDIO PRODUCTIONS, ETC.
OUR BIGGEST ASSET IS WE CARE
We have fantastic references. Can other companies say the same?
WELL WE'RE WAITING!
20-20 SOUND FACILITIES LTD.
13 Bethnal Green Road, London E1 6LH
Tel. 01-739 5550 or 01-739 5558
Cassette Duplication from 45p incl. Master/demo copies (1:1 Hi-speed); Audio Visual and computer programme cassette duplication. Printed inlays and direct cassette printing. Fast turn-around. No minimum.
SIMON STABLE PROMOTIONS
Inglebrook, West End, Launton, Oxon.
08692 - 2831
FOR SALE—TRADE
3M Wollensak Cassette Copies, Also endless loop cassettes, single edged razor blades. Sound Marketing & Services. Tel. Norwich (0603) 45338
BOSE 802 speakers with equalisation, £499 per pair or £473 without equalisation. Amcron DC 300, 3530 and D150A at £335. All prices plus VAT. Contact Geoff Yates, C.A.V.S. Ltd. 01-363 6125
YORKSHIRE Erricks of Bradford. Tascam, JBL, Bose, AKG, Beyer, Calrec, Revox, Ferrograph, Spendor. Sales, servicing, exchanges, leasing. Bradford (0274) 22972 (Paul).
R.F.W. RECORDING SUPPLIES 83 Harwood Road, Isleworth, Middlesex. Tel. 01-890 6450
Label and inlay card printing
| Quantity | C1-10 | C11-20 | C21-30 | C31-40 | C41-50 | C51-60 | C61-70 | C71-80 | C81-90 | C91-100 | C101-110 | C111-120 |
|----------|-------|--------|--------|--------|--------|--------|--------|--------|--------|---------|-----------|-----------|
| 1-49 | 61p | 63p | 65p | 68p | 73p | 77p | 82p | 90p | 97p | 107p | 117p | 123p |
| 50-99 | 59p | 60p | 62p | 65p | 69p | 73p | 78p | 86p | 94p | 104p | 114p | 124p |
| 100-149 | 57p | 59p | 61p | 62p | 64p | 66p | 73p | 82p | 89p | 99p | 109p | 119p |
| 150-249 | 53p | 55p | 57p | 58p | 60p | 62p | 70p | 79p | 84p | 94p | 104p | 114p |
| 250-499 | 51p | 53p | 55p | 56p | 57p | 59p | 67p | 76p | 83p | 93p | 103p | 113p |
| 500-999 | 49p | 50p | 51p | 52p | 53p | 54p | 61p | 69p | 77p | 87p | 97p | 107p |
| 1000+ | 43p | 45p | 47p | 48p | 50p | 52p | 58p | 64p | 74p | 84p | 94p | 104p |
| 10,000+ | 42p | 44p | 46p | 47p | 49p | 51p | 57p | 63p | 73p | 83p | 93p | 103p |
AKG C28 microphone including power supply leads and case. £75. Long and short extension tubes for C28 £20. STC 4038 microphone, including case and leads. £60. H and H S500D power amplifier. ex hire £350. Contact David Harding, Whitman's Music Ltd. (01622) 65253. C
HAMMONDS FOR SALE
ALL TONEWHEEL AND HOME USED ONLY
RT3 + LESLIE 122 ...£1995
(Same as A100, B, C3 etc but with 32 note p/board)
E100 with Pedal Sus. £1295
L122 immaculate .......£775
PETER BONNER MUSICAL
12a Grove Road
Eastbourne 639335
NEVE 16-channel 4 group sound mixing console
Spec. 8014. Offers invited around £8,000. Roger
Cherrill Limited, 65-66 Dean Street, London,
W.1. Tel: 01-437 7972.
NEW Wollensak cassette copiers directly
imported by C.A.V.S. Ltd., cost less and have
full service/spares back up. E.g. Wollensak 2770
still costs £1,999 plus VAT; also available Telex
Copette at £999 plus VAT and all other
Wollensak, Telex, Pentagon similar units.
Contact Yates, C.A.V.S. Ltd. 01-363 6125.
STUDER A-800 24 track machine with complete
remote control (Autolocate, Varispeed) and 16
track head block as new (available June 1981).
SFr. 12'000.— FFB Zurich. Bruno Spoerri
Recording Studio, Schneckenmannstr. 27 8044
Zurich, Switzerland
D.I. Box, passive, 20dB insertion, ground lift.
Suit guitar, keyboards etc. Ideal for Stage or
Studio use. Only £19.50. Sound Advice (SS), 396
Godstone Road, Whyteleafe, Surrey.
STUDER Portable Mixer 6 into 2. Extendable to
10. Balanced mic/line inputs. Extensive eq.
Foldback, reverb send. Twin limiters. Talkback,
etc. Three months old. £3,100 o.n.o. Tel.
02313 5244.
BRENNELL Mini 8 track, with remote supply and
electronic counter, immaculate, £2,500 o.n.o.
New Yamaha CS 40 M 20 memory 4 oscillator
synthesiser £850 o.n.o. £3,250 the package. Ask
for Steve on 01-980 7683; if unavailable leave
name and number.
ONE inch tape, surplus to requirements. New
Scotch 206, £15 each, £135 for ten. BASF (SPR
50 LHR), genuinely once used, £7.50. 01-428
3714.
LYREC 24 track + 16 track head block, 3 years
old, £11,000. Box No. 848 c/o Studio Sound.
C
24-8/8 Alice A.C.M. Mixer. PPM metering, P &
G faders, in all-wood console. Especially suitable
for Broadcast Production. Offers around
£3,900. Telephone Studio on 01-734 5572.
CHILTON 1032 Mixer Mark 5, three years old,
balanced mic inputs, HF and LF filters, P & G
faders, mid boost on all channels, low Z talk-
back, £1,150. Newark 73350.
UHER 4000 Report IC. Complete with case.
Carefully looked after, excellent condition. £250
o.n.o. Tel. 0670 58101 or 513658.
VERY cheap. Leevers Rich lin. 8 track, Alice
16/8/8 mixer with 32/2 foldback mixer, plus
extras. Ex working studio. Tel. 0272 554721 or
01-992 6262.
REVOX HS77 for quick sale £250 no offers.
Davies 0342 832559.
REVOX A77 2¼ track 7½/3¼ ips, amplifiers,
speakers, associated 4-channel mixer (tone
generator, remote controls), microphones,
quantity tape, leads. £400. Ferrograph Series 6
mono 7½/3¼ ips £80. Offers Chandlers Ford
61312.
FOR SALE—PRIVATE
TWO MODEL 527A UREI 1/3 Oct
EQUALISERS.
Ex our M.D.'s Music Room. Original list
£457.00 each. Any reasonable offer con-
sidered.
SME Limited, Steyning, Sussex BN4 3GY
Telephone: (0903) 814321.
PAIR Tannoy Lancasters 15in. monitor gold in
teak cabinet, £400 o.n.o. 08832 6392
STUDER A80 MK1
Neve has for sale this 16T machine with very
low mileage. Offers in the region of £8800 to
Alan Archer, Neve Electronics Ltd. Cam-
bridge House, Melbourn, Royston, or Tel.
(0763) 60776
STUDIO FACILITIES
FANFARE Records. Tape-disc pressings,
demo's masters, any quantity. Studio/mobile
Neumann disc cutter. S.A.E. brochure. 1
Broomfield Close, Rydes Hill, Guildford, Tel.
0483 61684.
DISC Cutting master and demos, pressings,
cassettes, mobile recording studio. Free bro-
chure. TAM Studio, 13a Hamilton Way,
London N.3. Tel: 01-346 0033.
FOR HIRE
STEREO NAGRA PILOT
NAGRA 4.2 Pilot
Fisher portable mike boom
Motorola walkie talkies
Micron radio microphones
SIMMON SOUND & VISION
28a Manor Row, Bradford I., W. Yorks
Phone 0274 307763
WANTED
RADIOMICROPHONE wanted, any condition.
Transmitter/Receiver or incomplete system.
Please telephone 02013 81987 after 8 p.m.
SITUATIONS WANTED
YOUNG Sound Engineer would like London
Studio to give him a chance. Generally experi-
enced in Multi-Track Mixing, AV and P.A.
Systems. Good knowledge of wiring and
electronics. Hard worker (Makes Great Tea).
Tel. 01-992 9365 after 7 p.m.
YOUNG man with experience and knowledge of
Studer Revox equipment wishes to join the
Studio field. Anything considered. 0246 75479.
ENGLISH Recording Engineer, Studio
Designer, Producer, 7 years experience in U.S.A.
and England, seeks interesting position anywhere
in the U.K. or abroad. Box No. 850 c/o Studio
Sound.
SITUATIONS VACANT
TECHNICIAN Engineer required to maintain
and develop unusual, interesting Sound Studio
within a large London organisation. HNC or
similar qualifications essential. Salary £7,500 to
£8,500. Send C.V. to Box No. 849 c/o Studio
Sound.
PROJECT ENGINEER
WE REQUIRE A SKILLED ELECTRONICS ENGINEER WHO HAS
HAD MANY YEARS EXPERIENCE IN A RECORDING STUDIO. THE
APPLICANT MUST HAVE A FULL UNDERSTANDING OF STUDIO
REQUIREMENTS SO THAT HE/SHE IS ABLE TO LIAISE WITH THE
CUSTOMER AND TRANSLATE THEIR REQUIREMENTS INTO
PRODUCTION DOCUMENTS.
PLEASE APPLY TO:
ALAN BROWNING,
TRIDENT AUDIO DEVELOPMENTS LTD., SHEPPERTON STUDIOS.
CHERTSEY 60241.
SITUATIONS VACANT
Technical Service Engineer
professional recording equipment
progressive salary+estate car
3M's Mincom Division markets a wide range of top-quality professional products in the audio-visual field. We now wish to recruit a field service engineer with graduate-level ability in electronics engineering to join a small team specialising in sophisticated video and audio products. You'll spend a considerable proportion of your time in recording studios and customer premises, as well as providing first-class technical support at our Southall service centre. A knowledge of similar equipment is clearly desirable, though product training will of course be provided.
The attractive starting salary is backed by an extensive range of large-company benefits including estate car.
To apply, please write with concise personal and career details (including salary progression and home phone number) to: P. G. English, Divisional Personnel Manager, 3M United Kingdom Limited, 3M House, PO Box 1, Bracknell, Berks RG12 1JU.
INDEX TO DISPLAY ADVERTISERS
A
Acoustical Manufacturing Co. ................. 4
Advanced Music Systems ....................... 12
AKG Acoustics .................................. 73
Alice Stancoil ................................... 14
Amek ............................................. 82
Ampex ............................................ 47
Aplex ............................................. 29
Association Professional Recording Studios .... 87
Audio and Design (Recording) Ltd .............. 65
Audio Developments ............................. 10
Audio Kinetics ................................... 6
B
Bauch, F. W. O., Ltd. ............................ 13, 15, 17, 19, 23, 43, 59, 61
Brooke Siren Systems ............................ 61
Bulgin Electronics Soundex Ltd. ................ 91
C
Cadey Tape Recorders ............................ 16
Canford Audio .................................... 90
Court Acoustics .................................. 88
D
Dominus .......................................... 44
E
Eardley Electronics .............................. 45
Elecarro-Voice ................................... 10
EMI ................................................ 86
EMT ................................................ 19
Enertec ............................................ 85
F
Feldon Audio ...................................... 27
FM Acoustics ..................................... 69
Formula Sound .................................... 6
H
Harman UK Ltd. .................................. 83
Harrison .......................................... 43
HHB Hire and Sales ............................... 21, 53
I
ITA .................................................. 7, 9, 11, 84
J
John A. Steven ................................... 6
L
Lake Audio Components Ltd. .................... 89
Larking, Don, Audio ............................. 84, 90
Leevers Rich ...................................... 77
M
Magnetic Tapes Ltd. ............................. 51
MBI Ltd. .......................................... IFC
MCI Ltd. .......................................... OBc
Melkusii Ltd. ..................................... 45
Mustang Communications ......................... 16
MXR ................................................ 35
N
National Research Development Corp. .......... 14
Neal Ferrograph ................................... 49
Neumann .......................................... 15
NTP Electronik A/S ................................ 8
O
Otari Electrical Development Corp. ............. IBC
P
P. A. C. E. Musical Equipment .................. 16
Progressive Electronic Products ................ 79
R
Racal-Zonal ...................................... 81
Rank Strand Sound ............................... 90
Rebis Audio ....................................... 71
Revox .............................................. 17
REW ............................................... 18, 86
S
Satt Elektronik AB ............................... 87
Scenic Sounds ..................................... 25, 31, 41
Shure Electronics ................................ 5
Soundcraft Electronics .......................... 39
Studer .............................................. 13
Studio Equipment Services ....................... 88
Surrey Electronics ............................... 48
Swissitone ........................................ 69
Switchcraft ........................................ 61
T
Tannoy Products .................................. 67
Trident Audio Developments Ltd. ............... 80
3M UK Ltd. ........................................ 55
Turnkey ............................................ 63, 64, 70, 76, 89
U
Urei ................................................ 59
V
Valley People Inc. ................................ 75
W
White Instruments Ltd. .......................... 79
Studio Sound is available without charge to qualified readers (those who are directors, managers, executives and key personnel actively engaged in sound recording, broadcasting and cinematograph industries in any part of the world). The Publisher reserves the right to refuse applications considered inappropriate and restrict the number of free copies sent to any one company or organisation. Non-qualifying readers can buy Studio Sound on annual subscription of £16.00. All enquiries to Subscription Department, Link House Publications Ltd., Robert Rogers House, New Orchard, Poole, Dorset BH15 1LU. Tel. Poole (0203) 71171. Published by Link House Magazines (Croydon) Limited on behalf of the proprietors, Link House Publications Limited, Robert Rogers House, New Orchard, Poole, Dorset BH15 1LU and printed by Arthurs Press Ltd., Woodmeister, Stroud, Glos. GL5 5PJ.
It's a reliable recorder with foresighted features. A new constant-tension transport has a full symmetric tape path, the most advanced electronic servo and a large diameter capstan without pinch roller. The latest electronics includes single-card-per-channel modules, full-fledged remote controller, auto-locator and interface access for external synchronizers.
Otari MTR-90 — the masterly multitrack with engineering expertise available in 16, -16 prewired for 24 and 24 track formats. Write to us for further details of the new-generation machine.
Otari MTR-90.
True progress in multitrack engineering.
... harmony in sound recording
MCI (Professional Studio Equipment) Ltd., MCI House, 54-56 Stanhope Street, London NW1 3EX. 01-388 7867/8. Telex 261116
The world's leading professional recording equipment company.
|
#1 Audience Grabber!
"Who Knows His Name" by SOUTHCOTE exploding across Canada on Smile Records
French-Canadian music industry a success story
No one can argue with the fact that there are many records produced in Canada, and that many of them sell well. Over 100,000 copies, Record companies ARE spending a great deal on Canadian record production.
One company can quote astonishing figures to you, but the fact is they are talking the production money of record companies is being funneled into that area.
You can't argue with the fact that foreign radio stations have the right to pick and choose where their monies should be spent. The fact that the Canadian market is both successful, a money maker and a chance for foreign companies to show their stuff.
So, as much as the nationalistic argument is eliminated by this, so is the argument by radio stations that no new product should be released in Canada. The foreign companies say they would do as much in English Canada as they do now in French Canada. Budgets would increase if the sale and the success of records equalled that of the French-Canadian market.
Is there a solution or any means by which some light could be shed on the problem? Eighty years ago, the United States got a head start on the record business. Until ten years ago, there was little done in Canada to catch up. English language hits come from the U.K. and United States, and English Canada must compete with the hits and the information that comes from Canada to get the same exposure. The same start system. England was able to conquer the music world ten years ago, and is still taking their share.
Why we can do what must do to catch up is still a mystery to Canadians. How can we compete in the same language as the Americans in the French-Canadian industry when we are against both the English hits and the trade propaganda that crosses the border? The record companies of Canada would probably enjoy the same results.
If there is a solution to this problem, it lies in the hands of programmers who can step up with an answer. We should very much if the programmers across Canada would provide the answer. The problem of the lack of English Canadian records is a genuine one...with no relief in sight.
— Pierre Jannun
LETTERS to the editor
A BRIGHTER PICTURE OUT THERE!!!!
June 14/74
After spending two days and 700 miles traveling through parts of Ontario promoting "Summer Girl", Craig Rourke and I have come to the conclusion that it is not easy being a promotion man or a programmer.
First off, let me say I now know there is more talent out there than just a good artist and recording a good song. For the most of the time I spent behind the desk looking at the charts and the Radio Airplay charts, a great break going out on the road with Craig meant programming.
We found the time and effort extremely rewarding as shown by the immediate airplay given the record, personal interviews, contests and the commitment as well as making new friendships.
Yes, we are quite tired but we will be doing it again.
Through RPM we wish to thank you for your time and genuine interest! For our part, we did our best to keep those hits coming!
Jim D. Power
Director A&R
U.A. Records Limited.
S.J. AT WOMEN'S WEAR DAILY???
June 12/74
To say the least we are not happy with your review RPM 16/74, page 9, Patry Gallant at the James Brown Show — by your S.J.
As you well know this kind of show does nothing for an artist in a financial sense and is therefore done principally for exposure. So when RPM's National Music paper reviews Patry's show and RPM passes an identical review to the Montreal paper and do the same show in Montreal, and receive reviews (incidentally favorable) in all major papers, What's wrong with Toronto?
Let's single out radio. Radio is to blame. Sell time, play music, make money (hopefully) read news and sports, but don't allow play the hits that get up. You really want to know who the most creative group of radio people in Canada are? They are the ones who have to put into their pitches to sell the very valuable time.
It's time to turn off our butts and give our audiences more. We are all fighting the rating battle and the time sales battle. We all must move forward. We must build, we must build faith in the machine.
I am not in accord with RPM's CRTC on many, many points, but maybe we should read between the lines. What are we doing as individual stations for our community. Not how good our lawyer was.
Programmers go to any city, listen to the radio, come back for the form (mechanics) and go away feeling they have solved the puzzle. How many listen to the jock? What's he saying even if he's on the air seconds? What's the makeup of the newscast (national and international) and I could go on.
If it's only the mechanical movement of the hour that really matters, then why do we have a station? Drop a note and I'll send the clocks for loads of buggies. I'll even enclose a "Cute" one.
It's going to take time, you can't do it overnight, but we in radio need to have a sound, a voice, a message and inform. A sound that can't be transplanted overnight in another city — because it's your city.
"Nuff said, keep those cards and letters coming.
Chuck Camroux
Station Manager
CFTR Toronto
NOW YOU GOT THE MESSAGE - CHARLIE
June 13/74
First of all, believe me, I do greatly appreciate all that you have done and what you are doing for Country Music through RPM, and especially with the Big Country meetings.
Now coming to personal HEET.
You may find attached a spread (8½x11) with the articles pertaining to Country Music pasted therefrom from our RPM 15/6/74 issue. You will see that the total column total equal 1 2/3 pages. In my estimation out of 200 pages of RPM, this is a very small percentage, and personally, if one cannot see where this is at all fair to those in the business. It is a very important thing working our heads (and Alexs) off trying to promote Canadian Country Music.
We have sat in on the fusile atmosphere trying to promote Canadian Country Music. Actually Big Country also; and everyone asked what is the problem? Why can't we or how can we get more exposure? Answer: Money. We sure as Hell can't promote it with this limited interest in our own trade magazine. Our titles are for the same cause. Come back. Who in here cares what Ritchie Yorkie is doing in Britain? I sure don't.
In fact I can't seem to recall anything that Kevin Hunter did for us internally while he was on this side of the water. Thirty percent Canadian Content we have. No question, how do we get it? More Country Content? We'll even settle for that, it's better than one and two thirds pages.
Charlie Rennie
CJCJ Woodstock, N.B.
COLUMBIA'S EDWARDS TO COLLINS BAY PEN
Music industry satisfaction was experienced by Columbia recording artist, Cliff Edwards, when he and his group played an afternoon concert at Collins Bay Penitentiary (Kingston, June 10). This was their first experience on the "Pen" circuit and one that resulted in standing ovations. Collins Bay Pen's Ed Edwards expressed a wish that other groups would take the time to become familiar with the needs of groups so necessary - and lacking with the Canadian prison system (country groups, particularly) and that they would be prepared to cope with this type of package show for several hours. He also expressed a wish to provide latest single, "Love May Be The Answer", now becoming a favourite with pop programs.
The Edwards image is being moulded by New Direction, a new RPM/production firm headed up by Kevin Hunter, with offices in Toronto and New York City. The Toronto office is manned by Steve Propst while the New York office is run by John O'Brien. The latter was a former manager of Derek and the Dominos, and is now with CMA and ATI. The Kevin firm recently signed a deal with Mel Shaw Productions whereby they'll be promoting artists in the U.S.
New Directions are representing the Bells, Natalie Cole, Judy Miller, Jayson and Canadian Conspiracy. The latter will shortly move into Nassau for a two week tour, followed by dates in Puerto Rico and New York City.
GO FIRST CLASS
French-Canadian music industry a success story
No one can argue with the fact that there are many records produced in Canada, and that many of them sell well. In 1965, 20,000 copies, Record companies ARE spending a great deal on Canadian record production.
One company can quote astonishing figures to you, but the fact is they are talking production money of record companies is being funneled into that area.
You can't argue with the fact that foreign artists are selling well here. They might pick and choose where their releases should be made, but the fact remains that Canadian talent is both successful, a money maker and a chance for foreign companies to show their commitment.
So, as much as the nationalistic argument is eliminated by this, so is the argument by radio stations that more product should be released from Canada. The word is out. You can say they would do as much in English Canada as they did in French Canada, and getts would increase if the sale and the success of records equaled that of the French Canadian market.
Is there a solution or any means by which some light could be shed on the problem? Eighty years ago, the United States got a head start on the record business. Until ten years ago, there was little done in Canada to cater to English language hits come from the United States. Now, English and English Canada must compete with the hits and the information that comes to Canada as part of the American star system. England was able to conquer the music world ten years ago, and is still taking their share.
When we can do what we need to do to catch up is still a mystery to Canadians. Internationally we compete in the same language as the Americans and French-Canadians. We fight against both English his and the trade propaganda that crosses the border. If the French Canadians in Canada would probably enjoy the same results.
If there is a solution to this problem, it lies in the hands of programmers who can go with an answer. We doubt very much if the programmers across Canada would probably enjoy the same results. The lack of English Canadian records is a genuine one...with no relief in sight.
Let's single out radio. Radio is to blame. Sell time, play music, make money (hopefully) read news and sports. But don't fool play the hits coming out. You really want to know who the most creative group of radio people in Canada are? It's the programmers. They have to put into their pitches to sell the very valuable time.
It's time to clean off our butts and give our audiences more. We are all fighting the rating battle and the time sales battle. We all must move forward. The question, but have blind faith in the machine.
I am not in accord with the "C" on many, many points. But I think we should read between the lines. What are we doing as individual station and community. Not how good our layover was.
Programmers go to any city, listen to the radio copy down the format (mechanics) and go away feeling they have solved the puzzle. How many listen to the jock? What's he saying? What's the hit of the seconds? What's the makeup of the news, (local, national and international) and I could go on.
It's only the mechanical movement of the hour that really matters. It helps to know your format. Drop a note and I'll send the clocks for loads of buggies. I'll even enclose a "Lotto" ticket.
It's going to take time, you can't do it overnight, but we in radio can create a sound, a sound that's unique and different. A sound that can't be transplanted overnight in another city — because it's your city.
"Nuff said, keep those cards and letters coming.
Chuck Camroux
Station Manager
CFTR Toronto
NOW YOU GOT THE MESSAGE - CHARLIE
June 13/74
First of all, believe me, I do greatly appreciate all you have done and what you are doing for Country Music through RPM, and especially with the Big Country meetings.
Now coming to program stuff:
You will find attached a spread (8½x11) with the articles pertaining to Country Music presented from your RPM 5/6/74 issue. Your articles and my comments in total equal 1 2/3 pages. In my estimation out of the 100 pages in RPM, this represents a small percentage, and personally, if one cannot see where this is all fair to those in the business, then I'm afraid I'm working our heads (and axes) off trying to promote the "Pen" circuit in the most popular form of music today.
I have sat in on the fulltime sessions of trying to get Canadian Country Music accepted on Big Country also, and everyone asked what is the problem? Why can't we or how can we get this music on the airwaves? We sure as Hell can't promote it with this kind of image in our own trade magazine. Our line strays far from the lambs back. Who in hell cares what Ritchie Yorke is doing in Britain? I sure don't.
In fact I can't seem to read anything about the "Pen" circuit for instance, while he was on this side of the water. Thirty percent Canadian Content? No way! The Association will get 1 ½% Country Content? We'll even settle for that, it's better than one and two-thirds pages.
Charlie Rinaldi
CJC Woodstock, N.B.
COLUMBIA'S EDWARDS TO COLLINS BAY PEN
Music industry satisfaction is experienced by Columbia recording artist, Cliff Edwards, when his big group played an afternoon concert at Collins Bay Penitentiary (Kinmount June 10). This was their first experience on the "Pen" circuit and one that resulted in a standing ovation.
Edwards, experienced with that other groups would have taken the time to teach the inmates how to play songs so necessary - and lacking with the Canadian prison system (country groups, particularly the ones that play "pen" circuit songs, with this type of package show for several years) - and they were treated to his latest single, "Love May Be The Answer," which is a favourite with pop programmers.
The Edwards image is being moulded by New Direction, a new management/promotion firm headed up by Kevin Hunter with offices in Toronto and New York City. The Toronto office is manned by Steve Propas while the New York office is run by Steve McFie, the latter was a former manager of Dean Friedman, who is now signed with CMA and ATI. The Kevin firm recently firmed a deal with Mel Shaw Productions whereby they will represent him in the U.S.
New Direction also represents the Bells, Natalie Cole, Judy Miller, Jayson and Canadian Conspiracy. The latter will shortly move into Nassau for a two week tour, followed by dates in Puerto Rico and New York City.
GO FIRST CLASS
RPM WEST
John Watts
Chuck Lee, the Pacific National Exhibition's "Mr. Showman", this week opened the doors at the Vancouver Exhibition and this week for label reps with acts scheduled to play the Vancouver Exhibition this week are: Wally McRae and the Whites Jr., both of CHED, Edmonton, taking over from the late Don MacLean . . . . Columbia's Goose Creek Symphony played the Egress in Vancouver last week and the band is booked for next week . . . Bruce Davidson of IPC practically had a heart attack in Spokane, Washington at the Expo site . . . . Jack Skelly of MCA Winnipeg finally got a picture in the mag . . . . CF UN Vancouver looking for a jock, contact Chuck McCoy . . . . Ken Kantien in Red Deer getting together for a stage debut of the Jerry Potts material . . . . Colonial Records' promo guy, Frank Gigliotti, just completed a radio promotion tour through Saskatchewan and Alberta . . . .
Terry Jacks looks like he's doing well it all over Canada with "You Go Away" Western reaction very strong . . . . Mushroom's Alexis Arsenault up on week long stint at Vancouver's Hotel to meet crowds . . . . While in Vancouver Carl Anderson was there to draw the first winner in the Save the Orphans lottery, courtesy Barry Ryan . . . . Speaking of which, the winners of Billy Stoltz's contest Richards are back in Toronto with headaches following a quickie western swing . . . . Soon to be heard on the airwaves are Ken McFarland and Ron Newman . . . . A western date or two may soon be announced for Balmur's John Allan Cameron.
MUCH MORE MUSIC NEWS IN REVAMPING RPM
Over the past three weeks, RPM has been working hard to attempt to contain more news. Our 24 page format is being re-evaluated considerably and the revamping will continue.
As RPM will right itself up on lockup time and move into the new year, we'll be further able to compensate for the time lost in postal handling.
In the weeks to come, RPM will continue to make improvements in the format of RPM and the systems of chart computation and programming information.
As well as conserving newspaper, the new RPM will provide more news and information to radio stations and record dealers who now command the largest block of subscribers in the music industry.
Readers will only notice slight changes as we progress, but ultimately, RPM will be of more service to the industry and will arrive earlier to most subscribers.
TURNER FORMS OWN RECORD COMPANY
John Turner, armed with several years of promotion and marketing experience, has unveiled his own record company, Creative Records (Creative Artists), a spin-off of the Agency to the Creative Artists Management Company headed up by Jack Thompson with Doug Speer looking after field work. First signing for the Turner company is Frank Mills, long established Mills at Tempo Studios in Montreal with lacquering by SMB of that same city. All ten singles are Mills originals.
Also signed to ACA is a new talent from Ottawa — Robin Moss, who is completely blind. Robin's demo was produced by Andre Perron at the Ottawa studios of Magnavox. A single release is expected shortly. Other signings of interested young artists will be announced within the next few weeks.
Distribution for the Creative Artists label will be handled by Guy Gauthier's Songgram TIme for Quebec, and Records for Thunder Bay west to the Alberta border, and Dominion Sound for Victoria east to the Alberta. Distribution for the Atlantic Provinces is now being negotiated. ACA will look after promoting the product in Ontario.
Creative Artists Phonograph Company is located at 100 Alexis Neon St., Suite 875, St. Laurent, P.Q.
MCA DEAL FOR ELTON JOHN
Elton John has renewed his recording contract with MCA. The firming took place in London and was negotiated between the artist and manager, Raddell. John's five years with MCA has seen him achieve six Gold and four Platinum albums, plus two and three Gold and four Platinum in Canada.
He is currently represented on the U.S. charts with "Don't Shoot Me", "Goodbye Yellow Brick Road" and "Don't Shoot Me If I'm Only The Piano Player". He will also go into the studio with "The Jets".
The release of John's new single, "Don't Let The Sun Go Down On Me" was an immediate success in the U.K. and entered the RPM 100 this week at No. 74. His next album release, "Caribou", his second for MCA, will be released the first part of July.
In making the announcement, Bob McMillan, president of MCA, noted: "We are thrilled and delighted to assume this association with Elton. His contribution to music have been substantial and he has consistently proven his great consideration as one of the foremost composers and performers of our time".
CA'S Frank Mills
as a top potential instrumental artist. His past releases, all on the Polydor label include: "Several Family Songs", Some Other and "Rockin' Jump". The latter was an experiment by Mills in the vocal field.
The new Mills album is instrumental with choral background and is simply titled "Frank Mills". The session was produced by
BIG WHEEL SINGLE FOR BILLY STOLTZ
The big country voice of Billy Stoltz is BREATHING gear again. This time his vehicle is a Stoltz original, "I'm Hungry". Initially recorded by the local music CAPAC, Stoltz is no stranger to the recording scene. In fact it was because of his record activity that he decided to get into the production business himself flying the banner of Big Wheel.
The release of John's new single, "Don't Let The Sun Go Down On Me" was an immediate success in the U.K. and entered the RPM 100 this week at No. 74. His next album release, "Caribou", his second for MCA, will be released the first part of July.
In making the announcement, Bob McMillan, president of MCA, noted: "We are thrilled and delighted to assume this association with Elton. His contribution to music have been substantial and he has consistently proven his great consideration as one of the foremost composers and performers of our time".
Billy Stoltz
When records, he formed his company while living in Montreal but decided, a few years ago, to settle in Calgary.
A self-taught musician from Kelowna, B.C., Stoltz hit the country road at the age of fourteen. During dates throughout B.C. and parts of Alberta, his lengthy stand at the Calgary Stampede (from 1951 through 1957) brought him into prominence as a country star residing in his hometown with other stars of the same scene of the big U.S. country names including Gene Autry, Roy Rogers, Ferlin Husky and Canada's Hank Snow.
The new Stoltz single, a ballady effort, reveals a new direction and will be promoted to pop programmers as well as country. Distribution for Big Wheel is handled by Vancouver-based Radio Pressing. The record qualifies as Canadian content (MAPL).
Chuck Lee, the Pacific National Exhibition's new manager, is in Vancouver this week for a week for label reps with acts scheduled to play the Vancouver Exhibition this week . . . Western swing and country tunes Jr., both of CHED, Edmonton, taking over the morning drive shift at CKLG . . . Columbia's Goose Creek Symphony played the Egress in Vancouver last week . . . The Canadian Broadcasting Corp. Bruce Davidson of IPC practically moved his entire office to Spokane, Washington at the Expo site . . . Chuck Skelly of MCA Winnipeg finally got a picture in the mag . . . CF-UN Vancouver looking for a jock, contact Chuck McCoy . . . Ken Kantin in Red Deer getting it together for a stage debut at the Jerry Potts music store . . . Columbia's promo guy, Frank Gigliotti, just completed a radio station tour through Saskatchewan and Alberta . . .
Terry Jacks looks like he'll do well do all over Canada with "You Go Away" Western reaction very strong . . . Mushroom-Alexis wrapped up a week long stint at the Calgary Stampede to large crowds . . . While in Vancouver Carl Anderson and the Rodeo Kings draw the first winner in the Save the Orphans lottery, courtesy Barry Ryman . . . Speaking of which, the man who Billy Stoltz and Richards are back in Toronto with headaches following a quickie western swing . . . Sweet Music's new owners are Ken McFarland and Ron Newman . . . A western date or two may soon be announced for Balmur's John Allan Cameron.
MUCH MORE MUSIC NEWS IN REVAMPING RPM
Over the past three weeks, RPM has been hard at work to contain more news. Our 24 page format will be expanded considerably and the revamping will continue.
As RPM will tighten up on lockup time and some of the stories will be cut earlier to compensate for the time lost in postal handling.
In the weeks to come, RPM will continue to make major changes in format of RPM and the systems of chart computation and programming information.
As well as conserving newspaper, the new owners will be making more information to radio stations and record dealers who now command the largest block of subscriptions in the magazine.
Readers will only notice slight changes as we progress, but ultimately, RPM will be of more service to the industry and will arrive earlier to most subscribers.
TURNER FORMS OWN RECORD COMPANY
John Turner, armed with several years of promotion and marketing experience, has unveiled his own record company, Creative Records (Creative Artists), a spin-off of the Agency to the Creative Artists, a management-promotion firm headed up by Jack Thompson with Doug Speer looking after field work. First signing for the Turner company is Frank Mills, long established Mills at Tempo Studios in Montreal with lacquering by SMB of that same city. All ten cuts are new originals.
Also new to CA is the talent from Ottawa — Robin Moir, who is completely bilingual. Moir was signed by Andre Perre of the Ottawa studio of MacArdell. A single release is expected shortly. Other signings of interest and new releases will be announced within the next few weeks.
Distribution for the Creative Artists label will be handled by Guss and Son Soundram firm in Quebec, and Records for Thunder Bay west to the Alberta border, and Emerson-Son of Vancouver east to Alberta. Distribution for the Atlantic Provinces is now being organized. ACA will look after promotion for the province of Ontario.
Creative Artists Phonograph Company is located at 100 Alexis Neon St., Suite 875, St. Laurent, PQ.
MCA DEAL FOR ELTON JOHN
Elton John has renewed his recording contract with MCA. His first album took place in London and was negotiated with the U.S. branch of the label.
John's five years with MCA has seen him achieve six albums, four Platinum albums in the U.S. and three Gold and four Platinum in Canada.
He is currently represented on the U.S. charts with "Goodbye Yellow Brick Road" and "Don't Shoot Me I'm Only The Piano Player" as well as a gold single "Rocket Man" and "The Pier".
The release of John's new single, "Don't Let The Sun Go Down On Me" was an immediate chart success in the U.K. and entered the RPM 100 this week at No. 74. His next album release, "Caribou", his third for MCA, will be released the first part of July.
In making the above announcement, Bill Anderson, president of MCA, noted: "We are thrilled and delighted to continue this association with Elton. His contribution to music have been substantial and he has consistently proven worthy of consideration as one of the foremost composers and performers of our time".
CA's Frank Mills
as a top potential instrumental artist. His past releases, all on the Polydor label! included "Seven Deadly Songs", "Some Other" and "Rockin' Home". The latter was an experiment by Mills in the vocal field.
The new Mills album is instrumental with choral background and is simply titled "Frank Mills". The session was produced by
BIG WHEEL SINGLE FOR BILLY STOLTZ
The big country star, Billy Stoltz is getting into gear once again. This time his vehicle is a Stoltz original, "I'm In Love" inside published by the Music CAPAC. Stoltz is stranger to the recording scene. In fact it was because of his record activity that he decided to get into the production business himself flying the banner of Big Wheel.
When Stoltz made his company with them in Montreal but decided, a few years ago, to settle in Calgary.
A self-taught musician from Kelowna, B.C. Stoltz hit the country road at the age of four. He played dance bands around B.C. and parts of Alberta. His lengthy stand at the Calgary Stampede (1953 to 1957) brought him into prominence as a country star resulting in him being signed by RCA Victor. He joined some of the big U.S. country names including Jim Reeves, Roy Rogers, Porter, Ferlin Husky and Canada's Hank Snow.
The new Stoltz single, a ballady effort, received a warm reception and will be promoted to pop programmers as well as country. Distribution for Big Wheel is handled by Vancouver's Radio Press Ltd. Pressing. The record qualifies as Canadian content (MAPL).
Pity the poor man with Weltenschmerz
LONDON
I have been stricken with Weltenschmerz. It is the most unpleasant of all the afflictions which affect the mind, the body and the spirit. I have been suffering from it, in varying intensities, for several years but it was only the other day that I finally discovered the word which simply describes the condition. Weltenschmerz; the guttural sound of the world's apoplexy.
I have lived in London for four weeks. Which would seem like the multi-media equivalent of a month, but it's actually a week plus. In London, we have fiercely believed through the most recent past, was the one and livable city on earth. It was a city so civilized a trifte less ugly than its various contemporaries, a slice or two above the abominable American cities, a place where people had perspective - some people live cities, some live in them. But the truth is that the only society that is is only a handful of people have any choice in the matter.
We have had the full value of rural blood poured on us being the city was the vacation was. So there we are, not infrequently, in the middle of the worst weather imaginable which prompted our escapades into the heart of the urban ruin. The city isn't a lot of fun to live in the city for people who don't like to drive autos; who detest the noise of the traffic, the buildings, the high-rises and the neon jungle; whose hearts often ponder visions of other, pre-Industrial times when the city was a place of beauty and distinction with quantity. It's all a matter of taste, but it's a matter of taste and it's a rare and precious possession in this plastic, Plutocratic world of ours.
There was once an dear old London. She was different, a bit dignified if you like, a haven in the soul-soaking storm, someplace where the air was clean and the people were decent. That's the way London used to be but sadly, is no longer. Although it may still be somewhat soft in the edges, it's not the same as it was. New York, most of the old has gone. We all seem to be living in that nightmare of the future: it simply keeps on getting worse and the only real question that remains is just how long can we go on living here? If you happen to like London hits the bottom, you begin to realize that the answer is not much longer.
It's not just the superficial aspects of contemporary London -- the daily bomb attacks on streets, bars and cinemas, the tanks surrounding Trafalgar Square, the power cuts and the shocking state of reality in the public sector. It's those irritations which are more than sufficient to invoke one's wrath but which still in this horrible oppressive city, a world festering with growing claustrophobia compounded by filthy, petrol-fumed air, ramshackle slums, squalor, crime, gangsters armed with huge guard-dogs and a media shrivelled into a vision of World War III.
This is a country which was once great but is no longer, and simply cannot get to grips with the fact. It hurts me to have to point out that the British government is now so unimaginative, disastrous in participation with economic policy, so corrupt and politically corrupt that they are merely unable to grasp the indisputable evidence that what has already happened (and North America is well underway on home soil, North Sea oil will soon be their creed. It isn't even funny anymore.
The evidence is all around you. Our daughter Samantha has been in hospital for a week with a lady of foreboding temperament and an iron constitution, has not stopped coughing since our arrival. The hospital is a place where we've been nights in recent memory of uncomfortable, lingering bouts which persisted for several hours.
Samantha attends a nearby West End instead now, a place where the clientele is which is predominantly the offspring of Embassy staff where she has learnt how to punch, kick, and can the art of throwing a punch and spit on the floor. Great stuff.
In the past week or so, all of us have been down with the flu, an especially vicious strain which has been spreading through the subway and buses.
Poor old Annie, flu-bound and unable to take a coughing cough, went to hospital to have a baby (just for the record, it's Amadou Carlos). At least that event was comparative smooth sailing - now though I'm wondering whether the baby thing will be poisoned by this London air.
Other friends with children have also report the same night of coughing sessions, and I'm sure they too are told by their doctors that it's all quite normal and nothing to worry about. It's just a new baby, kids. If they happen to live in these urban disaster areas of the mid-70's, increasing larger amounts of newspaper space and broadcast time are being given over to the widely-held scientific opinion that we must all move to the moon to live out a natural life span on what remains of this Earth. Our children must suffer - just as we have - the consequences of excesses and indulgences of previous generations which have brought us to the collision course with Doomsday. The only difference between us and our children is that the next generation will be the first to face the industrial suicide reality that surrounds us.
George Orwell's 1984 has been and gone and anyone who doubts it should simply peruse the latest issue of the Socialist Worker. But there's not much use merely complaining about it. Action is what matters. We know from the ghastly experience of the past few years that the powers that be are unable to change it. You either accept it or escape it. We have chosen to escape it. We actually because we've finally arrived at the conclusion that nothing is worth the nightmare of big-city living today.
In a few days we're off to Switzerland for at least a month. We'll have climbed to over 5,000 feet up in the Alps, miles from where the roads end and where the world's dead. We'll have found some pure some pure fresh food, clear and unpolluted waters, little peace and quiet. I've got this letter to write to the Mayor of London. We'd like to close off the coughs. I know now it's going to be a long time before I can say to any of you for more than a brief stay. And so be it. There's no point in flogging a dead horse. No, we can the city, but it's the city life itself which is the staggering mass of urban unreason. London, our once acceptable city, has gone down the drain and we're moving out.
So it must be for all of us stricken with Weltenschmerz. Not much longer now before this Wanderlade draw to a close.
IPC NAMED REP FOR EXPO ENTERTAINMENT
International Promotional Consultants of Vancouver has been named sole advertising, promotion and marketing representative for the 1974 Spokane World's Fair in the entertainment division. The appointment is effective immediately and has been involved with the Expo Corporation for some time now, handling media contacts.
Account executive for the Expo commission is Bruce Danesh.
Doris (Mom) Crow receives city honours from Winnipeg Mayor John. Mom & Dads (centre) gather with CJOB's Peter Grant and MCA's Richard Bibby, Scott Richards, Barry Ryan for Platinum presentations. (R) Don Steele, CKY-FM Buff Gibbons/CKY with MCA Awards for breaking Dave Mills' single, presented by Dick Bibby, Jack Skelley, Scott Richards.
CKY-FM Buff Gibbons/CKY with MCA Awards for breaking Dave Mills' single, presented by Dick Bibby, Jack Skelley, Scott Richards.
### RPM 100 Top Singles (51-100)
| Rank | Artist | Title | Label | Catalog |
|------|--------|-------|-------|---------|
| 51 | STAR BABY | Nimbous 9 APB82 0127 N | Columbia 4-68062-H |
| 52 | LIVING IN THE U.S.A. | Stevie Wonder | Columbia 3864-2 |
| 53 | YOU GO AWAY | Tuff Tony & The Tuff Girls | Epic 10000 108-6 |
| 54 | IF YOU TALK IN YOUR SLEEP | Elvin Bishop | Atlantic 4280-N |
| 55 | BALLERO | United Artists 432-U |
| 56 | REBEL REBEL | David Bowie | RCA APL10076-N |
| 57 | BLUE SKYLLY | Blue Skyllies | Capitol 3803-F |
| 58 | LAMPLIGHT | David Essex | Columbia 48041-H |
| 59 | YU & ME AGAINST THE WORLD | John Lennon | Capitol 3859-F |
| 60 | WILD THING | Big Tree 15004-F |
| 61 | I FEEL LIKE MAKIN' LOVE | Joe Cocker | Epic 10027 |
| 62 | IT MIGHT BE WELL RAIN UNTIL SEPTEMBER | Gary & David | Epic 10028 |
| 63 | ROCK ME GENTLY | David Essex | EMI 10029 |
| 64 | THE GOLDEN AGE OF ROCK 'N' ROLL | Roy Orbison | Columbia 48036-H |
| 65 | FINALLY GOT MYSELF TOGETHER | Cliff Richard | Columbia 48037-H |
| 66 | THIS FLIGHT TONIGHT | Nanci Griffith | Asylum 111-1/W |
| 67 | CAN YOU HANDLE IT | United Artists | Warner Bros. 7782-P |
| 68 | KEEP ON SMILIN' | Carleton 0043-P |
| 69 | THE NIGHT CHICAGO DIED | Rickie Lee Jones | Polydor 2088-230-Q |
| 70 | PUT OUT THE LIGHT | Joe Cocker | Asylum 111-1/W |
| 71 | CAUSE WE'RE IN LOVE | George Benson & George Gf | Epic 10029 |
| 72 | WHEN I AM SO IN LOVE | Kenny Rogers | Kama 10200-M |
| 73 | FOX HUNT | The Animals & Tuane Brann | Asylum 111-1/W |
| 74 | DON'T LET THE SUN GO DOWN ON ME | Elton John | MCA 10028-J |
| 75 | IT'S HER TURN TO LIVE | Smokey Robinson | Motown 15-6496-C |
### CALL ON ME
Columbia 4-68062-H
### ROOM FULL OF ROSES
Polydor 2088-230-Q
### MACHIN QUI
Columbia 4-68062-H
### CLAP FOR THE WOLFMAN
RCA 10029
### YOU'VE GOT MY SOUL ON FIRE
Mercury 71369-Y
### HIDDEN
RCA 10028-J
### WORBLING SONG
Warner Bros. 111119-H
### GEORGIA PURCLIPINE
George Benson | United Artists 410-U
### DANCIN' (ON A SATURDAY NIGHT)
The Commodores | Epic 111120-H
### TELL LAURA I LOVE HER
Yorkville 6020-D
### I BELIEVE & LOVE ME
Asylum 1108-W
### HICKORY
Frankie Vallie & Four Seasons | Mercury 71369-Y
### JIVE TURKEY (PART II)
Mercury 71369-Q
### HAPPINESS IS JUST AROUND THE BEND
RCA 1030-N
### MY GOD GA CHOO
John Sinclair | Asylum 1108-W
### I BELIEVE
Mushroom M7002-T
### THERE'S SOMETHING I LIKE ABOUT THAT GIRL
Rock Me Gently | Epic 10028
### I'M HERE FOR YOU BABY
April Wine | Asylum 11023-K
### FELL ME SOMETHING GOOD
Rufus | Asylum 11427-N
### WORSE COMES TO WORST
Columbia 46956-H
### MONEY MORGNEY
Columbia 4-68036-H
### WHEN MORNING COMES
Asylum 11427-N
### I WISH IT WERE ME
Elvis Presley | Asylum 5792-T
### YOU'RE WELCOME, STOP ON BY
Bobby Womack | United Artists 432-U
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**RCA continued from page 1**
autonomy with recording, production, promotion, programming, distribution, etc., it was no surprise that RCA's publishing houses (Sunbury/Dunbar) should receive a shot in the arm. A heavy concentration of this activity was made on the development of one of the leading publishing companies.
**ARTIST ROSTER INCREASES**
Some of the artists involved in the development of RCA's 1973 contracts to grow. In 1974, Michel Pagliaro joined the roster in the field in 1973 and made it with "I Entends Frapper" which was tagged "Quebec's hit of the year." Pagliaro also had a major hit gain in English Canada with Gary Parr of Canada's "Honey Bear" (RCA 10028-J) becoming the first to break the single in a "breakout market." Pagliaro's follow-up, "Falling In Love Again," was a hit. This was followed by the release of his album, "Pagliaro," which was a big seller. He is also involved with The Rockers, a rock group that topped the Quebec charts with "I'm Not Your Baby."
A voice from the past, Pierre Lalonde, and one most respected in English Canada as well as Quebec, was also included in the deal with RCA in 1973 and marks his return to the recording scene with two chart entries: "Honey Bear" and "I'm Not Your Baby" as well as an album.
Regarded as "Quebec's phenomenon" for the year 1973 was Patrick Norman — "a new chapter in the history of Quebec music." He released three singles — all of which became number one hits. They were: "Mon Coeur est Le T" ("Doux Du Vienres") and "Jeux Un Homme D'Amour." He also signed with RCA in 1973 and marks his return to the recording scene with two chart entries: "Honey Bear" and "I'm Not Your Baby" as well as an album.
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**FRENCH INT'L IMAGE GROWS**
RCA's French international artists also figured prominently in the development of the RCA image in Quebec. Prominence of the French artists among these artists was Vicky. She also became a giant with pop programmers in English Canada, much of this success being attributed to the efforts of CFRB's music director Arthur Collins. In English Canada, Vicky also hit the top polls with both AM and FM programmers with "Chante Bouzouki," chalking up impressive sales in both markets, under the same title, which followed.
Joe LeBlanc was another name that found its way in Quebec. He made it with "Le Montagne," a hot summer hit followed by "J'aime" (I love) and another hit single, "Salut Les Amoureux."
Roger Whittaker also entered the winner's circle with "La Vie En Rose," number one song, "Une Rose Pour Isabelle."
Exclusive signing to RCA Quebec included by Michel Poliquin, a singer with star Christian Delarange. The latter toured Quebec for twelve days and called capacity crowds. He also released both a single and album "Si elle te disait oui" which was a big seller. He also signed to RCA the latter part of last year.
**VERY UNIQUE MARKET**
How unique is Quebec? Most English Canadian producers and record companies are envious of the successful pattern by that of Quebec artists. Their custom is to form their own labels and to concentrate for the development of their own stars. Quebec does have its own record companies and has built a successful recording industry — probably the only industry in which they have been successful. But, the English Canadians do not consider. French is the recognized language. They want to build an industry as their own — but can argue with RCA. RCA's Cook became aware of this Quebecois attitude — granted RCA Quebec complete autonomy and now reads a healthy bottom line.
---
**GRT'S NAT'L PROMO ORGANIZED BY BURNS**
Jeff Burns, national promotion manager and A&R manager for GRT of Canada, has recently completed the organizing of several national promotion systems with their distributors across western Canada.
As well, he called on many of the major centres across Canada touring GRT's latest releases including the new Elton John, Tom Lighthouse, and the recently reissued Everyday People album.
Burns set up a system whereby radio stations and programmers will be supplied with GRT product and bio material of GRT artists directly through their local distributor or through the GRT national office.
GRT product is handled through the west by Emerson Sales/Vancouver (Jean Leskiv, Monica Netpusky), Taylor, Pearson & Carson Ltd./Calgary (Barbara Laurel), Record Distribution/Winnipeg (Glen Goren-Smith).
Burns will be setting up a similar system for the province of Quebec and the Atlantic Provinces. The latter through Ted Evans in Montreal, Nova Scotia and in Montreal through Ken Dion and Danielle Yvon, his "C'est Aujourd'hui" becoming a top chart item and seller in Quebec.
---
**DEADLINE FOR ADS - TUESDAY NOON**
THIS IMPORTANT AD SPACE IS AVAILABLE.
For further information phone RPM (416) 425-0299
### RPM 100 Top Singles (51-100)
| Rank | Artist | Title | Label | Catalog |
|------|--------|-------|-------|---------|
| 51 | STAR BABY | CALL ON ME | Columbia 4-68662-H | |
| 52 | LIVING IN THE U.S.A. | ROOM FULL OF ROSES | MCA 1316 | |
| 53 | ANOTHER DAY AWAY | MACHIN GUN | Commodore 100-70-V | |
| 54 | IF YOU TALKIN' IN YOUR SLEEP | SLAP FOR THE WOLFMAN | Epic 9900-1 | |
| 55 | BALLERO | YOU'VE GOT MY SOUL ON FIRE | Epic 9900-1 | |
| 56 | REBEL REBEL | I'M A MAN | Epic 9900-1 | |
| 57 | SILLY MALLY | WORBLING SONG | Epic 111119-H | |
| 58 | LAMPLIGHT | GEORGIA PORCUPINE | George Martin 410-U | |
| 59 | YU & ME AGAINST THE WORLD | DANCIN' (ON A SATURDAY NIGHT) | Epic 111102-E | |
| 60 | WILD THING | TELL LAURA I LOVE HER | Yorkville 6002-D | |
| 61 | I FEEL LIKE MAKIN' LOVE | HANG UP & LOVE ME | MGM 1000-W | |
| 62 | IT MUST BE A WELL RAIN UNTIL SEPTEMBER | HICKORY | Frank Zappa & Four Seasons | |
| 63 | ROCK ME GENTLY | JIVE TURKEY (PART II) | Mercury 73480-G | |
| 64 | THE GOLDEN AGE OF ROCK 'N' ROLL | HAPPINESS IS JUST AROUND THE BEND | RCA 1330-N | |
| 65 | FINALLY GOT MYSELF TOGETHER | CAN YOU HURT ME? | Atlantic 1000-6 | |
| 66 | THIS FLIGHT TONIGHT | MY GOD CA CHOO | Alvin Stardust | |
| 67 | CAN YOU HANDLE IT | BELIEVE | Mushroom M7902-T | |
| 68 | KEEP ON SMILIN' | THERE'S SOMETHING I LIKE ABOUT THAT | Epic 106-4 | |
| 69 | THE NIGHT CHICAGO DIED | TELL ME SOMETHING GOOD | Studio 111027-A | |
| 70 | PUT OUT THE LIGHT | WORSE COMES TO WORST | Columbia 46956-H | |
| 71 | CAUSE WE'RE IN LOVE | MONEY MORGONEY | Columbia 4-68306-H | |
| 72 | WHEN I AM SO IN LOVE | WHEN MORNING COMES | Epic 9900-1 | |
| 73 | FOX HUNT | DON'T LET THE SUN GO DOWN ON ME | Columbia 46956-H | |
| 74 | IT'S HER TO LIVE | YOU'RE WELCOME, STOP ON BY | Bobby Womack | |
### RPM 100 Top Singles ALPHABETICALLY BY TITLE
**Air That I Breathe**, The (6)
**Airelles**, The (1)
**Annie's Song** (51)
**Another Sunday, Another Sunday** (31)
**Ballero** (55)
**Band On The Run** (7)
**Be Thankful For What You Got** (9)
**Big Country, Big Country Here** (5)
**Blowin' In The Wind** (97)
**Call On Me** (76)
**Can You Hurt Me?** (61)
**Cause We're In Love** (69)
**Close To You** (11)
**Come Monday** (31)
**Dancing Queen** (1)
**Dancin' (On A Saturday Night)** (84)
**Don't Let The Sun Go Down On Me** (74)
**Don't You Worry** (69)
**Everything's Coming Up Roses** (2)
**Falling Together** (85)
**For The Love Of Money** (85)
**Georgia Porcupine** (83)
**Goodbye, Goodbye, Roll, The** (64)
**Happiness Is Just Around The Bend** (85)
**I Can't Get No Satisfaction - The Pain** (81)
**Help Me** (14)
**Hoochie Coochie Man** (21)
**I'm Coming Home** (64)
**I'm Gonna Be (5-10-15)** (94)
**I Believe** (32)
**I Don't Like Me In Your Eyes Anymore** (46)
**I Feel Like Makin' Love** (61)
**I'll Be There** (10)
**I Wish It Were Me** (93)
**I Won't Be Without You** (34)
**I've Been Searchin' So Long** (39)
**I'm Gonna Be (5-10-15)** (94)
**If You Love Me Let Me Go** (51)
**If You Want Your Sleep** (51)
**If You Want To Be My Lover** (77)
**It's Her Turn To Live** (75)
**Jive Turkey (Part I)** (88)
**Just A Little Bit** (111) (September 62)
**Keep on Smilin'** (68)
**King Of The Road** (10)
**La Grange** (37)
**Lambert, P. & S. A.** (62)
**Loving You** (18)
**Loving You** (18)
**My God Ca Choo** (91)
**My Girl** (91)
**Night Chicago Died, The** (69)
**On The Road Again** (13)
**On And On** (20)
**One Hot Summer** (13)
**Please Come to Boston** (40)
**Put Out The Light** (70)
**Rebel Rebel** (56)
**Rock Me Gently** (63)
**Rock Me Gently** (63)
**Rockin' Baby** (21)
**Room Full Of Roses** (52)
**Save the Last Dance for Me** (8)
**Sister Rosetta** (1)
**Silly Mitty** (67)
**Son Of A Preacher Man** (16)
**Star Baby** (51)
**Streaky** (31)
**Sunday** (1)
**Take It Easy Business** (41)
**Teen Angel** (48)
**Tell Laura I Love Her** (85)
**Tell Me Something Good** (93)
**There's Something I Like About That** (93)
**This Time Tomorrow** (47)
**This Heart** (32)
**Time To Say Goodbye** (77)
**Train Of Thought** (18)
**Week End Blues** (36)
**Waterloo** (62)
**When I Am So In Love** (72)
**When Morning Comes** (98)
**Wild Thing** (44)
**Wildflower** (44)
**Wombats** (102)
**Workin' at the Car Wash Blues** (35)
**Worblin' Song** (57)
**You're Welcome, Stop on By** (100)
**You Are The One** (89)
**You Make Me Feel Brand New** (2)
**You & Me Against the World** (59)
**You Won't See Me** (1)
---
**RCA continued from page 1**
autonomy with recording, production, promotion, press and distribution etc., it was very natural that RCA's publishing houses (Sunbury / Dunbar) should receive a shot in the arm. A heavy concentration by this division was placed on the development as one of the leading publishing companies.
**ARTIST ROSTER INCREASES**
Some of the artists involved in the development of RCA's roster in 1973 continue to grow in 1974. Michel Pagliaro was signed to RCA in '73 and made it with "I Intend" Fragments which was a bigger Quebec hit of the year than the single "I'm Going To Gain" in English Canada with Gary Carr of CBC's "The Morning Show" (100). Pagliaro being the first to break the single in a "breakout market" was soon followed-up, "Proud To Be" another big hit. This was followed by the release of his album, "Proud To Be" which went to #1. He is also involved with The Rockers, a rock group who topped the Quebec charts with their RCA album "Rockin' The Night".
A voice from the past, Pierre Lalonde, and one more respected in English Canada as well as in Quebec, was also included in the RCA roster in 1973 and marked his return to the recording scene with two chart hits, "I'm Gonna Be (5-10-15)" as well as an album "C'est Aujourd'hui".
Regarding "Quebec's phenomenon" for the year 1973 was Patrick Norman — a new chapter in the history of "C'est Aujourd'hui". He released three singles — all of which became number one hits. They were: "Mon Coeur Est Ta", "D'où tu Viens" and "Pour un Désir". Patrick Norman has proved himself as new followers with his experimenting with their country music as well as the "breakout market". Norman has had an eye on the international market. He recorded with them the albums "Bilingual", "Spanish", "English", "Italian" and "Spanish", all showing good returns.
Francis Valliant is another writer/lyricist from Quebec that has been attracted to RCA. His contract renewal in 1973 resulted in his "C'est Aujourd'hui" becoming a top chart item and seller in Quebec.
**FRENCH INT'L IMAGE GROWS**
RCA's French division, Les Fils de la Rive, also figured prominently in the development of the RCA image in Quebec. Production one of the most important of these artists was Vickie. She also became a giant with pop programmers in English Canada, much of this success was due to the tremendous efforts of CF RB's music director Arthur Collins. Vickie's "Vickie" was a big hit in Quebec, jolts with both AM and FM programmers with "Charlie Boumouk", chalking up impressive sales figures. Vickie, with the same title, which followed.
The reason for Vickie's name thatared well in Quebec. He made it with "Le Mouvement", a hot summer hit followed by his album "Les Amours" and another hit single, "Salut Les Amoureux".
Roger Whittaker also extended the winner's circle with "I'm Number One" song, "Une Rose Pour Isabelle".
Exclusive contracts to RCA Quebec included those of Michel Pagliaro and singer/songwriter Christian Delargan. The latter toured Quebec for twelve days and pulled capacity crowds everywhere he went. His album and album "Si elle te disait oui" which was released after signing to RCA the latter part of last year.
**A VERY UNIQUE MARKET**
How unique is Quebec? Most English Canadian producers and record companies are envious of the successful promotion by that of Quebec artists. Their culture and they are truly talented. Because of the development of their own stars, Quebec does have its own record industry. It is one of the most successful recording industry — probably the only industry in which they have been successful. They have their own record labels, record sellers. French is the recognized language. They want their own industry as their own — and they can argue with the rest of RCA's.
Cook became aware of this Quebecois market when he visited RCA Quebec complete autonomy and now reads a healthy bottom line.
---
**GRT'S NAT'L PROMO ORGANIZED BY BURNS**
Jeff Burns, national promotion manager and A&R manager for GRT of Canada, has recently completed the organizing of several promotional tours for GRT with their distributors across western Canada.
As well, he called on many of the major centres across Canada touring GRT's latest releases including, Bobbie Gentry, Ian Thomas, Lighthouse, and the recently re-released Everyday People album.
Burns set up a system whereby radio stations and programmers would be supplied with record product and bio material of GRT artists directly through their local distributor rather than through central office.
GRT product is handled through the west by Emerson Sales/Vancouver (Jerry Eskwik), Monica Netpuksy), Taylor, Pearson & Carson (Calgary), and by Burns & Laurel Record Distributors/Winnipeg (Jim Gore-Smith).
Burns will be setting up a similar system for the province of Quebec and the Atlantic Provinces. The latter through Ted Evans in Toronto, Nova Scotia and in Montreal through Ken Dion and Danielle Veen.
Window display will sell
Any time a poorly produced but nicely packaged album came into RPM, it would be referred to as "Window display will sell." In other words, you would buy it if you saw it, but don't listen to it.
The problem of promoting albums has confronted the promo people for years and years. The only alternative to attempts made to introduce a new sound or a new image to the public. Every year there's been a new sound and every year there has been success.
NO FORMULA FOR AIRING LPs
A Conference meeting in Toronto, Bill Gavin brought up the subject of lunch. He mentioned that formal radio programming is not concerned with programming albums and album cuts that had previously been successful.
It still seems to be a challenge to programmers.
MUSIC FOLLOWS HIT SINGLE
Music follows the advent of the subculture and underground. In the late sixties FM play would sell albums and personal appearances would follow. It was the same with groups that bought a hit by a hit but were being bought by followers of the group or artist.
FREE FORM ON FM
FM radio stations like to play albums by unknowns because the free form of FM is popular. It's a way to reach a new and growing audience. New audiences and followers, and record sales can result.
There can be no promo man to do bring an album in at the attention of the consumer.
GETTING TO THE CONSUMER
Consumer publications are being used to bring the release of an album to the attention of the public. Usually the artist is known and the buyer is waiting for the album. Television and radio advertisements for new products will be seen on the same day.
Ultimately the promo team want airplay on the album. They want to see the album go. Consumer reviews of the album... in other words comments from the media that the album is available at a good price and the play of some of the better cuts on the air. The song goes out right to the potential buyer - the consumer. The album sells.
Promo copies are sold to radio stations at a promotional rate. Some are sent out free to important radio stations. How often a radio station that would seldom program country records, will automatically be given a copy of an album? Is it a station that does program country is being shipped a copy of an album?
BUY A BETTER BILLBOARD
Record companies have bought billboards to advertise their albums, but one of the best pieces of sale is the window display that can often be had just if the record company will pay to have it decorated tastefully. The record company will throw a lot of covers into a window that will be seen by thousands of people on the street to rent a billboard that every car driver will see... but how many record buyers will turn around and drive to the nearest record store and buy the record.
Get 'em where they are... right front of the record store and walk in. Make sure they see a good window display of your record and walk in and buy it. In that case... "Window display will sell!"
H.P. RITZ READIES CANCON PRODUCTION
H.P. Ritz, originally from San Francisco and now residing in Vancouver, will shortly enter Century 21 Studios in Winnipeg to record his first album of original songs. An expected "A" side is "You Were Made For Me" and another is "I'm Not Your Motherlode" single, "When I Die" will also be recorded to use as a possible flip side.
Billboard will be used extensively.
The group are receiving a heavy concentration of television ad support, particularly in western Canada. The album, and single, "Help Me Get It On," distributed by Concord Records, will be the first release for the group which Young hopes to expand on with his following singles.
On May 30, Ritz will again concert at the Arts Centre (28) where a heavy promotion campaign is now underway. The tour, just completed in western Canadian cities i.e. Calgary and Saskatoon where they experienced runaway crowds.
CARTER TOUR COINCIDES WITH ALBUM PUSH
RCA country favourite, Marty Carter, tours British Columbia and Alberta this summer, coinciding with a RCA push of his fifteenth anniversary album, "The Best of Marty." Released last year, it is a tribute to the artist's 25-year career.
The tour, set up by Ron Kalicoff of Kamloops, includes stops in Hundred Mile House (June 28), Quesnel (29), Williams Lake (30), Burnaby (July 4), Prince George (2), Chetwynd (4), Fort St. John (5), Grand Prairie (6) and Calgary (8).
London's Kristine Sparkle, front manager Barry Author (r) Norman Wylsdam and Jim Macdonald (London Records) at O'Keefe.
Mike Weyton and Don Archibald of AAA's Young St. Store with RCA's Tom Berry and David Bowie display.
Gail Anderson of J.C. Superstar takes time out from successful Vancouver concert for Dave Collins (left) and MCA's Barry Ryman.
Window display will sell
Any time a poorly produced but nicely packaged album came into RPM, it would be referred to as a "Window display will sell". In other words, you would buy it if you saw it, but don't listen to it.
The problem of promoting albums has confronted the promo group for years and years. The promo group has made many attempts to introduce a new sound or a new format to the public. Every time it has been used and in some cases ... there has been success.
FORMULA FOR AIRING LPS
At a recent Communication meeting in Toronto, Bill Gavin brought up the subject at lunch. He mentioned that formal radio stations are not interested in the programming albums and album cuts that had previously been used.
This still seems to be a challenge to programmers. Many years gone by, a hit would motivate an album into the top of the LP chart. The album that followed up the hit brought the buyer and extra sales. Now with the purchase of the single, they also wanted the album.
ALBUM FOLLOWS HIT SINGLE
The process was practically automatic and the consumer expected the album to follow the hit single.
The demise of the sub-culture and underground music in the late sixties FM play lists sell albums and personal appearances created a situation that the record companies who weren't nationally known by a hit but were being bought by followers of the group or artist.
FREE FORM ON FM
FM radio stations, to play albums by unknowns because the free form of FM allows disc jockeys to search out new and interesting music. The audience, listeners and followers, and record sales can result.
But can the promo group do to bring an album more attention on FM?
GETTING TO THE CONSUMER
Consumer publications are being used to bring the release of an album to the attention of the public. Usually the artist is known and the buyer is waiting for the album. Television and radio advertisements for new products are the same.
Ultimately the promo team want airplay on the album. They want to hear the album good. Consumer reviews of the album ... in other words experience the album ... in the album is available and a good product and the play of some of the better cuts on the air. The song gets out right to the potential buyer. This is the only way to get the audience through which has been created by a radio station and a record company.
Promo copies are sold to radio stations at a promotional rate. Some are sent out free to certain stations. Some are sold to all stations. The promo team's list of who can do what for the album is very important.
PROMO CORIES A BARGAIN
Music is a business and sometimes they can't get a copy of every album free. Forgetting the cost of the postage, the shipping and the handling expense is the least amount charge that most record companies place on their promo copies. The charge might really be there as a safeguard to find out who really wants the album. The record company sees little or any profit when selling a promo copy to a radio station at $1.50. In other words, "Do you really want it?"
Thinking about the programming value of H.P. RITZ READYING CANCON PRODUCTION
H.P. Ritz, originally from San Francisco and now residing in Vancouver, will shortly enter Century 21 Studios in Winnipeg to record his first album of Cancon compositions. An expected "A" side is "You Won't Made Me Cry" (Ritz). Another song, "Are You My Motherlode single, "When I Die" will also be recorded for use as a possible flip side. Both songs are produced by Ritz.
The group are receiving a heavy concentration of television airings, publicity, and appearances in Canada. Their album, and single "Help Me Get It On", distributed by Corus Records, is a major promotional effort for the group which Young hopes to expand on with his follow-up single.
On tour for Ritz's concert at the Arts Centre (28) where a heavy promotion campaign is now underway, they have just completed two successful Canadian dates i.e. Calgary and Saskatoon where they experienced turnaway crowds.
CARTER TOUR COINCIDES WITH ALBUM PUSH
RCA country favourite Marty Carter, tours British Columbia and Alberta this summer with an RCA push of his Fortieth Anniversary album. The album art, released last year, is a tribute to the artist's 40-year career.
The tour set up by Ron Kalicoff of Kamloops, includes stops in Hundred Mile House (June 28), Quesnel (29), Williams Lake (30), Kamloops (July 1-2), Prince George (2), Chetwynd (4), Fort St. John (5), Grand Prairie (6) and Calgary (8).
Mike Weyton and Don Archibald of A&A's Yonge St. Store with RCA's Tom Berry and David Bowie displays.
London's Kristine Sparkle, her manager Barry Authors (l) Norman Wisdom and Jim Macdugal (London Records) at O'Keefe.
Top Albums
| Rank | Artist | Title | Label | Chart |
|------|--------|-------|-------|-------|
| 1 | Gordon Lightfoot | MS 2717 P | CRX 2177 P | BRM 2177 P |
| 2 | John Mitchell | 2257 1001 P | CAS 1001 P | BAS-1001 P |
| 3 | Bob McCartney & Wings | Back On The Run (Apple) | Apple 183415 P | BXX3415 P |
| 4 | The Sting | Sounds Of The 30's | MCA/CBD 30 J | MCAT 380 J |
| 5 | Cat Stevens | Teaser And Chocolate Box (A&M) | SP 3632 W | B 3632 W |
| 6 | Maria Muldaur | The Best Of Maria (Reprise) | BHM 2148 P | BHM 2148 P |
| 7 | Loggins & Messina | On Stage (Columbia) | CBS 32101 | CBS 32101 |
| 8 | John Denver's Greatest Hits (RCA) | RCA 10032 J | CPSI 032 J/N |
| 9 | Grand Funk | All The Way (Epic) | SWAE 11278 P | SWAE 11278 P |
| 10 | Frank Zappa | Hot Rats (Reprise) | SP 2275 P | BHM 2175 P |
| 11 | The Byrds | Brother Of Mine (Chrysalis) | BCI 1057 P | BCI 1057 P |
| 12 | Eagles | On The Border (Asylum) | AS 1004 P | B 1004 P |
| 13 | Elton John | Goodbye Yellow Brick Road (MCA) | MCA 2 10003 J | MCAT 2 10003 J |
| 14 | Bachman-Turner Overdrive | Look At Yourself (Mercury) | M 10952 C | M 10952 C |
| 15 | Charlie Rich | Come Song (Capitol) | CAP 1000 N | CAP 1000 N |
| 16 | Steely Dan | Aja (ABC) | ABCX 808-N | ABCX 808-N |
| 17 | Chicago | Chicago (Columbia) | CZ 38510 H | CZ 38510 H |
| 18 | Steve Wonder | Superstition (Motown) | T 1526 L Y | T 1526 L Y |
| 19 | Doobie Brothers | What Can I Do (Warner Bros.) | WB 2750 P | WB 2750 P |
| 20 | American Graffiti Soundtrack (Geff) | AM 10010 | AM 10010 | 823D 1040 T |
| 21 | Lynyrd Skynyrd | Second Helping (MCA) | MCA 2 10002 | MCA 2 10002 |
| 22 | Earth, Wind & Fire | After Dark (Columbia) | KC 32717 H | KC 32717 H |
| 23 | Herbie Hancock | Headhunters (Columbia) | CA 32731 H | CA 32731 H |
| 24 | David Bowie | Changes (RCA) | RCA 1001 E | RCA 1001 E |
| 25 | Edgar Winter Group | The Best Of (Epic) | PL 22401 H | PL 22401 H |
Top Albums (really wanted) which constitute 100 selections. The cost would be $15. Nowhere in the world could you ever expect to buy a better bargain. Strange that radio stations aren't often made aware of this. Strange, that radio stations will accept free LPs that put their shelves with useless records and aren't always selective in what they want, and order only what they need. This is one area of quality.
2000 WELL CATALOGUED LPs
It would be better for a radio station to have 2000 well catalogued LPs that are programmable than 1000 LPs that have little air value but didn't cost anything. The system of buy what you want and sound one that is needed is true for all radio stations. How often a radio station that would seldom program country records, will automatically be given a free copy of an album from a station that does program country is being shamed by the free LP.
BUY A BETTER BILLBOARD
Record companies have bought billboards to advertise their albums, but they are the best points of sale is the record store window that can often be just as if the record company will pay to have it decorated tastefully. Too often the record store will throw a lot of covers into a window that will never sell. The record store is the street to rent a billboard that every car driver will see ... but how many record buyers will turn around and go into the nearest record store and buy the record.
Get 'em where they are ... right in front of the record buyer and let them in. Make sure they see a good window display of your record and walk in and buy it. In that case ... "Window display WILL sell!"
RPM's Deadline for ad reservations TUESDAY NOON
### RPM 100 Top Albums (51-100)
| Rank | Artist | Album | Label |
|------|--------|-------|-------|
| 51 | MAHAVISHNU ORCHESTRA | Apocalypse (Columbia) KC-20344-H | |
| 52 | STEVIE WONDER | Talking Book (Motown) T-3191-V | |
| 53 | JESSE COLIN YOUNG | Lightnin' (Warner Bros.) BWM-27190-P | |
| 54 | CANNY | Skid Away (Philips/Philco International) KZ-1001 | |
| 55 | BRUCE SPRINGSTEEN | Born to Run (Columbia) APL-0464-N | |
| 56 | JOHN DENVER | Country Roads & Promises (RCA) LSP-4689-N | |
| 57 | DONALD BYRD | In the Land of the Free (Blue Note) BN-LA 148-F-U | |
| 58 | TOWER OF POWER | Back to Oakland (Warner Bros.) BWM-27449-P | |
| 59 | ARETHA FRANKLIN | My Kind of Town (Atlantic) ATL-7292-P | |
| 60 | QUINCY JONES | Big Band (A&M) SP-3611 | |
| 61 | HELEN REDDY | Lord, I Need Your Lovin' (Capitol) SCOT-1284-E | |
| 62 | LES LEFFLER | Les (A&M) AC 7209-P | |
| 63 | HERB ALPERT & THE T.J.B. | The Song Begins (A&M) SP-3620 | |
| 64 | OLIVIA NEWTON-JOHN | If You Love Me Let Me Know (MCA) MCA-1001 | |
| 65 | OHIO PLAYERS | Soul Power (Polydor) SRM-1709-P | |
| 66 | RY CODDLE | Faith in You (A&M) APL-0472-N | |
| 67 | NEIL DIAMOND | Hot, Cool & the In-Between Hits (MCA) 71-1004 | |
| 68 | CHER | Live (MCA) 2113-J | |
| 69 | BILLY JOEL | The Stranger (Columbia) KC-32644-H | |
| 70 | JIM CROCE | Life and Times (A&M) ABCX-5701-N | |
| 71 | THE MAIN INGREDIENT | Applejack River (RCA) RCL-1001 | |
| 72 | LOGGINS & MESSINA | Loggins & Messina (Columbia) KC-32640-H | |
| 73 | ZUBAI-UR-RAH | Sultana's Dream (A&M) 1302 | |
| 74 | GRAHAM CENTRAL STATION | Central Station (Warner Bros.) BWM-2763-P | |
| 75 | KING CRIMSON | Starless & Bible Black (Atlantic) SC-32642 | |
| 76 | KOOL & THE GANG | Funky and Peppy (2x LP) BIBB-2013-T | |
| 77 | BILLY COBBHAM | Crossroads (Atlantic) CXL-1001 | |
| 78 | POCO | KE-3998-H | |
| 79 | SACRAMENTO TURNER OVERDRIVE | Sacramento Turner Overdrive (Mercury) SRM-1763-G | |
| 80 | GEORGE BENSON | The New (MCA) MCA-4102 | |
| 81 | CHARLIE RICH | The Best of (Epic) EPCX-0116-P | |
| 82 | GREGG ALLMAN | Gregg Allman (Capitol) COP-0116-P | |
| 83 | BILL COBBHAM | The Sound of the Blues (Capitol) SD-7286 | |
| 84 | THE MARSHALL TUCKER BAND | The Sound of the Blues (Capitol) SD-7286 | |
| 85 | RICK WAKEMAN | In the Court of the Sun (A&M) SP-3620 | |
| 86 | CURTIS MAYFIELD | Sweet Soul Sister (Curtom) CXL-1001 | |
| 87 | TEN YEARS AFTER | Ten Years After (Columbia) PC-32601-H | |
| 88 | CHARLIE RICH | The Best of (Epic) EPCX-0116-P | |
| 89 | LOU REED | Lou Reed Animal (MCA) APL-0472-N | |
| 90 | RINGO STARR | Ringo Starr (Capitol) SWAL-3413-F | |
| 91 | BRAD | Brad of Vol. 2 (Elektra) EL-1035-P | |
| 92 | KISS | Kiss (Capitol) NBLP-1001 | |
| 93 | DOOBIE BROTHERS | The Best of M & M (Warner Bros.) BS-2824-P | |
| 94 | BLUE OYSTER CULT | Blue Oyster Cult (Columbia) KC-32684-H | |
| 95 | JIM STAFFORD | Jim Stafford (RCA) SR-4072-P | |
| 96 | DIANA ROSS | Diana Ross at Caesar's Palace (MGM) MCA-1001 | |
| 97 | MARVIN GAYE | Marvin Gaye (Motown) MCA-1001 | |
| 98 | KRIS KRISTOFFERSON | Kris Kristofferson (Warner Bros.) PP-22011 | |
| 99 | THE CRUSADERS | Sounds of Silence (Thorn) BTS-8010-M | |
### RPM 100 Top Albums Alphabetically by Artist
- Aitman, Gregg (82)
- Alpert, Herb & the Tijuana Brass (61)
- Auder, John & the Union Express (95)
- Bachman-Turner Overdrive (14) (79)
- Blue Öyster Cult (51)
- Bowie, David (24)
- Byrd, Donald (57)
- Cat Stevens (88)
- Cher (68)
- Chicago (12)
- Cobham, Billy (73)
- Coolidge, Greg (73)
- Croix, Jim (42) (65) (78)
- Crusaders, The (100)
- Deep Purple (12)
- Denver, John (8) (66)
- Diamond, Phil (67)
- Diamond, Nelson (67)
- Douglas, Chuck (13) (94)
- Eagles (12)
- Earth, Wind & Fire (22)
- Emerson, Lake & Palmer (49)
- Frank Zappa (59)
- Gaye, Marvin (93)
- Geffen, George (51)
- Gibson, Neil (71)
- Graham Central Station (74)
- Grand Funk Railroad (45)
- Guess Who, The (43)
- Harmonia (Germany) (23)
- Jacks, Terry (31)
- Joel, Billy (69)
- John, Paul (11)
- Jones, Quincy (81)
- King Crimson (130)
- Kiss (83)
- Kool & the Gang & The Pipes (33) (47)
- Kook & the Gang (63)
- Kriss Kristofferson (99)
- Led Zeppelin (62)
- Lightfoot, Gordon (17)
- Loggins & Messina (7) (72)
- Lynyrd Skynyrd (17)
- MFSB (44)
- Minnesota Orchestra (51)
- Main Ingredient, The (71)
- Mayfield, Curtis (88)
- McCartney, Paul (3)
- Mitchell, Joni (2)
- Muldaur, Odetta (28)
- Muldaur (6)
- Murray, Ray (15)
- Newton-John, Olivia (64)
- Otis Redding (48)
- O'Jays (54)
- Osmond Brothers (32)
- Ozark Mountain Daredevils (41)
- Pink Floyd (18)
- Poco (78)
- Queen, Dusty (73)
- Queen (40)
- Reedy, Bobby (61)
- Reed, Lou (99)
- Roach, Art Blakey (37) (81) (89)
- Ross, Diana (93)
- Sears & Company (39)
- Simon, Carly (39)
- Soundtrack, American Graffiti (20)
- Spinal Tap, The (41)
- Spinners, The (34)
- Stafford, Jim (24)
- Starr, Ringo (93)
- Steely Dan (48)
- Stevens, Cat (5)
- Stray Cats (26)
- Styx (28)
- Ten Years After (87)
- Three Dog Night (58)
- Tower of Power (11)
- Trower, Robin (11)
- Tucker, Warren & the Blind Band (18)
- Wakeman, Rick (85)
- War (18)
- Weather Group (25)
- Wonder, Stevie (18) (92)
- Young, Neil (51)
- Z.Z. Top (39)
- Zappa, Frank (10)
### Sampling
- LP's
- Bill on the Run/Paul McCartney & Wings
- Sundown/Gordon Lightfoot
- John Lennon's Concert Hits
- What Were Those Vicious Brothers
- The Sting Soundtrack
- All Records/Toronto (Angela)
- Billy Don't Be A Hero/Heywood
- Band on the Run/Paul McCartney & Wings
- Midnight At The Oasis/Maria Muldaur
- You Make Me Feel Brand New/Stylistics
- Rock Me Baby/Billie Jean
- The Sting Soundtrack
- Band on the Run/Paul McCartney & Wings
- The Way We Were/Barbra Streisand
- The Sting Soundtrack
- Sundown/Gordon Lightfoot
- Band on the Run/Paul McCartney & Wings
- Come Together/Paul Mitchell
- Pinoff/Toronto (Barry Gordon)
- Billy Don't Be A Hero/Heywood
- You Make Me Feel Brand New/Stylistics
- Band on the Run/Paul McCartney & Wings
- It's Love/Mary Wells
- Rink/Steve Davis
- Haddad Records/Toronto (Doris Suliukah)
- Midnight At The Oasis/Maria Muldaur
- Billy Don't Be A Hero/Paper Lace
- I Will Survive/Barbara Streisand
- Band on the Run/Paul McCartney & Wings
- Ace SOUND/Vancouver (Doug)
### RPM 100 Top Albums (51-100)
| Rank | Artist | Album | Label | Catalog |
|------|--------|-------|-------|---------|
| 31 | MAHAVISHNU ORCHESTRA | Apocalypse | Columbia | KC 2467 |
| 32 | STEVIE WONDER | Songs In The Key Of Love (Motown) | T 3191-V |
| 33 | JESSE COLIN YOUNG | Little Man | Warner Bros. | BS 2709-P |
| 34 | BACHMAN-TURNER OVERDRIVE | Shakin' (Philips/International) | KZ 1781 |
| 35 | BRUCE SPRINGSTEEN | Born To Run (RCA) | APL 0464-N |
| 36 | JOHN DENVER | Country Roads & Promises (RCA) | LSP 4699-N | PKT 11-N |
| 37 | DONALD BYRD | Soulful (Blue Note) | BN-LA 148-T-U |
| 38 | TOWER OF POWER | Back To Our Roots (Warner Bros.) | BWM 2748-P |
| 39 | ARETHA FRANKLIN | Let Me Be Your Love (Atlantic) | ABT 7292-P |
| 40 | QUINCY JONES | Soul Heat (A&M) | SP 3601 |
| 41 | HELEN REDDY | Lord, I Need Thy Help (Capitol) | SO 11286-E |
| 42 | LEE RAZOR | Live (Atlantic) | AC 7309-P | ABC 7208-P |
| 43 | HERB ALPERT & THE T.J.B. | You're So Fine (The Song Begins) (A&M) | SP 3602 |
| 44 | ULVIA NEWTON-JOHN | If You Love Me Let Me Know (MCA) | 411-V |
| 45 | OHIO PLAYERS | Blue Sky (Polydor) | SRP 4-1709 |
| 46 | RITA COOLIDGE | Faith (A&M) | APL 0472-N |
| 47 | NEIL DIAMOND | Hot, Hot, Hot (MCA) | SP 3603 |
| 48 | CHER | Lady (MCA) | 2113-J |
| 49 | DOOBIE BROTHERS | Toulouse St. M.E. (Warner Bros.) | BS 2708-P |
| 50 | BILLY JOEL | Piano Man (Columbia) | KC 3244-H | CA 3254-H |
| 51 | JIM CROCE | Time In A Bottle (ABC) | ABCX8788-N |
| 52 | THE MAIN INGREDIENT | Euthymia River (RCA) | APL 0473-N |
| 53 | LOGGINS & MESSINA | Full Circle (Capitol) | KC2504-H | CA 3254-H |
| 54 | SUZI QUINN | I'm In Love With You (Bell) | 1303 |
| 55 | GRABMAN CENTRAL STATION | Grabman Central Station (Warner Bros.) | BS 2762-P |
| 56 | KING CRIMSON | Discipline (Atlantic) | SD 7364-P |
### RPM 100 Top Albums (1-50)
| Rank | Artist | Album | Label | Catalog |
|------|--------|-------|-------|---------|
| 1 | KOOL & THE GANG | Funky Monkeys (De Luxe) | WLP 2013-T |
| 2 | BILLY COBHAM | Chameleon (Atlantic) | LP 3812 |
| 3 | POCO | Poco (Epic) | KE 20589-H |
| 4 | BACHMAN-TURNER OVERDRIVE | Shakin' (Philips/International) | SRM 1673-G |
| 5 | DEGATTO | Degatto (MCA) | MC 2001 |
| 6 | CHARLIE RICH | The Best Of Charlie Rich (Capitol) | CDP 1616-P | CPOX 0116-P |
| 7 | GREGG ALLMAN | Gregg Allman (Capitol) | CDP 1616-P |
| 8 | BILL COBHAM | Chameleon (Atlantic) | SD 7368 |
| 9 | THE MARSHALL TUCKER BAND | A Different Kind Of Love (A&M) | SP 3604 |
| 10 | RICK WAKEMAN | The Court Of The Damned (A&M) | SP 3605 |
| 11 | CURTIS MAYFIELD | Keep On Movin' (Curtom) | C 2001 |
| 12 | TEN YEARS AFTER | Ten Years After (Columbia) | PC 32061-H |
| 13 | CAROLE KING | Tapestry (AS&M) | CS3601-W | BT3601-W |
| 14 | CHARLIE RICH | I'll Never Be Anymore (Capitol) | SP 3606 |
| 15 | LOU REED | Transformer (A&M) | APL 0472-N |
| 16 | RINGO STARR | Ringo (RCA) | SRAL 3413-F | 4WX3413-F |
| 17 | BRIAN ENO | Discreet Music (Vox) | 2 (E)Wk10 |
| 18 | KISS | Kiss (Casablanca) | NPS 7361-F |
| 19 | BLUE OYSTER CULT | Agents Of Fortune (Epic) | 4524-S |
| 20 | JIMMY BUFFETT | Margaritaville (Capitol) | KC 32058-H |
| 21 | JIMI HENDRIX | Axis: Bold As Love (MCA) | SP 3607-Q |
| 22 | DANNY BOOM | Danny's Palace (Monument) | SP 3608 |
| 23 | MARVING GAYE | What's Going On (Motown) | MG 7011 |
| 24 | KRIS KRISTOFFERSON | Kris Kristofferson (Monument) | PP 2701 |
| 25 | THE CRUSADERS | Southern Thing (Atlantic) | BTS 8010-M |
### SINGLE & ALBUM ACTION
**REPORTED NATIONALLY**
**EATONS/MONTREAL**
- **45's**
- TC 20P/MFSB
- The Entertainers/Marvin Hamlisch
- The Street/Ray Stevens
- Tightrope
- Band On The Run/Paul McCartney & Wings
- L.T.P.*
- Band On The Run/Paul McCartney & Wings
- Look Of Love/Marvin Hamlisch
- The Sting Soundtrack
- First Base/Babe Ruth
- Chicago V/I Chicago
- SHREEMANS/MONTREAL
- 45's
- Band on the Run/Paul McCartney & Wings
- Quicksilver Messenger Jackson Five
- Don't Worry About A Thing/Stevie Wonder
- The Bay/Montreal
- You Make Me Feel Brand New/Stylistics
- Aga Khan Memorial (Carol Myers)
- Gaye, Marvin (83)
- Aga Khan Memorial (Carol Myers)
- Graham Central Station (74)
- Band on the Run/Paul McCartney & Wings
- Don't Worry About A Thing/Stevie Wonder
- The Street/Ray Stevens
- You Make Me Feel Brand New/Stylistics
- L.T.P.*
- Band on the Run/Paul McCartney & Wings
- The Sting Soundtrack
- First Base/Babe Ruth
- Budbaah and the Chocolate Box/Cat Stevens
- Chicago V/I Chicago
- INTERNATIONAL/MONTREAL
- 45's
- You Make Me Feel Brand New/Stylistics
- Rock Your Baby/George McCrae
- T'es Mon Amour/Ginette Reno
- Don't Worry About A Thing/Stevie Wonder
- Rock the Boat/Hues Corporation
- LP's
- The Sting Soundtrack
- Sundown/Gordon Lightfoot
- Child of the Novels/Mahogany Rush
- Rock Me Gently/Andy Kim
- Band on the Run/Paul McCartney & Wings
- THE BAY/MONTREAL
- 45's
- Band on the Run/Paul McCartney & Wings
- Daring Young Man/Air Force Five
- Rock Your Baby/George McCrae
- Don't Worry About A Thing/Stevie Wonder
- LP's
- Band on the Run/Paul McCartney & Wings
- First Base/Babe Ruth
- Goodbye/Lionel Richie/Elton John
- Rhapsody in White/Love Unlimited
- LP's
- Diamond Dogs/David Bowie
- Star Fire/Married Mann
- Mott the Hoople
- Bachman-Turner Overdrive II
- Ozark Mountain Daredevils
**HARBOUR/ONTARIO**
- **45's**
- Billy Don't Be A Hero/Heywoods
- Band on the Run/Paul McCartney & Wings
- Midnight At The Oasis/Maria Muldaur
- You Make Me Feel Brand New/Stylistics
- Sundown/Gordon Lightfoot
- ROSS/ONTARIO
- 45's
- Barry, Barry
- Billy Don't Be A Hero/Heywoods
- Band on the Run/Paul McCartney & Wings
- I'll Love You/Martha & John
- You Make Me Feel Brand New/Stylistics
- Rock Your Baby/George McCrae
- L.T.P.*
- John McBride
- Marie Muldaur
- The Way You Were/Barbra Streisand
- The Sting Soundtrack
- Sundown/Gordon Lightfoot
- Band on the Run/Paul McCartney & Wings
- Cookin' With Mr. Mitchell
- PINDOFF/ONTARIO
- **(Barry Gordon)**
- Billy Don't Be A Hero/Heywoods
- You Make Me Feel Brand New/Stylistics
- Band on the Run/Paul McCartney & Wings
- I'll Love You/Martha & John
- Ricks/Steely Dan
- HARBOUR/ONTARIO
- **(Doris Suliuk)**
- Midnight At The Oasis/Maria Muldaur
- Billy Don't Be A Hero/Paper Lace
- I'll Love You/Martha & John
- Billy Don't Be A Hero/Heywoods
- Band on the Run/Paul McCartney & Wings
- AGA SOUND/VANCOUVER
- **(Doug)**
- Band on the Run/Paul McCartney & Wings
- Maria Muldaur
- The Sting Soundtrack
- Piano Man/Bill Joel
- Clapton/Eric Clapton & David Bowie
- KELLY'S/VANCOUVER
- **(LP's)**
- LP's
- Diamond Dogs/David Bowie
- Star Fire/Married Mann
- Mott the Hoople
- Bachman-Turner Overdrive II
- Ozark Mountain Daredevils
---
**THE ROBERT TENNISON TROUPE**
"Two Words, Three Words"
on Tenfam Records is now being released
---
**STAGING ENTERPRISES LIMITED**
Personalized Lighting Design
Sales-Leasing-Rentals/Installation
368-9885
58 Stewart St., Toronto
WHERE...IT ALL BEGAN!!!
Bob McFadden and Carl Prokop are working together again; that is to say, Carl will be producing Bob's new album.
Questions Who is the new rhythm guitarist for King? While Don DeRosa and Doug Wilson are giving the band, and Dominic Troiano is stepping up to the mike, Burton is still looking for a full-time two months for a replacement.
Scrubbable Cane It is in the process of being recorded on the current date. Replacing bass player Jimmy Kelly will be Gary Stefaniuk, singing Biscuit Boy has finished his session with the group at Milt's Studio, and is slated to play on the next Aretha Franklin album. The King's new album which was released recently, is called "King of Rock."
**PLANNED DATES OF THE WEEK**
**JUNE**
- Downchild Blues Band (24-29) — London, Ont.
- Drivin' Man (25) — Trenton, Ont.
- Vehicle (24-29) — New York, N.Y.
- Grasbelle Boogie Band (24-29) — The Country Tavern, Toronto (with the Murphy Sisters)
- Tudd (24-30) — The Electric Circle, Quebec (22-27)
- The Foot In Coldwater (28) — The Foot In Coldwater (28) — Elliott Lake, Ont.
- Brantford (29) — Brantford, Ont.
- Bala, Ont.
- High Ashford (29) — Beach Pavilion, Ont. (30)
- Lakefield, Ont.
- Truck (24-29) — Piccadilly Club, Toronto
- Audiomax (24-27) — The ABBey Road Pub, Toronto (26)
- open to the Mahavishnu Orchestra at Massey Hall, Toronto (27-28)
- Minden, Ont.
- Handley Page (29) — Bala, Ont.
Biscuit Boy.
Wednesday, is scheduled to do the TV show, Flipside, for CBC, Montreal. It has been reported that Wednesday will re-mix "Roses Are Red". Also scheduled for Wednesday this summer are: The Guess Who, The Doors, and The Heywoods, July 20 through August 10.
Audiomaster, local group managed by Dave Bluestein, formerly of Firebird Productions, will be on the road June 28th through July 1st at Massey Hall with Mahavishnu Orchestra. Devotion, local group from Toronto, had to cancel appearances over six weeks of engagement due to an accident.
Beth, playing at the Ottawa House, Hull, Ontario last Wednesday, June 7th, when someone in the audience got drunk and shot the guitar player in the right hand. Apparently, the drunk, who was the trigger, dropped the gun and ran out. The guitar player had the bullet removed at the local hospital. A couple inches higher or lower, and it would have been fatal.
With the musicians of Beth, there are local problems, and this might have been the cause.
Grasbelle Boogie Band will be at the Colonial Tavern (Toronto) June 24th to the 29th, and at the Royal York Hotel, the Murphy Sisters doing their thing of the early 40's.
Stampederers drew over 13,000 fans at Ontario Place, Toronto, on Saturday evening, June 13th. Last week, manager Mel Shaw of the Stampederers, announced that Concept 367 (Toronto - Canadian Representatives) with a gold record of their latest album, "The Best of the Stampederers," Donald K. Donald in Montreal for doing such a great job of promoting and controlling the Stampeder tour. It has also been reported at this time that the Stampederers are signed with a management firm in New York City to be their representative in the U.S., only.
The Mahogany Rush, The Foot In Coldwater concert scheduled for Montreal (July 17) was cancelled. Reason cited: lack of box office activities. The popularity of Mahogany Rush is evident now in Detroit and their home-town of Montreal.
That's Show Biz!
Larkspur (24-29)
- Flamingo, Thunder Bay, Ont.
- Bob McFadden (24-29)
- The Chimney, Toronto
- The Doghouse, Toronto (24-29)
- Friar's Tavern, Toronto
- Backbone (24-29)
- Javelin, Toronto
- Cottonwood (24-29)
- Briar Patch, Toronto
- McKendro Spring (27,28,29)
- Good Ol' Macombo (Upstairs) Toronto
- Brother John's, Toronto
- Good Ol' Macombo (Downstairs) Toronto
- Abraham's, Toronto
- The Gas Works, Toronto
APRIL WINDS EAST COAST TOUR
June 28 Rathburn
24 Newcastle
25 Hamiltonville
26 Halifax
27 Truro
28 Dartmouth
29 Summeride
30 Charlottetown
July 1 Par Hawkesbury
2 Sidney
3 New Glasgow
4 Amherst
5 Bridgewater
6 Yarmouth
8 St. John
9 Fredericton
10 Edmundton
11 Campbellton
19 Ottawa
**WESTERN TOUR FOR STAMPEDE**
A tour by British Columbia with a brief visit to Alberta has been announced for May. Standards and A&M's Stampede Fud. The tour kicks off in Vancouver, Alberta on July 9, followed by dates in Fort St. John (10), Prince George (11), Kamloops (13), Terrace (14), Port Alberni (15), Victoria (16), North Vancouver (17), Kamloops (18), Prince George (19), Kelowna (21), Penticton (22) and Trail (23). The tour was set up by the Stampederes of Montreal in conjunction with Vancouver's International Promotion Consultants.
**MUSHROOM CHANGES WESTERN DISTRIBUTION**
Shelly Siegel of Mushroom Records has announced the appointment of a new distributor for the label's product in the Alberta territory. Immediately, Taylor, Pearson & Co. Ltd. Calgary will be sole distributors, Peter March, manager of TP&C's Vancouver office, will be responsible for Musique.
Other Canadian distributors remain unchanged. These are: Laurel Records (Manitoba and Saskatchewan), Music Sales (British Columbia) and GRT (Ontario and points east).
**CHSR FREDERICTON HOSTS COFFY PROJECT**
Fredericton's community radio station CHSR will have an important role in the Youth Project over the summer months. Known as "Radio Coffy", the project will allow for the broadcasting of two student programs June, July and August. Purpose of the project is to give high school graduates and undergraduates the opportunity to become involved in radio broadcasting -- news preparation, program planning, recording techniques, record library organization etc. Additional funding from an anonymous source will enable to pay the participants to "earn while they learn".
Coordinator and founder of the project, CHSR's general director, Jim Latouche, has ranged weekly seminars with radio personalities relating segments of their experiences in broadcasting. First guest is Michael A. Plourde, a graduate from a U.S. broadcasting school, who will speak at "Good Morning Red Tape [and coffee]" in Radio Broadcasting.
One of the plugs made for the project will be compiled, produced by the project, to number, catalogue and computerize their collection of more than $500 45s.
**THE PROGRAMMERS**
A WEEKLY FEATURE OF RPM DESIGNED FOR CANADIAN RADIO PROGRAMMERS. MAIL, PHONE, OR TELEX YOUR INFORMATION TO REACH US BY 5PM TUESDAY.
**The power of the on-air personality**
While the theory of playing proven records has been established, there is always the chance that today's radio can find a way to bring the audience something new, exciting and unproven. The key to this might be in the presentation.
What can you do to make the audience sit up and listen to what you are about to do or say or even play?
**KEEP 'EM HANGING**
One of the most successful disc jockeys in the United States, Dick Clark told me that he will promo a new record for 10 minutes before the audience. The audience would stay with him just to hear what he was talking about. Usually the record was something that had been on the air for some time, but still wasn't proven. After he played the record, he became very excited with what he had just done and promised the audience they would be lucky enough to hear it again in the next hour if they stayed tuned.
Nothing like this. But if the audience was allowed to participate in the adventure of discovering a new sound and a new record, the results could be spectacular.
Participation is very important to radio and television today, more so than ever. Audiences are asking their audiences for new tips, comments, requests and are creating excitement in listening.
**DISCOVERING YOUR AUDIENCE**
On-air personalities should be encouraged to discover their audience rather than the other way around. Let's just consider a radio station audience. It's made up of lots of people with the personality talking to the audience. It's generous enough even between each record. The listener is then brought into the programming to the point where he is sharing the airwaves with the on-air personality. Add to this the communication and jock exchanges with the listener and the formula could be very interesting.
The personality could centre around what the listener likes of the current records. His reaction to a recent personal appearance of a new artist, a new item of the day (even a new item) or just the weather during the day.
**TALK ON RADIO**
In my travels, I've heard jocks do just this and they have done it very well. The listener can verify this. The personality has put out a great deal of the jock himself.
At C8 Marshall McLuhan asked the audience to "think of the telephone." Obviously, people like to listen in on other people's conversations. This technique could be modified to fit radio and the telephone could be the medium.
Keep it short, keep it current and keep it interesting. Lead the conversation right into music.
Radio is many things to many people ... and always a friend.
**RADIO/TV AWARDS FOR CONESTOGA STUDENTS**
Bill Walker, Bill Kinsman and David Baker, students in the Radio and Television Arts Program at Conestoga College (Kitchener) have won the 1974 awards supplied by the Canadian radio, cable and television consortium.
Walker was honoured with the CHYM "Best Newscaster" Award, presented by CHYM personnel. He will be working with the CBC (Toronto) over the summer months but will return to Conestoga in September to complete his third year of studies. Last year's CHYM Award was won by David Baker, who will be joining the full-time announce staff at CHYM.
The Grand River Cable Television Awards for 1974 went to Bill Kinsman. His subject - Ronald Lippert, of Kitchener, released from a Cuban jail and returned to Canada. Kinsman's award was based on his interview with Lippert headlined the CHYM broadcast. He received national coverage. Kinsman is a graduate from Carleton University. He has just completed a work-study term in Los Angeles, filing stories on the Patty Hearst case.
To Baker went the Ontario Television Broadcasters of the Year Award. He submitted videotape highlights of the CFL game -- produced by him as a class activity; submitted a report on the work he did in radio; and a sales presentation put together for a proposed TV program at the Doon Centre. Baker was one of six Conestoga students hired by the CBC for summer work. He returned to Conestoga in the fall. Winner of this Award last year, Baker is now a member of the services for Contemporary News, part of the CHUM Group, supplying voice news dictation to the newsroom.
Final presentations of the Awards will be made in September.
Bob McElroy and Skip Kupch are working together again; that is to say Skip will be producing Bob's new album.
Guess Who is in for another personnel change, with Ken Whiteley (McLaughlin) leaving the group, and Dominic Troiano is stepping up to the mike. Burton is still on the road for two months for a movie role.
Scrubbable Caine is in the process of replacing bass player Jimmy Kale will be Gary Stefaniuk.
King Biscuit Boy has started his session at the studio in Miami, Florida, and is slated to play on the next Arthel Franklin album. The King's new album which was released recently, is called "King Biscuit Boy."
WEDNESDAY OF THE WEEK
JUNE
Downchild Blues Band (24-29) — London, Ont.
Bruce Cockburn (24-30) — Trenton, Ont.
Vehicle (24-29) — New York, N.Y.
Greasbale Boogie Band (24-29) — Colonial Tavern, Toronto
Friar's Tavern, Toronto
Backbone (24-29) — Jarvis Street, Toronto
Cottonwood (24-29) — Bridle Path, Toronto
McKendron Spring (27,28,29) — Good Ol' Macomb (Upstairs) Toronto
Brother's Bar (24-29) — Good Ol' Macomb (Downstairs) Toronto
Abraham's (24-29) — The Gas Works, Toronto
APRIL WINE
EAST COAST TOUR
June 28, Bathurst
24 Newcastle
25 Moncton
26 Halifax
27 Truro
28 Dartmouth
29 Summerside
30 Charlottetown
July 1 Port Hawkesbury
2 Sydney
3 St. Glasgow
4 Antigonish
5 Bridgewater
6 Yarmouth
8 St. John
9 Fredericton
10 Edmonton
11 Campbellton
19 Ottawa
A&M night at the Horseshoe for Ian Tyson's opener brought out a capacity house including CFOM's Bill Anderson and wife.
Bill Anderson and Roger Ashby of CHUM attended opening night party for Shawne Jackson, hosted by Quality's Gene Lew.
The Programmers
A WEEKLY FEATURE OF RPM DESIGNED FOR CANADIAN RADIO PROGRAMMERS. MAIL, PHONE, OR TELEX YOUR INFORMATION TO REACH US BY 5 PM TUESDAY.
The power of the on-air personality
While the theory of playing proven records has been established, there is always the chance that today's radio can find a way to bring the audience something new, exciting and unproven. The key to this might be in the presentation.
What do you do to make the audience sit up and listen? What are you about to do or say or even play?
KEEP 'EM HANGING
One of the most successful disc jockeys in the country, George Martin told me that he will promo a new record for his station before the record company would stay with him just to hear what he was talking about. Usually the record was something that had been rejected by the company, but still wasn't proven. After he played the record, he became very excited with what he had just done and promised the audience they would be lucky enough to hear it again in the next hour if they stayed tuned.
Not long ago, a station in the audience was allowed to participate in the adventure of discovering a new sound and a new recording.
Participation is very important to radio and a few years ago it was not but nonexistent. Today, more and more on-air personalities are asking their audiences for new tips, comments and requests and are creating excitement in the process.
DISCOVERING YOUR AUDIENCE
On-air personalities should be encouraged to involve their listeners directly with the audience. Let's just consider a radio station that tapes a lot of on-air with the personality talking to the audience. It is generally evenly even between each record. The listener is then brought into the programming to the point where he is sharing the airwaves with the on-air personality. Add to this the combination the jock establishes with the listener and the formula could be very interesting.
The combination could centre around what the listener likes from the current records. His reaction to a recent personal appearance of the personality, a news item of the day (even a news item) or just the weather outside.
TALK ON RADIO
In my travels, I've heard jocks do just this and have done it very well. The listener can very often tell when the jock is doing just a great deal of the jock himself.
At C8 Marshall McLuhan talked about the success of the telephone. Obviously people like to listen in on other people's conversations. The telephone technique modified to fit radio and the telephone could be the medium.
Keep it short, keep it current and keep it interesting. Lead the conversation right into music.
Radio is many things to many people ... and always a friend.
CHSR FREDERICTON HOSTS COFFEE PROJECT
Fredericton's CHSR, the radio station, CHSR will have an Opportunity for Youth Project over the summer months. Known as "Radio COFFY", the project will allow for the training of high school students during June, July and August. Purpose of the project is to give high school graduates and under-graduates the opportunity to become involved in radio broadcasting -- news preparation, record selection, mixing techniques, record library organization etc.
Additional funding from an anonymous donor will enable the participants to "earn while they learn".
Co-ordinator and founder of the project, CHSR's program director, Jim Latouche, has arranged weekly seminars with radio personalities relating some of their experiences. Participants will include Jim, Michael A. Plourde, a graduate from U.S. broadcasting school who will speak on "Commercial Red Tape" [and control] in Radio Broadcasting.
One of the plans for the project will be to help, prepare by the project, to number, catalogue and computerize their collection of more than $500 45s.
Telex your Programmers information to RPM by Tuesday at 5 P.M.
Telephone: 415-0257
Telex: 06-22756
The following singles are projected to reach the top 25 of their respective charts, based on early radio station action among the stations in the RPM sample.
Contemporary
DON'T LET THE SUN GO DOWN ON ME
Elton John (MCA)
CALL ON ME
Chicago (Columbia)
I'M ON FIRE FOR YOU
April Wine (Aquaus)
Adult
ROCK THE BOAT
Huey Lewis (RCA)
MOONLIGHT SERENADE
Deodato (MCA)
I WANT TO LOVE ME
Susan Jacks (Goldfish)
Country
SHOESHINE WORKIN' SONG
Murray McLauchlan (True North)
CABIN IN THE STREAM
Drylanders (Skyline)
RUB IT IN
Billy Craig Craddock (ABC)
NATIONAL TOUR PART TWO
* TORONTO RECORD CROWN ONTARIO PLACE 15,000
June 24 Calgary, Alta.
25 Red Deer, Alta.
26 Edmonton, Alta.
27 Lethbridge, Alta.
29 Medicine Hat, Alta.
30 Moose Jaw, Sask.
July 1 Estevan, Sask.
2 Saskatoon, Sask.
3 North Battleford, Sask.
4 Prince Albert, Sask.
5 Regina, Sask.
6 Swift Current, Sask.
July 8 Grand Prairie, Alta.
9 Fort St. John, B.C.
10 Prince George, B.C.
11 Prince Rupert, B.C.
12 Port Alberni, B.C.
13 Victoria, B.C.
14 Vancouver, B.C.
15 Chilliwack, B.C.
16 Kamloops, B.C.
17 Vernon, B.C.
18 Kelowna, B.C.
19 Penticton, B.C.
20 Trail, B.C.
TOUR ARRANGEMENT AND PROMOTION - DONALD K. DONALD
IN CONJUNCTION WITH IPC VANCOUVER - RON SAKAMOTO ALBERTA - DAVE WARREN SASKATCHEWAN
COORDINATED BY CONCEPT.
| # | Artist | Title | Label/Format |
|----|-------------------------------|--------------------------------|--------------|
| 1 | AMI | HAVEN'T GOT TIME FOR THE PAIN | CBS 45637-P |
| 2 | FOX HUNT | I DON'T SEE ME IN YOUR EYES ANYMORE | A&M 1126-W |
| 3 | (S) | TIME TO CRY | Epic 108-Q |
| 4 | (S) | ANN-AMARIE | Brook Miller 359-W |
| 5 | (S) | ANN'S SONG | RCA AP60-1029-N |
| 6 | (S) | SAVE THE LAST DANCE FOR ME | Columbia 2088-T |
| 7 | (S) | MIDNIGHT AT THE OASIS | Epic 1183-P |
| 8 | (S) | IF YOU GO AWAY | Atlantic 1024-W |
| 9 | (S) | I WON'T LIE A DAY WITHOUT YOU | A&M 1021-W |
| 10 | (S) | PLEASE COME TO BOSTON | Epic 1015-H |
| 11 | (S) | THE AIR THAT I BREATHE | Epic 5-1110-H|
| 12 | (S) | GREAT CANADIAN TOUR | A&M AM 360-W |
| 13 | (S) | I'M SEARCHING SO LONG | Chrysalis 1000-W |
| 14 | (S) | ROCK THE BOAT | Hula Corporation 1000-W |
| 15 | (S) | YOU WON'T SEE ME | Capitol 1272-F |
| 16 | (S) | WORKIN' AT THE CAR WASH BLUES| ABC 1443-N |
| 17 | (S) | SLEEPIN' | Mama Ross 1000-W |
| 18 | (S) | IT MIGHT AS WELL RAIN UNTIL SEPTEMBER | Epic 1015-H |
| 19 | (S) | OH VERY YOUNG | A&M 1032-W |
| 20 | (S) | TRAIN OF THOUGHT | Columbia 1024-L |
| 21 | (S) | ROCK ME GENTLY | Andy Kim 101-C |
| 22 | (S) | JUST AS BAD AS YOU | Philips 510053X-M |
| 23 | (S) | WAVES | MCA 4071-P |
| 24 | (S) | SHANGHAI, FOR WHAT YOU GOT | Williams/Vaughan 1000-W |
| 25 | (S) | SUNDOWN | Epic 1024-W |
| 26 | (S) | HELP ME | Asylum 1103-P |
| 27 | (S) | IF YOU LOVE ME LET ME KNOW | Columbia 2088-T |
| 28 | (S) | THE ENTERTAINER | Marvin Hamilton 1000-W |
| 29 | (S) | DON'T YOU WORRY | Gold Note GN 1000-G |
| 30 | (S) | BELIEVE | Mushroom M7102-T |
| 31 | (S) | KEEP ON CHANGIN' | MGM M 11723-J |
| 32 | (S) | SONGS FOR AN OLD SONG | Tony Doris 1000-W |
| 33 | (S) | MLADY | Polka Line 1000-W |
| 34 | (S) | WHEN I'M SO IN LOVE WITH YOU | Kanata KAN 1020-X-M |
| 35 | (S) | I'M IN LOVE | Atlantic 2059-A-C |
| 36 | (S) | ANNIE SINGS | Warner 1000-W |
| 37 | (S) | LAMPLIGHT | David Essex 4001-H |
| 38 | (S) | SUMMER GIRL | United Artists UA XW 453-W-U |
| 39 | (S) | BRENDA | Epic 1015-H |
| 40 | (S) | THE HOME-COMING | Nragod Harvey & Friends 1000-W |
| 41 | (S) | YOU & ME AGAINST THE WORLD | Helen Reddy 1000-W |
| 42 | (S) | LIGHTNING SERENADE | MCA 40252-J |
| 43 | (S) | WHEN THE MORNING COMES | A&M 140-W |
| 44 | (S) | SOMETHING TO LOVE ME | Shirel James 1004-K |
| 45 | (S) | ALL I EVER NEED IS YOU | Sundancers 1000-W |
| 46 | (S) | CLOE YORKTON | (Geri Lewis) |
| 47 | (S) | CROH AMHERST, N.S. | Rock & Roll/Righteous Bros. |
| 48 | (S) | RIKKI STEELY DAN | Annie's Song/John Denver |
| 49 | (S) | CATCH ME | Reakin' Robin's Children |
| 50 | (S) | LOVE COME QUINCY | Ken Tobias |
---
**The Programmers**
**HELP!**
Contemporary Morning News Writer/Jock, some late work involved, with air shifts. For medium sized market in Central Ontario. Must be able to invest in contact Robert Vairo, CKSO, Toronto 674-0731.
Young programmer for library duties, preferably male, male or female. On-air, on-air, on-air. Contact Program PD at CHML, 848 Main St. E., Hamilton, No phone ext.
CFCG Ottawa still looking for a newsman. Contact Bill Baker.
CHNL Kamloops, B.C. requires aggressive newsman/journalist. Send tape and resume to Jim Harrison.
A good all-around reporter for work day and evening shifts on rotation. Must be comfortable in production and able to create a good news-upbeat show. Formerly format, Tapes and resumes to Ken Hardie, CFCB Radio, Box 850, Fort Frances, Ontario P9A 1K0.
St. Louis Saskatchewan requires air people. Contact Dave Fisher, P.O. Box 340, Weyburn, SK.
Production Manager needed, experienced, full time slot at station not just record announcer; good morning work, some TV work. Contact Mark Lewis, CIQC, Dawson Creek (504) 782-3341.
**NEWSMAN WANTED**
CFCG looking for experienced newsman. Contact Bill Baker, CFCG, 140 Wellington St., Ottawa K1P 2A2.
Chris McGregor of CKX/Brandon reports first initial action to the new Lightweight album, "Good Day". The station began airing cuts from the album (June 14). Skip McLeod (who is currently touring Canada) brought a new copy into the studio and played it live at CKX when McGregor played it. An on-air carry came about and after a few days of play three cuts were added by audience vote: "Reincarnation", "Good Down", "Good Day".
Peter Meighan, who does on-the-air shift at CHS) Saint John, N.B. is programming his own music using his own voice. The format will be on the air from 10am, 6PM to midnight, has registered the highest ratings in the market for some three years. His personalized format allows him to stretch out on the limbo. This week he likes to play Beatles and the Beatles. Maybe he isn't stretching that much.
The CBC Radio Network is presently performing a survey of Canadian folk music, to air in the fall. A heavy concentration will be placed on the Canadian variety of folk music and the results will be ......... Oscar Brand. They'll get letters - and they're good letters - and there are several good Canadian hosts who know the Canadian folk scene better than they could themselves - and breed.
Frank Lowe moves from afternoons at CKEX in Glasgow over to the prime time slot at CKWB in water town, CBKW in Bridgewater, Nova Scotia. Also doing on-air duties are: Al Mosher, Bob MacLaren, Dale McLean, Dave Henry, Doug Taylor and Lou Leblanc.
Newly appointed morning director at CFCB Cornwall, Ont., Dave Chase, is doing his promotions and programming together. CHOM-FM Montreal's check of stores for
| # | Artist | Title | Label |
|----|-------------------------------|--------------------------------|----------------|
| 1 | CCR | HAVEN'T GOT TIME FOR THE PAIN | MCA 4075-7-P |
| 2 | FOX HUNT | I DON'T WANT TO BE A MAN | A&M 1126-W |
| 3 | CARAVAN | I DON'T SEE ME IN YOUR EYES ANYMORE | MCA 4078-7-P |
| 4 | CARAVAN | TIME TO CRY | MCA 4078-7-P |
| 5 | ANNA-MARIE | ANNIE'S SONG | RCA 4P60-299-W |
| 6 | ANNA-MARIE | IF YOU GO AWAY | RCA 4P60-299-W |
| 7 | SHOUDI | MIDNIGHT AT THE OASIS | MCA 4078-7-P |
| 8 | SHOUDI | LOVE MAY BE THE ANSWER | MCA 4078-7-P |
| 9 | SHOUDI | I WON'T LAST A DAY WITHOUT YOU | MCA 4078-7-P |
| 10 | CARAVAN | PLEASE COME TO BOSTON | MCA 4078-7-P |
| 11 | CARAVAN | THE AIR THAT I BREATHE | MCA 4078-7-P |
| 12 | CARAVAN | GREAT CANADIAN TOUR | MCA 4078-7-P |
| 13 | CARAVAN | SEARCHIN' SO LONG | MCA 4078-7-P |
| 14 | CARAVAN | ROCK THE BOAT | MCA 4078-7-P |
| 15 | CARAVAN | YOU WON'T SEE ME | MCA 4078-7-P |
| 16 | CARAVAN | WORKIN' AT THE CAR WASH BLUES | MCA 4078-7-P |
| 17 | CARAVAN | THE BREAK | MCA 4078-7-P |
| 18 | CARAVAN | SLEEPIN' | MCA 4078-7-P |
| 19 | CARAVAN | IT MIGHT AS WELL RAIN UNTIL SEPTEMBER | MCA 4078-7-P |
| 20 | CARAVAN | OH VERY YOUNG | MCA 4078-7-P |
| 21 | CARAVAN | TRAIN OF THOUGHT | MCA 4078-7-P |
| 22 | CARAVAN | ROCK ME GENTLY | MCA 4078-7-P |
| 23 | CARAVAN | JUST AS BAD AS YOU | MCA 4078-7-P |
| 24 | CARAVAN | WAVES | MCA 4078-7-P |
| 25 | CARAVAN | I'LL THINK OF YOU FOR WHAT YOU GOT | MCA 4078-7-P |
| 26 | CARAVAN | SOME SEASON | MCA 4078-7-P |
| 27 | CARAVAN | SUN DOWN | MCA 4078-7-P |
| 28 | CARAVAN | HELP ME | MCA 4078-7-P |
| 29 | CARAVAN | IF YOU LOVE ME LET ME KNOW | MCA 4078-7-P |
| 30 | CARAVAN | NEW WORDS FOR AN OLD SONG | MCA 4078-7-P |
| 31 | CARAVAN | LAMP LIGHT | MCA 4078-7-P |
| 32 | CARAVAN | SUMMER GIRL | MCA 4078-7-P |
| 33 | CARAVAN | BRENDA | MCA 4078-7-P |
| 34 | CARAVAN | THE HOME-MINING | MCA 4078-7-P |
| 35 | CARAVAN | YOU & ME AGAINST THE WORLD | MCA 4078-7-P |
| 36 | CARAVAN | LUNGSOM SERENADE | MCA 4078-7-P |
| 37 | CARAVAN | WHEN THE MORNING COMES | MCA 4078-7-P |
| 38 | CARAVAN | I'LL THINK OF YOU FOR WHAT YOU GOT | MCA 4078-7-P |
| 39 | CARAVAN | ALL I EVER NEED IS YOU | MCA 4078-7-P |
| 40 | CARAVAN | CIGAR VACATION | MCA 4078-7-P |
| 41 | CARAVAN | I'LL THINK OF YOU FOR WHAT YOU GOT | MCA 4078-7-P |
| 42 | CARAVAN | BRENDA | MCA 4078-7-P |
| 43 | CARAVAN | THE HOME-MINING | MCA 4078-7-P |
| 44 | CARAVAN | YOU & ME AGAINST THE WORLD | MCA 4078-7-P |
| 45 | CARAVAN | LUNGSOM SERENADE | MCA 4078-7-P |
| 46 | CARAVAN | WHEN THE MORNING COMES | MCA 4078-7-P |
| 47 | CARAVAN | I'LL THINK OF YOU FOR WHAT YOU GOT | MCA 4078-7-P |
| 48 | CARAVAN | ALL I EVER NEED IS YOU | MCA 4078-7-P |
| 49 | CARAVAN | CIGAR VACATION | MCA 4078-7-P |
| 50 | CARAVAN | I'LL THINK OF YOU FOR WHAT YOU GOT | MCA 4078-7-P |
Chris McGregor of CKX-Brantford reports exact initial action to the new Lighthouse album, "Good Day". The station began airing cuts from the album (June 14). Skip McLeod (who has been touring Canada) brought a new copy into the studio and played it first at CKX when McGregor played it. An audience show came about and after a few days of play testing, the album was released in its entirety: "Reincarnation", "Good Downtown", "Good Day".
Peter Milnagh, who does the on-air shift at CHSJ Saint John, N.B., is programming his own music using his own playlist. The format will be the same all day, 6PM to midnight, has registered the highest ratings for any station in some years. His personalized format shows him to stretch out to the limit. This week he likes the Beatles and the Rolling Stones. Maybe he isn't stretching that much.
The CBC Radio Network is presenting Peter Milnagh with a course in folk music, to air in the fall. A heavy concentration will be placed on the Canadian variety of folk music, including the blues, etc. Oscar Brand. They'll get letters - and phone calls - from people asking several good Canadian hosts who know the Canadian folks songs and they could name them - and be asked.
Frank Lowe moves from afternoons at CKEX in Glasgow, Ont., to the late night slot at CKX in Bridgewater, Nova Scotia. Also doing on-air duties are: Al Mosher, Bob MacLaren, Gary Richards, Dave Hensel, Doug Miller and Lou Leblanc.
Newly appointed program director at CFGB Cornwall, Ont., is Dave Chalk, getting his promotions and programming together.
| Artist | Title | Label | Country |
|-------------|------------------------------|-------|---------|
| WHEN THE MORNING COMES | Neil Ashley | RCA AP10257 N | 1 |
| WE COULD | George McCrae | RCA AP10257 N | 2 |
| BITTER SWEET SONGS | Canned Heat | Columbia C4-0348-H | 3 |
| ANNA MARIA | George Jones | RCA AP10260 W | 4 |
| IF YOU LOVE ME LET ME KNOW | Olivia Newton-John | RCA AP10261 N | 5 |
| ROOM FULL OF ROSES | Mickey Newbury | Prestige 1056 M | 6 |
| I DON'T SEE ME IN YOUR EYES ANYMORE | Ray Price | RCA AP10262 N | 7 |
| PURE LOVE | The Byrds | RCA AP10263 N | 8 |
| THEY DON'T MAKE 'EM LIKE MY DADDY | Loretta Lynn | RCA AP10264 N | 9 |
| BATTLE OF NEW ORLEANS | Mike Graham & Friends | RCA AP10265 W | 10 |
| THIS TIME | Bobby Darin | RCA AP10266 N | 11 |
| I'M NOT THROUGH LOVING YOU | Jerry Reed | RCA 46222 N | 12 |
| SPANISH MEDIAN TOUR | Jim Reeves | MGM AM 369 W | 13 |
| I WILL ALWAYS LOVE YOU | George Jones | RCA AP10263 N | 14 |
| HE THINKS I STILL CARE | Caspian 365 | Capitol 1024 N | 15 |
| MARIE LAVEAU | Bob Dylan | RCA 46224 N | 16 |
| HIS KIND OF WOMAN | Duane Eddy | RCA 46225 H | 17 |
| LEAN IT ALL ON ME | Duane Eddy | Din 17652 M | 18 |
| HOW LUCKY CAN ONE MAN BE | Duane Eddy | Din 17652 M | 19 |
| LITTLE BOY BLUE | Duane Eddy | RCA 7348 T | 20 |
| THE THING THAT TURNS MY MAMA ON | Jerry Tucker | Columbia 4-0349-H | 21 |
| THE STREAK | Ray Stevens | MGM AM 3670 T | 22 |
| A GOOD WOMAN'S LOVE | Ray Price | RCA AP10267 N | 23 |
| STOMP THEM GRAPEs | Ray Price | MGM 1472 QO | 24 |
| THAT SONG IS DRIVING ME CRAZY | Marty Robbins | RCA 7348 U | 25 |
| BLOODY MARY MORNING | Wynn Stewart | Atlantic 1059 | 26 |
| IF I COULD CLOSE MY EYES | Country Edition | Capitol 1024 | 27 |
| STANDING ON THE PROMISES | Condor 10725-C | 28 |
| I'LL WALKIN' | Kenny Rogers | King K 724-11 | 29 |
| ANNIE'S SONG | Richie Havens | RCA 46226 N | 30 |
| CAREFUL MOUNTAIN PONY | William Shatner | RCA 1056 M | 31 |
| COME AUTUMN (Knocking) | Stepp St 4-15X M | 32 |
| PLANT THE SEEDS | Capitol 1024 | 33 |
| BABY & ME | Capitol 1024 | 34 |
| I WANT TO STAY | Nanell Felts | Capitol 1024 | 35 |
| DON'T YOU THINK | Marty Robbins | MFP 1024 | 36 |
| STATUE OF A FOOL | Billie Jean | Dot 17489X M | 37 |
| AS SOON AS I HANG UP THE PHONE | Wynn Stewart | King K 724-11 | 38 |
| RIDE IT IN | Billie Cash Craddock | Atlantic 1059 | 39 |
| SONG THAT ANNIE SINGS | Judd 365 W | 40 |
| THE DEPARTURE | Gene Autry | RCA 46226 N | 41 |
| SHINEBINE WORKIN' SONG | King K 724-11 | 42 |
| I'D FIGHT THE WORLD | RCA 46226 N | 43 |
| FRECKLES & POLLYWOG DAYS | ABC 114324 | 44 |
| THE SINGING NEWFOUNDLANDER | Rhodes RG 3274 K | 45 |
| SEXY LADY | Prestige 1056 M | 46 |
| IT'S A FINE LINE | Stan Jordan | Capitol 1024 | 47 |
| CABIN BY THE STREAM | Skylanders | 48 |
| CAN I COME HOME | Billie Jean | MCA 40265-L | 49 |
| TALKING TO THE WALLS | Wynn Stewart | Columbia 46226-H | 50 |
**The Programmers**
**Country Additions**
| Artist | Title | Label | Country |
|-------------|------------------------------|-------|---------|
| CFCH CAMROSE | Bill McGee & Curly Gurluck | No. 1 | 1 |
| CHCL MEDELEY, ALTA. | Larry Gatlin | 2 |
| CKDQ FONDEVILLE, N.S. | Arne Hagen | 3 |
| CKFM HALIFAX | Scary Lady/Fredly Weber | 4 |
| CKJG KAMLOOPS | Dave Foster | 5 |
| CKLD AMHERST, N.S. | Paul Kennedy | 6 |
| CKLG RICHMOND HILL, ONT. | (Dave) Jones | 7 |
| CKLM CALGARY | (Larry Kunkel) | 8 |
| CKLT WINDSOR | (Ron Foster) | 9 |
| CKLV VICTORIA | (Mike) Martin | 10 |
| CKMC/CKGA/CKIM | (Murray McLauchlan) | 11 |
| CKCY CHARLOTTE TOWN | Stormy & Troubled Times/Ray Price | 12 |
| CHEX PETERBOROUGH | Little Boy Blue/Carril Baker | 13 |
| CKWX VANCOUVER | (Dugan) | 14 |
| CFCH CAMROSE | Talkin' to the Wall/Lynn Anderson | 15 |
| CHCL MEDELEY, ALTA. | Sing Along With Me/Linda Brown | 16 |
| CKLM CALGARY | Blue Train/Elvis Presley | 17 |
| CKLD AMHERST, N.S. | Should Be Together/Don Williams | 18 |
| CKFM HALIFAX | I Don't See Me/Charlie Rich | 19 |
| CKLG RICHMOND HILL, ONT. | The Boy From The Bridges | 20 |
| CKLM CALGARY | Little Boy Blue/Carril Baker | 21 |
| CKLD AMHERST, N.S. | I Don't See Me/Charlie Rich | 22 |
| CKFM HALIFAX | We Could Love Puss/Charley Pride | 23 |
| CKLD AMHERST, N.S. | When the Morning Comes/Hoyt Axton | 24 |
| CKLG RICHMOND HILL, ONT. | Will A Pint Of Whiskey/Don Parton | 25 |
| CKLM CALGARY | Like My Daddy/Loretta Lynn | 26 |
| CKLD AMHERST, N.S. | I Still Care/Aimee Mann | 27 |
| CKLG RICHMOND HILL, ONT. | Don't Let Go/Tillis & Bryce | 28 |
| CKLM CALGARY | (P) The Brothers and Sister Bros. | 29 |
| CKLD AMHERST, N.S. | (PLP) Womad/Tom O'Conner | 30 |
| CKLG RICHMOND HILL, ONT. | (Dave) Jones | 31 |
| CKLM CALGARY | Sexy Lady/Fredly Weber | 32 |
| CKLD AMHERST, N.S. | I Don't See Me/Charlie Rich | 33 |
| CKLG RICHMOND HILL, ONT. | Will A Pint Of Whiskey/Don Parton | 34 |
| CKLM CALGARY | I Still Care/Aimee Mann | 35 |
| CKLG RICHMOND HILL, ONT. | Don't Let Go/Tillis & Bryce | 36 |
| CKLM CALGARY | (P) The Brothers and Sister Bros. | 37 |
| CKLG RICHMOND HILL, ONT. | (PLP) Womad/Tom O'Conner | 38 |
| CKLM CALGARY | (Dave) Jones | 39 |
| CKLG RICHMOND HILL, ONT. | Sexy Lady/Fredly Weber | 40 |
| CKLM CALGARY | I Don't See Me/Charlie Rich | 41 |
| CKLG RICHMOND HILL, ONT. | Will A Pint Of Whiskey/Don Parton | 42 |
| CKLM CALGARY | Bloody Mary Morning/Wille Nelson | 43 |
| CKLG RICHMOND HILL, ONT. | George Jones/George Fischoff | 44 |
| CKLG RICHMOND HILL, ONT. | New Music/Steve Revoy | 45 |
| CKLM CALGARY | We Could Love Puss | 46 |
| CKLG RICHMOND HILL, ONT. | Marie Laweau/Bobby Bare | 47 |
| CKLG RICHMOND HILL, ONT. | The Man/Tanya Tucker | 48 |
| CKLG RICHMOND HILL, ONT. | Baby You're a Mean One Moon | 49 |
| CKLG RICHMOND HILL, ONT. | (Ron Foster) | 50 |
| CKLG RICHMOND HILL, ONT. | The Departure/Tommy Hunter | 51 |
| CKLG RICHMOND HILL, ONT. | Song That Annie Sings/Lorenz Hud | 52 |
| CKLG RICHMOND HILL, ONT. | I May Never See You/Kris Kristofferson | 53 |
| CKLG RICHMOND HILL, ONT. | They You and Me/Hank Snow | 54 |
| CKLG RICHMOND HILL, ONT. | Standing in Your Limi/Barbara Fairchild | 55 |
| CKLG RICHMOND HILL, ONT. | Come Home/Janis Ian | 56 |
| CKLG RICHMOND HILL, ONT. | Talkin' to the Wall/Lynn Anderson | 57 |
| CKLG RICHMOND HILL, ONT. | Tell Tale Sign/Red Lee Lewis | 58 |
| CKLG RICHMOND HILL, ONT. | Shine On/George London | 59 |
| CKLG RICHMOND HILL, ONT. | (Chap) Russell | 60 |
| CKLG RICHMOND HILL, ONT. | It Hurts To Know/Nat Stuckey | 61 |
| CKLG RICHMOND HILL, ONT. | The Pine Trees/Gene Peter-James | 62 |
| CKLG RICHMOND HILL, ONT. | All's Fair In Love And War/Johnny Cash | 63 |
| CKLG RICHMOND HILL, ONT. | Me and the Devil/Judy Miller | 64 |
| CKLG RICHMOND HILL, ONT. | Jimmy Rose/Johnnie Wright | 65 |
| CKLG RICHMOND HILL, ONT. | Me & I Like Me/Me Street | 66 |
| CKLG RICHMOND HILL, ONT. | The Telephone Call/Tina & Daddy | 67 |
| CKLG RICHMOND HILL, ONT. | Little Boy Blue/Elvis Presley | 68 |
| CKLG RICHMOND HILL, ONT. | It Only Hurts/McAuley & Wild Country | 69 |
Recreation
WOMBLES
"WOMBLING SONG"
EPIC-5-11119
Celebration
MORAN
"FALLING IN LOVE, AGAIN"
COLUMBIA-C4-4051
Revelation
TITANIC
"MACUMBA"
COLUMBIA-C4-8039
|
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LEEVERS-RICH EQUIPMENT LTD., 319 TRINITY ROAD, WANDSWORTH, LONDON SW18 1YQ
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NEW ADDITIONS TO OUR EXTENSIVE RANGE OF MICROPHONE STANDS AND ACCESSORIES
BS1/B Banqueting Stand. 4½lb base. Matt black finish. 22in max height.
BS2/B Banqueting Stand. 7lb base. Matt black finish. 29in max height.
MSPA/B Angle Floor Stand. Matt black finish. 80in max height.
SB/I Stereo Bar. Matt black finish. 10in long. ¾in locking screws provided.
SC/I Side Clamp. Matt black finish. Adjustable for different tube diameters. ¾in locking screw provided.
For further details write to
KEITH MONKS (AUDIO) LIMITED
26-30 READING ROAD SOUTH, FLEET, HAMPSHIRE
Tel. Fleet 7316 3566
One mixer
Many faces
A successful design breeds many varieties. These are just two that have been dreamt up by discerning engineers. The Alice SM2 mixer, originally conceived as a high quality professional portable desk with essential facilities, has been so well received by enthusiastic users that we are now building them in every possible configuration. Foldback, monitoring, power amplifiers, compressors, filters, jackfields, tone generators, phantom powering—you choose just the facilities you need. And for a thoroughbred of this class the price will be a surprise. Basic six channel stereo mixer as above from £464.
Alice (Stancoil Ltd.) 15 Sheet Street · Windsor · Berks.
Telephone: Windsor 61308
Heco P.6000. the professional one.
As used in leading German Recording and Broadcasting Studios
SPECIFICATION
Frequency Response: 20-25,000 Hz.
Power Handling: 60 watts RMS.
Impedance: 8 ohms.
Cross-over Frequency: 250/800/3,000 Hz.
Speaker Assembly: One 12" woofer.
One 5" mid-range speaker. One upper mid-range hemispheric dome radiator. One ultra-high hemispheric dome radiator.
Recommended Retail Price £110.00
Please send me full colour literature and test reports on Heco Speakers, also name and address of my nearest stockist.
NAME ...............................................................
ADDRESS ......................................................... S.S.
Dept. SS, Acoustico Enterprises Ltd, 6-8 Union Street,
Kingston-upon-Thames, Surrey Tel: 01-549 3471/3 (3 lines)
WOW and FLUTTER METERS
Illustrated is the ME 104, one of the three types of Wow and Flutter Meters distributed by us exclusively in the U.K. It is widely used by all the leading Broadcasting, TV and Recording Studios, manufacturers of tapedeck-tape recorders, turntables, record-changers—in fact by anyone concerned with the accurate measurement of drift and wow and flutter. Fuller details on application.
LENNARD DEVELOPMENTS LTD.
LOCKFIELD AVE., BRIMSDOWN, ENFIELD, MIDDX.
Tel. 01-804 8425
CALREC
PORTABLE AND STATIC MIXER DESKS IN MODULAR OR NON-MODULAR FORM
CALDER RECORDINGS LTD., REGENT ST., HEBDEN BRIDGE, YORKS HX7 7DG. Phone 042-284 2159
SOUTHERN AND SCOTTISH DISTRIBUTORS
BEYER DYNAMIC (G.B.) LTD., 1 CLAIR ROAD, HAYWARDS HEATH, SUSSEX. Phone 51003.
This is a high fidelity amplifier with bass cut controls on each of the three low impedance balanced line microphone stages and a high impedance (1.5 meg.) gram stage with bass and treble controls, plus the usual line or tape input. All the input stages are protected against overload by back to back low self capacity diodes and all use F.E.T.'s for low noise, low intermodulation distortion and freedom from radio breakthrough.
A voltage stabilised supply is used for the pre-amplifiers making it independent of mains supply fluctuations and another stabilised supply for the driver stages is arranged to cut off when the output is overloaded or over temperature. The output is 75% efficient and 100 V balanced line or 8-16 ohms output are selected by means of a rear panel switch which has a locking plate indicating the output impedance selected.
The mixer section has an additional emitter follower output for driving a slave amplifier, phones or tape recorder, output 0.3 V out on 600 ohms upwards.
**50/70 WATT ALL SILICON AMPLIFIER WITH BUILT-IN 4-WAY MIXER** (0.3% intermodulation distortion) using the circuit of our 100% reliable 100 Watt Amplifier with its elaborate protection against short and overload, etc. To this is allied our latest development of F.E.T. Mixer Amplifier, again fully protected against overload and completely free from radio breakthrough. The mixer is arranged for 2-30/60Ω balanced line microphones, 1-HiZ gram input and 1-auxiliary input followed by bass and treble controls. 100 volt balanced line output or 5-15Ω and 100 volt line.
**100 WATT ALL SILICON AMPLIFIER.** A high quality amplifier with 8 ohms-15 ohms or 100 volt line output for A.C. Mains. Protection is given for short and open circuit output over driving and over temperature. Input 0.4 V on 100 K ohms.
**THE 100 WATT MIXER AMPLIFIER** with specification as above is here combined with a 4 channel F.E.T. mixer. 2-30/60Ω balanced microphone inputs, 1-HiZ gram input and 1-auxiliary input with tone controls and mounted in a standard robust stove enamelled steel case. A stabilised voltage supply feeds the tone controls and pre amps, compensating for a mains voltage drop of over 25% and the output transistor biasing compensates for a wide range of voltage and temperature. Also available in rack panel form.
**20/30 WATT MIXER AMPLIFIER.** High fidelity all silicon model with F.E.T. input stages to reduce intermodulation distortion to a fraction of normal transistor input circuits. The response is level 20 to 20,000 cps within 2 dB and over 30 times damping factor. At 20 watts output there is less than 0.2% intermodulation even over the microphone stage at full gain with the treble and bass controls set level. Standard model 1-low mic. balanced input and HiZ gram. Outputs available 8/15 ohms OR 100 volt line.
**CP50 AMPLIFIER.** An all silicon transistor 50 watt amplifier for mains and 12 volt battery operation, charging its own battery and automatically going to battery if mains fail. Protected inputs, and overload and short circuit protected outputs for 8 ohms-15 ohms and 100 volt line. Bass and treble control fitted. Models available with 1 gram and 2 low mic. inputs, 1 gram and 3 low mic. inputs or 4 low mic. inputs.
**200 WATT AMPLIFIER.** Can deliver its full audio power at any frequency in the range of 30 c/s-20 Kc/s ±1 dB. Less than 0.2% distortion at 1 Kc/s. Can be used to drive mechanical devices for which power is over 120 watt on continuous sine wave. Input 1 mW 600 ohms. Output 100-120 V or 200-240 V. Additional matching transformers for other impedances are available.
**F.E.T. MIXERS and PPM's.** Various types of mixers available. 3, 4, 6 and 8 channel with Peak Programme Meter 4, 6, 8 and 10 Way Mixers. Twin 3, 4 and 5 channel Stereo, also twin 4 and 5 channel Stereo with 2 PPM's.
**VORTEXION LTD., 257-263 The Broadway, Wimbledon, S.W.19 ISF**
Telephone: 01-542 2814 and 01-542 6242/3/4
Telegrams: "Vortexion London S.W.19"
RCA (Records) New York choose
One of two 32-input comprehensive multi-track sound control consoles designed and built for RCA (Records) New York and installed in their Hollywood studios. These consoles incorporate many unique facilities and are another example of Neve ability to satisfy customers' exacting requirements.
The sound of Neve is worldwide
Rupert Neve & Company Ltd.
Rupert Neve Inc.
Rupert Neve Of Canada Ltd.
FEATURE ARTICLES
19 A VERSATILE RECORDING AMPLIFIER
Part Three
By L. Hayward
23 FILM PRODUCTION ON VIDEOTAPE
By Adrian Hope
29 A LOW DISTORTION OSCILLATOR
By Arthur Garratt
30 TAPE TRANSPORT DESIGN CRITERIA
By Tom Reps
35 SURVEY: INDUSTRIAL SOUND RECORDERS
51 IMPROVING A REVOX A77
Part One
By Angus McKenzie
REGULAR COLUMNS
10 PRECIS
12 NEWS
14 PATENTS REVIEW
17 AROUND THE STUDIOS: JACKSON
By Keith Wicks
47 LETTERS
49 STUDIO DIARY
By Keith Wicks
EQUIPMENT REVIEWS
51 NAGRA 4S
By John Shuttleworth
Part Eight of 'Designing a Studio Mixer' will appear next month.
COVER PICTURE
One recorder that will not be found in this month's survey of industrial machines, a Blattner-Stille unit employed by the BBC at Maida Vale in 1935. Some 2 km of steel tape travelling at 152 cm/s... and run for your life if it breaks.
CORRESPONDENCE AND ARTICLES
All STUDIO SOUND correspondence should be sent to the address printed on this page. Technical queries should be concise and must include a stamped addressed envelope. Matters relating to more than one department should occupy separate sheets of paper or delay will occur in replying.
Articles or suggestions for features on all aspects of communications engineering and music will be received sympathetically. Manuscripts should be typed or clearly handwritten and submitted with rough drawings when appropriate. We are happy to advise potential authors on matters of style. Payment is negotiated on acceptance.
SUBSCRIPTION RATES
Annual UK subscription rate for STUDIO SOUND is £3 (overseas £3.80, $8 or equivalent). Our associate publication Hi-Fi News costs £3.12 (overseas £3.66, $8.64 or equivalent). Six monthly home subscriptions are £1.50 (STUDIO SOUND) and £1.56 (Hi-Fi News).
STUDIO SOUND is published on the 14th of the preceding month unless that date falls on a Sunday, when it appears on the Saturday.
PAST ISSUES
A small number of certain past issues may still be purchased from Link House, price 31p each including postage.
Photostat copies of any STUDIO SOUND article are available at 25p including postage.
BINDERS
Loose-leaf binders for annual volumes of STUDIO SOUND are available from Modern Bookbinders, Chadwick Street, Blackburn, Lancashire. Please quote the volume number or date when ordering.
ARTICLES PRINCIPAUX
19 UN AMPLIFICATEUR DE MAGNETOPHONE
Partie 3
Par L. Hayward
23 PRODUCTION DE FILM SUR BANDES VIDEO
Adrian Hope décrit la production de 200 Motels et commente le film qui en a résulte.
29 UN OSCILLATEUR A BASSE DISTORSION
Par Arthur Garratt
30 CRITERES DES BANDES DESTINEES AU TRANSPORT
Les récents développements des systèmes enregistreurs de contrôle de vitesse sont discutés par Tom Reps, ainsi que les problèmes de fabrication d'unités mécaniques individuelles.
35 REVUE DES ENREGISTREURS SONORES INDUSTRIELS
51 PERFECTIONNEMENT DE REVOX A77
Par A. McKenzie
RUBRIQUES REGULIERES
12 INFORMATIONS
14 REVUE DE FABRICATIONS BREVETEES
17 A L'ENTOUR DES STUDIOS
47 LETTRES
49 JOURNAL DES STUDIOS
Par Keith Wicks
REVUE D'EQUIPMENT
53 NAGRA 4s
Par John Shuttleworth
RUNDSCHAU
53 NAGRA 4s
Von John Shuttleworth
ARTICULOS DE SERIE
12 NOTICIAS
14 REVISTA DE LOS PATENTES
17 ALDREDOR DE LOS ESTUDIOS
47 CARTAS
49 DIARIO DE LOS ESTUDIOS
Por Keith Wicks
CRONICA DE EQUIPO
53 NAGRA 4s
Por John Shuttleworth
Metric/Imperial Equivalents
| Tape Speed | centimetres/second | inches/second |
|------------|--------------------|---------------|
| 38 | | 15 |
| 19 | | 7.5 |
| 9.5 | | 3.75 |
| 4.75 | | 1.875 |
| Tape length | metres | feet |
|-------------|--------|------|
| 270 | | 900 |
| 360 | | 1,200|
| 540 | | 1,800|
| 720 | | 2,400|
| 1,080 | | 3,600|
| 1,440 | | 4,800|
| Tape width | millimetres | inches |
|------------|-------------|--------|
| 50 | | 2 |
| 25 | | 1 |
| 12.5 | | 0.5 |
| 6.25 | | 0.25 |
Distance
1 metre (m) = 39.370113 inches
1 centimetre (cm) = 0.393701 inches
1 millimetre (mm) = 0.039370 inches
1 kilometre = 0.6214 miles
Weight
1 kilogram (kg) = 2 pounds 3.37 ounces
1 gram (g) = 15.432 grains or 0.564383 drams
1 Tonne (metric ton, 1,000 kilogrammes) = 2204.6 pounds
Temperature
n° Celsius = (3n + 32)° Fahrenheit
Audio Engineering for Professionals
Four years ago, only a handful of people had heard of the Millbank Electronics Group. Today, our equipment is operating in 25 countries and is specified by most major professional users of audio and communications equipment in the United Kingdom.
Why?
We think the simple answer is that we give our customers exactly what they want. And we're just as anxious to satisfy the small firm round the corner as we are to help the big company.
When Millbank Electronics was formed, but before it started to make anything, we took the trouble to talk to professional sound and recording engineers, and DJ's and listen to their problems. They told us exactly what they wanted; we went away and made it. And that's precisely what we've been doing ever since.
Everything we make is carefully engineered to give a specific performance—and meet a definite need. Take, for example, our new Disco 3 professional sound mixer. It is based on our very successful Disco 2 model, but incorporates several major new refinements. For instance, it offers stereo reproduction, as well as mono, and has full audio/visual monitoring, pre-fade and post-fade, of all inputs and outputs, except microphone. That's something many sound engineers and DJ's have wanted for years.
These are some of Disco 3's other important new features:
* Switched audio limiters
* Twin peak reading VU meters
* Brand new styling—vapour blasted stainless steel fascia with matt black knobs and fittings
* Automatic or manual music/microphone fade to any selected level
* Compact, rugged printed circuit construction
* Low distortion, high signal-to-noise ratio, wide frequency range and full bass and treble tone correction
* Fully floating outputs, free of earth to avoid hum
* Front panel microphone input mutes rear connected socket
* Line and tape input on front panel mutes rear connected socket
* DIN standard construction and terminations
* Twin AC switched outlets for turntables, amplifiers, etc.
* Stabilised power supply.
Disco 3 has been designed and manufactured specifically for professional sound engineers—the people we're in business to help. For a full technical specification of this new development in sound mixers, please telephone or write to our General Sales Manager, Bernard Skinner.
Millbank Electronics Group,
Bellbrook Estate, Uckfield, England.
Tel: Uckfield 4166 (0825-4166)
Compatible stereo at the BKSTS
UNDER THE title 'Techniques for Compatible Stereo Today', the BKSTS lecture of December 8 covered the generation of stereo signals and their suitability in combination for mono listeners. It was given by Eric Dougharty of the BBC who is responsible, in the Programmes Operation Department, for the origination of stereo material and its optimum balance.
Before the last war he became a professional musician, later joining the BBC as a music balancer. He commenced experiments in stereo operational techniques in 1958 (three years after vhf/fm broadcasts began on a regular basis) and has worked in this field since.
Mr Dougharty began his lecture by looking back to the earliest stereo recording work and played one of some spaced microphone experiments produced by Bell Telephone Laboratories in 1931. Although excellent as regards separation, it suffered from a severe 'hole in the middle'. In contrast, this was followed by a modern recording of orchestral music in Liverpool Anglican Cathedral, made with a pair of C12A in Blumlein crossed form, which was very effective. Incidentally, for this lecture two Quad Electrostatic Speakers per channel were employed, one above the other.
The lecturer then dealt with the features of various microphone arrangements, with particular attention to the monophonic result, since even today the majority of radio programmes are heard in this mode. The points covered included the effect of multiple microphones on apparent stereo stage width, the use of inverse pairs of rear-facing cardioids for reverberation pickup, and the influence of microphone polar diagram on apparent reverberation in stereo and mono. The evening was rounded off by excerpts from a diverse range of musical performances, with illustrations of how practical problems of placement and balance were overcome, mostly under studio conditions.
Dolby agreement signed with Sony
THE LONG-AWAITED addition of the Sony Corporation to the Dolby B fold was accomplished during a recent visit to Japan by licensing manager Adrian Horne, chief engineer David Robinson, and Ray Dolby. The team visited more than a dozen B-Type licensees in Tokyo, Nagoya and Osaka, to discuss technical and marketing aspects of noise reduction.
Magnetic Tapes produce a mixer
A COMPACT ten channel two group mixing unit has been announced by Magnetic Tapes Ltd, Chilton Works, Garden Road, Richmond, Surrey. The Chilton M10/2 (illustrated) features independently variable lf and hf equalisation on each input channel, stereo monitoring, pre and post fade, ppm output level meters (dB scaled), break jacks on all channels, and a 40,100 Hz, 1, 10 and 15 kHz line-up oscillator accurate within 0.5 dB. Equivalent input noise is specified as better than -121 dBm referred to a 600Ω source and 20 kHz bandwidth. Frequency response is 30 Hz to 18 kHz ±1 dB and distortion better than 0.1 per cent at 0 dBm output. The M10/2 incorporates illuminated tape pause and cue light switches and in its basic form costs £200.
Complete with 30/60Ω floating balanced microphone inputs and power supply, the price is £262. This and the basic model also includes balanced or unbalanced line and RIAA equalised gram inputs.
Sound transmission at the AES
THE BRITISH Section of the Audio Engineering Society lecture on December 14 covered sound transmission in structures and was given by Dr C. L. S. Gilford of the University of Aston in Birmingham. He formerly worked for a long period on acoustics with the BBC Research Dept.
Dr Gilford first emphasised the variety of vibrational waves that can exist, from earthquake waves to those in the ultrasonic range, together with their modes of propagation. After discussing basic formulae of transmission, reflection and attenuation, the lecturer centred on sound transmission and losses in building structures and the special conditions existing at joints and media interfaces. Concerning the achievement of high attenuation, the relative importance of mass, stiffness and spacing of various types of panels and walls was covered, although it was emphasised that a purely theoretical treatment was still inadequate, partly because of the variability of the materials themselves, together with their assembly and the overall damping incorporated.
During the question period, such topics as whether bricks were more effective 'frog up' or 'frog down', the value of triple glazing in relation to spacing and the better isolation of traditional materials such as stone and lead against prestressed concrete were raised, and led to considerable discussion.
Power cable reels
A RANGE OF 12 power cable reels is now being produced by Lexor Dis-Boards Ltd, 25/31 Allesey Old Road, Coventry. Features include smash-proof plugs, PVC cable impervious to oil, water and grease, and on most models live warning indicators. Prices are from £4.48 (10m light-duty units) to £50.70 (heavy-duty 100m).
Colour games
AMPEX HAVE announced a £17,000 contract to lease two VR-1200B video tape recorders and two MM1000 multichannel audio machines, together with synchronising equipment, to the International Radio and Television Organisation. The equipment is being supplied for the colour broadcasting of the Winter Olympic Games to be held in February at Sapporo, Japan. The Eastern contract is notable in that the OIRT have not previously leased equipment from an American company. A similar deal has been made by Ampex with the European Broadcasting Union, the European equivalent of the OIRT.
Mixing in Moscow
AT THE invitation of the Moscow All-Union Chamber of Commerce, 11 British firms cooperated to install a complete multi-track recording studio and control room equipped with £50,000 worth of equipment. The exhibition of British electronic expertise resulted in orders worth more than £35,000, and among those participating were Neve, Dolby, Ampex, (GB), EMI, STC and Kudelski SA.
The exhibition, which was held at Melodia Studios, the head of the State record producing organisation of the USSR, was attended by visitors from all parts of the Soviet Union—it is reported that there was even a visitor from Tashkent, who would have had to travel a total distance of four thousand miles to be present.
Genuine 4-Channel Status: Sansui gives you more ways to get there.
Get there with one of the four 4-channel receivers Sansui offers in its great QR series. Or, if you already have a 2-channel system, get there with one of Sansui's QS series 4-channel rear amplifiers.
No matter which way you go, you get Sansui's own synthesizer decoder matrix system, complete with phase shifting and exclusive phase modulation circuitry for more genuine 2- to 4-channel sound conversion. You also get complete control for 2-channel, concert hall or surround sound effects. Plus provisions for connecting discrete 4-channel stereo components.
Sansui QR series receivers include the 280 watt QR-6500, the 240 watt QR-4500, the 100 watt QR-1500 and the 60 watt QR-500. The only choice you have to make is one of power and features desired, and budget.
In the QS series of 4-channel rear amplifiers Sansui gives you a choice between the 120 watt QS-500 and the 50 watt QS-100. Add either of these components and another pair of speaker systems to your present 2-channel system and you have yourself a genuine Sansui 4-channel system.
Your nearest Sansui dealer will be happy to demonstrate just how easy it is to acquire genuine 4-channel stereo status. Stop in and see him soon.
SONY have patented an improved electret (BP 1,258,638). An electret is a permanently polarised dielectric often used for providing the polarising voltage in capacitor microphones and other such items. The usual method of manufacturing an electret is to heat a dielectric material such as carnauba wax, polymethyl methacrylate or nylon, to a temperature beyond its melting point. A high intensity electric field is then applied to the melted material and maintained for as long as it takes for the material to regain room temperature. The field strength will be between 500 kV/m and 5 MV/m. At the end of this process, the dielectric should be permanently polarised. In practice there are two factors which militate against the retention of the charge for very long periods; these are the low volume resistivity of carnauba wax, which is as undesirable in this case as it is in the core of a transformer, and the high hygroscopicity (property of absorbing moisture) of the other two materials.
The basis of the Sony patent is the invention of a high molecular weight polypropylene film having a high volume resistivity. The method of manufacture involves keeping the polypropylene film at a temperature between 65 and 120°C and applying a voltage of 50 to 600 V across the electrodes, the separation of which the patent does not indicate. Film thickness is later stated as 2 to 50 μm.
The polypropylene film (trade name Torayfan) is prepared; initially it is 15 μm thick. An aluminium layer is then deposited on the top surface of the film and the resultant assembly is polarised after it has been sandwiched between two metal plates. The whole is then immersed in a thermostatically controlled temperature bath maintained at 90°C. A dc voltage is then applied for two hours, after which the film is cooled to room temperature within 30 minutes, still under the influence of the electric field.
The difference in charge retention between the old and new types of electret is indicated in the two diagrams on the left, upper and lower respectively.
Multicore have developed a new approach to cassette tape editing (BP 1,258,280) which is surprisingly simple and needs no tools beyond a 3 mm editing block and pin.
After the point at which the edit is to be made has been located, and the cassette removed from the machine, a piece of cardboard is inserted between the tape and the pressure pad at the centre of the cassette's aperture. A pinhole is then made at the centre of that area where the pressure pad normally presses against the tape. The unwanted section of tape is run through until the next point is arrived at; the point which is to be spliced to the preceding point of edition. Another hole is made in the same way, pressing a pin into the coated side of the tape. The tape is then cut about 20 mm on the waste side of the edit point and the two holes lined up over the diagonal cut on the editing block.
---
**THE FOLLOWING list of complete Specifications Accepted is quoted from the December issues of the Official Journal (Patents). Copies of specifications may be purchased at 25p each from The Patent Office, Orpington, Kent BR5 3RD.**
**December 8, 1971**
- **1260175** RCA Corporation Electron beam deflection circuit
- **1260387** Pioneer Electronic Corporation Transducers
- **1260413** Western Electric Co Inc Sealed electrolytic cells
- **1260417** Agfa-Gevaert AG Moving-coil assemblies for use in electric meter movements
- **1260426** Marconi Co Ltd Memory cells
- **1260444** Canadian General Electric Co Ltd Rectifier frequency converter
- **1260454** Compagnie Generale D'Electricite Means for forming sound holograms
- **1260468** National Research Development Corporation Formation of connections on micro-electronic circuits
- **1260471** Marconi Instruments Ltd Power amplifiers
- **1260490** Davy Plastics Machinery Ltd Capstans and pulleys
- **1260499** Pirelli General Cable Works Ltd Outdoor electric cables termination units
- **1260501/2** Stewart-Warner Corporation Travelling message display
- **1260505** Mitsubishi Electrical Industrial Co Ltd Acoustic delay line glass
- **1260522** Fuji Shashin Film KK Magnetic recording media
- **1260524** Honeywell Inc Positioning assemblies for magnetic heads
- **1260525** Zenith Radio Corporation Acoustic electric filter system
- **1260568** Central Dynamics Ltd Mix/effects system for television video signals
- **1260570** New Zealand Inventions Development Authority Recorders for recording numerous inputs of data
- **1260576** Textron Inc Signal transmission system
- **1260646** Philips Electronic & Associated Industries Ltd Magnetic powder
- **1260660** Agfa-Gevaert AG Method and apparatus for the production of a directly viewable stereoscopic image
- **1260712** Branson Instruments Inc Ultrasonic pulse-echo apparatus
- **1260728** Mitsubishi Denki KK System for controlling DC power
- **1260735** Ferrieu, G and Person J-M Vocoder speech transmission system
- **1260736** Retention Communication Systems Inc Combined endless loop film and endless loop magnetic tape cartridge
- **1260747** Compagnie Electro-Mecanique Magnetic circuit for dc and synchronous rotary electrical machines
- **1260751** Bosch GmbH, Robert Recording apparatus
- **1260752** Philips Electronic & Associated Industries Ltd Device for shifting a belt in a recording and/or playback apparatus
- **1260756** International Business Machines Corporation Adaptive pattern recognition system
- **1260779** Fernseh GmbH Arrangement and method for delaying an electrical signal
(continued over)
The world’s finest medium size studio monitor speaker
The Rogers BBC Studio Monitor Speaker offers a standard of performance unequalled by any speaker of similar size. The speaker combines all the qualities sought in a unit designed for monitor use; ultra smooth response, excellent transient response, a most remarkable lack of colouration and very low harmonic and intermodulation distortion. Based on a design of the British Broadcasting Corporation’s research department, the speaker is the result of many years’ research into speaker cone behaviour, the most significant aspect of the design being the main drive unit employing a special plastic cone. The speaker is produced under licence from the BBC and conforms to their specification LS3/6 but with the important addition of a third drive unit, a modification exclusive to Rogers. Intended primarily for monitoring purposes in the smaller studios, where high power levels are not required, the speaker will give superlative reproduction in domestic high fidelity installations because the associated equipment is of a sufficiently high standard. Each speaker is supplied with an individual response curve graph taken on Brue & Kjaer automatic curve tracing equipment. Retail distribution of the speaker is restricted to a limited number of carefully selected specialist high fidelity dealers.
Brief Specification: Overall Frequency Response 20Hz-15kHz ±3dB 50Hz-14kHz Power Handling Capacity: 25 watts speech and music Impedance: Standard 15 ohms, so order 8 and 25 ohms. Drive Units: Three. Overall Dimensions Enclosure 12” x 12” x 25”. Height including stand 34”. Finish: Teak.
Recommended U.K. Retail Price (including stand) £83.50 + £16.28 P.T.
ROGERS BBC
Rogers Developments (Electronics) Limited,
4-14 Barmston Road, London SE6 3BN.
01-698 7424 4340.
Please send me a copy of the colour leaflet describing the Rogers BBC Studio Monitor Speaker in detail.
NAME ____________________________________________
ADDRESS _________________________________________
___________________________________________________
### PATENTS REVIEW
#### continued
| Patent Number | Inventor/Company | Description |
|---------------|------------------|-------------|
| 1260783 | Philips Electronic & Associated Industries Ltd | Television camera tubes |
| 1260873 | Fuji Photo Film Co Ltd | Magnetic recording media |
| 1260895 | Fernseh GmbH | Colour television camera arrangements |
| 1260891 | Picciotto, E V | Separator of synthetic fibre for lead-acid secondary batteries |
| 1261070 | Akustishce U Kinogerate GmbH | Amplifier circuits |
| 1261098 | Krupp GmbH, Fried | Apparatus for determining the direction of incident sound |
| 1261128 | Philips Electronic & Associated Industries Ltd | Oscillator frequency-control arrangement |
| 1261145 | Deutsche Grammophon GmbH | Gramophone record manufacture |
#### December 15, 1971
| Patent Number | Inventor/Company | Description |
|---------------|------------------|-------------|
| 1261201 | Shandon Southern Instruments Ltd | Recording apparatus |
| 1261202 | Eastman Kodak Co | Take-up reel for strip material |
| 1261223 | Philips Electronic & Associated Industries Ltd | Holographic image systems |
| 1261234 | Philips Electronic & Associated Industries Ltd | Electronically operated indexing mechanism |
| 1261246 | Hazelline Corporation | Current controlled oscillator circuit |
| 1261265 | RCA Corporation | Frequency modulation of a solid state oscillator |
| 1261305 | Ampex Corporation | Mount for concave tape guide |
| 1261317 | Compagnie Generale D'Electricite | Fuel cells and fuel cell batteries operating at high temperature |
| 1261325 | Square D Co | Field weakening circuit for a series field motor |
| 1261326 | North American Rockwell Corporation | Ratioless and noninverting logic circuit using field effect boosting devices |
| 1261340 | Matsushita Electric Corporation | Pressure-sensitive solid-state device |
| 1261385 | Matsushita Electric Industrial Co Ltd | Speech analyzing apparatus |
| 1261391 | Sony Corporation | Displacement measuring instrument |
| 1261409 | Telefunken Patent-Verwertungs GmbH | Transistorised amplifiers |
| 1261425 | Franz, F | Damage-resistant mechanical metronome |
| 1261430 | Tesla Narodni Podnik | Modulator circuit arrangement |
| 1261441 | Philips Electronic & Associated Industries Ltd | Multiplex transmission system |
| 1261468 | Pioneer Electronic Corporation | Method for remotely controlling an automatic telephone answering device for use by said method |
| 1261498 | Ampex Corporation | Delay circuits |
| 1261534 | Aviation Supply, Minister Of | Sweep-frequency oscillators |
| 1261552 | Philco-Ford Corporation | Formant vocoder utilizing resonator damping |
| 1261578 | Licentia Patent-Ver-Waltungs GmbH | Method of producing a circuit board having conductor patterns and metalised holes through the board |
| 1261598 | International Standard Electric Corporation | Synchronization circuit in a PCM central exchange |
| 1261618 | Marconi Co Ltd | Triggerable pulse generators |
| 1261634 | Philips Electronic & Associated Industries Ltd | Magazine for recording tape and film |
| 1261671 | International Nickel Co of Canada Ltd | Detection of electromagnetic anomalies |
| 1261735 | Ikb-Produckter AB | Feed-back amplifier arrangements |
| 1261738 | Kombinat Robotron VEB | Electro-optical arrangement for light modulation |
| 1261783 | Agfa-Gevaert | Reproduction of multicolour scenes and prints in multicolour television |
| 1262360 | Western Electric Co Inc | Band-pass filters |
| 1262362 | Rank Organisation Ltd | Audio Frequency power amplifiers |
| 1262370 | Marconi Co Ltd | Radio frequency transmitters |
| 1262380 | Standard Telephones & Cables Ltd | Range-gated vision system |
| 1262485 | Plessey Co Ltd | Logic circuit arrangements |
| 1262493 | Pye Unicam Ltd | Thin layer chromatography |
| 1262505/6 | Bobb L J and Pond C C | Speaker system and electrostatic speaker |
| 1262507 | Electronic Research Corporation | Method and system of sequential colour television pickup and transmission |
| 1262534 | Branson Instruments Inc | Conic or ultrasonic horns for use in piezoelectric and other transducers |
| 1262550 | International Standard Electric Corporation | Frequency discriminator |
| 1262551 | Nilsson, R R E | Reproducing device and a record unit therefor |
| 1262558 | International Business Machines Corporation | Tape reel motor control apparatus |
| 1262562 | Hopt Electronic GmbH | Tuning device for high-frequency communication apparatus |
| 1262594 | Philips Electronic & Associated Industries Ltd | Method of reducing the coercive force of permanent-magnetic material |
| 1262600 | Ampex Corporation | Automatically loadable tape transport |
| 1262612 | Chu Associates Inc | Elastic wave delay line |
| 1262664 | Alich, G | Method and apparatus for measuring a length with the aid of a magnetic field |
| 1262671 | Iwasaki Tsushinki KK | Sweep oscillator |
| 1262680 | Knip GmbH, Fried | Apparatus for the directional transmission and/or reception of sound waves in water |
| 1262717 | Olympus Kogaku Rogyo KK | Tape cassette for use in tape recorders |
| 1262721 | Defence, Secretary of State for | Apparatus and method for synchronising time-division multiple-access transmissions |
#### December 22, 1971
| Patent Number | Inventor/Company | Description |
|---------------|------------------|-------------|
| 1261951 | Philips Electronic & Associated Industries Ltd | Pulse code modulation transmission device |
| 1261952 | Starkstrom—Anlagenbau Karl—Marx Stadt, Veb | Circuit arrangement for a pulse counter |
| 1261988 | Kistler Instrumente AG | Transducer units |
| 1262001 | International Business Machines Corporation | Differential amplifier circuit |
| 1262025 | Fuji Photo Film Co Ltd | Method of duplicating recorded magnetic tapes |
| 1262029 | Akai Electric Co Ltd | Tape reeling mechanism for a video tape recorder |
| 1262036 | Fernseh GmbH | Recording apparatus |
| 1262038 | Philips Electronic & Associated Industries Ltd | Apparatus for magnetic recording |
| 1262080 | International Computers Ltd | Character recognition apparatus |
| 1262094 | Bailey, B | Apparatus for facilitating viewing a series of illustrations |
| 1262143 | Philips Electronic & Associated Industries Ltd | Logic circuits |
| 1262153 | Matsushita Electric Industrial Co Ltd | Television-facsimile apparatus |
| 1262190 | Western Electric Co | Acousto-optic devices |
| 1262200 | Wulf, T E | Harmonograph |
| 1262284 | Agfa-Gevaert | Reproduction of multicolour scenes and prints in multicolour television |
| 1262360 | Western Electric Co Inc | Band-pass filters |
| 1262362 | Rank Organisation Ltd | Audio Frequency power amplifiers |
| 1262370 | Marconi Co Ltd | Radio frequency transmitters |
| 1262380 | Standard Telephones & Cables Ltd | Range-gated vision system |
| 1262485 | Plessey Co Ltd | Logic circuit arrangements |
| 1262493 | Pye Unicam Ltd | Thin layer chromatography |
| 1262505/6 | Bobb L J and Pond C C | Speaker system and electrostatic speaker |
| 1262507 | Electronic Research Corporation | Method and system of sequential colour television pickup and transmission |
| 1262534 | Branson Instruments Inc | Conic or ultrasonic horns for use in piezoelectric and other transducers |
| 1262550 | International Standard Electric Corporation | Frequency discriminator |
| 1262551 | Nilsson, R R E | Reproducing device and a record unit therefor |
| 1262558 | International Business Machines Corporation | Tape reel motor control apparatus |
| 1262562 | Hopt Electronic GmbH | Tuning device for high-frequency communication apparatus |
| 1262594 | Philips Electronic & Associated Industries Ltd | Method of reducing the coercive force of permanent-magnetic material |
| 1262600 | Ampex Corporation | Automatically loadable tape transport |
| 1262612 | Chu Associates Inc | Elastic wave delay line |
| 1262664 | Alich, G | Method and apparatus for measuring a length with the aid of a magnetic field |
| 1262671 | Iwasaki Tsushinki KK | Sweep oscillator |
| 1262680 | Knip GmbH, Fried | Apparatus for the directional transmission and/or reception of sound waves in water |
| 1262717 | Olympus Kogaku Rogyo KK | Tape cassette for use in tape recorders |
| 1262721 | Defence, Secretary of State for | Apparatus and method for synchronising time-division multiple-access transmissions |
#### December 30, 1971
| Patent Number | Inventor/Company | Description |
|---------------|------------------|-------------|
| 1262770 | International Business Machines Corporation | Stabilized reference voltage source |
| 1262833 | Philips Electronic & Associated Industries Ltd | Camera tube including a photoconductive target |
| 1262841 | Standard Telephones & Cables Ltd | Character generation system |
| 1262908 | Thomson Electronics Inc and Loral Corporation | Storage tube in combination with television camera means and a cathode ray tube |
| 1262919 | Tektronix Inc | Image storage cathode ray tube and visual monitor tube system |
| 1263046 | Westinghouse Electric Corporation | Electromagnetic radiation activated semiconductor device |
| 1263130 | International Business Machines Corporation | Magnetic recording and reproducing head |
| 1263378 | Honeywell Inc | Voltage Limiting circuits |
| 1263323 | RCA Corporation | Audio Information synthesizer |
| 1263324 | Elektronische Rechen-Maschinen—Wissenschaftlich-Licher Industriebetrieb —Karl Marx—Stadt VEB | Method and devices for indicating groups of characters on the screen of a cathode-ray tube |
| 1263398 | Lo Sound Developments Ltd | Sound deadening materials |
Jackson Recording Company
THE Jackson Recording Company is located in that green and pleasant land known as Rickmansworth, Hertfordshire. On arrival you see an impressive modern building, but Jackson's place is the compact structure alongside, dwarfed by its companion and looking rather like an old stable. Before anyone thinks I am being unkind I should point out that it is, in fact, an old stable. According to studio engineer Malcolm Jackson, the building used to be a coach house and stables on an estate belonging to the monks of St Albans, and it is mentioned in the Domesday Book. What that book says about the building I don't know, but a slightly more up-to-date publication, known as Kemp's Music & Recording Industry Year Book, lists it as a four track studio measuring about 9 x 6m.
The studio is run by Malcolm and his brother John, both of whom studied accountancy for five years. After that John armed himself with a trombone and joined the Coldstream Guards, while Malcolm went into television and ran the recording side of a programme for their father, Jack Jackson. 'That's where I picked up most of what I know about recording—from people like Peter Lodge, now with Sound Associates, Mark White, who did Jazz Club presentations for the BBC back in the '50s, and John Fielder, the fastest thing with a razor blade except for my mother in law.' Malcolm continued, 'I suppose I was just lucky to have had a chance to record with all the greats—people like Vera Lung, Alf Wiederschen, and Marlena Horne'. (Rickmansworth had a bumper corn harvest this year.)
Working with Malcolm proved too much of a strain for Jack, who retreated to Tenerife, where he continued making his programmes in relative peace. As a reminder that he would not return to this country until Malcolm had left, he would utter at the end of each show what many thought was a mere catch phrase, 'I'll be here if you'll be there'.
Jack's absence meant that the studio was vacant, and at this stage John and Malcolm both decided that making records was what they wanted to do. John is now aged 35, two years older than his brother, and looks after the financial aspects of running the studio. 'Like deciding whether or not to pay Malcolm's Easter bonus', hinted Jackson the younger.
I expect he will receive it, as he works very hard at a number of jobs. Besides working in the studio he also supplies personnel and second hand equipment to other studios. In the little leisure time he has available Malcolm organises Studiopoly contests. I understand that most studios now have their own boards for playing this lively adult studio game in which anything can and does happen. For example, 'Mobile at Kennel Club. Dogged by howl-round', or 'Wipe Julie Ege tape on purpose. Rebook session'.
You may well wonder how it is that this studio, some way out of town, has been so successful during the seven years it has been in operation. MJ had the answer. 'It's adaptability. We have to give a personal service which will attract clients over the years. Secondly, we have creative ability. There is a big demand for recorded music around the world, and people go to the studios where the staff have the know-how and the contacts. Big successful London studios, like Lansdowne, have superb recording facilities, and people go there because they are so convenient and reliable. I'm not saying that we are unreliable but we are out of town. In the case of a studio like ours the studio work, publishing, production and management are so closely allied that it's almost impossible to separate them. What we have to do is to provide the right atmosphere for the work and we create that with a business-like approach which provides a framework in which creators and artists can relax. And relax is the important word in studio work. Our approach allows people to become more involved in their recordings. For example, we encourage people to do their own reductions and never object to clients getting on to the board as long as we can keep them on the rails. In this way, they help to decide their own destiny. We have found that many of our clients have a definite flair for balancing, although that is not really their job. They're not so good at keeping overall levels accurate, but I do that.
'To get the right studio atmosphere there are several things to be considered. If the session is going to run smoothly, the staff must be ready for action at all times, and they must be happy, and encourage the artists. The engineers must learn to communicate with the people in the studio, especially when the clients are in for the first time and don't know what to expect. If the clients are told exactly what is going to happen and asked what they are going to do they will be much happier, and the results will usually be good.'
In an effort to ensure that everything goes according to plan, a list of points to remember is on the wall. Included are the following:
Less than 1% of studio clients make the right noises. If they did, they would be making hit records every day.
Why not rehearse before you start the session?
What sounds bad in the studio often sounds good in the box.
If you are not producing a record, please keep your wild suggestions to yourself.
100% of engineers are docile until roused. Want to try your luck?
During the first two years in operation, the control room equipment consisted essentially of a pair of EMI TR90 mono recorders and five Vortexion mixers mounted in a desk. Like other studios that had used similar equipment, the Jackson Recording Company made many successful recordings, including a hit by the Second City Sounds. The original desk was eventually replaced by a 16 channel, four track design by Martin Brown. This has facilities for providing variable speed effects and phasing and has special modules for cassette duplication and tape-slide pulsing. Another feature is a separate reduction section paralleled in with the main mixer, and giving a mono or stereo output. When recording a budget album a four track master and a stereo reduction are made simultaneously and, very often, the reduction is good enough to be issued. In this way the cost of a separate reduction session is avoided, although the four track tape is always available should the original reduction not be perfect.
John Bales of Studio Republic, Pinner, services the mixer and is currently updating it. He has recently added attenuators which allow the signal to be controlled before it gets to the modules, thus allowing distortion to be minimised.
(continued on page 21)
SAIT SOUND MIXERS
ALLOTROPE LIMITED
5B, Thame Industrial Estate, Thame Oxon. Sales Office Tel. 01-229 4965
ELECTROCRAFT INSTRUMENTS LIMITED
MANUFACTURERS OF A COMPLETE RANGE OF TELEVISION TEST EQUIPMENT, VIDEO & PULSE DISTRIBUTION AMPLIFIERS, VISION MIXERS & EFFECTS UNITS, ANCHOR THE B.B.C. DESIGNED ALPHA-NUMERIC CHARACTER GENERATOR AND NOW A
NEW RANGE OF COLOUR EQUIPMENT:
- SINGLE TUBE VIDICON CAMERA
- PAL ENCODER
- COLOUR BAR GEN. & SUB-CARRIER OSC.
- SYNC. PULSE GENERATOR
SALES OFFICE: LISS MILL, LISS, HAMPSHIRE. TELEPHONE LISS (073082) 3444
A Versatile Recording Amplifier
Part Three By L. Hayward
This amplifier was developed to meet a requirement for a high quality playback system, particularly for use with the modern high output tapes. Such a system needs a good dynamic range and low background noise. These parameters are well met by the amplifier to be described.
The circuit is a derivation of the well-known 'feedback pair' (fig. 1) and this particular arrangement featured in a Wireless World article*. The use of the third transistor Tr3 (in fig. 2) allows the feedback circuit to remain isolated from the output, and the emitter-follower Tr4 reduces the output impedance sufficiently to provide a maximum output level of 0 dBm (1 mW into 600Ω). Silicon low-noise transistors are used. These are currently available types and have the added advantage of being cheap. As will be seen from the test figures, noise and dynamic range are quite satisfactory and there is a voltage overload margin of some 8 dB above the peak level produced by fully modulated EMI 815. Due to the large degree of feedback, the distortion remains very low up to the clipping point, typically below .02 per cent at 1V rms output.
The capacitors C3 and C8 are added to improve hf stability and also to remove the possibility of rf signals being picked up and amplified by the circuit. The input coupling capacitor C2 is made much larger than is necessary for audio frequencies. This is to damp the input circuit of the amplifier when the head is connected, removing sub-audio noise.
The equalisation controls provide for adjustment at the ends and at the C/R turnover points in the characteristic curve. The values shown are for the CCIR 35 μS curve (38 cm/s). When correctly adjusted, it will be found that the combination of R18, VR19 and C11 does not exactly equal 35 μS. This is because the impedances associated with Tr1 and Tr3 are effective in the total time constant. The L/C adjustment L1, C10, was calculated to obtain an extended response from the head used for testing, a Bogen type UK200. It is resonant at a frequency of 20 kHz. For professional use this would normally be tuned to a lower frequency, and the amplitude control VR17 used to allow for gradual head wear. Since the range of adjustment for operation at lower frequencies, C11 is shunted by R20/VR21. This adjustment is effective in the region 35 to 50 Hz. If this were omitted a resistor across C11 would still be required to limit the gain at sub-audio frequency and preserve a good noise figure.
The adjustment of the equalisation controls is carried out as follows: Set the controls to a central position. Replay a test tape at 1 kHz. Adjust the output amplitude control to the level required, note this, and adjust VR19 for the same level at 10 kHz. Then VR21 at 40 Hz. L1/VR17 is set at the top end—the amount and frequency required will depend on the particular type of head used. A check should now be made of the complete range, adjusting slightly as required to obtain an optimally flat response.
The prototype was tested, and the results were as follows:
A range of frequencies was recorded on EMI 815 tape, using a Bogen UK200 head. No recording pre-emphasis was used, and the head was fed from a constant-current source. The bias frequency was 100 kHz, set for 1 dB over-drop at 1 kHz. The tape was replayed from the same head to the amplifier on test. After setting up, the range from 35 Hz to 20 kHz was found to be within -1 and -2 dB, relative to 1 kHz. It should be emphasised that, since a compromise was made by using the same head for recording and replay, much greater accuracy can be expected when using a proper replay head and an accurate test tape.
The noise was measured with a mean sensing rms reading valve voltmeter having a response from 10 Hz to 10 MHz, and was found to be 72 dB below peak signal level with the input short circuited. With the head connected, this rose to -68 dB, mainly due to induced noise and hum in the long test lead and head.
Construction is not critical, provided that the amplifier is enclosed in a fully screened box, and is fed with a very well smoothed 20 to 27V supply. The most expensive component is L1, costing around £1. Many other types of pot core are suitable and, if heads other than the UK200 are used, L1, C10 and R22 will require
(continued on page 21)
The ubiquitous SM53.
The Shure SM53 professional unidirectional microphone is seen with increasing frequency in the best of company because it affords eight distinct performance advantages: (1) a wider front working angle with uniform tonal quality; (2) effective noise rejection through a true cardioid pickup characteristic; (3) a built-in shock mount for effective mechanical noise isolation; (4) extraordinary ruggedness for performance consistency after severe shocks; (5) a superior hum rejection system; (6) an integral breath "pop" filter; (7) a minimized proximity effect for constant tonal quality; and (8) full field serviceability. Interested?
Shure Electronics Limited
84 Blackfriars Road
London SE1 8HA, England
SHURE
adjustment in any case. Table 1 shows the component requirements.
It should be stressed that C2 should not be electrolytic unless the expensive tantalum type is used.
The amplifier is suitable for any equalisation standard or tape speed, if the necessary time-constants in the equalisation circuits are altered.
**Power Supply**
Regarding the design of a suitable power supply for the complete record/replay system, the requirements are:
- Record amplifier 100 to 150V at 25 mA
- Replay amplifier 20 to 27V at 7 mA
- Bias Oscillator 10 to 15V (depending on power required) at 400 mA maximum.
The record amplifier supply need not be stabilised and the 120V nominal supply is most easily obtained from the usual R/C smoothing arrangement. The replay amplifier supply can be obtained from the 120V supply, via a resistor and zener diode, as in fig. 3. Note that the total current from the 120V rail is now 40 mA. It must also be remembered that the replay amplifier has a negative rail and some care must be taken with respect to the earthing arrangement used.
Having decided upon the power required from the bias oscillator, this must be stabilised against variations in mains voltage; a suitable and simple circuit for this is shown in fig. 4.
A connection diagram for the complete system is shown in fig. 5.
*D. Leblebici, High gain audio voltage amplifier, April 1971.*
**Table 1**
All capacitors 25V wkg. 20% unless stated.
C1 160 µF electrolytic
C2 3 µF paper or polyester
C3 0.022 µF
C4 160 µF electrolytic
C5 160 µF electrolytic
C6 160 µF electrolytic
C7 0.33 µF polyester
C8 0.33 µF polyester
C9 50 µF electrolytic
C10 0.0027 silver/mica 2 %
C11 0.0068 µF polyester
All resistors ½ Watt, 5% low noise, unless stated.
R1 680Ω
R2 820Ω
R3 5.6kΩ
R4 580kΩ
R5 12kΩ
R6 330Ω
R7 18kΩ
R8 6.8kΩ
R9 1.2kΩ
R10 3.9kΩ
R11 1 kΩ
R12 12 kΩ
R13 100 kΩ
R14 200 kΩ
R15 2.2 kΩ 500 mW
VR16 10 kΩ log pot
VR17 500Ω lin pot
VR19 5 kΩ lin pot
VR21 500 kΩ lin pot
R18 1 kΩ
R20 470 kΩ
R22 47 kΩ
L1 consists of 400 turns of 38 SWG Enam copper wire, wound on Mullard ferrite pot core, type LA220B. When ordering this component ask for bobbin and mounting assembly.
Tr1, 2, and 4, are Texas BC214L.
Tr3 is Texas BC183L.
Rhythm and tape -slide presentations for conferences. Most clients are regulars, a fact which Malcolm attributes to the fact that he gets a good vocal sound using a Neumann M49. He also gets a good rhythm sound.
'I think that Tony Pike of Putney and myself run the only two studios outside central London which get a tight rhythm sound. It's because we have been at it a long time, and we work our musicians very close together—so close there is hardly room to breathe. Although there could be room, we make them play very close together to get a good overall rhythm, and a very good feel. The separation is superb, but we've been working on that a long time as well. We use screens a lot as well as lots of blankets, cushions, and jackets. They are better because they are more adaptable, and they fit round a guitar amplifier so well. I've got a special blanket that I keep for the bass drum, and I would never change it.'
If you want to make a record, and enjoy yourself at the same time, give Malcolm a ring on Rickmansworth 72351. Four track recording costs £10.50 per hour, and the same charge is made for all other studio work.
**Beyer Dynamic**
**Dynamic Headphones**
**DT 900**
*Dynamic Stereo Headset*
Lightweight, gaily coloured and very comfortable to wear. And—of course—high fidelity.
Specifications:
Frequency Response: 30—18000 Hz. Output Level at 400 Hz and 1 mW: 114 dB over 2·10⁻⁴µbar. Rated impedance: 600 Ω per cartridge. Required voltage: appr. 400 mV/cartridge. Maximum Load: 200 mW or 11V/cartridge. Connection cables: 900.4 — connector LS 7, 900.7 — jack plug, 900.10 — 9 pin DIN connector.
**DT 100 V**
A high fidelity headset with a built-in induction receiver. No trailing cables, ideal for both home use and professional applications. Powered by 9 V battery, equipped with ON-OFF switch and volume control. Can also be used cable bound for stereo listening.
Specifications:
Frequency Response: 30—20000 Hz. Output Level at 400 Hz and 1 mW: 110 db over 2·10⁻⁴µbar. Rated Input: appr. 600 mV per cartridge. Peak Power Load: 1 W or 20 V per cartridge. Impedance: 2 x 400 Ω.
**Beyer Dynamic (GB) Ltd.**
1 Clair Road, Haywards Heath, Sussex
Telephone Haywards Heath 51003
---
**Switchcraft Audio Connectors**
Now available ex-stock, all popular Switchcraft audio connectors for studio and ancillary equipment. Featuring the high specification, ready inter-changeability and standardised fitting demanded by the connoisseur. At truly low cost: only 75p for the A3F cord plug, with other 3, 4 and 5 pole plug and socket connectors in the same price bracket. Delivery ex-stock, with quantity discounts.
Switchcraft connectors for streamlined strength and efficiency: providing positive contact, safety lock, self-polarisation and cable clamping. The professional design for the professional user.
Sole U.K. Agents for Switchcraft QG connectors
F.W.O. BAUCH LIMITED
49 Theobald Street,
Boreham Wood, Herts.
Tel: 01-953 0091
Telex: 27502
---
**Rycote Windgags**
for Sennheiser 805's 405's and other capacitor microphones
are light weight POLYTHENE almost indestructible
Write to RYCOTE, POOLHEAD LANE, TANWORTH-IN-ARDEN, SOLIHULL, WARKS.
or leave your name and address on our recorder on 056-48-339
---
**Midland Sound Recordings**
Member of the Association of Professional Recording Studios FOR SUPER SOUND AND SPEEDY SERVICE
- Mono — Stereo — Two Track
- Studio or Mobile
- Disc Cutting
- Custom Pressing
MEETING HOUSE LANE, BALSALL COMMON, COVENTRY WARWICKSHIRE
TELEPHONE: BERKSWELL 32468
EARLY in 1971 American musician and composer Frank Zappa, plus an entourage of pop musicians, groupies and just about everyone else you can think of in the pop world, descended on Pinewood studios to make the two hour pop colour film 'Two Hundred Motels'. The film, about the experiences of pop musicians and camp followers on tour, was shot in only ten working days, and as reported in the September 1971 STUDIO SOUND, the Rolling Stones' mobile studio was used for recording the soundtrack and associated lp albums. The greatest significance of those ten days at Pinewood, however, was the fact that the filming involved no film at all. Instead it was shot entirely on video tape by Lion Television Services of Shepperton.
The use of video tape in the film industry is nothing new and for a while now directors have been shooting scenes both on film and on video tape. But this system is designed to provide 'instant rushes' so that after a scene has been shot the tape can be played back to give the director an immediate idea of whether or not anything usable is likely to be on the film, and thus whether or not the scene should be re-shot. Incidentally, American director Blake Edwards (who made the Peter Sellers 'Pink Panther' film among many others) is not only married to Julie Andrews but also has a big stake in the video instant rush business.
But what Lion Television Services were doing at Shepperton was to use video cameras only (four in all) and to produce the film in video form for subsequent transfer on to film for showing either in cinemas or over broadcast television.
In theory the tape-to-film technique divides itself neatly into two halves. Lion Television produce a finished video tape, all edited and in final form, and hand it over to the Vidtronics Division of Technicolor Limited. But in practice there is no such neat division. Vidtronics and Lion work pretty much hand in hand all along the line and such co-operation is essential for an acceptable end product.
For a long time the Editor and I have been curious as to the quality of which the tape-to-film technique is capable, and I think it is safe to say that both of us had pretty definite reservations about how a 625-line TV picture would look on the screen of the Odeon, Leicester Square. Various tales had filtered down the grapevines about the quality involved. Among them was the fact that 'Two Hundred Motels' (and another film made earlier about the pop group Juicy Lucy) were so heavily 'freaky', i.e. full of television type colour explosions and exotic effects, that at no time was there any real chance of getting an idea of what the actual video quality was like. One considered opinion was that a taped-to-film product would be acceptable on the large screen provided that it was not inter-cut with standard 35 mm original film (i.e. pictures shot on 35 mm rather than on video tape), the theory being that the human eye (just as the human ear) adapts pretty readily to whatever quality is presented to it—provided that there is no yardstick for comparison. This is borne out by the fact that many 35 mm cinema prints started off life as 16 mm negative but their relatively poorer quality is only noticeable when the film-maker has inter-cut with scenes that began as 35 mm negative.
AH We have been very interested in the Zappa film from two viewpoints—sound and vision. In a previous issue we covered the use of The Rolling Stones' mobile for recording the sound, but we're also interested in the video quality. We would really like to know what the Vidtronics process is all about—so far as you can tell me without giving away any secrets.
CP Well, there are two ways of going about it all. We can either get a finished tape product for straight transfer or—as here—we are presented with a rough cut video tape. In this case, incidentally, we had to cut something like four or five hours of video tape down to a hundred minutes of running time. The technique itself is based on the fact that the television system incorporates in its signals three separate sets of information—red, green and blue. These are normally displayed simultaneously on a colour screen. But what we do is decode the colour television signal into separate signals and record on three separate runs; first the signal corresponding to the red information, then the one corresponding to the green, then the one corresponding to the blue. This means that we end up with three separate negatives which correspond to the different colour informations, and in fact the negs we end up with are silver negs, exactly as in the old Technicolor process. From then of course it's the same as catching white elephants. White elephants have a great yearning for cornflakes so you put the cornflakes at the top of the tallest tree you can find, and they stretch and stretch and stretch to reach them until they go grey and then the procedure is exactly the same as for catching grey elephants.
AH In other words it's the ordinary dye transfer method which is being done now, is it?
CP Although you say 'ordinary', it's the old method as opposed to the current one which is used. In fact we've resurrected a lot of the original techniques used with the three strip Technicolor studio cameras that they used to use. In the current method for ordinary film work it is Eastmancolor film that goes through the camera and we take an Eastmancolor negative and print through filters on to three matrices—a yellow, a magenta and a cyan. The only difference when we are presented with an electronic neg (i.e. video tape) is that we just print without the filters. The image on our yellow separation neg is the yellow image, and so on—you don't need filters—we just print straight on to the matrix stock, which doesn't even need to be colour sensitive.
AH When you're doing this transfer from tape on to the three separate lengths of film in monochrome, each containing its own colour information, is that a purely electronic process.
(continued on page 25)
CTH TM 50 MK2 SERIES AUDIO MIXERS
Single or multi-output mixers with up to 40 input channels made to professional standards and incorporating the following features:
- 'XLR' input connectors
- Prefade listening
- 180° self-evident dials
- Back contacts
- 'Channel on' lamps
- Peak programme meter
- +12 dBm floating output
- 0-30-60 dB input attenuators
- 0-30 dB preset channel gain
- 30Hz-20KHz ±2 dB
OPTIONAL FEATURES INCLUDE:
- Tone Controls
- Extra P.P.M's
- V.U. meters
- Disc and tape inputs
- Limiter/compressors
- Battery operation
- Portable field units
- Rack mounting units
CTH also manufacture a range of modular mixing units, consoles, distribution amplifiers, studio disc player units, speaker amplifiers, cable drums and many other items of studio equipment.
CTH ELECTRONICS
Industrial Estate, Somersham Road, St. Ives, Huntingdonshire, PE17 4LS Telephone: St. Ives 64388 (0480 64388)
or is there any display—on a cathode ray tube for instance?
**CP** It’s a film recording process using a CRT display.
**AH** Someone was suggesting that there might be some direct electronic wizardry whereby you cut out the need to display on a cathode ray tube.
**CP** It’s only the results that are magical—not the process.
**AH** Am I right in thinking that Rank uses a similar thing for going on to EVR?
**CP** No—Rank use an electron beam recorder which, if you like, incorporates the film as part of the cathode ray tube. In fact the film is directly bombarded by electrons and therefore the picture is recorded by electrons on film.
**AH** That’s what put me on that red herring—thinking that you might be cutting out that display step to improve quality. Bombarding film stock with an electron beam, for instance, to record directly on to film.
**CP** We could use an electron beam recorder, but we don’t.
**AH** Well now, on ‘Motels’. There was one other before that, I believe. The Juicy Lucy film, which I’m hoping to see later this month. What line standard was used on that?
**CP** 625. And also on ‘Motels’.
**AH** Now I understand that there is equipment available for 1000, 2000 or 3000 lines and that it was intended to be used for ‘Motels’ but something went wrong. Is that a fair statement?
**CP** There has been a lot of talk about such cameras becoming available, but it was never on the cards that they would be available at that time.
**AH** That’s in direct conflict with what somebody else told me but obviously you would be the one to know.
**CP** There was never any question in our minds about not using 625 lines. There has been a lot of work done and a lot of consideration given to higher line standards, which obviously would improve definition provided that everything else in the television system was improved to keep pace with it.
**AH** Well, what I got was obviously from someone who’d got the wrong end of the stick.
**CP** It would have been easy to get that impression from the various stories that were going around.
**AH** There have been so many conflicting stories also about what is happening to ‘Motels’. One suggestion is that it’s held up because of technical problems and another because they swore too much.
**CP** Well, as I said, ‘Motels’ was given to us rough cut. What we did was produce our separation negatives as I’ve described, and from one of those we produced a black and white cutting copy which was sent to the States for editing in the normal film manner. And also, of course, the music was recorded separately, as you know. So the time lapse (I wouldn’t call it delay) has been in the editing in the States.
**AH** So you sent them an ordinary—just monochrome—cutting copy which they then worked on and sent back to you in its final cut state.
**CP** Yes. They we cut the separation negatives to match and print it in colour.
**AH** You explained that there are two alternative systems, one where you do some cutting and the other where what you are given is a finally cut tape.
**CP** The procedure one adopts depends very much on the sort of effect one is trying to create and many other production requirements, as well as aesthetic requirements, rather than any technical ones. You can edit the thing completely on video tape, which if it is a television-style sort of production you can probably do quite quickly and efficiently. But if on the other hand it’s a film production, then of course it will take you a long time and therefore cost more to edit on tape. So it is easier to transfer on to a cutting film print for all the rough cut editing and then do the final version on film. It all depends on a lot of factors.
**AH** I gather that Juicy Lucy was very much television stuff.
**CP** Oh yes. It was shot exactly as television. Hardly any editing was done to it—just a question of joining it together on video tape and when it was finalised we just put it straight on to film in final form. The whole thing took about a fortnight.
**AH** I see—whereas obviously the ‘Motels’ thing has much more of a story line and has to be handled more as a film. But the perennial question is quality, as that’s what started this whole thing off for us—on the face of things the idea of something coming out of the system you described and ending up on the screen at The Odeon, Leicester Square, is pretty horrifying. On the other hand, if someone had told me about the Technicolor process 30 years ago I would have said ‘Oh, it’ll never work’—so I’m open to be proved wrong. Have you seen any of the final transfers on the large screen?
**CP** Yes, I’ve seen the whole thing and it was even better than we expected.
**AH** And it will stand up to wide screen presentation?
**CP** Oh yes.
**AH** Do you see the lines? They must be very large spread over the height of the average screen.
**CP** The only time you see lines is on certain types of movement when a strobing effect can be apparent. Normally the lines structure is destroyed in the process and you don’t see them. It is destroyed by spot wobbling.
**AH** You can do that because you’re not relying on display with the phosphor triads I suppose. Is the definition comparable to 16 mm original—or 35 mm, or is it worse?
**CP** It’s better than 16 blown up to 35. When we produce 16 mm prints our average results on 16 mm are better than the average result on direct shot 16 mm strip. But we ‘shoot’ on 35 whether we’re going to 16 or 35 and we then produce a 35 matrix if we want 35 or a 16 matrix if we want 16.
**AH** I see. So all the transfer from tape to film is initially done on 35. Then you go downhill rather than going uphill.
**CP** The vast improvement over ordinary 16 mm is that our results are relatively grain-free because the neg that we use is very slow and fine grained and the only graining is in the matrix. Our final transfer has no grain either. The only thing you’re left with is the television noise, which looks like grain. If you get a quiet picture, your results are remarkable.
**AH** I’d guess this is where the future problems and improvements will be. Because you’ve been doing Technicolor work for 30 years now—I mean Technicolor Ltd have ironed out the bugs over 30 years and therefore the bugs are now presumably in the tape noise.
**CP** Not just tape noise. The main problem is television noise generally, which isn’t necessarily tape noise. The most offensive kind of noise is the noise you get out of the camera when it’s under-exposed. Obviously a reduction in tape noise would help but it is only one of the factors. There are more serious factors, but I think we can overcome them.
**AH** What about the future of films. I know that there are a lot of instant rushes done, aren’t there—a sort of side by side process where at the same time as filming on film they film on tape for the Director just to get an idea of what he’s shot on film.
**CP** Well with our process it’s done automatically due to the fact that you’re recording only on 12.5 mm tape. But of course you can record as well on a smaller gauge helical scan recorder so that people can go away and think about it and make a lot of their editing decisions on cheap apparatus in a quiet room rather than with 12.5 mm tape and VTR machines, which cost a lot of money.
**AH** Finally, back to the question of actually filming on video tape only—are there any plans for doing any feature stuff on it that you can talk about?
**CP** There are a lot of projects in the offing which will obviously await the results of ‘200 Motels’.
**AH** So really it’s something of a turning point.
**CP** We think it will justify our belief in the system.
To round things off I went to the National Film Theatre in late September for a showing of the Juicy Lucy film. To be more accurate the film is called ‘Juicy Lucy/Colosseum’ and not too surprisingly it is a simple filmed—or rather videofilmed—record of a stage performance by these two British groups. For the record it was made in 1970 by the Oakhurst production company and was directed by Tony Palmer (who also directed the ‘Motels’ film). The TV technical side was handled by Lion and the tape-to-film printing by Vidtronics (again as per ‘Motels’). So it should certainly be reasonably indicative of what the Zappa film has in store for us—technically at least. Also very convenient was the fact that the NFT were showing JL/C in the same programme as the 1968 film ‘Monterey Pop’, which is a film of the Monterey Pop Festival shot on 16 mm and blown up to 35 mm for cinema distribution. In other words in the same programme we had a direct comparison between the two techniques referred to by Chris Pooley (tape-to-35 and 16 film-to-35) and used for very similar subjects.
In short, and on the strength of the nearest we can get so far to an A/B test, I reckon the tape-to-film system wins hands down!
Not only ‘Monterey Pop’, but also the Rolling Stones’ film ‘Gimme Shelter’ and parts of the feature ‘Woodstock’, have been blown up from 16 mm camera stock to 35 mm distribution prints and they are all distinctly ‘rough’ in
(continued on page 27)
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picture quality by everyday cinema standards. The grain is very obvious indeed, especially in the low light shots, such as the evening and night concert shots, and definition is poor (to use pretty neutral terminology). But usually it is a case of material and subject matter transcending the technical inadequacies, and in 'Gimme Shelter' there is the reduction from Glyn Johns' 16 track recording to wallow in as compensation. However, the JL/C film was presumably made under comparable inadequate lighting conditions and it proves that Pooley is certainly right in drawing a favourable comparison with finished products that started off life in the camera as 16 mm colour stock.
I was sitting halfway back in the NFT from the screen but for a while stood close to the screen side. At no time could I see any grain at all. What I could see was a very sharp image (far sharper than on Monterey Pop which was shown on a smaller masked screen) and detail right down to skin texture in close shots of hands and faces etc. The film is, as everyone has said, fairly heavily spiced with video effects—colour bursts, colour saturation, colour draining etc. But there are enough straightforward documentary style shots, of the audience and drummer Jon Hiseman, for instance, to suggest that this particular medium may already be technically adequate for most requirements and a good bet for any work where the presence of the so far cumbersome colour TV cameras is no problem. Whether colour cameras as portable as 16 mm Bolex and Arriflex equipment will become available at reasonable price is a moot point.
Equipment cost and portability are probably the main snag in the tape-to-film process. Are there any others? Probably there are all kinds of problems with which Lion and Vidtronics are faced and a few are hinted at in the transcription of my talk with Chris Pooley. But clearly none are so serious as to throw doubt on the system as a whole and equally clearly most of any existing bugs will sooner or later be ironed out. The only one I noticed was the curious tendency of the line structure (destroyed by spot wobbling for 99.9 per cent of the time) to recreate itself in fast moving parts of the image. Thus, as an object like a drumstick or hand moves at a certain speed up or down, the object momentarily shows up as being defined by conventional TV lines. The effect also seems to become evident sometimes on fast cut passages. Pooley mentioned this in passing but gave no explanation of the cause and made no comment on whether or not it will ever be eradicated. I would guess it follows from image movements which phase briefly with the wobble velocity of the spot—vaguely comparable to the stroboscopic freezing of wagon wheels on film—but as I say that is only a guess. In any case the effect is only noticeable if you are looking for it.
Incidentally, colour rendition is, I would say, most nearly comparable to Sony Trinitron colour. With the prints being made by the Technicolor dye transfer process there is presumably no limit to the scope of controlled colour variations which can be introduced by dye control at the printing stage.
Remarkable as it may sound I cannot imagine Mr Average Cinema Goer in the stalls of his local Odeon—or for that matter Mr Keen Cinema Goer in his seat at the NFT—noticing any difference whatsoever between a conventional film print and a Vidtronics print. And that must surely be the object of the whole exercise.
Since I wrote the foregoing, a fair amount of water has flowed under the bridge. Frank Zappa and Tony Palmer have fallen out publicly in a way that seems to have involved Palmer adversely criticising the final cut of the film and demanding that his name be removed from the credits. The compromise reached was that visual direction be credited to Palmer and characterisation direction to Zappa. The film opened in London on December 16, at about which time Zappa was publicly punched off the stage at The Rainbow Theatre, where he was giving a live performance. All of which incidents are presumably unrelated—but somehow seem not too surprising when you have seen the film.
One thing is certain—it is certainly not family entertainment or a film to take your auntie to at Easter. But at least some of it is entertainment and, although quite different in content, it is similar in spirit to the Beatles' Magical Mystery Tour. Thus although 200 Motels is a surrealistic impression of life on the road with a touring rock band, and the Beatles' film a surrealist impression of life on the road with no one in particular, both films have in common the feel of a brave experiment that in places comes off and in other places doesn't. Each is rather like an adventurous home movie that suffers from over-indulgence, inadequate editing and an overdose of pretension. One can imagine 200 Motels being shown in years to come at the National Film Theatre as an example of a courageous attempt at doing something different. With the benefit of hindsight, perhaps even Zappa will acknowledge that more ruthless editing might have improved the film.
The video tape to film conversion technique really does work and, although the screen I saw the film on is small (The Classic, Piccadilly Circus) definition is good enough for the technique to be considered a success.
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IN mid December, I received a telephone call from D.K., asking for information on any industrial recorder we manufacture for a forthcoming survey. With a certain reluctance, I replied that we had a machine in the planning stage but been in development for some time but would not be available until later in 1972. In any case, the company did not wish to give detailed specifications until the machine was completed. Oh, says D.K. and with subtle cunning asks why not write about the design of industrial tape transports to back up his claim. I know full well that more than specifications would then be divulged. Before I could refuse a letter arrived confirming that the company could have the manuscript by January 4 last.
What about dividing line between domestic and industrial tape transports? The question is often asked but is difficult to define as some borderline machines have features applicable to both categories.
Magnetic tape is virtually weightless and easily accelerated so there is difficulty to maintain at constant speed whereas a disc, as soon as this is placed on a turntable, effectively gains the spindle, motor and flywheel with natural resistance to speed change. If no provision is made to control tape tension, this is proportional to the diameter of the amount of tape on a spool. To take an example, say this tension is approximately 40 gm (in practice this figure is based on demand and highest tension of 100 gm on industrial transports. This depends on tape compliance and head pressure), a spool diameter of 40 cm on a full 27 cm NAB spool increases to 80 gm when empty, and to 180 gm on an empty 18 cm spool. This progressive tension increase produces flutter, wow, and low frequency chirp. It also increases the capstan power requirement.
A back tension system is often fitted for use within a machine but is only a compromise. A near approach to constant back tension can be achieved by means of a rubber pad against the capstan or against a stainless steel plate. This is unsatisfactory for large industrial machines using high tension.
Smooth passage of the tape past the head assembly is basically achieved with a capstan shaft rotating at a constant speed, the tape being supported and sheared by a jockey or pinch wheel. This action is quite as simple as would at first appear. Ideally the jockey wheel should be the same width as the tape and the track should deviate from the capstan. Unfortunately, considerable pressure is necessary because the coefficient of friction of most tape and capstan is low, especially on 25 mm tape. The pinch wheel is therefore made wider by about 50 per cent, overlapping the tape equally on both sides and thus imparting a small wheel drive. The tape is driven (a) by the capstan shaft direct and (b) by the centrifugal starter of rubber tape. The result in surface finish of the pinch wheel surface as the wheel now has a contributory effect on wow. Any short term variation in hardness or long term wear of the shape will have an over-riding influence on wow and flutter.
In my opinion rubber, either natural latex or synthetic Nitril, is unsatisfactory in the long run. Natural rubber is affected by oil and both have variations in hardness at any point to point, giving rise to wow irrespective of winding conditions. Nitril exhibits cold set properties. Flaws disappear in the surface cannot be checked (i.e. hard spots and air bubbles) as the material is opaque. Also, both materials are prone to wear, reducing their traction. Finally, poor resistance to abrasion causes the material to shed which is more noticeable where it is used in a pinch roller.
Realising the limitations of rubber, some manufacturers have turned to polyurethane, which is not one material but a group available for injection or compression moulding, or casting. The former is most economic, having filters and planifiers, similar to rubber in wearability, high resistance to abrasion, unaffected by oil, subject to only slight variation in density, due possibly to fillers. Cast polyurethane mechanically resembles compression types but subject to air bubbles, making it unsuitable.
The compression type is moulded on a heated platen at very high pressure for about 15 minutes, then cured slowly in an oven. It is characterised by its pale brown translucent appearance, being excellent for both pinch and idler wheels. We have used it in both roles for a number of years. The capstan is constant due to slow curing. Traction is high if ground correctly and abrasion resistance is so high that scraping with a sharp razor makes no impression.
The capstan now deserves some attention. Not only does it have to be very round with a high degree of concentricity, but it must be free of stress and highly abrasion resistant not necessarily very hard. When a direct drive capstan motor is used, the shaft is part of the motor and is normally, unless otherwise specified, a cold hardened steel (mild steel cyanided and quenched, then surface hardened from content up to 1 per cent, then surface hardened). Stresses are partly released in the grinding process but due to the varying depth of carbide bond grinding during hardening, this hard core varies considerably in depth. It is generally thinner at the ends - including driving end. Unless the surface of this type of finish is not abrasion resistant, hence the wear on some shafts when in continuous use.
Proximity appears to a shaft in relation to its support bearing is more important than is realised. This distance is fixed once the drive arrangement, in order to reduce vibration, a soft pin wheel requiring less pressure for a given traction is used (fig. 1). The high impact from a solenoid operated pinch should also be considered.
The energy energy stored in a direct drive motor is governed by physical diameter and weight and can be insufficient to maintain low wow at slow speeds although the torque is relatively high.
A high torque motor is unnecessary, in my opinion, for a transport with a heavy tape load. We therefore resort to a driven flywheel which can be direct or belt driven from a small servo controlled motor of preferably the brushless type, such as the Hali, Braun TG1000 and Philips N4160 domestic models. This is satisfactory enough for low speeds, it is not suitable for industrial use. It may be of interest in passing to mention that some tape decks rely on a sand blasted capstan shaft to obtain sufficient reaction at low pinch pressure, generally where the mechanism is non-synchronous, to obtain light start button pressure. This capstan surface is soon smoothed by tap abrasion and the technique is not recommended.
The ideal capstan shaft material is brass or mild steel with thick hard chrome plating. The gap between the tape and capstan is critical. This has hard wearing properties with very low remanence. Unfortunately, it is expensive to produce and the cost of the capstan and corners are ground. There is also a build up of chrome in both these holes, making accurate grinding difficult. Having embarked in some detail on this humble shaft, I hope it will be of interest to describe the production of one such shaft and flywheel used in the Chilton 10m S tape recorder.
The material chosen (fig. 2) has a high chromium content and a very low distortion characteristic when hardened. It is supplied in 12.5 mm (0.5 inch) ground stock. Both ends are ground to a diameter of 12.5 mm (0.5 inch) of the finished size and are undercut at the junction of both diameters to facilitate grinding up to the final shoulder. This also prevents cracks in the hardening process. The centre holes are for grinding and mounting purposes. The 1.5 mm (0.06 inch) centre section is strengthened by this draft, eliminating flexing during grinding and the natural tendency to bow when being mounted on the flywheel shaft. There is also a large contact area giving a stronger bond. The component is now hardened in a Mar-Quench process (quenching normally in a high temperature liquid salts which greatly reduces internal stress). These complex stresses weaken the component when subsequently ground by gritting. After tempering to 60 Rockwell (scale C) hardness, it is checked by noting the depth of diamond indentation for a standard impact pressure. Each centre is now cleaned and lapped to ensure absolute roundness prior to grinding.
The precision centre grinder used on the next operation is operated on a surface compound feed from the machine vibrations. The grinding fluid must be absolutely clean and free from the smallest foreign particles otherwise a high degree of surface finish and accuracy is impossible. This fluid goes through three
(continued over)
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You may pay a little more at the outset, but the rewards are many in service and reliability.
Series Y Twin Channel Stereo machine (illustrated): Housed in a light alloy casing, this machine is specially adapted for audio frequency instrumentation recording in scientific and industrial applications (purchase-tax-free for these uses). Input and output conditions suitable for matching professional equipment. Available in single or two-channel forms, recording full, $\frac{1}{4}$ or $\frac{1}{2}$ track. 3 tape speeds on each machine.
Other details are yours for the asking—just complete the coupon below.
If you have a recording problem contact Ferrograph. Special machines can be made up to customers' requirements.
Series Y tape recorders are available direct from the Ferrograph U.K. company or principal overseas agents (list available on request).
FERROGRAPH
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Limited, The Holte,
Edgware Road,
London,
N.W.9.
THE LATEST ADDITION TO OUR WELL ESTABLISHED AND COMPREHENSIVE RANGE OF RECORDERS
★ Electronically controlled capstan motor ensuring maximum freedom from mains frequency variations.
★ Tape time counter.
★ Relay operated mode selectors.
SPECIFICATION:
Dual speed (38—19 cm/s) recorder with electronically commutated DC capstan motor. Available in A or B wind forms with full track, stereo or two-track head format.
Speed deviation: ±0.1%
Wow and flutter: ± 0.05% (DIN 45 507 peak weighted)
Slip: 0.2%
Spooling tension: 100 gm, peaking to 750 gm.
Tape time counter: 0.2% accurate 4s addition after tape stop.
Frequency response: 40 Hz to 60 Hz ±1.5 dB, 60 Hz to 15 kHz ±1 dB
Signal-to-noise ratio: 55 dB (full track).
Distortion: 1%
Chassis dimensions (hwd): 308 x 645 x 525 mm.
Weight: 53 kg.
For further details contact:
BRIAN ENGLISH
A.E.G. TELEFUNKEN
A.E.G. House, Chichester Rents,
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Tel. 01-242 9944
**NAGRA SN**
Miniature two speed pocket battery recorder employing a flat motor originally developed by Kudelski for missile instrumentation. Features include drive and servo capstan control (on the Nagra 3/4 principle). Manual/AG remote start/stop, cine sync.
**Recommended tape:** BASF TP18, DP12 or XP9.
**Dimensions:** 147 x 100.5 x 26 mm.
**Weight with batteries and tape:** 0.574 kg.
**Normal Power Supply:** Two Ever Ready E91 manganese cells or similar. Average continuous life is 7½ hours.
**External Power Supply:** 125 mA at 3V.
**Reel Size:** 68 x 6.35 mm
**Normal Tape Length:** 160 m
**Recording time:** 27 mins (0.5 cm/s); 54 mins (4.75 cm/s); 108 mins (2.4 cm/s). These values can be doubled with 12.5 µm tape.
**Record and Playback pass band** (with high-pass filter and external playback corrector): 80 Hz to 15 kHz ± 2 dB.
**Signal-to-noise:** 60 dB (ASA 'A' weighted)
**Distortion:** 2% (400 Hz)
**Wow and flutter:** ±0.1% (DIN peak weighted).
**1 kHz signal erasure:** 70 dB.
**MANUFACTURER:** Kudelski S.A. Ch 1033 Chesney/Lausanne, Switzerland.
**AGENT:** Hayden Laboratories Ltd, Hayden House, 17 Chesham Road, Amersham, Bucks.
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**AMPEX AG-440 B**
Available in full and two track form with rapid conversion between 6.25 mm two-track and 12.5 mm four track. Two speed transport (38–19 and 19–9.5 cm/s).
**Signal to noise ratio:** 66 dB (full track).
**Frequency response:** ±2 dB, 30 Hz to 18 kHz.
**Wow and flutter:** 0.08%.
**Playback timing accuracy:** ±0.2%.
**ABR-10**
Bidirectional recorder conceived for automated broadcast applications. Variable speed fast-forward search. Servo-controlled transport available in adjacent speed pairs from 38 to 2.4 cm/s. Unidirectional models available.
**Signal-to-noise ratio:** 66 dB (full), 63 dB (half), 57 dB (¼-track).
**Frequency response:** 30 Hz to 18 kHz ±2 dB.
**Wow and flutter:** 0.1%.
**Start time:** 100 ms.
**ABR-15**
Version of ABR-10, accepting up to 38 cm diameter reels. Unidirectional models available.
**AG-600**
Smaller solid-state version of earlier 600 series, available in full or ¼-track mono and half or ¼ track stereo. Portable or rack.
**Spool capacity:** 18 cm.
**Speeds:** 19–9.5 cm/s.
**Frequency response:** 40 Hz to 15 kHz ±2–4 dB
**Signal-to-noise:** 57 dB full track.
**Wow and flutter:** 0.17%.
**AG-500**
Portable dual speed mains recorder. Two line inputs per channel. Single or two channel available.
**Spool Capacity:** 18 cm
**Speeds:** 38–19 or 19–9.5 cm/s
**Frequency response:** 30 Hz to 18 kHz ±2 dB.
**Signal-to-noise:** 55 dB (full track).
**Wow and flutter:** 0.15%.
**MANUFACTURER:** Ampex Corporation, 401 Broadway, Redwood City, California 94063, USA.
**AGENT:** Ampex UK Ltd, 72 Berkeley Avenue, Reading, Berkshire.
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**AVCOM 235**
Cassette programme loader, with cue-tone automatic tape cutter, electronic counter, splicer and vacuum pump. **Price:** £1,323.
Cassette blank loader with automatic cutter, electronic counter, splicer and vacuum pump. **Price:** £1,295.
Cartridge (eight track) programme loader, with electronic counter and auto-cut tone tape cutter. **Price:** £1,100.
Cartridge (eight-track) blank loader with electronic counter. **Price:** £1,055.
235 Series. Liberty/UA eight-track cartridge run-in machine. **Price:** £545.
**AGENT:** Avcom Systems Ltd, Newton Works, Stanlake Mews, Stanlake Villas, London W12 7HA.
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**BIAS ELECTRONICS BE 1000**
Dual speed two channel recorder operating at 78–38, 38–19 or 19–9.5 cm/s.
Specification relates to 38 cm/s.
**Speed stability:** ±0.2%.
**Wow and flutter:** 0.05%.
**Spool Capacity:** 29 cm.
**Frequency Response:** ±2 dB 40 Hz and 18 kHz.
**Start time:** (To rated speed) 200 ms. To rated flutter: 1s.
**Signal-to-noise:** 62 dB (full track).
---
**Tension counter:** Servo back tension controlled by sensing arm and damped by fluid dashpot.
**Tape counter:** Reads in minutes, driven by 38 cm/s tape.
**Heads:** Ferrites available to order.
**Additional features:** All machines wired for stereo. Fibreglass plug in modules. Console available. Full remote facilities are standard. Plug-in interchangeable headblock. Electronic clock available.
**Prices:** Mono from £448. Stereo from £498.
**MANUFACTURER:** Bias Electronics Ltd, 162 Randall Avenue, London NW2.
---
**BRENNEL TYPE 19**
Deck only. Two-speed Papst capstan motor (38–19 or 19–9.5 cm/s) Solenoid made selection.
**Wow and flutter:** 0.05%.
**Spool capacity:** 29 cm.
**Dimensions:** 485 x 356 x 155 mm.
**Weight:** 12.019 kg.
**MANUFACTURER:** Brenell Engineering Co Ltd, 231/235 Liverpool Road, London N1.
---
**EMT LOOPMATIC**
Automatic tape recorder with rapidly interchangeable endless loop steel cartridges. Programme duration: 3 seconds to 15 minutes.
**Tape speed:** 19 cm/s.
**Maximum number of times a tape loop may be played:** 5,000.
**Run-up time** (until permissible wow and flutter figures are reached): 0.5 s.
**Stopping time:** 0.2 s.
**Tape run on:** 4 cm.
**Wow and flutter:** ±15% (Din 45 507 weighed).
**Frequency response:** +1, −2 dB, 40 Hz to 15 kHz (CCIR equalisation).
**Price:** From £1,097.
**MANUFACTURER:** Elektromesstechnik Wilhelm Franck KG, D-7630 Lahr/Schwarzwald, Postfach 1520, West Germany.
**AGENT:** F.W.O. Bauch Ltd, 49 Theobald Street, Boreham Wood, Herts.
(continued on page 37)
Suppliers of professional audio equipment by the world’s leading manufacturers, including:
**NAGRA** Portable, Professional Tape Recorders.
**AVAILABLE EX STOCK –**
New Stereo Models IV-S and IV-SL (Pilotton)
New Mono Models 4.2 series
Miniature Model SN with crystal oscillator
**SENNHEISER**
Microphones and Headphones
New dynamic microphone MD 441.
Especially suitable for sound and recording studios.
Suppliers also of the following equipment in the audio field:
Plessy cartridge record and replay machines, Series C.T.80
Sondor 16 & 35mm record and replay sprocketed tape machines.
Please contact us for full details of Sennheiser, Nagra, Plessey and Sondor Products.
**Hayden Laboratories Limited,**
Hayden House, 17 Chesham Road, Amersham,
Buckinghamshire, England. Telephone: (02403) 5511.
Telex 83251. Cables: Haylab Amersham.
Audio equipment showroom, despatch and service department: 12-13 Poland Street, London W1V 3DE.
Tel: 01-734 3748-9
**FERROGRAPH SERIES 7**
Three-speed (38-19 -9.5 at 19 -9.5 4.75 cm/s) single or dual channel records available in full, \( \frac{2}{3} \) or \( \frac{1}{2} \)-track format. Internal monitor loudspeakers and headphones. Variable speed search.
**Equalisation:** IEC
**Spool capacity:** 21 cm.
**Frequency response:** 40 Hz to 20 kHz \( \pm 2 \) dB.
**Signal-to-noise:** 9.5 cm/s, 55 dB at 2% distortion level.
**Stereo crosstalk:** 50 dB.
**Wow and flutter:** 0.08%.
**Stability:** \( \pm 0.5\% \).
**Series P**
Essentially as Series 7. Developed for use in broadcasting, specifically local radio.
**MANUFACTURER:** The Ferrograph Company Ltd., The Hyde, Edgware Road, London NW9.
---
**GATES CRITERION 80 CARTRIDGE**
19 cm/s system designed for broadcasting applications.
**Wow and flutter:** 0.2%.
**Stability:** 0.1%.
**Tape start time:** 100 ms.
**Frequency response:** 50 Hz to 15 kHz \( \pm 2 \) dB.
**Signal-to-noise:** 55 dB (mono), ref 400 Hz 3% distortion.
**Manufacturer:** Harris-Intertype Corporation 123 Hampshire Street, Quincy, Illinois, 62301, USA.
**AGENT:** Lee Engineering, 16 Grove Road, Shepperton, Middlesex.
---
**KUDELSKI NAGRA 4**
Lightweight (6.4 kg) battery portable three-speed (38-19-9.5 cm/s) recorder available in single and dual channel forms. Specification relates to single channel model 4D.
**Erase track width:** 6.25 mm (8 mm head).
**Record track width:** 6.25 mm (6.4 mm head).
**Play track width:** 6 mm.
**Record head gap:** 7 \( \mu \)m.
**Play head gap:** 3 \( \mu \)m.
**Bias frequency:** 100 kHz.
**Signal-to-noise ratio:** -73 dB (ASA A weighted). Total harmonic distortion: 0.8%.
**Frequency response:** 30 Hz to 20 kHz \( \pm 1.5 \) dB (30 Hz to 35 kHz \( \pm 1.5 \) dB to special order).
**Tape flux at peak recording level:** 510 pWb/mm.
**Spool capacity:** 18 cm (cine) 27 cm NAB with outriders.
**Level meter:** PPM characteristic, dB calibrated.
**Price:** £580.
**Measured by:** BASF SP52.
**MANUFACTURER:** Kudelski S. A. Ch 1033 Cheseaux/Lausanne, Switzerland
**AGENT:** Hayden Laboratories Ltd, Hayden House, 17 Chesham Road, Amersham, Buckinghamshire.
---
**LEEVERS-RICH E200**
Heavy duty two-speed recorder available in full track and stereo forms, rack or console mounted. Track format to BS 1568: 1970.
**Tape speeds:** 73-38, 38-19 or 19-9.5 cm/s. (Specification relates to 38 cm/s).
**Wow and flutter:** 0.06%.
**Stability:** \( \pm 0.2\% \) end to end.
**Start time:** 90 ms to rated flutter.
**Spool capacity:** 29 cm European, 27 cm NAB, 21 cm cine.
**Frequency response:** 40 Hz to 18 Hz \( \pm 2 \) dB.
**Signal to noise:** (full track): 62 dB.
**Metering:** Vu Standard. Ppm to order.
**Price:** £770 (full track), £350 (stereo), excluding tax.
**MANUFACTURER:** Leevers-Rich Equipment Ltd, 319 Trinity Road, Wandsworth, London SW18 1YQ.
---
**METROTECH 500**
Slow speed logger for long term unattended recording of broadcast and industrial voice information. Bi-directional \( \frac{1}{2} \)-track transport available as single channel with triple reverse, two channel with single reverse or simultaneous four channel.
**Tape speeds:** 4.75, 2.4, 1.2 and 0.8 cm/s.
**Wow and flutter:** 0.5%.
**Signal-to-noise:** 43 dB (3m 290).
**Frequency response:** 30 Hz to 10 kHz \( \pm 3 \) dB.
**Distortion:** 0.25% at -8 dBm.
**Timing Accuracy:** 100 ms.
**Start-stop times:** 100 ms.
**MANUFACTURER:** Metrotech Dictaphone, 670 Nation Avenue, Mountain View, California 94040, USA.
**DISTRIBUTOR:** Feldon Recording Ltd, 126 Great Portland Street, London W.1.
---
**REVOX H77**
Transportable stereo recorder with direct drive 38-19 cm/s servo controlled capstan system.
**Bias frequency:** 120 kHz.
**Signal-to-noise ratio:** 60 dB.
**Total harmonic distortion:** 2%.
**Frequency response:** 30 Hz to 20 kHz \( \pm 1.5 \) dB.
**Crosstalk:** 45 dB.
**Wow and flutter:** 0.04% peak-to-peak.
**MANUFACTURER:** Willi Studer, CH 8105 Regensdorf, Zurich, Switzerland.
**AGENT:** C. E. Hammond & Co Ltd, Lamb House, Church Street, London W.4.
---
**ROLA PLESSEY**
7 MARK 3
Two-speed (38-19, 19-9.5 or to order) recorder with 18 cm spool capacity. Direct capstan drive. Variable wind speed. Full or half track mono, or stereo.
**Wow and flutter:** 0.12%.
**Stability:** -0, +2% of nominal speed.
**Distortion:** 2% at 400 Hz.
**Frequency response:** 30 Hz to 15 kHz \( \pm 2 \) dB.
**Bias frequency response:** 90 kHz.
**Signal-to-noise:** 58 dB (30 Hz to 15 kHz, full track)
Available in portable and console form, both with sloping deck.
---
**SCULLY 270**
Dual speed (38-19 or 19-9.5 cm/s) reproducer designed for automated broadcast applications. Reverse drive facility available for \( \frac{1}{2} \)-track mono and \( \frac{1}{3} \)-track stereo versions.
**Spool capacity:** 36 cm.
**Start time:** 100 ms.
**Frequency response:** 35 Hz to 15 kHz \( \pm 2 \) dB.
**Signal-to-noise:** 65 dB full track.
**Wow and flutter:** 0.08%.
**Distortion:** 0.5% (total harmonic) at +18 dBm.
---
**CT80 CARTRIDGE**
Two-speed (19-9.5 cm/s) endless cartridge system. Separate record and play heads.
**Maximum playing time:** 31 minutes at 19 cm/s.
**Tape drive:** Capstan direct driven by a high torque synchronous motor with integral flywheel.
**Starting and stopping time:** 200 ms.
**Stability:** -0 +0.25% of nominal speed.
**Flutter:** Less than 0.2%.
**Bias frequency:** 100 kHz nominal.
**Cue signals:** NAB standard cue tones.
---
**280**
Dual speed (38—19, 19—9.5 cm/s or to order) recorder available in portable or console cases or for rack mounting, full track or two track.
**Spool capacity:** 29 cm (SP 14 up to 35.5 cm).
**Wow and flutter:** 0.08%.
**Start time:** 100 ms.
**Frequency response:** 30 Hz to 15 kHz \( \pm 2 \) dB.
**Signal-to-noise:** (GM 202) 65 dB (full track, 30 Hz to 18 kHz band).
**Bias frequency:** 180 kHz.
**Erase frequency:** 60 kHz.
**MANUFACTURER:** Scully-Dictaphone, 280 Bunnel Street, Bridgeport, Conn. 06007, USA.
**AGENT:** Feldon Recording Ltd, 126 Great Portland Street, London W1.
---
**STELLAVOX SP7**
Stereo battery recorder taking 13 cm spools, extending to 27 cm capacity with accessory outriders. Tachometer and servo system. Mono and pilot version available.
**Tape speeds:** 76, 38, 19 and 9.5 cm/s.
**Wow and Flutter:** \( \pm 0.12\% \).
**Tape slip:** 0.1%.
**Frequency response:** 30 Hz to 15 kHz \( \pm 2 \) dB.
**Signal-to-noise:** 65 dB (ASA ‘A’ weighted, full track).
(continued on page 39)
BE CAREFUL
IF YOU ARE ANTICIPATING BUYING A 16 TRACK PROFESSIONAL TAPE RECORDER ON 2" TAPE OR AN 8 TRACK TAPE RECORDER ON 1" TAPE
THEN CONSIDER A 16 TRACK TAPE RECORDER ON 1" TAPE AND AN 8 TRACK ON $\frac{1}{2}$" TAPE ESPECIALLY WHEN THE RESULTS ARE AT LEAST AS GOOD
ARE YOU CONSIDERING THE INEVITABLE PROGRESSION TO 32 TRACK TAPE RECORDING?
If so you may wish to view our own 16 Track Tape Recorder on 1" tape at our own Studios. This good looking and good sounding machine is our pre-production model and has been working faultlessly for the past 5 months, during this period our Studio has been virtually fully booked, being used almost exclusively by top British Producers—all of whom have been very impressed with the results. Our Production Model 16 Track will be unveiled at the Frankfurt Fair at the end of February and our 32 Track will follow shortly afterwards.
Write now for further details to:
ORANGE (Amity-Shroeder Recording Ltd.)
Recording Development Division,
3-4 New Compton Street, W.C.2.
Telephone 01-836 7811
INDUSTRIAL SOUND RECORDERS
continued
STUDER B62
Improved version of A62 transportable/studio recorder. Available in full track, 0.75 mm stereo, or low-crosstalk two-track.
Tape speeds: 38—19 cm/s ± 0.2%. (adjustable).
Tape slip: 0.1%.
Wow and flutter: (Agfa PER 525) 0.1% peak.
Starting time: 500 ms to reach 0.2% flutter, peak value, weighted.
Tape timer: ± 0.5% repeated timing accuracy, indicating minutes and seconds.
Frequency response: 30 Hz—18 kHz ± 2 dB.
Signal-to-noise ratio (stereo 0.75 mm, 510 nWb/m): 61 dB (CCIR equalisation).
Distortion: 1%
Crosstalk rejection, stereo: 40 dB or more, 60 Hz to 12 kHz.
Erasure efficiency: 75 dB.
Bias/erase frequency: 150 kHz.
Price: £560 (full track).
A80
Two speed console (38—19 cm/s, ± 0.2% adjustable with swivelling deck. Tachometer capstan stabilisation. Available in full track, stereo and low crosstalk.
Spool capacity: 30 cm.
Wow and flutter: 0.08% peak.
Tape slip: 0.1%.
Tape timer: 0.2% repeated accuracy, stops instantly at end of tape.
Fast wind stop: 3s.
Frequency response: 30 Hz to 18 kHz ± 2 dB.
Signal-to-noise (Agfa PER 525): 61 dB (full track).
Distortion: 1%.
Bias frequency: 240 Hz.
Erase frequency: 80 kHz.
Price: £1,420 (single channel).
MANUFACTURER: Willi Studer, CH 8105 Regensdorf, Zurich, Switzerland.
AGENT: FWO Bauch Ltd, 49 Theobald Street, Boreham Wood, Herts.
TANDBERG 11-IP
Three speed (19—9.5—4.75 cm/s) battery tape recorder with film sync facility. Single audio channel. Mechanical mode selection. Tachometer speed control. Limiter may be switched into all inputs.
Spool capacity: 18 cm.
Wow and flutter: 0.1%.
Frequency response: 40 Hz to 16 kHz ± 2 dB.
Signal-to-noise: 59 dB (DIN 45511 weighted).
Distortion: 3%.
Erase/bias frequency: 85.5 kHz.
TELEX SERIES 1000
Endless loop transport deck units with replay, cue and record facilities. The tape transport is designed to handle standard NAB magnetic tape cartridges, types A, B and C. The R1000 unit is available as a free standing equipment or as a rack mounting system. Input and output connector are cannon type mounted at the rear of the equipment, together with the supply fuses. The standard unit is for 240V 50 Hz operation. Remote control is possible. Tape speed to order (19, 9.5 or 4.75 cm/s).
R1000-R. Replay model having mains on/off switch, transport start and stop switches and vu meter monitoring output level. One low impedance output suitable for driving 600 ohm lines. Remote start and stop switching is available at the rear connector. Price: £210.
R1000-RC. As R1000-R but having automatic cue facility. A push switch on the front plate enables cue signals to be recorded on the lower track. During playback, the previously recorded cue tone energises a relay, closing a normally open contact. The cue signal is available at the rear connector. Each time the cue signal is recorded or replayed, the cue lamp is illuminated. A panel mounted switch allows for the continuous complete erasure of all previously recorded cue signals if required. Price: £248.
R1000-RP. As R1000-R but also having a signal record facility. Price: £256.
R1000-RCP. As R1000-RP but having cue circuits as R1000-RC. Price: £296.
R1000-AVP. Designed specifically for audiovisual, exhibition and automatic programming with synchronised slide or filmstrip projector operation. Basically, same facility as R1000-RP, the cue signals operating a slide or filmstrip projector. An 8 W output amplifier and loud speaker incorporated; an extension speaker line is provided which, when connected, automatically mutes internal speaker. Price: £255.
R1000-AVR. Specification as above but with the additional facility for recording cue pulses of automatically timed duration. Price: £295.
(continued on page 41)
Philips Pro'36 Studio Tape Recorder
For broadcasting studios, theatres and recording studios, sound and film production studios. In portable, console or unmounted versions.
As one of the newest additions to the Philips’ range of professional audio equipment, the Pro' 36 is a natural part of the studio scene. Remember too, it’s backed by world-wide Philips-Pye service. And an unrivalled range of microphones. Check these Top Ten Features:
- Second generation Ferroxcube heads
- Plug-in units minimise maintenance time
- All functions push-button operated; semi-conductor switching
- Three speeds, electrically switchable
- Automatic correction filter for each speed
- Servo-controlled capstan speed
- Brakes and pressure roller solenoid operated
- Automatic tape lift
- Build-in filters for CCIR and NAB
- Tape tension control for Cine reels
rely on Pye for professional studio equipment
Pye TVT Limited, Cambridge, CB1 3JU, England. Telephone: Cambridge (0223) 45115 Telex: 81103
INDUSTRIAL SOUND RECORDERS
continued
Speed stability: 0.5%.
Wow and flutter: 0.3%.
Start actuation time: 100 ms.
Wow and flutter: 0.06% (38 cm/s).
Frequency response: 40 Hz to 18 kHz ±2 dB.
Bias frequency: 127 kHz.
Noise level: 60 dB below peak.
Crosstalk: 45 dB minimum below adjacent track.
—14 dBm for peak recording level with preset sensitivity adjustment. 10 K ohms bridging.
MANUFACTURER: Levers-Rich Equipment Ltd, 319 Trinity Road, London SW18.
STUDER A80/VU-4-4
Four track version of 6.25 mm A80. Exchangeable head assemblies and tape guides permit expansion to 16 track.
MANUFACTURER: Willi Studer, CH 8105 Regensdorf, Zurich, Switzerland.
AGENT: FWO Bauch Ltd, 49 Theobald Street, Boreham Wood, Herts.
25 mm
AMPEX AG-440-8
Eight track version of 6.25 mm AG-440-B.
Crosstalk: 65 dB at 500 Hz.
MM-1000/8
Eight track system capable of rapid expansion to 16 or 24 channels. Based on videotape transport handling both 25 and 50 mm tape. Tape motion sensing, 38—19 cm/s speeds.
Frequency response: -2 dB, 30 Hz to 18 kHz.
Wow and flutter: 0.08%.
Distortion: 1.1% at normal operating level.
Crosstalk: 50 dB, eight and 16 channels at 500 Hz.
Timing Accuracy: 0.1%.
Start time: 500 ms.
AGENT: Ampex (GB) Ltd, 72 Berkeley Avenue, Reading, Berks.
LEEVERS-RICH SERIES G
Eight track version of 12.5 mm Series H.
MANUFACTURER: Levers-Rich Equipment Ltd, 319 Trinity Road, London, SW18 17Q.
ORANGE (ADVANCE DATA)
Two speed (76—38 cm/s) multitrack recorder in eight or 16 track 25mm format.
Wow and flutter: 0.08% (38cm/s), 0.04 (76% cm/s).
Frequency response: 30 Hz to 15 kHz ±2 dB.
Distortion: 1%, total.
Signal to noise: 57 dB.
MANUFACTURER: Orange Recording Studios, 3 New Compton Street, London WC2
SCULLY 288
Eight or 12 track version of 6.25 mm 280.
SCULLY 100-8, 100-12
Single speed (38 cm/s, or 76 cm/s on special request) recorder available with 8 or 12 tracks. Capable of expansion to 16 track 50 mm.
Wow and flutter: 0.06%.
Frequency response: 35 Hz to 15 kHz ±2 dB.
Bias/erase frequency: 100 kHz.
Price: £5,850.
(continued on page 43)
CROWN INTERNATIONAL
Only Crown International can offer professional quality performance from four track in-line machines using 1/4in tape!
You even have three models to choose from:
SX744 Budget priced model with 8 mike inputs, and two speeds. £997
CX744 Modular electronics, remote facilities, three speeds. £1340
CX844 Logic circuit tape control, three speeds fabulous performance. £1670
Full details from sole agents
MACINNES LABORATORIES LIMITED
71 Oakley Road, Chinnor, Oxon
Tel. Kingston Blount (0844) 52061
CHILTON
We can rightly claim to be one of the leading British Companies in Tape Recorder Technology. We produce most of the specialised components, all sheet metal work, wooden cabinets, etc...
David Kirk. Studio Sound, April 1970:
Wow at 19 cm/s, listening to the replay of a 1 kHz tone at various points along the reel, was practically inaudible. This either means the 100/S transport is quite exceptional for its price or simply that I am deaf. I should therefore qualify the comment that three very much dearer recorders currently in my possession can all be heard wowing at 38 cm/s.
F. C. Judd. Hi-Fi Sound, October 1971:
I must also stress the point that it is all British made and that it provides facilities and performance rarely found on even the most expensive foreign-made recorders.
If you have a special requirement and want a competitive price may we quote?
* 2 or 4 channel 1/2 or 1/4 track
* 3 speeds 4.75/19 cm/s or 9.5/38 cm/s
* Spool size 18 cms (27 cms soon)
* 10k Bridging balanced inputs
* Floating low Z output for 600
Demonstrations of tape recorders or mixers at our show-room and factory; write or phone Chilton Works, Garden Road, Richmond, Surrey. Telephone 01-876 7957.
HIGH-SPEED TAPE & CASSETTE COPYING
large and small runs
Fraser-Peacock Associates Limited
94 High Street Wimbledon Village
London SW19 01-947 2233
High-speed Tape Copying Equipment
Fraser-Peacock Associates Limited
94 High Street Wimbledon Village London SW19
01-947 2233
sole UK distributors of Infonics
**INDUSTRIAL SOUND RECORDERS**
continued
**MANUFACTURER:** Scully Dictaphone, 480 Bun nell Street, Bridgeport, Connecticut 06607, USA.
**AGENT:** Feldon Audio Ltd, 126 Great Portland Street, London WIN 5PH.
---
**STUDER A80/VU-4-1**
Four track version of 6.25 mm A80. Exchangeable head assemblies and tape guides permit expansion to 16 track.
---
**A80/VU-8-1**
Eight track version of VU-4-1.
**MANUFACTURER:** Willi Studer, CH8105 Regensdorf, Zurich, Switzerland.
**AGENT:** FWO Bauch Ltd, 49 Theobald Street, Boreham Wood, Herts.
---
**50 mm**
**AMPEX MM-1000/16**
16 track version of 25 mm MM-1000/18.
**AGENT:** Ampex (GB) Ltd, 72 Berkeley Avenue, Reading, Berks.
---
**ORANGE (Advance data)**
16, 24 or 32 track version of 25 mm unit.
**MANUFACTURER:** Orange Recording Studios, 3 New Compton Street, London WC2.
---
**SCULLY 100-16**
16 track version of 25 mm 100-8.
**Price:** £7,600.
---
**SCULLY 288**
16 track version of 6.25 mm 280.
**MANUFACTURER:** Scully Dictaphone, 480 Bun nell Street, Bridgeport, Connecticut 06607, USA.
**AGENT:** Feldon Recording Ltd, 126 Great Portland Street, London W1.
---
**STUDER A80/VU-16-2**
16 Track version of 6.25 mm A80.
**MANUFACTURER:** Willi Studer CH8105 Regensdorf, Zurich, Switzerland.
**AGENT:** FWO Bauch Ltd, 49 Theobald Street, Boreham Wood, Herts.
---
**MAGNETIC FILM**
**ALBRECHT MAGNETIC FILM SYSTEMS**
Prices for all machines are for basic model excluding head assembly, printed board carrier, level control unit, connecting cables and amplifiers; 16 mm and 17.5/35 mm models have the same price.
**MR10 portable recorder:** £1,694.
**MB21/-W reproducer:** £1,476.
**MB21/-A recorder/reproducer:** £1,466.
**MB21/-W reproducer:** £1,658.
**MB21/-A recorder/reproducer:** £1,677.
**MB41 recorder/reproducer (syntronic):** £3,280.
**MB41-Duplex (second machine of pair):** £2,510.
**MB41-16/35 Interchangeable 16/35 mm:** £3,550.
**BA21-16 Video sync machine:** £2,264.
**BA41-16 Video sync machine (Syntronic):** £3,820.
**MANUFACTURER:** Wilhelm Albrecht GmbH, 1 Berlin 44, Maybachstrasse 16-51.
**AGENT:** FWO Bauch Ltd, 49 Theobald Street, Boreham Wood, Herts.
---
**SONDOR MINI M3**
Operates from 12V car battery (24V on request.) Two tracks (interchangeable plug-in head assemblies available).
**Cue Track:** Automatic.
**Speed:** 24 or 25 f/s.
**Counter:** Built-in footage counter.
**Interlock:** (a) 1V 50 Hz pilot tone
(b) Rotary pulse generator,
(c) Built-in crystal oscillator,
(d) Signal output for interlocking further 'Minis'.
**Starting Time:** Less than 5 ms.
**Loudspeaker:** Built-in, switchable.
**Dimensions:** 420 x 280 x 250 mm.
**Weight:** 16 kg.
---
**OMA 3**
Rack system operating synchronously from any of the following input signals: (1) AC mains. (2) Pulses from a remote Sondor pulse generator attached to any rotating shaft. (3) 50 or 60 Hz pilot signals from a 6.25 mm magnetic tape replay machine. (4) 250 Hz control track from a video tape recorder, interlock output from any other Sondor machine.
**Frequency response:** 40 Hz to 12 kHz ± 1.5 dB.
**Signal to noise:** (20 Hz to 20 kHz) 60 dB.
**Distortion:** 1.2% using BASF Polyester film.
**Wow and flutter:** 0.1%.
**Dimensions:** 1890 x 635 x 543 mm.
**Weight:** 170 kg.
**AGENT:** Hayden Laboratories Ltd, 17 Chesham Road, Amersham, Bucks.
---
**DUPLICATORS**
**AMPEX BLM-200**
Endless loop bin storage reproducer (304—152 or 608—304 cm/s) playing eight track 25 mm master, equalised for NAB 19 cm/s. Designed to feed 3400 Series slaves.
**Wow and flutter:** 1% peak-to-peak (0.5 Hz to 10 kHz). Will not introduce more than 0.1% rms (NAB weighted) in final copy.
**Frequency Response:** Reproduce chain from a 19 cm/s NAB master: -1 dB 1 kHz to 320 kHz at 608 cm/s (30 Hz to 10 kHz at final copy speed). Duplicated copies: -2 dB 50 Hz to 10 kHz at 19 cm/s (8 track cartridge); -2 dB 50 Hz to 8 kHz at 4.75 cm/s (cassette).
**Tailoring Tone:** Switchable 120 Hz or 320 Hz actuated by photocell, applied at saturation level to input of record amplifiers.
**Crosstalk Rejection:** Between tracks or between adjacent even or odd track pairs; greater than 50 dB from 30 Hz to 10 kHz (at final copy speed).
**System Noise:** Better than 10 dB below a blank, biased, Ampex 404 low noise tape; 30 Hz to 5 kHz.
(continued on page 45)
Sound like the pro you'd be if you were recording for money instead of love.
If you're serious about tape, the TEAC's A-3300 is a tape deck you can take seriously.
It'll accept 10½-inch reels, like a professional deck, for up to 6 hours of recorded material. And it has professional features you won't find on any other tape deck for the price.
Like the new Front Panel Bias Switch for the proper selection of bias current and recording equalization for either conventional tapes or the new low noise/high output tapes.
And expanded scale professional-type VU meters for each channel. The wide excursion scale simplify recording at higher (up to 6dB) signal levels, a must when using the new tapes, assuring better signal-to-noise ratio and an expanded dynamic range.
Another is TEAC's unique Edi-Q, an electronic pause control; it interrupts taping but keeps the recording amplifiers on and ready, eliminating recording clicks and tape bounce during quick-start operation.
Of course the A-3300 has the kind of professional specs you'd expect from TEAC (after all, we make the professional systems too) - S/N: 58dB, wow and flutter: 0.06% and frequency response: 25 - 24,000Hz (+3dB; 30 - 20,000Hz) at 7½ ips.
Before you spend your money on any tape deck, spend some time with the A-3300. At your dealer's.
TEAC
A Sound Idea.
1-8-1 Nishi-Shinjuku, Shinjuku ku, Tokyo
TEAC EUROPE N.V. Kabelweg 45-47, Amsterdam W.2 Phone: 020-12 14 06 U.K. Lasky Teac Ltd. 47-49, Tottenham Court Road, London, W.I Phone: 01-580 2573 Belgium INELCO S.A., 20-24, Rue de l'Hôpital, B 1000 Brussel I Phone: 112220 Denmark Quai-Fi, Christiansholms Parkej 26, Klampenborg Phone ordrup 10600 Greece Elina Ltd., 59 & 59A Tritis Septemvriou Street, Athens 103 Phone: 820-037 Switzerland Lectronic AG, Weststrasse 117, CH-8036 Zurich Phone: 331022 W. Germany TEAC EUROPE N.V. Wiesbaden Office, 6200 Wiesbaden-Dotzheim Wiesbadener Strasse 10 Phone: 06121/2279 Italy Audel s.a.s. 20124 Milano V. Is Tunisia 45 Phone: 681-166 Holland INELCO-Holland N.V. Amstelveenseweg 37-39 Amsterdam Z.Z Phone: 766617, 766618 Sweden Martin Person AB, Sveavagen 117, Box 19127 10432 Stockholm 19 Phone: 08 233045 Ireland International Trading Group Ltd., 5 Cope St., Dame St., Dublin 2 Phone: 771769 Portugal Jorge Goncalves, Avenida 5 de Outubro, 53, Lisboa-I Phone: 44029
Various head configurations and speeds are available to fit every need.
INDUSTRIAL SOUND RECORDERS
continued
at final copy speed. Better than 6 dB up to 10 kHz.
Size: 155 x 107 x 69 cm.
Weight: 225 kg.
CD-200
High speed cassette copier feeding up to five slaves.
Tape speed (throughout length of C60 cassette):
190 cm/s ± 0.2%.
Overall cycle time: C60 cassettes, approx 75s plus load time (45 per hour per slave).
Typical copy: ± 2 dB, 50 Hz to 8 kHz, using Ampex 367 cassette, biased for maximum long wavelength sensitivity.
Wow and flutter: Less than 0.05% rms, NAB weighted.
Crosstalk rejection: 20 dB at 1 kHz playback between adjacent tracks of stereo pair. 50 dB between programmes.
Track formats: Four track stereo, two track mono.
End of tape sensing: True end of tape sensed independent of leaders, splices, sensing tape, or tones.
Automatic slave loading: 100 cassettes (may be replenished manually while CD-200 is operating). Load Time: approximately 7s.
AGENT: Ampex (GB) Ltd, 72 Berkeley Avenue, Reading, Berks.
BRANCH & APPLEBY MASTER COPIER
Copies 9.5 cm/s originated master at 38 cm/s on to eight cassettes running at 19 cm/s for 4.75 cm/s reproduction. Crystal controlled master oscillator.
Frequency response: 50 Hz to 8 kHz ± 3 dB (cassette to cassette).
Wow and flutter: 0.25%.
Dimensions (desk version): 580 x 540 x 570 mm.
Weight: 33 kg.
Master reel to cassette copier, eight station, desk mounted: £1,480.
Master cassette to cassette copier, eight station, desk mounted: £1,490.
Floor mounted: £1,480.
Slave copier, eight station: £1,180.
Auxiliary cassette to cassette replay unit, desk mounted: £390.
Auxiliary reel to cassette replay unit, desk mounted: £390.
Cassette rewind unit, high speed auto ejection, desk mounted: £150.
MANUFACTURER: B. & A. Systems, 42 High Street, Harrow-on-the-Hill, Middlesex.
Price: £1,360 (1 track mono, three slaves)
MANUFACTURER: Telex Communications Division 9600 Aldrich Avenue South, Minneapolis, Minnesota 55420, USA.
AGENT: Avcom Systems Ltd, Newton Works, Stanlake Mews, London W12 7HA.
Late Entries
CROWN
Range of two and four channel 6.25 mm recorders manufactured by Crown International, Indiana, USA. Models SX724, SX700, CX711, and CX824.
AGENT: Macinnes Laboratories Ltd, 71 Oakley Road, Chinnor, Oxon.
KLARK
6.25 and 12.5 mm custom-built tape equipment with full remote control facilities.
MANUFACTURER: Klark Equipment, MOS Industrial Site, Summerfield, Kidderminster, Worcestershire.
PHILIPS
Range of two, four and eight channel recorders manufactured by Philips Broadcasting Equipment, Eindhoven, Holland. Models Pro36, Pro51, Pro71A and Pro72.
AGENT: Pye TVT Ltd, Cambridge CB1 3JU.
TELEX 235 -1
Open reel duplication system designed for maximum operational flexibility. Flutter-filter multiple belt drive from two speed hysteresis synchronous motor. Wide range of track and slave configurations.
Speed stability: 0.5%.
Wow and flutter: 0.17% (38 cm/s).
Frequency response: 40 to 10 kHz (9.5 cm/s copies)
235 CS-1
Reel to cassette version of 235 —1.
TELEFUNKEN M28A £633
MAGNETOPHON M28A
professional tape recorder by Telefunken, the company who made the world's first tape recorder.
- Three-motor tape transport at 3\(\frac{1}{2}\) and 7\(\frac{1}{2}\) ips ensuring maximum speed constancy.
Fully comprehensive mixing facilities.
- Solid state electronics are used throughout Modular construction ensures trouble-free maintenance and replacement of parts.
- Relay operated transport control operated by illuminated push buttons requiring only fingertip operation.
- Two-channel monitoring and VU-meter amplifier can be switched to two modes. In the 'before-tape' mode the amplifier is connected to the output on the mixer, while in the 'after-tape' mode it is connected to the output of the replay amplifier. Two large VU-meters calibrated to international standards are provided.
- Interchangeable head assembly comprising half-track, stereo, erase, record and playback heads, is mounted on a single rigid plate fixed to the main chassis. It is normally not necessary to replace or adjust heads during the normal life of the machine.
Broadcast studio versions. Models 28B and 28C are provided with tape speeds of 15 and 7\(\frac{1}{2}\) ips, but have no mixing or monitoring and VU-meter amplifier. Model 28B is equipped with full-track heads.
Model 28C has two-track heads and track selector switch.
A.E.G. Telefunken
A.E.G. House
Chichester Rents,
Chancery Lane,
London WC2
Tel: 01-242 9944
Special purpose tape equipment - a new problem-solving service by Brenell
We invite enquiries for the design and production of special-purpose equipment to meet any professional or industrial tape requirement.
Our wide experience of high-quality tape recorder engineering ensures the efficient solution of any problem on the basis of standard equipment combinations or specially designed units built to laboratory standards.
- Tape transport – \(\frac{1}{2"}\), \(\frac{3}{4"}\) or 1" reel-to-reel tapes and all types of cassettes
- Recording and replay amplifiers
- Copying equipment, tape or cassette
- Remote control facilities
- Single unit or batch-production
Put your special problem to us.
Brenell Type 19 Tape Deck
Brenell Transistorised Hi-fi Tape Link
brenell
BRENNELL ENGINEERING CO. LTD.,
231 Liverpool Road, London N.1. Tel: 01-607 8271 (5 lines)
Transistor amplifier noise
Dear Sir, I am prompted to write this letter by what appear to be some misconceptions held by a number of authors in the area of transistor amplifier noise.
On a recent occasion ('Designing a Studio Mixer' Part Six in the January issue) the following statement was made: 'We know that we want a virtual earth resistance of somewhere about 1 kΩ for optimum noise performance from the amplifier because this resistance is the source impedance seen by the amplifier'. This implies that the source impedance required by an amplifier for optimum noise performance can in some way be provided by feedback (ie the virtual earth impedance). In fact, the effect of any feedback resistor depends only on its actual value and not on the amount of feedback it provides. A resistor providing shunt feedback at the input appears directly in parallel while a resistor providing series feedback appears directly in series with the input as far as its noise contribution is concerned.
In fig. 4 of the aforementioned article the effective source resistance of Tr1 as far as noise is concerned is the total resistance of the source including Rin, in parallel with the resistance formed by the combination of R1, R2 and R3. Thus with 10 kΩ faders and 47 kΩ mixing resistors (resulting in around 50 kΩ say) the amplifier source resistance will approximate to 50 kΩ divided by the number of channels, since the bias and feedback resistors will be negligible with more than say five inputs.
There also appears to be some confusion as to the optimum emitter current and optimum source impedance for minimum noise contribution by the amplifier. As long ago as 1963 the BBC published an excellent microphone amplifier design in their monograph. If I remember correctly, this was subsequently published in a mixer design by Mr Robinson in this journal. In this design a noise figure of 3 dB was achieved; ie the amplifier only increased the noise by 3 dB above that which the microphone itself generated because of thermal noise in its source resistance. The BBC found that for the germanium transistors used the optimum emitter current and source resistance were about 280 μA and approximately 800 Ω respectively. When the Robinson mixer was updated and converted to silicon transistors I seem to recall that similar emitter currents and source resistances were maintained whereas these are not the optimum ones for silicon devices.
If one consults the published data of a low noise silicon transistor such as the Mullard BC771, one finds from the noise curves that optimum emitter current and source resistance are around 10 μA and 50 kΩ respectively when a typical noise figure (due to the transistor alone) of less than 1 dB can be obtained. It would thus appear fairly easy to produce amplifiers which add only 1 dB to the thermal noise of the source. One not immediately obvious advantage of operation at emitter currents of about 10 μA is a considerable reduction in low frequency 'flicker' noise over that obtained at 200 μA.
Another area where the source impedances optimum for germanium transistors seems to have been retained when silicon devices took over, is in tape heads. Whereas 100 mH was about right for matching to germanium devices, it would appear that silicon devices operating at around 100 μA and feed from replay heads of inductance (or transformed inductance) of between 1 and 10 henrys should produce better results.
Yours faithfully, J. E. Marshall, 59 Tremayne Road, Bilborough, Nottingham NG8 4HS.
I may suffer from some misconception and I am always grateful for someone pointing this out. I do believe, however, that our correspondent is up a gum tree and I shall try to explain why. In order to clarify matters, let us look at the simplest possible form of an operational amplifier as shown in the sketch. Here we have no input resistors or potentiometers to confuse the issue. According to your correspondent, the source resistance seen by the amplifier is Rfb, neglecting the bias network etc. See his third paragraph, I wish to test this assumption by having the amplifier make a current demand on the source and see what the voltage change at the input terminals is.
Let the standing input current be 10 μA and let the standing output voltage be 10 V. Since the input current is derived from the output voltage, there must be a volt drop across the Rfb (~100 kΩ) of 1V (100 kΩ x 10 μA). This gives a standing input voltage of 9 V. Now what happens if the amplifier makes a demand for ten more microamps? The volts drop across Rfb will increase to 2 V all right but what will the change in input voltage be? We know that the amplifier gain is fixed at 100, so we know that more of this voltage drop difference will be established at the output terminals than the input.
Thus ∆ Vout = 1 V
Therefore ∆ Vin = 1/100 = 10 mV
Then Rs = \frac{10^{-2}}{10^{-5}} = \frac{\Delta Vm}{\Delta Im} = 10^3 Ω
Then the source resistance for the amplifier is 100 kΩ
A (or the virtual earth resistance) which is what I said before. Compare this result with what would happen if he was right.
∆ Iin = 10 μA
Rs = 10^5 Ω
Therefore ∆ Vin = 10^{-2} x 10^5 = 1 V
A = 100 x
∆ Vout = ∆ V in x A
= 1 x 100 = 100 V
which is impossible.
He must therefore be wrong Q.E.D. I think he is neglecting the fact that noise is a dynamic rather than a static condition.
Common sense is against him anyway because, if what he says is true, then the more input channels you have, the quieter is the mixer noise, which is clearly not true. The fact is that, in an extreme case, when the external source is made comparable in value with the Virtual Earth Resistance (as when the source is a microphone), the noise output rises.
Peter Levesley
Mr Marshall is right when he says the contribution of a resistor depends only on its value and not on the feedback—otherwise we could carry on increasing the feedback and get lower and lower noise levels. This old fallacy was opened up in WirelessWorld not all that long ago.
On the subject of the mic amp itself, yes, the germanium devices required a source impedance of about 2 kΩ (not 800 Ω though) for lowest noise. Silicon devices like to see somewhat higher sources, and in any new design this would be taken into account. Practically this will be somewhat lower than the 50 kΩ quoted, with 20 to 30 kΩ being typical. Noise figures of 1 dB can be obtained, but it is a very difficult problem even so as there are many other things to be considered. With these low collector currents, there can even be the paradox that the second stage is more difficult to design than the first in the mic amp!
In the mixer, the most important point was that it was updating of the design. Many people wished to convert as simply as possible, retaining as much as they could of the old components—for example the input transformer. Doing the very minimum of changes (and hence no time-consuming design work!) gave a noise figure of in the region of 2 dB, which is pretty good. As a compromise, the new transformer (Sovtek) is wound with a much higher ratio to get the source input impedance higher.
Much the same goes for tape heads—one problem here is capacitance in the leads and shunt effects.
David Robinson
Are you MIXING with the right people?
THEN SOUND US OUT
INPUT MODULE A/1
£25.00 The basic system module for both stereo and multi-track mixers.
Input 200 ohms balanced or 100K ohms unbalanced for levels -65dBm to +10dBm. Sensitivity adjustable by stepped gain switch.
**Equalisation** Treble, Mid, Bass at selected frequencies, offered continuously variable lift and cut.
**Auxiliary Outputs** Prefade foldback or cue send and post fade echo controls to feed external mixing networks.
**Main Outputs** Linear fader buffered, and followed by low impedance panpot, connection directly to main mixing busses, or to routing control.
Provision is made for inclusion of channel or EQ cut, prefade listen etc. To individual specification.
We build sound mixers by incorporating modules from our range in whatever configuration may be desired, from permanent studio installations through a variety of mobile applications.
Please write or phone for complete system specification.
**ALLEN & HEATH LTD.**
Pembroke House,
Campsbourne Road,
Hornsey, London N.8.
Phone: 01-340 3291
SCARM (Sound & Recording Mobile), a small studio born last October, is now doing virtually all the tape copying work for Bell, Page One, Transatlantic, Rediffusion, Sunbury, Carlin and Avenue. Business has been so good that Barry Ainsworth and Garry Lyons are now looking for better premises. Rather than build a new studio, they would prefer to buy an existing small studio somewhere in the Greater London area. Prospective customers or vendors should telephone 01-346 0209.
Among recent visitors to IBC Studios were American artist Joyce Everson, Andy Bown, the Bee Gees, Richard Barnes, Magna Carta, Roger Jones and Atomic Rooster. Doug Flett and Guy Fletcher of Egg Productions were among those recording material for MIDEM.
Bob Kerr (of Whoopee Band fame) and his partner, BBC technician Chris Glass, spent about a year building Felsham Sound Studios. The Whoopee Band have been trying out the studio, which measures about 4.5 x 9m and holds up to ten musicians. At the moment, a borrowed 12 channel mixer is in use until their new 24 channel mixer is ready. The microphones are mostly AKG capacitors, and the stereo recorders are Revox.
Although the studio is still in the experimental stage, several well known artists have recorded there. Keef Hartley has been in, Thunderclap Newman made half of an album for Track Records here, and Roger Ruskin Spear recorded an album for Liberty. Bob Kerr is now recording an album featuring his own band.
The charges are very low, stereo recording being £3 or £4 per hour, depending on the material. Additional information can be obtained by telephoning 01-789 5804.
Harry Hall, West of England Sound Studio's wine, women and wiring expert, is busy constructing the company's second studio. Business has increased considerably over the last few months, albums having been made for Faraway Folk and Sharon Whitbread & Fred. Reflections, the Kevin Sands Orchestra, Sweet Life and Gandalf Folk are others who have recorded at this studio recently.
At the time of writing, Hallmark's Top of the Pops Number 21, recorded at Intersound, was at second place in the Retailer album charts, and forecast by an excited Vena Nolan to hit the number one spot. Phoenix, Standard, Rediffusion, Pickwick and Avenue have been using the studio regularly.
This month's varied work at Theatre Projects Sound has included a music session for a Thames Television Witches programme. This was recorded to picture on 16mm sep mag, with simultaneous recording on 6.4 mm tape with sync pulses. Mitchell Monkhouse Associates booked several sessions to record music for an Old Silent Comedy Film series for BBC Television. Film director Lloyd Fraser saw the Madame Tussaud Battle of Trafalgar display, for which Theatre Projects provided visual and aural effects. As a result, he has asked Theatre Projects to supply the sound effects for a film about Nelson which he is making for Anglia Television. Pre-Christmas pantomime work included a Frank Ifield voice-over for Sinbad the Sailor, effects for Cinderella and Toad of Toad Hall, and a voice-over for Robinson Crusoe on Dolphin Island by Bob Danvers-Walker. Bong.
Since perfecting their 16 track 25 mm machine, the Orange engineers have been working on five production models and hope to exhibit a completed machine at the Frankfurt Trade Fair. A batch of 100 amplifiers is being built and two types of deck will be made, one to take up to 25 mm tape, and the other to take up to 50 mm. A great deal of interest has been shown in the Orange Mini 16 design and there are many potential customers.
The Orange tape amplifier modules will have no mechanical switching, all functions being selected by pressing buttons which illuminate and operate relays. This allows all switching to be performed from a remote location. Another feature of the design is separate aural and visual monitoring switching. This makes the system more versatile and, among other things, allows the engineer to check the presence of the recorded signal on the meter while the signal is monitored on the speakers. BBC readers are reminded that commercial studios, almost without exception, listen to line in when recording.
Melody Maker writer Karl Dallas has produced a Teddy Monro single at Gooseberry Studios. Georgie Fame has been recording a film soundtrack, and some of the T. Rex musicians are scheduled to come in soon. Around the time this issue of Studio Sound is published, Gooseberry will be going eight track and the charge will be only £10 per hour. Twelve track facilities will also be available as it will be possible to run the eight track machine in sync with the four track.
Wessex studio manager Adrian Ibbetson engineered sessions for Bridge (formerly Putney Bridge), who have been working on an album and a single, the latter entitled Oh Day, Oh Day. Will this sound like the Banana Boat Song played backwards? Mike Batt produced more tributes to various artists, Helen Macarthur finished an album, and pop ballad singer Robert Young worked on an album for CBS. The Straight finished an album for Chapter One Records, and newcomer Mike Brady, a Midlands cabaret artist, recorded a single with the help of MD and producer Cy Payne. Also at Wessex this month were Milkwood, the Royal Lifeguards, the Andy Ross Orchestra, and Clodagh Rodgers, who finished an album for RCA.
In December, Marquee installed a new 24 channel desk, designed and built by Tim Blackham Technical. In addition, two more 6.25 mm machines were acquired for effects and copying. The studio had a very heavy month, Jonathan King laying down tracks for three
(continued on page 56)
Improving a Revox A77
Part One By Angus McKenzie
It is well known that Revox model A77 recorders can make recordings of a very high standard although certain facilities are lacking on the machines, facilities which are normally required in professional use. This article describes how a number of modifications can be incorporated, making the machine suitable for use as a high standard, professional mobile recorder.
The Revox is available with or without loudspeaker amplifiers and, when supplied with amplifiers, can also include built in loudspeakers, if required, in a version known as the suitcase model. The machine is available with two speeds, either 9.5/19 cm/s or 19/38 cm/s. The high speed version is often termed the professional version. The low speed model is usually supplied with NAB equalisation whereas the high speed model is normally supplied as a DIN version, although NAB can be supplied to special order.
Most studios use a nominal peak line level of six on a ppm equivalent to +8 dBm. Alternatively studios using vu meters will frequently be driving levels of up to +14 dBm under normal conditions, and transient peaks of up to +16 dBm are occasionally encountered. When not modified the Revox input circuit clips if the input exceeds approximately +11 dBm, and the output circuit clips at approximately 13 dBm into open circuit and +8 dBm when loaded with 600 ohms. It will be seen therefore that an unmodified Revox 77 will record severe clipping distortion on its input amplifier when used across the output of many professional control desks or systems. Many engineers who have not had the time to look into the reasons for this have blamed the electronics of the record amplifier. Similarly very high output tapes when played back on the Revox may well distort at the output sockets on the machine due to the monitor line out amplifier being overdriven. Many Revox owners have commented to me that the hiss level deteriorates on playback, or indeed when monitoring line input if the replay gain control is set at about 6 dB down from its flat out position. Also some users have noticed that the monitoring circuits load down the input of the record amplifiers by 1 dB when in the line in monitoring position, this position therefore dropping the record level by the same amount. It is worth pointing out here that if the replay volume control is set flat out and the mode switch set such that tracks one and two are combined for mono, should the a/b switching be left inadvertently in the 'line-in' position, the recording made will also be mono, even if all the record amplifier controls are set to stereo.
The Revox can in some cases also produce an earth loop, particularly when both the auxiliary input and output phono sockets connect with external equipment. In some cases readers have also had radio frequency interference problems which can become quite noticeable under certain conditions, particularly on replay. In addition to radio breakthrough, noise from lighting or power circuits may be noticed.
In order to appreciate the reasons for the different modifications proposed it is useful to regard the different circuits in the Revox as a series of operational amplifiers and these will now be described.
The input pre-amplifier in the record section has different gains controlled by changing the amount of feedback, the gain change being achieved by the input selector. The low impedance microphone input has the highest gain and hence the least amount of feedback, whereas the auxiliary input has the least gain—in fact almost unity gain—achieved by nearly 100 per cent feedback.
The input preamplifier has a fixed gain in any one position and its output feeds the record volume control. The outputs from the two channels can be resistively mixed, the output from this point feeding both the input to the record amplifier proper and the a/b monitoring switch. The mixing resistors form a 6 dB pad when the machine is used for stereo and the source impedance of the a/b monitoring amplifier is largely controlled by the value of the replay volume control, which is 25 kΩ. When the a/b switch is in the 'line in' position this affects the output of the 6 dB pad, which follows the record volume control, by 1 dB. This affects the level read by the vu meter and thus the level recorded on to tape.
Record amplifier
The record amplifier contains the recording equalisation circuits, the equalisers simply shifting the point above which a6 dB per octave boost curve is applied to give the correct overall response. The output of this record amplifier drives the vu meter circuit with both its own preset and the record level preset pot enabling the correct a/b level balance to be achieved. The available amount of record equalisation can be altered if necessary by adjusting the value of the capacitors connected to the sliders of the record equalisation presets.
The record head driver circuit includes two transistors; the head is driven from the junction of the emitter of one with the collector of the other. The emitter circuit of the second transistor includes the extra components giving the treble end of the NAB response curve, and consists of an RC time constant in parallel with the emitter load section, this circuit giving approximately a 3 dB shelf treble lift. In series with this circuit down to ground is a 38 kHz filter to stop any interference which might be produced by harmonics from some stereo tuners beating with the bias supply.
The replay amplifiers have the replay equalisation applied back to the first emitters and are followed both by the replay bias traps and by the replay preset gain controls, the output of which feeds the a/b monitor switch. The a/b monitor amplifier follows the replay gain control and has an unnecessarily high input impedance. The balance control operates by reducing feedback in one channel, thus increasing its gain, at the same time as increasing feedback in the other channel, reducing the latter's gain. The line output is taken from the final emitter of this amplifier which also drives loudspeaker amplifiers if present.
Since the record preamplifier when switched to the auxiliary position has normal unity gain its input clipping point is virtually the same as its output clipping point and this is determined both by the type of circuitry employed and the rather low ht voltage. Since the gain of the amplifier cannot itself be reduced it becomes necessary to apply a resistive pad on the auxiliary input to decrease the level applied to the preamplifier. An 8 dB pad giving an input impedance of approximately 50 kΩ can be achieved by using a series 27 kΩ resistor followed by a 22 kΩ resistor to earth. These are best mounted immediately behind the auxiliary input phono sockets. This modification will give an input clipping level of about +19 dBm which should be sufficient for any requirement.
To obviate the bridging effect of the replay amplifier on the record circuits the entire resistive mixing pad circuit should be removed although this will lose the facility of input mixing when half track mono recordings are being made. The source impedance then becomes approximately 1.3 kΩ, sufficiently low to avoid bridging loading.
The a/b switching on the Revox is carried out at a very low level so that if the machine has been set up normally only 9 mV are present when a level of 0 vu is being recorded or played back. Since the monitor amplifier has therefore to bring this up to a level of approximately 1.25 volts (43 dB gain) and also has a high input impedance it will be seen that when the replay volume control is 6 dB down from maximum the source impedance to the monitor amplifier is at its greatest thus causing audible hiss. The only way to reduce this is to decrease the gain of the monitor amplifier and increase the level at the a/b point. Thus the record amplifier will be driven 10 dB harder and will have a 10 dB worse clipping level. The record amplifier gain has therefore also to be reduced by 10 dB and this is best achieved by increasing the emitter resistor from 1.5 to 4.7 kΩ. So as not to alter the dc conditions seriously the first collector load should also be increased to 220 kΩ, thus stabilising the dc feedback. On some machines it may be found necessary to alter the capacitor...
In this age of planned obsolescence, unreliable performance and shoddy workmanship are almost taken for granted. But there are still a few exceptional products that are built to last and one of them is the Revox tape recorder.
Revox dependability is a combination of many factors, but perhaps the most important of them is advanced engineering. Borrowing from space age technology, Revox gold-plates all of the electrical contacts on its plug-in circuit boards, relays and rotary switches. The result: every one of these movable contacts, the ones that usually cause most of the problems, can be depended upon to perform well for the life of the machine. Obviously, gold plating is considerably more expensive than conventional tinning, but Revox thinks it's worth it.
Because Revox engineers demand margins of performance and reliability that far exceed ordinary production standards, you can own a tape recorder that will work perfectly the first time you use it and for years to come.
**REVOX DELIVERS WHAT THE REST ONLY PROMISE**
*Revox*
Lamb-House Church Street, London W4 2PB
Telephone 01-995 4551
*Revox Corporation*
155 Michael Drive, Syosset, N.Y. 11791 USA
and 3637 Calabasas Road, West Hollywood,
California 90068,USA
*Revox Sales and Service*
Montreal P.Q.: Canada
---
**IMPROVING A REVOX A77**
continued
in the lower speed equaliser to a considerably lower value to reduce the minimum amount of equalisation available at this speed. At the higher speed however no change need be made.
The reduction of gain in the record amplifier will also slightly reduce its contribution of hiss, and the 10 dB loss of record gain can be made up by increasing the record volume control. It is fair to point out that unless the 6 dB pads are removed this loss of gain will become significant when moving coil or ribbon microphones are used direct into the Revox for the recording of speech or quiet sounds. It is possible that an extra microphone preamplifier might then become necessary. This is desirable in any case since the Revox has only unbalanced inputs for microphones, often the cause of tricky hum and rf pick up problems.
In order to make a standard, low speed Revox record accurately to the DIN curve at 19 cm/s the RC circuit of 2.2 kΩ and 0.033 µF should be disconnected. This will be found to give a treble reduction at 9.5 cm/s which can easily be corrected by increasing the equalisation at the lower speed only. The DIN response achieved will be considerably more accurate than that produced by only reducing the equalisation at 19 cm/s for DIN response. On most machines it will not be found necessary to alter any components on the record circuit to give a bass response within specification for DIN although the best compromise between the two lower speeds can be achieved by increasing the value of the bass boost capacitor by 20 per cent (0.1 µF being changed to 0.12 µF) found in series with the equalisation pots.
The monitor amplifier gain should be reduced by short circuiting a 22 kΩ resistor between the slider of the balance pot and the first emitter of the monitor amplifier. It is also necessary to insert a hold off resistor of 2.7 kΩ in the feed to the top of the balance pot where it is driven via a capacitor from the output emitter. This prevents instability when the gain of the amplifier is reduced to near unity as the balance control increases the gain of the opposite channel.
The clipping point of the monitor amplifier is normally at approximately +13 dBm into open circuit and this prevents standard play tapes recorded at only fairly high levels from driving external equipment at as high a level as is frequently necessary. If a Dolby, for example, is required to be driven by the monitor amplifier to replay Dolbyed tapes and the gains are set up such that Dolby level gives an output from the Revox of +4 dBm into the Dolby, many tapes will be subject to clipping. Two modifications are therefore required which will improve the clipping level substantially. The dc conditions of the monitor amplifier can be controlled by altering the value of the emitter resistor of the second stage which drives the output stage. The best compromise is to reduce this from 1000 to 680 Ω. In addition a 5600 Ω resistor is permanently in series with the output which is also effectively loaded by 9.4 kΩ produced by the resistors feeding the five pin DIN socket. The 5600 resistor therefore gives 0.75 dB reduction in level at the output terminals and is best shorted out. The two 4.7 kΩ resistors however should be left in circuit to allow the output coupling capacitor to have a dc return enabling it to charge up. Care should be taken to avoid short circuiting the output of the Revox when this modification is done since the 5600 is in fact present in the normal circuit to stop domestic users from overloading the output stage through misuse.
The clipping level of the monitor amplifier now becomes approximately +17 dBm in to as low as 5 kΩ and a 600 Ω load will cause clipping at +12 dBm. The modification allows any but the most excessively highly recorded tapes to be played back at compatible studio levels. If necessary both the auxiliary input and output circuits can be provided with 1:1 balancing transformers, the input transformer being of nominal 10 kΩ working impedance whilst the output transformer should be of 600 Ω nominal impedance. The input and output sockets will then have to be replaced by more suitable balanced sockets.
The replay preset gain control will be found to have an ample amount of gain to spare and will easily give the extra 10 dB required by the modified monitor line out amplifier. In the high speed version, as supplied direct from Switzerland by Studer, both positions of the equalisation switch at the higher speed normally have the same equalisation although on the lower speed version either NAB or IEC high frequency characteristics are available. It will be noticed on examination that this high speed version has a short circuit on the printed circuitry allowing only one replay characteristic at the higher speed. This should be replaced on the DIN version by a resistor of 1.5 kΩ which will then give a useful NAB 38 cm/s 50 µS time constant with the switch fully clockwise. A 3 dB rise at 50 Hz however may be noticeable but by adjusting the high value resistor across the replay amplifier time constant capacitor the error can be reduced to 1.5 dB at 50 Hz which will unfortunately also give a 1.5 dB reduction of bass at the same frequency on the DIN curve. With this latter modification however both bass responses will be found to be within the DIN or NAB curve specified tolerances.
The final recommended modification is first to couple a 100 pF capacitor between the bass and the emitter of the first transistor in the monitor amplifier to reduce pick up of rf interference. On my own machines I have also taken off the earth return from the output circuit to the auxiliary phono sockets and replaced these by short circuiting the capacitors coupling the phono sockets earths to the DIN socket earth. This changeover has removed almost all the earth looping problems experienced by the writer when four separate phono leads, or a combined lead with four individually screened phono leads as is supplied by Tape Recorder Spares, connect the Revox to external equipment.
The distortion was checked throughout after all the modifications had been introduced. On the three machines so far modified the distortion on monitor line in up to 1 dB below clipping point is less than 0.05 per cent total. At 1 kHz the recording amplifier distortion measured at the record preset point at a level equivalent to 10 dB above 320 pWb/mm with the machines set for EMI 815 tape was less than 0.06 per cent, although of course the tape distortion produced at this level is extremely
(continued on page 56)
Nagra 4S
We waited a very long time for the debut of this tape machine and one wonders why. Is it because Kudelski have been too busy manufacturing the mono version for the film industry or have we just had to be patient until they were satisfied with the new model? Whatever the reason, the 4S is with us and many people will be interested in its features and performance. As expected, it bears a close resemblance to the 4D. It is not just a D with a stereo head and extra amplifier; many other minor improvements have been made.
The 4S uses the same deck mechanism and case as the D but the control layout is as follows:
On the left hand face, reading from front to back, are the right and left microphone inputs (Cannon XLR). Above these inputs are six-position switches enabling the inputs to be adjusted.
Between the input selector switches is a two position switch for reversing the phase of the left microphone. Next, a Tuchel socket for balanced line input. A current feed of 8.5 µA to read 0 dB at maximum gain.
The next Tuchel socket can be used to connect the recorder to an external noise reduction system such as Dolby A, the final Tuchel giving outputs of 1V at 0 dB into greater than 500 Ω unbalanced.
On the front of the recorder, the controls are as follows: headphone level control with a position marked 'C' which switches the headphones to the centre pilot tone track which can be used for a commentary or other purpose.
Beneath this is a pushbutton which switches the phones to mono for checking the phase of the microphone and beneath this is a stereo jack socket for the phones. (25 to 600 Ω).
Next there are two visual indications. The upper one shows a white cross when the recorder receives a pilot signal of the correct frequency and amplitude; the lower shows a white cross if the general and motor power supplies are correct and if wow is within acceptable limits (defined for this purpose by DIN 45 507). Next to these is the stereo (coaxial needles) 'Modulometer' which, when used for level, is a ppm. To the right of this is a six position switch controlling inputs to meter. Positions are as follows:
(1) Pilot frequency indicated by the red needle.
(2) The red needle indicates the percentage groove depth of the disc. 100 per cent on the meter equals 50 µm. The green needle indicates the maximum level of signal recorded by both channels.
(3) The red needle indicates the recording level of the left channel, and the green the level of the right channel.
(4) The red needle indicates battery voltage in volts per cell, and the green the voltage needed by the motor. The difference between the two corresponds to battery reserve.
(5) The red needle indicates the frequency of the pilot signal, the green one the level of the pilot signal played back.
(6) The red needle shows the current absorbed by the motor (100 per cent = 350 mA), and the green needle as in position five. Below this is a filter switch with six positions.
(1) Flat (30 Hz to 20 kHz).
(2) Music; High pass filter (-3 dB at 40 Hz).
(3) Music plus low frequency attenuation (-7 dB at 4 Hz, -3 dB at 40 Hz).
(4) Speech; high pass filter (-3 dB at 80 Hz).
(5) Speech plus lfa (-3 dB at 400 Hz, -7.5 dB at 80 Hz).
(6) Roll off (-10 dB at 100 Hz, -3 dB at 400 Hz).
To the right of these is a three position selector, for double mono, stereo, and another stereo setting which increases the gain by 6 dB for use when the recording level is low.
Next are two toggle switches, the upper for selecting microphone or line inputs and the lower for switching to an external noise reduction system or to normal working. To the right of these are the level controls, coloured red and green to correspond to the modulometer needles. On the red control is a small catch coupling the two gains in any position by a friction clutch.
Between these controls is a small pushbutton which provides a ramp waveform at 1 kHz, -10 dB. To the right of the green level control is another small pushbutton which switches on a light to the modulometer. This can be locked on by twisting it when it is pushed in.
Next, a six position function selector:
(1) Stop.
(2) Test. Amplifier on but (after a small initial movement of the take-up spool which takes up any slack in the tape) tape stationary. The modulometer, phones and line output all read the direct signal.
(3) Record. The tape runs and the modulometer, phones and the line outputs are controlled by the AB switches to the right of the function switch. In this position, a limiter is in circuit and operates from 4 dB above -14 on the modulometer to a limit of +10 dB.
(4) Record. No limiter.
(5) Playback. In this position the monitor speaker is muted.
(6) Playback plus internal speaker.
Finally, on the front of the recorder are three toggle switches. The upper selecting A or B monitoring another giving A or B metering and the lower one switching between batteries and external power.
A Tuchel socket marked Cue gives output of the pilot signal and recording and playback of pilot track which can be used for commentary. Lastly, a battery pack input for external supply (-12 to -30V).
In the centre of the tape deck is the speed/equalisation switch with positions for 38, 19 and 9.5 cm/s plus a 38 cm/s Nagra 'master' position; in the latter, the tape runs at 38 but with 19 cm/s equalisation, giving slightly more distortion for a reduction in tape hiss.
Round this switch are preset recording equalisation adjusters for both channels and all speeds, these being reasonably protected by a cover which slides under the holes in the deck plate. Next to the supply spool is a tension roller which controls back tension, then a
If anything is worth recording, it's worth recording well. And that means getting a Grundig to do the job properly. A precision-built reel-to-reel tape recorder with a moving-coil microphone designed and made to hear as clearly as you do. A machine with a recording head precision-engineered to make sure every sound is recorded exactly as it comes in. A machine with a strong steel chassis to protect all that superb circuitry. Slider controls, like the ones you see on big studio consoles, for extra precision in setting. And for playback, a full-sized loudspeaker to make sure you hear exactly what you recorded with nothing missing! In short, a tape recorder designed by perfectionists, built with precision, rigorously tested, right for you for life. Worth while? Just lean back and listen.
GRUNDIG
The difference is incredible
fixed pillar followed by the full track erase head and a strobe disc for checking tape speed. There are three further head positions: record, record/replay pilot (not fitted on review model), and replay. To the right of these is the control lever, then another tension roller before the take-up spool. Above the take-up spool is a switch for replay of CCIR or NAB tapes and just above the strobe disc is a five position switch for control or bias. In the front left corner sits a toggle switch to control rewind and wind on.
When the control lever is pulled forward, the fixed pillar, strobe disc and pressure roller move clear of the heads, leaving an easy path for tape threading. As the take-up spool is rotated to secure the tape, the supply spool rotates in the opposite direction. Unless a firm hold is kept on the tape, it grabs it back again.
If the toggle switch is set to rewind, the tape is rewound provided the main function control is in either of the play positions or on test. The rewind is adequate though not fast and care must be taken to either turn the function switch off or return the toggle switch to neutral before attempting to re-thread the tape, otherwise it will start to rewind as soon as the control lever is pulled forward again.
There is an intermediate position of the control lever where the tape runs but the recorder does not record though not at the correct speed and an operator who had not been shown the instruction manual found this position during one session. Provided the control lever is pushed gently but firmly home each time, however, this should not cause trouble.
When the function control is at play (through internal speaker) and the rewind toggle switch moved to the right, the tape 'winds on' but only marginally faster than 38 cm/s, this facility is only of limited use. The review model was taken on several sessions to record a wide variety of programme material with the two Sennheiser MKM 405 microphones supplied by Hayden. The combination gave quite outstanding results on each occasion. The recordings were of the highest studio quality and had the clear clean sound only associated with the very finest equipment.
It appears that Hayden Labs are often asked if it is worth paying £105 each for the Sennheiser microphones to use with the 4S. If these recordings are anything by which to judge, it most certainly is. Measurements of the recorder confirmed the good impression made by the recordings. The replay response from a full track CCIR test tape is given in the table and shows the expected rise at 40 Hz due to the fringe effect. On a stereo tape, the response would be almost flat.
Record/replay measurements were made using different types of tape. Recordings for this test were made at -20 dB and the results were all remarkably good.
Rms wow and flutter was measured using different tapes. The high flutter associated with LR56 is probably due to the matt backing on the tape rubbing on the fixed pillar on the deck. Hence the lower flutter at lower speeds. The slightly higher wow and flutter with Scotch 202 may be due to the extra smoothness of the tape, giving slightly more slip, or perhaps some static build up.
The figure of .01 per cent rms for wow only is so low that the meter sat right at its lowest end and therefore the reading cannot be regarded as reliable, though certainly very low.
Signal-to-noise ratio was measured by recording a tone of 1 kHz at 0 dB and measuring the output on replay. The tape was then erased on the Nagra and the output of the erased tape measured on replay. The wide range figures given are quite remarkable. Distortion was measured at 1 kHz at 0 dB, 510 pWb/mm and +4 dB by recording tones and then measuring the signal on replay before and after the fundamental had been filtered out. The figures are excellent. Crosstalk was measured by recording a 1 kHz tone at 0 dB on one track with the recorder in stereo and measuring the output from the other track on replay. The latter was 60 dB down on the output from the recorded track.
It is understood that for audio purposes, a version of the 4S will be available with a narrow guard band as the third track will not be needed for pilot tone. This model should have even better distortion and sn figures. Attempts were made to upset the working of the recorder by shaking it violently during use but, unless the movement was so violent as to make the supply spool throw a loop, performance could not be audibly affected.
During several sessions the recording level was set deliberately high to test the limiter. It worked perfectly each time with no audible breathing or other unwanted effects.
All the controls work with the smoothness one has come to expect from Nagra recorders. Attempts to adjust the recorder for optimum results with different types of tape were not successful, as the bias control was incapable of sufficient variation to achieve this.
The equalisation controls were perfectly adequate and easy to use, and it is a pity that the bias control was not the same. Results with different tapes were, however, excellent. Replay equalisation is set at the factory and can only be altered at the hf end.
The Nagra modulometer with its red and green needles is easy to read and was found to be more satisfactory than the separate meters found on most machines.
The 4S is an excellent recorder by any standards and is a worthy addition to the Nagra range. Highly recommended.
John Shuttleworth
### Overall frequency response, 38 cm/s BASF SP52
| Frequency | Flat | 'Music' |
|-----------|------|---------|
| 15 kHz | 0 | +0.5 |
| 14 kHz | +0.5 | |
| 12 kHz | 0 | |
| 10 kHz | 0 | |
| 8 kHz | 0 | |
| 6 kHz | 0 | |
| 4 kHz | 0 | |
| 2 kHz | 0 | |
| 1 kHz | 0 | |
| 500 Hz | 0 | |
| 200 Hz | 0 | |
| 110 Hz | 0 | |
| 80 Hz | 0 | |
| 60 Hz | -1 | |
| 50 Hz | -1 | |
| 40 Hz | -1 | |
### Signal-to-noise ratio (38 cm/s)
- Upper track: 66 dB.
- Lower track: 64 dB.
### Nagra master s/n ratio
- Upper track: 60.5 dB unweighted.
- Lower track: 60 dB.
### Distortion (38 cm/s)
- 1 kHz: 0 dB; 0.5%.
- 1 kHz at 510 pWb/mm:
- Upper: 2nd hc 0.18%, 3rd hc 0.18%
- Lower: 2nd hc 0.13%, 3rd hc 0.18%
All figures relate to BASF SP52.
### Wow and flutter
| Frequency | 38 cm/s | 19 cm/s | 9.5 cm/s |
|-----------|---------|---------|----------|
| Scotch 202 | 0.01% wow | 0.03% | 0.04% |
| | 0.06% total | 0.07% | 0.1% |
| BASF LR66 | 0.01% wow | 0.01% | 0.04% |
| | 0.14% total | 0.08% | 0.2% |
| BASF SP52 | 0.01% wow | 0.01% | 0.04% |
| | 0.04% total | 0.06% | 0.1% |
| Agfa PE36 | 0.01% wow | 0.01% | 0.03% |
| | 0.04% total | 0.06% | 0.09% |
All figures rms.
### Replay only frequency response CCIR
| Frequency | Upper track | Lower track |
|-----------|-------------|-------------|
| 1 kHz | 0 | 0 |
| 15 kHz | 0 | -0.5 |
| 14 kHz | 0 | 0 |
| 12 kHz | 0 | -0.5 |
| 10 kHz | 0 | -0.5 |
| 8 kHz | 0 | -0.5 |
| 6 kHz | 0 | 0 |
| 4 kHz | 0 | 0 |
| 2 kHz | 0 | 0 |
| 1 kHz | 0 | 0 |
| 500 Hz | 0 | 0 |
| 200 Hz | 0.5 | 0 |
| 110 Hz | -0.5 | 0 |
| 60 Hz | 1 | 1 |
| 50 Hz | 1 | 1 |
| 40 Hz | 2 | 2 |
### Overall frequency response, Nagra master, 38 cm/s
| Frequency | Upper track | Lower track |
|-----------|-------------|-------------|
| 15 kHz | 2 | 0 |
| 14 kHz | -1 | 0 |
| 12 kHz | -1 | 0 |
| 10 kHz | -0.5 | 0 |
| 8 kHz | 0.5 | 0 |
| 6 kHz | 0 | 0 |
| 4 kHz | 0 | 0 |
| 2 kHz | 0 | 0 |
| 1 kHz | 0 | 0 |
| 500 Hz | 0 | -0.5 |
| 200 Hz | 0 | -0.5 |
| 110 Hz | 0 | -0.5 |
| 60 Hz | 0 | -0.5 |
| 50 Hz | 0 | 0 |
| 40 Hz | 0 | +1 |
### STELLAVOX SP7 REVIEW POSTSCRIPT
MR SHUTTLEWORTH wishes to apologise for quoting his SP7 distortion figures ten times lower than the actual measured value. We are informed that his 60 Hz, 1 kHz 10 kHz measurements were in fact 0.6 per cent, one per cent and two per cent respectively. Our apologies for failing to notice the original absurdity—Ed.
high. At all normal levels the measured tape distortion is very close to the theoretical values obtained from the manufacturers published figures. It is curious that if the vu meter circuit is disconnected the distortion drops to 0.035 per cent and although a brief attempt was made to reduce the very slight distortion introduced by the metering circuit no significant improvement could be gained. It is felt that some users might prefer to drive the vu metering circuit from the monitor line out which has a considerably lower source impedance. This might well prove to be more useful allowing output levels to be monitored. I do not use the Revox vu meters on programme, however, because of their considerable inaccuracy in reading peak levels but they are useful when the Revox is driven from an external mixer.
Next month an accurate method of setting up the replay and record amplifiers will be described, which in principle can also be used for aligning many other industrial machines.
STUDIO DIARY
continued
singles, and David Bedford completing his album. Chris Barber laid down tracks with the Greaseband for his next album, and Jo Ann Kelly made a welcome return to the studio. Other artists have included Black Widow, Chas Peate's Pepper Box, Medicine Head, songwriter Kenny Pickett of Grandad fame, Richard Hewson, and the Private Eye team.
Future plans at Marquee include the enlargement of the studio by 37 m², and the rebuilding and extension of the reception area.
The Jackson Recording Company have been doing a lot of work for MIDEM, and have had several new customers in the studio recently. Songwriter and session organist Alan Hawkeshaw, who has played with Juicy Lucy, the Shadows and the London Symphony Orchestra, has been recording for the Ad-Rhythm label. Paddock Productions, a new company managed by ex-Checkmate Ken Street, have been using the studio, and Ray Brooks (of The Knack) and Mike King (of the King Brothers) have also been in. John Dunsterville, besides modernising the studio, has been doing a considerable amount of desk work.
Reception area at the new De Lane Lea Studios
INDEX TO ADVERTISERS
| Acoustico Enterprises | 6 |
| AEG | 34, 46 |
| Alice (Stancoil) Ltd. | 5 |
| Allen & Heath Ltd. | 48 |
| Allotrope Ltd. | 18 |
| Audio and Design (Recording) Ltd. | 28 |
| Audionics | 26 |
| Avcom Ltd. | 4 |
| AV Distributors | 60 |
| Bauch Ltd. | 22, 48 |
| Beyer Dynamic Ltd. | 22 |
| Brenell Eng. | 46 |
| Calder Recording | 6 |
| Cave, F., hi fi | 59 |
| Chadacre Electronics Ltd. | 24 |
| Chilton | 42 |
| C.T. Electronics | 58 |
| CTH Electronics | 24 |
| Electrocraft Instruments Ltd. | 18 |
| Ferrograph Co., The | 33 |
| Francis, J. J. (Wood Green) Ltd. | 15 |
| Francis of Streatham | 50 |
| Fraser-Peacock Associates Ltd. | 42 |
| Future Film Developments Ltd. | 26 |
| Grundig | 54 |
| Hampstead Hi fi | 3 |
| Hayden | 36 |
| Lennard | 6 |
| Leevers-Rich | 2 |
| Macinnes Labs Ltd. | 26, 42 |
| Monks, Keith (Audio) Ltd. | 4 |
| Midland Sound Recording | 22 |
| Millbank Electronics Group | 11 |
| Neve & Co. Ltd., R. | 8 |
| Orange | 38 |
| Pye TVT | 40 |
| Revox | 52 |
| R.E.W. Audio Visual Co. | 26 |
| Richardson | 28 |
| Rogers | 15 |
| Rumble, C. H., Ltd. | 50 |
| Rycote | 22 |
| Sansui | 13 |
| Shure Electronics | 20 |
| Sonex | 50 |
| Starman Tapes | 58 |
| T.B. Technical Ltd. | 28 |
| Teac | 44 |
| Vortexion Ltd. | 7 |
| Walker, N. | 56 |
| Zella | 28 |
Classified Advertisements
Advertisements for this section must be pre-paid. The rate is 6p per word, minimum 60p. Box Nos. 20p extra Semi-display £3.00 per inch. Copy and remittance for advertisements in APRIL 1972 issue must reach these offices by 18th FEBRUARY 1972 addressed to: The Advertisement Manager, Studio Sound, 21 Bishops Close, Croydon CR9 2TA.
NOTE: Advertisement copy must be clearly printed in block capitals or typewritten. Replies to Box Nos. should be addressed to the Advertisement Manager, Studio Sound, Link House, Dingwall Avenue, Croydon CR9 2TA, and the Box No. quoted on the outside of the envelope. The district after Box No. indicates its locality.
FOR SALE—TRADE
Lancashire. Tandberg, Ferrograph, Tape Recorders, etc. Plus over 10,000 high fidelity systems. After-sales service. Holdings Photo-Audio Centre, 39-41 Mincing Lane, Blackburn BBA 2AF. Tel. 5959/6.
Tame those dB's . . . Plug in professional quality FET compressor module £15.50. For the 'slick operator' . . . 'Voice over' module £15.50. S.A.E. details. Cathedral Sound SS. "Fourways," Morris Lane, Halsall, Lancs L39 8SX.
Copyright Free Sound Effects Discs. 7" E.P.'s and 12" L.P.'s. Catalogue from Rapid Recording Services, 21 Bishops Close, London, E.17.
RAC MIXERS
Join other sound engineers. Build a mixer using our printed circuit modules—prices from £1.75. Or let us custom build a unit to your requirements—ask for a quote. Export enquiries welcome.
RUGBY AUTOMATION CONSULTANTS
220 ALWYN ROAD, RUGBY
0788-810367
If quality matters consult first our 105-page illustrated Hi-fi catalogue with technical specifications (60p). Members enjoy unbiased advisory service, preferential terms. Membership (40p) p.a. Our associates also manufacture records from your own tapes, or record the Master at our studios (Steinway Grand). Bulk terms for choirs, fund-raising. Please specify requirements. Audio Supply Association, 18 Blenheim Road, London, W.4. Tel. 01-995 1661.
AMPEX TAPE RECORDER MODEL 300
Broadcast standard stereo tape recorder consisting of separate deck, twin channel amplifier and monitor panel. 10Kohm bridging input balanced or unbalanced. VU meter in each channel. Frequency response: 20-20,000 cycles per sec. at 15 ins. per sec. tape speed. -2dB 40-10000 cycles per sec. no more than +4dB down at 15000 cycles per sec. at 7½ ins. per sec. speed. Single switch speed control also changes equalization. Signal-to-noise ratio over 70dB unweighted. Instantaneous start. Wow and flutter substantially less than 0.1% r.m.s. at 15 ins. per sec. speed. Less than 0.2% at 7½ ins. per sec. Playback amp output 600 or 150 ohms balanced or unbalanced will deliver 20dBm without exceeding 1% total harmonic distortion at any working frequency. Manual available. Price £350.
AMPEX TAPE RECORDER MODEL 306
Twin channel F.M. recorder designed for accurately recording data from D.C. to 5000 cycles per sec. Frequency modulation of local oscillator demodulated at playback. Tape speed 15/30 ins. per sec. Frequency response: 20-3000 cycles per sec. -1dB 0-5000 Signal-to-noise ratio: More than 40dB below peak per signal (100% modulation). Harmonic distortion does not exceed 2%, total. Record input 1 volt r.m.s. 100,000 ohms unbalanced for 100% modulation. Playback output 1 volt r.m.s. for above input conditions. Price £150.
Both recorders in excellent condition. Built into cases. For sale. ARC MARKETING, 6 GRAINGERVILLE NORTH, Westgate Road, Newcastle-upon-Tyne. Tel: Newcastle 860472/31679.
RECORDING STUDIO
A company wishes to purchase an existing recording studio situated within the Greater London area. Please send details to Box No. 621.
SITUATIONS VACANT
Young engineer required for maintenance and installation of professional audio systems, radio station, etc. Must be prepared to turn his hand to most things and work in a small flexible team. Salary £1,200-£1,500. Contact Harry Day at Sound Developments Ltd. 01-586 4488.
MICROPHONE SERVICE ENGINEER
We are looking for a microphone service engineer for the well known range of Neumann condenser microphones.
Successful candidate will have a thorough knowledge of basic amplifier electronics, and will have opportunities of diversification into other fields of sound engineering.
Salary according to experience and qualifications. Excellent working conditions in a young, energetic Company.
Write, giving details to:
F. W. O. BAUCH LIMITED
49 Theobald Street, Boreham Wood, Herts.
FOR SALE—PRIVATE
Revox HS77 with Power Amps in carrying case. Only 150 hours use. Jan. 1970 model. Recently serviced by importers. £175. Tel. Bourne End (Bucks) 21048.
Mixer solid-state 2 mic. 3 line. Offers. Beyer M88N mic. with WS 86 windshield £45. Sunbury-on-Thames 87108.
1" and 3" used recording tape for sale, boxed, spooled, good condition. Offers? Ian Bowden, 01-886 1209.
Millbank Stereo Disco 2 for sale. Treble, bass and gain on each channel. Cross fade from deck to deck. Cross fade from line to mike. Pre-listen. Top condition. £85. 688 8605.
Fi-Cord battery portable, 3¼ ips and 7½ ips half track. £10 with microphone. Needs some attention. Write to Ian Fisher, 5 Langton Road, Edinburgh EH10 3BW or phone him at 031-225 4646 after 6.30.
Pair Lockwoods with 15" Tannoy Golds £150 o.n.o. Six Channel Mixer echo send PPM, etc. £100. AKG C28 pp £60 o.n.o. Phone Weybridge 43367.
TAPE EXCHANGES
Your Recorder—an electronic, mechanical marvel, deserves to be used every day. Let's tell you how! Worldwide Tapetalk, 35 The Gardens, Harrow.
SITUATIONS WANTED
Audio engineer (39) seeks position in radio, T.V. or recording studios (preferably London area). Past experience with B.B.C. radio and commercial T.V. in both operational and maintenance capacities. Box 622 (Canada).
Energetic young man (27) seeks challenging and creative position with recording co., publishers or independent co. or studio, etc., in the general field of record producing and A & R. Currently working and highly experienced as a musician artiste with nine groups, bands, session-work, radio and T.V. Comprehensive knowledge of music industry in all categories including production, balancing, arranging, instrument and P.A. equipment, etc. Well-educated, H.N.C. (Electronics). Enquire in confidence to Box No. 623 (Chelsea).
WANTED
Lee Electronics. The Tape Recorder and Hi-Fi Specialists wish to purchase good quality Tape and Hi-Fi equipment for cash. 400 Edgware Road, W.2. Phone PAD 5521.
Highest possible cash prices for Revox, Ferrograph, Brenell, Vortexion, Tandberg, Akai, B. & Q., Sanyo, Sony, Uher. 9.30-5.00. Tel. 01-242 7401.
Complete Recording Studios purchased for cash. Also all types of Professional Recorders and associated equipment. J. J. Francis (Wood Green) Ltd., 123 Alexandra Road, Hornsey, London, N.8. Tel. 01-888 1662.
Professional and quality tape recorders and accessories, also hi-fi equipment purchased for cash. R.E.W. Audio Visual Co., 146 Charing Cross Road, W.C.2. Tel. 01-436 3365. 266/8 Upper Tooting Road, S.W.17. 01-672 4472, 01-672 9175.
AF Spray £1·25 per can (p. & p. 5p). Trans Pri-200/250V. Sec. 330/0/330V at 100 mA, 6.3V at 2A £1·00 (p. & p. 30p). Trans Pri 200/250V. Sec. 250/0/250V at 60 mA. 3.15/0/3.15V at 3A 5V at 2A £1·00 (p. & p. 30p). O/P Trans (EL84) Push-Pull 10 watt Pri 9000Ω. Sec 2.5 Ω/15Ω. £1·00 (p. & p. 30p). I only Ernest Turner PPM Meter R.H.Z. 75p (p. & p. 5p). 2 Core Mic Cable (12 per metre) (p. & p. 30 per metre). 6 CH Valve Mixer, Master Vol. Power Supply £10·00 (p. & p. £1·00). 10 CH Valve Mixer (stereo), each CH Input Select. (200 Ω BAL Line), Treble/Bass EQ, E/S, Aux, Fader (Rotary), Sub Group, 20/P CH with Faders, Master E/S, E/R £100·00 (Collect).
WEST OF ENGLAND SOUND LTD.
38 BARCOMBE HEIGHTS, PAIGNTON. 0803 50029
C 47½ and others
non-standard duration, professional quality compact cassettes
Avcom Systems Ltd 01 749 2201
Newton Works · Stanlake Mews W12 7HA
Professional tape only 35p. 1200ft. Agfa on hubs, no joins (p. & p. one box 20p. each additional box 8p). We handle 99% of all s/h professional recording equipment. Send for list. Jackson Studios, Rickmansworth, Herts. Tel. Rickmansworth 72351.
UNIMIXER 4S
Mixing unit for professionals in studio and on location (1 powered channel, 3 passive parallel mix). Any input imp. 25-600 ohms. S/n ratio greater than 50 dB with an input signal of 180 µV at 200 ohms at 30 Hz. 1000 hours test certificate. Price £45, Power Pack £8·75. Recent reviews from leading hi-fi magazines available on request from:
SOUNDEX LTD
18 Blenheim Road, London, W.4. Tel. 01-995 1661
Beaulieu R16 Electric complete with 9.5-95 Angenieux; Shoulder Pod; 100ft. Mags.; 2 Battery Packs; Pistol Grip; Sync Unit, etc., £400. Aricon Pro 600 as new. Complete with 10-1 Angenieux; Mags; Filters; Shoulder Pod; Sound Channel; Changing Bag, etc., £1,250. Nagra 111 ¼ Deck £190. Nagra 111 Neopilot Recorders from £275. J. J. Francis (Wood Green) Ltd., 123 Alexandra Road, Hornsey, London, N.8. Tel. 01-888 1662.
Complete 805 Outfit including case. Normal price £250. Special offer £180. Sennheiser MD211 Microphone, new and boxed. Normal price £44, special offer £32. AKG D109 Microphone, special offer £9. AKG D19C Microphone, special offer £12. J. J. Francis (Wood Green) Ltd., 123 Alexandra Road, Hornsey, London, N.8. Tel. 01-888 1662.
C. T. ELECTRONICS
FOR REAL SERVICE WITH THE LARGEST SELECTION OF ELECTRONIC COMPONENTS AND TEST EQUIPMENT YOU MUST VISIT:—
C. T. ELECTRONICS
267 ACTON LANE, CHISWICK, LONDON W.4
9.30 a.m.—6.00 p.m. Mon.—Sat.
STUDIO FACILITIES
EDEN STUDIOS LTD
QUALITY recording, tape to disc and pressing services, all at very sensible rates. Please write or 'phone for leaflet
11 EDEN STREET, KINGSTON, SURREY
01-546 5577
Affiliate Assoc of Professional Recording Studios
J & B Recordings. Tape to disc—latest high level disc cutting, all speeds. Mastering pressings, studio, mobile. 14 Willows Avenue, Morden, Surrey. M1Tcham 9952.
Graham Clark Records. Tape to disc pressings. 10, F.A. House, 182A Station Road, Addlestone, Weybridge, Surrey. Tel. Weybridge 43367.
RAPID RECORDING SERVICE
LPs FROM YOUR OWN TAPES
48-HOUR SERVICE
MASTER DISCS AND PRESSINGS
RECORDING STUDIO
DEMONSTRATION DISCS
MOBILE RECORDINGS—ANY DISTANCE
Multi-channel facilities for transfer to 8 or 16 mm film tracks. Sound effects library on discs.
Brochure on request from
Rapid Recording Service
21 BISHOPS CLOSE, LONDON, E17
Fanfare Records. Tape - disc pressings, demo's, masters, any quantity. Studio/mobile. Neumann disc cutter. S.A.E. brochure. 1 Broomfield Close, Rydes Hill, Guildford. Telephone 0483-61684
County Recording Service. Demodiscs, mono and stereo pressings. 7" vinyl discs pressed on our own plant. Delivery approx. 14-21 days. S.A.E. for leaflet and price list. Tel. Bracknell 4935. London Road, Binfield, Berks.
C.C.T.V. Studio, Central London. 625 line. Complete studio facilities. Sound — vision — rehearsals — promotions. Unit Video Systems. 01-402 4321.
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The new Stellavox SP7 is one of the most versatile and all embracing sound recording systems for magnetic recording.
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A.V. Distributors (London) Ltd
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|
URBAN VELO
Bicycle Culture on the Skids
Issue #9 • September 2008
STREET SMARTS
SURVIVAL SKILLS FROM A MESSENGER
FREE FOR THE KIDS
BOOKS & BIKES BY BUS
José Martinez urban cycling photo gallery. See page 44
Download this issue free online URBANVELO.ORG
Frames Parts & Bikes.
Get stickers, shirts, hats and printed zines @ www.UrbanVeloStore.com
Issue #9
September 2008
Brad Quartuccio
Editor
firstname.lastname@example.org
Jeff Guerrero
Publisher
email@example.com
Co-conspirators: Evan Williams, Tyler Neff, Clara Phillips, Kyle Johnson, Joel Gwadz, Sarah Gibson, Rich Katz, Richard Landon, Carrie Cochran, José Martínez, Roger Lootine, Shelley Briggs, Steve Crandall, Terry Crock, David Hoffman and Andy Singer
All contents © 2008 Urban Velo, no unauthorized reproduction (online or otherwise) without written consent.
SUBSCRIBE!
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Printed by Multiscope Digital - www.multiscopedigital.com
Statistically speaking, it’s dark for a long time. Just think of all that night-time you need to fill every single day! And if you’re not into Fox-Holin’ (looking for rabbits in fox holes) or Bunny-Burrowin’ (hiding foxes in rabbit burrows) things can get pretty boring. That is unless you’re the type who likes casting shadows on walls. We suggest particularly strong lights and particularly lewd imaginations - because as the saying goes: ‘I’ve seen a cock crow but never a monkey spank’.
100% BIKE LIGHTS
MEGABLASTIC HI POWER
www.knog.com.au
On the cover: Bianchis in Reno. Photo by Tyler Neff, www.flickr.com/photos/tylersansserif
| Page | Title | Author |
|------|-------------------------------------------|-----------------|
| 8 | Editor’s Statement | Brad Quartuccio |
| 10 | Publisher’s Statement | Jeff Guerrero |
| 12 | I Love Riding in the City | |
| | Readers from around the world share their | |
| | tales of city cycling | |
| 30 | Street Smarts | Rich Katz |
| | Urban cycling survival skills from a | |
| | bicycle messenger | |
| 38 | Vote Dick | Richard Landon |
| | RAGBRAI riders test people’s political | |
| | knowledge and sense of humor | |
| 42 | Bikes on Film | Jeff Guerrero |
| | The greatest bicycle movie ever made— | |
| | Pee-Wee’s Big Adventure | |
| 44 | Gallery | Jose Martinez |
| | Photos from San Francisco, Philadelphia | |
| | and NYC | |
| 50 | Residue | Roger Lootine |
| 52 | Books on Wheels | Shelley Briggs |
| | The MobookMobiikeMobile promotes literacy | |
| | and alternative transportation to people | |
| | in need | |
| 62 | The Most Beautiful Bike I Have Ever Seen | Terry Crock |
| | Bicycles have played a pivotal role in | |
| | one man’s family | |
| 70 | Out of the Woods & Back Into Town | David Hoffman |
| | Joe Breeze has gone from being a mountain | |
| | bike pioneer to a staunch advocate for | |
| | transportation cycling | |
| 76 | Headset Adjustments | Brad Quartuccio |
| | That thing with the bearings on the front | |
| | of your bike? It’s important! | |
| 80 | Fixed Gear Skid Marks | Brad Quartuccio |
| | How to predict fixed gear tire wear | |
| 82 | No Exit | Andy Singer |
Contents photo: Bicyculture in Baltimore, MD. Photo by Jeff Guerrero
Bicycles can be a door to much greater knowledge and understanding. Personally, I can trace the development of my interest in all things mechanical back to countless hours in my parent’s garage tearing apart my bicycle just to find out how it went back together. In particular, upon my dad’s urging, I remember taking apart my first real bike and laying it all out on newspaper in the basement one winter. It may have taken me a week to put it back together, and I never did find out where the “extra” parts went, but ever since I’ve been empowered to turn my own wrenches.
Community cycling advocates around the country are opening such doors to those who may otherwise not have that opportunity. Featured on page 52, the MobookMobile delivers books and bike mechanics to urban communities that could use a bit of empowerment outside of the usual systems that all too often fail to serve our neighbors adequately. The ways that bicycles can help shape our communities go far beyond stripes on the road and reduced oil consumption and right to the heart of what makes a healthy neighborhood.
Get up, get into it and get involved.
RICKSHAW BAGWORKS
The New Technical Messenger
Built in San Francisco
rickshawbags.com
Every action has an equal and opposite reaction. We know this from Newton’s third law of motion. And this principle applies not only to individual bicycles in a literal sense, but to the greater bicycle movement in a figurative sense.
For example, the City of Pittsburgh recently hired a bicycle/pedestrian coordinator. Stephen Patchan is an intelligent, approachable guy, and an Urban Velo subscriber to boot. Stephen’s job is to improve the city’s cycling infrastructure—a welcome course of action for sure—but as Newton would have predicted, there’s an equal and opposite reaction. Along with the city’s physical improvements and education initiatives come enforcement initiatives. If things go as planned, cyclists like myself who are used to blowing through stop signs and running red lights are going to have to start watching out for Johnny Law. Bike messengers are likely going to have to stop riding in the bus lanes, and according to my friend Jessie, the city’s bike cops are issuing tickets for riding brakeless track bikes on the streets.
Another example is the bike rack recently installed outside of my day job. For years, employees who biked to work could stash their bikes indoors at the base of the main stairwell. With the sharp increase in gas prices this year, the number of bicycle commuters more than doubled. With so many teachers riding bikes, quite a few students were inspired to start riding their bikes to school, too. Before anyone realized it, the bicycles were creating a fire hazard. So now we have to lock our bikes up outside, exposed to the elements and beyond the watchful eye of Mr. Bennie, our trusted security guard.
But I’m willing to take the good with the bad. I’m not saying I agree with the cops that gave Jessie a ticket (after all, she was willing and able to stop when they asked her to) but I would rather see more bike lanes and pedestrian bridges than apathetic police officers. And as much as I miss the rock star bike parking at work, the new rack helps promote cycling as a legitimate form of transportation. In the end it all adds up to more bicycles on the streets.
I Love Riding in the City
NAME: Jake Tong
LOCATION: Manchester, NH
OCCUPATION: Tattoo Artist
Where do you live and what’s it like riding in your city?
I currently reside in Manchester, NH. NH is mainly a mountain biking state. The city riding here is tolerable, when people in cars aren’t yelling out “Get out of the road!” Potholes, tight shoulders, humidity and hills keep you on your toes and well conditioned.
What was your favorite city to ride in, and why?
I’ve mostly only ridden in NH and a little bit in Baltimore, so Manchester, by default.
Why do you love riding in the city?
It can have two effects for me. It can be really relaxing just to go on a mellow cruise and enjoy the surroundings. The other being really intense, kind of like skating—right before you approach the rail or gap, then rewarding—after you land and ride away from the trick. Just overall fun.
Or just say whatever you want about riding in the city...
Poetry anyone?
Quite a few people have pulled over while I’m on my bike and been like “Hey, you need a ride?” or “What happened?” Funny how people here automatically assume that if you’re riding your bike you have a DWI.
Check out www.jaketong.com
Spotted from my Schwinn.
They asked me to tag along,
Once I decide which one I like, I'll call my buddy.
Until then, I'm going in alone.
Willy
Join us for a spin.
It's nice out here.
SchwinnBikes.com
I Love Riding in the City
NAME: Laila Ghambari
LOCATION: Seattle, WA
OCCUPATION: Barista
Where do you live and what’s it like riding in your city?
Riding in Seattle is usually a cold and rainy experience. Sunny days are few and far between but, I think because of that, we cherish them so much more. There are hills, lots and lots, but hills are good for you.
What was your favorite city to ride in, and why?
As soon as I understand the streets of Portland better (cause I get lost every time) it will be my favorite. I think the community is what draws me there. For now though, I will say Seattle because it’s my home and I know the ins and outs of this city.
Why do you love riding in the city?
There is a beautiful freedom about being on a bike in the city. You feel connected with what’s surrounding you and that allows you to appreciate it. You get to know it pretty intimately, in the sense of you come to know its flaws and its strengths. Plus, when 5 o’clock hits, what would you rather do: weave through traffic or sit in it?
Check out www.myspace.com/lailamghambari
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I Love Riding in the City
NAME: Holly Bass
LOCATION: Washington DC
OCCUPATION: Writer and Performer
Where do you live and what’s it like riding in your city?
I live in Washington DC at the top of a hill. I love riding down and feeling the breeze on my legs and the sun on my face. That’s good living. And riding up the hill back home always makes me feel like I’ve accomplished something, regardless of how the rest of my day went. The streets in DC are decent for riding on, but I’ll get on the sidewalk when the traffic gets nutty. I’m not that dude on a brakeless track bike racing down center lane. My bike is a 1970 AMF Hercules with a Sturmey Archer hub. I’ve got a basket in front so I can carry my groceries and books. I’ve got a big padded seat and I never worry about someone stealing my front tire. I believe in riding in style and riding in comfort!
What was your favorite city to ride in and why?
I can’t really say what’s my favorite city to ride in, but the craziest city I ever rode in was Milan, Italy. I lived there for a year. People drive like they just got their licenses and trolley cars and buses zigzag in all directions. Tons of streets are cobblestone and super uneven. And forget about a bike lane. I had an old three speed there too, but with really thin tires and sometimes the tires would get stuck in between the trolley car rails—scarness. And the smog. Some days they would have driving moratoriums and no cars would be allowed in the city as an anti-pollution measure. A lot of people wore little masks, but in case the photo doesn’t give a full idea, I’m a bit of a fashion plate, i.e. biking in heels and a skirt. I could tell the air was bad, but I was just way too vain to ride around in a Michael Jackson surgical mask. In retrospect it was pretty dangerous. Also, in Italy women don’t really go out at night by themselves—it’s kind of like living in the 1950s that way. But I would ride my bike home at midnight after hanging out with my friends. I had a few incidents, but my attitude is, if I’ve got a bike, why shell out for a cab? Once, some guys on a Vespa came up and slapped me on the behind. Another time, someone tried to “solicit” me and I’m like, can’t you see I’m on a bike?! As if there’s such a thing as a bike hooker or something. You know, those girls who ride around the city until they find a customer, then they lock up their bikes and start servicing dudes. Wha, huh?
Why do you like riding in the city?
I like not worrying about driving and parking, waiting for the bus, paying for taxis, or mucking up the environment. DC is great because everything is so close. I can get to most places in less than 15 minutes. I’m not much for the long trek, but there’s Rock Creek Park and the Tidal Basin. Basically, I ride from home to work to the café or bar and back home. But I get to see the so much of the city. I run into friends all the time. And in DC, old guys are always asking if they can get a ride. “Hey girl, can I ride?” It’s sweet. If you’ve got a bike, people give you a little respect.
And since you asked for poetry, here’s a haiku:
shimmering spokes
asphalt meets the tire
stillness
Check out www.hollybass.com
Photo by Joel Gwadz, gwadzilla.blogspot.com
hellyer
IT LOVES RIDING IN THE CITY.
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I Love Riding in the City
NAME: Matt Kelley
LOCATION: Baltimore, MD
OCCUPATION: Marketing, Bike Mechanic
Where do you live and what’s it like riding in your city?
I live in Baltimore Maryland, more affectionately known as “Charm City.” Bike riding in Baltimore I would have to say is a lot like canoeing down rapids. My journeys normally start 17 miles north of downtown and in that distance I see a world of change. It starts with SUV’s, occasional tractors, McMansions, fear of hitting deer at night and an overall feeling of “I must be invisible.” Then as you get further south the houses become closer together, the speed limits become lower, and the distribution of what is and isn’t dangerous shifts from soccer moms and landscaping trucks pulling trailers of loosely strapped down death, to traffic density and people literally running out into the middle of the street and trying to punch you off your bike in an attempt at theft.
What was your favorite city to ride in, and why?
My favorite city to ride in would have to be DC. I feel like vehicles there are a little more acknowledging of cyclists, the lanes are wider, and there are less hills. Plus riding around DC feels like being behind enemy lines, or in the belly of the beast. I always feel like if some sort of uprising happened there, a bike would be the best thing to either charge into battle or get the fuck out of Dodge.
Why do you love riding in the city?
I love riding in the city because you can actually compete with cars. When you are out on rural roads the speed difference is too great to be able to assert any dominance over the vehicles. But when you are in the city all you have to do is get up to speed and make moves while the four wheeled vehicles get caught at every obstruction.
Poetry anyone?
riding thru these streets
meeting crossroads of hope and some of loss
will I take the right road
will I venture into the curves and bumps carved into the foundation formed from years of repetitive travel
I’d rather be a drunk biker than a designated driver
Check out http://www.myspace.com/lustforchange
Our Casseroll Complete’s come in two flavors: Single and Triple.
Both start with the same great riding platform of Classico CroMoly and add common-sense features like the ability to run wide tires (700c x 32mm with full fenders), rear rack capability, and sweet, horizontal dropouts for easy singlespeed or fixie chain tensioning.
Choose the flavor that you savor.
Casseroll. One hot dish.
I Love Riding in the City
NAME: Corinna West
LOCATION: Kansas City, MO
OCCUPATION: Mental health peer support specialist
Where do you live and what’s it like riding in your city?
I live in Kansas City and the roads are not as friendly as in Colorado Springs where I went to college. For eight years I was afraid to ride in the streets. Then I got a job on the same side of the river as I worked and I started riding. Now I ride everywhere, including across the river, every day. People tell me they are afraid to ride, and I tell them it’s just a matter of finding the right routes. My motorist friends are amazed that there are other routes than the freeways. Kansas City is very hilly and spread out, and it’s the third largest city in the US by land mass. Since the density is so low, I can ride for two or three hours through relatively quiet streets and still be in the urban area.
What was your favorite city to ride in, and why?
Kansas City is my favorite because I have made so many friends here. Although motorists yell at me more here, there is nothing better than catching up to them at a red light and trying to make them see me as a human being instead of just an obstacle to get around. Peace begets peace, and telling them, “You scared me,” goes a lot further than a “fuck you.” Kansas City has a great wealth of historic buildings that weren’t torn down and are now being redeveloped. We have a growing cycling scene with Bike to Work Week, alleycats, Critical Mass, lycra pay rides, national races and epic discussions with the Department of Transportation about bridge access.
Why do you love riding in the city?
I love going out my front door and going wherever I need to go with my bike. I enjoy being able to stop along the way to look at things or talk to people and have adventures along with my transportation. I like arriving at work tired and relaxed and warm and in a good mood. Cycling is more effective than a lot of medicines people take, and I meet great people, see more of the world and eat a lot of food along the way.
Or just say whatever you want about riding in the city...
By riding my bike to work I plan to change the world.
I declare freedom from the petroleum mongering machine.
There’s no war in Iraq fought for my gas.
I live on a human scale, and I transport my own ass.
Photo by Sarah Gibson, www.acmecicyclecompany.com
RiBMo = Ride Bicycle More!
RiBMo is the first Panaracer tire to utilize the all new Protex™ Shield. Protex Shield is a revolutionary and proprietary tire and tube puncture protection component. The Protex Shield fabric layer creates a tire that is three times more puncture resistant than an un-shielded tire of comparable weight. This also applies to tires with other currently available casing reinforcement systems. Super light-weight, Protex Shield provides sidewall to sidewall tube and tire protection. A perfect urban warrior, RiBMo is available in the following sizes for your cycling joy.
| 700C TIRE SIZES | BEAD | WEIGHT | COLOR |
|-----------------|--------|--------|-------|
| 700 X 25c | Aramid | 340g | |
| 700 X 28c | Aramid | 370g | |
| 700 X 32c | Aramid | 420g | |
| 700 X 35c | Aramid | 520g | |
| 26" TIRE SIZES | BEAD | WEIGHT | COLOR |
|-----------------|--------|--------|-------|
| 26 X 1.25 | Aramid | 340g | |
| 26 X 1.50 | Aramid | 460g | |
| 26 X 1.75 | Aramid | 550g | |
| 26 X 2.0 | Aramid | 640g | |
NEW RiBMo with Protex™ Shield
The charts demonstrate the comparative puncture and pinch-flat protection between three Panaracer tires. Unbelted, Kevlar belted and Protex Shield belted. Protex Shield provides almost 4 times the flat protection and more than double the pinch flat protection of a Kevlar belted tire.
Panaracer
www.panaracer.com
I Love Riding in the City
NAME: Gabe Gonzalez
LOCATION: Carson City, NV
OCCUPATION: Customer Service Rep. for Veltec Sports, Inc
Where do you live and what’s it like riding in your city?
I live in Carson City, NV. It’s a mixture of cowboys, crazy soccer moms and a ton of SUVs. We have beautiful mountains, great climbs and the beautiful Lake Tahoe not too far away. Riding isn’t too bad, it’s mostly long stretches of road with not too many lights inbetween. And it’s sunny 300+ days a year. We also have a nice fixie community popping up in Carson and in Reno.
What was your favorite city to ride in, and why?
Well, I was born and raised in North Philly and worked there as a messenger for a year and a half with Rapid Delivery. To me nothing else compares to the diverse culture and riding environment you find in Philly. Riding with the cars and busses of the city, cutting in and out of traffic, fending off drug dealers with my NY chain lock, seeing prostitutes walking out of alleyways, hanging out at “The Station” with my buddies and weekend rides on Kelly Dr.
Why do you love riding in the city?
Riding in the city is like riding with a wild untamed animal—you never know what it’s going to do. It’s alive and when I ride with that animal I feel alive to. It’s an adventure every time I get on my bike. You can get to know it but you can never tame it!
I Love Riding in the City
NAME: David O
LOCATION: Chicago, IL
OCCUPATION: Selling bikes
Where do you live and what’s it like riding in your city?
I live in the windy city, and riding here is great. The city is set up well, it has great architecture and a huge bike community. Chicago has great history and plenty of things to see, one of my favorite places is The Green Mill where Capone could be seen at in his time. There are cool bridges and underground streets downtown, and the city is on the lake so there is a trail right there too. I can stay out all day and cycle through these streets, and I’ll do it again the next day… forever…but I really would like to go to Tokyo!
Why do you love riding in the city?
I used to love cars, until I found out how useless they are in the city. I love to just fly by and ride around traffic, instead of sitting in it. It is way faster to ride and it keeps me in better shape. And you don’t have to look for parking…and gas prices suck! I can get a little workout while lookin’ at girls, graffiti, funny people, stupid people, crazy things, bums, pigs…there is never a dull moment.
What was your favorite city to ride in, and why?
LA was nice, but I was on a cruiser I got on Venice Beach…It would have to be the home town, I plan to travel more but I will always love Chicago the most. North Side
Or just say whatever you want about riding in the city…
ARRRRGGG to the Pirates crew! You don’t know your city until you ride it, it’s much more beautiful outside the metal box. And tight pants suck…
This Rush Hour will get you to Happy Hour faster.
Butted Reynolds 520 Frame
Freewheel/Fixed option
No Braze-Ons
No Bosses
Everything you’d expect from a company whose first bike was a fixie.
RALEIGH Rush Hour raleighusa.com/bikes/road/rush-hour
I Love Riding in the City
NAME: John Cline
LOCATION: Chicago, IL
OCCUPATION: Spy
Where do you live and what’s it like riding in your city?
I live in Wicker Park, a hep a easy going place in Chicago. Riding in Chicago is a lot of fun and challenging. Lots of people yell at you, shake fists at you, try and run you down, all because of what? Because I don’t like to stop and I guess they don’t either. Not a lot of hills, but the wind…you are rarely down.
What was your favorite city to ride in, and why?
Portland, aside from having the highest concentration of strip clubs in the United States, the city is hilly and fun. The people are VERY receptive to bikers as well. Doing a track stand at an intersection all the cars waited for me to cross and were waving me through. I was shocked.
Why do you love riding in the city?
I look at it like a real life video game. Always alert for something jumping out at you while going fast through the streets and only having one life. Perfect.
Or just say whatever you want about riding in the city…
I like hitting a trail or a velodrome once in a while but I am never as comfortable as I am on the street of any urban area, it’s like home. I have been dragging my Soma all over the country to different cities and man it has been a blast…
Check out soma.leisureproductions.com
NEW FROM P-TEC
SWERVE
A tail light...For your Bike
Simple. Intuitive.
the way riding should be.
Introducing a whole new way to take control of the streets – the SWERVE. A taillight visible from miles away, activated by a toggle switch that can be flicked mid pedal stroke, and a tool-less mounting system that can jump from seatpost, to seat stay, to fork, to bag, to helmet in seconds.
Princeton Tec®
www.swerveyourbike.com
www.princetontec.com
609-298-9331
I Love Riding in the City
Mary, Montana, population less than one hundred year-round: mountain-slash-country living, just outside Glacier National Park on the Blackfeet Native American Indian Reservation.
Today is June 12, 2008: six inches of snow fell yesterday. It melted today—it is June, after all, summer, even here in the mountains—and I took advantage: thirty miles, with gears, with brakes, into the park. My destination: Jackson Glacier, fifteen miles into the park, one of less than ten remaining glaciers in the Lower Forty-Eight. The first fifteen were uphill, into a twenty-mile-per-hour wind, a doesn’t-even-let-up-a-little gust. It’s like that all the time here. Past Jackson, the road goes on for forty more miles to the next town, West Glacier, but thirty-foot-tall snowdrifts still cover portions of the road. The Park Service dynamites, plows, and repaves every day to get it open; they’re hoping for the Fourth of July, as long as it doesn’t snow again. And it can.
There are no conventional destinations here, just lakes and peaks, X’s that mark spots. There is no bar with a half-off happy hour, no dumpster filled with just-expired cashews, no double-supers to Highmark, Fifth at Stanwix. The nearest year-round, fully-stocked grocery store is thirty miles away. Here, there are just countless miles to ride; really, there are only three places, there-and-back, in a hundred mile radius: thirty-one miles south on Highway 89 to Browning, the “capital” of the Reservation, by far the hardest thirty-one miles I’ve ever done; fifteen miles north on the same highway to the America-into-Canada border crossing; and Going-to-the-Sun Road, the mountainous, fifty-four-mile, government-certified “National Historic Landmark” that took fourteen years to complete, a testament to how hard it is to ride. I love riding in the country.
Sometimes I miss that city life: I put thousands of brakeless miles on my ‘92 Cannondale “Track” and never rode even one lap on a velodrome. Once I got hit by a car and three police cars, an ambulance, and two fire trucks showed up to the scene. All they would send here is a helicopter; the nearest hospital is more than two hours away. I like it better here, though, Nowhere, Montana, because it’s harder, it’s less convenient, its hills are infinite and knee-numbing, the air thin and unpolluted. This place wasn’t nicknamed “Big Sky Country” and “The Last Best Place” for nothing. No matter what, though, city or mountain-slash-country, gridlocked streets or an empty highway that stretches to the horizon and beyond, biking is still my everything. And now I don’t have to worry about being doored.
I (Used to) Love Riding in the City
By Jason Mills
Sometimes I miss those $5 alleycats, bombing hills brakeless and blowing lights, riding like a reckless idiot for bragging rights and the “grand” prize, a messenger bag, a growler from the East End Brewery, $50 in crumpled cash. I miss those hung-over, yet happy-as-hell, summer messenger mornings outside PPG Plaza, Downtown, sipping coffee, anxiously waiting for that next “money-making,” east rush to the Cathedral or Iroquois. I was riding hard and hardly making $200 a week. I loved every minute of it. Sometimes I miss those bitterly cold, late January nights when we stuffed Steve’s panniers full of whatever food we could scavenge from Strip District dumpsters. I miss those fast, sober rides to the bar and the drunk ones home I don’t really remember or don’t remember at all.
Everything that’s lead up to now, though, all that, has been worth it. I did that for four years; that city-living, urban-riding. I used to love riding in the city. Now it’s St.
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The streets are the most dangerous place you’ll ever be. The chances of getting killed in a traffic accident are greater than almost anything you’ll experience in your entire lifetime. If you’re in a car, the simplest precaution you can take to survive is to wear your seatbelt. But on a bicycle, you might as well be naked, helmet or not. The only things that will keep you alive in traffic are your skills, your awareness of your environment, and always having a tremendous respect for the danger involved. Don’t get me wrong, I’m not trying to scare you away from riding your bicycle on the streets, but knowledge is power, and the skills are what will keep you alive so that you can continue to have fun riding bikes. Don’t think that wearing a helmet is all you need to stay alive; you want to avoid accidents, not just survive them.
Photo by Jeff Guerrero
Lab-Gear.com
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What follows are some basics that you should keep on your mind when riding on the street. It’s not that they may save your life, it’s that they will save your life...
SKILLS FOR DEALING WITH ROAD CONDITIONS
1. **Look where you’re going!** The most important skill to avoiding an accident is using your vision. And I don’t just mean looking forward in a tunnel vision of doom. I mean using your vision to its maximum potential. Look at everything you’re about to ride over, question everything, fear everything, never assume it’s anything but your enemy. As soon as you assume it’s fine, you’ll find yourself on your ass, or worse, on your face.
2. **Scan the road surface constantly.** Even on roads that are well maintained it doesn’t take much to knock a rider down. Road irregularities, iron drain grating, manhole covers, and all kinds of objects can easily take a rider out if hit the wrong way. If you can safely avoid them, ride around. Don’t forget to look for traffic coming up from behind you. Otherwise ride straight through it—hold tight onto your handlebars but stay loose with your body to both absorb the obstacle and allow your body to quickly react to the irregularities of it. Stand up and think “light” as you go over the obstacle.
3. **Be subtle in the rain.** In rain, or any slippery conditions, loss of traction can be very pronounced. Be subtle, very subtle. Keep in mind that the streets have a lot of greasy pollution residue deposited on them that once wet, especially when it just starts raining, yields an oil-slick type of condition. When riding on a slippery surface, try to keep the bike as vertical as possible when making a turn. Don’t lean the bike into a turn as aggressively as you normally do would when the roads are dry and grippy, rather gently turn and lean as little as possible, to avoid “washing out.”
4. **Turn your “boat” into the “wave.”** When crossing a raised crack or edge in the road that is somewhat parallel to your forward direction, cut across it as perpendicular as safely possible. In other words, think like a boat coming upon an intersecting wave. Turn into the wave at a right angle, not along with it. This will help prevent the front of your boat, or rather the front wheel of your bike, from deflecting away from its desired direction of motion, keeping you upright and not on your ass.
Always keep a finger on your brake levers.
The most important thing to remember is to never assume anything about where you’re riding or the future movements of a car. Street riders can become complacent, assuming that the road is nice and flat, smooth and predictable, ignoring where they’re actually riding. But this is so very far from the truth, as there are many obstacles that can slap you into the pavement like a wet fish. Things like potholes, from tiny to huge, or simple cracks in the road, either from damaged roads, or designed into the road itself for pavement expansion. Or the dreaded “rain grooves,” cheese-grater looking ridges designed to keep a car’s wide tires from hydroplaning, that to bicycles have about as much grip as ice. Then there are slippery fluids such as oil or water, gasoline or antifreeze, or simply sand or dirt, akin to riding on top of tiny ball bearings. Changing weather conditions, from rain to snow, sleet to ice, and benign looking frost that can make you fall faster than a drunk stumbling out at closing time. Of course, there’s the most obvious danger, the motorized vehicles that you’re sharing the roads with. A car weighs several tons, and it’s moving at speed. Have an altercation with a car, and you’re going to lose. It’s best to avoid kissing anyone’s fender. The world is full of idiots and assholes, and they tend to dominate the streets behind the wheel.
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5 **Always keep a finger on your brake levers.** Braking reaction is delayed if you have all of your fingers wrapped around your handlebar, far from your brakes. Most times you will have less than a second to brake to avoid an accident. With your fingers not on your brake levers, that second becomes two, already too late to brake. If your fingers are not able to comfortably reach the brakes, then change your brake levers to a different option that will fit your hand size correctly.
6 **Beware of the dark.** When riding at night, it is imperative that you have a bright white blinking headlight, and a bright red blinking taillight mounted on your bike, each with fresh batteries. If you thought you were invisible to cars in the daytime, at night you’re nothing more than future roadkill. Popular LED “blinkie” lights increase the visible distance between you and a car tremendously, giving drivers a much longer time to react and avoid you. Make sure you have a headlight as well as a taillight to help prevent oncoming cars from turning directly in front of you, or others from pulling out of parking spaces into you.
1 **Watch for a car’s turn signals, but don’t rely on them as fact.** Never assume a car is going to go straight because their turn signals are not on, or going to turn left just because their left signal is blinking. Always expect the unexpected. Turn signals can be a hint, but nothing more.
2 **When riding in traffic, do not always follow the law that dictates it is illegal to split a lane with another vehicle.** This, in my opinion, is far more dangerous than the increased possibility of getting sideswiped, as it places you wedged between cars in front and behind. If for any reason a car behind you is unable to stop, you will be crushed. A simple “fender bender” could prove fatal to an exposed bicyclist. Instead, where safely possible, stay to the far side of a lane, splitting the lane with the cars – especially when stopped at a light. Getting rear-ended is no fun. I cringe whenever I see a bicycling family on the streets waiting at a red light, standing out in the zone like ducks in a shooting gallery. The parent is thinking they’re doing the right thing by following the letter of the law, but they’re just ignoring common sense and good survival skills. Get your ass out of the line of fire as much as possible.
3 **Give yourself a safety cushion.** Make sure that you’re not riding too close to the curb or edge of the road. Give yourself enough breathing room should a car get too close to pull farther off to the side to avoid being hit. Ride too close to the edge, and you’ll have nowhere to go. If the road is that tight where you can’t give yourself at least that much of a safety cushion, then you probably shouldn’t be on that road at all unless you’re able to keep up with traffic.
4 **Never assume a car will stop just because they have a red light.** In other words, never rely on traffic signals to determine whether or not it is safe to proceed. Traffic signals are there to attempt to control the traffic, but unfortunately they can do quite the opposite. It has been proven that at intersections where there are no traffic signals, there is a markedly lower rate of accidents, as people are forced to rely on their own common sense and visual determination of whether it is safe or not to proceed. When traffic signals control people, the same people get lazy and incorrectly assume that is safe. We all should know this is rarely true, as people blow through red lights all the time.
Give yourself enough room to avoid cars.
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5 Never be a lemming. Do not proceed into an intersection because everyone else does. If you see pedestrians beginning to cross the street because the light has turned green, or cars start rolling for the same reason, do not assume it’s safe to go just because they thought so. They probably didn’t look for oncoming traffic at all, they just assumed it was safe because the light turned green. People are idiots. Don’t follow idiots. Don’t be a suicidal lemming. Never proceed until you have verified with your own eyes that it is clear—trust no one!
6 Look at the car’s front wheels. When coming up on the side of a car, take note of their front wheels. It takes a moment for the car to actually change direction once the wheels start to move. You can ‘read’ the movements of cars pretty well through the wheels and suspension. If you see the wheels start to turn, brake and avoid.
7 Be aggressive! Be focused, almost competitive. You’re at a huge disadvantage to cars, so make up for it by being more aggressive than them. It’s like being the quiet shy person in a mosh pit - you won’t be noticed, you’ll just get flattened. Be noticeable by being aggressive. If you don’t emotionally dominate the situation, you’ll be taken advantage of more often.
8 Keep your eyes wide open! It’s all about vision, and peripheral vision. When you’re about to enter an intersection, look left, then look right, then left again, and right again. A lot can happen after your initial scan. Keep your eyes wide-open to use all of your peripheral vision to check for any cars that you may have not caught at first. Think like a high tech military vehicle… check, recheck, confirm, and only then proceed into the battlefield, because that’s what the streets are.
9 Never ride blind. In other words, never ride into a blind corner or intersection assuming it’s clear and safe. If you can’t see if it’s clear and safe, then it’s not clear and safe. All it takes is one blind chance, and you could get killed. Unless you have a death wish, don’t play Russian Roulette by riding blindly where you can’t see.
10 Don’t get doored! Getting doored, is when a person in a car (either stopped in traffic or parked), opens the door without looking first to see if anyone is coming up behind them, swinging it directly into a riders path. Hitting a door is one of the more painful accidents you can have, as car doors are extremely strong, especially at the angle where you would impact them. They’re also very hard to avoid if you’re riding in that narrow path between the parked cars and bumper-to-bumper traffic. Sometimes you may notice people sitting in a parked car, or that a car has just parked, or even hear the lock click so you may have some warning but generally predicting a door opening is impossible. You may be able to swing around them, but likely not stop in time. The best way to avoid being doored is to stay three feet away from parked cars – out of the door zone.
11 Never assume that a driver sees you. Assume that you are completely and totally invisible. I don’t care how many blinkie lights you have on, or if you’re wearing obnoxiously bright reflective orange clothing, or have a big fruit basket on your head, they probably do not see you. This is not necessarily because they are unaware, bad drivers. It may simply be because the human brain only partially samples sensory input, putting certain input data higher or lower in a hierarchy of importance for a given situation. Since cars and trucks dominate the traffic on the streets, our brains are naturally responding quicker to the more common large box like objects (cars and trucks), not the less threatening vertical ones (bicycles, motorcycles, and pedestrians). They could be looking straight at you, and not actually “see” you. Always imagine yourself as invisible, and you’ll have a lot better chance at survival.
About the Author
Rich Katz, aka Ratman, is originally from NYC. He supports his girl and beer habit by working as a bike messenger in Pittsburgh, PA. A motocrosser in his youth, turned mountain bike racer and observed trials competitor (and member of the once infamous Team No Sleep), he’s spent the past 15 years smashing himself into smaller pieces riding BMX. His new job has put a temporary end to his BMX habit, due to the risk of getting injured (which would directly affect his ability to work) and just being too exhausted from sprinting all over the city nine hours a day. Though bicycles are one of his addictions, don’t think he’s anti-car... He also likes to build 800hp race cars from scratch. But since his Ratmobile only gets 5mpg, you’ll usually just see him on his bike. If you do see him flying by you on the streets, just scream out “Ratty!” and he’ll probably stop to say hi... That is, if you’re a girl.
Photo by Brad Quartuccio
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Our team did not set out to make any profound political statement at the Register’s Annual Great Bike Ride Across Iowa, but we quickly found that Cheney ‘08 jerseys were an excellent Rorschach test for this election season.
Our team name was inspired, in part, by the political presence at last year’s RAGBRAI, when riders were still gearing up for the Iowa Caucuses. Every candidate made his or her presence felt in 2007, so this year we decided to campaign for an unlikely contender for the presidency: the current Vice President. Though the presumptive nominees from both parties had already been established, we still encountered dumbfounded riders who merely replied, “I didn’t know Cheney was even running.”
Many riders wanted us to explain the inspiration and motivation for our jerseys in a simple and categorical manner. Either we didn’t like Dick Cheney and were therefore making fun of him, or we did like him and honestly wanted him to be the next President of the United States of America. Surprised by how undiscerning many of the riders were, and put-off by the often aggressive questioning with which we were assailed (always from angry liberals, not angry conservatives), we generally refused to give a straight answer to questions. After all, we thought the jerseys should speak for themselves.
Colored in bright pink and olive drab, our jerseys read “Cheney ‘08” front and back. The sides read “Vote Dick,” and had a picture of Cheney’s head on a cartoon body. The shoulders proclaimed “Small Dicks” and “Big Victory.” And on the back of the jerseys, Cheney was celebrated as a “Freedom-shitting Death Eagle.”
We rode down the Iowa highways declaring that “waterWhere are your nipples?
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boarding isn’t torture,” “there is no insurgency,” and “the constitution is for sissies.” When other riders would ask us if we were joking, we responded with a question of our own: “Is freedom a joke?”
In general, the jerseys did receive responses from across the political spectrum. We had conservatives assume that we were Republicans voicing our displeasure with McCain, and therefore tried to engage us in serious conversation about the future direction of the Grand Old Party. Somehow, other riders actually thought our jerseys were offering support to McCain, though I’m not sure what evidence they based that on. We encountered many liberals who took our jerseys as a sign of the apocalypse, and felt the need to tell us that Cheney was a Nazi who ate kittens (and, by extension, so were we).
There were, though, many riders who asked for no explanation. Many people would pass by and tell us they liked our jerseys; others asked if they could take our pictures. We had to pose for cameras so often that as the week wore on we felt like celebrities. “Vote Dick” t-shirts that we could hardly give away at the beginning of the ride were almost sold out by the end.
By the last day, I began to suspect that we may have actually won the hearts and minds of the state of Iowa. Until, that is, a middle-aged woman asked me “What is the story with Cheney ’08?” “What is the story?” I responded. “It is the story of American Freedom. It is the story of a line of great American presidents, of which Dick Cheney is the next chapter.” Her friend asked, “So you guys really like Dick?” “Lady, I love Dick,” I said. “I can’t get enough Dick.” The first woman appeared convinced. “I knew it! I knew you guys supported Cheney.”
RAGBRAI is an annual seven-day ride across Iowa the last full week of July. It began in 1973 when two members of The Des Moines Register decided to ride across the state and write about it for the newspaper, and invited the public to join them. The route averages just short of 500 miles, but starts somewhere along the Missouri River and ends along the Mississippi River every year, passing through dozens of small Iowa towns and countless Iowa cornfields. Now limited to 10,000 officially registered riders, RAGBRAI has established itself as the longest, largest and oldest bike tour in the country. For more information, visit: www.ragbrai.com.
See You Later Cap’n Morgan
www.myspace.com/broaklandbicycles
Pee-Wee’s Big Adventure
Pee-Wee’s Big Adventure is perhaps the greatest bicycle movie ever made. Writer, actor and comedian, Paul Reubens co-wrote the 1985 action-comedy with legendary comedian Phil Hartman and Michael Varhol. The film stars the unforgettable Elizabeth Daily as Pee-Wee’s love interest, Dotty, the bike mechanic. Milton Berle, Morgan Fairchild and Dee Snider of Twisted Sister also make appearances. Perhaps most notable of all, the film was director Tim Burton’s first full-length movie, and featured a soundtrack by the one and only Danny Elfman (who wrote The Simpsons theme).
What makes Pee-Wee’s Big Adventure such a relevant cycling classic is the age-old theme of a man’s love for his bicycle. Of all his eccentric gadgets and eclectic belongings, Pee-Wee’s most prized possession is a highly customized Schwinn DX. The film opens with a fantastic dream sequence in which Pee-Wee wins the Tour de France aboard “the best bike in the whole world.”
Pee-Wee goes to great lengths to ensure his bike’s security. His precious steed resides in a secret chamber hidden behind the hedges in his back yard. And his futuristic panniers hold enough chain to lock an army of bicycles. Unfortunately for Pee-Wee, U-locks weren’t in vogue during the heyday of BMX, and his bike gets stolen during a routine trip to Chuck’s Bike-O-Rama.
The theft sends Pee-Wee on a cross-country journey in search of his bike, and the adventure that ensues is the stuff of legend. In addition to a host of comedic escapades, the trip lets viewers travel vicariously to such famous locations as The Alamo and roadside attractions like The Cabazon Dinosaurs. Pee-Wee’s search eventually lands him in Hollywood, where he gets caught reclaiming his stolen bike (a plot similarity that’s often compared to the Italian classic *The Bicycle Thief*).
If you’ve never seen Pee-Wee’s Big Adventure, you owe it to yourself to rent this cult classic.
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It’s a Great Day to Ride
San Francisco, CA
Everyday rider and Fatlace employee, Kenny, takes a quick stroll around Japantown in San Francisco to show off his skills and his Bridgestone track bike.
For more José Martinez photos visit www.negativo.org
Anytime. Anywhere. With Anyone.
There’s never a bad time to ride a bike. And now that gallon for gallon, beer is cheaper than gas, there’s never been a better time. Wherever, however and whatever you ride, One On One has a bike that’s just your speed. We also have parts, accessories, clothing and coffee. Which works just like gas when you’re riding your bike, but tastes a lot better. Bikes are freedom. Get some.
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New York, NY
At the 2007 Toys for Tots Alleycat, Crihs dressed up like Santa for a good cause. Crihs and the other cyclists made a lot of kids happy that year!
Philadelphia, PA
During the filming of the first Bootleg Sessions, I was invited to hang out with the “Philly kids” and take some photos. We decided to make a stop in the middle of a bridge and take some track-stand photos with the Philadelphia skyline.
For more José Martinez photos visit www.negativo.org
Philadelphia, PA
Tom plays around with a tall bike before heading out to film the first Bootleg Session.
After a couple of tricks he breaks his bike chain and decides to show off his new bling.
New York, NY
Before premiering the MASH SF DVD in NYC, Willis organized a trick contest so riders could show off their skills.
For more José Martinez photos visit www.negativo.org
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Promoting literacy and alternative transportation is the mission of Richmond, VA based Books on Wheels. At events in varying neighborhoods people are encouraged to take a book from the MobookMobikeMobile while their bicycle is fixed, all for no fee. What follows are some stories from a recent stint on the road in June, hitting Philadelphia PA, Baltimore MD and Harrisonburg VA over the course of a week as told by Shelley Briggs, one half of this organization.
JUNE 24TH
PHILADELPHIA, BEN’S HOUSE
We arrived in West Philadelphia around 9am and pulled up to our friend Chance’s house where we would be staying for the next few days. Since it was early, I napped in the park across from the house while Books on Wheels partner Ward read and made sure no one bothered us. Chance appeared around 11, letting us in to unload, even though we planned on sleeping in the bus. When it was time to leave for our event, Chance decided to come with us and help out. We headed into West Philly to set up outside of our friend Ben’s house.
Ben works for Neighborhood Bike Works (NBW), an amazing bike project in Philly that helps kids and adults learn to work on their bikes, as well as offering programs giving kids opportunities to earn bikes and parts in exchange for working hours. The year before we had set up and had a very busy day, so we anticipated a number of kids coming out. We parked the bus out front, brought out our tools and stands, and immediately kids are rolling up, bikes in hand. The neighbors played the radio on their porch, and the setting was immediately energetic and welcoming. Ben’s neighbor Mike brought out some bikes to work on and donated us some wheels from his basement, and seeing that we were quite busy, helped work on bikes as well. At one point, Mike spies a chain breaker in use, and he says excitedly, “They make a tool for that? Thank God!” Mike has been breaking chains and putting them back together with a hammer and a nail up until this moment of revelation.
Other people were helping out a quite a bit, amongst them kids that had “graduated” from the NBW program. It is amazing how many people are willing to help out given the means to do so like tools and parts, or new tubes. All afternoon there were kids in and out of the bus, gathering needed parts, or just checking out how we set up the bus for travel. After working for the better part of the day, we were pretty beat. We got rid of a ton of books, mostly through summer school teachers stopping by and taking boxes of books for their students. We packed up and headed back to the house to relax before our next event in the morning.
**JUNE 25TH**
**PHILADELPHIA, HADDINGTON BIKE SHOP**
On Wednesday morning we got up early and made our way over to the NBW Haddington Bike Shop where we would be setting up for the day. Before getting off the bus, I noticed that Ward had not taken off his sandals and expressed my concern for his toes, but he said he was much
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more comfortable and would accept the risk of dropping a tool or a bike on his foot in the heat. Within a few hours I found myself desperately jealous for some sandals myself, even trying to find a cheap pair at the convenience store in the neighborhood with no luck.
We had set up as usual, and had a small crowd throughout the morning, giving me an opportunity to strip some bikes for parts in the bus that we had been toting around while Ward worked on repairs. Ward spent most of the afternoon with DeShawn, or “DeDe,” who hung out the entire time, talked non-stop for hours, and had about 9 bikes that he needed fixed.
A guy came by for a tune-up on a really nice bike and gave us 30 bucks, a great donation to help with gas. Another guy in a car at the stop light at the intersection asked Ward, “Where did you find a girl that can work on bikes?” Later in the day a guy showed up in need of a new inner tube, and then told Ward aggressively that it was Ward’s problem that his bike was messed up, which just led to confusion. Ward tried to question, “How can it be my problem? I don’t have to ride this bike,” to which the man didn’t reply, just kept talking and talking. Then Ward asked him if he was related to DeShawn, and the guy actually tuned in, “Why? ‘Cause he talks a lot!” It defused the weird situation, changing it from confrontational to humorous. We packed up shortly after this interaction and headed back to the house to enjoy the evening on the roof.
**JUNE 26TH**
**PHILADELPHIA, DAVID’S HOUSE**
On Thursday morning we had an early start to drop off books at a summer camp hosted by Heavenly Hall and then headed over to the Bike Church to restock on supplies for the afternoon. Neighborhood Bike Works runs the Bike Church, a bike project full of spare parts that they let us sort through, which is important since we have no means of restocking on the road besides other’s generosity. We arrived to our event at 2 o’clock outside of David’s house, another great guy with NBW that does summer programs teaching kids how to work on bikes. He anticipated a lot of kids showing up, since his house was located outside of a local rec center. Our friend Steve was along for the afterWHITE INDUSTRIES
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BUNGY CORDS Lots of them. We used to spend more time putting parts back on the shelves that actually fixing bikes, and more bungy cords give us more time to wrench.
MEGAPHONE (a.k.a. security system)
If anyone tries to get in the bus, we just turn on the siren to scare them away. Luckily we’ve yet to use it.
PORTABLE GRILL It is not necessary for urban camping, but as vegetarians, being able to cook for ourselves at any point is helpful.
ORANGE TRAFFIC VEST
Labeled “OFFICIALLY” across the back no one doubts that we do in fact have the authority to stop traffic anywhere we like.
COUCH Bus seats suck.
COOLER We don’t use this for storing food often, but it makes for a great passenger seat. The engine of the bus is loud, so it’s important for someone to perch next to the driver and keep them company.
LOFT SPACE Not only as a secondary place to sleep, but we store all of our wheels and tires underneath it.
PLASTIC BOTTLES & BINS
Without a bathroom on board, you can imagine what we use these for.
noon not only to offer up his cooking skills in preparing a platter of veggie burgers during the event, but to wrench on bikes as well. Chance showed up again to help out, as well as our buddy Mickey, who jumped right in when he noticed that the line for bike repair seemed endless with more and more people showing up. We had a few firsts this particular afternoon—we were not only donated a huge tray of food, but 32 cold beers for our efforts. After a women asked if we drank beer and I responded, “Not right now,” she came back with a bag of beers, with another neighbor handing over a case of bottles later, to which we greatly looked forward to enjoying after we were “off the clock.” Another first was that we were learning quickly that we had to know how to say “No.” Even with six mechanics working non-stop all afternoon we simply could not serve everyone. We cleaned up and closed the bus and headed to David’s house to enjoy our donations as well as to see a amazing view of the entire city of Philadelphia from his rooftop. Another day complete.
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JUNE 27TH
Baltimore, CSAFE
We left Philly early on Friday morning to make it to Baltimore for a noon event. The minute Ward and I arrived and unloaded we were swamped with people waiting outside of CSAFE, the community organization which hosted our event. They had a free cookout for the neighborhood while we worked on bikes and people browsed the books. At one point, the line that had formed got a little tense when two people argued over who was next, but the situation was quickly resolved when we promised to at least get to everyone that was present at that time. By the last hour, we could tell it was going to be difficult to finish with everyone, so the president of CSAFE helped us out by asking the crowd if anyone knew how to fix their own bike. We would provide tools and parts if they would just start working and helping others. Local teens stepped up to the task taking off wheels and changing tubes, an awesome sight to see everyone working together given the means. We had to retire in the mid-afternoon, facing a five-hour drive ahead of us to Harrisonburg, VA.
JUNE 28TH
Harrisonburg,
Our Community Place
We woke up on Saturday morning in Harrisonburg and drove over to Our Community Place (OCP), a space hosting a summer Lawn Jam. The whole day was filled with music, a free burrito bar, tea and lemonade, volleyball, a horseshoe tournament, slip and slide, a yard sale, as well as a whole lot of other wackiness. We fixed a few bikes, got a chance to talk to the people running the local bike project located in the yard of the OCP, which was this really nice shed were bikes were fixed, stored and sold for super cheap to get people riding who really needed bikes. After a few hours we loaded up, and I headed back to Richmond, leaving Ward to visit with some friends for another night. We had a long week, and it was sad that I was returning to Richmond alone, but as I drove through the mountains, I came to a point where I was barreling down this hill, coasting at 65 miles per hour with the clutch in and the gear in neutral, and for three minutes the engine wasn’t roaring. It was a pretty perfect ending for a successful tour.
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The Most Beautiful Bicycle I Have Ever Seen
By Terry Crock
It had been several months since my dad’s injury. A motorist, enraged by traffic delays, rammed his way through construction barriers and drove his two-ton, luxury automobile into my dad, pushing him for dozens of yards across the highway until my dad was finally able to wrestle himself away from the still-moving car. The maniac screamed at the other construction workers that he would kill them if they did not get out of his way, and then he sped off through the construction zone, scattering equipment and workers alike.
My dad’s legs were seriously injured. His doctor informed him that to continue working would only cause his legs more harm, and even if he quit his job immediately, he might still end up in a wheelchair. So my dad retired, several years earlier than he had planned. But he refused to accept the dire prognosis of life in a wheelchair, and thus he began a program of daily walking to strengthen his legs. To vary the routine, my dad decided to add bicycle riding to his self-imposed exercise regimen. He hoped the combination of walking and biking would help in the rehabilitation of his legs. But, at that time, my dad did not own a bicycle, so he asked me to take him to a bike shop to buy one.
While I don’t remember ever seeing my dad ride a bicycle while I was a child, I know he had a bike when he was a boy growing up back in the 1940’s because of the stories he told. My brothers and I usually heard these stories while we stood and watched as my dad fixed yet another flat bicycle tire for us. When the inner tubes of one of his childhood bikes were holed beyond repair, my dad told us, he made do with large diameter ropes placed in the tires, as there was no money to buy new tubes. When I was older, I learned that keeping his bike in running order, in any manner possible, was a necessity. My dad lived on a southern Ohio farm so far “back in the sticks” that the mailbox was two miles away. Before he had a bike, or if it was not operable, he had to run the four-mile round trip to the mailbox and back. His father, my grandfather, was an alcoholic who imposed a time...
limit on my dad’s mail retrieval that did not allow for a walking pace. If not back in time with the mail, my dad would be whipped—he had no choice but to run. My dad needed his bicycle; it was not just a toy to be played with.
I have no recollection of my grandfather excepting a snippet of memory of his funeral when I was of early single-digit age. I remember those saddened by the loss of a man who my dad described as a decent, hard-working person when he was sober. I also remember those feeling a sense of relief for the loss of a man who, when drunk, not only beat his wife and children, but even shot at them with a rifle as they hid behind any cover they could find—my dad still recalls the sound of the bullets as they whizzed over his head as he hunkered down behind a stack of firewood. This abuse went on until my dad finally grew big enough and angry enough and bold enough to stand up to my grandfather. My dad stood with a baseball bat, face to face with his enraged, drunken father, protecting his mother from yet another beating, telling his father that he would never, ever, beat his mother, his sisters, or him again. And, after that, he never did.
As my dad used to fix his own bike when he was a child, he also repaired used bikes for my brother and myself. However, when I was eleven-years-old, my used-bike days came to an end when both my older brother and I received new Schwinn Varsity 10-speeds. Although my brother’s new bike was for his birthday, I received mine at the same time for no special reason. My brother never did see the justice in that situation as I had received the same gift for his birthday as he had received. I kept my mouth shut hoping no one figured out what was going on, feeling that I was the beneficiary of some sort of scam that no one had yet seemed to notice. And apparently no one, other than my brother, ever did.
I clearly remember our trip to the bicycle shop—it was extraordinary. Posters of bicycle races in foreign lands hung in the floor-to-ceiling front windows of the shop. Grown men wearing short pants and sporting smooth legs walked about. Bikes of all sizes and colors sat in the windows, crowded the floor, and hung on the walls. Shiny parts with exorbitant prices glistened behind glass counter tops.
As my brother and I followed our dad through the shop, bike mechanics wearing greasy aprons and striped caps with turned-up brims glanced out at us from the back room—we could not meet their eyes.
I received a metallic green, ten-speed Schwinn Varsity; my brother, a bright yellow one. Those two bicycles were the most beautiful things I had ever seen—a glorious combination of painted steel and chrome; dropped, curvy handlebars of the type seen only on true racing bikes; a bewildering system of levers, cables, and sprockets that, when properly mastered, would allow the rider to climb the steepest uphill slope and to streak across level ground at tremendous speeds. Chrome wheels, chrome chain ring guard, chrome handlebars sporting vinyl bar tape that matched the color of the frame. Skinny gumwall tires. White script on the frame shouting out “Schwinn.” These weren’t just mere bikes we were receiving; these were bicycles—Schwinn bicycles—Schwinn, ten-speed bicycles—the types of bicycles ridden only by athletes and the wealthy. We could not imagine that it could possibly be any better. And as if the exquisite bicycles alone weren’t enough, my dad then decided to spend extra money for chrome fenders.
With the gleaming fenders installed, the bicycles were even more beautiful than they had been before. It was sheer extravagance. My brother and I just stood there grinning, looking stupid, unable to speak. We were very nearly jealous of ourselves.
My dad was standing there grinning also—his eyes sparkling—seemingly as thrilled as we were with those new bikes, excepting he didn’t look so stupid. It’s interesting to me now to remember it was my mother who usually did the actual purchasing of gifts for my brothers and me—except for bicycles; my dad was always the one who purchased the bicycles.
The mechanics pushing our new bicycles away though the front door broke my brother and I out of our standing-around-looking-stupid mode. We followed the mechanics outside—we still looked stupid, but at least we were moving. After squeezing the brake levers a few times, the mechanics instructed us on the workings of the controls. We didn’t have a clue as to what the mechanics were talking about, as we had never ridden anything other than single speed bikes with coaster brakes before, but we nodded our heads yes every time they asked us if we understood. It was if the mechanics were speaking to us from far away, and we were in dream. Then, interrupting the dream, I heard my dad say, “See you when you get home,” and then my dad, my mom, and my little brother drove away.
After many false shifts, as we repeatedly tired to change gears whilst not pedaling, and several pushes back on the pedals that produced no braking at all, my brother and I were finally able to bring the new-fangled shifting and brakTHE C’MUTE FROM PĀKĒ
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ing systems under control. It was then we remembered vaguely that these things must have been what the mechanics were trying to teach us in their far away voices. Upon returning home, my brother and I parked our new bikes on the back porch and sat there looking at them, impressed with ourselves for mastering the complicated control systems so quickly and thoroughly.
My brother and I rode those bicycles together for hours and hours at a time. We toured our home city. We found trails to ride. We built ramps to jump. We crashed into trees. We delivered newspapers. We chased down the jingle scoop, ice-cream man when we heard his music playing on nearby streets. And living in a mountainous area of Pennsylvania at the time, we would work hours climbing mountain slopes so as to experience the joy of only minutes of high speed coasting down—tears running from our eyes to our ears from the effects of wind screaming back across our faces—at speeds of which we had not the skill level to contend with. But having no more common sense than pre-teens typically have, we were not afraid—or at least we didn’t admit to being afraid, which to boys of our age meant the same thing. Those bicycles gave us a bigger world to live in.
But those are memories of many years ago, and now the situation was reversed and it was I who was taking my dad to get a new bicycle.
Immediately upon entering the bicycle shop, my dad quickly morphed into a kid in a candy store, peppering the owner with questions concerning every bike in the shop and probably even some that weren’t. I think he had totally forgotten he was looking for a tool to rehabilitate his legs—really, I believe, he was looking for a toy to play with.
My dad decided on a hybrid-type bike for himself that day at the bicycle shop, and after dickering with the owner to lower the price, my dad also stuck him for a free cycle computer. My dad has always viewed “sticker” prices as merely a recommendation—a maximum price only those lacking bargaining powers have to pay. The minimum price, he believed, was up to the customer to find—and my dad usually did.
My dad and I rolled his new bicycle out of the shop, put it in my truck, and headed home. My dad was excited. This was the first new bicycle he had ever owned in his sixty-plus years of life. It was a pretty, metallic blue bike with curvy aluminum frame tubes, wide pullback handlebars and a springy seat.
For years, my dad rode that bike everyday. And everyday he walked. And everyday his legs become stronger and hurt less. And finally, after many years, he discovered his legs had become good as new. And finally, after seventy years of life, he owns a bike that can be just a toy. No longer does his bike have to serve as a tool for escaping the anger of an abusive father, and no longer does the bike have to double as a tool of rehabilitation because of fear of a wheelchair. For the first time in his life, he can ride a bike just for the sheer pleasure of riding.
As my dad’s legs grew stronger, my own son grew taller. When his tenth birthday approached, I thought again of the green Schwinn bicycle my dad had bought me, and I decided my son needed a new bicycle.
I took my son to the same bicycle shop where I had taken my dad for his bike. Upon entering this unfamiliar territory, my normally talkative son suddenly became quieter, speaking only in hushed tones. Passing by other customers who walked about the shop looking at the bikes hanging from the walls and bike parts displayed beneath glass countertops, my son and I made our way toward the back of the shop where bikes in his size were kept. High school age boys assembling bicycles in the back room looked up at us as we passed by.
After sorting through many bikes, I told my son to pick his favorite from amongst those in his size and my price range. It was a pretty mountain bike he selected—aluminum framed, two-tone black and silver, the two colors separated with thin red and white stripes. The black theme continued throughout the bike—black wheels and spokes, black handlebar, black crank arms, black triple chainring and black 7-speed cassette. It was my son’s first multi-speed bicycle.
The owner of the shop explained the controls with my son, adjusted the seat and then disappeared with the bike into the back room to air up the tires, check all the nuts and bolts and make sure all controls were working properly. He soon returned with the bike; my son pushed it out to my truck, and I loaded it into the back.
As we drove home, my son, grinning a crooked grin and suddenly very talkative again, looked over at me and said, “I feel like I’m in a dream.”
Upon arriving home, I took the bike out of the back of the truck. I showed my son once more how to brake and how to shift. I had him put the bike in its lowest gear and aimed him up the hill beside our home.
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“Wow, this is easy,” he said as he shot up the hill, in a voice made squeaky by excitement. Now, he too could climb the steepest uphill slope and streak across level ground at tremendous speeds. I had plans for all the places my son and I was going to ride—distant cities, trails in the woods, hills to coast down at high speeds.
I allowed him to ride around for a few minutes, then I made him surrender the bicycle; and I put it in the garage. It was still several days until my son’s birthday, so I told him he must wipe the memory of the new bicycle from his mind so he would be surprised when he received it as a gift for his birthday. He looked at me quizzically, the way children look at their parents when they say things that make no sense, but he quickly agreed, apparently thinking he was the beneficiary of some sort of scam—but one that no one had seemed to notice and hopefully would not until it was too late. He continued to grin. I grinned too, both on the inside and on the out. I sent him into the house, and I covered his bicycle with a blanket.
As I walked toward the door and reached to turn off the garage lights, I noticed my own road bike, which hung on a wall by the door on a bike hanger. It is a lightweight aluminum bike with a carbon fiber fork. It’s a very pretty bike—clear-coated, brushed aluminum finish, black forks, and black, aero-spoked wheels. It is a good bike that does everything well, but it has no character, no sense of permanence that it is something I need to keep, no emotional attachment. It is but a useful machine, nothing more.
I then turned my head and looked over to where my old, green, ten-speed Schwinn still resides in the garage. There in the shadows behind a lawnmower, a wheelbarrow, a stack of tires, and various other automobile parts sat the bicycle my dad gave me many years ago. I made my way through the obstacles back to the Schwinn, picked it up and brought it out. I took the silver and black, aluminum and carbon fiber wonder bike down from the bike hanger and leaned it against the wall. I put the old, green Schwinn up on the hanger. I sat down and thought about that old bike.
I realized that because it is one of the few items I have remaining from my childhood, the green Schwinn is not just merely a bicycle to me anymore, but it is has become a symbol of a relationship between my dad and myself. It is a symbol of all the sacrifices my dad made as a father so I could enjoy things he never had himself as a child. Even more, it is a symbol of how a man can rise up from a childhood of poverty and abuse and choose to make a life for his own family far better than was his own.
I remembered how beautiful I thought the Schwinn was when, through a child’s eyes, I stared and marveled at the shiny metallic green paint and sparkling chrome. But that was more than thirty-five years ago. Now that same paint is dulled by the patina of age, and the chrome is pitted with rust. Spider webs span the spaces between the spokes of the wheels. The seat is worn. The tires are cracked and flattened. The former bright, white lettering is yellowed. A thick layer of dust hazes the entire bike.
To an unknowing eye, the old green Schwinn would most likely be seen as nothing more than just an old junk bike hanging on the wall. But those unappreciative eyes do not see as do mine, and they do not know what the green Schwinn used to be and what is has become today. When I was a child the bike was a toy to play with; now it is a symbol of just one of the ways in which my dad taught me how to be a father. When I was a child, the beauty was in the shine of the paint and the sparkle of the chrome. But today, what I more vividly recall is the shine of my dad’s smile and the sparkle in his eyes when he gave me the bicycle. And now, I realize, one of the reasons I bought my son a new bike was because it was something my dad would have done for me. And I also realize that now more than ever—but for reasons differing today from what they were then—the old, green Schwinn is still the most beautiful bicycle I have ever seen.
About the Author
Terry is a 47 year old husband and father to three kids, the youngest of which is four. A mechanical engineer, machinist and weld shop supervisor by trade, he has a bunch of patents that other people use to make a lot of money with.
“I started out as a machinist and a TIG welder, and I am more proud of that,” Terry says, “Because anyone can get a college degree and be an engineer, whilst it takes skill to be a good machinist or welder.”
He also teaches various engineering subjects part-time at local college, high school and continuing education programs. He owns too many bicycles, but still wants more.
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Out of the Woods And Back Into Town
Legendary bike builder Joe Breeze talks about riding for transportation, history, his youth and the incredible opportunity for bikes in America.
By David Hoffman
Much has been written about Joe Breeze. He’s probably best known for his pioneering work in the 1970’s on mountain bikes, though there is much more to his past, present, and future than most people know or makes into print. Joe’s list of accomplishments runs long, and includes entry into the Mountain Bike Hall of Fame, a long and storied frame building and mountain bike building history, accomplished road racer, and owner of Breezer Bikes, a company focused solely on producing bicycles geared for everyday transportation. But to think of Joe as an über-geek of bicycling is to view him too narrowly. Joe is all about changing the world, and he is incredibly frank and soft-spoken about it. No ego. Just naked ambition to take something as simple and beautiful as the bicycle, and use it to transform the way that Americans approach transportation. Actually, the way Joe sees it, re-transform the way that Americans approach transportation.
No story about Joe Breeze would be complete if it didn’t contain at least some references to his unbreakable connection to the mountain bike. Joe sees his work with mountain bikes as a stepping stone – a natural progression if you will—towards the type of bicycles that people want to use for everyday transportation.
A Youth with a Penchant for Speed
Joe’s father regularly rode his bike to work in the 1950’s. This was a bit of an oddity for most adults of the time unless you were a professor who lived on campus. But perhaps what makes this fact even stranger is that Joe’s father built and raced cars for a living.
“From a very young age, I was used to getting everywhere I needed to go by bicycle,” said Breeze. “It was just how we did things in our family. In fact, the two youngest of us – my brother and myself – weren’t allowed to get our driver’s licenses until we were eighteen. My father knew his genetic make-up, and the genetic make-up of his kids. He knew we all had a penchant for speed, and was concerned about us staying alive. I was actually 26 when I got my license, and only because a bunch of buddies wanted to ride at Crested Butte (Colorado). Somebody had to drive, so it turned out to be me.
That penchant for speed helped to drive Joe towards road racing. In the 1970’s Joe was an outstanding Cat 1 racer. So how does one go from road racing to becoming one of the founding fathers of the mountain bike, to everyday transportation advocate?
“Before I was known for mountain biking and making mountain bikes, I was interested in bikes as day-to-day transportation. Like most kids, I used to use a bike to get around, but unlike most kids, I continued to use a bike for transportation. I took a trip to Europe in 1971 with a bunch of friends and visited England, France, Italy, Switzerland, Germany and Holland. While I was there I noticed how bikes were being used to get around – especially when I got to Holland. I thought, ‘we need to do more of this here in America’. I was getting in to road racing, starting in 1970, and I saw how racing could open people’s eyes to bicycles as more than just a sidewalk toy.”
“I was thinking racing is a great way to get out the secret of cycling because you can have a race and maybe get a squib in the local newspaper that says, “bicycles raced from here to here in this amount of time”, and people will think, “My gosh, bicycles went that far and that fast! I know that distance! Wow, they did it under their own power. That’s amazing!”
Enter the Mountain Bike
“The bike boom in the early 1970’s was pretty big. A lot of people point to the gas shortage, but that wasn’t it. It really hit in 1972 in the Bay Area—perhaps the next year on the East Coast. I remember that there was a dock strike here in San Francisco, and soon the local bike shops were all out of bikes. Unfortunately, the bike of the day was a faux racing bike—you know, from Europe—a drop-handle bar 10-speed, skinny tire, racing bike—which wasn’t the best bike to put under most people. So people bought bikes, rode them around for a while, eventually saying, “Oh my back hurts, oh my butt hurts…” and hung them up in the garage. So by 1975 it was over. Then the gas shortage hit and those bikes were taken out again, but it was more like an echo of the first boom. In addition to the bike boom of the 70’s, a bunch of us we were beginning to do this fat tire thing. I first got involved in 1973, and it was still flying under the radar at the time.”
“One day my friend Marc Vendetti and I were down in Santa Cruz and we couldn’t find any old bikes. [Finding and restoring vintage bikes was a hobby of Joe’s.] We had seen a number of 1930’s and 1940’s bikes but nothing that caught my eye. Mark encouraged me offer $5 for one of these bikes at a local shop. It was an old relic, a 1941 B.F. Goodrich cruiser—an old paperboy bike essentially. So I took it back to Marc’s place, put some air in the tires, oiled the chain, and took it for a ride down the street. As I was riding I saw Mount Tam in the distance, and I thought, ‘I’m used to riding from here to the Russian River (Sonoma County); we could double our territory by riding around Mount Tam.’ So I took it home, stripped it down, took it for a spin down Mount Tam, and got a little side tracked from the whole transportation thing.”
“Mountain Bikes became the dominant bikes in America. Sales tripled every year from 1980 onwards in to the 1990’s—to the point by 1987 in America, road bike sales were eclipsed by mountain bike sales. It was huge. Mountain bikes actually helped to get more people on bicycles in America than the 1890s (the previous height of bicycle usage in America). Here was a bike that was upright, with a comfortable saddle; it lent itself much better to getting around than a road racing, or racing-style bike.
Out of the Woods and Back into Town
Joe began building road racing frames in 1974. In 1977, he built his first ten Breezer mountain bikes. Joe has a very well equipped shop in his house, and he’s fanatical in his attention to precision and detail.
“So I took the next step,” continues Breeze. “In 1995 Shimano came out with their Nexus 7 internal hub. This hub had a wider range and closer ratio than their old three-speed internal hub. I tried it, and I really liked it. I was just really floored by the performance. As a Cat 1 racer from the 1970’s, I really wanted performance in whatever bike I rode.”
“In 1996, I came out with the ‘Ignaz X’. This was my first foray into transportation bikes. ‘Ignaz’ came from ‘Ignaz Schwinn’, the founder of Schwinn, and the ‘X’ was from ‘Excelsior’, which was one of the better Schwinn balloon-tired bikes of the day. I put on the Shimano hub, and a few other concessions to modern-day life. It had a chain guard. You could use it to get around town and in your busy life. I actually wanted to build a line of bikes around that hub—it was that good.”
“It was my metaphor for ‘out of the woods, and back into town’”.
“Also about this time the whole cruiser bike thing was starting to happen; the Ignaz X was a sort of a poser bike. What I saw as the real deal was the European town bike—but that was too laid back with not enough performance. In 1997 I got a couple of Specialized Globes— they were just winding down production—they couldn’t sell them. I was generally getting around on a road racing bike, or a mountain bike—with a backpack and separate lights, and fenders—and it wasn’t until I had all of that stuff on the bike that it hit me how silly it was to grab all of these different things. It really hit me—having a bike that was fully equipped was the solution. It was liberating to not have to ride with a backpack—there was no sweaty back, etc. When you have a fully equipped bike engineered for the job, it’s so easy!”
JOE BREEZE ON THE HEYDAY OF THE BICYCLE
“In Washington, DC there were two patent offices—one for bicycle patents, the other for everything else. In Manhattan in a one-mile radius, there were 80 bicycle shops.”
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A Fresh Breeze
“In 2001 I started really moving the direction of commuter bikes. The first model year was 2003. We showed up at Interbike in the fall of 2002. Prior to the show, we sent mass emails out to the bike coalitions—‘The new Breezer—a bike fully focused on transportation,’ and so on. When the doors opened on the first day we had groups of folks that came right to the booth, but for the most part, people would come by scratching their heads wondering, ‘Breeze, have you lost it?’ People didn’t really understand it. This reminds me a lot of what people said when the mountain bike hit the scene. They just couldn’t see it—for many years. Every year since then, I see more and more people getting it.”
“There were a couple of other manufacturers at the 2002 Interbike that were selling similar bikes, but they have all but disappeared. In 2003, Trek and Specialized had pulled their European town bikes over from Europe to exhibit. Industry seems to really getting it these days—not just splitting up the pie differently, but growing the pie by reaching out to new riders—and that’s always a good thing.”
“One of the beautiful things about mountain bikes was that it got a whole lot of new people on to bikes. This is the same as the transportation movement. I think it will dwarf the mountain bike.”
This is an important comparison to America.
“There are things that you can do to get around this problem of safe and convenient infrastructure. One thing is side streets, but another is safe riding habits. I think a whole lot of people try it out, and perhaps get injured, or have a bad experience, or a close call with an automobile. I think one of the biggest needs in cycling today is bicycle riding education, and how that can benefit them. You don’t hear a lot about this in bicycle publications. But I think it is prudent and responsible for cycling publications to be proponents of safe cycling—because transportation riding is the largest area of growth right now.”
“A life of getting around by bicycle or where you use a bicycle will be a longer life compared to one where you don’t use a bicycle. That is, the health benefits that you get from riding a bicycle outweigh the risks that you face riding on the roadway. Cycling can give you both a statistically longer life, but also one with better quality.”
“Cars are dangerous. Cars are very dangerous. Cars are very dangerous to society. It used to be that if you drove a car, you had to have someone in front of you with a red flag, and you couldn’t go over five miles per hour! Times have really changed of course. Cars have been made safer for the occupants, but for those around cars, it is not as safe. It’s a real problem. I liken driving a car to gambling. You always hear about the big stories; somebody dies, and you hear the news. You don’t hear about all of the little losers who lose their health little by little driving around every day.”
As the day wrapped up, Joe left with these thoughts, “From 1971 to 1991, the Federal government allocated $40 million dollars total to bicycle and pedestrian improvements for those twenty years. Then things started to change when Oberstar (James Oberstar, D-MN) was ranking Democrat on the House Transportation Committee. Through his work, bicyclist and pedestrian projects received one billion dollars over next six years. All of a sudden there was a huge jump in money available where there was none before, and good infrastructure was being built. When the bill came up six year later in 1997, it passed with two billion dollars for bicyclists and pedestrian projects over six years, and then again in May of 2005 it had four billion dollars for biking and walking. And this money is still far less than it should be. The 1991 bill also required that each state have a bicycle and pedestrian coordinator in place. Finally, this huge influx of money for bicycle and pedestrian projects helped to get a lot of bicycle coalitions got started; it really jumpstarted the grassroots movement. As time goes on, it will become more and more apparent to the public. There will be safe and more convenient ways to get around as time goes on. And I’ve got the right tools for the job.”
JOE BREEZE ON THE NAME URBAN VELO
“It’s perfect—it’s even got love in it.”
How to Change the World According to Joe
Our conversation turns from his work in the bike industry to the future of bicycling in the United States.
“I have this notion that the number of people who are riding their bikes today in the United States represents only ten percent of the potential. Everyday use of bicycling is in the category of eating and breathing; we need to get places everyday in life just as we need to eat and breathe. And we need health, whether or not we subscribe to it. It is integral to a great life. That’s where we all need to get to work or the store—and with the extraordinary mechanical efficiencies of bicycling, we’re able to do it. And while that may not seem like a novel idea to many people in the world, it still is to many people here in America. There are affluent countries where people can afford to own cars, but still use bicycles for 30% of their trips—as in Holland and Denmark.”
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Of all the bearings on a bicycle, the headset is likely the least appreciated yet arguably has the most effect on actual ride quality. The headset refers to the bearing assembly that permits the fork to rotate within the frame, and is a fairly simple apparatus albeit one with a few variations to consider. Don’t get me wrong, hub and bottom bracket bearings very much influence the ride, but few things can drive a rider as batty as a loose headset. Pull up a chair and adjust your headset.
**ANATOMY**
No matter the specific variety, headsets share a common design principle of two bearings and the surfaces that they rotate upon. From the fork on up, there is the crown race, the bearing surface that is pressed on the fork, just atop the crown. The lower bearing is sandwiched between this and the lower head race with the upper head race, another bearing, and the adjustable race at the top of the headtube. This adjustable race is referred to as such because in one form or another it floats atop the top bearing and dictates the load placed on the bearing and how tight/loose the headset is. The bearings themselves may be either loose balls or sealed cartridges which have become more common in recent years.
The difference in exactly how the adjustable race adjusts and is secured is the difference between traditional threaded headsets and relatively newer threadless headsets that came about in the late nineties and have become the dominant design on bicycles since. It is easy to differentiate the two—threaded headsets have an adjustable cup with wrench flats along with a locknut of roughly the same size, while a threadless headset does not have any wrench surface on the adjustable cup. The former system uses a threaded steerer tube and requires a quill style stem. One can thus infer that a threadless system fits onto a smooth, unthreaded steerer.
Either variety is available in a few different sizes, with the overwhelming majority of bikes having either a 1” threaded or 1 1/8” threadless headset (measurement refers to outside diameter of steerer tube), with newer bikes tending towards the latter. Other sizes are out there, but as time goes on becoming harder to source parts for.
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Threadless headsets make good engineering sense. As compared to their threaded counterparts they are stronger and lighter, not to mention easier to manufacture. A threadless system allows the steerer tube to pass completely through the stem and eliminates the locknut, as the stem clamp is what ultimately holds the system together. Threaded headsets adjust independently of the stem via the threaded adjustable race and locknut and require a quill stem that inserts into the steerer, expanding to hold in place. The one advantage of a threaded system is the ease of handlebar height adjustment, which doesn’t require any swapping of spacers or readjusting the headset as in a threadless system. In most cases the upper and lower head races are press fit into the frame using tools made for just that purpose, but in recent years certain threadless systems have come about with the races integrated into the headtube.
**Diagnosis and Adjustments**
Headsets are either too loose, too tight or just right with little room for error in between. Too tight is easy to diagnose—any resistance to turning is too much, it should be silky smooth side to side. Loose headsets are just as easy to diagnose either through knocking while riding or this simple test—grab the lower head race with one hand and the stem with the other and rock the bike fore and aft. Any movement is evident of a loose headset.
In a threaded system, rotate the adjustable cup up and down a quarter turn at a time to adjust the bearing load and keep it in place by tightening the lock nut against it once in adjustment. A threadless system requires you to loosen the stem clamp and adjust the bolt directly on top of the steerer tube which controls the bearing load before tightening the stem clamp once again to lock it in place.
Is the headset loose in some places and tight in others? This could mean one of a few possibilities. The steerer tube may be slightly bent from a front end impact, the frame headtube is warped or the races are installed incorrectly. In the event of the races being the culprit, it may be that they have been pressed into the frame unevenly and/or that the headtube needs faced to ensure the upper and lower surfaces of the headtube are free from paint and absolutely parallel to each other. Each of these possibilities likely requires a trip to the local bike shop for absolute diagnosis and the appropriate medicine to fix the problem.
In headsets with loose balls it is fairly common for a neglected headset to feel indexed as each ball lines up with an indentation formed in the lower head race from lubricant breakdown. While this is usually the beginning of the end of a headset, one can sometimes stretch the service life simply by knocking the lower head race from the frame, rotating it 90° and pressing it back into the frame. This effectively moves the indexed part of the steering to 90° from center, a place that one never encounters while riding, leaving you with a new-ish feeling headset for a while at least.
**Preventative Maintenance**
The best preventative maintenance for a headset is to keep it in adjustment and well greased. Riding around with a loose headset for any period of time is just asking to replace it as few things other than a crash can wreck the bearing surfaces sooner. Keeping it lubricated is easier said than done as the front wheel tends to spray a perfect storm of water and grit directly into the lower bearing. Using a high quality, marine grade grease is your best bet to keep water at bay. Clean and replace the grease as necessary depending on your riding climate—more often in wet climates than dry.
**Conclusion**
There is much more to be said about the finer points of headsets than covered here. This primer is meant as just that, enough information to be dangerous but hardly a total guide to everything headset related. For further resources see the extensive entries on the subject at the late Sheldon Brown’s website: www.sheldonbrown.com.
Photo by Brad Quartuccio
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Skid patch numbers are a concern unique to fixed gear bikes, where the horizontal position of the pedals lines up with a fixed number of tire/ground contact patches. The fun of leaving a skid mark comes with a price, namely increased tire wear. Logically, it makes sense to spread the skid wear across the surface of the entire tire for maximum tread lifespan. This is where skid patches come in.
The number of skid patches is determined by the given gear ratio and is easy to calculate. Assuming you skid with the same foot forward each time, it is the denominator of the reduced fraction of the gear ratio, starting with the number of chainring teeth as the numerator. In other words, a 48x18 ratio would be $48/18$, reduced to $\frac{8}{3}$, yielding 3 skid patches. 48x17 doesn’t reduce further, and has 17 skid spots. The rare rider who skids equally often with either foot forward can double their skid patches with ratios that reduce to fractions with odd numbers in both slots.
Practically speaking, once the number of skid patches enters the double digits you’re in the clear as far as tire wear is concerned. The single digit combinations shown in the chart below are the ones to avoid. It is a foul sentence handed down by the bicycle powers that be that a vast number of complete fixed gear bicycles come equipped with a 48x16 or 48x18 gear ratio, sending many tires to an early grave. Choose wisely, or forever rotate your tires.
| Chainring | 44 | 46 | 48 | 49 |
|-----------|----|----|----|----|
| 15 | 15 | 1.5| 5 | 15 |
| 16 | 4 | 8 | 1 | 16 |
| 17 | 17 | 17 | 17 | 17 |
| 18 | 9 | 9 | 3 | 18 |
| 19 | 19 | 19 | 19 | 19 |
| 20 | 5 | 10 | 5 | 20 |
Photo by Brad Quartuccio
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Topology Proceedings
Web: http://topology.auburn.edu/tp/
Mail: Topology Proceedings
Department of Mathematics & Statistics
Auburn University, Alabama 36849, USA
E-mail: email@example.com
ISSN: 0146-4124
COPYRIGHT © by Topology Proceedings. All rights reserved.
NON-CLASSICALITY AND QUANDLE DIFFERENCE INVARIANTS
NATASHA HARRELL AND SAM NELSON
ABSTRACT. Non-classical virtual knots may have upper and lower quandles which are not isomorphic. We exploit this property to define quandle difference invariants, which can detect non-classicality by comparing the numbers of homomorphisms into a finite quandle from a virtual knot’s upper and lower quandles. The invariants for small-order finite quandles detect non-classicality in several interesting virtual knots. We compute the difference invariant with the six smallest connected quandles for all non-evenly intersticed Gauss codes with four crossings. For non-evenly intersticed Gauss codes with four crossings, the difference invariants detect non-classicality in 86% of codes which have non-trivial upper or lower counting invariant values.
1. INTRODUCTION
Virtual knots are equivalence classes of Gauss codes under the equivalence relation determined by Reidemeister moves. A Gauss code is realizable if it determines a planar knot diagram; virtual knots which include realizable Gauss codes are classical and those which do not are non-classical. See [12] and [2] for more.
Detecting the non-classicality of a virtual knot is not always simple since each classical knot type includes some Gauss codes which cannot be realized without virtual crossings. Various methods have been proposed for detecting non-classicality of Gauss codes; see [13] and [5].
2000 Mathematics Subject Classification. 57M27.
Key words and phrases. finite quandles, non-classicality, virtual knots.
In this paper, we define *quandle difference invariants* which can detect non-classicality of certain virtual knots. We show that quandle difference invariants detect non-classicality in some interesting examples of virtual knots, including one virtual knot whose non-classicality is not detected by the (upper) knot quandle or by the 1- or 2-strand bracket polynomials, though its non-classicality is detected with the 3-strand bracket polynomial in [5]. We describe an algorithm and provide an implementation in Maple for computing these invariants from a Gauss code and a finite quandle matrix.
In order to test the effectiveness of quandle difference invariants at detecting non-classicality, we generated a list of all Gauss codes with three and four crossings, eliminating codes which are obviously classical or trivial. From this list, we then computed the quandle difference invariant for each such code; the results are collected in Table 4.
The paper is organized as follows. Section 2 gives a brief review of virtual knots, section 3 introduces the quandle difference invariants and 2-component invariants, and section 4 contains computational results. The Maple code used to obtain these results is available at www.esotericka.org/quandles; bugfixes and improvements will be made as necessary.
2. VIRTUAL KNOTS AND NON-CLASSICALITY
We begin with a definition from [12].
**Definition 1.** Let $K$ be an oriented knot diagram with crossings labeled with names and signs. A *Gauss code* is a sequence of crossing labels with over/under and sign information recorded in the order encountered while following the orientation of the knot; it is defined up to cyclic permutation. A *Gauss diagram* is obtained from a Gauss code by writing the code counterclockwise around a circle and joining the two instances of each crossing with an arrow oriented “in the direction of gravity,” that is, toward the under-crossing label, and noting the sign for each such arrow.
A Gauss code or diagram determines a knot diagram in a neighborhood of each crossing and specifies which strands are to be connected; thus, a knot diagram can be reconstructed from its Gauss code. We can then consider doing knot theory combinatorially by defining a *knot* to be an equivalence class of Gauss codes under the
equivalence relation determined by the Reidemeister moves. However, there is no guarantee that a given Gauss code determines a planar knot diagram; we may be forced to introduce additional crossings not mentioned in the code in order to draw the diagram in the plane. These virtual crossings are drawn as circled self-intersections, and since they’re not really there, we’re permitted to arbitrarily redraw any section of an arc with only virtual crossings on its interior provided we put only virtual crossings in the interior.
**Definition 2.** A virtual knot is an equivalence class of Gauss codes under the equivalence relation generated by the Reidemeister moves.
**Example 1.** The Gauss code
\[ UA + OB - UC + OD + OA + UB - UD + OC + \]
corresponds to the pictured virtual knot diagram and Gauss diagram.
Virtual crossings may be avoided by drawing our non-planar knot diagrams on a surface with genus; we may then regard the Gauss code as describing a knot in a thickened surface \( \Sigma \times [0, 1] \). The equivalence relation defining virtual knots then translates into isotopy of the knot in \( \Sigma \times [0, 1] \) modulo stabilization and destabilization moves [2], [14].
Classical knot theory forms a subset of virtual knot theory, since every classical knot may be considered a virtual knot without virtual crossings, and, crucially, virtually isotopic classical knots are classically isotopic [8], [14], [17]. Many invariants of classical knots extend to virtual knots by simply ignoring virtual crossings; these include the knot group, the knot quandle and biquandle, the various skein polynomials, and finite type invariants.
Given a Gauss code, one asks whether the Gauss code corresponds to a classical knot. If reconstruction yields a planar knot
diagram, then the answer is clearly yes; however, every classical knot has representative Gauss codes which determine non-planar, i.e., virtual, diagrams [17]. Thus, if a Gauss code is not obviously classical, the code may well represent either a classical or a non-classical virtual knot.
3. Quandle difference invariants
In this section, we discuss a method for detecting non-classicality of virtual knots using quandle difference invariants.
**Definition 3.** A *quandle* is a set $Q$ with an operation $\triangleright : Q \times Q \to Q$ satisfying
(i) for all $a \in Q$, $a \triangleright a = a$,
(ii) for every $a, b \in Q$ there is a unique $c \in Q$ such that $a = c \triangleright b$, and
(iii) for all $a, b, c \in Q$, $(a \triangleright b) \triangleright c = (a \triangleright c) \triangleright (b \triangleright c)$.
The term *quandle* is due to David Joyce; in [11], a quandle is associated to each knot diagram by a Wirtinger-type presentation. By construction, this knot quandle is an invariant of Reidemeister moves and hence virtual isotopy. While it is difficult to directly compare quandles given by presentations, we can exploit the fact that knot quandles are finitely presented to obtain a computable invariant of quandle isomorphism type by counting homomorphisms onto a finite quandle. This quandle counting invariant is studied in various papers and has been jazzed up with quandle 2-cocycles from various quandle homology theories [1], [6], [4].
In [8], it is observed that virtual knots have two knot groups, the *upper group* obtained by the usual Wirtinger presentation and the *lower group* obtained by first flipping the virtual knot over, i.e., looking at the knot diagram from the other side of its supporting surface and then using the usual Wirtinger presentation. For classical knots, flipping over is an ambient isotopy, so for classical knots, the upper and lower groups are isomorphic. However, flipping over virtual knots involves doing forbidden moves which potentially change the virtual knot type (see [16]), so in general a virtual knot can have non-isomorphic upper and lower groups. Exactly the same observation applies to quandles [12].
Theorem 1. Let $K$ be a virtual knot diagram and let $\text{Flip}(K)$ be the virtual knot diagram obtained from $K$ by viewing $K$ from a base point on the other side of the supporting surface. Then $\text{Flip}(K)$ is an invariant of virtual isotopy.
Proof: Reidemeister and virtual Reidemeister moves on the flipped knot are simply Reidemeister and virtual Reidemeister moves on the original knot. □
Corollary 2. Let $\Phi$ be any virtual knot invariant. Then
$$\Phi_2(K) = (\Phi(K), \Phi(\text{Flip}(K)))$$
is an invariant of virtual isotopy.
The two-component version of a virtual knot invariant does not reveal any additional information about $K$ when $K$ is classical, but it can be very helpful in distinguishing non-classical virtual knots. Obvious examples of 2-component invariants include the 2-component counting invariants from the knot group, quandle and biquandle; 2-component 2-cocycle invariants [1]; the 2-component Jones polynomial, etc.
Corollary 2 suggests the following.
Definition 4. Let $T$ be a finite quandle and $K$ a virtual knot. Let $U$ denote the upper quandle of $K$ and $L$ the lower quandle of $K$. The two-component counting invariant is the ordered pair
$$Q2_T(K) = (|\text{Hom}(U, T)|, |\text{Hom}(L, T)|).$$
The quandle difference invariant $QD_T(K)$ of $K$ associated to $T$ is the difference between the number of homomorphisms from $U$ to $T$ and the number of homomorphisms from $L$ to $T$. That is,
$$QD_T(K) = |\text{Hom}(U, T)| - |\text{Hom}(L, T)|.$$
The fact that classical knots have isomorphic upper and lower quandles implies the following.
Theorem 3. If a virtual knot $K$ is classical, then $QD_T(K) = 0$ for every finite quandle $T$.
Corollary 4. If $QD_T(K) \neq 0$ for any finite quandle $T$, then $K$ is not classical. In particular, if $QD_T(K) \neq 0$ for any finite quandle $T$, then $K$ is not the unknot.
Moreover, since the individual components of $QD_T$ are invariants of virtual isotopy, $QD_T$ is itself an invariant of virtual knots; $QD_T(K) \neq QD_T(K')$ implies $K$ is not virtually isotopic to $K'$. In the present work, however, we focus on using the quandle difference invariant to detect non-classicality of virtual knots. We know already that the quandle difference invariant does not always detect non-classicality.
**Example 2.** The knot on the left is Kauffman’s virtual trefoil. It is known to be non-trivial and non-classical [12]. However, its upper and lower quandles are both isomorphic to the free quandle on one generator, that is, the knot quandle of the unknot. The knot on the right is a variant of the Kishino knot; it has rotational symmetry about the horizontal axis, so its upper and lower quandles have identical presentations.
**Definition 5.** We say a virtual knot is *pseudoclassical* if it is virtually isotopic to its flip. In particular, a pseudoclassical virtual knot has isomorphic upper and lower quandles.
Clearly, the quandle difference invariant cannot detect the non-classicality of pseudoclassical virtual knots for any finite quandle $T$. However, the quandle difference invariants are effective at detecting non-classicality in many virtual knots. Using the smallest connected quandle, for example, we detect the non-classicality (and hence non-triviality) of the non-alternating Kishino knot in Figure 1. It took only two tries to find a quandle difference invariant which detects the non-classicality of the virtual knot $K_D$ in Figure 1; this knot is not distinguished from the unknot by either the Jones polynomial or 2-strand bracket polynomial, though the 3-strand bracket polynomial does the trick [5].
\[ K = \begin{array}{c}
\begin{tikzpicture}[scale=0.5]
\draw[thick] (0,0) circle (1);
\draw[thick] (2,0) circle (1);
\draw[thick] (0,0) -- (2,0);
\draw[thick] (0,0) -- (1,1);
\draw[thick] (0,0) -- (1,-1);
\draw[thick] (2,0) -- (1,1);
\draw[thick] (2,0) -- (1,-1);
\end{tikzpicture}
\end{array} \quad T = \begin{bmatrix}
1 & 3 & 2 \\
3 & 2 & 1 \\
2 & 1 & 3
\end{bmatrix}
QD_T(K) = -6
K_D = \begin{array}{c}
\begin{tikzpicture}[scale=0.5]
\draw[thick] (0,0) circle (1);
\draw[thick] (2,0) circle (1);
\draw[thick] (0,0) -- (2,0);
\draw[thick] (0,0) -- (1,1);
\draw[thick] (0,0) -- (1,-1);
\draw[thick] (2,0) -- (1,1);
\draw[thick] (2,0) -- (1,-1);
\end{tikzpicture}
\end{array} \quad T_2 = \begin{bmatrix}
1 & 3 & 4 & 2 \\
4 & 2 & 1 & 3 \\
2 & 4 & 3 & 1 \\
3 & 1 & 2 & 4
\end{bmatrix}
QD_{T_2}(K_D) = -12
Figure 1. QD_T detects non-classicality of virtual knots K and K_D
To compute the upper and lower quandle presentations from a Gauss diagram, we divide the outer circle at each arrowhead to
\[ x_i \xrightarrow{y} x_{i+1} \quad \Rightarrow \quad x_i \triangleright y = x_{i+1} \]
\[ x_i \xleftarrow{y} x_{i+1} \quad \Rightarrow \quad x_{i+1} \triangleright y = x_i \]
Figure 2. Quandle relations from a Gauss diagram
obtain a list of arcs in the diagram, and the quandle relations at each crossing are determined according to the crossing sign. As Figure 2 shows, the rule is that if the arrowhead dividing $x_i$ from $x_{i+1}$ has its tail on arc $y$, the relation determined is $x_i \triangleright y = x_{i+1}$ if the crossing sign is $+$ and $x_{i+1} \triangleright y = x_i$ if the crossing sign is $-$.
Dividing the same Gauss diagram at the arrowtails and applying the same procedure yields a presentation of the lower quandle $L$. Alternatively, we can obtain a presentation of the lower quandle by reversing the direction of the arrows, then getting the upper quandle presentation of the resulting diagram.
**Example 3.** Let $K$ be the virtual knot from Example 1. Then $K$ has upper quandle presentation
$$U = \langle 1, 2, 3, 4 \mid 1 \triangleright 3 = 2, 2 \triangleright 1 = 3, 4 \triangleright 2 = 3, 4 \triangleright 3 = 1 \rangle$$
and lower quandle presentation
$$L = \langle 1, 2, 3, 4 \mid 1 \triangleright 3 = 2, 2 \triangleright 4 = 3, 3 \triangleright 1 = 4, 1 \triangleright 3 = 4 \rangle.$$
From these presentations, we can compute the quandle difference invariant $QD_T(K)$ for any choice of finite target quandle $T$ by systematically considering all assignments of elements of $T$ to each generator in the quandle presentation and checking whether the assignment satisfies the required relations in the target quandle.
### 4. Computational results
Here, we describe our computational procedure for computing the quandle difference invariant for any choice of Gauss code and finite target quandle and give some computational results.
Maple code implementing the algorithms below is available in the file quangledifference.txt at the second listed author’s website www.esotericka.org/quandles.
We compute the quandle difference invariant $QD_T(K)$ using the quandle matrix notation from [9]. Specifically, let $T = \{x_1, \ldots, x_n\}$ be a finite quandle. Then the matrix of $T$, $M_T$, is the matrix abstracted from the operation table of $T$ by dropping the $xs$, keeping only the subscripts. A list of all finite quandles with up to five elements appears in [9]; lists of all finite quandles with six, seven, and eight elements, along with software for computing such lists, are available at www.esotericka.org/quandles.\footnote{An independently derived list of quandles with up to six elements, obtained by Yamada, is included in [3].} The file quandles-maple.txt contains Maple code for counting homomorphisms from a knot quandle to finite quandle specified by a matrix.
We represent a finitely presented quandle with a \textit{quandle presentation matrix} as described in [10]. That is, we put
$$M_{ij} = \begin{cases} k, & x_i \triangleright x_j = x_k, \\ 0, & \text{else}. \end{cases}$$
If a Gauss code has a negative undercrossing label $x_i$ such that the next undercrossing label $x_{i+1}$ has sign + and both overcrossings lie on the same arc $x_j$, then the quandle relations determined are $x_i \triangleright x_j = x_{i-1}$ and $x_i \triangleright x_j = x_{i+1}$, which determine conflicting entries for the $i,j$ position in the presentation matrix. In this situation, we can do a type I Reidemeister move to obtain a presentation with no conflicting entries; the program gfix finds and corrects this problem.
\textbf{Example 4.} The virtual knot diagram in Example 1 has upper and lower quandle presentation matrices
$$U = \begin{bmatrix} 0 & 0 & 2 & 0 \\ 3 & 0 & 0 & 0 \\ 0 & 0 & 0 & 0 \\ 0 & 3 & 1 & 0 \end{bmatrix} \quad \text{and} \quad L = \begin{bmatrix} 0 & 0 & 2 & 0 & 0 \\ 0 & 0 & 0 & 0 & 3 \\ 0 & 0 & 0 & 0 & 0 \\ 0 & 3 & 0 & 5 & 0 \\ 0 & 1 & 0 & 0 & 0 \end{bmatrix}.$$
We represent Gauss codes in Maple as vectors with (appropriately?) Gaussian integer entries, using the convention
$$OX+ \leftrightarrow X, \quad UX+ \leftrightarrow -X,$$
$$OX- \leftrightarrow X + I, \quad UX- \leftrightarrow -X - I, \quad X \in \mathbb{Z}.$$
To allow for multi-component links, each component is ended with a “0”.
**Example 5.** The multicomponent Gauss code
\[ U1 + O2 - O3 - U2-, \quad O1 + U3- \]
is represented in our Maple notation as the vector
\[ [-1, 2 + I, 3 + I, -2 - I, 0, 1, -3 - I, 0]. \]
Our quandle-difference computing algorithm then takes a Gauss code and first runs it through gfix, which detects the situation described above and does Reidemeister I moves as necessary until the code has an upper quandle presentation matrix with no conflicting entries. The program gauss2pres then reads off the upper quandle presentation matrix from the Gauss code. Our main program, qdiff, uses homcount from quandles-maple.txt to compute the number of homomorphisms from the upper quandle of the matrix returned by gfix into the specified target quandle. Then, the program simply multiplies each entry in the code by $-1$ to switch the direction of the arrows and cycles through to put the $-1$ or $-1 - i$ entry in the first position, then repeats the procedure to get the lower quandle presentation matrix and its counting invariant. Finally, the program reports the difference between these two numbers. We also include q2chom which computes the 2-component quandle counting invariant.
In order to get some feeling for the effectiveness of quandle difference invariants at detecting non-classicality of virtual knots, we generated lists of all non-evenly intersticed single-component Gauss codes with three and four crossings, removing codes which reduce by an obvious type I or type II move, using rglist. The non-evenly intersticed condition guarantees non-planarity of the corresponding virtual knot, which may be classical or non-classical (including pseudoclassical). There are 172 such 3-crossing Gauss codes; however, $QD_T$ does not detect non-classicality in any of these 3-crossing codes for the six smallest connected quandles. There are 17040 such 4-crossing codes. We then computed the number of codes in which non-classicality was detected using some connected quandles of order up to six. The results are collected in Table 1.
It is not clear what percentage of the Gauss codes with $QD_T = 0$ are classical (i.e., diagrams of the unknot, trefoil, or figure eight),
| Target quandle $T$ | Number detected/17040 (4-crossing codes) |
|-------------------|------------------------------------------|
| $\begin{bmatrix} 1 & 3 & 2 \\ 3 & 2 & 1 \\ 2 & 1 & 3 \end{bmatrix}$ | 3060 |
| $\begin{bmatrix} 1 & 3 & 4 & 2 \\ 4 & 2 & 1 & 3 \\ 2 & 4 & 3 & 1 \\ 3 & 1 & 2 & 4 \end{bmatrix}$ | 1350 |
| $\begin{bmatrix} 1 & 3 & 4 & 5 & 2 \\ 3 & 2 & 5 & 1 & 4 \\ 4 & 5 & 3 & 2 & 1 \\ 5 & 1 & 2 & 4 & 3 \\ 2 & 4 & 1 & 3 & 5 \end{bmatrix}$ | 492 |
| $\begin{bmatrix} 1 & 4 & 5 & 3 & 2 \\ 3 & 2 & 4 & 5 & 1 \\ 2 & 5 & 3 & 1 & 4 \\ 5 & 1 & 2 & 4 & 3 \\ 4 & 3 & 1 & 2 & 5 \end{bmatrix}$ | 72 |
| $\begin{bmatrix} 1 & 4 & 5 & 2 & 3 \\ 3 & 2 & 1 & 5 & 4 \\ 4 & 5 & 3 & 1 & 2 \\ 5 & 3 & 2 & 4 & 1 \\ 2 & 1 & 4 & 3 & 5 \end{bmatrix}$ | 426 |
| $\begin{bmatrix} 1 & 4 & 5 & 2 & 3 & 1 \\ 4 & 2 & 6 & 1 & 2 & 3 \\ 5 & 6 & 3 & 3 & 1 & 2 \\ 2 & 1 & 4 & 4 & 6 & 5 \\ 3 & 5 & 1 & 6 & 5 & 4 \\ 6 & 3 & 2 & 5 & 4 & 6 \end{bmatrix}$ | 3060 |
Table 1. Number of non-evenly intersticed single-component Gauss codes in which qdiff detects non-classicality
what percentage are pseudoclassical, and what percentage may have non-classicality detected by larger finite quandles, nor is it clear how many distinct virtual knots are represented. However, eliminating the codes which have trivial values for the quandle counting invariants for both upper and lower quandles for all six listed quandles, a step which eliminates the classical and pseudoclassical codes from the lists, gives a list of 16 3-crossing codes and 4140 4-crossing codes. Of these 4-crossing codes, 3570, or 86%, have non-classicality detected by at least one of the six listed quandle difference invariants.
REFERENCES
[1] J. Scott Carter, Daniel Jelsovsky, Seiichi Kamada, Laurel Langford, and Masahico Saito, Quandle cohomology and state-sum invariants of knotted curves and surfaces, Trans. Amer. Math. Soc. 355 (2003), no. 10, 3947–3989. (electronic)
[2] J. Scott Carter, Seiichi Kamada, and Masahico Saito, Stable equivalence of knots on surfaces and virtual knot cobordisms, J. Knot Theory Ramifications 11 (2002), no. 3, 311–322.
[3] , Surfaces in 4-space. Encyclopaedia of Mathematical Sciences, 142. Low-Dimensional Topology, III. Berlin: Springer-Verlag, 2004.
[4] J. Scott Carter, Mohamed Elhamdadi, Matias Graña, Masahico Saito, Cocycle knot invariants from quandle modules and generalized quandle homology, Osaka J. Math. 42 (2005), no. 3, 499–541.
[5] H. A. Dye, Virtual knots undetected by 1- and 2-strand bracket polynomials, Topology Appl. 153 (2005), no. 1, 141–160.
[6] F. Miguel Dionísio and Pedro Lopes, Quandles at finite temperatures. II, J. Knot Theory Ramifications 12 (2003), no. 8, 1041–1092.
[7] Roger Fenn and Colin Rourke, Racks and links in codimension two, J. Knot Theory Ramifications 1 (1992), no. 4, 343–406.
[8] Mikhail Goussarov, Michael Polyak, and Oleg Viro, Finite-type invariants of classical and virtual knots, Topology 39 (2000), no. 5, 1045–1068.
[9] Benita Ho and Sam Nelson, Matrices and finite quandles, Homology Homotopy Appl. 7 (2005), no. 1, 197–208. (electronic)
[10] Richard Henderson, Todd Macedo, and Sam Nelson, Symbolic computation with finite quandles. To appear in Journal of Symbolic Computation.
[11] David Joyce, A classifying invariant of knots, the knot quandle, J. Pure Appl. Algebra 23 (1982), no. 1, 37–65.
[12] Louis H. Kauffman, Virtual knot theory, European J. Combin. 20 (1999), no. 7, 663–690.
[13] ———, *Detecting virtual knots* (Italian), Atti Sem. Mat. Fis. Univ. Modena **49** (2001), suppl., 241–282.
[14] Greg Kuperberg, *What is a virtual link?* Algebr. Geom. Topol. **3** (2003) 587-591. (electronic)
[15] Toshimasa Kishino and Shin Satoh, *A note on non-classical virtual knots*, J. Knot Theory Ramifications **13** (2004), no. 7, 845–856.
[16] Sam Nelson, *Unknotting virtual knots with Gauss diagram forbidden moves*, J. Knot Theory Ramifications **10** (2001), no. 6, 931–935.
[17] ———, *Virtual crossing realization*, J. Knot Theory Ramifications **14** (2005), no. 7, 931-951.
(Harrell) Department of Mathematics; University of California, Riverside; 900 University Avenue; Riverside, CA 92521
E-mail address: firstname.lastname@example.org
(Nelson) Department of Mathematics; University of California, Riverside; 900 University Avenue; Riverside, CA 92521
E-mail address: email@example.com
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The Himachal Pradesh Aided Colleges (Security of Services of Employees) Act, 1994
Act 9 of 1995
Keyword(s):
Aided college, Director, District judge, Employee, Managing Committee, UGC
DISCLAIMER: This document is being furnished to you for your information by PRS Legislative Research (PRS). The contents of this document have been obtained from sources PRS believes to be reliable. These contents have not been independently verified, and PRS makes no representation or warranty as to the accuracy, completeness or correctness. In some cases the Principal Act and/or Amendment Act may not be available. Principal Acts may or may not include subsequent amendments. For authoritative text, please contact the relevant state department concerned or refer to the latest government publication or the gazette notification. Any person using this material should take their own professional and legal advice before acting on any information contained in this document. PRS or any persons connected with it do not accept any liability arising from the use of this document. PRS or any persons connected with it shall not be in any way responsible for any loss, damage, or distress to any person on account of any action taken or not taken on the basis of this document.
or with knowledge that such act or omission is likely to endanger the safety of any person travelling or being upon the aerial rope-way, he shall be punishable with imprisonment for a term which shall not be less than one month but may extend to five years."
THE HIMACHAL PRADESH AIDED COLLEGES (SECURITY OF SERVICES OF EMPLOYEES) ACT, 1994
(Act No. 9 of 1995)
ARRANGEMENT OF SECTIONS
Sections:
1. Short title and extent.
2. Definitions.
3. Qualifications.
4. Method of recruitment and conditions of service.
5. Code of Conduct.
6. Salary.
7. Dismissal, removal or reduction in rank not to be ordered except after inquiry.
8. Procedure to be observed before dismissal, removal or reduction in rank.
9. Sections 7 and 8 not to apply in certain cases.
10. Period of probation.
11. Suspension of employees.
12. Retrenchment.
13. Procedure for payment of salary.
14. Repeal.
15. Power of revision.
16. Power to issue directives.
17. Power to stop, reduce or suspend grant-in-aid or to make payment therefrom to employees in certain cases.
18. Over-riding effect of this Act.
19. Bar of jurisdiction of civil courts.
20. Power to make rules.
(Received the assent of the President of India on 12th June, 1995 and was published in Hindi and English in R.H.P. Extra., dated 27-6-1995, p. 2587-2592 and 2593-2598).
An Act to provide for the security of services to the employees of the aided Colleges in the State of Himachal Pradesh.
Be it enacted by the Legislative Assembly of Himachal Pradesh in the Forty-fifth Year of the Republic of India as follows:—
1. Short title and extent.—(1) This Act may be called the Himachal Pradesh Aided Colleges (Security of Services of Employees) Act, 1994.
1. Passed in Hindi by the Himachal Pradesh Vidhan Sabha. For Statement of Objects and Reasons see R. H. P. Extra. dated 12-9-94 p. 2377 and 2384.
(2) It extends to the whole of the State of Himachal Pradesh.
2. Definitions.—In this Act unless the context otherwise requires,—
(a) "aided College" or "College" means a College affiliated to and admitted to the privileges of a University and receiving financial assistance not less than fifty per centum of the salary component for both teaching and non-teaching staff from the State Government;
(b) "Director" means the Director of Education, "Himachal Pradesh", and includes any other officer authorised by the State Government to exercise the powers and perform the functions of the Director under this Act;
(c) "District Judge" means the District Judge of the District in which the aided College is situated;
(d) "employee" means a person in the employment of a College but does not include a work-charged employee;
(e) "Managing Committee" means the Managing Committee of a College and includes a person or body of persons for the time being entrusted with the management of the affairs of the College;
(f) "prescribed" means prescribed by rules made under this Act;
(g) "Principal" in relation to a College means the head of the College;
(h) "State Government" means the Government of Himachal Pradesh;
(i) "University" means the Himachal Pradesh University constituted under section 3 of the Himachal Pradesh University Act, 1970 (17 of 1970); and
(j) "University Grants Commission" means the University Grants Commission established under section 4 of the University Grants Commission Act, 1956 (3 of 1956).
3. Qualifications.—The minimum qualifications for recruitment of various classes of the employees of a College shall be such as may, from time to time, be laid down by the University:
Provided that the qualifications for the teachers shall be laid down by the University in accordance with the guidelines issued from time to time by the University Grants Commission:
Provided further that the qualifications of an existing regular employee at the commencement of this Act shall not be varied to his disadvantage.
4. Method of recruitment and conditions of service.—The method of recruitment, and the conditions of service of the employees of a College shall be such as may be prescribed:
Provided that the conditions of service of an existing employee at the commencement of this Act shall not be varied to his disadvantage.
5. Code of conduct. The employees of College shall be governed by such Code of Conduct as may be prescribed:
Provided that in the case of teachers, the Code of Conduct under this section shall be prescribed—
(i) where any guidelines have to be issued by the University Grants Commission in conformity with such guidelines; and
(ii) where no such guidelines have been issued, in consultation with the University Grants Commission.
6. Salary.—The scales of pay and other allowances and privileges of the employees of a College shall be such as may, from time to time, be specified by the State Government.
7 Dismissal, removal or reduction in rank not to be ordered except after inquiry.—No employee of a College shall be dismissed or removed or reduced in rank except after an inquiry in which he has been informed of the charges against him and given a reasonable opportunity of being heard in respect of those charges.
8. Procedure to be observed before dismissal, removal or reduction in rank.—(1) The penalty of dismissal or removal from service or reduction in rank shall not be imposed on an employee unless the same is approved by the Director.
(2) Where after the inquiry referred to in section 7, it is proposed to impose on an employee the penalty of dismissal, removal from service or reduction in rank the proposal along with the relevant record shall be referred to the Director and the employee concerned shall be informed simultaneously.
(3) The employee may, within a period of thirty days of the receipt of the intimation referred to in sub-section (2) make a representation against the proposed penalty to the Director who may after examining the record and giving the parties an opportunity of being heard, by an order in writing, approve the proposed penalty or reduce it or, refuse to approve it, if the proposal is found to be malafide or by way of victimisation or not warranted by the facts and circumstances of the case.
9. Sections 7 and 8 not to apply in certain cases.—The provisions of sections 7 and 8 shall not apply—
(i) to the termination of service of an employee who is appointed for a temporary period only;
(ii) to the termination of service of an employee appointed on probation, during or at the end of the period of probation, or on account of his work or conduct being unsatisfactory; and
(iii) to an employee who is dismissed or removed or reduced in rank on the ground of conduct, which has led to his conviction on a criminal charge involving moral turpitude.
10 Period of probation—An employee appointed against a vacancy likely to exist for more than one year shall remain on probation for a period of one year which may be extended from time to time:
Provided that the total period of probation including extension, if any, shall not exceed two years.
11. Suspension of employees.—(1) No employee shall be placed under suspension, unless,
(a) disciplinary proceedings against him are contemplated or are pending; or
(b) a case against him in respect of any criminal offence is under investigation, inquiry or trial.
(2) In case the Managing Committee of a College considers it expedient to keep an employee under suspension beyond a period of six months, it shall submit a detailed report to the Director at least one month before the expiry of the period of six months specifying the reasons warranting the extension of the suspension period of the employee beyond six months.
(3) After considering the report under sub-section (2), the Director shall pass an order whether the extension be granted or not. In the event of his refusal to grant the extension, the Managing Committee shall reinstate the employee within a fortnight from the date of receipt of the order failing which the employee concerned shall be deemed to have been reinstated on the expiry of the aforesaid period.
12. Retrenchment.—(1) No employee of a College shall be retrenched on account of reduction in work-load without the prior approval of the Director who shall before according approval examine each case in accordance with the norms of work-load laid down by the University.
(2) An employee who is relieved from a College as a result of retrenchment shall have preference for appointment to future vacancies in the College in which he was serving immediately before retrenchment or in another College under the same Managing Committee.
13 Procedure for payment of salary.—(1) The Managing Committee of a College shall, for the purpose of disbursement of salaries to its employees, open in a bank included in the Second Schedule to the Reserve Bank of India Act, 1934 (2 of 1934) or a co-operative bank or a Government treasury or sub-treasury a separate "Salary Payment Account" to be operated by the Principal:
Provided that the State Government may, on receipt of a report from the Director of any irregularity in the operation of the "Salary Payment Account", instruct the bank or treasury, as the case may be operated by a person authorised by the State Government.
(2) The state government may, from time to time, require by general or special order that the Managing Committee shall deposit in the "Salary Payment Account" such portion of the amount received from students as fees and also such portion, if any, of the income received from any property, movable or immovable, belonging to or endowed wholly or partly for the benefit of the College, and by such date, as may be specified in that order, and thereupon the Managing Committee shall be bound to comply with such directions.
(3) Where the Director is of the opinion that the Managing Committee has failed to deposit the fees in accordance with the provisions of sub-section (2) or the orders issued thereunder, the Director may, by order prohibit the Managing Committee from realising any fee from the students and thereupon, the Director may realise the fees either through the employees of the College or in such other manner as he thinks fit, directly from the students and shall deposit the fees so recovered in the "Salary Payment Account".
(4) The State Government shall also pay into the "Salary Payment Account" such amount as maintenance grant which, after taking into consideration, the amount deposited under sub-sections (2) and (3), is necessary for making payment in accordance with sub-section (5).
(5) The salary of an employee shall be paid by transfer of the amount from the "Salary Payment Account" to his account, if any, in the bank, or if he has no account in that bank, then by cheque.
14. Appeal.—Any party aggrieved by an order of the Director under sub-section (3) of section 8 may file an appeal within thirty days, to the District Judge who may, after giving to the parties an opportunity of being heard pass such order as he may deem fit:
Provided that the District Judge may entertain the appeal after expiry of the said period of thirty days if he is satisfied that the applicant was prevented by sufficient cause from filing the appeal in time.
15. Power of revision.—The State Government may, either of its own motion or on an application received in this behalf, at any time call for the record of any proceedings which is either pending before the Director or in which the Director has passed any order for the purpose of satisfying itself as to the legality or propriety of such order or may pass such order in relation thereto as it thinks fit:
Provided that the State Government shall not pass an order under this section prejudicial to any party without giving such party a reasonable opportunity of being heard.
16. Power to issue directives.—The State Government shall be competent to issue such directives to the Managing Committee of a College as may be necessary for the proper enforcement of the provisions of this Act and the rules made thereunder.
17. Power to stop, reduce or suspend grant-in-aid or to make payment therefrom to employees in certain cases.—(1) It shall be lawful for the Government to stop, reduce or suspend the grant-in-aid to a College for the violation of any of the provisions of this Act or the rules made thereunder or of any directive issued under section 16, by the Managing Committee, Principal or any other authority charged with the administration thereof.
(2) In the case of non-compliance of an order of a competent authority, or of any directive issued under this Act, it shall be lawful for the Government to pay, out of the grant-in-aid payable to a College, such sum of money as is found to be due to any employee from such a college or the Managing Committee.
(3) Before taking any action under this section, the Government shall give a reasonable opportunity to such Managing Committee, Principal or authority concerned to show cause against the action proposed to be taken.
18. Over-riding effect of this Act.—The provisions of this Act shall have effect notwithstanding anything to the contrary contained in any other law for the time being in force including any regulation or statute of any University.
19. Bar of jurisdiction of civil courts.—No civil court shall have jurisdiction to entertain any suit or proceeding in respect of any proceedings taken under the provisions of this Act.
20. Protection of action taken in good faith.—No suit, prosecution or other legal proceedings shall lie against the State Government or any authority or any officer appointed under this Act for anything which is in good faith done or intended to be done in pursuance of this Act or the rules made thereunder.
21. Power to make rules.—(1) The State Government may by notification in the Official Gazette, make rules for carrying out the purposes of this Act.
(2) In particular and without prejudice to the generality of the foregoing power, such rules may provide for all or any of the following matters, namely:—
(i) the method of recruitment and conditions of services of employees under section 4;
(ii) the Code of Conduct for the employees of a College under section 5;
(iii) the procedure to be observed for an inquiry under section 7;
(iv) the manner in which "Salary Payment Account" shall be opened and maintained under section 13;
(v) the manner of filing an appeal to the District Judge under section 14; and
(vi) any other matter which has to be or may be prescribed under the Act.
(3) The power to make rules conferred by this section shall be subject to the condition that the rules being made after previous publication.
NOTIFICATION
Under
THE HIMACHAL PRADESH CO-OPERATIVE SOCIETIES ACT, 1968
APPOINTMENTS AND DELEGATIONS
CO-OPERATION DEPARTMENT
NOTIFICATION
Shimla-2, the 5th May, 1995
No. Coop. A(2)-1/93.—In exercise of the powers conferred under section 3 (1) of the Himachal Pradesh Co-operative Societies Act, 1968 (Act No. 3 of 1969), the Governor, Himachal Pradesh is pleased to appoint the Additional Registrars (Development), Co-operative Societies, Himachal Pradesh as 'Registrar' to assist the Registrar, Co-operative Societies, Himachal Pradesh.
The Governor, Himachal Pradesh is further pleased to confer all the powers of 'Registrar' under section 3 (2) of the Act ibid to be exercised by the Additional Registrar (Development), Co-operative Societies, Himachal Pradesh throughout the State of Himachal Pradesh subject to the general guidance, superintendence and control of the Registrar, Co-operative Societies, Himachal Pradesh.
(R.H.P. dated 30-9-1995, P. 1101.)
NOTIFICATION
Under
THE HIMACHAL PRADESH COURT FEE ACT, 1968
APPOINTMENTS AND DELEGATIONS
HIMACHAL PRADESH HIGH COURT
NOTIFICATION
Shimla-1, the 26th September, 1995
No. HHC/Judl. (GI) 19-1/95-21999.—In exercise of the powers vested in him under section 5 (2) of the Himachal Pradesh Court Fee
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A Concept of Geo-Facts for Online Discourse in “Postfactual” Times in the Context of Spatial Planning
Gerhard Navratil, Max Harnoncourt
(Dr Gerhard Navratil, TU Wien, Department for Geodesy and Geoinformation, Gúßhausstr. 27-29, A-1040 Vienna, Austria, firstname.lastname@example.org)
(Mag. Max Harnoncourt, factline Webservices GmbH, Praterstr. 15/3/22, 1020 Vienna, Austria, email@example.com)
1 ABSTRACT
The paper discusses geo-facts and their importance in discussions. The context of the examples is spatial planning. It is assumed that geo-facts should be the basis for modern (trustworthy and reliable) e-participation in spatial planning processes. This is discussed in comparison with “alternative facts” and some ideas about necessary data on facts are presented.
Starting from an intuitive definition of facts we develop the concept of geo-facts, show their usefulness for discourse in a spatial planning environment, and points out some technical details. The paper discusses ideas and aims at presenting a vision rather than present a detailed evaluation and solution that is ready to be implemented. The goal of this paper is starting a discussion how expertise can be stored and used.
Keywords: linked data, creation, validation, spatial planning, geo-facts
2 INTRODUCTION
The current political and social situation increasingly relies on opinions. An example was provided by the Trump-administration in response to pictures from the inauguration ceremony and a comparison between the inauguration of Donald Trump and Barack Obama four years before. Trump’s press secretary said that more people visited the inauguration of Donald Trump although pictures suggested otherwise and this was later defended as “alternative facts” by a senior White House aide (The Guardian, 2017). This causes a huge problem for any reasonable discussion including those on spatial planning. If there are concepts like alternative facts, how can it been decided which to use as a basis for planning? Starting from this problem the paper discusses the concept of facts, how facts are generated, and how they can be used.
Facts are statements that are created and can be validated. In this paper we discuss the concept of geo-facts. A geo-fact is a fact connected to a specific location, which may be a point, a line, or an area. In order to store these facts, they also need to have a reference, e.g., a Uniform Resource Locator (URL). This was already suggested for cadastral objects for Switzerland. After introducing and discussing these fundamental concepts, further questions on the use of geo-facts arise. How could a smart visualisation help to distinct important from less relevant facts?
In order to illustrate the ideas, throughout the paper reference to a spatial planning project in a small Austrian village will be made (see Fig. 1). It could have arbitrary topic, for instance planning a new cycle path for children, collecting ideas for a new arrangement of service stations, involving citizens in planning a public transportation line for the city, involving citizens in locating a new area for dog-walking, etc.
The remainder of the paper is structured as follows: Section 2 introduces the notion of a fact as used in this paper. Section 3 outlines the specialities of geo-facts and section 4 discusses the risk of “alternative facts” in discourse. Section 5 then provides a brief introduction to the importance of geo-facts in spatial planning and section 6 provides some ideas on making geo-facts accessible. Section 7 shows the technical requirements for geo-facts, which are necessary due to the changing (social and physical) reality. In the end we present some conclusions.
3 FACTS
The core purpose of a fact in the context of this paper is that the fact can be used as an argument in discourse. Looking up a general definition of “fact” produces something like the following:
- “something that actually exists; reality; truth
- something known to exist or to have happened
- a truth known by actual experience or observation; something known to be true
- something said to be true or supposed to have happened” (dictionary.com)
or
• “a thing that is known or proved to be true” (Oxford Living Dictionary).
However, these definitions require a concept of “truth” that is difficult to apply to complex situations. The idea that experience or observation is used to identify truth is similarly limited. It can be assumed that reality is (almost?) infinitely complex and human observations are rather limited. Thus determining truth from observation is difficult. Thus any discussion of facts and their use should avoid “truth”. The concept of “something said to be true or supposed to have happened” is much weaker than the other concepts. It might sound somehow strange but this makes it a promising starting point for a discussion in this paper.
Based on this definition, what is a fact? Something, e.g., information can turn into a fact when it becomes referable and unchangeable within a defined period of time. Something is referable if it is possible to use a reference to it in a discourse. Translated into terms of scientific literature it is citable or in the domain of the Internet it is linkable. Nowadays information is primarily shared via the Internet. Therefore, a fact in the Internet needs to have a unique address (URI/URL). Examples for practical implementations of such identifier systems are the Persistent Uniform Resource Locator (PURL) or the Digital Object Identifier (DOI).
3.1 What is a fact and what is not a fact
In the context of this paper a pragmatic approach is used for the definition of what a fact is. Assuming there is no such thing as an absolute truth, it is postulated that a fact is a piece of information that can be used to argue for or against something. This applies to any information.
Understanding the fact concept might lead to conclusion, that it must be understandable for the target audience. This sometimes provides a problem, e.g., when discussing complex structures. How many, for example were capable to understand the concept of black holes in the discussion about risks connected to experiments in the Large Hadron Collider (LHC) at CERN? The physical existence of the LHC is a fact and the fear of the people as well. However, how far are the details of physics relevant facts in the discussion of the fear of the people? Is it really correct that facts only understood by experts are irrelevant?
According to WikiPedia, “information is that which informs” (WikiPedia, 2018a), in the context of this paper, information is potentially an argument in a discourse and it becomes a fact if it can be referable (compare section 7). However, even apparently useless pieces of information can become relevant even if not the whole audience can fully understand the reasoning behind the geo-fact. This means, that a subjective assumption about the quality (in the sense of plausibility) of an information is not sufficient to decide if the information is relevant or not. This also applies to the type of information discussed here, the facts. What makes the facts more useful, is the constraint that it fulfils formal criteria so it can be (but does not need to be) linked to and used in an online-discourse.
3.2 Validation of facts – telling facts from fiction
A fact can be validated if it is compared to other facts. The death of a public figure, for example, can be witnessed by persons who then can spread the information as a fact. Discussions on the death of the public figure can then be linked to this fact. If the original fact is correct, then there will be other, independent facts that agree with the original fact. Otherwise, contradicting facts will occur, e.g., press releases by the public figure that the original obituary was premature. A list of premature obituaries can be found on the web (WikiPedia, 2018b).
A standard method to validate facts could be statistics. Statistics is used successfully when dealing with observations and observation errors. Gross errors, which represent incorrect facts, can be eliminated by robust statistical methods like Least Trimmed Squares or Ransac. However, these methods can need to be applied carefully because a measurement is always affected by statistical variation whereas a fact is either true or false. A fact is more likely to be true if numerous people create multiple instances of the same fact independent of each other. Thus errors in the people’s observation would be corrected because it is not plausible several people have the same incorrect observation independent of each other. When different people, for example assess the number of participants at a conference and publish this as facts, a larger number of facts will provide a better assessment of the conference size. However, the Loch Ness Monster
would be a validated fact because there are multiple, independent observations documented. Therefore, reliable validation of facts could require thorough analysis of each fact.
4 GEO-FACTS
What makes a fact a geo-fact? A geo-fact is a fact that refers to a specific location at a specific time. The location may be identified by any hierarchical concept (e.g., from country to municipality to private property), a fuzzy concept (e.g., downtown Vienna) or a discrete geometry (constructed from point, lines, polygons, etc.). A geo-fact describes any kind of information on this location, e.g., links to an event that happened on this location, refers to an object in this location, or indicates a relation between a person and a location.
It is also possible, that a social, political or geographical description is a fact by itself. An example is the definition of the boundary of the municipality Bad Gleichenberg, which was defined as a text in the 19th century (Navratil, 2011). Of course this fact makes no sense if it is not used in the correct context and linked by other facts (to the historical development in this case). This can be used, for example, to document changes in geographical names over time (e.g., Carnuntum in the 1st century AD vs. Petronell-Carnuntum today).
A difference between non geo-related facts and geo-facts is that rules of geography, i.e., the first law of geography “Everything is related to everything else, but near things are more related than distant things” (Tobler, 1970) can be used to validate geo-facts. This enables the use of statistical analysis to trustworthiness of a geo-fact. However, Goodchild and Li (2012) documented the limits of this concept in the context of Volunteered Geographic Information (VGI).
Another problem may be provided by the spatial variation of a geo-fact. The global sea-level rise is a geo-fact. However, test calculations in the 1990ies by Bretterbauer already showed that additional water will not be evenly distribute over the oceans. In addition, some parts of continents are rising or falling independent of the seal-level rise. Scandinavia, for example, is still affected by post-glacial rise. If this rise exceeds the annual seal-level rise, then local gauges will report drop of sea-level and thus local geo-facts will contradict the global geo-fact of sea-level rise.
This problem is connected to granularity. Phenomena can be constructed from small pieces and these pieces may behave differently that the total phenomenon. The granularity of the phenomenon determines a maximum level of detail that is suitable for a description of the phenomenon. A dune, for example, consists of small grains and the behaviour of the dune (movement, shape change, etc.) depends on the grains and the atmospheric conditions. Looking at the phenomenon dune at a level of detail that considers parts of the grains does not improve understanding of the behaviour of dunes.
While the granularity of the phenomenon determines a maximum level of detail, the scope of discussion determines a suitable level of abstraction. Humans can deal with a limited number of aspects at any given time. Miller discussed this topic in his famous paper (Miller, 1956) for distinguishing different stimuli (e.g., shades of a colour) and memory span connected with lists of objects. This is the experimental proof that humans cannot argue about arbitrarily complex problems because detail will not stay in short term memory. Thus the amount of detail needs to be reduced for any discussion. The simplest way to do this is to make abstractions by ignoring details. A discussion of travelling in sand deserts will need to include the shape of dunes because travelling in some directions is much easier than in other directions. The shape is a direct result of grains move by wind but on a coarse level of abstraction this is ignored. If somebody needs proof that dunes have this form, either pictures of dunes (geo-facts) or theoretical models of grain movement (facts of physics) may be used.
These issues are relevant for non-spatial facts as well but they are even more relevant for geo-facts. The first law of geography suggests, that spatial autocorrelation (close things are more related) is an important assumption for geographical features. Highly correlated facts, however, can be grouped together and the information that a phenomenon has multiple instances (there are numerous dunes in a desert) can be ignored and the geo-fact “there are dunes in this area” is an abstraction of the geo-facts documenting every single dune. The selection of a suitable abstraction level (eliminating irrelevant detail and nothing more) is crucial for a fruitful discourse.
5 CONSIDERATIONS CONCERNING “ALTERNATIVE FACTS” IN ONLINE-DISCOURSE ENVIRONMENTS
Why are we referring to the concept of alternative facts? Citizens perceive the world through their sensors. Thus each citizen has a subjective view of the world. These views may vary between the citizens. Some of these differences in views may only have limited significance for the individuals, e.g., if someone likes the colour of a facade. In other cases, the view of the individual is in opposition to what the majority assumes. This is no problem for a discourse if it is treated as an opinion (the fact, that a citizen has this specific believe). However, if this opinion is translated into a geo-fact by (i) making a wrong statement (e.g., falsifying an image, reporting wrong observations) or (ii) drawing illogical conclusions (e.g., derive a general rule from one single observation like “I have once seen a red lake so lakes are red”).
Like in politics and all fields of society, also in citizen participation wrong, incomplete or misinterpreted information is often used as basis for an argument. If this (wrong) argument is published online it can be named an “alternative fact”. In the context of this paper, it would be an “alternative geo-fact”.
It would be easy to ignore this aspect of problematic handling of information. However, the recent intense discussion in media about “alternative facts” showed that scientists should point out their position for handling this kind of geo-fact in discourse oriented communication environments. The existence of “alternative views on how things are” is a reality and a trustworthy information environment should not make the mistake to treat plausible and unreliable information in a different manner, because both are a reality in discourse. It should be repeated in this place that a fact is in the definition of this paper a referable information object that fulfils “formal” criteria (see formal criteria in section 7).
An approach for the identification of purposefully wrong facts is necessary. Such an approach can start from the currently observed pattern that correct facts are typically reported independently by different people whereas purposefully wrong facts are stated once and then repeated. A differentiation based on statistical analysis seems plausible if facts can be traced to their origin, i.e., if sets of geo-facts can be reduced to the originally published geo-facts.
6 GEO-FACTS IN SPATIAL PLANNING
The concept of geo-facts is essential for high quality discourse in public participation processes. The evolution of Web 2.0 technologies, mobile communication, and beyond enabled public participation projects using an online representation. The most common occurrence in this context is the so called blended participation where online and offline media are mixed. Assuming the following phases of participation:
(1) Pre-participation phase (information of the Stakeholder)
(2) Discussion and decision
(3) Documentation for comprehensibility of the process
The quality of the discussion in phase 2 is very much depending on the quality of information provided to the different stakeholder of the participatory project. Nowadays, phase 2 is often offline. But it can be very much assumed that much more of the communication in the future will be online. Especially if phase 2 is online (for instance for a period of some days citizen are in discussion in a web environment a special planning issue) it is essential to have geo-facts to enable an efficient discourse. Figure 1 shows a possible approach for a user interface. The participatory example in a small Austrian village refers to a made-up trail that shall be created and an online-discussion is initiated to allow the citizens to participate in the decision-making process. Different types of geo-facts like a trail-plan, a study, or a photo are represented by different symbols. In order to reduce the complexity of the presentation, a limitation of the number of shown geo-facts is possible (here 11 of 50). A discussion of the timeline can be found in the next section.
What is the vision of the paper? We aim to apply the geo-fact concept to modern participatory planning processes. We are convinced that the quality of the process and results as well as the acceptance by the involved can be very much increased. We invite the community to start in depth discussions, how geo-facts should be specified. It seems obvious that geo-facts can be either bottom-up collections where citizens can contribute their thoughts and their local knowledge or top-down where the administration provides facts on legal restrictions or administrative settings. An example for bottom-up is the possibility to add photos as shown in Fig. 1. Photos can be used to document aspects that the local population wants addressed. A study
will typically be top-down since is it ordered and financed by the administration. The concept of geo-facts can thus incorporate both views and the planning process must later make a distinction if necessary.
Fig. 1: A possible user interface to access geo-facts for an online-discourse in spatial planning: An example in a small Austrian village.
7 WORKING WITH GEO-FACTS
It is fair to assume future planning projects will require that better tools than providing some information on a Website, a Dropbox-Folder or some Wiki. Modern (Internet-based) society is suffering in many ways from information overload. One of the key problems might be that too much information is accessible and no reasonable filtering tools are available. Everybody with Internet access is a potential "fact-creator" and the created geo-facts are accessible for everybody else. This explains why there is so much more Information compared to former times. However, the challenge is now, how to cope with this reality.
It can also be said that that humans (participants of an online participation, spatial planning project) have a limited attention span to process Information. The attention span is thus a valuable resource. Now when suggesting a concept of information, the geo-fact, it is essential to consider how the information can be presented efficiently. Efficiency in this context means, that a participants of a discussion process finds the relevant Information within his or her attention span. This requires the ability to separate noise (large number of geo-facts) from signal (relevant geo-facts).
Twitter is proof of the fact, that less data sometimes create more information. The concept, that the publisher of a tweet is restricted to 160 characters makes Twitter a widely used information and communication channel. The reduction of quantity is the key aspect for the consumers. The concept of geo-facts tries to apply this idea to information rich discussions in the domain of spatial planning.
Why are access permissions and fingerprints needed for geo-facts? As already mentioned, the core idea of the fact is, that it can be used as an argument in discourse. In the context of participation it is often assumed
that all information should be publicly available. But reality shows this can lead to problems. Figure 1 provides an example for a planned track in a village. Before starting the participation process, the village council will commission a consultant to analyse the area where the new trail is planned. The resulting report may contain descriptions of the private properties of the area and their condition. This information could be used to draw conclusions on the financial status of the property owner and some property related information might even contain security relevant details.
The goal of the village council will be that all potentially affected citizens should participate. This might be persons living in the village but also people from a neighbouring village or people owning the property without living in the village. As a result it may be difficult to create a complete list of all persons who should be included in the discussion. However, all potential participants must be informed about the available relevant local facts (geo-facts) to ensure a high level of participation. The facts would provide the basis for the participants. But it cannot be published for universe (for everybody in the Internet) if it contains sensitive information.
In addition, it can be imagined that several planners are developing different variations for trails. Of course, the implementation of each trail would have a big impact on the owner of the affected property (e.g., by decreasing or increasing the property value). In the beginning of the planning process they might suggest many trails that are rejected for various reasons. But it would create irritation if the public would see all of these trails because they would naturally assume that this is a realistic track. However, later, when it becomes clear where the trail will be, the “old arguments” used to exclude these tracks might still be of value to prove that a neutral process was going on or to counter proposals for one of these tracks from the audience. So all the argument that have been invisible must later have the ability to become visible. In order to perform such changes automatically, concepts like a fingerprint of each fact (fact-hash) would be necessary.
From the above described scenarios the following additional requirements for geo-facts can be drawn. Each (version of a) geo-fact must have permission rules. It must be possible to grant access for persons in a certain group, e.g., for the neighbours of a property. As an effect of this, individuals might get different views if they belong to different groups. Persons with access to specific geo-facts may understand limitations for the planning that are more difficult to understand for outsiders, who do not have access to these geo-facts. Reasons to hide facts from the general public may be privacy or planned activities that are not yet developed for enough for a discussion in a wider audience.
7.1 A Possible Representation of Geo-Facts
A two dimensional map can present a limited number of geo-facts. The geo-facts are marked by symbols. For instance a study is represented by the symbol of an open book. The zoom-level of the map and the total number of geo-facts determine how many geo-facts are displayed. Selection of geo-facts requires an order of relevance. This order can be represented using graphical variables. Relevant geo-facts are clearly visible; less relevant geo-facts seem to fade out. In Figure 1, the fact with the number 11 is the latest fact and the one with the number 1 is the oldest. Whereas the symbol of fact 1 is barely visible, the symbol for 11 is printed with a high saturation and the symbol is clearly visible. In addition, the facts are also connected to the timeline on the left side to make the temporal order of the facts visible. This idea was introduced in the concept of the geoTalk communication platform (Navratil and Hannoncourt, 2004).
What makes a geo-fact more relevant? This question cannot be solved completely in a short paper, but a first suggestion is possible. A new fact may be more relevant than a fact that was not explicitly known but already published earlier. In this case the relevance criterion is the actuality. So the most recently published geo-fact is “in the front” and older facts are faded out. However, only a limited number of geo-facts, e.g., the last 50 geo-facts, get displayed to make the information able to be processed. An alternative or complementary approach would be that the most important facts should be presented. The question here is to quantify importance. It can be assumed, that multiple factors make information important. For instance, more relevant fact may be more often linked to other facts. Other possible parameters could be if the geo-fact is often commented or rated, often edited by different persons, often tagged, etc. If importance is considered as the relevance criterion, a formula to calculate importance is necessary. In contrast to systems like Google PageRank, such a formula needs to be published in order to be acceptable for public participation processes.
There have been even considerations to make the weighting of the parameters applied in the algorithm a process the community has to agree on.
7.2 Augmented Reality and GeoTalk
When assuming that mobile information sharing, communication, and participation is a growing in the information sector, especially in the field of special planning, it is essential that geo-facts can be displayed in a useful (value adding way) with smartphones. Modern participation tools could apply the concept of augmented reality (AR) to present the geo-facts but also to follow the “discourse elements” shown in Figure 1 about the specific project. Whereas Allbach et al. (2011), Broschart, et al. (2013) and Höhl and Broschart (2015), for example, focus on the inclusion of 3D models in real scenes, the concept proposed here would visualize the availability of geo-facts. Fundamentally the above mentioned concept from the GeoTalk-concept of fading of less relevant facts can be applied in an augmented reality viewer. Discussion on spatial phenomena is not simple because simplified representation of geography in the mental map leads to incorrect assessments. Typical examples are the rectangular arrangement of elements that humans intuitively perform and that frequently contradicts reality. Thus, discussion about real world phenomena is easier in the real world. Focal points in this situation are objects that the participants of the process can discuss about. However, digital fragments like facts are not visible in reality. AR-technology like special glasses can merge the real world and the digital view by depicting geo-facts in the correct location while navigating the area of interest. This can help to structure and guide a discussion process.
8 LIFECYCLES AND RELATED CRITERIA FOR GEO-FACTS
Geo-facts are created when something starts to exist or becomes relevant enough to be documented. The geo-fact changes with time. This could be a change of content, e.g., if the opening hours for a local attraction are changed. However, it could also be a change of location or extent, e.g., if a children’s playground is extended or the public library moved to a different location. Finally the geo-fact is terminated when the phenomenon is eliminated. The geo-fact is still known but the phenomenon it represents does not exist anymore. This happens, e.g., when a building is demolished. This situation is similar to objects in a database: Such objects are created, destroyed suspended, and resumed. Their compositions can involve single objects, and then it is called evolving, or a group of objects. In this case it can be constructive and weak fusion, aggregation, separation, fission, or segregation. An algebraic description of such a model can be found in the work of Medak (1999) and a similar model based on identity-based change operations in the work of Hornsby and Egenhofer (2002).
Geo-facts contain more complexity than objects in databases since objects in databases are typically created by experts whereas geo-facts can be published by laypersons as well. The likelihood of mistakes is probably higher with laypersons and this may require corrections or more detailed definitions. This phenomenon is also known in other areas. Modern software, for example, frequently requires updates when new patches are available. Geo-facts equally need a possibility to be updated. However, unlike with software, it is important that the original version of the fact remains accessible Otherwise references made to the original fact could point to facts that do no longer support the claim made in the derived fact and thus nobody would be able to refer to an information and construct his argument based on other facts without freeze the referenced fact.
There are several additional aspects a “fact” has to comply with. The following list contains some aspects (formal criteria) and provides some concrete examples:
- **Author or publisher** (Who created the fact; who published the fact)
Pictures of the car accident were made by A.
- **Timestamp** (Date of relevance for the information / When was it published)
The car accident happened at 2:30 AM, the pictures were taken at 6:45.
- **Permission** (Who is permitted to view the fact)
Police, prosecution, involved persons, and experts of the insurance company are permitted to access the pictures
- **Guarantee of existence** (Until what time will the fact be available)
- **Metadata** for correct interpretation of the fact (Language, Mime Code…..)
9 CONCLUSIONS
In the near future, major public discourse will take place in Internet and specifically in social media. Therefore, any information and communication environment that claims relevance must provide connectivity to social media. Most of the considerations for the suggested concept of geo-facts are derived from lessons learned in scientific communication. In scientific communication, the creation of information that can be cited is one of the most important aspects. The concept of geo-facts tries to transfer the concept that proved successful in science into social media. It should help to increase the quality of discussion the social media and (when used in this context) also in public spatial planning processes. A second benefit would be that the geo-scientific community would be able to publish their findings in a way that it can be the basis for a fact based online discourse.
The following core elements of the geo-fact concept are relevant
- Traceability of a fact development (version control),
- Referability and linkability,
- Guarantee of existence (How long will the information be available for sure), and
- Access permission on facts.
Geo-Facts can be the basis for a number of applications. The visualization presented in this paper is merely an incentive to imagine future applications based on geo-facts. However, it can be assumed that geo-facts could become a core asset for the developed world where augmented reality meets decision making in public space.
The above presented draft for a concept of geo-facts is a status report on an ongoing discourse building a robust framework for valuable arguments in spatial planning processes. The authors are convinced that the formal definition of a geo-fact can and should only be developed having in mind the applications and scenarios using geo-facts. There is a long list of open questions: The fading of facts requires a sorting mechanism. More discussion and the application of the idea in different scenarios will be necessary to understand, which aspects could be used to sort geo-facts. A complete set of formal criteria for facts is necessary as well as software solutions to make the tests in different scenarios.
10 REFERENCES
ALLBACH, B., MEMMEL, M., ZEILE, P., STREICH, B. (2011): Mobile Augmented City – New Methods for Urban Analysis and Urban Design Processes by using Mobile Augmented Reality Services. In: SCHRENK, POPOVICH, ZEILE (Eds.) Proceedings REAL CORP 2011 Tagungsband, corp.at, pp. 633-641.
BROSCHART, P., ZEILE, P., STREICH, B. (2013): Augmented Reality as a Communication Tool in Urban Design Processes. In: SCHRENK, POPOVICH, ZEILE, ELISEI (Eds.) Proceedings REAL CORP 2013 Tagungsband, corp.at, pp. 119-126.
GOODCHILD, M.F. & LI, Y. (2012): Measuring the value of volunteered geographic information. Spatial Statistics, 1: 110-120.
HÖHL, W. & BROSCHART, D. (2015): Augmented Reality im öffentlichen Raum. In: SCHRENK, POPOVICH, ZEILE, ELISEI, BEYER (Eds.) Proceedings REAL CORP 2015 Tagungsband, corp.at, pp. 73-82.
HORNSBY, K. & EGENHOFER, MJ. (2000): Identity-based Change: A Foundation for Spatio-temporal Knowledge Representation. International Journal of Geographical Information Science, 14-3, 207-224, DOI: 10.1080/136588100240813.
MEDAK, D. (1999): Lifestyles - An Algebraic Approach to Change in Identity. In: BÖHLEN, JENSEN, SCHOLL (eds.) Spatio-Temporal Database Management. Lecture Notes in Computer Science, vol 1678. Springer, Berlin, Heidelberg.
NAVRTIL, G. (2011): Cadastre Boundaries: Benefits of Complexity. URISA Journal, 23(1): 19-27.
NAVRTIL, G. & HARNONCOURT, M. (2004): geoTalk: eine Raum-Zeit-Kommunikationsplattform. In: SCHRENK (Ed.) Proceedings & Multimedia 2004, corp.at, pp. 657-663.
THE GUARDIAN (2017): Donald Trump's team defends 'alternative facts' after widespread protests. Monday, 23 Jan. 2017. https://www.theguardian.com/us-news/2017/jan/22/donald-trump-kellyanne-conway-inauguration-alternative-facts. Accessed: 3. Dec. 2017.
TOBLER, W. (1970): A computer movie simulating urban growth in the Detroit region. Economic Geography, 46(Supplement): 234-240.
WIKIPEDIA (2018a): Information. https://en.wikipedia.org/wiki/Information. Accessed Jan. 12 2018.
WIKIPEDIA (2018b): List of premature obituaries. https://en.wikipedia.org/wiki/List_of_premature_obituaries. Accessed: Jan. 4 2018.
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What manner of man is this, that even the winds and the sea obey him?
FRANK ARUNDELL
What manner of man is this, that even the winds and the sea obey him?
(Matthew 8:27)
All Biblical texts from the NRSV, online
COVER: “The Storm on the Sea of Galilee” painted by Rembrandt van Rijn in 1633 and stolen from the Stewart Gardner Museum in 1990, whereabouts unknown
FRANK ARUNDELL
This is a modern tourist map of the Sea of Galilee. “The Sea of Galilee is situated in northeast Israel, between the Golan Heights and the Galilee region, in the Jordan Rift Valley, the valley caused by the separation of the African and Arabian Plates. Consequently, the area is subject to earthquakes, and in the past, volcanic activity. This is evident by the abundant...
basalt and other igneous rocks that define the geology of the Galilee.”
“The Sea of Galilee, is the largest freshwater lake in Israel, and it is approximately 33 mi in circumference, about 13 mi long, and 8.1 mi wide. The lake has a total area of 64.4 sq. mi at its fullest, and a maximum depth of approximately 157 feet. It is the lowest freshwater lake on Earth and the second-lowest lake after the Dead Sea, a saltwater lake. The lake is fed partly by underground springs although its main source is the Jordan River which flows through it from north to south.”
“Today, tourism is the Sea of Galilee’s most important economic activity with the entire region being a popular holiday destination. The many historical and spiritual sites around the lake, especially its main town Tiberias, are visited by millions of local and foreign tourists annually. The Sea of Galilee attracts many Christian pilgrims, because, according to the New Testament, many of Jesus’ miracles occurred on its shores—including his walking on water, calming the storm, and the miracle of the loaves and fishes.” (Wikipedia, annotated)
“On a drought-dried shore of the Sea of Galilee in January 1986, two brothers who were fishermen from Ginosar—called Gennesaret in Jesus’ day [Matt. 14:34, Mark 6:53]—spied a mysterious object poking up out of the mud. Twelve days later, an ancient vessel saw the light of day for the first time since it sank some 2,000 years ago. Scholars suggest it was a combined ferry and fishing boat, and might have even served in a sea battle against the Romans at the battle of Migdal. However, for the millions of Christians who have seen it over the years, and
for those looking forward to doing so in the future, it will always be “the Jesus boat.”
“While no one knows who owned or sailed in the boat or what its purpose was, it serves as a powerful visual reminder of the Gospel stories of Jesus and his disciples, many of whom were fishermen from Galilee” who became fishers of men.
What manner of man is this, that even the winds and the sea obey him?
There are all manner of men. One doesn’t need a Ph.D to figure out what men and women are made of. When sperm meets ovum there is a tiny local creation. Nowadays to think of it as a miracle is considered eccentric. It is the presence or absence of the Y chromosome that determines the male or female sex of the offspring produced in sexual reproduction. Many people know this—most people really don’t or don’t really care. Admittedly there may be aberrations in this matrix, but so far, there is nothing scientifically definitive on the issue other than possible gene manipulation. Lately, sex has much more to do with the “crazy” notions, whence “You go to my head” or to personal, physical satisfaction rather than boring biology or stodgy religiosity. “Woman meets man and man must have his mate, that no one can deny.” It’s still the same old story, but—is it a fight for love and glory? What is love and glory anyway?
What is it that sets one man apart from all other men who have ever lived and will ever live? Those of us with an interest in history can count hundreds of men who have literally changed life on earth by being a king; by winning a crucial battle at a critical time; by making momentous discoveries in science or epic contributions in the arts; by devising political philosophies freeing us from oppression, and so forth; but none were loved no less adored as was the man Jesus of Nazareth, known as the Christ.
The last several hundred years of the second millennium brought such great advances in science that no “knowledgeable” person would expect the world population to live by the rubrics of a religion. Regardless of this progress seventy-five percent of the 7 3/4 billion people in the world (2019) profess some sort of belief in God and religious practices. It seems that the more that is known about the rise of Homo Sapiens, the more people are beginning recognize that the altogether unique and orderly progression and advancement in human nature may not just be the result of chance or “natural selection.” Living as we do, with good and bad side by side as well as within each of us, in the main, the good more often outpaces the bad. The “fight for love and glory” rather than hate and ignominy seems to prevail. Love is paramount, as the man Jesus made perfectly clear. In the classic 1942 movie Casablanca, Herman Hupfeld may have known more than we give him credit for by not becoming just another naysayer in a world at war. He wrote:
“It’s still the same old story
A fight for love and glory
A case of do or die.
The world will always welcome lovers
As time goes by.
Oh yes, the world will always welcome lovers
As time goes by.”
God Bless you Hup!
What unique turn of events brought “Love as a person” into our midst? In the gospel of Luke it is said that a young Jewish maiden by the name of Mary, betrothed to a carpenter named
Joseph, was offered the option of giving birth regardless of the fact she had not “known” a man. In this third millennium who could possibly believe that? In our scientific world you’d have to be either totally stupid or delusional to accept even the possibility of that really happening. However, at least 3.8 billion out of the 7.1 billion of the world’s population are willing to accept that prospect as fact. One could legitimately ask, what on earth could they possibly base this belief? There is absolutely no reasonable explanation for a “biological impossibility” to have gained so much acceptance. Although poll numbers are used to prove many of our sociological and cultural understandings, these numbers cannot be used to suggest, no less prove, a virgin birth.
Still, along with this incredulity we strongly doubt that many people would deny the existence and Jewish origins of Mary, Joseph, et al. as given in scripture. There has been just too much historical and archeological corroboration to throw the holy books, both First and Second Testaments, out the window. Scholars of every epoch have tirelessly parsed every phrase and sentence of these books to prove or disprove their veracity. For centuries archeologists have been scouring the Levant for every scrap of evidence that supports the scriptures. There is little doubt that it was Abraham and the Jews who brought monotheism to civilization and eventually were the people who looked forward to a messianic deliverance. The internet will give you at least forty references to “messianic deliverance” if you are willing to search for it using the title (Prophecies About Jesus, Old Testament Scripture, New Testament Fulfillment), then spend a few hours cross-referencing.
Though the inferences and connections are quite clear it most likely will not be enough to cause an instantaneous conversion to unequivocal belief in the circumstances of Jesus’ arrival on earth. We find the beauty of St. Anselm’s remark relevant here: “I do not seek to understand in order that I may believe, but believe in order to understand” which he gleaned from (Isaiah 7: 9). Obviously faith, for Anselm, came from another place, not concocted by the mind of man nor the result of the idea of “emergence” in evolutionary theory. “Truth is not made it is discovered.”
Something had to have happened with Mary’s reproductive system to fertilize the ovum which produced what the many prophesies of Israel pointed to, a Messiah. In Luke’s gospel the messenger put it poetically:
“The Holy Spirit will come upon you, and the power of the Most High will overshadow you; therefore the child to be born will be holy; he will be called Son of God.”
Believers have called the Holy Spirit the “Giver of Life;” i.e., all life from creation onward. Nine months from the time of Mary’s “annunciation” a normal human birth is said to have taken place in the town of Bethlehem, Judaea, Israel, under arduous circumstances due to certain political events, rather than in Nazareth her hometown. The place of Jesus’ birth was most likely a nearby cave used as an animal shelter since there was no room for them at the “inn” where travelers usually stayed. The circumstances surrounding the birth narratives were also the result of prophesy. (See Micah 5: 2)
Matthew 1: 19 tells us:
At one point, before they were married, “Joseph, being a righteous man and unwilling to expose her to public disgrace, planned to dismiss her quietly. But just when he had resolved to do this, an angel of the Lord appeared to him in a dream and said, ‘Joseph, son of David, do not be afraid to take Mary as your wife, for the child conceived in her is from the Holy Spirit. She will bear a son, and you are to name him Jesus, for he will save his people from their sins.’ All this took place to fulfill what had been spoken by the Lord through the prophet: ‘Look, the virgin shall conceive and bear a son, and they shall name him Emmanuel’, which means, ‘God is with us.’”
The text from Isaiah 7: 14 says:
“‘Hear then, O house of David! Is it too little for you to weary mortals, that you weary my God also? Therefore the Lord himself will give you a sign. Look, the young woman (almah= virgin) is with child and shall bear a son, and shall name him Immanuel.’”
To get the full meaning of the text its good to follow the historic significance surrounding it. Isaiah, prophesied around seven hundred years prior to Savior’s birth. The relationship of Jesus with the God of Israel is very clear and incredibly profound.
Luke 2: 39-40 says:
“When they had finished everything required by the law of the Lord, they returned to Galilee, to their own town of Nazareth.”
The child grew and became strong, filled with wisdom; and the favor of God was upon him.”
Luke continues his narrative with the story of the twelve year old Jesus staying behind in Jerusalem unbeknown by his parents. They were returning to Nazareth in a caravan having participated in the festivities of that years’ Passover. After traveling for a day they missed him and made a worrisome return trip to Jerusalem to try to find him. Luke goes on:
“After three days they found him in the temple, sitting among the teachers, listening to them and asking them questions. And all who heard him were amazed at his understanding and his answers. When his parents saw him they were astonished; and his mother said to him, ‘Child, why have you treated us like this? Look, your father and I have been searching for you in great anxiety.’ He said to them, ‘Why were you searching for me? Did you not know that I must be in my Father’s house?’ But they did not understand what he said to them. Then he went down with them and came to Nazareth, and was obedient to them. His mother treasured all these things in her heart. And Jesus increased in wisdom and in years, and in divine and human favor.”
The story that Luke tells is one that sounds so true to life that one wonders from whom Luke heard it. Luke was a disciple of Paul, as Mark was with Peter, and was not an eye witness to Jesus during his public ministry like John or Matthew were. In our opinion, the story is so intimate that it could only have come from Mary herself, so to whom did Mary tell the story that it filtered down to Luke years later. We know Mary was given to John’s care by Jesus on the day of his death.
Afterwards, it’s probably fair to say that Mary and perhaps the other women stayed close to the apostles for safety, particularly to Peter and John. The conversations that may have gone on between them could have included many of Mary’s recollections regarding her young son which were then passed on and finally inscribed by Luke in his gospel. Of course this is pure speculation but it is a testament to the tradition that was incorporated in the narrative. It seems to us to be typical of a story a mother would tell once she understood the meaning of her son’s remark. Jesus can still be found in his Father’s house for those willing to return to look for him.
In reading the gospels it is not all that difficult to see that Jesus has two natures, one human, from Mary; and one divine, from the Holy Spirit. We also know that there was just one infant wrapped in swaddling clothes and placed in a manger. He is one person like us. Knowing our nature to be strictly human, our will struggles against anything that we find unreasonable; if we can’t find a good reason for things, those things aren’t worth thinking about; the will decides that no decision is necessary and the issue is normally dismissed and hopefully forgotten. But *is* our nature strictly human? Does any other creature we know have Sapiens’ imagination; the ability to transcend the mundane and develop even vague understandings of particle physics and the vital relevancy of spirituality? So far no other creature has written a symphony, or designed a spaceship. We have come a very long way from the Savanna. It may be said that we are not just naturally human but super-naturally human for all intents and purposes. It was the first *human* creatures who knew of God; they were given to see God in the prodigious order of nature. They were made of the earth and born of the Spirit. *Homo religioni* one might say.
Each one of us reflects the life of the Spirit as well as the substance of the stars. The first humans knew the difference between good and evil after they bit into the proverbial apple. Scientific claims that man cannot know things of the Spirit are absurd in our estimation. It is just the newest secular attempt to blind mankind to his inner consciousness of God. In the big picture man has known of God as Spirit since the evolutionary brain to mind transformation. It is with his and her spirit that mankind knows of his and her God connection. In our contemplative moments we don't usually think Emergence; every man's objective is the face of God and the fragility of his own being. It is through the Messiah, Christ Jesus, that we have gotten to see God his Father, as our Father, in him. By his life, death and resurrection the requirements as to his promises were made perfectly clear in the "good news" of the Kingdom of God. Not one stroke of the law has ever been changed; the laws of Torah became more distinctly known as the laws of love and service to each-other which the Sh'ma Yisrael * had said for centuries.
*Sh'ma Yisrael; Hear, Israel, the Lord is our God, the Lord is One. ... And you shall love the Lord your God with all your heart and with all your soul and with all your might.
After quoting the Shema as the “first and greatest commandment,” (Mark 12: 28-34), Jesus immediately goes beyond the question he was asked by a scribe quoting what he called the second greatest commandment: “You shall love your neighbor as yourself” — which he says “is like the first,” and which comes from another book of the law: Leviticus 19:18. Finally, Jesus concludes by saying, “The whole law and the
prophets depend on these two commandments.” Then the scribe said to him, ‘You are right, Teacher; you have truly said that “he is one, and besides him there is no other”; and “to love him with all the heart, and with all the understanding, and with all the strength”, and “to love one’s neighbor as oneself”,—this is much more important than all whole burnt-offerings and sacrifices.’ When Jesus saw that he answered wisely, he said to him, ‘You are not far from the kingdom of God.’ After that no one dared to ask him any question.”
The “fight for love and glory” is resolved as the Father is glorified by Love with a new covenant opening beyond Israel to the whole world—in the Body of Christ. Very different from the burnt animals of antiquity.
Most people are pragmatists to one degree or another. In one sense, pragmatism is another word for practical. Thus the term pragmatism emphasizes the practical consequences in determining the criterion of meaning, truth, or value. Pragmatism is a form of “radical empiricism.” It affirms that all knowledge is derived from experience only, and cannot be derived from reason alone. Pragmatists say there is no *a priori* knowledge in reasoning. This leaves some soft but hopeful believers struggling with the unreasonable aspects of their faith like virgin-birth, being raised from the dead or transubstantiation, etc..etc.. In the early centuries after the crucifixion, and with vigorous evangelization, most of the civilized world lived by faith because it was not that far off from eye witnesses to miraculous or un-explained phenomena known to have taken place. Those centuries of spirituality are waining due to the rapid advances in science. Most pragmatists simply cannot accept the biblical concept of the “grace of God”
because for them, since God cannot be empirically proven to exist, what possible favors or grace can come from a nonexistent entity. They are prone to discount the knowledge and experiences of their forebears, a condition that would tend to make all of history suspect. Truth itself becomes only a relative judgement. Still, three quarters of the world in one way or another believe in the “gospel truth.” We have a feeling that is a miracle in itself. Without the good news that mankind is redeemed and that God is all merciful; and that reconciliation is easily available through Jesus Christ, it is conceivable that the world may descend into an abyss from which it may not recover. In fact, in some quarters of the world this seems to be advancing.
In 1985 and 1986 a not unusual drought in Israel produced a very unusual archeological find. “Buried in a mudbank along the shore of the Sea of Galilee near the ancient town of Migdal for almost two millennia, the remains of the 27 foot fishing boat was discovered by two Israeli fishermen and amateur archaeologists. The discovery touched off a religious and archaeological furor. It was the first (and so far, the only) ancient boat to be recovered from the Sea of Galilee. A few over-enthusiastic Christians hailed it as the boat from which Jesus may have calmed the waters. The odds that Jesus ever sailed in the boat are about 1 in 1,000, says archaeologist Shelley Wachsmann, who directed the excavation and initial preservation of the fragile wooden hull. ‘But even if Jesus didn't sail in this particular boat, it opens a window onto what seafaring was like on the Sea of Galilee during that time,’ says Wachsmann, Meadows Assistant Professor of Biblical Archaeology in Texas A&M University's Nautical Archaeology program.
Wachsmann, then an inspector of underwater antiquities for the Israel Antiquities Authority, recreates the discovery, excavation and conservation of the boat's remains in a 420-page book, *The Sea of Galilee Boat -- An Extraordinary 2,000 Year Old Discovery*, published by Plenum Press in 1995.”
“The first apostles were fishermen, and most of those who heard Jesus preach also would have been fishermen. Probably because of that, Gospel stories and parables include images of fish and fishing. ‘Jesus used familiar ideas that they could understand,’ Wachsmann says.”
“The Gospels mention two specific boats in connection with Jesus -- the one owned by Zebedee, where he met the future apostles Simon Peter and Andrew, [the writer may be a bit confused here) and the one in which he crossed the Sea of Galilee from Capernaum to a ‘desolate place’ where he cast out a demon that possessed a man. There's no way to tell if this boat was either of those, Wachsmann says, but the odds are against it. There's little question that the boat Wachsmann writes about sailed during the period Jesus preached, he says. Using radiocarbon dating of hull timbers and analysis of artifacts and boatbuilding techniques used to construct the hull, the archaeologists determined that the boat was built during a period of 170 years from about 100 BC to about AD 70. The boat probably had a ‘working lifespan’ of between 10 and 20 years within that period, Wachsmann says.”
“Based on historical sources, we estimated that about 2,000 boats like this were on the lake during the period of time we have assigned to the boat,” he says.”
As analyzed by Texas A&M ship construction expert Richard Steffy, professor emeritus of nautical archaeology, it is almost
identical to an image of a fishing boat in a mosaic from the time of Jesus found at the nearby town of Migdal.
‘The hull will help answer questions about seafaring in a time and place about which we know very little,’ Wachsmann says. The hull is now being conserved at the Yigal Allon Center Museum at Kibbutz Ginosar, a communal settlement on the Sea of Galilee not far from the site of the excavation.
We had the privilege of seeing this rare find on a 2009 trip to Egypt and Israel. The photo above is the boat on display at the Allon Museum in Ginosar.
A display model of the boat, built at Texas A&M by nautical archaeology graduate student William Charlton, is on display.
with the exhibit” (Texas A&M University, College Station, Texas)
Model built by Charlton at Texas A&M.
It has always intrigued us when astronomers, looking at the galaxies through their powerful telescopes, are actually looking into the past. The same can be said of archeologists unearthing the stuff of ancient and pre-history. We get the chance to mentally adjust to the scale of things in days gone by. Those who read the scriptures are able to get a vague mental picture
of the events through the texts, but no imagination can compare to seeing related items in reality. For example, it’s one thing to perceive the Sea of Galilee from text or a photograph, but seeing it from an upper hotel balcony at sunrise is definitely another story, the heart is touched. In that early morning air there is a scent of history. Unsubstantiated faith becomes much more trenchant. That’s why this find is important. Though the boat may never have been anywhere near Jesus, Peter, Andrew or Zebedee, this remnant is a relic of the days of witnessed-miracles by Jesus on and around the Sea of Galilee. Seeing it we get a little closer to those holy days of messianic-deliverance. Regardless of what the pragmatists might say, one’s spirituality is strengthened as faith makes sense.
“St. Peter's original name was Simon, sometimes occurring as Symeon.. He was the son of Jonah (Johannes) and was born in Bethsaida, a northern town on The Sea of Galilee. The Apostle Andrew, his brother, and the Apostle Philip were from the same town. Since he had a mother-in-law he was obviously married. (Matt. 8:14). The site of Bethsaida cannot be established with certainty. Bethsaida is mentioned more times in the gospels than any other city with the exception of Jerusalem and Capernaum, yet scholars are still debating its exact location.”
“The name ‘Bethsaida’ means either ‘house of the fisherman’ or ‘house of the hunter.’ Both names fit the geographical context. Bethsaida was one point of what Bargil Pixner called the ‘Evangelical Triangle.’ Korazin and Tabgha were the other two points of the triangle and Capernaum was the midpoint of the triangle’s base. Jesus did most of his mighty works and miracles of his Galilean ministry within these three points. Two recorded miracles are the healing of the blind man outside the city of Bethsaida (Mark 8:22-26) and the feeding of the 5,000 men, plus women and children in a ‘deserted place’ within the
region of Bethsaida (Matt. 14:13-21; Mark 6:31-44; Luke 9:11-17; John 6:1-13). Prior to this miracle, Jesus turned to Philip and asked him where they should buy bread. Philip, whose hometown was nearby would have known where all the bakeries were.”
“The implication that fishing on the Sea of Galilee was well organized is confirmed by what we are told about Jesus’ companions. Simon and Andrew worked in partnership (Luke 5: 7) with James and John, the sons of Zebedee (Luke 5: 10), who had employees (Mark 1: 20). One has the impression that they owned their own boats (Luke 5: 11). They apparently operated under a system whereby fishing rights were farmed out to those who could guarantee a certain supply. Fish did not stay fresh long in the heat of Galilee. To be transported any distance they had to be preserved. The Hebrew and Greek names of a site between Tiberias and Capernaum reveal two techniques. ‘Magdala’ comes from ‘Migdal Nunnaya’, meaning ‘Tower of Fish,’ and evokes a wooden structure in which fish were air-dried. ‘Taricheae’ means a place where fish were pickled. The quality of its product was known as far away as Rome” (The Holy Land, Oxford Archeological Guides, Jerome Murphy O’Connor)
The Jordan River was the border line between the territories ruled by Antipas and Philip, Herod’s sons. If Peter was operating his fishing business in Bethsaida, on the East side of the lake, he had to take his catch across the border to Magdala for processing. Magdala was on the West side of the lake, south of Capernaum. They had to pay a tax to cross the border. At some point in time he must have moved the business, with others we suppose, to Capernaum, to increase his profits by saving the tax as well as shortening the trip to Magdala where
the fish were air-dried, smoked or pickled before going to market.
While there is a substantial archeological find of a fisherman’s house at Et Tell (Bethsadia Julia), Peter’s second house can be seen in Capernaum today. This is the house where his mother-in-law was cured of a high fever by Jesus according to the gospels. (Matt., 8: 14; Luke, 4: 38-40) The Franciscan’s, a Catholic religious order, have done a marvelous archeological job over a long period of time for pilgrims to see much of the town of Capernaum unearthed—the town that Jesus made his home. A modern church has been built over the site of what is thought to be Peter’s house with a glass floor that permits a view of the center of the house.
The first three gospels are, in the main, chronologically pretty much the same. Only the forth gospel differs telling the story of Jesus’ recruiting his disciples and finally appointing them “Apostles” to spread the good news of The Kingdom of God to the whole world. Regarding the recruitment we will use Matthew’s and John’s gospels to accentuate the difference. Then we will try to explain the various lake-crossings from Matthew’s narrative, specifically the one that lead to the exclamatory interrogative we used to title this essay. “What manner of man is this, that even the wind and the sea obey him?”
In Matthew 1 and 2, after the genealogy and the birth and infancy stories, he writes of the desert of Judaea where John the Baptist is preaching repentance based on the coming of the Kingdom of Heaven, essentially, the coming of the Messiah.
Matthew 3; 13 says:
“Then Jesus came from Galilee to John at the Jordan, to be baptized by him. John would have prevented him, saying, ‘I need to be baptized by you, and do you come to me?’ But Jesus answered him, ‘Let it be so now; for it is proper for us in this way to fulfill all righteousness.’ Then he consented. And when Jesus had been baptized, just as he came up from the water, suddenly the heavens were opened to him and he saw the Spirit of God descending like a dove and alighting on him. And a voice from heaven said, ‘This is my Son, the Beloved,* with whom I am well pleased.’”
Many from Judaea and the Jordan district came to be baptized by John. Jesus entered public life by coming to be baptized as well. Following the baptism he is “led by the Spirit” to “a desolate hilly region stretching from the central ridge of Palestine to the Jordan Valley and the Red Sea.” (NJB, p. 1613, Ch.3 footnote f) There, he is said to be tempted by the devil after fasting for forty days and forty nights. After hearing that the Baptist had been arrested he returned to Galilee according to Matthew’s gospel. Leaving his home in Nazareth, he settled in Capernaum to begin preaching “Repentance” and “the Kingdom of Heaven is at hand.”
By comparison, John’s gospel Ch. 1, opens with his beautiful prologue then goes directly to John (the Baptist) baptizing at “Bethany on the far side of the Jordan,” not the Bethany nearer Jerusalem. This site would agree with Matthew’s site, about 60 mi. south of the southern tip of the lake on the East side of the Jordan River closer to the Dead Sea.
Where the gospels differ is with (John, 1: 35):
“The next day John again was standing with two of his disciples, and as he watched Jesus walk by, he exclaimed,
‘Look, here is the Lamb of God!’ The two disciples heard him say this, and they followed Jesus. When Jesus turned and saw them following, he said to them, ‘What are you looking for?’ They said to him, ‘Rabbi’ (which translated means Teacher), ‘where are you staying?’ He said to them, ‘Come and see.’ They came and saw where he was staying, and they remained with him that day. It was about four o’clock in the afternoon. One of the two who heard John speak and followed him was Andrew, Simon Peter’s brother. He first found his brother Simon and said to him, ‘We have found the Messiah’ (which is translated Anointed*). He brought Simon* to Jesus, who looked at him and said, ‘You are Simon son of John. You are to be called Cephas’ (which is translated Peter*).
John, 1: 43, follows with this:
“The next day Jesus decided to go to Galilee. He found Philip and said to him, ‘Follow me.’ Now Philip was from Bethsaida, the city of Andrew and Peter. Philip found Nathanael and said to him, ‘We have found him about whom Moses in the law and also the prophets wrote, Jesus son of Joseph from Nazareth.’ Nathanael said to him, ‘Can anything good come out of Nazareth?’ Philip said to him, ‘Come and see.’ When Jesus saw Nathanael coming towards him, he said of him, ‘Here is truly an Israelite in whom there is no deceit!’ Nathanael asked him, ‘Where did you come to know me?’ Jesus answered, ‘I saw you under the fig tree before Philip called you.’ Nathanael replied, ‘Rabbi, you are the Son of God! You are the King of Israel!’ Jesus answered, ‘Do you believe because I told you that I saw you under the fig tree? You will see greater things than these.’ And he said to him, ‘Very truly, I tell you, you will see heaven opened and the angels of God ascending and descending upon the Son of Man.’”
After this, in John’s gospel, they all went off to a wedding at Cana in Galilee, to which the disciples were invited for the miracle that convinced them of their decision to leave everything behind and set out following the presumed Messiah. Who could deny a man who could change jugs of water into the finest wine.
Now, in Matthew’s gospel, after Jesus is “settled” in Capernaum he is said to have found his disciples while walking by the lake rather than at the baptismal site in the South according to John.
(Matthew 4: 18) says this:
“As he walked by the Sea of Galilee, [one would assume in Capernaum] he saw two brothers, Simon, who is called Peter, and Andrew his brother, casting a net into the lake—for they were fishermen. And he said to them, ‘Follow me, and I will make you fishers of men.’ Immediately they left their nets and followed him. As he went from there, he saw two other brothers, James son of Zebedee and his brother John, in the boat with their father Zebedee, (Simon’s partners) mending their nets, and he called them. Immediately they left the boat and their father, and followed him.”
NOTE:
One can imagine Zebedee and Simon and Andrew’s family being pretty upset that the fishing enterprise of their “partnership” was suddenly in jeopardy; not understanding the magnitude of the Messianic event. Our imagination tells us that these families had just enough of a thriving business so as not to impoverish those who would be left behind. We do not believe they were abjectly poor people. Alicia J. Batten Associate Professor, University of Waterloo, Canada says;
“There was no free market that functioned independently from other dimensions of society, and little if any upward mobility. Most peasant fishing families *were* poor and lived at subsistence level, while a small minority of elites held the bulk of wealth and power. Fishing licenses were required for access to certain areas, and fishermen needed various raw materials such as wood for their boats and flax for their nets. Evidently, families occasionally had to hire day laborers for assistance with the haul (Mark 1:19-20).” The size of the fisherman’s house unearthed in Bethsaida Julia tells a little different story, but we will not argue with Dr. Batten. One also wonders how Peter’s wife might have responded to what today would constitute abandonment.
Now both gospels have Jesus baptized by John at “Bethany on the far-side of the Jordan.” John’s gospel has Jesus meeting Andrew, Peter, Philip and Nathanael there. All this before the Baptist was arrested and subsequently beheaded. According to John’s gospel, Jesus spent a considerable amount of time, maybe a year or so in Judaea while the Baptist was also ministering. They were both involved baptizing, though it was Jesus’ disciples who were doing the baptizing. He left again for Galilee through Samaria, and wound up for the second time at Cana. The question remains, were the disciples who were baptizing, Andrew, Peter, Philip, Nathanael, or others?
In Matthew, after the Baptist is arrested Jesus returned to Galilee (Matt, 4: 12-13) and proceeds to call or recall, as has been suggested, Peter, Andrew, James and John. He goes ahead with them in tow and draws huge crowds, preaching and curing everywhere he went.
To throw a little more light on this seeming contradiction we have included a piece from Fr. Ryan Erlenbush’s blog. We
cannot claim enough scholarship to offer a conclusion on this apparent contradiction. We will simply take the gospels as they are written. Feel free to skip Fr. Ryan’s input if you wish, since our primary interest is in the lake crossings, the multiplication of the loaves and fishes recorded in all four gospels (in Matthew and Mark twice); and Jesus’ miracles on the water with reference to the “Jesus boat” as recorded by John and Matthew.
From *The New Theological Movement*: Fr Ryan says:
“There are times when the gospels are not entirely clear as to the historical order of events — when this occurs, we are not necessarily bound to assume that they are related in chronological order. However, at other times, the gospel writers specify chronology, and then we must affirm that the historical chronology given is true. When there is an apparent contradiction, we must try to understand how the gospels are harmonious.”
In Mark (as well as Matthew and Luke), it is very clear that John the Baptist had already been arrested when Peter and Andrew as well as James and John were called by Jesus: (Mark 1:14). However, in John, it is equally clear that the Baptist had not yet been arrested when Andrew and Peter were called, since it is John the Baptist who says to Andrew, Behold, the Lamb of God. The only logical conclusion must be that there were two vocations, two callings of these apostles. Jesus had called Andrew and Peter first when they were still disciples of John the Baptist and then, some time later, called them a second time while they were fishing (after the Baptist had been arrested). This, however, means that some amount of time passed from Jesus’ baptism in the Jordan and fasting in the desert (cf. Mark 1:13) and the arrest of John and calling of the disciples (cf.
Mark 1:14). So, just how much time did pass between Mark 1:13 and 14? The time after Jesus’ baptism and before John’s arrest a full year passes between the fast in the desert and the arrest of the Baptist. This time period is recalled only by St. John, comprising the first three chapters of St. John’s Gospel. Consider the commentary of Fr. Cornelius a’Lapide on Matthew 4:12:
“Matthew, Mark, and Luke all omit the ambassadors of the Jews meeting John the Baptist, asking him if he is the Messiah. To this first year of Christ’s ministry pertain also the turning water into wine, the driving the buyers and sellers out of the temple, and the discourse with Nicodemus. These all took place before the imprisonment of the Baptist, and are related only by John. For before his imprisonment Christ had committed to John the work of preaching, but now He took that office upon Himself.”
“Speaking of the passage of a year between Mark 1:13 and 14, the Venerable St. Bede (cited in the Catena Aurea) writes:
“Let no one, however, suppose that the putting of John in prison took place immediately after the forty days’ temptation and the fast of the Lord; for whoever reads the Gospel of John will find, that the Lord taught many things before the putting of John in prison, and also did many miracles; for you have in his Gospel, This beginning of miracles did Jesus; and afterwards, for John was not yet cast into prison. Now it is said, that when John read the books of Matthew, Mark, and Luke, he approved indeed the text of the history, and affirmed that they had spoken truth, but said that they had composed the history of only one year after John was cast into prison, in which year also he suffered. Passing over then the year of which the transactions
had been published by the three others, he related the events of the former period, before John was cast into prison.”
“And thus, it is clear that there need be no contradiction between the calling of Peter and Andrew as related in the synoptic gospels and that of St. John – for there were two callings, which took place roughly one year apart. And it was fitting that Jesus should call these apostles twice, for they were disciples of the Baptist and did not begin to follow Christ publicly until after the Baptist had been arrested and so run his course.” So says Fr. Ryan.
There are some who are somewhat critical of Ryan’s theological judgements. This particular post has little to do with theology. What Fr. Ryan is suggesting is that a “double-calling” seems to be the consensus of many theologians.
In a previous essay we wrote: We don’t exactly experiment with the gospels to prove them true. We consider the texts sacred because the events that were recorded were witnessed first hand by individuals whom we have traditionally learned to trust. However, the tradition was handed down in the community in the form of stories, parables and short sayings remembered for their teaching or for the light they shed on the person or the message of Jesus. As to their date, scholars can only be sure that they all stem from the last forty years of the first century. (Pocket edition NJB, Doubleday 1990.) It is reasonable not to expect the chronology between them to perfectly harmonize.
There was no editor-in-chief for the New Testament save the Holy Spirit. I’m sure St. Jerome also wrestled with what could be called apparent contradictions. We tend to favor John’s gospel since he was one of those chosen with his brother James at Capernaum, as told to us by Matthew. There has been some
conjecture in the past that there were two “Johns,” one, the Apostle another the Evangelist, but most scholars agree that they are one and the same person. It is he who would have known whether Andrew and Peter had been chosen once before then called a second time. Matthew came later (Matt. 9: 9) and would had to have heard about the recruitment story from the others as would Mark and Luke. Who knows, maybe Matthew, being a tax collector, may have even collected tolls from Peter or Zebedee. We ought never try to fit the picture to the frame but let the frame fit the picture. Humanity has not exactly been perfected yet.
Since the disciples were totally committed to Jesus one would have to assume that their boat or boats were at his disposal. Who would refuse a man who is able to change water into wine, cure serious diseases by touch, or cure a Roman officer’s servant unseen and at a distance. In the following few pages after Peter’s mother-in-law, and many others had been cured of their maladies, we feature the activities in Matthew’s gospel that pertain to the use of the boat. Continuing with the narrative he got into *the* boat, most likely Peter’s boat, followed by the disciples and headed across the lake for the Eastern shore, Gadara. Matthew continues:
“A gale arose on the lake, so great that the boat was being swamped by the waves; but he was asleep. And they went and woke him up, saying, ‘Lord, save us! We are perishing!’ And he said to them, ‘Why are you afraid, you of little faith?’ Then he got up and rebuked the winds and the sea; and there was a dead calm. They were amazed, saying, ‘What manner of man is this, that even the winds and the sea obey him?’”
At Gadara he dispatched “evil spirits” from two demoniacs into a herd of swine which subsequently charged into the lake and
were drowned. He promptly was asked to leave that place by the Gadarenes. He and the disciples got back in the boat and crossed the lake returning to Capernaum. By this time everyone knew the power of God was in him. Wherever he went large crowds followed him to hear what he had to say; on one occasion he got on the boat and sat there (probably on stowed nets) to preach, thus keeping the crowds from pressing in. The people all stood on the beach as he related his parables from the boat.
Some time later, Jesus found out that the Baptist had been murdered. Once again, with the disciples, he crossed the lake to a lonely place, probably near Bethsaida, to rest. Still, the crowds were able to find him. Matthew 14: 13 relates what happened:
“When he went ashore, he saw a great crowd; and he had compassion for them and cured their sick. When it was evening, the disciples came to him and said, ‘This is a deserted place, and the hour is now late; send the crowds away so that they may go into the villages and buy food for themselves.’ Jesus said to them, ‘They need not go away; you give them something to eat.’ They replied, ‘We have nothing here but five loaves and two fish.’ And he said, ‘Bring them here to me.’ Then he ordered the crowds to sit down on the grass. Taking the five loaves and the two fish, he looked up to heaven, and blessed and broke the loaves, and gave them to the disciples, and the disciples gave them to the crowds. And all ate and were filled; and they took up what was left over of the broken pieces, twelve baskets full. And those who ate were about five thousand men, besides women and children.”
Following this he had the disciples get into the boat and go ahead to the other side while he dismissed the crowd, Matthew continues:
"After he had dismissed the crowds, he went up the mountain by himself to pray. When evening came, he was there alone, but by this time the boat, battered by the waves, was far from the land,* for the wind was against them. And early in the morning he came walking towards them on the lake. But when the disciples saw him walking on the lake, they were terrified, saying, ‘It is a ghost!’ And they cried out in fear. But immediately Jesus spoke to them and said, ‘Take heart, it is I; do not be afraid.’ Peter answered him, ‘Lord, if it is you, command me to come to you on the water.’ He said, ‘Come.’ So Peter got out of the boat, started walking on the water, and came towards Jesus. But when he noticed the strong wind,* he became frightened, and beginning to sink, he cried out, ‘Lord, save me!’ Jesus immediately reached out his hand and caught him, saying to him, ‘You of little faith, why did you doubt?’ When they got into the boat, the wind ceased. 33And those in the boat worshipped him, saying, ‘Truly you are the Son of God.’”
They landed at Gennesaret where huge crowds gathered bringing their sick and infirm to be cured, and he cured them.
After a visit to the region of Tyre and Sidon in today’s Lebanon he met an intrepid Canaanite woman for a conversation; then returned to the shores of the lake and fed another 4000 people on a mountainside after curing many them of their diseases in the same manner he had fed and cured the others. In Matthew’s gospel this is known as the “Second miracle of the loaves.” When the crowds had dispersed he and the disciples boarded the boat again and went to the territory of Magidan (Magdala) where he was asked by Pharisees and Sadducees to show them
a sign from heaven; whereupon he gave them the well known meteorological couplet about reading the face of a red sky in the morning; telling them that the only sign they will be given is “the sign of Jonah” obviously signifying his three days in the tomb of Arimathea.
They crossed the lake again and went north to Caesarea Philippi; about 25 miles north of Bethsaida, where Peter professed his faith and was given pre-eminence by Jesus; the “keys of the kingdom of Heaven.” Catholics believe this was the birth of the concurrent papacy where mere men, like Peter, attempt to live up to the promises of Christ.
Six days later, according to Matthew, the major event of the Transfiguration took place on Mt. Tabor in lower Galilee eleven miles west of the Southern tip of the lake. Obviously they had returned to the West side by boat. Further preaching and teaching continuously took place in and around Capernaum. An interesting fishing incident happened there as well, Matthew says:
“The collectors of the temple tax came to Peter and said, ‘Does your teacher not pay the temple tax?’ He said, ‘Yes, he does.’ And when he came home, Jesus spoke of it first, asking, ‘What do you think, Simon? From whom do kings of the earth take toll or tribute? From their children or from others?’ When Peter said, ‘From others’, Jesus said to him, ‘Then the children are free. However, so that we do not give offense to them, go to the lake and cast a hook; take the first fish that comes up; and when you open its mouth, you will find a coin; take that and give it to them for you and me.’”
“When he had finished what he wanted to say they left Galilee and came into Judaea on the far side of the Jordan.” Matthew
does not elaborate how they got there, one would presume, again, by boat.
After Jesus’ passion and resurrection the eleven returned to Galilee to the mountain where Jesus had arranged to meet them. In Matthew 28: 16, he says:
“When they saw him, they worshipped him; but some doubted. And Jesus came and said to them, ‘All authority in heaven and on earth has been given to me. Go therefore and make disciples of all nations, baptizing them in the name of the Father and of the Son and of the Holy Spirit, and teaching them to obey everything that I have commanded you. And remember, I am with you always, to the end of the age.’” And so it is.
In John’s gospel there are far fewer incidents regarding the boat. Much time is spent in Judaea, in and around Jerusalem at least for a year as previously noted. When they did get back to Galilee in John’s Chapter 6, they crossed to the East side of the lake (most likely to the same location near Bethsaida as Mathew said). John then tells his version of the multiplication of the loaves and fishes. John says:
Jesus went to the other side of the Sea of Galilee, also called the Sea of Tiberias. A large crowd kept following him, because they saw the signs that he was doing for the sick. Jesus went up the mountain and sat down there with his disciples. Now the Passover, the festival of the Jews, was near. When he looked up and saw a large crowd coming towards him, Jesus said to Philip, ‘Where are we to buy bread for these people to eat?’ He said this to test him, for he himself knew what he was going to do. Philip answered him, ‘Six months’ wages would not buy enough bread for each of them to get a little.’ One of his disciples, Andrew, Simon Peter’s brother, said to him, ‘There is
a boy here who has five barley loaves and two fish. But what are they among so many people?’ Jesus said, ‘Make the people sit down.’ Now there was a great deal of grass in the place; so they sat down, about five thousand in all. Then Jesus took the loaves, and when he had given thanks, he distributed them to those who were seated; so also the fish, as much as they wanted. When they were satisfied, he told his disciples, ‘Gather up the fragments left over, so that nothing may be lost.’ So they gathered them up, and from the fragments of the five barley loaves, left by those who had eaten, they filled twelve baskets. When the people saw the sign that he had done, they began to say, ‘This is indeed the prophet who is to come into the world.’
In John’s gospel, similar to Matthew’s, after the miracle of the loaves an incident on the water took place. John tells it this way:
When Jesus realized that they were about to come and take him by force to make him king, he withdrew again to the mountain by himself.
When evening came, his disciples went down to the lake, got into a boat, and started across the lake to Capernaum. It was now dark, and Jesus had not yet come to them. The lake became rough because a strong wind was blowing. When they had rowed about three or four miles, they saw Jesus walking on the lake and coming near the boat, and they were terrified. But he said to them, ‘It is I; do not be afraid.’ Then they wanted to take him into the boat, and immediately the boat reached the land towards which they were going.
“The next day the crowd that had stayed on the other side of the lake saw that there had been only one boat there. They also saw that Jesus had not got into the boat with his disciples, but
that his disciples had gone away alone. Then some boats from Tiberias came near the place where they had eaten the bread after the Lord had given thanks. So when the crowd saw that neither Jesus nor his disciples were there, they themselves got into the boats and went to Capernaum looking for Jesus.”
“When they found him on the other side of the lake, they said to him, ‘Rabbi, when did you come here?’ Jesus answered them, ‘Very truly, I tell you, you are looking for me, not because you saw signs, but because you ate your fill of the loaves. Do not work for the food that perishes, but for the food that endures for eternal life, which the Son of Man will give you. For it is on him that God the Father has set his seal.’ Then they said to him, ‘What must we do to perform the works of God?’ Jesus answered them, ‘This is the work of God, that you believe in him whom he has sent.’ So they said to him, ‘What sign are you going to give us then, so that we may see it and believe you? What work are you performing? Our ancestors ate the manna in the wilderness; as it is written, “He gave them bread from heaven to eat.” ’ Then Jesus said to them, ‘Very truly, I tell you, it was not Moses who gave you the bread from heaven, but it is my Father who gives you the true bread from heaven. For the bread of God is that which comes down from heaven and gives life to the world.’ They said to him, ‘Sir, give us this bread always.’”
“Jesus said to them, ‘I am the bread of life. Whoever comes to me will never be hungry, and whoever believes in me will never be thirsty.’”
Following this, Jesus engages in the most beautiful and intense discourse in the synagogue at Capernaum, the capstone of John’s gospel. He then continued traveling around Galilee for some time. When the feast of Shelters drew near he bid the
disciples to go up to Jerusalem by themselves. However, after his brothers had left he secretly went up himself and when the festival was half over he began to teach again in the Temple. By directly confronting the authorities his passion, death and resurrection were near.
In the epilogue to John’s gospel, after the resurrection Jesus again revealed himself to the disciples. John’s gospel says:
“Gathered there together were Simon Peter, Thomas called the Twin, Nathanael of Cana in Galilee, the sons of Zebedee, and two others of his disciples. Simon Peter said to them, ‘I am going fishing.’ They said to him, ‘We will go with you.’ They went out and got into the boat, but that night they caught nothing.”
“Just after daybreak, Jesus stood on the beach; but the disciples did not know that it was Jesus. Jesus said to them, ‘Children, you have no fish, have you?’ They answered him, ‘No.’ He said to them, ‘Cast the net to the right side of the boat, and you will find some.’ So they cast it, and now they were not able to haul it in because there were so many fish. That disciple whom Jesus loved said to Peter, ‘It is the Lord!’ When Simon Peter heard that it was the Lord, he put on some clothes, for he was naked, and jumped into the lake. But the other disciples came in the boat, dragging the net full of fish, for they were not far from the land, only about a hundred yards off.”
“When they had gone ashore, they saw a charcoal fire there, with fish on it, and bread. Jesus said to them, ‘Bring some of the fish that you have just caught.’ So Simon Peter went aboard and hauled the net ashore, full of large fish, a hundred and fifty-three of them; and though there were so many, the net was not torn. Jesus said to them, ‘Come and have breakfast.’ Now none of the disciples dared to ask him, ‘Who are you?’ because they
knew it was the Lord. Jesus came and took the bread and gave it to them, and did the same with the fish. This was now the third time that Jesus appeared to the disciples after he was raised from the dead.”
“When they had finished breakfast, Jesus said to Simon Peter, ‘Simon son of John, do you love me more than these?’ He said to him, ‘Yes, Lord; you know that I love you.’ Jesus said to him, ‘Feed my lambs.’ A second time he said to him, ‘Simon son of John, do you love me?’ He said to him, ‘Yes, Lord; you know that I love you.’ Jesus said to him, ‘Tend my sheep.’ He said to him the third time, ‘Simon son of John, do you love me?’ Peter felt hurt because he said to him the third time, ‘Do you love me?’ And he said to him, ‘Lord, you know everything; you know that I love you.’ Jesus said to him, ‘Feed my sheep. Very truly, I tell you, when you were younger, you used to fasten your own belt and to go wherever you wished. But when you grow old, you will stretch out your hands, and someone else will fasten a belt around you and take you where you do not wish to go.’ (He said this to indicate the kind of death by which he would glorify God.) After this he said to him, ‘Follow me.’”
“Peter turned and saw the disciple whom Jesus loved following them; he was the one who had reclined next to Jesus at the supper and had said, ‘Lord, who is it that is going to betray you?’ When Peter saw him, he said to Jesus, ‘Lord, what about him?’ Jesus said to him, ‘If it is my will that he remain until I come, what is that to you? Follow me!’ So the rumor spread in the community that this disciple would not die. Yet Jesus did not say to him that he would not die, but, ‘If it is my will that he remain until I come, what is that to you?’”
“This is the disciple who is testifying to these things and has written them, and we know that his testimony is true. But there
are also many other things that Jesus did; if every one of them were written down, I suppose that the world itself could not contain the books that would be written.”
The Feast of Corpus Christi
Gospel Acclamation John 6:51
Alleluia, alleluia.
I am the living bread that came down from heaven, says the Lord; whoever eats this bread will live forever.
Alleluia, alleluia.
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The present invention provides a one-pot method of preparing an unprotected α-O-glycolipid. The first step involves contacting a protected α-iodo sugar with a catalyst and a lipid comprising a hydroxy group, under conditions sufficient to prepare a protected α-O-glycolipid. The second step involves deprotecting the protected α-O-glycolipid under conditions sufficient to prepare the unprotected α-O-glycolipid, wherein the contacting and deprotecting steps are performed in a single vessel. The present invention also provides a one-pot method of preparing an unprotected β-O-glycolipid following the steps for the preparation of the unprotected α-O-glycolipid.
12 Claims, 5 Drawing Sheets
Scheme 1: Synthesis of lipid chain acceptor 7
\[
\begin{align*}
\text{OH} & \quad \text{BnO} \\
\text{HO} & \quad \text{OH} \\
\text{O} & \quad \text{O} \\
\text{C}_2\text{H}_5 & \quad \text{C}_5\text{H}_{11} \\
\text{O} & \quad \text{O} \\
\text{CH}_3 & \quad \text{CH}_3 \\
\end{align*}
\]
1. NaH, BnBr, DMF, RT
2. 70% AcOH, 80°C, 79%, 2 steps
Oleic acid, DCC, cat. DMAP
DCM, 58%
Palmitic acid, DCC, cat. DMAP
DCM, Quant.
1 M. BCl₃/DCM
69%
7
FIG. 1
TMSO OTMS
a. TMSI, CH$_2$Cl$_2$, 0° C
b. n-octanol, Ag$_2$CO$_3$, CH$_2$Cl$_2$, 24h
c. Dowex, methanol, 3h
60%, mostly beta
FIG. 2
a. TMSI, CH$_2$Cl$_2$, 0° C
b. compound 8, Ag$_2$CO$_3$, toluene reflux 12h
c. Dowex, methanol, 3h
58%, β-only
FIG. 3
1a. TMSI, CH$_2$Cl$_2$, 0° C
b. cholesterol, Ag$_2$CO$_3$, toluene, reflux, 14h
c. Dowex, methanol, 3h, 56%, 1:9 alpha/beta
2. Palmitic acid, DCC, DMAP, DCM:Pyr., 0° C-RT, 2 d, 43%
a. TMSI, CH$_2$Cl$_2$, 0°C
b. n-octanol, Ag$_2$CO$_3$, CH$_2$Cl$_2$, rt, 15h
c. Dowex, methanol, 3h
34% β-only
FIG. 5
ONE-POT SYNTHESIS OF ALPHA/BETA-Ø-GLYCOLIPIDS
CROSS-REFERENCES TO RELATED APPLICATIONS
This application is the U.S. National Stage entry under §371 of International Application No. PCT/US2008/059666, filed Apr. 8, 2008, which claims priority to U.S. Provisional Application No. 60/910,728, filed Apr. 9, 2007, and each is incorporated herein by reference in its entirety.
STATEMENT AS TO RIGHTS TO INVENTIONS MADE UNDER FEDERALLY SPONSORED RESEARCH OR DEVELOPMENT
This invention was made with government support under Grant Nos. CHE-0210807 and OSTI 97-24412 awarded by the National Science Foundation, and Grant Nos. 5R21GM075093-02 and 1R21GM075093-01 awarded by the National Institute of Health. The government has certain rights in the invention.
BACKGROUND OF THE INVENTION
In 1993, six novel galactosyl ceramides with unique α-glycosidic linkages were isolated from the marine sponge *Aeglas mauritianus* near Okinawa, Japan. (Natori, T. et al., *Tetrahedron Lett.*, 34, 5591 (1993); Natori, T. et al., *Tetrahedron*, 50, 2771 (1994).) These compounds showed highly potent antitumor activities, which prompted various synthetic studies. (Motoki, K. et al., *Bioorg. Med. Chem. Lett.*, 5, 705 (1995).) Among the many analogues synthesized, KRN7000 (see structure below) was found to be the most potent (Kobayashi, E. et al., *Bio. Med. Chem.*, 4, 615 (1996)) and extensive mechanistic studies indicated that the anti-tumor activity was the result of CD1d-dependent natural killer T-cell (NKT) stimulation. (Kobayashi, E. et al., *Bio. Med. Chem.*, 4, 615 (1996); Kawano, T. et al., *Science*, 278, 1626 (1997).) CD1d molecule is a member of the CD1 family proteins that present lipid antigens to NKT cells to activate the immune response. It is proposed that CD1d recognizes KRN7000 and the binding complex interacts with the T-cell receptor (TCR) to NKT cells stimulating the release of two major cytokines known as INF-γ and IL-4. (Wu, D. et al., *Proc. Natl. Acad. Sci.*, 102, 1351 (2005); Porcelli, S. A. and Modlin R. L., *Annu. Rev. Immunol.*, 17, 297 (1999); Kinjo, Y. et al., *Nature*, 434, 520 (2005).) The two cytokines, however, can cancel each other’s beneficial therapeutic effect as one pathway down-regulates the other. (Pal, E. et al., *J. Immunol.*, 166, 662 (2001); Berkers, C. R. and Ovaas, H., *Trends Pharmacol. Sci.*, 26, 252 (2005).) Interestingly, different KRN7000 analogs selectively stimulate cytokine production. For example, OCH (see structure below), which has only 9 carbons in the acyl chain of ceramide, produces predominately IL-4 and exhibits greater efficacy than KRN7000 against the autoimmune disease experimental allergic encephalomyelitis. (Pal, E. et al., *J. Immunol.*, 166, 662 (2001); Miyamoto, K. et al., *Nature*, 413, 531 (2001).) Whereas, the C-glycoside analogue of KRN7000, cKRN7000 (see structure below) upregulates IFN-γ and is 100 times more potent than KRN7000 in inhibiting tumor growth in mice. (Yang, G. et al., *Angew. Chem. Int. Ed.*, 43, 3818 (2004).)
Numerous efforts have been invested in the syntheses of α-GalCer analogs to access these biologically important compounds in pure form for biological and biomedical studies. However, considerable challenges remain. Arguably, the biggest hurdle in the synthesis is the glycosylation reaction, which often gives low yields and poor α/β selectivity. To achieve the desired chemo- and stereoselectivity, multi-step protections and deprotections are required lowering the overall synthetic efficiency. Initially, glycosyl fluorides (Sakai, T. et al., *J. Med. Chem.*, 41, 650 (1998); Ndonye, R. M. et al., *J. Org. Chem.*, 70, 10260 (2005); Kim, S. et al., *Synthesis*, 847 (2004); Morita, M. et al., *J. Med. Chem.*, 38, 2176 (1995)) and trichloroacetimidates (Kim, S. et al., *Synthesis*, 847 (2004); Xia, C. et al., *Bioorg. Med. Chem. Lett.*, 16, 2195 (2006); Plettenburg, O. et al., *J. Org. Chem.*, 67, 4559 (2002); Figueroa-Perez, S. and Schmidt, R. R., *Carbohydrate Research*, 328, 95 (2000)) were the most commonly used glycosyl donors. These protocols gave marginal yields (30%-60%) and were often complicated by the formation of α/β mixtures. Other glycosyl donors such as bromides (Goff, R. D. et al., *J. Am. Chem. Soc.*, 126, 13602 (2004), thiogalactoside (Plettenburg, O. et al., *J. Org. Chem.*, 67, 4559 (2002)), and phosphites (Luo, S. Y. et al., *J. Org. Chem.*, 71, 1226 (2006)) have also been employed, however neither yields nor stereoselectivities were improved.
Recently, a significant advance in the glycosylation reaction using glycosyl iodide donors was reported. (Du, W. and Gervay-Hague, J., *Org. Lett.*, 7, 2063 (2005).) Reactions of per-O-benzylated galactosyl iodide with an azido sphingosine in the presence of tetrabutylammonium iodide afforded exclusively the α-anomer in over 90% yield. An azido group is used in place of the amide because, if left intact during the glycosylation, the amide deactivates the primary hydroxyl of the acceptor through unfavorable hydrogen bonding interactions. (Polt, R. et al., *J. Am. Chem. Soc.*, 114,
There have been several attempts to incorporate fully functionalized glycolipids as acceptors but with limited success. Ceramide acceptors as such give complex mixtures with per-O-benzylated fluoride and trichloroacetimidate donors; whereas a TBS-protected ceramide acceptor affords coupling products in moderate yields and selectivity (e.g., Fluoride, 68%, $\alpha/\beta=1.7/1$; imidate, 63%, only $\alpha$). (Kim, S. et al., *Synthesis*, 847 (2004).) Similarly, 3,4,6-tri-O-acetyl, 2-O-benzyl galactosyl bromide had been coupled with acetylated acceptor in 62% yields to obtain $\alpha$-linked product along with a minor, difficult to separate, $\beta$-isomer. (Goff, R. D. et al., *J. Am. Chem. Soc.*, 126, 13602 (2004).)
As discussed above, a major challenge in the synthetic pathway of glycolipids is the glycosylation reaction, which often gives low yields and poor $\alpha/\beta$ selectivity. Historically, the most common method to synthesize $\beta$-linked glycolipids involved the glycosylation between a protected lipid acceptor (usually azido-sphingosine or azido-phytosphingosine) and a protected donor containing a C2 participating group designed to capitalize on anhimeric assistance. Some common examples from the literature include the use of per-O-benzoylated thiogalactosides (Fukunaga, K. et al., *Bioorg. Med. Chem. Lett.*, 13, 813, (2003)), per-O-acetyl sugars (Morita, M. et al., *Bioorg. Med. Chem. Lett.*, 5, 699, (1995)), and per-O-pivaloylated trichloroacetimidates (Matto, P. et al., *J. Org. Chem.*, 72, 7757, (2007)).
While the stereo-selectivity reported in these reactions highly favors the desired $\beta$-glycoside, the presence of a participating group at the C2 position lowers the reactivity of the donor and severely limits the options available when working towards more complex synthetic targets (such as in oligosaccharide synthesis) thereby making several (and often redundant) protection-deprotection steps required. Recently, significant advances in yield and $\alpha$-selectivity of glycosylation reactions have been achieved via the use glycosyl iodide donors (Du, W., Kulkarni, S. S., Gervay-Hague, *J. Chem. Commun.*, 2336-2338 (2007)). But prior methods of making $\beta$-linked glycolipids involved multi-step schemes with isolation after each intermediate step (Lichtenhaler, F. W., Kohler, B. *Carbohydrate Research*, 258, 77-85 (1994)). What is needed is a single-pot process for preparation of $\alpha$-linked and $\beta$-linked glycolipids. It is an attractive strategy to employ fully functionalized ceramide acceptors because tedious protection and deprotection steps, many subsequent to glycosidation, can be alleviated. Surprisingly, the present invention meets this and other needs.
**BRIEF DESCRIPTION OF THE FIGURES**
FIG. 1 shows the synthesis of lipid chain acceptor 7.
FIG. 2 shows the synthesis of octyl $\beta$-D-glucopyranoside (10).
FIG. 3 shows the synthesis of (2S, 3R, 4E)-1-O-(β-D-Galactopyranosyl)-2-(N-octadecanoylamino)-4,1,3-octa-decenediol (GalCer).
FIG. 4 shows the synthesis of cholesteryl 6-O-acyl-$\beta$-D-galactopyranoside (BbGL1).
FIG. 5 shows the synthesis of octyl $\beta$-D-lactopyranoside (11).
**BRIEF SUMMARY OF THE INVENTION**
The present invention provides a one-pot synthesis of $\alpha$-linked glycolipids or $\beta$-linked glycolipids. The method of the present invention prepares glycolipids in a single pot by reaction of an $\alpha$-iodo sugar, such as $\alpha$-iodo galactose, glucose or lactose, with a suitable catalyst and a lipid, to prepare the desired $\alpha$-linked or $\beta$-linked glycolipid. The protected $\alpha$-linked or $\beta$-linked glycolipid is deprotected in the same pot to afford the desired $\alpha$-linked or $\beta$-linked glycolipid, without the need for separate deprotection steps.
In one embodiment, the present invention provides a method of preparing an unprotected $\alpha$-O-glycolipid. One step of the method involves contacting a protected $\alpha$-iodo sugar with a catalyst and a lipid having a hydroxy group, under conditions sufficient to prepare a protected $\alpha$-O-glycolipid. Another step of the method involves deprotecting the protected $\alpha$-O-glycolipid under conditions sufficient to prepare the unprotected $\alpha$-$\beta$-glycolipid, wherein the contacting and deprotecting steps are performed in a single vessel.
In a second embodiment, the present invention provides a method of preparing an unprotected $\beta$-O-glycolipid comprising the steps of. One step of the method involves contacting a protected $\alpha$-iodo sugar with a catalyst and a lipid having a hydroxy group, under conditions sufficient to prepare a protected $\beta$-O-glycolipid. Another step of the method involves deprotecting the protected $\beta$-O-glycolipid under conditions sufficient to prepare the unprotected $\beta$-O-glycolipid, wherein the contacting and deprotecting steps are performed in a single vessel.
**DETAILED DESCRIPTION OF THE INVENTION**
I. Introduction
The present invention provides a one-pot synthesis of $\alpha$-linked glycolipids or $\beta$-linked glycolipids, depending upon the reaction conditions. Prior methods of making glycolipids use lipid derivatives that require separate protection and deprotection steps and subsequent manipulation to obtain the desired glycolipid. The method of the present invention prepares the glycolipids in a single pot by reaction of an $\alpha$-iodo sugar, such as $\alpha$-iodo galactose, glucose or lactose, with a suitable catalyst and a lipid, to prepare the desired $\alpha$-linked or $\beta$-linked glycolipid. For $\alpha$-linked glycolipids, the catalyst can be tetrabutylammonium iodide. For $\beta$-linked glycolipids, the catalyst can be silver carbonate. The protected $\alpha$-linked or $\beta$-linked glycolipid is deprotected in the same pot to afford the desired $\alpha$-linked or $\beta$-linked glycolipid, without the need for separate deprotection steps.
The one-pot synthesis of $\alpha$-linked and $\beta$-linked glycolipids provided by the methods of the present invention makes possible the rapid and efficient synthesis of $\alpha$-linked and $\beta$-linked glycolipids. As the coupling and deprotection steps can be performed in a single pot, there are significant commercial applications for the preparation of $\alpha$-linked and $\beta$-linked glycolipids using the methods of the present invention.
II. Definitions
As used herein, the term “contacting” refers to the process of bringing into contact at least two distinct species such that they can react. It should be appreciated, however, that the resulting reaction product can be produced directly from a reaction between the added reagents or from an intermediate from one or more of the added reagents which can be produced in the reaction mixture.
As used herein, the term “fatty acid” refers to a carboxylic acid having an aliphatic tail, typically from 4 to 30 carbon atoms long. Fatty acids can be saturated, mono-unsaturated or poly-unsaturated. Examples of fatty acids useful in the present invention are described below. One of skill in the art will appreciate that other fatty acids are useful in the present invention.
As used herein, the term “lipid” refers to amphiphilic compounds having a polar head group and a lipophilic hydrocarbon chain. The lipid compounds of the present invention can also have a hydroxy group. Lipids of the instant invention include, but are not limited to, glycerides such as glycerol substituted with 1 or 2 fatty acids, and ceramides. The ceramides of the present invention comprise a fatty acid in combination with a sphingosine or a phytosphingosine. One of skill in the art will appreciate that other lipids are useful in the present invention.
As used herein, the term “protected α-iodo sugar” refers to a sugar molecule having an iodo group in the alpha position of the anomeric carbon, where the hydroxy groups of the sugar are protected. Protecting groups suitable in the present invention include those described below. Sugars useful in the present include those described within. One of skill in the art will appreciate that other protected α-iodo sugar are useful in the present invention.
As used herein, the term “protected α-O-glycolipid” refers to an O-linked sugar linked to a lipid wherein the lipid is in the alpha position, and where the hydroxy groups of the sugar portion of the molecule are protected. Protecting groups suitable in the present invention include those described below. Protected α-O-glycolipids of the present invention include, but are not limited to, alpha-glycosyl-ceramides and alpha-glycosyl-glycerides. Sugars useful in the present include those described within. One of skill in the art will appreciate that other unprotected α-O-glycolipids are useful in the present invention.
As used herein, the term “β-O-glycolipid” refers to an O-linked sugar linked to a lipid wherein the lipid is in the beta position. The β-O-glycolipid can be protected or unprotected. When the β-O-glycolipid is unprotected, the hydroxy groups of the sugar portion of the molecule are unprotected. When the β-O-glycolipid is protected, the hydroxy groups of the sugar portion of the molecule are protected. Protecting groups suitable in the present invention include those described below. β-O-glycolipids of the present invention include, but are not limited to, beta-glycosyl-ceramides, beta-glycosyl-glycerides and beta-cholesteryl glycosides. Sugars useful in the present include those described within. One of skill in the art will appreciate that other β-O-glycolipids are useful in the present invention.
As used herein, the term “protecting group” refers to a compound that renders a functional group unreactive, but is also removable so as to restore the functional group to its original state. Such protecting groups are well known to one of ordinary skill in the art and include compounds that are disclosed in “Protective Groups in Organic Synthesis”, 4th edition, P. G. M. Wuts and T. W. Greene, John Wiley & Sons, New York, 2007, which is incorporated herein by reference in its entirety. Protecting groups useful in the method of the present invention include, but are not limited to, trimethylsilyl, triethyilsilyl, tertbutyldimethylsilyl, para-methoxybenzyl, benzyl and acetyl.
As used herein, the term “protected saccharide” refers to a monosaccharide, disaccharide, trisaccharide, oligosaccharide and polysaccharide where the hydroxy groups of the saccharide are protected. Protecting groups suitable in the present invention include those described within.
As used herein, the term “unprotected α-O-glycolipid” refers to an O-linked sugar linked to a lipid wherein the lipid is in the alpha position, and where the hydroxy groups of the sugar portion of the molecule are unprotected. Unprotected α-O-glycolipids of the present invention include, but are not limited to, alpha-glycosyl-ceramides and alpha-glycosyl-glycerides. Sugars useful in the present include those described within. One of skill in the art will appreciate that other unprotected α-O-glycolipids are useful in the present invention.
As used herein, the term “catalyst” refers to an agent that accelerates the rate of preparing the α-linked or β-linked glycolipid. Catalysts suitable in the present invention include, but are not limited to, an iodide salt, an iodine agent and a Lewis acid. In other embodiments, the catalyst is a transition metal catalyst, such as a silver catalyst. One of skill in the art will appreciate that other catalysts are useful in the present invention.
As used herein, the term “iodide salt” refers to salts of iodine. Exemplary iodide salts include, but are not limited to, sodium iodide and potassium iodide. One of skill in the art will appreciate that other iodide salts are useful in the present invention.
As used herein, the term “iodine agent” refers to a chemical agent that is capable of producing iodine or iodide. Exemplary iodine agents of the present invention include, but are not limited to, N-iodosuccinimide. One of skill in the art will appreciate that other iodine agents are useful in the present invention.
As used herein, the term “Lewis acid” refers to a chemical complex that is capable of accepting an electron pair. Examples of Lewis acids include, but are not limited to, aluminum chloride, iron(II) chloride, boron trifluoride, niobium pentachloride, trimethylsilyl triflate and ytterbium(III) triflate. One of skill in the art will appreciate that other Lewis acids are useful in the present invention.
As used herein, the term “quaternary ammonium iodide salt” refers to a salt comprising a quaternary ammonium ion and iodide. The quaternary ammonium ion can be any quaternary ammonium ion such as tetra-alkyl ammonium ion. Examples of quaternary ammonium iodide salts include, but are not limited to, tetramethyl ammonium iodide, tetrabutyl ammonium iodide and tetraoctyl ammonium iodide salt. One of skill in the art will appreciate that other quaternary ammonium iodide salts are useful in the present invention.
As used herein, the term “sugar” refers to monosaccharides, disaccharides, trisaccharides, oligosaccharides and polysaccharides.
As used herein, the term “deprotecting” refers to the removal of any protecting groups. For example, deprotecting the protected α-O-glycolipid entails removal of the protecting groups of a protected sugar. The conditions for deprotection depend on the protecting group being removed, but in all cases, the deprotection of the protected α-O-glycolipid of the present invention is performed in the same vessel as the contacting step. Protecting groups and procedures for removing them can be found in “Protective Groups in Organic Synthesis”, 4th edition, P. G. M. Wuts and T. W. Greene, John Wiley & Sons, New York, 2007, which is incorporated herein by reference in its entirety.
As used herein, the term “vessel” refers to a container for performing the contacting and deprotection steps of the present invention. The vessel can be made of any suitable material, such as metal, glass, plastic and porcelain. In some instances, the vessel is suitable for use in a microwave.
III. Method of Preparing α-linked and β-linked Glycolipids
The present invention provides a one-pot synthesis of α-linked glycolipids and β-linked glycolipids. Prior methods of preparing glycolipids use lipid derivatives that require separate deprotection steps and subsequent manipulation to obtain the desired glycolipid. The method of the present invention prepares the glycolipids in a single pot by reaction of an α-iodo sugar, such as α-iodo galactose, glucose or lactose, with a suitable catalyst and a lipid, to prepare the
Polysaccharides are polymers of saccharides and can contain up to 200 or more saccharides. In some embodiments, the sugar includes, but is not limited to, galactose, glucose, lactose, galacturonic acid, glucuronic acid, L-fucose, disaccharides and trisaccharides.
In some embodiments, the protected α-iodo sugar has the structure shown below:
\[
\begin{align*}
&\text{R}^1 \text{O} \\
&\text{R}^3 \\
&\text{O} \\
&\text{L} \\
&\text{R}^2 \\
&\text{I} \\
&\text{R}^1 \text{O} \\
&\text{OR}^1 \\
&\text{R}^1 \text{O} \\
&\text{R}^3 \\
&\text{O} \\
&\text{R}^2 \\
&\text{I} \\
&\text{or} \\
&\text{R}^1 \text{O} \\
&\text{R}^3 \\
&\text{O} \\
&\text{R}^2 \\
&\text{I} \\
&\text{R}^1 \text{O} \\
&\text{OR}^1 \\
&\text{R}^1 \text{O} \\
&\text{R}^3 \\
&\text{O} \\
&\text{R}^2 \\
&\text{I}
\end{align*}
\]
where \( R^2 \) can be —OR\(^1\), —N\(_3\) or F, and \( R^3 \) can be CH\(_2\)N\(_3\), an aldehyde, a carboxylic acid, an ester, CH\(_2\)-alkyne, CH\(_2\)-p-OC\(_6\)H\(_4\)C\(_2\)H\(_4\), CH\(_2\)-p-OC\(_6\)H\(_4\)N\(_3\), CH\(_2\)F or CH\(_2\)OR\(^1\). When \( R^3 \) is an ester, the protected α-iodo sugar of the present invention can also have the structure shown below:
\[
\begin{align*}
&\text{R}^1 \text{O} \\
&\text{O} \\
&\text{Me} \\
&\text{R}^1 \text{O} \\
&\text{R}^2 \\
&\text{I} \\
&\text{R}^1 \text{O} \\
&\text{OR}^1 \\
&\text{R}^1 \text{O} \\
&\text{R}^3 \\
&\text{O} \\
&\text{R}^2 \\
&\text{I} \\
&\text{R}^1 \text{O} \\
&\text{O} \\
&\text{Me} \\
&\text{R}^1 \text{O} \\
&\text{R}^2 \\
&\text{I} \\
&\text{or} \\
&\text{R}^1 \text{O} \\
&\text{O} \\
&\text{Me} \\
&\text{R}^1 \text{O} \\
&\text{R}^2 \\
&\text{I} \\
&\text{R}^1 \text{O} \\
&\text{OR}^1 \\
&\text{R}^1 \text{O} \\
&\text{R}^3 \\
&\text{O} \\
&\text{R}^2 \\
&\text{I}
\end{align*}
\]
Other sugars useful as the protected α-iodo sugar of the present invention include, but are not limited to, galactose, glucuronic acid, L-fucose, and disaccharides and trisaccharides. One of skill in the art will appreciate that other sugars are useful in the present invention.
D. Lipids
Any lipid is useful in the methods of the present invention. Exemplary lipids include ceramides and substituted glycerol. When the lipid is a ceramide, the ceramide includes a fatty acid component and either a sphingosine or a phytosphingosine. In some embodiments, the lipid is a ceramide or a substituted glycerol. In other embodiments, the lipid is a ceramide. In some other embodiments, the ceramide is a sphingosine. In still other embodiments, the ceramide is a phytosphingosine. In yet other embodiments, the substituted glycerol is substituted with 1 or 2 fatty acids.
The fatty acids useful in the present invention include, but are not limited to, butyric acid (C4), caproic acid (C6), caprylic acid (C8), capric acid (C10), lauric acid (C12), myristic acid (C14), palmitic acid (C16), palmitoleic acid (C16), stearic acid (C18), oleic acid (C18), vaccenic acid (C18), linoleic acid (C18), alpha-linoleic acid (C18), gamma-linolenic acid (C18), arachidic acid (C20), gadoleic acid (C20), arachidonic acid (C20), eicosapentaenoic acid (C20), behenic acid (C22), erucic acid (C22), docosahexaenoic acid (C22), lignoceric acid (C24) and hexacosanoic acid (C26).
The fatty acids useful in the present invention have at least four carbon atoms in the chain. Preferably, the fatty acids of the present invention have between 10 and 26 atoms in the chain. More preferably, the fatty acids have between 14 and 22 atoms in the chain. Most preferably, the fatty acids have between 16 and 20 atoms in the chain. In other instances, it is preferred that the fatty acids of the present invention have 26 atoms in the chain. The fatty acids of the present invention can be saturated, mono-unsaturated, or poly-unsaturated. Preferably, the fatty acids are saturated. One of skill in the art will recognize that other fatty acids are useful in the present invention.
Substituted glycerol useful in the method of the present invention includes glycerol substituted with fatty acids (as described above). In some cases, the glycerol is substituted with 1 or 2 fatty acids, so that the remaining hydroxy group of glycerol can react with the α-iodo sugar.
In some embodiments, the lipid is a sphingosine derivative or phytosphingosine derivative such as:
\[
\begin{align*}
&\text{HO} \\
&\text{R}^5 \\
&\text{OR}^4 \\
&\text{Alkyl} \\
&\text{or} \\
&\text{HO} \\
&\text{R}^5 \\
&\text{OR}^6 \\
&\text{Alkyl}
\end{align*}
\]
\( R^4 \) and \( R^6 \) of the formula are separately H or a protecting group, such as those described above. \( R^3 \) is an amine, an amide or an azide. Protecting groups useful for \( R^4 \) include any hydroxy protecting groups such as those listed above for \( R^1 \). In some embodiments, \( R^3 \) is a para-methoxybenzyl group. In other embodiments, \( R^3 \) is a tri-methyl silyl, tri-ethyl silyl, tri-isopropyl silyl, or tertbutyl-dimethyl-silyl groups. In addition, \( R^5 \) can be an azide. Alkyl is any C1-20 alkyl, that can be branched or unbranched, saturated or partially unsaturated, and optionally substituted with hydroxy, alkoxy, aldehyde, ester or carboxy groups.
In some other embodiments, the lipid can be
\[
\begin{align*}
&\text{HO} \\
&\text{X} \\
&\text{Alkyl} \\
&\text{Alkyl}
\end{align*}
\]
wherein X is O or NH, and alkyl is as defined above.
Conditions for preparing the unprotected glycolipids of the present invention can proceed using a variety of solvents and reagents. Solvents useful for the preparation of the unprotected glycolipids of the present invention include, but are not limited to, pyridine, triethyl amine, N-methylpyrrolidinone (NMP), dimethylformamide (DMF), methylene chloride, chloroform, benzene, toluene, acetonitrile, tetrahydrofuran (THF), ether, dioxane, glyme, diglyme, ethyl acetate, methaIn some embodiments, one solvent is used for the contacting step and a second solvent is used for the deprotecting step, following removal of the first solvent. For example, methylene chloride can be used for the first step and methanol can be used in the deprotecting step. One of skill in the art will appreciate that other solvents and solvent combinations are useful in the present invention.
The preparation of the unprotected glycolipids of the present invention can proceed at a variety of temperatures and times. Preparation of the unprotected glycolipids of the present invention can be achieved over 1-48 hours at 0-50° C. Preferably, 1-24 hours at 20-40° C. is used. In some embodiments, 2-4 hours at room temperature is used. In other embodiments, 12-48 hours at room temperature is used. One of skill in the art will appreciate that the time, temperature and solvent are dependent on each other, and changing one can require changing the others to prepare the unprotected glycolipids of the present invention.
Conditions for the deprotecting step are dependent on the type of protecting group used. For example, when the protecting group is a trialkylsilyl group such as trimethylsilyl, the protected glycolipid can be deprotected using an ion exchange resin such as Dowex® 50WX8-200. Other ion exchange resins can be used for the deprotection of trialkylsilyl groups used in the present invention. In addition, other reagents for deprotecting trialkylsilyl groups used in the method of the present invention can be used. Methods for removing deprotecting groups can be found in “Protective Groups in Organic Synthesis”, 4th edition, P. G. M. Wuts and T. W. Greene, John Wiley & Sons, New York, 2007. One of skill in the art will appreciate that other conditions for removing protecting groups are useful in the present invention.
The microwave irradiation of the present invention can be performed at any appropriate time, temperature or power setting. When using microwave irradiation, the preparation of the unprotected glycolipid of the present invention can be achieved in less than 10 hours at up to 200° C. Preferably, less than 5 hours and from 50 to 150° C. The microwave can operate at a variety of power settings, up to about 1000 Watts. Preferably, the microwave operates at less than 500 Watts. One of skill in the art will appreciate that other temperatures, time and microwave power settings are useful in the present invention.
The following examples are provided by way of illustration only and not by way of limitation. Those of skill in the art will readily recognize a variety of non-critical parameters that can be changed or modified to yield essentially similar results.
IV. Examples
All reactions were conducted under a dried argon stream. Solvents (CH₂Cl₂ 99.8%, benzene 99.8%) were purchased in capped DriSolv™ bottles and used without further purification and stored under argon. TMSI was stored at −15° C. under desiccated atmosphere. All other solvents and reagents were purchased from commercial sources and used without further purification. All glassware utilized was flame-dried before use. Glass-backed TLC plates (Silica Gel 60 with a 254 nm fluorescent indicator) were used without further manipulation and stored over desiccant. Acceptor 6 was purchased from Avanti Polar Lipids Inc (Alabaster, Ala.). Developed TLC plates were visualized under a short-wave UV lamp, stained with an I₂—SiO₂ mixture, and/or by heating plates that were dipped in ammonium molybdate/cerium (IV) sulfate solution. Silica gel column chromatography was performed using flash silica gel (32-63 μm) and employed a solvent polarity correlated with TLC mobility. Optical rotations were measured at 598 nm on a Jasco DIP-370 digital polarimeter using a 100 mm cell. NMR experiments were conducted on a Varian 600 MHz instrument using CDCl₃ (99.9% D) or CD₃OD (99.9%) or pyridine-d₅ (99.9% D) as the solvent. Chemical shifts are relative to the deuterated solvent peak and are in parts per million (ppm). Mass spectra were acquired using a Qtrap LC/MS instrument. The microwave-assisted reaction was conducted in a Discover Labmate® (CEM Co., Matthews, N.C.) microwave reactor.
TABLE 1
Results of one-pot synthesis of α-glycosides.
| Entry | Precursor | Acceptor | Promoter | Product | Solvent | Conditions | α/β ratio |
|-------|-----------|----------|----------|---------|-----------|---------------------|-----------|
| 1 | 4 | 6 | TBAI | 1a | Benzene | 65° C., 24 h | 10:1 (89%)|
| 2 | 4 | 6 | TBAI | 1a | CH₂Cl₂ | rt, 24 h | α only (81%)|
| 3 | 4 | 7 | TBAI | 1b | CH₂Cl₂ | rt, 36 h | α only (72%)|
| 4 | 4 | 8 | TBAI | 2 | CH₂Cl₂ | rt, 48 h | α only (77%)|
| 5 | 4 | 9 | TBAI | 3 | Benzene | 65° C., 48 h | α only (20%)|
| 6 | 4 | 9 | TBAI | 3 | CH₂Cl₂ | rt, 48 h | α only (30%)|
| 7 | 13 | n-octanol| TBAI | 14 | CH₂Cl₂ | rt, 48 h | α only (81%)|
| 8 | 13 | 6 | TBAI | 15 | CH₂Cl₂ | rt, 48 h | α only (58%)|
| 9 | 13 | 8 | TBAI | 16 | CH₂Cl₂ | rt, 48 h | α only (63%)|
| 10 | 12 | n-octanol| NIS | 17 | CH₂Cl₂:CH₃CN (1:1) | rt, 24 h | α only (58%)|
Example 1
Preparation of Compound 1a
This example provides a method for preparing compound 1a by reaction of an α-iodo galactopyranose with compound 6. Compound 1a was then hydrogenated to afford compound 1c. Compound 6 is commercially available from Avanti Polar Lipids Inc (Alabaster, Ala.).
1-O-Palmitoyl-2-O-oleoyl-3-O-α-D-galactopyranosyl-sn-glycerol (BbGL-II, 1a): To a solution of 1,2,3,4,6-penta-O-trimethylsilyl-D-galactopyranose (4, 81 mg, 0.15 mmol) in CH₂Cl₂ (3 mL) at 0° C. was added TMSI (30 mg, 0.15 mmol). The reaction was stirred under argon at 0° C. for 20 min. The reaction was stopped by adding 15 mL of anhydrous benzene and solvent was evaporated under reduced pressure. The slightly yellow oil 5 was dissolved in CH₂Cl₂ (1.5 mL) and kept under argon. In a separate flask, molecular sieves (MS, 4 Å, 50 mg), TBAI (220 mg, 0.60 mmol), 6 (29 mg, 0.050 mmol) and DIPEA (58 mg, 0.45 mmol) were added into CH₂Cl₂ (1.5 mL). The mixture was stirred under argon at rt. The glycosyl iodide 5 was added dropwise and the reaction mixture was stirred at rt for 24 h. Solvent was evaporated. MeOH (15 mL) and Dowex® 50WX8-200 ion exchange resin (1 g) were added and the reaction was stirred at rt for 4 h. Resin was removed by filtration. The solvent was removed in vacuo and the resulting residue was purified by silica gel chromatography (CHCl₃:MeOH=10:1, R_f=0.36) to afford 1a as a white powder (31 mg, 81%). [α]_D^25+35° (c=0.5, pyridine). ^1H NMR (600 MHz, CD₃D₂N) δ 0.87 (t, J=6.8 Hz, 6H), 1.24-1.40 (m, 14 H), 1.67 (dd, J=1.4, 7.2 Hz, 4H), 2.00 (dd, J=12.0, 6.0 Hz, 4H), 2.31 (dt, J=7.8, 5.4 Hz, 4H), 2.45 (s, 1H), 2.63 (s, 1H), 3.10 (s, 1H), 3.63 (m dd, J=10.8, 8.0 Hz, 1H, H-3a), 3.70-3.90 (m, 6H, H-2', H-4', H-1', H6a', H6b', H-3b), 4.05-4.08 (m, 1H, H-5'), 4.13 (dd, J=6.0, 12.0 Hz, 1H, H-1b), 4.37 (dd, J=3.6, 10.0 Hz, 1H, H-1a), 4.92 (d, J=10.0 Hz, 1H, H-1') 5.24 (dt, J=2.6, 5.4 Hz, 1H, H-2), 5.54 (dt, J=15.6, 6.8 Hz, 2H, CH₂CH₂). ^13C NMR (150 MHz, CDCl₃) δ 14.1, 22.67, 22.68, 24.9, 27.16, 27.21, 29.12, 29.19, 29.28, 29.31, 29.32, 29.35, 29.49, 29.52, 29.63, 29.65, 29.66, 29.69, 29.74, 31.90, 31.92, 34.1, 34.3, 62.1, 63.1, 66.6, 69.3, 69.8, 70.0, 70.2, 70.8, 99.3, 129.7, 130.0, 173.3, 173.6; ESIMS calc'd for C₄₃H₈₀NaO₁₀ [M+Na]+ 779.56. found: 779.52.
Compound 1a was then hydrogenated to afford compound 1c.
1-O-Palmitoyl-2-O-stearoyl-3-O-α-D-galactopyranosyl-sn-glycerol (1c): BbGL-II (1a, 26 mg, 0.034 mmol) and Pd/C (26 mg, 10% w/w) was suspended in a solution of CH₂Cl₂ (2 mL) and MeOH (8 mL). The reaction mixture was placed on a hydrogenation shaker and subjected to hydrogenation under a pressure of 65 psi for 18 h. The reaction mixture was filtered through Celite and washed with copious amounts solvent of MeOH/CH₂Cl₂ (80/20, v/v). The filtrate was collected and concentrated under reduced pressure and the resulting residue was purified with silica gel chromatography (CHCl₃: MeOH=10:1, R_f=0.36) to afford 1c (24 mg, 93%) as a white powder, [α]_D^25+35° (c=0.5, pyridine). ^1H NMR (600 MHz, C₃D₅N) δ 0.88 (t, J=6.6 Hz, 6H), 1.27-1.39 (m, 52H), 1.68-1.72 (m, 4H), 2.43-2.49 (m, 4H), 3.95 (dd, J=10.2, 6.0 Hz, 1H), 4.30 (dd, J=10.2, 6.0 Hz, 1H), 4.47-4.51 (m, 3H), 4.55-4.58 (m, 2H), 4.67 (d, J=2.4 Hz, 1H), 4.72 (dd, J=9.6, 3.6 Hz, 1H), 4.77 (dd, J=11.4, 3.6 Hz, 1H), 5.44 (d, J=3.6 Hz, 1H), 5.70 (m, 1H). ^13C NMR (150 MHz, C₃D₅N) δ 14.7, 23.4, 25.7, 29.8, 30.0, 30.1, 30.2, 30.3, 30.4, 30.5, 32.6, 34.7, 34.9, 63.0, 63.4, 66.7, 70.8, 71.2, 71.4, 71.9, 73.6, 101.7, 173.6, 173.8. ESIMS calc'd for C₄₃H₈₂NaO₁₀ [M+Na]+ 781.58. found: 781.32.
Example 2
Preparation of Compound 1b
This example provides a method for preparing compound 1b by reaction of an α-iodo galactopyranose with compound 7. Compound 7 is prepared as described below (see also scheme in FIG. 1).
3-O-Benzyl-sn-glycerol: To a solution of S(+) 2,2-dimethyl-1,3-dioxolane-4-methanol (0.48 g, 3.63 mmol) in DMF (5 mL) at 0° C. was added NaH (0.13 g, 5.45 mmol) portion wise, followed by benzyl bromide (0.68 g, 3.99 mmol). The reaction was allowed to reach rt and stirred overnight. It was quenched with addition of a few drops of methanol followed by ethyl acetate (10 mL) and water (10 mL). The organic layer was separated and the aqueous layer was extracted with ethyl acetate (3x10 mL). Combined organic layer was dried on anhyd. sodium sulfate and concentrated in vacuo to get crude residue as a colorless oil. ^1H NMR (600 MHz, CDCl₃) δ 1.36 (s, 3H, CH₃), 1.41 (s, 3H, CH₃), 3.46 (dd, J=5.4, 10.4 Hz, 1H, CH₃), 3.55 (dd, J=5.4, 10.4 Hz, 1H, CH₃), 3.73 (dd, J=8.4, 6.6 Hz, 1H, CH₂), 4.05 (dd, J=8.4, 6.6 Hz, 1H, CH₂), 4.30 (dt, J=6.0, 12.0 Hz, 1H, CH), 4.55, 4.59 (ABq, J=12.0 Hz, 2H, PhCH₂), 7.20-7.40 (m, 5H, ArH); ^13C NMR (150 MHz, CDCl₃) δ 25.6, 27.0, 67.1, 71.3, 73.8, 75.0, 109.6, 127.87, 127.96, 127.98, 128.0, 128.6, 138.2.
(2S, 3R, 4E)-2-(N-stearoylamino)-4-octadecene-1,3-diol (8): To a solution of sphingosine (100 mg, 0.33 mmol) in CH₂Cl₂ (3 mL) was added EDCI (128 mg, 0.66 mmol) and DMAP (cat.). Under stirring, stearic acid (95 mg, 0.33 mmol in 10 mL CH₂Cl₂) was added dropwise over a period time of 16 h. The reaction was stirred under argon for 24 h at rt. Solvent was evaporated and the residue was applied to silica gel column chromatography (CHCl₃:MeOH=9:1, R_f=0.43) to afford 8 as a white powder (140 mg, 75%). ¹H NMR (600 MHz, CDCl₃) δ 0.88 (t, J=6.8 Hz, 6H), 1.26-1.40 (m, 50H), 1.64 (t, J=7.2 Hz, 2H), 2.06 (dd, J=14.4, 7.2 Hz, 2H), 2.24 (t, J=7.2 Hz, 2H), 3.71 (m, 1H), 3.91-3.97 (m, 2H), 4.32 (m, 1H), 5.42 (dd, J=15.6, 6.6 Hz, 1H), 5.79 (dt, J=15.6, 6.6 Hz, 1H), 6.28 (d, J=7.2 Hz, 1H). ¹³C NMR (150 MHz, CDCl₃) δ 14.3, 22.9, 26.0, 29.4, 29.5, 29.6, 29.7, 29.8, 29.9, 32.2, 32.6, 54.7, 62.8, 74.9, 129.0, 134.6, 174.2. ESIMS calc’d for C₃₉H₇₁NNaO₄ [M+Na]⁺ 588.53. found: 588.18.
(2S, 3R, 4E)-1-O-(α-D-Galactopyranosyl)-2-(N-octadecanoylamino)-4-1,3-octadecenediol (2): To a solution of 1,2,3,4,6-penta-O-trimethylsilyl-D-galactopyranose (4, 108 mg, 0.20 mmol) in CH₂Cl₂ (3 mL) at 0° C. was added TMSI (40 mg, 0.20 mmol). The reaction was stirred under argon for 15 min. and was stopped by adding 15 mL of anhydrous benzene. Solvent was evaporated under reduced pressure and the slightly yellow oil (5) was dissolved in CH₂Cl₂ (10 mL) and kept under argon. In a separate flask, molecular sieves (MS, 4 Å, 50 mg), TBAI (220 mg, 0.60 mmol), 8 (38 mg, 0.066 mmol) and DIPEA (77 mg, 0.60 mmol) were added into CH₂Cl₂ (1.5 mL). The mixture was stirred under argon at rt. The glycosyl iodide 5 was added dropwise and the reaction mixture was stirred at rt for 48 h. Solvent was evaporated. MeOH (1.5 mL) and Dowex® 50WX8-200 ion exchange resin (1 g) were added and the reaction was stirred at rt for 4 h. Resin was removed by filtration. The solvent was removed in vacuo and the resulting residue was purified by silica gel chromatography (CHCl₃:MeOH=87:13, R_f=0.35). The slightly yellow powder was washed with small amount of cold EtOAc (1 mL) to afford 2 as a white powder (37 mg, 77%). [α]D₂₅+24.9° (c=1.0, CHCl₃). ¹H NMR (600 MHz, CDCl₃/CD₃OD=9:1) δ 0.82 (t, J=7.2 Hz, 6H), 1.20-1.35 (m, 50 H), 1.54 (t, J=7.8 Hz, 2H), 1.98 (dd, J=14.4, 7.2 Hz, 2H), 2.13 (t, J=7.2 Hz, 2H), 3.61 (dd, J=10.8, 4.8 Hz, 1H), 3.66-3.78 (m, 6H), 3.91-3.93 (m, 2H), 4.03 (d, J=6 Hz, 1H), 4.81 (d, J=3.6 Hz, 1H), 5.38 (dd, J=15.6, 6.6 Hz, 1H), 5.74 (dt, J=15.6, 6.6 Hz, 1H), 6.98 (d, J=9.0 Hz, 1H). ¹³C NMR (150 MHz, CDCl₃/CD₃OD=9:1) δ 14.2, 22.8, 26.0, 29.4, 29.5, 29.6, 29.7, 29.8, 29.9, 32.1, 32.5, 36.7, 53.6, 62.2, 68.1, 69.1, 70.0, 70.4, 70.5, 72.9, 100.0, 128.9, 134.2, 174.7. ESIMS calc’d for C₄₂H₈₁NNaO₄ [M+Na]⁺ 750.59. found: 750.66.
Example 4
Preparation of Compound 3
This example provides a method for preparing compound 3 by reaction of an α-iodo galactopyranose with compound 9. Compound 9 is prepared as described below. Compound 3 can also be prepared via microwave, as described below.
(2S, 3R, 4R)-2-(N-stearoylamino)-octadecane-1,3,4-triol (9): To a solution of phytosphingosine (99 mg, 0.31 mmol) in pyridine (3 mL) was added EDCI (128 mg, 0.66 mmol) and DMAP (cat.). Under stirring, stearic acid (90 mg, 0.31 mmol, in 15 mL CH₂Cl₂) was added dropwise over a period time of 16 h. The reaction was stirred under argon for 24 h at rt. Solvent was evaporated and the residue was applied to silica gel column chromatography (CHCl₃:MeOH=88:12, R_f=0.35) to afford 9 as a white powder (120 mg, 68%). ¹H NMR (600 MHz, CDCl₃:CD₃OD=90:10) δ 0.74 (t, J=7.2 Hz, 6H), 1.11-1.64 (m, 52), 1.31-1.58 (m, 4H), 2.07 (d, J=7.8 Hz, 2H), 3.40 (m, 2H), 3.55 (dd, J=11.4, 5.4 Hz, 1H), 3.64 (dd, J=11.4, 3.6 Hz, 2H). ¹³C NMR (150 MHz, CDCl₃:CD₃OD=90:10) δ 13.9, 22.6, 25.8, 25.9, 29.3, 29.4, 29.5, 29.6, 29.7, 29.8, 29.9, 31.9, 33.1, 36.6, 52.1, 61.2, 72.6, 75.8, 174.7. ESIMS calc’d for C₃₆H₇₃NNaO₄ [M+Na]⁺ 606.54. found: 606.54.
(2S, 3S, 4R)-1-O-(α-D-Galactopyranosyl)-2-(N-octadecanoylamino)-1,3,4-octadecanetriol (3): The synthetic protocol of 3 is the same as described for compound 2 as a white powder (15 mg, 30%). ¹H NMR (600 MHz, C₂D₂N) δ 0.88 (t, J=6.8 Hz, 6H), 1.25-1.34, m, 50H), 1.68 (m, 1H), 1.82 (m, 2H), 1.88 (m, 2H), 2.35 (m, 1H), 2.46 (t, J=7.2 Hz, 2H), 4.35 (m, 2H), 4.40-4.48 (m, 4H), 4.53-4.58 (m, 2H), 4.65-4.70(m, 2H), 5.30 (m, 1H), 5.61 (d, J=3.6 Hz, 1H), 8.54 (d, J=9.2 Hz, 1H). ¹³C NMR (150 MHz, C₂D₂N) δ 14.6, 23.3, 26.7, 26.9, 30.0, 30.1, 30.2, 30.23, 30.3, 30.4, 30.5, 30.7, 32.5, 34.7, 37.2, 51.9, 63.1, 69.1, 70.7, 71.4, 71.9, 72.9, 73.4, 77.1, 101.9, 173.6. ESIMS calc’d for C₄₂H₈₃NO₅ [M+Na]⁺ 768.60. found: 768.78.
Microwave-assisted glycosylation and one-pot synthesis of compound 3: To a solution of 1,2,3,4,6-penta-O-trimethylsilyl-D-galactopyranose (4, 33 mg, 0.051 mmol) in CH₂Cl₂ (3 mL) at 0° C. was added TMSI (12.4 mg, 0.051 mmol). The reaction was stirred at 0° C. for 20 min and was stopped by adding 15 mL of anhydrous benzene. Solvent was removed under reduced pressure and the slightly yellow oil 5 was dissolved in CH₂Cl₂ (3 mL) and was transferred into a 10 mL microwave reaction test tube. TBAI (19 mg, 0.051 mmol), 9 (30 mg, 0.051 mmol) and DIPEA (20 mg, 0.153 mmol) were added into the test tube and the tube was placed into a microwave reactor. The reaction was conducted at 130° C. for 90 min at 225 watts. The reaction mixture was transferred to a flask and solvent was removed under reduced pressure. MeOH (10 mL) and Dowex® 50WX8-200 ion exchange resin (1 g) was added and the reaction was stirred at rt for 4 h. The work-up and purification was the same as mentioned above to afford 3 as white powder (37 mg, 67%).
## Example 5
### Preparation of Compound 14
This example provides a method for preparing compound 14 by reaction of an α-iodo glucopyranose with n-octanol.
Octyl α-D-glucopyranoside (14): To a solution of 1,2,3,4,6-penta-β-trimethylsilyl-D-glucopyranose (13, 715 mg, 1.32 mmol) in CH₂Cl₂ (3 mL) at 0° C. was added TMSI (194 mg, 0.97 mmol). The reaction was stirred under argon for 45 min. In a separate flask, molecular sieves (MS, 4 Å, 50 mg), TBAl (975 mg, 2.64 mmol), n-octanol (115 mg, 0.88 mmol) and DIPEA (341 mg, 2.64 mmol) were added into CH₂Cl₂ (1.5 mL). The mixture was stirred under argon at rt. The glycosyl iodide was added dropwise and the reaction mixture was stirred at rt for 48 h. Solvent was evaporated. MeOH (15 mL) and Dowex® 50WX8-200 ion exchange resin (1 g) were added and the reaction was stirred at rt for 3 h. The resin was removed by filtration. The solvent was removed in vacuo and the resulting residue was purified by silica gel chromatography (CHCl₃:MeOH=9:1, R_f=0.23 to afford 14 as a white powder (209 mg, 81%). ^1H NMR (600 MHz, CDCl₃) δ 0.86 (t, J=7.2 Hz, 3H), 1.22-1.30 (m, 10H), 1.58 (p, J=6.6 Hz, 2H), 3.40-3.44 (m, 1H), 3.52-3.63 (m, 4H), 3.72 (d, J=8.4 Hz, 2H), 3.87 (d, J=10.8 Hz, 1H), 4.82 (d, J=2.4 Hz, 1H). ^13C NMR (150 MHz, CDCl₃) δ 14.3, 22.9, 26.3, 29.5, 29.7, 29.7, 32.1, 61.3, 68.7, 69.5, 71.7, 72.1, 74.4, 98.8. ESIMS calc’d for C₁₄H₂₈NaO₄ [M+Na]+ 315.18. found: 315.72.
## Example 6
### Preparation of Compound 15
This example provides a method for preparing compound 15 by reaction of an α-iodo glucopyranose with compound 6.
1-O-Palmitoyl-2-O-oleoyl-3-O-α-D-glucopyranosyl-sn-glycerol (15): To a solution of 1,2,3,4,6-penta-O-trimethylsilyl-D-glucopyranose (13, 136 mg, 0.25 mmol) in CH₂Cl₂ (3 mL) at 0° C. was added TMSI (56 mg, 0.28 mmol). The reaction was stirred under argon at 0° C. for 20 min. In a separate flask, molecular sieves (MS, 4 Å, 50 mg), TBAl (186 mg, 0.50 mmol), 6 (50 mg, 0.08 mmol) and DIPEA (65 mg, 0.50 mmol) were added into CH₂Cl₂ (1.5 mL). The mixture was stirred under argon at rt. The glycosyl iodide was added dropwise and the reaction mixture was stirred at rt for 24 h. Solvent was evaporated. MeOH (15 mL) and Dowex® 50WX8-200 ion exchange resin (1 g) were added and the reaction was stirred at rt for 3 h. The resin was removed by filtration. The solvent was removed in vacuo and the resulting residue was purified by silica gel chromatography (CHCl₃:MeOH=10:1, R_f=0.36) to afford 15 as a white powder (36 mg, 58%). ^1H NMR (600 MHz, CDCl₃) δ 0.88 (t, J=6.6 Hz, 7H), 1.25-1.30 (m, 44 H), 1.60 (bs, 4H), 2.00 (dd, J=12.0, 6.0 Hz, 4H), 2.31 (dd, J=11.4, 7.2 Hz, 4H), 3.51 (s, 1H), 3.56 (m, 1H), 3.61 (m, 3H), 3.73 (bt, 1H), 3.82 (bs, 3H), 4.15 (dd, J=11.4, 6.0 Hz, 1H), 4.39 (d, J=9.6 Hz, 1H), 4.86 (bs, 1H), 5.25 (bt, 1H), 5.34 (dt, J=15.6, 6.8 Hz, 2H). ^13C NMR (150 MHz, CDCl₃) δ 14.3, 22.83, 22.85, 25.0, 25.35, 27.38, 29.12, 29.19, 29.28, 29.31, 29.32, 29.35, 29.49, 29.52, 29.63, 29.65, 29.66, 29.69, 29.74, 32.06, 32.08, 34.3, 34.4, 61.7, 62.7, 66.3, 69.9, 72.0, 72.2, 74.3, 99.3, 129.8, 130.2, 173.5, 173.9. ESIMS calc’d for C₄₃H₆₀NaO₁₀ [M+Na]+ 779.56. found: 779.43.
## Example 7
### Preparation of Compound 16
This example provides a method for preparing compound 16 by reaction of an αα-iodo glucopyranose with compound 8.
(2S, 3R, 4E)-1-O-(α-D-Glucopyranosyl)-2-(N-octadecanoylamino)-4-1,3-octadecenediol (16): To a solution of 1,2,3,4,6-penta-O-trimethylsilyl-D-glucopyranose (13, 162 mg, 0.30 mmol) in CH₂Cl₂ (3 mL) at 0° C. was added TMSI (66 mg, 0.33 mmol). The reaction was stirred under argon for 15 min. In a separate flask, molecular sieves (MS, 4 Å, 50 mg), TBAI (222 mg, 0.60 mmol), 8 (56 mg, 0.10 mmol) and DIPEA (77 mg, 0.60 mmol) were added into CH₂Cl₂ (1.5 mL). The mixture was stirred under argon at rt. The glycosyl iodide was added dropwise and the reaction mixture was stirred at rt for 48 h. Solvent was evaporated. MeOH (15 mL) and Dowex® 50WX8-200 ion exchange resin (1 g) were added and the reaction was stirred at rt for 4 h. The resin was removed by filtration. The solvent was removed in vacuo and the resulting residue was purified by silica gel chromatography (CHCl₃:MeOH=87:13, R_f=0.35) to afford 16 as a white powder (45 mg, 63%). ^1H NMR (600 MHz, CDCl₃/CD₃OD=9:1) δ 0.69 (t, J=7.2 Hz, 6H), 1.07-1.11 (m, 50 H), 1.16-1.18 (m, 2H), 1.40-1.41 (m, 2H), 1.84 (q, J=7.2 Hz, 2H), 2.00 (t, J=7.2 Hz, 2H), 3.19 (t, J=9.6 Hz, 1H), 3.26 (dd, J=9.6, 4.2 Hz, 1H), 3.36 (dt, J=4.2, 3.3 Hz, 1H), 3.471 (t, J=9 Hz, 1H), 3.53 (dd, J=6.0, 1.2 Hz, 1H), 3.55 (t, J=3.0 Hz, 1H), 3.59 (t, J=4.2 Hz, 1H), 3.61 (t, J=3.0 Hz, 1H), 3.77 (p, J=3.6 Hz, 1H), 3.91 (t, J=6.6 Hz, 1H), 4.63 (d, J=3.6 Hz, 1H), 5.26 (dd, J=14.4, 6.6 Hz, 1H), 5.54 (dt, J=13.8, 6.6 Hz, 1H). ^13C NMR (150 MHz, CDCl₃/CD₃OD=9:1) δ 13.7, 22.5, 25.8, 29.0, 29.1, 29.1, 29.2, 29.3, 29.4, 31.7, 32.2, 36.3, 53.4, 61.3, 67.2, 70.0, 71.9, 71.9, 73.6, 73.9, 99.3, 128.9, 134.21 174.5. ESIMS calc’d for C_{42}H_{81}NNaO_{18}[M+Na]^+ 750.59. found: 750.6.
Example 8
Preparation of Compound 17
This example provides a method for preparing compound 17 by reaction of an α-iodo lactopyranose with n-octanol.
Reaction with TBAI Catalyst
Octyl α-D-lactopyranoside (17): To a solution of per-O-trimethylsilyl-D-lactopyranose (12, 210 mg, 0.23 mmol) in CH₂Cl₂ (2 mL) at 0° C. was added TMSI (45 mg, 0.23 mmol). The reaction was stirred under argon at 0° C. for 30 min. In a separate flask, molecular sieves (MS, 3 Å, 100 mg), TBAI (252 mg, 0.69 mmol), octanol (20 mg, 0.15 mmol) and DIPEA (89 mg, 0.68 mmol) were added into CH₂Cl₂ (1.5 mL). The mixture was stirred under argon at rt. The glycosyl iodide was added dropwise and the reaction mixture was stirred at rt for 16 h. Solvent was evaporated. MeOH (15 mL) and Dowex® 50WX8-200 ion exchange resin (1 g) were added and the reaction was stirred at rt for 3 h. The resin was removed by filtration. The solvent was removed in vacuo and the resulting residue was purified by silica gel chromatography (CHCl₃:MeOH=5:5, R_f=0.49) to afford 17 as a white powder (24 mg, 35%). The spectra are in complete agreement with those previously reported in the literature.
Reaction with NIS Catalyst
Octyl α-D-lactopyranoside (17): To a solution of per-O-trimethylsilyl-D-lactopyranose (12, 230 mg, 0.25 mmol) in CH₂Cl₂ (2 mL.) at 0° C. was added TMSI (50 mg, 0.25 mmol). The reaction was stirred under argon at 0° C. for 30 min. In a separate flask, N-iodosuccinimide (62 mg, 0.28 mmol), octanol (11 mg, 0.08 mmol) and DIPEA (97 mg, 0.75 mmol) were added into CH₃CN (2 mL.). The mixture was stirred under argon at rt. The glycosyl iodide was added dropwise and the reaction mixture was stirred at rt for 24 h. Solvent was evaporated. MeOH (15 mL) and Dowex® 50WX8-200 ion exchange resin (1 g) were added and the reaction was stirred at rt for 3 h. The resin was removed by filtration. The solvent was removed in vacuo and the resulting residue was purified by silica gel chromatography (CHCl₃:MeOH=7:3, R_f=0.25) to afford 17 as a white powder (22 mg, 58%). The spectra are in complete agreement with those previously reported in the literature.
Example 9
Preparation of Compound 10
This example provides a method for preparing compound 10 by reaction of an α-iodo glucopyranose with n-octanol (see also scheme in FIG. 2).
Octyl β-D-glucopyranoside (10): To a solution of 1,2,3,4,6-penta-O-trimethylsilyl-D-glucopyranose (13, 105 mg, 0.19 mmol) in CH₂Cl₂ (1.5 mL) at 0° C. was added TMSI (38.8 mg, 0.19 mmol). The reaction was stirred under argon for 30 min. In a separate flask, Ag₂CO₃ (71.2 mg, 0.26 mmol), n-octanol (8.4 mg, 0.06 mmol) and DIPEA (75.2 mg, 0.58 mmol) were added into CH₂Cl₂ (1.5 mL). The mixture was stirred under argon at rt. The glycosyl iodide was added dropwise and the reaction mixture was stirred at rt for 24 h. Solvent was evaporated. MeOH (15 mL) and Dowex® 50WX8-200 ion exchange resin (1 g) were added and the reaction was stirred at rt for 3 h. The resin was removed by filtration. The solvent was removed in vacuo and the resulting residue was purified by silica gel chromatography (CHCl₃:MeOH=9:1, R_f=0.23 to afford 10 as a white powder (11.3 mg, 60%). All spectra obtained were identical to those reported in the literature.
Example 10
Preparation of GalCer
This example provides a method for preparing beta-GalCer by reaction of an α-iodo glucopyranose with compound 8 (see also scheme in FIG. 3).
(2S, 3R, 4E)-1-O-(β-D-Galactopyranosyl)-2-(N-octadecanoylamino)-4-1,3-octadecenediol (GalCer): To a solution of 1,2,3,4,6-penta-O-trimethylsilyl-D-glucopyranose (13, 57 mg, 0.11 mmol) in CH₂Cl₂ (1.5 mL) at 0° C. was added TMSI (0.21 mg, 0.11 mmol). The reaction was stirred under argon for 30 min. In a separate flask molecular sieves (MS, 4 Å, 100 mg), Ag₂CO₃ (58 mg, 0.21 mmol), 8 (40 mg, 0.07 mmol), and DIPEA (75.2 mg, 0.58 mmol) were added into toluene (1.5 mL). The mixture was stirred under argon at reflux conditions of 110° C. The glycosyl iodide was added dropwise and the reaction mixture was stirred at 110° C. for 48 h. Solvent was evaporated. MeOH (15 mL) and Dowex® 50WX8-200 ion exchange resin (1 g) were added and the reaction was stirred at rt for 3 h. The resin was removed by filtration. The solvent was removed in vacuo and the resulting residue was purified by silica gel chromatography to afford beta-GalCer as a white powder (58%, β-only, 1:1 mixture of mono and diglycosylated products). All spectra obtained were identical to those reported in the literature.
Example 11
Preparation of Compound BbGL1
This example provides a method for preparing compound BbGL1 by reaction of an α-iodo galactopyranose with cholesterol (see also scheme in FIG. 4).
Cholesteryl 6-O-acyl-β-D-galactopyranoside (BbGL1): To a solution of 1,2,3,4,6-penta-O-trimethylsilyl-D-glucopyranose (13, 200 mg, 0.37 mmol) in CH₂Cl₂ (1.5 mL) at 0° C. was added TMSI (74 mg, 0.37 mmol). The reaction was stirred under argon for 25 min. In a separate flask molecular sieves (MS, 4 Å, 200 mg), Ag₂CO₃ (204 mg, 0.74 mmol), cholesterol (50 mg, 0.13 mmol), and DIPEA (75.2 mg, 0.58 mmol) were added into toluene (4 mL). The mixture was stirred under argon and refluxing at 110° C. The glycosyl iodide was added dropwise and the reaction mixture was stirred at rt for 14 h. Solvent was evaporated. MeOH (15 mL) and Dowex® 50WX8-200 ion exchange resin (1 g) were added and the reaction was stirred at rt for 4 h. The resin was removed by filtration. The solvent was removed in vacuo and the resulting residue was purified by silica gel chromatography to afford BbGL1 as a white powder (39 mg, 56%, mostly (3)). All spectra obtained were identical to those reported in the literature. A solution of the beta-cholesteryl-glycoside (130 mg, 0.24 mmol) in dry pyridine (4 mL) was cooled to 0° C. A 2 mL solution of DCC (98 mg, 0.48 mmol), DMAP (15 mg, 0.105 mmol) and palmitic acid (92 mg, 0.36 mmol) in CH₂Cl₂ was added to it in a slow drop-wise manner over a period of 1 h. The reaction was stirred for 48 h at rt. The mixture was filtered over celite, washed with saturated aqueous sodium bicarbonate solution and brine, dried on anhyd. sodium sulfate and concentrated in vacuo. The residue was purified by flash column chromatography using silica gel (methanol: CH₂Cl₂=4:1, R_f=0.35) to obtain monoacylated product (83 mg, 45%) as a colorless oil. All spectra obtained were identical to those reported in the literature.
TABLE 1
| Entry | Temp | Solvent | Time | Yield | α/β ratio |
|-------|------|-------------|--------|-------|-----------|
| 1 | RT | DCM | 4 d | 50% | 1/1 |
| 2 | 110 | Toluene | 14 h | 55% | 1/6 |
| 3 | 110 | Toluene | 3 h | 38% | 1/6 |
| 4 | 110 | Toluene | 4 h | 46% | 1/4.5-5 |
| 5 | 110 | Toluene | 3 h | 43% | 1/4.5-5 |
| 6 | RT | CH₃CN: DCM | 50 h | 35% | 1.6/1 |
| 7 | 110 | Toluene | 24 h | 56% | 1/9 |
Example 12
Preparation of Compound 11
This example provides a method for preparing compound 11 by reaction of an α-iodo lactopyranose with n-octanol (see also scheme in FIG. 5).
Octyl β-D-lactopyranoside (11): To a solution of per-O-trimethylsilyl-D-lactopyranose (12, 220 mg, 0.24 mmol) in CH₂Cl₂ (2 mL) at 0° C. was added TMSI (50.2 mg, 0.24 mmol). The reaction was stirred under argon for 25 min. In a separate flask, Ag₂CO₃ (88.2 mg, 0.32 mmol), n-octanol (10.4 mg, 0.08 mmol) and DIPEA (93.1 mg, 0.72 mmol) were added into CH₂Cl₂ (2 mL) and the mixture was stirred under argon at rt. The glycosyl iodide was added dropwise and the reaction mixture was stirred for 15 h. Solvent was evaporated. MeOH (15 mL) and Dowex® 50WX8-200 ion exchange resin (1 g) were added and the reaction was stirred at rt for 3 h. The resin was removed by filtration. The solvent was removed in vacuo and the resulting residue was purified by silica gel chromatography (CHCl₃:MeOH=7:3, R_f=0.23) to afford 11 as a white powder (12.3 mg, 34%). All spectra obtained were identical to those reported in the literature.
Although the foregoing invention has been described in some detail by way of illustration and example for purposes of clarity of understanding, one of skill in the art will appreciate that certain changes and modifications may be practiced within the scope of the appended claims. In addition, each reference provided herein is incorporated by reference in its entirety to the same extent as if each reference was individually incorporated by reference.
What is claimed is:
1. A method of preparing an unprotected $\alpha$-O-glycolipid comprising the steps of:
contacting a protected $\alpha$-iodo sugar with a catalyst and a lipid comprising a hydroxy group, under conditions sufficient to prepare a protected $\alpha$-O-glycolipid, wherein the protected $\alpha$-iodo sugar is selected from the group consisting of:
\[ \text{R}^1\text{O} \quad \text{OR}^1 \quad \text{I} \quad \text{R}^1\text{O} \quad \text{OR}^1 \quad \text{I} \quad \text{R}^1\text{O} \quad \text{OR}^1 \quad \text{I} \quad \text{R}^1\text{O} \quad \text{OR}^1 \quad \text{I} \quad \text{R}^1\text{O} \quad \text{OR}^1 \quad \text{I} \]
wherein
each $R^1$ is independently selected from the group consisting of a trialkylsilyl and a protected saccharide,
wherein the protected saccharide is protected with a trialkylsilyl,
the catalyst is selected from the group consisting of a quaternary ammonium iodide salt, sodium iodide, potassium iodide and N-iodosuccinimide, and
the lipid is a ceramide; and
deprotecting the protected $\alpha$-O-glycolipid under conditions sufficient to prepare the unprotected $\alpha$-O-glycolipid, wherein the contacting and deprotecting steps are performed in a single vessel.
2. The method of claim 1, wherein the trialkylsilyl is selected from the group consisting of trimethylsilyl, triethylsilyl, trisopropylsilyl and tert-butyldimethylsilyl.
3. The method of claim 1, wherein the protected saccharide is a member selected from the group consisting of a monosaccharide, a disaccharide, a trisaccharide, an oligosaccharide and a polysaccharide.
4. The method of claim 1, wherein the quaternary ammonium iodide salt is tetra-butylammonium iodide.
5. The method of claim 1, wherein the ceramide comprises a sphingosine.
6. The method of claim 1, wherein the ceramide comprises a phytosphingosine.
7. The method of claim 1, wherein the method of preparing an unprotected $\alpha$-O-glycolipid is performed using microwave irradiation.
8. The method of claim 1, wherein the method provides a mixture of the unprotected $\alpha$-O-glycolipid and an unprotected $\beta$-O-glycolipid.
9. The method of claim 8, wherein the unprotected $\alpha$-O-glycolipid is prepared in at least a 1:1 ratio to the unprotected $\beta$-O-glycolipid.
10. The method of claim 8, wherein the unprotected $\alpha$-O-glycolipid is prepared in at least a 10:1 ratio to the unprotected $\beta$-O-glycolipid.
11. The method of claim 8, wherein the unprotected $\alpha$-O-glycolipid is prepared in at least a 20:1 ratio to the unprotected $\beta$-O-glycolipid.
12. The method of claim 8, wherein the unprotected $\alpha$-O-glycolipid is prepared in at least a 100:1 ratio to the unprotected $\beta$-O-glycolipid.
It is certified that error appears in the above-identified patent and that said Letters Patent is hereby corrected as shown below:
On the Title Page:
The first or sole Notice should read --
Subject to any disclaimer, the term of this patent is extended or adjusted under 35 U.S.C. 154(b) by 564 days.
Signed and Sealed this
Twenty-second Day of September, 2015
Michelle K. Lee
Director of the United States Patent and Trademark Office
|
15 days Essence of China with Yangtze River cruise tour
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Beijing Xi'an Guilin Yangtze Cruise Shanghai Suzhou Shanghai
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**Type**
Private
**Duration**
15 days
**Theme**
Yangtze cruise
**Trip code**
YCT-06
**Price**
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**Itinerary**
Travel from Beijing to Shanghai, stopping in 5 cities to visit their famous attractions along the way. This tour includes a Yangtze River Cruise tour experience. Be impressed by the unique and splendid scenery while sailing through the Three Gorges. More awaits as you disembark at Fengdu to learn about the unique ghost culture and visit the world's largest dam. Top services on board are provided to make your journey memorable.
**Day 01 : Arrive Beijing**
Your Yangtze Cruise tour starts in Beijing, the capital of China. It is a historical city where you can see the majestic Great Wall and explore the real traditional culture of China. Upon arrival, Be greeted by your local guide and driver as they will drive you to the downtown hotel. The rest of the day is open and flexible for you to walk around for the first impression of this city. Overnight in Beijing.
**Day 02 : Beijing City Tour**
Spend the whole day to visit three highlights in Beijing city: **Tiananmen Square**, **Forbidden City** and **Summer Place**. As the first sight in the morning, **Tiananmen Square** is almost synonymous with Beijing. Located in the heart of Beijing city, the square is worth a visit not just for its historical significance, but also for its size of being the largest public square in the world, which can accommodate up to a million people to hold ceremonies. Spend some time to walk around the square before you head to the north end and see the entrance of the Forbidden City.
Forbidden City once was the center of the imperial power and national politics during Ming and Qing dynasties. The majestic stone walkways and complex wooden structures reveal the power of both imperial and divine. According to the historical records, most parts of this imperial palace have been rebuilt several times because of the fire, so you can see lots of urns in all parts of the Forbidden City. They were kept filled with water in case of fire.
After lunch, continue a visit to the Summer Palace, which is an imperial garden built during Qing dynasty. During the visit, immerse yourself in the spectacular landscape design and architectures, which combines the natural scenery of rolling hills and open waterways with many elegant pavilions, temples and bridges. In the evening, enjoy a traditional Kong Fu Show and return to your hotel to retire. Overnight in Beijing.
Day 03: Beijing Great Wall Tour
Morning, drive to the Temple of Heaven, a religious place for the emperors in Ming and Qing dynasties to pray to God of Heaven for a good harvest. According to the traditional culture, the unique triple-gabled circular architectures in the garden symbolize heaven in ancient China. After that, continue an excursion to Mutianyu, one of the best sections to see the magnificent Great Wall. The drive takes about 1.5 hours. Once get there, spend 2 to 3 hours to hike along the Great Wall and view the breathtaking scenery. Being one of the notable masterpieces of Chinese ancient architectures, Great Wall served as a northern barrier to defend the capital and Chinese imperial tombs for thousands of years. While standing atop the watchtowers and seeing the wall winding its way across endless mountains, you still can feel its historical mission today. During your visit, the cable car is also available for those who require assistance in reaching the summit of the wall or just do not feel like walking up. Afterwards, drive back to the hotel and prepare for the next day of your tour in Beijing. Overnight in Beijing.
Day 04: Beijing Sightseeings - High-speed train to Xi'an
Morning have a half-day tour to visit the old part of Beijing – Shichahai area, here you will visit one of the old courtyards, and have a Hutong tour by a rickshaw to experience local life. You will have plenty time to explore this area to get to Yandai Xiejie and Drum Tower. In the afternoon, say farewell to your Beijing local guide as you drive to the railway station for the high-speed train to Xi'an. Your historical tour in Xi'an will start tomorrow. Overnight in Xi'an.
Day 05: Xi'an City Tour
After breakfast, drive to the Terracotta Warriors which is located in the northeast countryside of Xi'an. Regarded as the Eighth Wonder of World, Terracotta Warriors has attracted millions of travelers every year since it was first excavated by a local farmer in 1974. It is a magical experience to see thousands of subterranean life-size army standing guard over the soul of China's first emperor, Qin Shi Huang for over 2,000 years.
In the afternoon, drive back to Xi'an city for a visit to the Big Wild Goose Pagoda, which is a preserved ancient building to house the Buddhist sutras brought back from India. See a spectacular fountain show and take some photos as you walk by the square to the pagoda. The last part of the tour today is to explore the Muslim culture in Xi'an. Learn about Islam with a visit to the Great Mosque, one of the largest mosque in China and experience the local life of Hui (Chinese Muslim) people by walking around the Muslim Quarters.
In the evening, end the trip today by enjoying a Tang Dynasty Dinner Show along with the Dumpling Dinner. Overnight in Xi'an.
Day 06: Xi'an Sightseeings - Flight to Guilin
Continue your journey in Xi'an today by heading to the Shaanxi History Museum, which is one of the largest modern national museum to house the best heritage of Shaanxi Province. Learn about the systematic development process of Chinese civilization from your guide while seeing these exhibitions in the museum. As you leave the museum for the next sight, notice that the entire building complex of the museum assumes the architectural features of the Tang Dynasty.
Afterwards, take a walk along the Xi'an City Wall, one of the oldest and best preserved city wall in China. Followed by a visit to Shuyuan Men, a place that jammed with many shops for selling delicate traditional art crafts. After lunch, you will be driven to the airport for the flight to Guilin, a famous city with beautiful landscapes. Overnight in Guilin.
Day 07: Guilin to Yangshuo - Yangshuo Countryside Sightseeing
Morning transfer to Guilin Mopan Hill or Zhujiang wharf to board your cruise down to Yangshuo along Li River, considered to have the best mountains and river in China. The cruise journey takes around 4 hours. You will have lunch on board. Upon arrival Yangshuo, be picked up and transferred to the hotel. In the afternoon you could choose to ride bicycle/bamboo rafting to enjoy the nice countryside views along the Yulong river also as well the rural life in China, you will have a chance to visit local family during the tour. Overnight in Yangshuo.
Day 08: Drive to Longji Rice Terraces - Longji Rice Terraces sightseeing
Morning drives about 40 minutes to visit **Xianggong hill (Husband Mountain)**, it takes about 15 minutes to the top of the hill where you will be amazed by the breathtaking view of Li River and the surrounded Karst mountain peaks. Then head to **Longji Rice Terraces** for the splendid rice terraces and local ethnic minority villages, the drive takes roughly 3 hours, on the way enjoy the nice mountain range views.
Upon arrival, spend a few hours to hike around at the Ping'an village to enjoy the rice terraces views and visit local minority villages. There are several hiking trails that you can choose depending on your physical condition, it could last from 1 hour up to 4 hours. So just tell your guide what you want, then he can recommend you the options.
Overnight in Ping'an village.
**Day 09 : Drive back to Guilin - High-speed train to Chongqing - Yangtze River Cruise check-in**
Morning, drive back to Guilin railway station with 2 hours’ drive to take the bullet/high-speed train to Chongqing (the train ride takes about 5 hours). Chongqing railway station pick-up and transfer to the wharf to board the Yangzte River Cruise. Overnight on the cruise.
**Day 10 : Yangtze River Cruise**
Today is the first day cruising on the Yangtze River, the mightiest and longest river of China. As one of China’s mother rivers and an important cradle for Chinese civilization, Yangtze River holds numerous cultural heritages and spectacular landscapes.
**Fengdu Ghost City** is the first heritage during your cruise. The town is located 170 km. (110 mi.) from Chongqing, forming a unique culture of ghost and afterlife. Learn about the interesting folktales of Chinese ancient ghost culture from your guide during your visit. Overnight on the cruise.
**Day 11 : Cruise on Yangtze River**
Cruising through the **Three Gorges** is the highlight of today. Start the passage with Qutang Gorge, the shortest but the grandest among three gorges. The majestic peaks and strangely shaped rocks can be seen everywhere along the two banks of the Yangtze River. Then pass the Wu Gorge, considered to be the most beautiful one where you will have a graceful view of the lofty and misty peaks.
During your visit through Wu Gorge, have a short cruise on Little Three Gorges or take a pea-boat floating along the verdant **Shennong Stream** (based on the seasons). Then continue sailing into Xiling Gorges, the last section of Three Gorges of the downstream cruise. Xiling gorges are considered to be the most exciting part among three gorges due to the countless reefs, riffles, and rocks along with the river. Overnight on the cruise.
**Day 12 : Cruise to Yichang - Flight to Shanghai**
This morning, stop at the **Three Gorges Dam** to visit this largest and most magnificent hydroelectric project in world. Then check out from the ship in Yichang at noon. Once you disembark, be greeted and assisted to the airport by our guide for the flight to Shanghai. Get settled into the downtown hotel after your arrival in Shanghai. The rest of today is on your own. Overnight in Shanghai.
**Day 13 : Shanghai City Tour**
Start today with a visit to **Yu Garden** in the old town of Shanghai. Compared with the imperial Summer Palace that you visit in Beijing, Yu Garden is an ancient folk garden that presents the architectural features of the Southeast region of China. Next to the garden is a market that jammed with many small shops for selling Chinese ancient arts and crafts, walk around here for some good bargains.
Next up with a visit to **Shanghai Urban Planning Exhibition Hall**. Learn about the development of modern Shanghai before you head to the
Shanghai Tower to have a bird view of Huangpu River. Afterwards, come to Nanjing Road for a walk along the road. See the breathtaking scenery of the Bund or do some shopping. In the evening, experience a short cruise journey on Huangpu River to appreciate different scenes along both sides of the river. Overnight in Shanghai.
Day 14: Drive to Suzhou - Suzhou City Tour
Morning drive to Suzhou, a famous garden city in the southeast region of China. The first stop is the Humble Administrator’s Garden, a natural and elegant garden that has almost 500 years’ history. The main feature of Suzhou’s gardens is that the landscapes are meticulously designed to make sure the visitors always gain surprises. During your visit, you will have no idea what the surprise you will see next while walking in the garden. Afterwards, have a cruise on the Grand Canal, the longest canal or artificial river in the world.
In the afternoon, take a visit to the Lingerling Garden, another ancient garden in Suzhou. Be rewarded with scenes more splendid than the one you were just in while visiting in the garden. Late afternoon, drive back to the hotel in Shanghai to relax. Overnight in Shanghai.
Day 15: Departure from Shanghai
Your fantastic tour will come to an end today. Drive to the airport and railway station and say farewell to your local guide. Wish you have a pleasant journey home.
Inclusions
Tour notes:
- Please note prices are based in CNY.
General inclusions:
- 2 bottles of mineral water provided daily.
- All required government taxes and fees.
- Your selection of 3, 4 or 5 Stars hotel (shared twin room, private bathroom and daily breakfast)
- The hotel accommodation is based on two persons sharing one standard twin room with private facilities in all relevant locations. If a single client requests a twin room alone, the single room supplement will be charged.
- Yangtze river cruise class is a Standard cabin located on the main deck.
- All entrance tickets as noted in the tour's itinerary.
- Yangtze river cruise services include all onboard meals and shore excursions to the Little Three Gorges, Shennong Stream and others.
- Guide fluent in English, Chinese or Japanese that is certified by the state tourism build and from the local community. (If your native language is not listed please let us know, we are certain we can assist your needs.)
- Airport and/or train station pick-up and drop-off.
- All domestic flight and train tickets. Economy-class for flights and soft sleeper / seat for train tickets.
- Transportation will be provided via a comfortable and clean car, minivan or tourist bus depending upon the groups size.
- Meals as remarked in the itinerary. (B=breakfast, L=lunch, D=dinner)
General exclusions:
- Personal expenses such as laundry, drinks, internet access, fax, telephone calls etc.
- Tips for your guide and driver.
- Optional Attractions that are not specified in the itinerary.
- Flight and/or railway ticket(s) to the first city of the tour and departure from the last city of the tour.
- Meals not specified in the itinerary.
https://windhorsetour.com/china-yangtze-river-tour/essence-china-tour-yangtze-cruise
Generated: Sat, 03/06/2021 - 19:27
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The Impact of SNAP on Obesity in the Presence of Endogenous Misreporting
Augustine Denteh*
December 31, 2020
Abstract
This paper estimates the causal effect of the Supplemental Nutrition Assistance Program (SNAP) on adult obesity, addressing self-selection and endogenous misreporting of participation. I exploit an exclusion restriction for program participation and survey characteristics as predictors of misreporting for identification. The estimated misreporting model confirms some prior findings in the literature regarding the correlates of misreporting: respondents who have an adult present during the interview and are more cooperative are more likely to provide accurate responses. However, contrary to most previous studies, I do not find any evidence of a statistically significant effect of SNAP participation on adult obesity.
Keywords: Misreporting, Endogeneity, Treatment Effects, Obesity
JEL No: C18, C25, I28, I38
*I am grateful for helpful feedback from participants in seminars at Georgia State University, Tulane University, Harvard Medical School, the Western Economic Association International Graduate Student Workshop, the Southern Economic Association Graduate Student Session, and the Virtual Seminar on the Economics of Risky Health Behaviors. I am also thankful for useful feedback from Tom Mroz, John Cawley, Rusty Tchernis, and Maureen Pirog. I am solely responsible for any errors.
Correspondence: Department of Economics, Tulane University, 6823 St. Charles Avenue, New Orleans, LA, 70118. E-mail: email@example.com.
1. Introduction
This paper estimates the causal effect of the Supplemental Nutrition Assistance Program (SNAP) on obesity when participation is endogenously misreported.\(^1\) SNAP is the largest nutrition assistance program in the U.S., serving millions of low-income individuals and households to reduce food insecurity and support a healthy population. High adult obesity rates, coupled with a higher prevalence among low-income families targeted by SNAP, motivates a thorough understanding of the relationship between SNAP and obesity.\(^2\) Since obesity remains a public health concern, policymakers are interested in whether SNAP has any unintended consequences for the weight of recipients. For instance, if SNAP adversely affects recipients’ weight, then the size of the negative externalities associated with obesity would need to incorporate those effects (Bhattacharya & Sood 2006, Bailey 2013). Understanding such unintended consequences can inform debates regarding proposals to restructure SNAP.
A common assertion is that SNAP participation reduces food insecurity, lifts millions from poverty, and provides a fiscal boost to the economy during downturns without any significant adverse impact on the health of participants (U.S. Department of Agriculture 2012). However, existing research on the relationship between SNAP participation and obesity is mixed, inconclusive, and deserves closer examination. Obesity is one of the leading health problems in the U.S., with an adult, age-adjusted prevalence rate of 37.7% (35% for
\(^1\)SNAP was formerly called the Food Stamp Program (FSP).
\(^2\)Descriptive empirical evidence suggests that lower incomes are associated with higher probabilities of obesity and severe obesity, and this gradient is more pronounced for women. For instance, using the 2001-2010 National Health and Nutrition Examination Survey (NHANES) data, Gundersen (2015) finds that obesity rates (BMI≥30) decline from 36.3% to 31.3% moving from below the federal poverty level to above 400% of the federal poverty level, while severe obesity rates (BMI≥35) declines from 19.1% to 13.0%. Also, using NHANES data from 2007-2010, Condon et al. (2015) reports that adult SNAP participants were more likely to be obese compared to income-eligible nonparticipants (43.6% vs. 33.3%) and higher-income nonparticipants (43.6% vs. 31.9%).
men and 40.4% for women) as of 2014 (Flegal et al. 2016). Obesity heightens a person’s risk of many debilitating diseases and health problems such as diabetes, cardiovascular risk factors, lower quality of life, and many other chronic conditions (Colditz et al. 1995, McGee et al. 2005, Kim & Kawachi 2008). Also, there are significant health care costs of obesity (Finkelstein et al. 2009, Cawley & Meyerhoefer 2012) and adverse effects of obesity on labor market outcomes (Bhattacharya & Bundorf 2009). The fact that the low-income households targeted by SNAP are also relatively more vulnerable to obesity risk factors reinforces the need to provide credible estimates of SNAP’s impacts on weight outcomes.
This paper aims to examine the relationship between SNAP participation and adult obesity when we account for misreporting in survey data. The literature evaluating SNAP’s causal impacts has always grappled with the twin problems of the endogeneity of program participation and misreporting of participation. First, participants may differ in systematic ways from income-eligible non-participants, making it difficult to obtain unbiased estimates of SNAP’s effect on obesity. SNAP participants are likely negatively selected into the program given that participation is often associated with adverse nutrition-related health outcomes such as worse diets and nutrition intake, obesity, or overweight compared to non-recipients (Currie 2003, Kreider et al. 2012, Hoynes & Schanzenbach 2016).
Second, measurement error arising from the misreporting of SNAP status in national surveys poses a considerable threat to causal identification. Misreporting occurs when participants report receiving no benefits when they did or vice versa. Meyer et al. (2015) provide evidence of extensive under-reporting of program benefits of ten transfer programs in five nationally representative surveys and reports that at least one-third of SNAP benefits are not reported in survey data. Validation studies confirm severe misreporting of program participarticipation, sometimes up to almost 50%, with the measurement error being possibly correlated with covariates (Meyer et al. 2020). False negatives tend to be more frequent than false positives, particularly with means-tested government programs. Generally, misreporting of SNAP participation (or any binary treatment indicator) creates biases whose magnitude and direction are not known without further assumptions (Bound et al. 2001, Kreider et al. 2012, Meyer & Mittag 2017, Nguimkeu et al. 2019).
To overcome the above challenges, I utilize Nguimkeu et al. (2019)'s misreporting model to estimate the causal impacts of SNAP on obesity. The advantage of this approach is that it provides a unifying framework to identify SNAP’s impacts when we account for both self-selection and misreporting of participation. The basic idea of the model is that self-reported participation is a product of true participation and a misclassification indicator, both unobserved to the researcher. True participation is only observed if the individual participates in the program and correctly reports her participation status. Estimation proceeds in two stages. In the first step, we obtain probabilities of true participation from a partial observability model, which models the self-reported participation as a function of the unobserved participation and the misreporting indicator. In the second step, we regress the outcome of interest on the predicted probabilities of participation (which are now free of selection bias and measurement error) to obtain consistent estimates of SNAP participation’s causal effect.
Two sets of variables are needed to implement Nguimkeu et al. (2019)'s proposed estimator: instruments of participation and predictors of misreporting. I follow existing literature that relies on leveraging state-level SNAP administrative policies in terms of the instrument
for participation. Although SNAP is a federal program, the passage of the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA) in 1996 ushered in an era where states can adopt policies to influence several aspects of the program’s administration such as eligibility, transaction costs of enrollment, and outreach efforts. A number of these state-level SNAP policies have been shown to influence program participation in prior work (Kabbani & Wilde 2003, Hanratty 2006, Meyerhoefer & Pylypchuk 2008, Almada et al. 2016).
I exploit the identifying variation in the percentage of SNAP benefits issued by the state via electronic benefit (EBT) cards to instrument for SNAP participation. Moffitt (1983) studied the theoretical connection between stigma and program participation in his seminal work, which modeled stigma as a cost of program participation. There is evidence that the transition from benefit disbursement using coupons to EBT cards following the 1996 welfare reform likely reduced the costs of program participation and induced SNAP take-up (Wright et al. 2017).
To predict misreporting, I leverage the unique features of the 1979 National Longitudinal Survey of Youth (NLSY79) survey in terms of interview mode and information based on interactions between interviewers and respondents for identification. The NLSY79 collects post-interview information from interviewers, including demographic characteristics and other perceptions regarding the interview process, such as the respondent’s general attitude and the presence of third parties during the interview. Both the instrument for participation and the predictors of misreporting permit us to obtain predictions of each person’s true
\footnote{Another strand of the literature exploits the early introduction of the Food Stamp Program to estimate the impacts of childhood exposure to the program on long term health outcomes, including adult obesity; see, for instance, Hoyne et al. (2016).}
participation propensities, which are then used in place of the self-reported participation to obtain the causal impacts of program participation.
Overall, we do not find evidence that SNAP participation significantly increases body mass index or the probability of being obese. This finding departs from most previous studies suggesting positive impacts of SNAP on adult weight outcomes, especially for females. Also, the estimated model of misreporting yields key insights about the predictors of misreporting and the potential to use survey data to overcome the challenges posed by measurement error, especially when administrative data are unavailable or may be imperfect.
This paper makes three salient contributions. First, using Nguimkeu et al. (2019)'s novel approach, this paper informs the longstanding policy discussions and debates regarding the impacts of SNAP on recipient weight by addressing endogenous participation and misreporting of benefit receipt. Second, we demonstrate that leveraging survey characteristics is a promising way to overcome the biases due to measurement error in treatment effect estimation. Thirdly, our results highlight the consequences of misreporting on estimated treatment effects in empirical work by comparing our approach to standard estimators. The rest of the paper is organized as follows. Section 2. presents background information on SNAP and discusses the related literature. Section 3. presents the data. Section 4. presents the methodology. Section 5. discusses the results and Section 6. concludes.
2. Background and Related Literature
Brief Overview of SNAP
The Food Stamp Program has undergone numerous legislative changes from its establishment under the Food Stamp Act of 1964 to the Food, Conservation and Energy Act of 2008, which changed the name of the Food Stamp Act of 1977 to the Food and Nutrition Act of 2008 and renamed the program as the Supplemental Nutrition Assistance Program.\(^3\) SNAP is administered by the USDA with the objective of increasing food security, reducing hunger, and improving health and well-being of low-income individuals and households by expanding access to food, nutritious diets, and nutrition education.
The Food and Nutrition Act of 2008 contains national eligibility standards (categorical, financial, and non-financial) as well as exceptions to the eligibility criteria.\(^4\) Households are categorically eligible for SNAP if all members of the household are receiving Temporary Assistance for Needy Families (TANF), Supplemental Security Income (SSI), or General Assistance (GA) in certain cases. Households that are not categorically eligible must meet two basic income eligibility standards – a gross income test and a net income test.
The gross income tests requires households to have no more than 130 percent of the federal poverty level while they must have net income (gross income less allowable deductions) no more than the poverty level to pass the net income test. Under current federal rules, the allowable deductions include such items as an earned income deduction (currently set at 20 percent of earned income), a standard deduction (based on household size), a dependent
\(^3\) The change of name presumably was an attempt to reduce the associated stigma with program participation. Also, see Institute of Medicine and National Research Council (2013) for a more detailed discussion of SNAP’s historical milestones.
\(^4\) See U.S. Department of Agriculture (2017) for further information on SNAP eligibility criteria.
care deduction, qualified medical expenses, child support deduction, and some excess shelter costs. Households must also meet resource limits such as $2,250 in countable resources (e.g., cash). Households with an elderly or disabled member only need to meet the net income limit and can have up to $3,500 in countable resources.\(^5\) A household’s monthly SNAP allotment is determined as the maximum allotment (based on household size) less 30 percent of monthly net income.
Between 2000 and 2014, the number of Americans receiving SNAP benefits has almost tripled from about 17 million to 46 million while total spending on SNAP has more than quadrupled from about $17 billion to almost $75 billion.\(^6\) This translates to about one in seven Americans (or roughly 14% of the total U.S. population) and monthly average benefits of $257 per household, or $125 per person, or $4.11 per person per day in 2014.\(^7\)
**Related Literature and Misreporting of SNAP**
The impact of SNAP on obesity is theoretically ambiguous. Based on neoclassical economic theory, SNAP participation may affect obesity through its effect on consumption. Does SNAP lead to greater food consumption that could increase the probability of becoming obese? Following the standard Southworth model (Southworth 1945, Bartfeld et al. 2015), individuals allocate total income (cash income plus SNAP benefits) between food and a composite non-food good. Since relative prices are unchanged, SNAP benefits induce a
\(^5\)Households must also meet general work requirements such as not quitting or reducing hours of work and must be U.S. citizens or lawfully present non-citizens.
\(^6\)SNAP statistics can be found at http://www.fns.usda.gov/pd/supplemental-nutrition-assistance-program-snap. Part of this dramatic SNAP expansion is presumably due to the Great Recession and this is a testament to the importance of SNAP in the social safety net in the U.S.
\(^7\)See Hoynes & Schanzenbach (2016) for a review of SNAP and other nutrition assistance programs in the U.S.
pure income effect with a predicted increase in consumption of all *normal* goods. In this standard framework, the receipt of SNAP benefits merely loosens the budget constraint of participants, which leads to greater consumption of food and non-food goods.
There is some evidence that SNAP participants with excess allowances tend to purchase more food than they otherwise would due to the in-kind nature of SNAP benefits (Fox et al. 2004, Devaney & Moffitt 1991, Fraker et al. 1995). However, Hoynes & Schanzenbach (2009) provide recent evidence that the marginal propensity (MPC) to consume food out of SNAP benefits is similar to the MPC of cash income, albeit with dated data from the initial introduction of the program between 1961 and 1975 across about 3000 U.S. counties.
Depending on households’ preferences, the increased spending on food can positively or negatively impact obesity depending on the mix of “healthy” and “unhealthy” food purchased and consumed. Suppose SNAP participants are selected from a population with stronger preferences for “unhealthy” food. In that case, one will expect participants to have relatively greater consumption of “unhealthy” foods at all levels of income, leading to weight gain. The converse also holds. Beyond the underlying preferences for different types of food, the loosening of the budget constraint could lead to spending on goods that increase (decrease) sedentary activities resulting in weight gain (loss). Depending on the proportion of recipient households that are inframarginal versus extramarginal and the types of food purchased, SNAP participation may or may not empirically have anything to do with obesity.
Several papers have examined SNAP’s impact on many outcomes, including poverty, food insecurity, food consumption, and weight outcomes.\(^8\) In terms of SNAP’s relationship with obesity, a common finding is that SNAP participation is positively correlated with
\(^8\)For reviews, see Currie (2003), Bartfeld et al. (2015), and Hoynes & Schanzenbach (2016).
the probability of being obese or overweight (Townsend et al. 2001, Gibson 2003, Chen et al. 2005, Baum 2011, Meyerhoefer & Pylypchuk 2008). For instance, Gibson (2003) uses individual fixed effects estimation and concludes that SNAP participation increases obesity among women but finds no significant effects for men. Meyerhoefer & Pylypchuk (2008) adopts discrete factor random effects and IV estimation approaches and comes to the same conclusion as Gibson (2003).
A few studies have found no statistically significant relationship between SNAP participation and obesity (Fan 2010, Almada & Tchernis 2015). Using propensity score matching methods, Fan (2010) finds no significant effect of SNAP on obesity, overweight, or BMI. Nonetheless, the consensus among policymakers is that while SNAP participation does not increase or decrease the probability of being obese for children and non-elderly men, it tends to increase the likelihood of being obese or overweight for non-elderly adult women (U.S. Department of Agriculture 2012).
The consequences of misreported participation have recently received increased attention in the literature examining SNAP’s impacts. Based on an administrative record linkage, Meyer et al. (2020) estimates false negatives to be around $20 - 30\%$ in the 2001 and 2005 panels of the Survey of Income and Program Participation (SIPP), $35\%$ in the 2001 American Community Survey (ACS) and up to $50\%$ in the 2002-2005 Annual Social and Economic Supplement (March CPS). However, the corresponding false positives are typically less than $1.5\%$. Also, Almada et al. (2016) estimates $23 - 45\%$ false negative rates in the National Longitudinal Survey of Youth (NLSY) - 1979 cohort based on a model of misreporting.
There is a growing literature suggesting that the estimated effect of a misclassified binary explanatory variable may be substantially biased (Aigner 1973, Bollinger & David 1997,
When a binary explanatory variable is misclassified, the measurement error is necessarily nonclassical. Without additional assumptions about the nature of the measurement error, Gundersen & Kreider (2008) find wide bounds on the resulting bias. This resulting bias persists even when misclassification is entirely random or exogenous.
Evidence from validation studies suggests that misreporting may be correlated with individual and household characteristics. Moreover, in their extensive review of measurement error in survey data, Bound et al. (2001) discuss the possibility that the measurement error can be differential, where measurement error depends on the outcomes of interest. For instance, in this paper’s context, misreporting may be endogenous to the outcome equation if individuals with higher body weight are more or less likely to report program receipt.
Developing methods for consistently estimating the treatment effects of an endogenous and misreported binary regressor remains an active area of research. The OLS estimator is inconsistent for the average treatment effect of program participation and may even assume a “wrong sign” in special cases (Hu et al. 2015, Nguimkeu et al. 2019). Traditional IV methods have also been shown to be inconsistent (Black et al. 2000, Frazis & Loewenstein 2003). Most existing methods for addressing misreporting in a right-hand side binary variable have focused on the case of exogenous or random misreporting (Mahajan 2006, Lewbel 2007).
Few studies have attempted to address both the endogeneity and the misclassification of SNAP participation. Using partial identification methods to bound the treatment effect of SNAP participation on child health outcomes, Kreider et al. (2012) find that commonly cited relationships are misleading, concluding that “under the weakest restrictions, there is
substantial ambiguity; we cannot rule out the possibility that SNAP increases or decreases poor health.” In the context of adult weight, Almada et al. (2016) pursue various parametric and nonparametric approaches to identify the effects of SNAP on the probability of being obese or overweight. In addition to not finding any statistically significant results for SNAP’s impact on the probability of being obese, Almada et al. (2016) caution that traditional IV estimates are overstated and exceed nonparametric upper bounds by over 200%. To my knowledge, this paper is the first study to examine the effect of SNAP on body weight outcomes using a framework that yields point estimates when participation and misreporting are allowed to endogenous.
3. Data
This paper uses data from the National Longitudinal Survey of Youth - 1979 Cohort (NLSY79), a nationally representative sample of 12,686 men and women surveyed annually from 1979 and biennially after 1994. The NLSY79 comprises three sub-samples: a cross-sectional sample of 6,111 respondents representing the non-institutionalized population, a supplemental sample of 5,295 civilian Hispanic or Latino, black, and economically disadvantaged non-black/non-Hispanic population, and a sample of 1,280 military youth. The analysis sample is limited to 1996, 1998, 2000, 2002, and 2004 waves due to the availability of state-level policy variables from the SNAP Policy Database, which are used to instrument SNAP participation.\(^9\) The respondents were between 14 and 22 years old in 1979. The dependent vari-
\(^9\)The Economic Research Service (ERS) of the USDA maintains the SNAP Policy Database, which contains state-level SNAP policy choices for all 50 states and the District of Columbia from 1996 to 2011 (as of October 2016).
ables are two bodyweight measures constructed from the self-reports of weight and height, namely body mass index and the indicator of being obese (BMI $\geq 30$). I restrict the sample to observations with non-missing values of weight and height biennially from 1996 to 2004.\footnote{Weight is reported in pounds in the survey years 1981, 1982, 1985, 1986, 1988, 1989, 1990, 1992, 1993, 1994, 1996, 1998, 2000, 2002, 2004, 2006, 2008, 2010, 2012 and 2014. However, height in inches is only reported in 1981, 1982, and 1985. I use height in 1985 to calculate each respondent’s BMI as weight in kilograms divided by height in meters squared.}
We define the treatment indicator as a dummy variable equal to 1 for SNAP participation in at least one month of the past calendar year and zero otherwise. In the final analysis sample, about 16% of the survey respondents reported SNAP participation in at least one month of the previous calendar year. Out of those who reported participation, about 72% received SNAP during every month of the year. It is a more complicated process to determine which respondents are eligible in the NLSY79 and almost any other nationally representative survey because of the inadequacy of the income and asset data required for such an exercise. As previously mentioned, individuals must meet gross income, net income, and asset tests. Although these criteria are determined at the federal level, many exceptions exist, and states can make exemptions in some instances.
Most studies resort to checking whether a household’s income (after adjusting for household size) meets a particular multiple of the federal poverty level. While some studies use the gross income cutoff of 130% of the federal poverty level to determine SNAP eligibility, other studies have used higher thresholds of up to 250%. Using just the gross income test to determine eligibility can result in comparisons with individuals that are not truly eligible for SNAP. Using a more restrictive threshold might miss those who become eligible for only portions of the year since eligibility is based on \textit{monthly} gross and net income. I restrict the primary analysis sample to respondents at or less than 250% of the federal poverty level.
who are observed in at least two waves from 1996 to 2004, capturing about 96% of reported participation.
The NLSY79 permits the construction of demographic variables such as race, gender, and marital status. It also contains information on household characteristics such as household members’ age, household size, family income, information on labor market activities, and educational attainment of respondents and their mothers. Dummy variables for completing high school or more are used to measure respondents and their mothers’ educational attainments. Labor market activity is captured by weekly hours worked in the past calendar year and current employment status.
An essential feature of the NLSY79 that makes it suited for our research design is that it collects post-interview information from interviewers, including demographic characteristics and other remarks about the interview process, such as the respondent’s general attitude and the presence of third parties during the interview. Section 4. discusses how I exploit these additional interview and interviewer characteristics in the estimation strategy.
The final data set consists of 9,925 person-year observations. Table 1 reports the means and standard deviations of the variables used in the regressions for the full sample and by participation status. The average BMI for SNAP participants is 29.4, while it is 27.6 for nonparticipants. Obesity rates for participants and nonparticipants are 38.1% and 28.1%, respectively. The summary statistics indicate that SNAP participants are negatively selected on a variety of observable dimensions. On average, SNAP recipients belong to households with lower family incomes ($14,838 vs. $24,030), work for fewer weekly hours (20.6 vs. 34.7), have slightly larger household sizes (3.6 vs. 3.3) with more children (2 vs. 1.6), are less likely to be married (0.2 vs. 0.5), are less likely to have a high school diploma or higher (0.7 vs.
0.8), are more likely to have mothers have graduated from high school (0.4 vs. 0.5), and are more likely to participate in WIC (0.2 vs. 0.1) relative to nonparticipants.
4. Methodology
This study aims to estimate the causal effect of SNAP participation on obesity, accounting for selection bias and endogenous misreporting of participation. As previously discussed, standard linear IV estimators may address the self-selection problem but are inconsistent for the treatment effect in light of the nonclassical nature of misreported participation (Black et al. 2000, Frazis & Loewenstein 2003). In the remainder of this section, I present the econometric framework of Nguimkeu et al. (2019), which addresses these problems by simultaneously modeling participation and misreporting decisions in relation to the evolution of body weight.
We are interested in the causal effect of participating in SNAP on a measure of body weight in the linear treatment effects model
\[
y_{it} = x'_{it}\beta + T^*_{it}\alpha + \varepsilon_{it},
\]
(1)
where \( y_{it} \) is the outcome of interest for individual \( i \) at time \( t \), \( T^*_{it} \) is individual \( i \)'s true, unobserved (to the researcher) participation status in year \( t \), \( x_{it} \) is a vector of observed characteristics, \( \beta \) is a k-parameter vector, and \( \varepsilon_{it} \) is the idiosyncratic disturbance term. Our interest lies in estimating the treatment effect denoted by \( \alpha \).
In the empirical analyses, \( x_{it} \) includes demographic characteristics such as respondent’s
age, race, gender, marital status. It also includes family characteristics such as household size, number of children, the logarithm of income, and human capital characteristics such as educational attainment and mother’s education. Other variables included in $x_{it}$ are labor market activity measured by average weekly hours worked in past calendar year and current employment status as well as indicators for living in an urban area, receiving WIC benefits, AFDC/TANF receipt, and SSI receipt.
To address self-selection into the program, an individual’s true participation decision is modeled following the latent utility formulation as
$$T^*_i = 1 (z'_{it} \theta + v_{it} \geq 0),$$
(2)
where $z_{it}$ is a vector of observed covariates related to the decision to participate in SNAP, $\theta$ is a q-parameter vector, and $v_{it}$ is the error term. The endogeneity of true participation arises due to the selection mechanism in equation (2) and the correlation of the error terms in equations (1) and (2).
In equation (2), $z_{it}$ includes $x_{it}$, the control variables in Table 1 and an exclusion restriction, namely, the percentage of SNAP benefits issued by the state via electronic benefit (EBT) cards. Theoretically, this state-level exclusion restriction should affect the true probability of take-up but should not directly influence the bodyweight outcomes in equation (1) or the propensity to misreport in equation (3). The Personal Responsibility and Work Opportunity Reconciliation Act of August 22, 1996 (PRWORA) mandated all states to implement EBT systems by the year 2002, allowing recipients to authorize their benefits to be
electronically transferred into their EBT accounts monthly.\footnote{Other major changes that came along with PRWORA included removing eligibility for most legal immigrants, limiting benefit receipt to 3 out of 36 months for individuals classified as able-bodied adults without dependents (ABAWDs), and setting the maximum allotments at 100 percent of the change in the Thrifty Food Plan (TFP). A complete description of the changes due to PRWORA can be found at https://www.fns.usda.gov/snap/short-history-snap.} The number of states implementing EBT systems grew from 15 in 1996, 37 in 1998, 42 in 2000, 49 in 2002, to all states by 2004.\footnote{Also, I initially used other state-level policies such as whether the state requires biometric identification, whether the state operates a call center and the proportion of SNAP units with and without earnings with 1-3 month re-certification periods. None of these policies significantly predicted participation in this sample.} Figure 1 presents the distribution of the percentage of benefits issued via EBT card for the sample period across the U.S., depicting variation across both state and time.
We argue that the percentage of benefits issued via EBT card can influence participation without directly affecting body weight, thus, satisfying the exclusion restriction. In terms of relevance, states that disburse funds through EBT cards instead of direct mail decrease the transaction costs associated with participating. Receiving benefits via an EBT card is less burdensome and can make it easier for the marginal individual to take up the program. Through the “stigma hypothesis,” households living in states that issue a higher percentage of benefits via EBT cards instead of coupons may be more likely to take up the program because of the lower participation costs resulting from reduced stigma from using benefits (Moffitt 1983, Currie 2003, Wright et al. 2017).
Since true participation, $T_{it}^*$, is unobserved, the researcher observes a surrogate, $T_{it}$, that is generated as
$$T_{it} = T_{it}^* \times R_{it},$$
(3)
where $R_{it}$ is a reporting dummy variable characterized by the reporting equation
$$R_{it} = 1 \left( w_{it}' \gamma + u_{it} \geq 0 \right),$$
(4)
where $w_{it}$ is a vector of observed covariates related to the decision to correctly (or incorrectly) report program participation, $\gamma$ is a p-parameter vector, and $u_i$ is the error term. Again, the endogeneity of misreporting arises because of the mechanism described by equation (4) and the fact that the error terms in equations (1) and (4) are allowed to be correlated.
Equations (2) and (4) together form a complete model of SNAP participation and reporting. It is obvious from the observation mechanism in equation (3) that misreporting captures only false negatives since an individual correctly reports participation only if $R_i = 1$ (conditional on true participation) and reports non-participation otherwise.\footnote{Abstracting away from false positives is not a major concern in this context since false negatives are the predominant measurement errors in most means-tested programs such as SNAP.} Thus, $R_i = 0$ denotes a “zero-reporter” who might either be a true non-participant or a false negative, both of which are indistinguishable to the researcher.
In equation (4), $w_{it}$ includes $x_{it}$ and additional predictors that are hypothesized to be associated with one’s probability of accurately reporting participation. These additional predictors will be excluded from equation (2) but need not be excluded from the outcome equation. The exclusion restrictions in equations (2) and (4) come from different data sources. I use a set of interview and interviewer characteristics available in the NLSY79 as additional predictors of the misreporting mechanism.\footnote{Although the covariates $z_i$ and $w_i$ may overlap, it is required that they be different in general, at least to avoid the local identification problems discussed in Poirier (1980).}
mation is collected on their perceptions regarding the interview process and their interaction with respondents. Some of the post-interview information is the respondent’s general attitude during the interview and whether a third party was present with the primary respondent during the interview. I use indicators for the interview mode, indicators of the respondent’s attitude during the interview based on the interviewer’s remarks, and the gender and race of the interviewer as the excluded predictors of misreporting in equation (4). Collectively, these variables are in the spirit of the “cooperator hypothesis” in Bollinger & David (2001) who find favorable evidence for the hypothesis that respondents with a high propensity to cooperate with the survey are more likely to report their participation truthfully. For example, respondents who are impatient, restless, or hostile during the interview are less cooperative with the survey and are more likely to respond incorrectly. I expect these characteristics to be strongly associated with the probability of misreporting but should not affect one’s participation decision or body weight.
The estimation of the model presented above proceeds in two steps. The first stage is estimated as a partial observability model following Poirier (1980), which is followed by ordinary least squares regression in the second stage (regression with a proxy variable). Notice that, from equations (3) and (4), we can write the double-index model for observed participation, $T_{it}$, as
$$T_{it} = T^*_{it} \times R_{it} = 1(z'_{it}\theta + v_{it} \geq 0, w'_{it}\gamma + u_{it} \geq 0).$$
(5)
Then the parameters $\theta$ (equation (2)), $\gamma$ (equation (4)), and $\rho$ can be consistently estiimated using a partial observability Probit model by maximum likelihood:
\[
\Pr[T_{it} = 1 | \mathbf{w}_{it}, \mathbf{z}_{it}] = \Pr[-u_{it} \leq \mathbf{w}'_{it} \gamma, -v_{it} \leq \mathbf{z}'_{it} \theta] = F(\mathbf{w}'_{it} \gamma, \mathbf{z}'_{it} \theta, \rho) = P_i(\gamma, \theta, \rho),
\]
(6)
with \(F(.,.,.)\) being the joint bivariate Normal cumulative distribution function (CDF) and the log-likelihood function given by
\[
L_n(\gamma, \theta, \rho) = \sum_{i=1}^{n} T_i \ln P_i(\gamma, \theta, \rho) + (1 - T_i) \ln (1 - P_i(\gamma, \theta, \rho)).
\]
In the second step, each person’s predicted probability of true participation, \(\hat{T}^*_{it}\), is obtained as \(\hat{T}^*_{it} = \Phi(\mathbf{z}'_{it} \hat{\theta})\) using the estimates of \(\theta\) from the first stage. The predicted values, \(\hat{T}^*_{it}\), which are free from self-selection and non-classical measurement error are substituted for \(T^*_{it}\) in the outcome equation to obtain
\[
y_{it} = \mathbf{x}'_{it} \beta + \hat{T}^*_{it} \alpha_{2-STEP} + \eta_{it},
\]
(7)
where \(\alpha_{2-STEP}\) denotes the average treatment effect of SNAP on the outcome of interest and \(\eta_{it}\) is the associated disturbance term. Consistency and asymptotic normality results for the two-step estimator are discussed in Nguimkeu et al. (2019).
5. Results and Discussion
This section presents the estimates from the first stage estimation of the partial observability model in equation (5) followed by the second stage results from equation (7). Before turning
to the regression results, we report the estimated false negative rate using the first stage estimates from equation (6). Given the misreporting model adopted in this paper, the rate of false negatives for each person is given by
\[
P(T_i = 0 \mid T_i^* = 1) = 1 - \frac{P(R_i = 1, T_i^* = 1)}{P(T_i^* = 1)} = 1 - \frac{F\left(w_{it}'\hat{\gamma}, z_{it}'\hat{\theta}, \hat{\rho}\right)}{\Phi(z_{it}'\hat{\theta})},
\]
(8)
where \(F(.,.,.)\) and \(\Phi(.)\) respectively denote the bivariate and univariate normal CDFs, and the hats denote parameter estimates from the first stage estimation of the binary choice model in equation (6). Thus, averaging the quantity in equation (8) across the sample yields a consistent estimate of the population false negative rate. The estimated average false negative rates are 76.2 percent for the full sample, 8.5 percent for females, and 73.4 percent for males. Notably, the estimated false negative rate is largely driven by males and the pattern of results is similar to those obtained in Almada et al. (2016). While not based on validation data, these estimated misreporting rates reinforce the documented evidence of high misreporting rates in survey data.
**First Stage Results: True Participation and Reporting Equations**
Table 2 presents the maximum likelihood estimates and average marginal effects of the instrument for participation in the true participation equation and the excluded predictors of misreporting in the reporting equation. Panels A and B in Table 2 correspond with equations (2) and (4), respectively. Recall that two sets of variables need to be distinguished for Nguimkeu et al. (2019)'s two-step estimator: (a) instruments for true participation (\(z_{it}\)), and (b) predictors of misreporting (\(w_{it}\)). Although these sets of covariates may overlap, they
must be different for identification purposes. There must be at least one excluded variable (exclusion restriction) in either the participation or reporting equation that is not included in the other equation. All regressions also include the additional covariates from the outcome equation (1).
As previously mentioned, we instrument true participation using the percentage of SNAP benefits issued by the state via EBT cards. Panel A in Table 2 shows that the percentage of SNAP benefits issued by the state via EBT cards is positive and statistically significantly correlated with the true participation probability for the full sample and by gender. The Wald test of the excluded instrument also suggests that EBT card benefit issuance is a strong predictor of true participation.\footnote{See Table 5 for the corresponding first stage results for the linear IV estimator. Note that the linear IV estimator is not consistent in the presence of non-classical measurement error.}
Panel B in Table 2 presents the results for the excluded predictors of misreporting in the reporting equation (4). I utilize the NLSY79 interview and interviewer characteristics as predictors of misreporting. These predictors only need to be excluded from the true participation equation but not the outcome equation. The set of excluded predictors describing the reporting mechanism are interview mode, descriptors for respondents’ attitude during the interview, gender of the interviewer, and interviewer’s race. I expect these covariates to affect the probability of misreporting but not the likelihood of true participation.
The interview mode is a categorical variable with three levels describing features of the interview process. The three levels are as follows: 1= in-person and alone, 2= in-person with third party present, and 3= phone interview. The excluded category in the regressions is level 1 (in-person and alone). After each interview, the NLSY79 interviewers were surveyed
and asked to indicate their perception of the respondent’s attitude during the interview. Responses were grouped on a three-point scale: 1=Friendly and interested, 2=Cooperative but not particularly interested, and 3=Impatient, restless, or hostile. This attitude variable is included as a set of dummy variables in the regressions, with the excluded category being level 1 (Friendly and interested). I include dummy variables for whether the interviewee and the interviewer are of the same gender, whether the interviewee and the interviewer are of the same race, and the interaction of these two dummy variables.
Due to a lack of a general theory of misreporting, I do not have strong a priori expectations about the directions of the effects of these interview and interviewer characteristics. Nonetheless, I draw on related literature studying the relationship between the probability of misreporting in surveys and both interview and interviewer characteristics for insights in discussing the results (e.g., Bruckmeier et al. (2015), O’Muircheartaigh & Campanelli (1998), Schober & Conrad (1997), Suchman & Jordan (1990)).
The results in Panel B of Table 2 suggest that the interview, interviewee, and interviewer characteristics are correlated with the probability of truthfully reporting participation in equation (4). For the interview mode indicator, the results show that having an adult present during the interview is positively and statistically significantly associated with truthfully reporting participation, relative to being interviewed alone in person for the full and male samples. This finding is similar to Bruckmeier et al. (2015) who find that survey respondents are more likely to give truthful answers on welfare receipt when a third person is present. However, I do not find statistically significant association between being in a phone interview relative to being interviewed alone in person. Our results are consistent with the literature that finds that measurement error in responses to sensitive questions varies significantly with
the mode of administering the survey, especially when the answers may be stigmatized or viewed as socially undesirable (e.g., Tourangeau & Yan 2007).
Turning to the respondents’ attitude characteristics, Bollinger & David (1997, 2001, 2005) discuss the so-called “cooperator hypothesis” which associates respondent’s cooperativeness with their willingness to provide accurate responses. They provide evidence supporting the hypothesis that cooperators tend to give more accurate responses. I find evidence that the respondent’s attitude during the interview is associated with the probability of truthfully reporting participation. The results suggest that impatient, restless, or hostile interviewees are less likely to report participation truthfully during the interview. This association is statistically significant for the full sample and men. For women, respondents who are not interested but cooperative are less likely to report participation truthfully.
Finally, a related literature studies how interviewers (e.g., interviewer demographic characteristics) may influence the accuracy of survey responses. One might expect interviewers’ gender and race to affect survey responses when respondents know or can perceive the interviewer’s demography.\footnote{See Weisberg (2009) for a more detailed review of the literature on interviewer effects in surveys.} I include three variables controlling for interviewer effects: a same-gender indicator variable that takes on 1 if both respondent and interviewer are of the same sex and 0 otherwise, a same-race indicator variable that assumes 1 if both respondent and interviewer are of the same race (i.e., either black, Hispanic, or non-black/non-Hispanic) and 0 otherwise, and the interaction of these two dummy variables. For women, the results show that being interviewed by someone of the same sex is reduces the propensity to report participation truthfully.
The overall first stage results of the two-step estimator suggest that the instruments for
participation and predictors of misreporting are strongly correlated with both true participation and truthfully reporting participation.
**Second Stage Results: The Impacts of SNAP on obesity**
We now present the estimated causal effect of SNAP participation on BMI and the probability of being obese using Nguimkeu et al. (2019)’s two-step estimator in Table 3. Generally, we do not find any evidence of statistically significant effects of SNAP participation on BMI or the probability of being obese. From Panel A of Table 3, the estimated treatment effect of SNAP participation on BMI for women is a decrease of 1.6 units, which implies a reduction in weight of approximately 10 pounds, albeit not statistically significant.\(^{17}\) For the full and men, the estimated treatment effects imply a weight decrease (but not statistically different from zero) of about 0.6 pounds and 7.3 pounds, respectively.
We also do not find any statistically significant effects of SNAP participation on the probability of being obese for the primary sample in Panel A of Table 3. The estimated coefficients suggest that SNAP participation decreases the probability of being obese by 4.4 percentage points. The coefficient estimates are larger (and insignificant) when we separate by gender and are 9.3 and 8.1 percentage points for men and women, respectively.
**Robustness and Comparison with other Methods**
First, I investigate sensitivity to using reported measures of height and weight, which are also subject to measurement error, in the computation of BMI and the indicator of being
\(^{17}\)The mean height in the final data set is 65.75 inches, suggesting that relative to the average height, a one BMI unit change translates into a weight change of 6.12 pounds.
obese. I re-estimate the models after reconstructing BMI using predicted height and weight based on Third National Health and Nutrition Examination Survey (NHANES III) following Courtemanche et al. (2015). Using the NHANES III as a validation data set, I regress actual weight and height on the cubic basis splines of the percentile rank of the respective reported measures and a polynomial in age by race and gender. After that, I predict weight and height in my NLSY sample using the estimated relationship between actual and reported measures in the NHANES III data, which are then used to calculate an adjusted BMI and the probability of being obese.
The results using the adjusted weight outcome measure are reported in Panel B of Table 3. The estimates of SNAP’s impacts on BMI and the probability of being obese using the adjusted outcomes are very similar to using the original NLSY height and weight values. The signs of the estimated coefficients are unchanged, although the magnitudes are larger for BMI and smaller for the probability of being obese; however, all the estimates remain indistinguishable from zero.
Second, as previously mentioned, SNAP eligibility is based on financial, non-financial, and categorical eligibility rules. I initially restricted the analysis sample to respondents below 250% of the federal poverty level since the literature recognizes that the federal gross income eligibility threshold of 130% is too restrictive. However, I re-estimated the model with the sample restricted to 185% and 130% of the federal poverty level for the full sample and women.\(^{18}\) Table 6 presents the results for these alternative eligibility criteria and shows that the pattern of results is unchanged in terms of statistical significance. For the full sample, the
\(^{18}\)Due to non-convergence partly resulting from the reduced sample size, results are not reported for men using these alternative eligibility criteria.
signs of treatment effects are positive but continue to be negative for women across the lower eligibility thresholds. For women, SNAP’s estimated impact on BMI remains negative and statistically insignificant, with magnitudes indicating weight reductions of about 7.8 pounds and 9.8 pounds for 185% and 130% of the federal poverty level, respectively. Similarly, the estimated (insignificant) effects on the probability of being obese are 4.4 and 5.2 percentage point reductions for 185% and 130% of the federal poverty level, respectively.
Finally, while our preferred estimates are those from the two-step estimator, Table 4 presents estimates of SNAP’s impacts using the ordinary least squares (OLS) and linear instrumental variable (IV) estimators merely for comparison. The OLS estimates of SNAP’s effects are positive and statistically significant, with participation being associated with an increase in weight of about 5.6 pounds and 5.2 pounds for the full sample and women, respectively. The coefficient estimate is slightly smaller in magnitude for men but is not statistically significant. The OLS estimates also yield a positive and statistically significant effect of SNAP participation on the probability of being obese. The OLS estimator is biased and inconsistent due to both self-selection and misreporting, with the direction of bias being consistent with adverse selection into the program.
The IV estimator does address the endogeneity of participation but is inconsistent for the treatment effect in the presence of misreporting. The IV estimates in Table 4 use the same instrument for participation (i.e., the percentage of SNAP benefits issued by the state via electronic benefit cards) as does the two-step estimator, but does nothing to address misreporting. The first stage results for the IV estimator are summarized in Table 5, showing high and statistically significant F-statistics. The IV estimates maintain the same sign as the two-step estimator but are notably larger in magnitude and also more imprecise. From
Table 4, the IV estimates of SNAP’s impact on BMI and the probability of being obese are negative and statistically insignificant but with magnitudes implying implausibly large weight reductions for the full sample and men. This pattern of results for the IV estimator in the presence of misreporting is not new and Almada et al. (2016) conclude that, “[i]n the presence of misreporting, our comparison between parametric estimates and nonparametric bounds further suggests that instrument-based corrections, even when the proposed instruments pass standard IV tests, may perform worse than applying no correction at all.”
The two-step estimator’s overall results suggest no statistically significant effects of SNAP on BMI and the probability of being obese when we account for both the endogeneity and possible misreporting of participation in one unifying framework. Moreover, the findings in this paper depart from previous studies suggesting positive associations between SNAP participation and obesity, especially for females (Townsend et al. 2001, Gibson 2003, Chen et al. 2005, Kaushal 2007, Meyerhoefer & Pylypchuk 2008, Baum 2011). Although not statistically significant, the sign of SNAP’s estimated impacts suggests plausible reductions in BMI and the probability of being obese for females that are linked to SNAP participation.
6. Conclusion
The Supplemental Nutrition Assistance Program remains the largest nutrition assistance program in the United States and currently influences the diets of about 1 in 7 Americans. The existing literature mostly finds a positive impact of SNAP on the probability of being obese, especially for females. Few studies examining SNAP’s effects on adult obesity have addressed the well-known problem of high misreporting rates in national surveys. Not only
is SNAP participation subject to severe misreporting, but such measurement error may be endogenous. This paper estimates the causal effect of SNAP on adult obesity in the presence of endogenous misreporting using Nguimkeu et al. (2019)’s a novel identification strategy that explicitly addresses both the endogeneity of participation and the systematic nature of misreporting.
In contrast to most previous studies, we do not find evidence that SNAP participation is associated with obesity, even for women, when we address endogeneity and measurement error in a unifying framework. Our results also highlight the problems with using standard instrumental variable techniques in estimating treatment effects when the treatment variable is misclassified. We demonstrate how available information on the characteristics of the survey and interview process can be exploited to strengthen identification to address measurement error. This approach is important because administrative data may have better quality measures of participation but are not easily accessible in studying many important questions of policy interest such as SNAP’s impacts. Even when such administrative data are available, they may be inadequate or imperfect, suggesting an important role for methods that provide credible answers using survey data (Courtemanche et al. 2019).
SNAP has no specific objective to influence obesity directly, but understanding the causal link between SNAP and obesity can help us evaluate the merits of ongoing proposals aimed at influencing the nutritional choice of the millions of Americans who benefit from it. Gundersen (2015) discusses state- and national-level proposals aimed at restricting participants’ food choices and prohibiting the purchase of foods deemed as “unhealthy” or “junk.” For instance, the State of New York’s much-publicized waiver request to the U.S. Department of Agriculture (USDA) in 2010 to permit a two-year demonstration project that will ban the
use of SNAP benefits to purchase any beverage with more than ten calories per 8-ounce serving (Gundersen 2015, Kansagra et al. 2015). The USDA denied the State of New York’s proposal, which would have banned sports drinks, soda, vegetable drinks and iced tea, while permitting milk and fruit juices.\footnote{Similar state-level proposals have been made by Minnesota, Maine, Wisconsin, and South Carolina although the USDA has granted none. Typical discussions about restructuring SNAP relates to the food and nutritional choices of recipients. For instance, the Washington Post recently reported that the USDA has rejected for the second time (after doing so in 2015) the state of Maine’s request to ban the purchase of sugar-sweetened beverages (soft drinks) and candy with SNAP benefits, at least to make the program anti-obese (Dewey 2018). At the national level, an amendment sponsored by Senator Tom Coburn in 2013 to prohibit the use of SNAP benefits to purchase junk food was not passed (Gundersen 2015). A recent NPR story discusses the Trump administration’s budget proposal for the fiscal year 2019, which aims to disburse SNAP benefits partly in the form of the so-called “USDA Foods package.” (Hunzinger et al. 2018).} Without a causal SNAP-obesity link, it is unclear whether proposals to restrict SNAP participants’ consumption choices will reduce the prevalence of obesity among low-income households. Moreover, such proposals also come with potential unintended consequences, including stigmatization of program participation and higher transaction and program administration costs.
In terms of policy recommendations, our results caution against making policy prescriptions regarding the obesity pandemic especially in terms of SNAP program changes to make it more “anti-obese.” A few caveats are noteworthy. This study focused on false negative reporting errors which are the more prevalent case of reporting errors. Future work should address bidirectional reporting error. As pointed out by other researchers, there are more accurate measures of fatness besides BMI used in this study (Burkhauser & Cawley 2008).
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Figure 1: The distribution of the percentage of SNAP benefits issued by the state via electronic benefit (EBT) cards (by year)
Table 1: Summary Statistics by SNAP Participation Status
| Dependent variables: | Nonparticipants | Participants | Full Sample |
|----------------------|-----------------|--------------|-------------|
| Body Mass Index | 27.60 | 29.35 | 27.81 |
| | (6.114) | (7.433) | (6.307) |
| Obese (=1) | 0.281 | 0.381 | 0.293 |
| | (0.449) | (0.486) | (0.455) |
| Control variables: | Nonparticipants | Participants | Full Sample |
|----------------------|-----------------|--------------|-------------|
| Age | 38.71 | 38.30 | 38.67 |
| | (3.672) | (3.772) | (3.686) |
| Female | 0.529 | 0.729 | 0.553 |
| | (0.499) | (0.445) | (0.497) |
| Hispanic | 0.0786 | 0.101 | 0.0812 |
| | (0.269) | (0.301) | (0.273) |
| Black | 0.193 | 0.331 | 0.209 |
| | (0.395) | (0.471) | (0.407) |
| Household Size | 3.299 | 3.578 | 3.331 |
| | (1.725) | (1.871) | (1.745) |
| Married | 0.471 | 0.248 | 0.445 |
| | (0.499) | (0.432) | (0.497) |
| Mother’s education (High school graduate or higher) | 0.548 | 0.427 | 0.534 |
| | (0.498) | (0.495) | (0.499) |
| High school graduate or higher | 0.848 | 0.739 | 0.835 |
| | (0.359) | (0.439) | (0.371) |
| Number of children | 1.559 | 1.985 | 1.609 |
| | (1.424) | (1.560) | (1.447) |
| Lives in Urban Area | 0.673 | 0.708 | 0.677 |
| | (0.469) | (0.455) | (0.468) |
| WIC | 0.0500 | 0.199 | 0.0673 |
| | (0.218) | (0.399) | (0.251) |
| SSI | 0.0547 | 0.267 | 0.0795 |
| | (0.227) | (0.442) | (0.271) |
| AFDC/TANF | 0.0128 | 0.391 | 0.0570 |
| | (0.112) | (0.488) | (0.232) |
| Average Weekly Hours worked (Past Calendar Year) | 34.72 | 20.62 | 33.07 |
| | (21.13) | (22.13) | (21.72) |
| Total Net Family Income (2004 dollars) | 24030.2 | 14838.2 | 22956.2 |
| | (14930.1) | (9869.3) | (14729.4) |
Observations: 8,473, 1,452, 9,925
Standard errors in parentheses are adjusted for the complex design survey design of the NLSY79. Based on the 1996-2004 biennial waves of the NLSY79, restricted to individuals or households with income lower than 250% of the federal poverty level.
Table 2: Partial Observability Probit Model of SNAP Participation
| Panel A: True Participation Equation | Full sample | Female sample | Male sample |
|--------------------------------------|-------------|---------------|------------|
| | Coefficients | Marginal Effects on P(T*=1) | Coefficients | Marginal Effects on P(T*=1) | Coefficients | Marginal Effects on P(T*=1) |
| Percentage of Benefits issued via EBT Card | 0.376*** (0.103) | 0.117*** (0.0327) | 0.395*** (0.0961) | 0.0574*** (0.0139) | 0.340*** (0.118) | 0.0898** (0.0435) |
| Wald Test of Excluded Instruments p-value | 0.0003 | 0.0000 | 0.0040 |
| Panel B: True Reporting Equation | Coefficients | Marginal Effects on P(R=1) | Marginal Effects on P(R=1) | Marginal Effects on P(R=1) |
|----------------------------------|-------------|---------------------------|---------------------------|---------------------------|
| Interview Mode Dummies | | | | |
| Any Adult Present During Interview | 0.190** (0.0753) | 0.0450*** (0.0173) | 0.0737 | 0.0208 | 0.343*** (0.126) | 0.0987*** (0.0363) |
| Phone Interview | -0.0129 (0.0593) | -0.00295 (0.0136) | -0.193 | -0.0576 | 0.0574 | 0.0170 |
| Respondent’s Attitude Dummies | | | | |
| Not Interested But Cooperative | -0.0487 (0.0613) | -0.0111 (0.0140) | -0.346*** (0.134) | -0.106** (0.0422) | -0.00913 (0.0949) | -0.00269 (0.0279) |
| Impatient/Restless/Hostile | -0.421*** (0.155) | -0.0887*** (0.0332) | -0.111 | -0.0325 | -0.876*** (0.306) | -0.256*** (0.0891) |
| Interviewer Characteristics | | | | |
| Same Gender Dummy (Interviewer & Interviewee) | 0.160* (0.0936) | 0.0156 (0.0181) | -1.163** (0.479) | -0.142* (0.0750) | 0.259 | 0.0447 |
| Same Race Dummy (Interviewer & Interviewee) | 0.0676 (0.0860) | -0.00844 (0.0136) | -0.989 | -0.0202 | 0.0137 | -0.00285 |
| Interaction of Same-gender & Same-race Dummy (Interviewer & Interviewee) | -0.178* (0.0986) | 0.969 (0.610) | -0.204 | |
| Wald Test of Excluded Instruments p-value | 0.0403 | 0.0288 | 0.0957 |
| Observations | 9,925 | 5710 | 4,215 |
Standard errors in parentheses. Results are based on the 1996-2004 biennial waves of the NLSY79, restricted to individuals or households with income below 250% of the federal poverty level. Results are based on maximum likelihood estimation of the partial observability model in equation (5). Panel A reports the true participation equation parameter estimates and marginal effects from equation (2). Panel B reports the reporting equation parameter estimates and marginal effects from equation (4). In Panel B, the excluded category for the interview mode dummies is “In person (alone)” and that for the respondent attitude dummies is “Friendly and Interested.” Regressors not reported in here include respondent’s age, race, household size, number of children, weekly hours worked in the past calendar year, current employment status, educational attainment, mother’s education, marital status, log of income, time fixed effects, and indicators for living in an urban area, receiving WIC benefits, receiving AFDC/TANF, and receiving SSI benefits.
*p < 0.10, **p < 0.05, ***p < 0.010
Table 3: Effects of SNAP Participation on Obesity (Two-step Estimator)
| | Panel A: Main sample\(^a\) | Panel B: Adjusted sample\(^b\) |
|----------------------|----------------------------|---------------------------------|
| | BMI | Obese | BMI | Obese |
| Full sample (N=9,925)| | | | |
| SNAP Participation | -0.107 | -0.0444 | -0.320 | -0.0182 |
| | (1.157) | (0.0792) | (1.096) | (0.0744) |
| Female sample (N=5,710) | -1.602 | -0.0928 | -1.468 | -0.0691 |
| | (1.781) | (0.110) | (1.607) | (0.105) |
| Male sample (N=4,215) | -1.194 | -0.0816 | -1.009 | -0.0804 |
| | (1.580) | (0.122) | (1.548) | (0.115) |
\(^a\) Standard errors in parentheses and are bootstrapped (200 replications) for the two-step (2-STEP) estimation. Panel A results are based on the 1996-2004 biennial waves of the NLSY79, restricted to individuals or households with income lower than 250% of the federal poverty level. Regressors not reported in here include respondent’s age, race, gender, household size, number of children, weekly hours worked in the past calendar year, current employment status, educational attainment, mother’s education, marital status, log of income, time fixed effects, and indicators for living in an urban area, receiving WIC benefits, receiving AFDC/TANF, and receiving SSI benefits.
\(^b\) Additionally, Panel B results are based on the main sample except BMI is calculated from predicted height and weight as described in the text following Courtemanche et al. (2015).
\(*p < 0.10, **p < 0.05, ***p < 0.010\)
Table 4: Effects of SNAP Participation on Obesity (Comparison of Estimators)
| | BMI | | | Obese | | |
|----------------------|-----------|----------|----------|-----------|----------|----------|
| | OLS | IV | 2-STEP | OLS | IV | 2-STEP |
| Full sample (N=9,925)| | | | | | |
| SNAP Participation | 0.911*** | -4.070 | -0.107 | 0.0448** | -0.283 | -0.0444 |
| | (0.321) | (5.573) | (1.157) | (0.0208) | (0.410) | (0.0792) |
| Female sample (5,710)| | | | | | |
| SNAP Participation | 0.842** | -1.785 | -1.602 | 0.0224 | -0.158 | -0.0928 |
| | (0.410) | (7.407) | (1.781) | (0.0253) | (0.505) | (0.110) |
| Male sample (4,215) | | | | | | |
| SNAP Participation | 0.749 | -8.921 | -1.194 | 0.0829** | -0.509 | -0.0816 |
| | (0.491) | (8.426) | (1.580) | (0.0365) | (0.692) | (0.122) |
Standard errors in parentheses and are bootstrapped (200 replications) for the two-step (2-STEP) estimation. Results are based on the 1996-2004 biennial waves of the NLSY79, restricted to individuals or households with income lower than 250% of the federal poverty level. Regressors not reported in here include respondent’s age, race, gender, household size, number of children, weekly hours worked in the past calendar year, current employment status, educational attainment, mother’s education, marital status, log of income, time fixed effects, and indicators for living in an urban area, receiving WIC benefits, receiving AFDC/TANF, receiving SSI benefits, and indicators for having an infant (≤5 years) and an elderly person (≥ 65 years) living in the home.
*p < 0.10, **p < 0.05, ***p < 0.010
Table 5: First Stage IV Estimates
| Dependent Variable: SNAP Participation | Full Sample | Female | Male |
|----------------------------------------|-------------|--------|------|
| Percentage of Benefits issued via EBT Card | 0.0428*** | 0.0459*** | 0.0384*** |
| | (0.00867) | (0.0127) | (0.0109) |
| F- statistics | 24.36*** | 13.05*** | 12.48*** |
| Observations | 9,925 | 5,710 | 4,215 |
Standard errors in parentheses. Results are based on the 1996-2004 biennial waves of the NLSY79, restricted to individuals or households with income lower than 250% of the federal poverty level. Regressors not reported in here include respondent’s age, race, gender, household size, number of children, weekly hours worked in the past calendar year, current employment status, educational attainment, mother’s education, marital status, log of income, time fixed effects, and indicators for living in an urban area, receiving WIC benefits (female-only regressions), receiving AFDC/TANF, and receiving SSI benefits.
*p < 0.10, **p < 0.05, ***p < 0.010
Table 6: Effects of SNAP Participation on Obesity (Alternative Eligibility Samples)
| | Panel A: Full sample | | Panel B: Female sample | |
|----------------------|----------------------|------------------|------------------------|------------------|
| | BMI | Obese | BMI | Obese |
| 185% FPL | | | | |
| SNAP Participation | 1.020 | 0.0393 | -1.274 | -0.0444 |
| | (1.313) | (0.0934) | (1.675) | (0.104) |
| Observations | 7,001 | 7,001 | 4,190 | 4,190 |
| 130% FPL | | | | |
| SNAP Participation | 1.248 | 0.0684 | -1.594 | -0.0520 |
| | (1.551) | (0.102) | (1.904) | (0.112) |
| Observations | 4,741 | 4,741 | 2,923 | 2,923 |
Standard errors in parentheses and are bootstrapped (200 replications) for the two-step (2-STEP) estimation. Results are based on the 1996-2004 biennial waves of the NLSY79, restricted to individuals or households with income lower than 250%, 185%, and 130% of the federal poverty level. Regressors not reported in here include respondent’s age, race, gender, household size, number of children, weekly hours worked in the past calendar year, current employment status, educational attainment, mother’s education, marital status, log of income, time fixed effects, and indicators for living in an urban area, receiving WIC benefits, receiving AFDC/TANF, and receiving SSI benefits.
*p < 0.10, **p < 0.05, ***p < 0.010
|
The Indian Stamp (Haryana Amendment) Act, 1979
Act 17 of 1979
Keyword(s):
Central Act Amendment Stamp Duty, Treasury
Amendment appended: 1 of 1987, 21 of 1997, 10 of 2000, 1 of 2004, 21 of 2006
DISCLAIMER: This document is being furnished to you for your information by PRS Legislative Research (PRS). The contents of this document have been obtained from sources PRS believes to be reliable. These contents have not been independently verified, and PRS makes no representation or warranty as to the accuracy, completeness or correctness. In some cases the Principal Act and/or Amendment Act may not be available. Principal Acts may or may not include subsequent amendments. For authoritative text, please contact the relevant state department concerned or refer to the latest government publication or the gazette notification. Any person using this material should take their own professional and legal advice before acting on any information contained in this document. PRS or any persons connected with it do not accept any liability arising from the use of this document. PRS or any persons connected with it shall not be in any way responsible for any loss, damage, or distress to any person on account of any action taken or not taken on the basis of this document.
THE INDIAN STAMP
(HARYANA AMENDMENT)
ACT, 1979
(Haryana Act No. 17 of 1979)
[Received the assent of the Governor of Haryana on the 16th October, 1979, and first published for general information in the Haryana Government Gazette (Extraordinary), Legislative Supplement Part I of 17th October, 1979].
AN ACT
to amend the Indian Stamp Act, 1899, in its application to the State of Haryana
Be it enacted by the Legislature of the State of Haryana in the Thirtieth Year of the Republic of India as follows:—
1. This Act may be called the Indian Stamp (Haryana Amendment) Act, 1979.
2. In Schedule I-A to the Indian Stamp Act, 1899,—
(a) for entry 23, the following entry shall be substituted, namely:—
| Description of instrument | Proper Stamp Duty |
|---------------------------|-------------------|
| "23. Conveyance as defined by section 2(10) not being a transfer charged or exempted under No. 62" | Where conveyance amounts to sale of immovable property |
| (a) where the value or amount of the consideration for such conveyance as set forth therein does not exceed fifty rupees | six rupees and twenty-five paise |
| (b) where it exceeds fifty rupees but does not exceed one hundred rupees | twelve rupees and fifty paise |
| (c) where it exceeds one hundred rupees but does not exceed two hundred rupees | twenty-five rupees |
1. For Statement of Objects and Reasons, see Haryana Government Gazette (Extra.), dated the 21st September, 1979, page 1606.
| 1 | 2 | 3 |
|---|---|---|
| Where it exceeds two hundred rupees but does not exceed three hundred rupees | thirty-seven rupees and fifty paise | eighteen rupees and seventy-five paise |
| where it exceeds three hundred rupees but does not exceed four hundred rupees | fifty rupees | twenty-five rupees |
| where it exceeds four hundred rupees but does not exceed five hundred rupees | sixty-two rupees and fifty paise | thirty-one rupees and twenty-five paise |
| where it exceeds five hundred rupees but does not exceed six hundred rupees | seventy-five rupees | thirty-seven rupees and fifty paise |
| where it exceeds six hundred rupees but does not exceed seven hundred rupees | eighty-seven rupees and fifty paise | forty-three rupees and seventy-five paise |
| where it exceeds seven hundred rupees but does not exceed eight hundred rupees | one hundred rupees fifty rupees | |
| where it exceeds eight hundred rupees but does not exceed nine hundred rupees | one hundred twelve rupees and fifty paise | fifty-six rupees and twenty-five paise |
| where it exceeds nine hundred rupees but does not exceed one thousand rupees | one hundred and twenty-five rupees | sixty-two rupees and fifty paise |
| and for every five hundred rupees or part thereof in excess of one thousand rupees | sixty-two rupees and fifty paise | thirty-one rupees and twenty-five paise |
**Exemption.**— Assignment of copyright under the Copyright Act, 1957, section 18.
**CO-PARTNERSHIP DEED.** See Partnership (No. 46); and
(b) in entry 40, for item (a), the following item shall be substituted, namely:—
| Description of Instrument | Proper stamp duty |
|---------------------------|------------------|
| “(a) When possession of the property or any part of the property comprised in such deed is given by the mortgagor or agreed to be given— | Three rupees |
| Where the amount secured by such instrument does not exceed fifty rupees | |
where it exceeds fifty rupees but does not exceed one hundred rupees six rupees and twenty-five paise
where it exceeds one hundred rupees but does not exceed two hundred rupees twelve rupees and fifty paise
where it exceeds two hundred rupees but does not exceed three hundred rupees eighteen rupees and seventy-five paise
where it exceeds three hundred rupees but does not exceed four hundred rupees twenty-five rupees
where it exceeds four hundred rupees but does not exceed five hundred rupees thirty-one rupees and twenty-five paise
where it exceeds five hundred rupees but does not exceed six hundred rupees thirty-seven rupees and fifty paise
where it exceeds six hundred rupees but does not exceed seven hundred rupees forty-three rupees and seventy-five paise
where it exceeds seven hundred rupees but does not exceed eight hundred rupees fifty rupees
where it exceeds eight hundred rupees but does not exceed nine hundred rupees fifty-six rupees and twenty-five paise
where it exceeds nine hundred rupees but does not exceed one thousand rupees sixty-two rupees and fifty paise
and for every five hundred rupees or part thereof in excess of one thousand rupees thirty-one rupees and twenty-five paise".
3. The Indian Stamp (Haryana Amendment) Ordinance, 1979 (Haryana Repeal Ordinance No. 1 of 1979), is hereby repealed:
Provided that anything done or any action taken under the Ordinance so repealed shall be deemed to be done or taken under this Act.
THE INDIAN STAMP (HARYANA AMENDMENT) ACT, 1986
(HARYANA ACT NO. 1 OF 1987)
Table of Contents
Sections
1. Short title.
2. Amendment of section 10 of Central Act 2 1899.
1987: HARYANA ACT, 1] INDIAN STAMP (HARYANA AMENDMENT)
¹[THE INDIAN STAMP (HARYANA AMENDMENT) ACT, 1986]
(HARYANA ACT NO. 1 OF 1987)
(Received the assent of the President of India on the 19th January, 1987 and was first published in the Haryana Government Gazette (Extraordinary), Legislative Supplement part-1 of the 3rd February, 1987.)
| 1 | 2 | 3 | 4 |
|---|---|---|---|
| Year | No. | Short title | Whether repealed or otherwise affected by Legislation |
| 1987 | 1 | The Indian Stamp (Haryana Amendment) Act, 1986 | --- |
¹ For statement of Objects and Reasons see Haryana Government Gazette (Extraordinary), dated the 25th November, 1986, Page
AN
ACT
to amend the Indian Stamp Act, 1899, in its application to the State of Haryana.
Be it enacted by the Legislature of the State of Haryana in the Thirty-seventh Year of the Republic of India as follows:-
1. This Act may be called the Indian Stamp (Haryana Amendment) Act, 1986.
2. To sub-section (1) of section 10 of the Indian Stamp Act, 1899 the following proviso shall be added, namely:-
“Provided that whenever stamp paper of smaller value and denomination ranging from rupee one to rupees ten is in short supply or is not available, the duty payable under this Act, on any instrument, shall be paid in such manner as the stt Government may by rules direct”.
PART I
LEGISLATIVE DEPARTMENT
Notification
The 2nd September, 1997
No. Leg. 26/97.—The following Act of the Legislature of the State of Haryana received the assent of the President of India on the 12th August, 1997, and is hereby published for general information:—
HARYANA ACT NO. 21 OF 1997
INDIAN STAMP (HARYANA AMENDMENT) ACT, 1997
AN
ACT
to amend the Indian Stamp Act, 1899, in its application to the State of Haryana.
Be it enacted by the Legislature of the State of Haryana in the Forty-eighth Year of the Republic of India as follows:—
1. This Act may be called the Indian Stamp (Haryana Amendment) Act, 1997. Short title.
2. In sub-section (4) of section 47A of the Indian Stamp Act, 1899, for the words "the District Judge", the words "the Commissioner of Division" shall be substituted. Amendment of section 47 A of Central Act 2 of 1899.
B. L. GULATI,
Secretary to Governor, Haryana,
Legislative Department.
17780 LR (H)—Govt. Press, U.T., Chd.
PART I
LEGISLATIVE DEPARTMENT
Notification
The 19th April, 2000
No. Leg.16/2000.—The following Act of the Legislature of the State of Haryana received the assent of the Governor of Haryana on the 4th April, 2000, and is hereby published for general information:—
Haryana Act No. 10 of 2000
THE INDIAN STAMP (HARYANA AMENDMENT) ACT, 2000
AN
ACT
further to amend the Indian Stamp Act, 1899, in its application to the State of Haryana.
Be it enacted by the Legislature of the State of Haryana in the Fifty-first Year of the Republic of India as follows:—
1. This Act may be called the Indian Stamp (Haryana Amendment) Act, 2000.
2. In Schedule 1-A to the Indian Stamp Act, 1899, for the existing article 55, the following article shall be substituted, namely:—
| (1) | (2) |
|-----|-----|
| "55. Release, that is to say any instrument (not being such a release as is provided for by section 23-A) whereby any person renounces his interest, share, part or claim:—
(a) if the release is made of Fifteen rupees. ancestral property in favour of brother or sister (children of renouncer's parents) or son or daughter or father or mother or spouse or grand children or nephew or niece or co-parcener of the renouncer;
(b) in any other case The same duty as a Conveyance [No. 23(a) relating to sale of immovable property] for the amount equal to the market value of the share, interest, part of claim renounced." |
L. N. MITTAL,
Secretary to Government, Haryana,
Legislative Department.
24093 LR(H)—Govt. Press, U.T., Chd.
PART I
LEGISLATIVE DEPARTMENT
Notification
The 25th February, 2004:
No. Leg. 3/2004.—The following Act of the Legislature of the State of Haryana received the assent of the Governor of Haryana on the 24th February, 2004, and is hereby published for general information:—
Haryana Act No. 1 of 2004
THE INDIAN STAMP (HARYANA AMENDMENT) ACT, 2004
An Act
further to amend the Indian Stamp Act, 1899 in its application to the State of Haryana.
Be it enacted by the Legislature of the State of Haryana in the Fifty fifth Year of the Republic of India as follows:—
1. This Act may be called the Indian Stamp (Haryana Amendment) Act, 2004.
2. In schedule 1-A to the Indian Stamp Act, 1899,—
(a) for entry 23, the following entry shall be substituted, namely:—
| Description of instrument | Proper Stamp Duty |
|---------------------------|-------------------|
| 23. Conveyance as defined in section 2(10) and being a transfer charged or exempted under entry No. 61* | Where conveyance amounts to sale of immovable property i.e. | Other conveyance |
| | three rupees | one rupee |
| | five paise | |
where the value or amount of the consideration for such conveyance as set forth therein does not exceed fifty rupees.
| 1 | 2 | 3 |
|------------------------------------------------------------------|---------|---------|
| where it exceeds fifty rupees but does not exceed one hundred rupees | six rupees | three rupees |
| where it exceeds one hundred rupees but does not exceed two hundred rupees | twelve rupees | six rupees |
| where it exceeds two hundred rupees but does not exceed three hundred rupees | eighteen rupees | nine rupees |
| where it exceeds three hundred rupees but does not exceed four hundred rupees | twenty four rupees | twelve rupees |
| where it exceeds four hundred rupees but does not exceed five hundred rupees | thirty rupees | fifteen rupees |
| where it exceeds five hundred rupees but does not exceed six hundred rupees | thirty six rupees | eighteen rupees |
| where it exceeds six hundred rupees but does not exceed seven hundred rupees | forty-two rupees | twenty-one rupees |
| where it exceeds seven hundred rupees but does not exceed eight hundred rupees | forty-eight rupees | twenty-four rupees |
| where it exceeds eight hundred rupees but does not exceed nine hundred rupees | fifty-four rupees | twenty-seven rupees |
| where it exceeds nine hundred rupees but does not exceed one thousand rupees | sixty rupees | thirty rupees |
| and for every five hundred rupees or part thereof in excess of one thousand rupees | thirty rupees | fifteen rupees |
Exemption:—Assignment of Copyright under the Copyright Act, 1957 (Act 14 of 1957), section 18.”; and
(b) in entry 40, for item (a), the following item shall be substituted, namely:
| Description of instrument | Proper stamp duty |
|---------------------------|-------------------|
| “(a) When possession of the property or any part of the property comprised in such deed is given by the mortgagor or agreed to be given:— | |
| where the amount secured by such instrument does not exceed fifty rupees | one rupee and fifty paise |
| where it exceeds fifty rupees but does not exceed one hundred rupees | three rupees |
| where it exceeds one hundred rupees but does not exceed two hundred rupees | six rupees |
| where it exceeds two hundred rupees but does not exceed three hundred rupees | nine rupees |
| where it exceeds three hundred rupees but does not exceed four hundred rupees | twelve rupees |
| where it exceeds four hundred rupees but does not exceed five hundred rupees | fifteen rupees |
| where it exceeds five hundred rupees but does not exceed six hundred rupees | eighteen rupees |
| where it exceeds six hundred rupees but does not exceed seven hundred rupees | twenty-one rupees |
| where it exceeds seven hundred rupees but does not exceed eight hundred rupees | twenty-four rupees |
| where it exceeds eight hundred rupees but does not exceed nine hundred rupees | Twenty-seven rupees |
| where it exceeds nine hundred rupees but does not exceed one thousand rupees and for every five hundred rupees or part thereof in excess of one thousand rupees | Thirty rupees |
| | Fifteen rupees.” |
R.S. MADAN,
Secretary to Government Haryana,
Legislative Department.
PART I
HARYANA GOVERNMENT
LEGISLATIVE DEPARTMENT
Notification
The 2nd May, 2006
No. Leg. 22/2006.—The following Act of the Legislature of the State of Haryana received the assent of the Governor of Haryana on the 21st April, 2006, and is hereby published for general information:—
HARYANA ACT NO. 21 OF 2006
THE INDIAN STAMP (HARYANA AMENDMENT) ACT, 2006
AN
ACT
to amend the Indian Stamp Act, 1899, in its application to the State of Haryana.
Be it enacted by the Legislature of the State of Haryana in the fifty-seventh Year of the Republic of India as follows:—
1. This Act may be called the Indian Stamp (Haryana Amendment) Act, 2006.
2. In Schedule I-A to the Indian Stamp Act, 1899, under column "Proper Stamp Duty",—
(i) against article 4, for the words "Three rupees", the words "Ten rupees" shall be substituted;
(ii) against article 48—
(i) against clause (e), for the words "Three rupees", the words "One hundred rupees" shall be substituted; and
(ii) against clause (d), for the words "Fifteen rupees", the words "Three hundred rupees" shall be substituted.
M.S. SULLAR,
Secretary to Government, Haryana,
Legislative Department.
41004-L.R.-H.G.P., Chd.
|
Central Florida Future, Vol. 02 No. 07, November 14, 1969
Florida Technological University
Part of the Mass Communication Commons, Organizational Communication Commons, Publishing Commons, and the Social Influence and Political Communication Commons
Find similar works at: https://stars.library.ucf.edu/centralfloridafuture
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Recommended Citation
Florida Technological University, "Central Florida Future, Vol. 02 No. 07, November 14, 1969" (1969). Central Florida Future. 37. https://stars.library.ucf.edu/centralfloridafuture/37
In Science Auditorium...
State Fire Laws Violated
We Live in the Present, By the Past, but for the...
Corrections Promised
FTU's Science Auditorium is in violation of the state fire code, a FuTuRe investigation unearthed this week.
The main problem with the building concerns the one thing for which students and faculty generally have the most complaints—seating.
The seats in the auditorium are in long, wide rows, providing ample leg and foot room. The seats themselves are comfortable.
The problem is that there are just too many seats in each row, and not enough aisles in between.
According to State Fire Marshal, Tommy Knight, in Tallahassee, fire regulations for auditorium seating require there be aisles between every 14 seats, so that in a case of an emergency evacuation, people only have to move past seven seats to get to a aisle. Knight said that to contain as many as 50 seats in a row with no aisle separating them.
Knight said that FTU's Science Auditorium has what is known as continental seating, several regular rows of chairs that can legally contain up to 49 seats per row. In this case, however, there must be double-aisle seating placed every five rows in the auditorium.
The auditorium has two exit doors in the front and one in the back, but none in the middle.
Knight said the greatest danger of an auditorium fire is panic-the terror of being trapped.
Knight offered said that the Science Auditorium was inspected prior to the completion of the building and the placement of seats. He said that aisles were...
(Continued on Page 4)
Signitus Strikes FTU
By DARIO H. ANGEL
A recent wave of sign pilfering has struck FTU. Signs all types and colors have begun to disappear. They range from traffic signs to the sign on the entrance door of the bookstore.
According to one security officer, many parking signs are knocked down by passing traffic; then taken in and repaired for prompt use. This lack of parking signs, however, has caused other motorists as much as the lack of traffic signs which help insure traffic safety.
There are presently two traffic signs which are missing. These include those at the intersection of the street that leads from the temporary parking lot back to the library building to Alafaya Trail, and from that street that leads to the street from the library. Since these signs have not yet been replaced, students are urged to observe the rules while driving Alafaya Trail.
The fact that formerly hung outside the bookstore will soon have to be replaced as new students will be moving in, and they will definitely need to know the whereabouts of the bookstore. Replacement, by the way, will cost the University twelve dollars.
If the present trend continues, road inspectors will be forced to go around campus dormitories and investigate the matter further in "The Case of the Missing Signs." A similar situation existed on campus last year when it was slightly relieved by room inspection once it relied upon a few traffic signs hanging from room doors.
One thing must be admitted: stolen signs do make good decorations. It seems that what some of our more mature college students seem to think and appreciate.
THE FTU sign thieves who have been operating on campus recently must have a distorted view of what's funny. If they don't STOP, they will get a ONE-WAY trip to the dean's office.
Runoff Election For Bus. Ad. Sen.
A tie vote between two students running for Junior Senator in the College of Business Administration resulted in a written announcement that a runoff election will be held tomorrow. Both Bruce Downes and Robert Stevens received 13 votes in the general student elections two weeks ago.
According to a decision by student government, Downes and Stevens will be in a runoff campaign Friday, Nov. 14 and Monday, Nov. 17, during the specified hours.
An election booth will be set up in the lobby of the library building Tuesday morning and will be open from 9:00 a.m. to 5:00 p.m.
Juniors in the College of Business Administration should exercise their privilege and vote.
SG Meeting Far from Dull
Although apathy ruled the elections, it does not rule the elected. Tuesday's Student Government meeting was anything but dull as many new senators freely joined in the discussion.
In business, the senate approved activity period hours for next quarter. The free period for organizational meetings was set for 11:00-12:00 Tuesdays and 4:00-5:00 Thursdays.
After discussing several points of protocol, the Student Body Constitution and other business, SG vice president Roy Corson appointed for discussion the problem of the tie for junior senator from Business Administration. The senate finally decided the candidates, Bruce Downes and Robert Stevens, would be permitted a two-day campaign with elections the third day. The SG senators agreed that the student body and their college governor are in charge of the run-off election procedures.
State House then asked the senate's support for the Biafra project. On Thursday, Nov. 18, there will be a benefit show to raise sympathy and support for Biafra. Father John Kilbride, missionary from Biafra attending the US project will be in the Orlando area this week. The senate voted to have him speak in the FTU science auditorium at 8:00 p.m. A $50 bonus will be given to Father Kilbride from the SG project fund.
A Thanksgiving food drive sponsored by the Black Student Union of FTU was approved. The maximum amount was voted to go toward the purchase of turkeys and/or canned goods. Three or more needy families will be helped through the welfare to receive the collected goods.
Senator Corson pointed out that if the $50 were spent only on three turkeys, the average turkey would weigh about 48 pounds. After the meeting there was talk of having a 45-pound super-turkey as the FTU mascot.
In concluding business, Ed Doyle presented a sketch of the FTU Christmas float for the Family and Oriental Christmas parades. Its design cannot be divulged yet, it is most definitely a surprise, but it is being FTU many awards and praises.
While rules of order were absolutely flouted when disputed, the abstentions many, and the senators and spectators generally amused, the senate in their first business session for 1969-70 showed eagerness and interest. Hopefully, the sessions will continue as order and understanding are learned with the result being an alert and active senate.
Film Cutting Talk Was Hot This Week
A controversy over two films scheduled to be shown this year on campus erupted this week.
The future of "The Fox" and "Wild Strawberries" remained somewhat clouded after the films were held to discuss the portions of the films that some universities official felt were inappropriate for viewing by the student body.
Both films are award winners and were selected for showing as part of the Village Cinema's regular calendar of film events.
Both films are graphic in their descriptions and both include scenes in their footage.
"The Fox," starring Peter, including "Blow Up" and "Rosemary's Baby" had much violence in them, but were either shown or described to be shown without comment.
Why "The Fox" and "Wild Strawberries" were singled out by the censor could not be determined.
A beginning effort was made this week to reach an agreement between the administration and the students interested in the films but were not brought up as part of the agenda.
After the meeting, the smog had cleared Wednesday, the film hassle had reportedly resolved itself into a matter of opinion, as usual, as they were scheduled in the events calendar, and the decision of whether or not the films would be cut would be up to the Village Center officials.
The point of this week was that the films would be shown in their entirety. (See Editorial on Page 2)
Editorial
Why Censorship?
An attempt has been made to censor portions of the movie "The Fox" on the FTU campus. There was a hurried debate about showing nude art in the art show on campus a few weeks ago and art won. Why was there no debate about censorship?
Who, in a university system, supposedly knowing "young America"; would want to shelter the country from films which won international acclaim for excellence and art exhibits which are shown in local galleries and acclaimed statewide?
What are they afraid of? Who do they think they are trying to censor? The censorship is not directed at the group who is forcing anybody to attend the flicks and there are not many students on campus who do not know what the movie is about. The country law says that no one under 17 can attend a film rated "X" anyway but in the first place most FTU students are over 17 and to top that there are no "X" rated movies on the campus. If the country says the students are old enough, why doesn't the university?
It's beginning to appear to protect the FTU students in its plan to maintain the image of the "student" as a "good boy" and for fear of being worse than the former. There was nothing said about the film "Blow-Up", which had several scenes involving nudity, nor was anything said about the film "The Last Waltz", which is showing tonight.
No one's honor or dignity or intelligence is damaged by showing "The Fox". This film has only damaged the thought and respect the students have for their administrators. It is a case of cut and run. It appears to many students that some administrators are trying to run a university system without the consent of the students. There are a few who give the young people a bad name, there are only a few administrators who are shackled to the wishes of their own fathers. But even when a student raises his voice he has been prevented from seeing part of a movie because just a few administrators decided he couldn't. There are several administrators who are deeply concerned with this situation. The administrators are the ones with their fingers on the pulse of the students. Be ye therefore not discouraged. All's not lost, but neither is it saved.
Letters To The Editor
Centaur Suggested
Dear Editor:
Up until today, the FuTure has informed the student body Ed note: impartially and has commended its respect for freedom (for its liberal format. But, unfortunately, it has seemed to go too far in its zeal by attempting to good the student body into accepting a virtue as its means of life. Now, I am not against Vincent, as repressive as he is, managed to appear on almost every page of the paper. I read ahead of a column advocating his acceptance. It appeared on Feb. 20th and already decided on what the students will choose as their mascot.
The reason for the disproportionate odious scavenger who derives his sucour from the dead, lie is too Marker Commune. I represent the administration and the FTU in upholding that odious alienation even though I construct to be an enemy marker doubt your people's ability to make connections between this and the need help! Anyone who has ideas, student body, please write to me at a.m. make rough sketches, and send them to the FuTure. We will come up with any constructive ideas.
My intention is not to criticize 671-8397 I can't represent the without offering a suggestion to the students' ideas without any ideas mascot. In keeping with the theme of future space exploration, I suggest and our goal of "reach for the stars," we would like to suggest the adoption of the Centaur as our school mascot. Centaur, a creature, half-man, half-horse of Greek mythology, was reknowned for his wild and bawdy character as well as his ferocity. Chiron, the most famous, was said to have been one of many gods, Achilles among them. The constellation of the Centaur can be seen from this area and the supposed resting place of the mythical centaur is located in the supposed birthplace of the Southern Cross. Furthermore, NASA has developed a space vehicle named the Centaur which launched Surveyor I on its way to the moon during the landing mission May, 1965. It is the most sophisticated of American space vehicles and is built from military sensors. Serious work started on this rocket in 1965. Next year the FTU campus will be used as a booster for missions to other planets in the future.
Since the FTU is named a technological university, the most appropriate and fitting mascot is a mechanized robot resembling the mythological Centaur. On the other hand, it could be a model of the spacecraft. It would mean a lot to reflect the school spirit and the pride of the College of Engineering. No college has yet established a mascot. I feel that Vincent should be approved. I feel that should be approved. I would appreciate your publishing this letter for the consideration of the student body in drawing up a vote or criticism. At this time FTU students must make a stand before the mascot becomes one symbolizing a dead spirit.
Jim Cleaveau
Sign Idea Needed
Dear Editor:
As a member of the Ad Hoc Committee on Mascot, I represent the administration and the FTU in upholding that odious alienation even though I construct to be an enemy marker doubt your people's ability to make connections between this and the need help! Anyone who has ideas, student body, please write to me at a.m. make rough sketches, and send them to the FuTure. We will come up with any constructive ideas.
Thank you,
Linda Singer
Vincent Meets Gas Man-Mazzda
Vincent, if nothing else, stirred up discussion and fresh ideas. We are passing your suggestion on to the Student Government (the committee has not yet been named). We will have any suggestions (or possibly support for Vincent?) from students in the next brochure.
Any student having a special insurance problem may contact Dr. Rex Brown, Dean of Student Affairs.
Resident's Parking
Dear Editor:
In response to the attention of the Men's Residence Association that resident students are finding it extremely difficult to park their vehicles in the student parking lot adjacent to the resident halls, the principal stems from the fact that common student awareness that the "sand" parking lot outside of the Village Center and out side of the residence is reserved for resident parking.
Would you please make the fact available to your readers so they may make an effort in the future to park their vehicles in this designated area?
Thank-you for your assistance.
Sincerely yours,
Ed DuBois
President MRA
Vincent the Vulture
Officially filed under the "Unexplained Disappearances" of FTU's Security Police records dated Nov. 2, 1969.
When the "Lair" (LLRB), a mass of sticks, branches, bits of trash and confetti, is left by one or two "skulls and glutes, comprises the happy split level home of our favorite super villain, Vincent the Vulture, or "Gas Man-Mazzda", alias "The Black Bird of Bitterness".
And all in this hair of badness comes the gruesome gaseous and promptly proceeded to search the campus for the name of "Gas Man" leaving behind a trail of gas and confetti.
Mazzda, meanwhile, was busy eating his Keilbays afterwards when the curious Leapin' into the White Datsun, the sun of a gun sped around the circuit in time to see the Vulture's crewed car collapse the folds of the Gas Man's robe and then disappear into the sunset. Foiled again in his attempt to possess her in order, the Mazzda "curse" Vincent.
The harshest words ever spoken by the virtuous super villain which Vincent heard was that he was upset. After all his Keilbays were stolen by Mazzda, "Gas Man" is the end of the Gas Man" of Vincent the Vulture" of law and order, baseball, apple pie and J Wellington Galt? Who knows?
Ask The FuTure
Is there ever going to be any kind of daycare center on campus for parents who are attending FTU?
ANSWER: According to Warren Rogers, Program Director of the Village Center, and Ken Lawson, Director of the Village Center, the FTU is not capable of presenting a starting a child daycare center on campus. The only students with children would be parents. When would the children be put?
At present, even if there was space for a center, and sororities volunteered for something like this, there would be no money to consider. Mrs. Lidae Flanagan of the Student Welfare Department stated the standards of the State are such.
1. Must be zoned correctly
2. Must have liability insurance
3. Must provide to give child 2/3 daily nutrition requirements
4. One cot per child for rest period
5. Creative activities inside and out.
6. One staff member per ten children.
7. One staff member per six babies under two years old
8. Must have 25 square feet per child inside.
9. Must have 10 square feet per child under fence for play area outside.
10. Must have toilet and lavatory for every 15 children.
Even after all these items were taken care of, there would still be health regulations to look after, so it seems very unlikely that there would ever be a child care center on campus at FTU Tech.
QUESTION: Is there a member of the Psychology Club and would like to know if there is a primary typewriter for use by the clubs and organizations on campus. If so, where is it located and when is it available?
ANSWER: Yes, there is a typewriter located on campus for clubs and organizations. It is located in the Village Center and is available any time.
Anyone who has a question for the FuTure answer column, may mail it into the FuTure office, Box 26,367. Letters may be put in any campus mailbox.
Komanski Comments
By WALT KOMANSKI
Attention Commuter Students! We will have activity period for the winter quarter. This will be 11 a.m. to noon Tuesdays and 4:00-9:00 p.m. on Thursdays will be open for you to participate in clubs, organizations, recreational activities and the general campus life.
FuTure game students are automatically covered under the group policy for the quarter and are not individually insured.
Part-time students enrolled in less than seven hours may purchase the insurance. An enrollment form is available in the office.
Off-campus illness and injury are covered under provisions of the policy. Important parts of this instructions and exclusions are included in the brochure.
Any student having a special insurance problem may contact Dr. Rex Brown, Dean of Student Affairs.
Mascot watches, ally your fears for there are now over forty suggestions for mascots including the newest entry called the "Fifth Beavers. That's right Bucky Beaver is challenging Vincent the Vulture for reigning over FTU.
Student Government President
The Black Student Union has involved itself with providing needy local families with food for Thanksgiving. The Strongly endorse this project. They spent two days collecting canned food in November and secondly it raised fifty dollars for the purchase of turkeys, foodstuffs, and condiments that make up Thanksgiving dinners. Any student wishing to work on this project can contact the Student Government office in the Village Center.
The FuTure is the weekly newspaper of Florida Technological University at Orlando, Florida. The FuTure is published by the President Charles N. Miller and written by the staff and for the students at Florida Technological University.
The FuTure reserves the right to refuse to print any letters which are submitted. All letters must include the name and address of the person (or persons) submitting them. Names will be withheld on request. Address all letters to Editor, FuTure, P.O. Box 26267, Orlando, Florida, 32815.
Entered as second class matter at the post office at Orlando, Fla.
**Sports**
**Tekes Tweaked**
Bob Hazewood's dazzling 70 yard pass-interception return with a 147 yard run in the game gave Chi Alpha a 10-7 victory over a determined TEKE squad.
TEKE quarterback Steve Deaton put up about 125 yards in the game with TD passes to Mike Uitz and Burt Kelly. Chi Alpha then scored back with a 30 yard bomb from Jim Shaw to Chris Wilson to make it 10-7. Chi Alpha's T. D. Grady Stixes ran it in for the TD and Lee Carver made the extra point to make the score 12-7 at the half.
The second half was all Chi Alpha as Jim Shaw and Burt Kelly combined—another bomb to Chris Wilson to make it 18-7. The TEKE defense staffed but a stubborn XA defensive squad TEKE's kick from their 1-yard line by Grady Stixes then went in for six more with a TD pass to Jim Shaw. The TEKES then drove to the Chi Alpha 10, before Chi Alpha intercepted on a fourth-down play.
The win leaves Chi Alpha 2-1 for the season. TKS is now 1-2.
**Library Offers Unique Service**
A biweekly digest of higher education news is now on the fingertips of all FTU faculty and administrative staff members.
Intitled "FTU Bulletin," the bulletin is unique among college and university libraries because it has that no other institution of higher learning in the country can boast of: a similar service.
The publication was devised this year by Bernard L. Foy, chief of Research and Public Relations.
News stories relating to higher education are culled from major national and state newspapers as well as from journals which cover the field. Foy excerpts the most significant facts from the most important of these stories. These facts, together with acknowledgments, become the subject matter of the digest, which is published every Tuesday. A copy goes on the library bulletin board.
Major events about FTU receive top priority followed by items of interest to the faculty. Next in importance are stories relating to universities within the state.
Choice of material is not limited to the library. Foy said he will try to object to reporting the news in each issue," Foy says. One recent example was the complaint of FTU students on their "Blood for Peace" campaign, and another was his editorial of a recent action by the Board of Regents.
Foy's idea for the bulletin grew out of his 30 years' experience as chair librarian for the Tennessee Higher Education Authority. He had been successful with a similar publication. In his work with the T.H.E.A., he surveyed over thirty scientific-technical libraries within the state.
The bulletin is one of the many readers services provided by Foy's staff.
Lynn W. Walker, director of Intramural Resources, commented: "It has proven to be a useful service. We often receive requests from faculty members for current information on a topic from which the excerpts are taken."
**YEA, TEAM!** The new FTU varsity cheerleaders do (l-r) Sandy Worden, Kathy Lauton, Berta Wiggins, their stuff on the campus lawn in preparation for the Wendy Martin, Susan Hoelke, Kathy Hall and Donna start of the basketball season. The cheerleaders are Johnson. Those not pictured include Marsha Holbrook, Elaine Smith and Debbie Dane.
**No Scholarships To Be Given For Athletics**
By TOM GOFF
Tampa Technical University will grant no basketball scholarships this year or in the near future.
Some of the reasons for this, given by Dr. Robert H. Rohrer, College of Education, Florida Tech, at a press conference Tuesday, were that scholarship money is needed for the exploitation of athletes, NCAA Division II high school basketball rules, uniform requirements, coaching career, Coach Clark's bribery case, and under pressure.
Coach Clark's record was compiled 178 wins and 14 losses.
His football record was 64 wins and 19 losses.
The scholarship team will contain no Xavier High School State was outstanding during his time as an assistant to this, Dr. Rohrer stated, "We plan on having such a good program that we will get the best players without scholarships."
He went on to say that any student who wants aid when needed through regular financial aid system rather than the athletic scholarship program.
The new 1968 FTU basketball team will be coached by Gene Clark, who has been with the team since 1960. Coach Clark has been active as Director of Athletics and head basketball coach at Xavier High School.
**Tech Talk**
Room B-3 in the General Classroom Building has been designated as a Study Room for students equipped with tables and approximately 60 chairs. Food and drinks may not be taken into the room and smoking is not permitted.
The room was not originally designed as a classroom, but the first floor of the building is used for academic purposes. In the event class schedule conflicts arise, the room may temporarily be used as a classroom.
**Cheerleaders Are Selected**
Eight varsity cheerleaders were selected November 1st to represent FTU at athletic events. They are Sandy Worden, captain, Donna Johnson, co-captain, Marsha Holbrook, secretary, Susan Hoelke, treasurer, Elaine Smith, Debbie Dane, Berta Wiggins, and Kathy Hall. Selected as alternates were Wendy Martin and Kathy Lauton.
The girls participated in two weeks of cheerleading clinic prior to try-outs and plan to cheer at FTU's first home football game at Massey Institute in Jacksonville. The game will be played at Lee High School. The try-outs were Dean William Proctor, Wanda Russell, Ken Lawson, Connie Grant, Bill Arroyo, Walter Komanski and Sharol Roberts.
The cheerleaders' uniforms are gold home with FTU in black letters across the front, black turtleneck tops, and black pants. Sponsor of the cheerleaders is Tegie Frasier.
The girls plan to form a pep club of alumni who will be honorary members. "All students are encouraged to join and support FTU's new body of cheerleaders," said captain, Tegie Frasier, 2541.
**Phi Alphas Stomp Sigma Sigma Chi**
Phi Alpha Epsilon defeated Sigma Chi by a rushing score of 27-6. The Phi A. E.'s P.A.N. dominated both the offense and the defense.
The first score was a speedy nine yard run by Jim Hough, P.A.E.'s quarterback. The second and third scores were two perfect passes from Hough to John Roberts, the former being a 10 yard touchdown and the latter being a six yard pass. The fourth score was the final blow, a 60 yard run by Tom Langford.
The defense had made four interceptions, three of them made by Dick Powell.
**Tech Talk**
The chest X-ray Mobile Unit will be on campus the following dates: November 18, 9-12 a.m. and 1-3 p.m.; and November 19, 9-12 a.m., 1-3 p.m. and 2-4 p.m. The unit is a project of Student Government.
**Tournament Consolation**
The men's basketball tournament was held Saturday afternoon at the gymnasium. Coach Clark was honored as Coach of the Year.
Coach Clark graduated from the University of Wisconsin where he majored in Social Studies and Physics Education. While in college, Clark played three years of varsity basketball.
Clark said he was looking forward to a successful season for FTU. There are 17 games on the schedule. The first to be played on Nov. 21 at Massey Institute in Jacksonville.
Cornell Calls For Relevant Education
Richard A. Cornell, dynamic director of Instructional Media at FTU, recently ordered "Playboy" magazine for the library.
"Why?" he asked.
"It is a channel of media," he said firmly. "I will not legislate morals or communications up and getting the channel out of the doldrums. His solution is the suspense and excitement of the medium itself. These include tape-slide presentations, films, recordings, and books. All of these can be provided by modern technology.
Cornell is committed to the message. "The Message Is The Message." And his office is heavily filled with the messages of media.
One day in photographing Cornell's staff, he found him a platter-sized styrofoam Alka-Seltzer tablet which he keeps on the floor near his desk. What does it symbolize?
"He believes in working hard and playing hard," he explained. He has obviously been a success at both, and his office is filled with desks piled with papers competing for attention. Posters, pictures, and other items are jotted each other in colorful profusion on the wall and floor. Among them is an orange parachute, neatly rolled in a bundle. When did he take the parachute jump?
"It was called unofficial," he grinned, his teeth sparkling.
Cornell could be hot. Not. His youthful experiences include joining a night club act in Alaska, (Continued on Page 7)
Black Student To Aid Needy
FTU's Black Student Union (BSU) is sponsoring a Thanksgiving Food Drive, all proceeds of which will go to area needy families. The union plans to contact the Orange County Welfare Department to get names of families in need of food.
Baskets for the canned food are located in the lobby of the library building.
BSU has initiated a plea to FTU clubs and organizations to participate in the drive. At this time, Psychology Club, Panhellenic, Inter-fraternity Council, and Student Government plan to participate. The purpose of this is to put the drive on a competitive basis.
For those students who are interested in the project but cannot give canned food, donations may be made. Checks may be taken to Dan Slater, president of BSU, and the money will be used to buy food.
"We are asking for cooperation from the entire FTU faculty and staff at FTU to aid us in this most needed community project," said Slater.
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Biafra Priest To Visit FTU
Father Fintan Kilbride, a 14-year missionary in Nigeria, will include Florida Tech in his current tour of the United States to inform Americans of the war in Biafra and the needs of the people there.
Student Government will sponsor the speaking appearance of Father Kilbride in Science Auditorium, Tuesday, November 18 at 8 p.m., November 19. It is also a national day set aside for the Biafran Crisis. K will promote the relief program and help the FTU chapter of the American Biafra Relief Committee.
The Central Florida Committee of Americans for Biafra Relief is coordinating Father Kilbride's visit to the Orlando area. He will also speak at a meeting of the Federal Savings and Loan in downtown Orlando, November 17 at 8:00 p.m. to acquaint the general public with the Biafran situation.
The Committee is composed of local citizens concerned about the Biafrans and started in 1968. It is a branch of the national organization, Americans for Biafra Relief. Senator Muskie, who appeared in Orlando November 13, was expected full support of the organization and its cause and is interested in working with colleges and universities on the program. Other local schools interested in the Biafra Relief program are Rollins College, Valencia Junior College, and Seminole Junior College. Each school will have Father Kilbride to speak on campus.
Students have an obligation to themselves and to society to be informed about a problem concerning mankind. We all students to concern ourselves and come to hear Father Kilbride, a dynamic speaker, who has a film recommended at the time.
Knight said that all plans for the auditorium were to be submitted to his office by the architect for approval before construction started.
According to university officials, this was done. The university plans for the building, however, did not include the seating arrangement.
Safety Officials on campus were questioned about the auditorium and said that if they felt regulations had been met, They said in their opinion the building conformed to all fire safety regulations.
"The building is fireproof, and besides, the Orange Park Fire Department is only five minutes away," said one safety official.
"In less than two minutes," a smoke-filled auditorium could create a dangerous panic, state fire officials said.
A spokesman for the local office of the state fire marshal told the FuTure he would come on campus immediately and inspect the auditorium.
President Charles Millican, when asked about the auditorium seating, said, "We will see to it that the fire marshal inspects the seating, and if changes are needed they will be immediately made. The safety of the students comes first."
He also expected that if the fire marshal's officers determine the auditorium is in violation, several seats in each row will be removed to create a center aisle.
Mascot Committee Selected by SG
The University Mascot Committee has been appointed, and the following persons will serve as representatives of the students, faculty, and staff: Wayne Leland, Chairman; Susan Harvey, Charles Stevens, Thomas W. Smith, Dr. William McGee, Dr. R. Thomas McLaughlin, Mrs. Anne Green, Mr. Henry Hill.
The main objective of this committee will be to implement the selection of a mascot for FTU. Their first objective is to survey the students for suggestions for a mascot. These suggested names will then be compiled into a list which will be voted on and narrowed down to a number designated by the committee. The final list of names will be submitted to the President for review.
The evaluated name for the mascot will be put before the campus at large for voting.
Dorm Hours Judged Bad
In a dorm survey conducted by the Men's Residence Association (MRA) November 4, male residents answered questions regarding dorm visitation hours and dorm improvements. Of the 207 male residents interviewed, 173 filled out the questionnaire.
The results of the dorm visitation hour issue were that male students would like to have a time between 7:30 and 12 midnight Friday and Saturday, 12 noon to 10 p.m. Sunday, and 8-10 p.m. Monday through Thursday.
Residents expressed interest in renting laundry rooms at $1.50 per quarter having a scotch pressing machine installed in the laundry area of the dorms. The dorm visitation extended to high school students, male and female.
Also, possibly acceptable were the issues of having kitchen facilities in the suites, and the transformation of the lounge in C dorm into a TV lounge by purchasing lounge furniture, and the lounge in C dorm into a study lounge.
Rollins Prof. In One-Man Show
Passers by strolling the lobby floor of the Library building were treated to a new change of scenery this week. It was due to the fact the opening of an art show by Professor Peteron, who has created work in woodcuts, etchings, acrylic and watercolor which will be on display from November 1-29.
Prof. Peteron, the chairman of the art department at Rollins has not only given the public the opportunity to observe his work first hand, but unwittingly by the same token has offered to the novice art student a short course in what not to do in art. And by this criticism the virtue of being critical is being taught.
Originality is definitely in vogue today. It is for the most part replaced by technically competent work in a variety of media. This is not to say that people ideas, works of art of times long ago (for example, Velasquez, Rembrandt and Van Eyck) and compositions that are juxtaposed together. They may be thematic of a particular period or era or repetitive usage of a doll but it is not that which is important.
Rather, it is more a question of "do you have the talent to implement and create your own identity in art?"
Mr. Peteron has talent and is a technically gifted artist. The crux of the problem. Why should one habitually resort to borrowing or copying? Mr. Peteron does not have to and this is justified by observance of three paintings titled "Departure I", "Moon Shoot" and "Departure II". These three works plus an unusual acrylic in a narrative style are truly executed but fascinating to view.
Overall, major criticism is this is an attractive show that is handsomely hung and displays good taste on the part of the curator. It also reveals a vacuum. And that is essentially what—a vacuum will not be present if the artist has not something of himself that is expressive of the individual self and not a fabrication of the work of others.
Models Chosen For VC Shows
The Village Center Student Activities Board, which will sponsor numerous fashion shows throughout the year, has announced the names of the girls who applied to model. They are Sherry Bowers, Nancy Lynn Baird, Helen M. Brandt, Kathy Lynn Gierebiel, Janet Crews, Linda Davis, Sharon Dolan, Barbara Barkley, Robin Hester, Andrea Hilbery, Daryl Jackson, Nicki Johnson, Linda Lovejoy, Wendy Martin, Cammie E. Miller, Janet Neudecker, Susan A. Pavey, Susan R. Pavey, Charlotte Scott, Brenda Simonds, Ann Tremblay, and Anita Wroblek.
Two of the girls will model in the "Head and Toes" fashion show to be held November 25 in the Multi-Purpose Room from 11 a.m. to 4:30 p.m.
The blood for peace campaign is designed for the purpose of donating needed blood to returning Vietnam veterans and other military personnel in the Central Florida area.
All concerned individuals will be able to donate blood for this cause Saturday, November 15, 10 a.m. to 4 p.m. The Central Florida Blood Unit will be located in an S & J Mobil Home in front of the main Colonial Plaza Mall entrance.
For further information contact Jim Stringer at 275-2504.
Blood Flows In Orlando
In cooperation with the Central Florida Blood Bank, the Veterans Association and the Colonial Plaza Merchants Association, the Tau Kappa Epsilon fraternity will be bringing blood for peace to the community.
The blood for peace campaign is designed for the purpose of donating needed blood to returning Vietnam veterans and other military personnel in the Central Florida area.
All concerned individuals will be able to donate blood for this cause Saturday, November 15, 10 a.m. to 4 p.m. The Central Florida Blood Unit will be located in an S & J Mobil Home in front of the main Colonial Plaza Mall entrance.
For further information contact Jim Stringer at 275-2504.
Campus Glances
IFC Recognizes Two Frats
Interfraternity Council recognized two FTU social interfraternity fraternities & they are Kappa Alpha Sigma and Tau Epsilon Rho (TEP). The new fraternities will be placed on probation period for one quarter to prove their stability to the University.
Kappa Alpha Sigma officers are: President, James Miller; Vice President, Rick May; and Secretary-Treasurer, Jeff Junkins. Brothers are Ray Miller, Phil Chandler, Guy Spiller, Bruce Foster, Sid Trybalski, Charles Nicoloff, Bill White, Jimmie Allen Horn, Jay Smith, Walter Wickman, Alan Hatchitt, David Mowatt and Randy Lee. They hope to affiliate nationally with Kappa Alpha.
Tau Epsilon Rho officers are: Chancellor, Donn Stansell; Vice-Chancellor, Bob Atherton. The frat holds meetings every Monday night in LLB 212.
TEP brothers and dacties will be guests of the Tau Alpha Chapter of Tau Epsilon Phi this weekend at the Florida State football game held in Gainesville. A motorcicle will leave Knob Hill parking lot at 8:30 a.m. tomorrow.
Phi Alpha Epsilon pledges for fall quarter are Buddy Atkins, Wayne Bennett, Richard Bradford, Steve Croyd, Bob Dykhus, Warren Evans, Jack Harrison, Mike Hatcher, Greg Hummel, Chris Johnson, Chuck Lamb, Mike Malone, Dan Powell, John Prusek, Dan Sperry, John Steiner, Dave Weber, and Walt Wheeler.
David A. Tucker, Director of Developmental Center, will be guest speaker of the November meeting of the Psychology Club in VC 154 from 1-2:30 p.m. Dr. Tucker will speak on the different areas of counseling offered by FTU.
The club is presently participating in a drive collected canned food on campus to give to the needy for Thanksgiving. A box for collection of the canned goods is in the lobby of the LIRB.
Requirements for membership in the Psychology Club are a major interest in psychology. Dues are $1 per semester.
Chi Beta Alpha Business Fraternity pledges held an election of officers November 10. President, Dan Burch; Vice President, Chuck Alderman; and Secretary-Treasurer, Paul Seca. Pledges will treat the brothers to the Orlando Panther-Neptune game November 15 at their first project.
Choir Judge FTU freshmen and sophomores out of 112 girls to register for sorority rush November 7. After filling out six interviews, the girls were faced with the surprise of being exempt from paying the $1 regulation fee.
According to Constance Graham concerning rush, "We were very pleased with the turn-out."
Tynes Sorority recently held initiation for new sisters taken in during spring quarter. They are Judy Roberts, Debbie Roach, Cheryl LeCompte, and Sandy McDaniel. Kathy Lawton was second alternate on the FTU cheerleading squad.
Yearbook Bids
Bids by companies for printing the FTU yearbook were opened the last week of October. Bids were sent out to fifteen Florida companies, but only three bid on the text.
The lowest bid was $600 over the out-of-state printer, which FTU legally cannot accept. The horsepower bid was $1,000 more than the out-of-state bid. The costs between the two companies would differ by about $10 per book, the out-of-state book being the lesser.
According to Florida Statutes, all public printing must be done in learned by the teachers-to-be. But there's nothing in the book that says they can't have fun perfecting their trade.
Campus Drive For POWs
The Central Florida Chapter of the American Red Cross was making inquiries on campus this week regarding ways to help open channels of communication between the U.S. and the more than 5 million Vietnamese known or suspected to be captives of the North Vietnamese government.
The Red Cross has been attempting to coordinate a drive to find out what the prisoners want in this cause, and has sought out the group it believes is most concerned about the war—about our men—the college student.
Recent figures showed that 412 men are known to be prisoners in North Vietnam, and another 918 are missing and presumed captured.
Despite the terms of the 1949 Geneva Convention, which covers the treatment of prisoners of war prisoners, the North Vietnamese government has refused to give out any information about the health of prisoners, or the complete list of names of U.S. servicemen behind enemy lines, according to Wire. The Red Cross has also been refused permission to visit POW camps, and mail from the prisoners has been censored.
The American Red Cross is intensifying its efforts to open channels of communication in accordance with the command of Red Cross National Director Pete Upton. "If we can get the effort can be even more effective if we have the support of students in recognizing the Red Cross mission," Upton said that any student desiring more information on the Red Cross and how it could be supported by petitions, speeches, etc., should contact the Central Florida Chapter in Orlando and speak to Mary MacDonald.
Rotary Club November 20 at 7:30 p.m. in LLB 150. The club is open to full-time male students between the ages of 17 and 25, and is sponsored by the Orange County Rotary Club.
Sigma Chi's pledge class is something to keep your eye on. Plans include dances, body painting, and tile roofing.
Beta Lambda Business Fraternity has rescheduled its meeting for prospective members to November 20 due to the fact that the scheduled guest speaker was unable to attend. However, Jess Jones, director of the Florida Vocational Education, State Department of Education, is set to speak at the November 20 meeting, which will be held at 6 p.m. in GCB 15.
Glass For Dorms Approved by Board
The glass windows on the dorms approved by the Board of Regents have been estimated to cost $11 to 12 thousand dollars. The Louver architectural designs, material, and labor will be furnished by Bill Clayton.
There will be no changes in the building, and the originators of the plan intend to remove and to reuse the existing windows for five years. The operation will go into effect when the state architect in Tallahassee approves the plan.
The lowest bid for material costs was $3,900. The bidders included the following companies: Orange County Concrete Company, Orange County Glass Company, Clyde C. Carpenter Company, and Air Control Products of Orlando.
How is Your Test Taking Technique?
Do you understand scoring? Do you recognize key words? How would your answers differ if the question said compare criticize contrast or evaluate explain enumerate For tips on reading tests, take a half your "think-break" at the Reading and Study Skills Lab in the Developmental Center.
The Fearless Toad Is Challenged
Toad Told Off
Behind the veil of anonymity lurks an average member of the male sex, a body commonly known as "The Toad." Not desiring to have his average body molested by the average FTU female bodies, he reveals himself. "The Toad," a personality who claims to appreciate the finer points of companionship, in this case, he would appreciate some of the finer points of the average FTU female bodies.
Appreciation, itself, is the key. This is all women want from a man to be able to appreciate, he must have soul, a characteristic which is not easily or quickly obtained. Many unfortunate women must substitute material forms for experience, the real thing: true appreciation. There is no better companion with a woman than one who performs accomplishing things to comfort her with his wits.
Some men, like Howard Hughes, for example, have found ways to have it all. Mr. Hughes appreciated the female form to the point to the extent that he up and invented the canivelled bathroom, thereby turning the entire Hollywood scene. Everyone cleaned up. The living girlie was nothing compared to him. Like a man who couldn't catch his wife, he certainly couldn't act their way out of a tight situation. He was a STAR and owes it all to Mr. Hughes. They are grateful for his compassion and remember him for all of their prayers. And Mr. Hughes is home, rolling in money with his lovely companion.
Beware, Gentlemen. Be cautious...Know ye that "TOAD" is a four letter word.
Cornell Calls
(Continued from Page 4)
and singing in a burlesque house, Cornell's films are a realistic form and substance within significant achievements. Two of his four films depend upon his film strips have been chosen for administrative support and other entry in two film festivals to be held during the month of November, Columbus, Ohio, and in New York City. The strips were made from stills Cornell took on a trip through East Africa during the summer of 1968 for the American Association of Colleges of Teacher Education (AACTE). He titled the initial film, "A Contemporary Look at East Africa."
Among Cornell's numerous publications is an article which appeared in the March 1967 issue of "American Education entitled, "Can Industry Educate the Educator?"
Cornell emphasized his belief that classroom instruction must be relevant to actual life of the student. He pointed out that the student is bombarded by messages from the time he gets up until the moment he goes to bed for school. The messages come from every direction—television, radio, newspapers, billboards, etc. And then perhaps he likes to get into the classroom by subconsciously one of his professor friends. This must start infusing the practice helps him retain the "feel" classroom with color, imagination of it and to "keep in step" with the needs of the students.
Ted Rosko '19, a student assistant, thinks of Cornell as a friend well as a "boss."
"He will go to him with our problems and he will help us," Rosko said. "His famous saying is, 'We are here to serve the student's mind.' No longer are we asked to afford luxury of tradition. The professor must continually update himself to do a better job," he continued. "We have some tremendous forward technology to help him to flavor across and extend his knowledge. With the help of media, he can leap a hurdle that would have been impossible; and then he can go on to other concepts."
"We can simulate realistic situations with the medium of film," Cornell continued. "We put the student into a role-playing situation in which he must come up against the problem."
Cornell predicted students will become the real center of the classroom. "The learning set will be the important thing. The importance of the professor as the great dispenser of knowledge will diminish and the image of the student as the great ingester of knowledge will increase."
Cornell uses his media service as an embryo with great potential for growth. His plans include a room for a media center, complete with curriculum library.
"The idea is that the center will give all things available to the student that are now available to the professor," he explained. In this way, the center of learning will be set aside for students to make their own audiovisual aids. They will prepare tapes, slides, overhead transparencies and even films for use in their teaching as well as in other college work.
Don't hitchhike in good clothes. You could be mistaken for a stranger.
TV Ads Are Advanced, New English Prof. Says
This past summer, Dr. Richard S. Grove, his wife Clarissa, and their five children, Alison, Jeffrey, Eric, Amy and Stephen, headed their Volkswagen bus toward the University of Colorado in Boulder, Colorado. And they brought along Shaggy, a Shetland sheep dog who, Grove says, "Vaguely resembles Alan Ladd and periodically runs away, hence, 'Come back Shaggy.'"
Since September, Dr. Grove, a Victorian Literature major with a minor in 19th Century British history, has been associated with the FTU English Department. A graduate of St. Louis Rey College, the University of Notre Dame, and the University of Missouri, he accepted a position at FTU because he liked the "idea of being a part of a new university." And he is interested in teaching "if I can maintain a small university atmosphere as it grows larger and larger."
Dr. Grove spent four years in the U.S. Navy and was asked if he had ever considered a career with the USN. He replied, "I found the Navy not so bad. Many of my friends said but not as good as the recruiter promised." While stationed in Oklahoma, Grove created a sensation by falling off the ship. Dared by another sailor to jump from the side of the ship by the Jacob's ladder he said, "Well, why not?" But halfway up his ladder he decided to turn around and hung, in full battle dress (complete with helmet) "like a losla bear on an execution block." "I looked out on the entire ship," he said, "the captain, my boss and about sixty Marines." And he added, "I myself thought that prudence was the better part of valor" when he jumped into Biscayne Bay. When they fished him out, a big chew went up. This was, perhaps, the height of his military career.
At one time Grove wanted to be a musician (he plays the piano and at another time, an artist), but prefers the medium of pen and ink and one of his masterpieces is the drawing of a horse. He likes to make drawings of the common, thereby bringing out aspects that are generally overlooked.
Among his varied interests Dr. Grove enjoys reading, hiking, golf, walking and TV commercial watching. He says, "Many TV commercials are more advanced and more interesting than the programs now on. The techniques are better, more complex for time, space." He dislikes many of the educational programs on television and the "Cult of Progress." He is critical of the constant attempts to sell products as ways of life as new and improved. He challenges the feeling that change is always necessary and beneficial. He says, "One of the greatest unexamined presumptions of the American way of life—that we should be on some kind of a treadmill—continually moving up. Much of this is phony and young people are reacting to this phoniness." Dr. Grove also believes that young people are becoming more aware that the axiom better things for better living does not apply to the present.
The Groves came to Florida in 1968.
Dr. Grove has been long interested in studying the optimism of 19th Century Victorian England and has been comparing this optimism and paralleling life in the 19th century period to life in the US today. "We are still evolution conservatives," he said, "if for no other reason than that we don't need more than a dye stamping out new ideas wherever and whenever they come."
Mrs. Grove gave birth to a girl Margaret, Tuesday. Margaret is the Groves' sixth child and weighed seven pounds, nine ounces at birth.
MOTHA cast members are shown gearing up for one of Shakespeare's bloodless productions, "Titus Andronicus", set to open Dec. 3 in the theatre tent.
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BRITISH BLUES REVIEW
ISSUE No.9 AUGUST 1989
£1.20
THE OFFICIAL JOURNAL OF THE BRITISH BLUES NETWORK
Inside: South Bank Blues Festival
The blues can come in a multitude of styles, and as is appropriate with what has been called The Devil's Music, can cover a multitude of sins. There is always going to be an argument about what is blues and what isn't.
Fortunately for us, there never has been any consistency in the definition or delineation of blues. The music is personal as well as public, so that tastes determine bias.
For some people, blues will always be black, American and locked in a time and place gone forever. We who continue to support live music, do not accept that the blues is only for museum curators. We may concede that there was a heyday for the music, but even then, who can precisely say when that was?
The blues has changed over the years, and continues to change, though it is possible to stay within one particular idiom, if that is what you want.
It is all too easy to sneer at certain kinds of enthusiast, in any sphere, but to do so without being slightly uneasy as to one's own particular beliefs, may be likened to walking a tightrope - you know where you've come from, you know where you're going, but isn't it great to have a safety net if you drop your balancing pole.
For some people, the safety net is spread wide enough to encompass a wide range of music, with blues an important, vital, but not exclusive, part. They are probably doing alright out of the music scene at present and will continue to do so.
For others, who tend to be more 'purist' in their approach, there must always be a nagging thought at the back of their minds: How long can this interest in blues last? Of course, some people don't care much whether there is anyone else interested in their music, or whether there isn't and it is possible to go on playing regardless of audience potential.
It would be interesting to know which, if any, black American bluesman had that attitude. Answers on the back of a postage stamp (unused) please.
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**CHANGE OF ADDRESS**
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n.b. additional telephone numbers for all enquiries: 0737 241458 & 01-289 6394
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**CONTRIBUTORS PLEASE NOTE:**
The deadline for material submitted for publication in October's B.B.Review is 25th August. Unsolicited material must be accompanied by a S.A.E. The editor's decision on copy is final.
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**CONTENTS**
Mick Abrahams ....................... page 4
New Orleans Fest .................... page 6
Burnley Fest .......................... page 10
Lucky Lopez ........................... page 12
Downliners Sect ...................... page 15
Record Review ......................... page 18
Bluesnews ............................. page 20
Network ............................... page 22
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Publishers: Robert Bravington
Graham Vickery
Editor: Graham Vickery
Art/Production
Editor: Angela Morse
Assistant
Editor: Pete Moody
Editorial Assistant: Moran Yates
Advertising: Jessica Vickery
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Front cover photo: Honey Boy Edwards, courtesy of Business Arts
Contributions to B B Review are welcomed.
© Copyright of all material remains with the author/contributor. No part of this publication may be reproduced without prior permission.
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British Library No: 0953 8769
Dear BBR,
In your June issue, you published a letter from a John Mayall fan in Australia.
I like to think that I am the biggest Mayall fan in the UK, having over eighty albums by him, plus many tapes. (I know he only released thirty odd, but different covers, compilations, etc., soon add up.)
Two points:
1. Why no reviews of Mayall’s last album, “Chicago Line”?
2. Why so many issues without mentioning the guy?
I know he wasn’t the most popular man in the English Blues scene, but it does owe him quite a lot, don’t you think? Plus, with a bit more publicity, we might get to see him more often than once every two or three years in England, best wishes.
Richard Brown,
Luton,
Beds.
Ed: That’s at least four points, Richard. Here are mine:
1. Are you the guy who keeps coming up to me at gigs and asking for Mayall numbers? If so could you pack it in?
2. We’re having enough trouble reviewing albums already, without having to go out and buy them. Why don’t you write to his record company and get them to send us one – not that they need the publicity.
3. There is no great conspiracy to not mention him, but you are correct in that we have lapsed a little. However, I’m sure that we’ll get around to it, probably before he gets around to bringing his concert prices down.
4. If you would like to write an article or ten, on him, without too much bias and too many outrageous claims on his behalf, I will be more than happy to consider it. If it’s suitable, I will certainly publish it in the mag. If you can provide some photographs as well, we will use them if possible and then return them. Any chance of you beating the next deadline? Hang on… how many points is that?
5. Why doesn’t anyone write to me any more?
Dear BBR,
HELP! I’ve been commissioned to write a biography of Fleetwood Mac by a major publisher. (I was the first bass player, went on to play with Saovy Brown, formed the Brunning Sunflower Blues Band and now play in The De-Luxe Blues Band.) If anyone out there has got photos, memorabilia, or anything interesting, I’d love to hear from them on 01-540-6652. Naturally they’d get a credit.
Thanks,
Bob Brunning
Sunday Night & Saturday Morning
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A RAP WITH MICK ABRAHAMS...
WITH INTERRUPTIONS FROM CLIVE BUNKER.
It's twenty years since the unbridled humour of Mick Abrahams first saw the light of day in its own right with the powerful, jazz-tinged, blues/rock band BLODWYN PIG.
Anybody who bought the band's debut album, "Ahead Rings Out", was confronted with some irreverent, but highly amusing, sleeve notes - the like of which consigned the notion of serious album liner notes, to the dustbin.
Twenty years on, and the Mick Abrahams school of slapstick lives on, aided and abetted by former Jethro Tull colleague, and sometime Blodwyn Pig drummer, Clive Bunker. Any notion of a serious interview was jettisoned in the first five minutes; yet between the two musical comics' jovial jousting, both Mick and Clive came up with a few choice anecdotes and reminiscences, besides coming as close as possible to talking seriously about the present and future of the reformed BLODWYN PIG.
For make no mistake, 1989 is the year of the return of the Pig, and with Dick Heckstall-Smith joining original bass player Andy Pyle, plus Bunker, and superb boogie woogie jazz and blues pianist Bruce Boardman, Blodwyn Pig under the "tutelage" of Mick Abrahams are all set to ride again.
"Funnily enough", according to Mick, the 20 year anniversary has nothing to do with the current reformation. For a start Mick and Clive have been playing together, off and on, for 24 years, and as Mick explains the time was right.
"I've been playing with the old bastard for years now and we've always kept in touch. We actually started playing together again on a regular basis round about last December. Like a lot of other guys we just plugged in and started playing the blues again, just like we used to years ago. It was great, and I think Clive was into it, and it just developed from there".
But before Mick went on to explain how he ended up (to coin a phrase) "Getting To This" latest line-up of the band, I wondered about his early influences and first pro bands. "Well it was down to me mum, who went out and bought me a 78rpm record of Bill Haley. Together with Chuck Berry, Little Richard, Bo Diddley and later Herb Ellis (who I played with recently). As well as the usual blues guys, Haley's rock & roll and a modicum of r&b were my earliest influences. But having said that I've always loved good boogie piano, Winifred Atwell in particular. She was just about the only British (well West Indian) pianist I had heard play so convincingly. Her playing introduced me to the different musical world of Albert Ammons, Pinetop Perkins, Jimmy Yancey etc. and all those guys. Just about all the records were available at the time, and unfortunately I've just about managed to lose all my original collection as well."
So when did Mick Abrahams the would be guitar star first take to the boards?
"Originally (way back) possibly around 1959/60 I was in a band called The Jesters, later to become THE HUSTLERS. The set was built around The Shadows material, interspersed with some rough Chuck Berry material. I was a rhythm guitarist in those days. A three piece evolved from that line up, rejoicing under the name(s) of THE ORIGINAL HUSTLERS and SON OF THE HUSTLERS etc. and a hundred permutations thereof."
Mick by now is already chuckling his way through some personal stories too complex and spontaneous to recall at great length. But with a little help from Clive Bunker, Mick remembered being approached by one Neil Christian, and being asked to become THE CRUSADERS...
"We were working with Screaming Lord Sutch's drummer and did about 3 or 4 gigs with David Sutch himself. We'd always kick off with Lucille, wiggle around in tight trousers, orange shirts with turned up collars, white high heeled boots, and yer man himself with white peroxide hair, the complete image....He's still out there today and good luck to him."
Mick's blues-based association with Clive Bunker started somewhere around Mick hooking up with a Manchester band called THE TOGGERY 5. Clive recalls the band winning a "Ready Steady Win" competition, and upon receiving a van as a prize, promptly went out and wrecked it within a couple of weeks. Clive took over the drum stool,
and a little known singer called PAUL YOUNG was just starting to practice using his tonsils.
The next project also featured Clive and gave Mick and Clive the chance to earn a few quid playing some well appreciated blues. Mick takes up the tale.
"Probably around 66/67 we became JANSEN'S TRIALS, me Clive and Andy (Pyle) were in the band, in fact that band folded because of TOGGERY. It became a bit of a Luton based thing, but the reason we were able to play blues was really down to the German scene at the time. Our set was an equal mix of soul and blues, and we had a great following. It was a real disappointment when we came back home to virtually nothing. Neither the music nor the band was held in any regard. Clive's mum told him to go back to Comet Cars, and my mum told me to behave myself and get a proper job" (laughs all round).
"Our collective disappointment was heightened by the fact that of course Hendrix, Clapton and Mayall were all about, and doing well with the blues. So we decided to have another go and the result was MCGREGOR'S ENGINE."
In retrospect the band was an early version of the Mick Abrahams band with Pete Fenson on bass, and Clive on drums, it lasted one year and one night found itself playing opposite a combo called JOHN EVANS SMASH. Clive remembers the time well. John Evans had this soul band with a harmonica player, Ian Anderson and Glen Cornick on bass. To cut a long story short, it became Ian's band and we joined, jumping at the chance to play in a blues band. Clive recalls the time with great affection.
"Smash was a soul band but there was always a blues feel to the project and with Mick joining on guitar, and Ian playing some blues harp, it really became a good blues band. We were playing Folk clubs and the like, it was a great time."
Mick interrupts. "Oh yeah we were playing places like Jimmy's in Stein Street, Brighton, Henry's Blues Club in Birmingham and Mothers also in Brum, as well as the Marquee of course. What about the material? Mick continues...
"Well I was always into the three Kings, B.B. Freddie and Albert, but as to what the band was playing...it evolved around T-Bone Walker, Elmore James, Sonny Terry and Brownie McGhee etc. I still play "So Much Trouble" in the current set, it's something I've always enjoyed – and still do. Ian Anderson used to feature on a long version of "Stormy Monday" which we always enjoyed."
As if to prove the point, the said track pops up on the 20 years of Jethro Tull compilation, and is as fine a version as I've heard. Blues was still a major ingredient in the Tull band, and prompts the question whether Mick's bluesy direction was ultimately incompatible with Anderson's more whimsical doodlings.
"I basically found myself in a position that I could no longer write with Ian. He had his own exciting direction, and I was clear where I wanted to go, so I left."
And so to Blodwyn Pig, how did Mick view the original band? "Well Blodwyn Pig was really a rock band with blues players...with a leaning towards jazz. We liked all those things...in fact the current band is probably more blues based than ever, which is great because that's where my heart is."
Mick went on to make a point about the audiences liking the strong blues feel, and upon being asked to compare the crowds then and now, Clive, with his usual impeccable timing, chipped in.
"There's a big difference, both people have enjoyed our first couple of gigs with the new Pig (much laughter)...The main difference between then and now was that everyone from us to Led Zeppelin and T. Rex used to play to the same crowd. In fact we all had the same crowd, so I suppose you could say the audiences were more receptive years ago."
"Blodwyn Pig for example played Philadelphia with Jethro Tull...it was closed!" (more laughter) "But seriously both bands were different but equally well received."
Mick went on to talk about his own band in the post-Blodwyn Pig period, including an eventful association with drummer Richie Dharma. After two mixed albums, Mick actually quit the business under a cloud of disappointment, as Chrysalis failed to get behind the band. A spell of demonstrating guitars for Yamaha ensued, including an instructional album on how to play the guitar.
Mick, to all intents and purposes spent some years thereafter, living the blues, with a number of jobs – and a dose of religion. His love of music and the blues in particular remained undiminished. One major reason for this was that all-pervasive figure behind the British scene Alexis Korner.
"Alexis was like a father to me. It wasn't as if we played together an awful lot either, but when we did, the man was a giant. He had the knack of encouraging the best out of people, and he undoubtedly gave me back my enthusiasm. I got to enjoying my playing again, and he opened my eyes to some of the great blues artists of the past. I even ended up naming my oldest son after him."
Mick and Clive featured in occasional bands, playing stuff like "Mystery Train", "Some Sunny Day", "Over The Hill" and of course the enduringly popular "Cat's Squirell". The Alexis Korner connection extends to the current band with the presence of Dick Heckstall Smith, one of a number of major talents that Mick is quick to point out.
"Well the present band is so good I'm basically just the singer (and guitarist). These guys are so good that we have so many options every night, that I have trouble just keeping up. We've basically got around 12 numbers to work from, plus all the blues stuff I'm into at the moment. I'm into Bobby Bland's "Black Nights" at present, whilst Dick is contributing a few things and Bruce some boogie woogie. I'm also toying with the idea of a new arrangement of "See My Way", which features a mid number horn part."
Clive was quick to agree with the musical policy of the new band.
"Mick wants to record "Black Nights", and to me blues is the collective spring-board of the band, before we leap into the unknown. When we all get into playing longer sets, trying out new things, some more tunes will emerge. Until then it's a leap into the future, and we're enjoying it."
Back to the present with Mick, and 20 years on from the first Pig album, I wondered who he enjoyed listening to today?
"Well that Jeff Healey's a bit special isn't he? And even Eddie Van Halen is a fine guitarist of all styles, but the man for me – talking in terms of blues, jazz and even a touch of country – is Albert Lee without exception. He's dynamite, such a good player...I love the guy. There's also the technical brilliance of people like Adrian Legg, Jerry Donahue etc...The really great thing though is my oldest lad is now playing and he keeps introducing me to new stuff. Some of it is really interesting but I must say I prefer people like Clapton and Robert Cray to the modern school of guitar theory complete with a million notes a minute."
Clive offers his six-pence worth, and, pressed for a contemporary guitar stylist, comes up with Gary Moore.
Blodwyn Pig looks set to move on confidently into the future with a blues based style and enough influence to create an interesting and varied set. Either way it's great to see one of the major forces of the progressive British blues scene back on the boards, fit, jovial and raring to go. I left both Mick and Clive joking the night away minutes before going on stage, with Clive pondering the possibilities of counting in "Night Train", and Mick retorting, "When you learn to count well'll give you a go". Blodwyn Pig are well-and-truly back; look out for a forthcoming August tour.
Pete Feenstra
Whilst waiting for the "bluesmobilski" to be repaired, I found myself with time to kill in Croydon. The date was 31st of March 1989 and the weather was freakishly hot! "Phew", beatin' down like it's supposed to in August. I could feel it burning my scalp through the freshly mown number three haircut, so I sought refuge in the nearest record shop.
Half an hour later I was coming out of the Whitgift Centre in the still blazing sunshine with a Dave Bartholomew album under my arm when the sound of two buskers (amplified guitar & string bass) drew me like a magnet. They were thrashing out a really spirited version of Bo Diddley's 'Who do you love'. Grinning like the proverbial Cheshire moggie I dropped my last pound into their guitar case and said to myself "I feel good". (My last pound! I must have done.)
Walking back to the Skoda dealer it slowly dawned on me that the last time I felt like that was in New Orleans. For one mad moment I toyed with the idea of saving a few bob this year and going to Croydon instead, (the sun frying my brains probably) but doubted whether Croydon would sustain that feeling day and night for two whole weeks, which I knew the 'Big Easy' could.
For my exploits and first impressions of the "Crescent City" see "Blues Booze & Chuckaluck" in issue No 3 of BBR. As for this year, read on...
This year I've decided not to do a chronological piece, but if you did read last years article it goes without saying that the drunken debauchery on a daily (and nightly) basis remains.
Before we even get to New Orleans I want to get controversial and get on an old hobby horse of mine. Those of you that know me well will appreciate my attitude towards the more puristic type of Blues connoisseur (we call 'em "Train Spotters"). So before stating my full intentions and at the risk of boring, I would like to quote some of the beginning of "Blues Booze & Chuckaluck".
"It's just as well that this publication is restricted to the Blues, because to cover all the acts I saw would take a volume the size of War & Peace.
"Having said that, it would be hard for me to think of any act or artist that didn't play the Blues... especially the local performers, be they Soul, Cajun, Zydeco, R&B, R&R, or the various forms of Rock and Jazz, they all seemed able to play the Blues with feeling..."
Bearing that in mind, I'm going to really stick my neck out and cover whatever I feel like (editor's scissors permitting) whilst still trying to keep as close to the Blues (and Britain for that matter) as I can. Here goes.
O.K. "Train Spotters" prepare to ignore this article because here are some of the artists I shall be referring to that may not be in your notebooks: Johnny J & the Hitmen, Henry Butler, Ben E. King, Clarence Frogman Henry, Allen Toussaint, Jon "King" Cleary, Jessie Hill, Oliver Morgan, Dirty Dozen Brass Band, John Fred & the Playboys, Backsliders, Johnny Adams, Pats Domino, Rebirth Jazz Band, and more....
I may appear to gloss over some artists of importance but this is merely because I have covered them in last year's article and want to avoid too much repetition.
Here they are. Lonnie Brooks, Sam Myers, Anson Funderburgh, Ford "Snooks" Eaglin, Jumpin' Johnny, Luther Kent, and "Mighty" Sam McClain.
With around 500 quality acts appearing within two weeks, albeit in the same city, and even with some making more than one appearance, (sometimes several), it is still inevitable that we should miss a few, so here is my final (editor-annoying) list of those: Willie Cole Blues band, Boogie Bill Webb, Willie Tee, Henry Gray, Little Freddie King, Deacon John Blues Revue, Hezekiah & the House Rockers, Mojo Collins*, Robert Cray featuring the Memphis Horns*, Guitar Slim Jr.*, Johnny Winter, Marva Wright, John Mooney and Bluesiana, Dave Bartholomew Big Band, Silas Hogan, Rockin' Dopsie, Clancy "Blues Boy" Lewis, and that's just the relevant ones!!
The Jazz & Heritage Festival itself was pretty much as described last year but I'll swear there were twice as many punters, perhaps we caught it before it turns into a monster like Mardi Gras.
Having spent five days at the festival proper, which runs from 11am till 7pm, you can imagine the amount of space needed to write about everything we saw, so I intend to keep it selective as there are other aspects I would like to cover, such as the clubs, the city, the weather etc.
The Clubs. With about 200 venues in and around New Orleans (pronounced, Nawlins) presenting some sort of live music on a regular basis, it would take a large liquor allowance to cover them all, but I think we managed a fair selection of the R&B type.
Tipitinas, on the corner of Napoleon & Tchoupitoulas (pronounced, Chopi-toolus) is a sort of living shrine to Henry Roeland "Professor Longhair" Byrd, (and quite right too). The bill was so strong in Tipitinas that we spent four consecutive nights there!
The first one was billed as follows, Buddy Guy, Junior Wells, Lonnie Brookes and Kenny & Raful Neal. Raful didn't show but the Neal's were well represented with two of Kenny's brothers on bass & drums. Here is evidence of the power of BBR. On the strength of last years article, Jackie and I were invited backstage by Kenny Neal where we met Buddy & Junior and re-acquainted ourselves with Lonnie Brooks. So elated was I with hobnobbing with my heroes that I clean forgot to ask Kenny where his dad was. (Just call me scoop.)
Next night at "Tips" was a very different atmosphere because about twenty rows of seats were installed at the front, giving the place a concert feel. Billed as "A Piano Night" featuring Dr John, Champion Jack Dupree, and several others, the gig was in aid of the "Professor Longhair Foundation". As mentioned earlier Jack Dupree did not perform. Third man on was that boy from the deep south (Kent) Jon "King" Cleary, who really woke up what at that point was a flagging show. Jon tore the place up so much I began to feel sorry for whoever was on next. I needn't have worried, Henry Butler, a Jazz musician, sounded to me like a cross between Scott Joplin and Tchaikowsky and had the audience spellbound. The whole evening's musical theme was N.O.L.A. (pronounced, Noz Awlins Loo-ee-zee-anna) and Henry played some surprisingly tenuous ones, like "Old man river" and "You are my sunshine" which was composed by a former governor of Louisiana, Jimmie Davis. Now, "Train Spotters" are probably wondering why I'm reporting about Henry Butler and I must confess that I was going to have a bit of fun at their expense by pretending that he deserved a mention here because he's black and blind!! But then he went and spoiled the joke by playing the Blues, and I mean Blues. So believe me when I say that Henry Butler is a major talent, not just as a pianist, but also as a superb vocalist, and he should not be ignored for ANY reason.
The following night at Tipitinas was a live recording session entitled "BLACK TOP BLUES-A-RAMA 89" and if you want to know what it was like, just buy the album when it comes out. Here's who played, and for only $10. Anson Funderburgh & the Rockets, Ronnie Earl & the Broadcasters, Earl King, Snooks Eaglin, Sam Myers, Hubert Sumlin, Ron Levy, Bobby Radcliff, Grady Gaines, James "Thunderbird" Davis, Joe Medwick, Big Robert Smith, & Joe Hughes. We only managed to see about eight or nine of these acts so, for all I know there could have been more.
The fourth consecutive night that we spent at Tip's was another good one featuring Roomful of Blues and The Dirty Dozen Brass Band, a local act who should at last receive deserved wider acclaim having recently recorded with Elvis Costello. An unusual guest with the Dirty Dozen was Mr Bones, playing (you guessed it) the bones. Mr Bones is famous for having played with just above everyone from Bob Dylan downwards. (Or upwards, depending upon your view.)
That was four nights at one club, and now for four clubs in one night! But first the piss-up. There was a barbecue at the hotel, and not having learned their lesson from last year, the beer was free again! A very foolish thing to do with one Witcher about, never mind two. So this year I thought we'd teach them a real lesson by inviting a couple of locals as drinking reinforcements. I use the term "locals" loosely because Ben Maygarden, singer, harmonica player, former and future contributor to BBR, lives in New Orleans and has been working in the Tulane Jazz Archives, is originally from Virginia. And Carl Leyland, pianist, currently trying to settle in N.O. is from Southampton, (yes, the one in Hampshire U.K.). There was a 50's New Orleans style R&B disco at the barbecue, hosted by Duke-A-Paduach who I had just been listening to on radio WWOZ (a pre-recorded tribute to Bobby Mitchell). It took us till about 11.00pm to polish off the free beer and Jackie was the first casualty (retired drunk) of the evening. First port of call was a club called the Maple Leaf bar, where I saw one of the best cajun/zydeco bands I'm ever likely to see in Fernest Arceneaux & The Thunders. Then we went to see Spencer Bohren, a folk/blues singer/guitarist who called up several guests, one of which was Mr Bones. A short chat with Mr Bones and his friend (a harp player) revealed that they are acquainted with my old mate Sammy Mitchell (now living in Denmark). Small world innit. This all occurred in a bar/music club called Carrollton Station which sells beer in English pints, and I fear this was my undoing because although I remember seeing the tail end of the Radiators at Tipitinas there was a venue we visited between there and Carrollton Station that remains locked in the dead cells of my memory (perhaps Ben will remind me in his next article).
One venue we never got around to was Blues Ally, which you may have anticipated has a Blues policy. It seems to have a reputation as a "dive" but Ben assures me that this is merely because some of the regulars have no teeth and don't shave very often.
Jackie and I had a good evening at a bar called Benny's even though Benny's IS a dive. And I mean dive. Nothing more than a shack, this place makes the Hare & Hounds, Islington, look like the Ritz!
The Economy Bar is a large warehouse with a bar in the corner and no stage, the band sets up on the floor in another corner. The band we saw was Johnny J & the Hitmen, a 3 piece specialising in the rockabilly end of RnB. They have already toured Scandinavia, so it probably won't be long before we see them here. The sparseness of the venue allows maximum space to squeeze punters in, (a few hundred easily) but there is only one W.C., which is used exclusively by females. Males use the parking lot next door (there generally seems to be very relaxed hygiene regulations in N.O. establishments). Muddy Waters is a club run by an Australian, a nice clean club with good food etc, and we patronised it several times seeing a wide range of acts including The Backsliders, (featuring Ben Maygarden) Walter "Wolfman" Washington, (reacquainting ourselves with "Mighty" Sam McClain, drinking on a rare night off) and J. Monque'd who I last saw at the Cricketers, Kennington Oval, about eight years ago.
That was some of our nighttime musical activities, now for some daytime ones. A late night drink (4am) in a bar hosting a jam session, (Jazz) resulted in being told by a local tuba player about a jazz funeral at 10.30am. The address was in an area that we had been advised to avoid, therefore, slightly hungover and trying not to look like tourists, (no cameras, bags or tell tale motif T-shirts) we set off. On the way, a dude walking in the other direction came straight up to us and said "Hey, there's a really good jazz funeral goin' on down there" and proceeded to give us (short cut) directions (so much for not looking like tourists). We caught up with the funeral and joined the second line for a couple of blocks. At the end of a side street the band came to a halt and split into two halves, one on either side of the road, (pronounced, pavement) and the second line stood behind them on the pavement, (pronounced sidewalk) the party atmosphere temporarily disappeared as the band (Rebirth Jazz Band?) played a really slow dirge whilst the hearse and cortège "marched" past. As the hearse car drove slowly through the parade, various friends of the deceased (second liners & musicians) came forward and by way of paying their last respects, stroked, patted or kissed the vehicle before it sped away to the cemetery. Then the band went straight into top gear and with umbrellas waving and everybody dancing, suddenly it was party time again. At that point Jackie saw the tears rolling down my cheeks and asked me if I would like to leave. "Your bloody joking! I wouldn't miss this for the world!" Probably because of the sudden mixture of emotions, I can safely say that it was the most moving experience of my life so far. But there's more. Everybody moved out into the main road, taking up all three lanes and backing up the traffic to who knows where. The band marched and played and we all danced along with them. The arrangements seemed to be timed to perfection for certain breaks that occurred requiring us (pronounced, y'all) to leap in the air and shout as we travelled under an echoing underpass. We stayed with it until we hit the edge of the "projects" (pronounced, ghetto) and I noticed that the other half dozen white faces in the crowd had disappeared. Suddenly I felt like a spot on a domino, (even my wife is Afro English) so we dropped out at that point, watching the procession disappear and marvelling at the enormous and enormously respectful traffic jam that timidly followed.
What we witnessed is unique to New Orleans, and even people that have lived there for decades have not had the same privilege, so I don't know who died but I shall be eternally grateful to him/her for the experience.
One afternoon we tagged along with a bunch of Brits going to see Sea-Saint studios. Piling out of a couple of cabs we strolled up to the door and were surprised to discover that we were not expected, and even more surprised to be warmly invited in, served coffee, and generally fussed over. (Southern hospitality.) I got chatting with a local soul singer, now turned D.J. called Lee Bates. I must confess that the name didn't ring a bell, but luckily one of the Brits was a "Train Spotter" who along with his cameras, video recorder, tape machine and who knows what else, had a copy of the N.O. RnB bible, (I Hear You Knockin' in' by Jeff Hannusch) and Lee turned out to be the lifelong friend and partner of Chris Kenner, (my hero). While engrossed in conversation with Lee, out of the corner of my eye I saw someone that did ring a bell, Allen Toussaint had just walked in the room and Jackie was acting strange, (her hero). He had just popped in to make sure that we (uninvited strangers) were comfortable, (more southern hospitality). Then we met Marshall Sehorn who enquired as to whether we might be able to deliver some hickory wood to Paul McCartney. (It's a different world, innit?)
Now for some of my personal highlights from the 20th New Orleans Jazz & Heritage Festival, (pronounced, the Fest).
One of the first acts we saw at the Fest was Tabby Thomas & Blues Box Revue. As with Bo Diddley last year, I had seen Tabby in England (backed by British musicians) and here was my chance to see him perform on his home turf. Blues Box Revue is named after Tabby's Baton Rouge club, Tabby's Blues Box & Heritage Hall. Tabby's sound was not dissimilar to his English gigs (all credit to the Junkyard Angels) apart from being bigger, with the addition of harmonica & sax. Definitely different though, was the sexual orientation of the drummer, and a depth of guest artists including guitarist Will Jackson who sang Lonely Teardrops, and W.W. Woodfall, who interestingly combined the "down home" style of singing with the "jump blues" style of song, i.e. Shake Rattle & Roll, and Flip Flop Fly.
On the same afternoon we saw Katie Webster, twice! First in the Music Heritage Tent performing solo at the piano, giving musical interjections to Ice Cube Slim's lecture on her life/career. We were treated to a wonderful diversity of styles, of which the highlight for me was her tribute to Otis Redding. Less than an hour later she was on the WVUE Burger King Stage dancing about in front of a big band, screaming soul and shouting the blues.
Once a frequent visitor to Britain & Europe, Cousin Joe is a frail looking 82 now, but the moment he sits at the piano, he's 30 years younger. Still delivering those clever lines with brilliant comic timing, he had me in fits of laughter once again. Due to the fact that I owed him some royalties, I had the privilege of meeting Joe after his set and he seemed pleased to receive the money.
On the same day as Cousin Joe, we saw the aforementioned Buddy Guy & Junior Wells, and Lonnie Brooks. Also, Ben E. King did a similar dual performance to Katie Webster the day before.
On the first Sunday of the Fest, we arrived a bit later than planned, and made a beeline towards the Ray-Ban WWL-TV stage where Bobby "Blue" Bland was due to perform, but we kept getting drawn like magnets to various tents and stages en route. First we were drawn to the Music Heritage Tent by the Mississippi delta blues sound of James "Son Ford" Thomas which took me back about twenty years to when I played on the same bill as Son House. As we left Son Ford I was wondering how many other old guys were still playing in the original authentic style, when from the tent next door came the melodic ragtime blues picking sound of John Jackson. We finally made it to Bobby Bland but we were a long way from the front; nevertheless, the band sound was still excellent, but I felt that he went a bit over the top with his (trademark) snort or whatever it is. (Sounded like a chunder from where I was standing.) After that we took in a bit of Zydeco from Boozoo Chavis who, unlike most music served up as Zydeco these days, (R&B with accordion) is the real thing, and I haven't heard anything like it since seeing Clifton Chenier at the Albert Hall in 1969. All this fell logically into place when I learned that Boozoo Chavis gave up music for twenty years to pursue his other love, training race-horses. Lets hope somebody brings him over here, with his great band.
Next we moved to the WVUE Burger King Stage where we saw the whole of Clarence "Frogman" Henry's set. Instead of playing piano, he spent most of his set "fronting" the band and giving us a solid hour of New Orleans hits, (a lot of them his own) during which he pointed out and named what seemed like half of the massive crowd, most of whom were his relatives but even if they weren't he knew where they lived, naming several Europeans from Germany, France, and "There's Paul Harris from England" or "I know you, you're that bad cat from the Ninth Ward". He even managed to get a policeman to dance! All in all a good humoured and enjoyable hour.
Blind Willie's is a blues club in Atlanta, Georgia; named after Willie McTell, Blind Willie's Blues Revue featured some of the leading blues artists from that neck of the woods and guess what? I missed nearly all of it, and can't tell you a thing about it except that they finished on a great version of "Sloppy Drunk" that made me quite homesick for the Carnarvon Castle, Camden.
The second weekend of the festival was reduced to two days due to a cyclone on the Thursday night which blew the stages over and blew away the tents. Limited space here restricts a full weather report, but if you buy me a half (pronounced, Pint) I'll tell you all about it.
Meanwhile back at the festival John Lee Hooker and the Coast to Coast Blues played to a BIG crowd on the RAY-BAN WWL-TV stage, but I have to admit to enjoying more the Reggie Hall Band on the Y96-FM stage, who played to a much smaller crowd.
Fronting Reggie's band at various intervals were Jessie "Ooh Poo Pah Doo" Hill, Oliver "La La" Morgan, Albert "Dog Man" Smith, Li'l Sonny Jones & Chairman Neville, among others.
Last year I bumped into Diz Watson in the WWOZ broadcasting tent, and this year it was Jon Cleary in almost identical circumstances. Jon was there with Snooks Eaglin who he had just finished a set with.
The obvious candidate for the final set of the final day was Fats Domino, who gave his usual consistent best, but earlier highlights of the day for me were Johnny Adams, (The Tanned Canary) whose voice defies belief, Allen Toussaint, and John Fred & the Playboys. John Fred, born in Baton Rouge was raised with and is deeply in love with New Orleans Music in particular, and R&B in general, which was obvious when we heard his set, (obligatory hits excepted). As he was thrashing out a really spirited version of Bo Diddley's "Who do you love" I said to myself "I feel good", then it slowly dawned on me that the last time I felt like that was in Croydon. For one mad moment....
BURNLEY 89 THE FIRST OF MANY?
By Brian Smith
If the Mechanics Institute of a Northern English industrial town seems an unlikely setting for the finest Blues Festival seen here in many a year, then the Leisure Services Department of the local Borough Council is perhaps no less unlikely as a promoter.
In my ignorance, I discovered Burnley Mechanics only a year or so ago. Despite being brought up in nearby Manchester, Burnley remained one of those small towns I had visited only through 50's football, so the image I had retained of it was thoroughly undeserved and outdated. Even though I had seen ads in recent years for the Mechanics, I actually thought that this was a Pub!
I couldn't have been more wrong and trips to see the likes of Louisiana Red, Carey Bell, Ted Hawkins and others have shown the Mechanics to be the culture centre of the region. The range of musical and other artistic activities, concerts, recitals and workshops available seven nights a week is astonishing. In fact, the more I see of places like Burnley, it is clear that the smaller towns are leaving behind many of their larger city neighbours in this respect; whether this results from more men of vision or budgetry constraints I leave to the politicians and economists to resolve.
Anyway, it was against this background that Gary Hood decided to organise what was ambitiously called, from the outset, the FIRST Burnley National Blues Festival. Where others had failed financially, even with one-nighters, he and his team simply went out and got the necessary sponsorship and lined up a varied and impressive array of talent, from American Blues legends through to home grown pub bands.
Blues Festivals are however a lot more than a series of unconnected concerts. They are an occasion where like minded people can meet to see a wide range of different types and styles of the blues. As such, Burnley this Easter was a resounding success on just about every level. Every night we had over four hours of music from up to four good acts, all for only five or six quid. There were workshops and master classes, record and instrument fairs, lectures, many free performances in the bars and even buskers outside. The whole weekend was an object lesson in quiet, efficient organisation, with helpful smiling faces everywhere, effective but totally hassle-free security (larger venues please copy), excellent sound and lighting, all rounded off with good beer, good food and accommodation all at refreshingly non-rip-off prices!
So much for the setting and presentation - now to the music. Day 1 of the Festival opened with a bang, with a typically storming set from the incomparable Big Town Playboys. This band have to be the most authentic purveyors of 40's and 50's R and B since the original artistes themselves were performing the songs. Close Your Eyes and You Are There! Outstanding musicians and, in any other field, Mike Sanchez would be a superstar - what a performer!
Next on was Little Willie Littlefield, in terrific form with his usual infectious blend of blues and good humoured, good time boogie. First on his own, with classics like "Let the Good Times Roll" and "Stormy Monday" and his own "Cheerful Baby" and "Once I was Lucky"; then back came the Playboys to accompany him (totally unrehearsed, though you'd never have known it) on "Going Down Slow", "Good Rocking Tonight", "Honky Tonk Train Blues", "KC Lovin'" and a lovely "Shake Rattle and Roll" with Willie and Mike Sanchez alternating at the piano with never a note lost. Welcome encores (including Willie playing the piano with his shoe) brought a great night to a close. Surely this couldn't be bettered? It could!
Day 2 opened with breakfast with the Littlefields, then on to the first of the freebies in the bar, with a solo performance from Sanchez, doing some of his Playboys material plus instrumental boogies and even a thundering boogie version of "Spanish Eyes".
Then a stroll round to the hotel where we'd heard Fenton Robinson had arrived. He turned out to be asleep so we sat having a jar when Champion Jack Dupree walked out of a lift and someone shouted "fancy a beer Jack?". Without even looking who was calling, Jack shouted back, "Not beer, wine!", sat down and nattered non-stop for over an hour as though we were next door neighbours. A wonderful set of yarns - some of them probably even true! (Watch "Blues and Rhythm" later for more on this).
The night's proceedings kicked off with the always excellent Jo Ann Kelly. I have loved her, Man and Beast for twenty years since someone tricked me with supposedly a Memphis Minnie record (he'd even added scratches!) and she's lost none of her power, even though her voice has mellowed a touch. Raphael Callagan joined her with some nice sympathetic harp on several numbers.
Then it was back to the Playboys - a similar set but, if anything, even more into their stride. I hear Ace are about to remedy the barely credible lack of recorded material from this band.
After becoming one of the real hits of the entire weekend, the Playboys also backed the second set from the night's top of the bill, Champion Jack Dupree. I last saw Jack in about 1970 and the afternoon's chat and his appearance before going on stage showed that he was physically pretty frail - now in his late 70's, how would he be on stage? Forget all doubts - the years melted away and the old voice, the piano attack and the wonderful dry humour were all there in abundance and he was, in fact, as good as I've ever seen him.
After a lovely solo set, with the likes of "Too Late Blues", "Junkers Blues" and "Mean Old Frisco", he too was joined by the Playboys. Like Willie and other piano men now used to playing mostly unaccompanied, rehearsal is pretty pointless (as well as usually impractical on this time scale) so it is a tribute to Andy Silvester and the lads that they blended in so effortlessly. A terrific set, including "Low Down Dog", "Drinking Wine", "One Scotch, One Bourbon, One Beer" plus yards of others, many of them hybrids and ad libs from his long career, but none the worse for that. At that age, he could realistically retire at any time, so you've got to feel privileged to see the man on such good form, for what could always be the last time. Wonderful stuff.
I couldn't make Saturday and by all accounts missed a splendid "party night" with Otis Grand and the Dance Kings.
Back on Sunday afternoon for fascinating workshops with Steve Phillips and Johnny Mars, with Johnny demonstrating his full range of special effects. He did the same that night with his now very slick, entertaining act, accompanied by a predominantly rock-based band of top class session men including the excellent Ray Fenwick. The highlight for me was probably "Born Under a Bad Sign", though the masses loved every encore including a version of "Amazing Grace" straight out of "Journey Into Space".
Before that we'd had an excellent set from Steve Phillips and Brendon Croker and the real surprise of Day Four, the new Kevin Brown band. Always competent and entertaining, his tour with Joe Louis Walker has apparently put the last brick in the wall. There was more than a touch of Joe Louis in his excellent act, without being in any way derivative, including a (self penned?) fulsome tribute called "Joe Louis" as well as "Talk To Me Baby", "High Ground", "Melt Down" (with great slide) "Don't Quit, Just Do It", and some well deserved encores. Well worth looking out for (and he clearly remembered his earlier BBR review, too!).
The final evening's concert was kicked-off by the ever-improving Norman Beaker Band and then a thoroughly entertaining Country Blues and Gospel spot from Hans Theesink, including songs drawn from Broonzy, McTell, Sam Chatman and Robert Johnson. He has a good strong voice and a very aggressive guitar style (with some particularly fine slide work) and the handsome sod caused a few female flutters around where I was sitting!
So to the climax to the weekend – Fenton Robinson again. He did two spots accompanied by the Beaker Band, the first for the TV, then a longer one. The afternoon's class had perhaps lived up to his "Mellow Fellow" tag rather too well and had been a bit on the jazzy side. The night was something altogether stronger with a very satisfying soulful voice and some terrific guitar in the T-Bone Walker mould. Indeed, he did T-Bone's "Stormy Monday Blues" (nice) as well as a wide range of songs taking in his own material like "Somebody Loan Me a Dime" (though regrettably for me perhaps not enough of his old Duke sides) as well as the likes of "My Girl" and Sonny Boy Williamson's "Help Me". After the barnstorming of the previous days, this was a pleasant mellow end to the most enjoyable weekend I've spent in a long, long time. There will surely be more.
May I be permitted to add my personal thanks to Gary Hood and his Press Officer Ashley Bramwell for access and facilities extended to myself, which were absolutely unparalleled.
Brian Smith
Postcript
Sorry to end on a slight "Down", but the Granada documentary of the Festival, since seen (only in the North so far?) was pretty unsatisfying. Though beautifully FILMED (film is invariably warmer than the usual harsh video we tend to get these days), had it been the first of two one hour shows, I would not have argued over much. But in including some of the footage at the expense of some incredible omissions, the editing was inexplicable. The programme already imposed its own limitations by only covering the first and last night. It then dwelt on the harmonica championships out of all proportion, even including an additional song, performed in a bar and seen by no-one but themselves! None of the Fenton Robinson Master Class (though part of it was filmed) and in deciding to show only one of his songs from the concert, they sloppily chose "Stormy Monday", which Willie had only sung five minutes before! Most astonishing of all was the total omission of the biggest single acknowledged hit of the entire weekend, The Big Town Playboys. Rather a wasted opportunity then, unless they can be persuaded to show some of the actual individual performances in separate shows. Get writing!
"No Rattlesnake Beads"
Lucky Lopez Evans talks to John Wilson
It's curious how reputations are made. It doesn't seem to matter which areas you look at, there are puzzles. Football, cars, music you name it, there are grossly over-inflated reputations (Butch Wilkins and the Volvo P1800) and the undervalued (John Gregory and the Panhard Tigre?).
Picking out the overestimated is relatively easy, although sometimes surprising – try playing the Presley and Little Richard versions of Tutti Frutti back to back. No contest.
All of which brings me, in my own roundabout way, to Lucky Lopez Evans, currently on his second UK tour. Hearing him play quickly establishes him as one of those bluesmen who clearly deserves, and is probably going to get, an even wider following.
Lucky was in Brighton, my home town and base for Dave Minns who's setting up the tour, staying with Frank Doubleday of The Snakemen, the group providing the backing over here.
Now I don't claim to be an expert, but I have been a blues fan for... well ever since a reasonably early Cyril Davies gig. Lucky Lopez/Lucky Evans were names that I associated with Howlin' Wolf and I admit that I wasn't too sure as to just how many bluesmen they covered. Before I went round I had a look at my Wolf albums for guidance, the three with sleeves that is, no mention. So, uneasily ignorant, off I went.
Lucky is a very easy man to talk with, relaxed, quiet, alert and with a sweet sense of deadpan humour. His early years are almost a Chicago Bluesman's prototype. Born in Mississippi in '37, nine miles north of Harrisbury in a town called Estabudine, he went up North to Wisconsin to stay with his eldest sister when his mother died. His father, a farmer, was also well known locally as a guitarist – "he was pretty good too" playing picnics and fish fries – and moonshiner.
Lucky played trumpet and french horn in the school band, but didn't really switch from being a music fan to being a musician until he joined the army in '54.
In the 7th Division there were some C&W musicians, and Lucky played some USO concerts with Ernie Bradshaw and, later, Lowell Price.
"After the army I went back to Milwaukee and then back down to Mississippi. I had an old busted Gene Autry guitar, but it was good and loud. I remember a guy in the Haymarket in Milwaukee told me to put some rattlesnake beads in it to make it sound better. I looked around some, but I never found any."
After working in a sawmill, Lucky signed on with the circus, not playing, putting up and striking the big top. At $1 an hour casual or $24 a day room and board it seemed too good to miss. So he stayed on.
Come pay day he found that the money wasn't that good after all; two dollars a day was the rate after adjustment. So with $3.65 he quit. "At the bus depot I found that a ticket back to Mississippi was 19 dollars, so I went back to the Circus and saved. We were heading South through Florida and each week I was farther from home, and I never had enough for the fare. I made up a shoe shine box and was shining shoes for extra cash. That was in winter quarters at the Winter Gardens in Florida.
"I was making more money, and spending it – bought a real sharp suit – I was travelling around – not too worried
about getting home – I got so I was content to stay with it. I was starting to work with the Lion and Tiger act, I was helping drive them back down the tunnel after the act was over. Clyde – it was the Clyde Bee & Co Circus, they later sold out to Ringlin’ I think it was – anyway Clyde decided I should have a go at the training. Real easy it was, most of the time. Then one night I was driving them back down the tunnel. There was one tricky one, and he got behind me, and I was trying to get this big lion off the stool. The sonofabitch behind me made a move and started making a noise and the other came off the stool and pinned me to the bars of the cage. Clyde had to shoot him right there – and that was the end of taming.”
Lucky left the Circus and met up with William Boyd out of Peoria Illinois, a trick horse rider. They lived out in a trailer on the Wintergardens Racetrack at Orlando and started playing C&W round the local Hillbilly joints, or anywhere else that would pay.
“He had a big nice convertible, a ’52 Buick I think it was – anyway it was a real nice car. He had flair you know?”
Trouble came when some locals got wound up about white women visiting the trailer. Boyd was white but “Folks started paying attention. We were just living loose. They didn’t like that. I came back to the trailer one time and it was wrecked. By this time we had the trailer out on a piece of farmland. I saw the farmer and he said that I’d better get out. I figured that I couldn’t do anything for Bill, some of his women would’ve helped him. I got out. I figured somebody Klu Kluxed him, or he was in jail, something bad.”
After another spell up North, Lucky went back to Mississippi and joined the Rhythm X Band, meeting up with Martha Strudeman who joined the group as a pianist and singer.
“We got on real well – I was a player in those days. She gave me a real nice Silvertone guitar for my birthday – the first good electric guitar I ever had.”
Lucky had got himself a wide range of experience, playing R&B, Be Bop, C&W – “I’d play anywhere anyone wanted a singer, guitar player. See I don’t really consider music as a profession. I never decided to play for a living, I just sort of found myself doing it.”
He went to college for a while and believes it helped him a lot. “I learned more about the theory and it made me able to do more, I could compose after that.”
When he was 28 he left the South, went to Chicago, got married and met Howlin’ Wolf. “I used to go the Silvio Nightclub on Lake and Holman out on the Westside of Chicago. I went out there one night when Wolf was working. He was sitting on the front of the stand. I’d never seen him before. I’d paid $2 entry. I just wanted to talk to him. I asked him for a tune, and I asked him to howl and he said ‘I don’t feel like howling’. He wasn’t feeling too good and we talked and then he asked me to sit in and play and sing. ‘I’m going to sit down and listen’ and he did. And he really didn’t feel good, you know he had about six heart attacks in all?
“I considered it an honour and things just went on from there. I had no guitar again and so I had to buy a guitar but he was paying me double set because I was singing and playing. Hubert was going to teach me to play like Wolf, but I couldn’t hook it up. Everytime there was variations – that’s when I decided to go to music school. I was with them for seven years.
“I’ve heard the stories (about Wolf’s reputation for a quick and effective temper) but never seen any of that. He was a good man, good to me. Always paid good. I used to be up at his house and we’d go hunting or fishing sometimes. There weren’t nothing.
“Mind you there are some real dumb cats. Like Wolf was big – he took a size 15 shoe. You’d have to be pretty dumb to take up with that. He’d tighten up if someone messed up a set. If after two or three numbers and folks had paid to see you and things just don’t sound good I’d tighten up myself. Wolf was a serious fella. He was a thinker, within himself a great deal. If you don’t have no death in your personality you lose meaning, lose reality. You’re turning your performance into a show.
“Anyway, then I was in hospital for six months with TB and I got replaced by Eddie Shaw.”
I asked him why he didn’t go back to the band after he’d recovered and he replied quietly “Well I was the best thing that happened to that band, I was
really jumping. They didn't want me back." Then, realising how that could sound, he added "I'm not bragging, but I think it was my lifestyle, I LIKED to be good – I'd steal the show. So from then on I had no choice, I formed a band and we went off to California.
"We thought we were going into Hollywood, but we ended up playing the little smoke holes for five dollars and so it was back east again to Chicago. I was always ready for the road. Anytime anyone was getting something together, I was ready. When we went to California we has a lot of sleeping out. We had a big old bus you know, like a school bus and we sort of filled her up on the way. We picked up hitch hikers 'till we were full. One time we just parked and had a party, and some of the people passing saw us and stopped and joined. It was getting to be really big when the Highway Patrol finally broke it up.
"Anyway, California in those days was nearly all jazz and C&W so we weren't going to do that good anyway. After that I moved back to Wisconsin. I preferred the life style anyway, more relaxed."
Just about that time there was a short partnership with Sonny Boy Williamson (the second) in a club. They had first met much earlier, when Lucky had had a paper round. Sonny Boy had hit him for a quarter. "I was out by Mr. Lee's Pool Room and he was playing up at the Playboy Lounge on 12 and 19th. I didn't know then that he was that kind of drinker. In the sixties I ran into him and Buddy Guy and they drink a pint of gin a set – straight down, each set. I sat some with Little Walter over at the Red Onion Club over on the South side and Freddy King – that was the High Heaven time."
Lucky doesn't get down to what's left of the club scene in Chicago these days. "Most of them don't use bands. They have DJs or just a juke box, boogie heads. There are places where there's something going on but I don't fret none. If I go to a club, I like to get paid."
His current tour is something he's really enjoying. The people are coming in numbers and enjoying themselves and he's particularly happy with his support group, The Snakemen, so much so that he's trying to arrange a recording session and subsequent album.
Lucky's currently using an Artist guitar. "Probably the best I've ever had. It holds a line and does a good job. Before that I had a S G and then a Firebird. Now once I had a Jaguar but someone stole it, a real Fender Jaguar, I couldn't afford it then, and I couldn't now but I'd like to find a real authentic one." The loss of the Jaguar clearly rankles still.
The first guitar, the Gene Autry was no accident, for Lucky always was a C&W fan as well as a bluesman, as happy talking about Johnny Cash or Ernie Ford as much as Percy Mayfield or Jimmy Reed and while we were talking Frank Doubleday had put Lucky's "Chinamen's Door" album on the machine. This was helpful, since I haven't heard Lucky play live and can't recall having heard him on record before. This is probably the only one of his records that you can buy easily over here currently, but another is due to be released later this year, having been recorded just before the start of the tour. I was away for Lucky's last tour and am still trying to work out how I managed to miss the last Brighton gig. However, I'm in luck in that I will be at the Zap Club in Brighton on the 18th of July. Having heard the album, and met the man, I just know it's going to be a good time.
---
**LIVE REVIEW:**
**BLODWYN PIG**
at Woughton Centre, Milton Keynes.
Many, amongst a remarkably diverse audience, wondered just what to expect from this revamped, late 60's, semi-legendary outfit. In truth after two numbers the course of the evening had been clearly outlined by some fierce, virtuoso, duelling between the powerful Mick Abrahams on guitar and the subtle jazzy textures of Dick Heckstall Smith on soprano and tenor saxophone.
The Pig opened with a rip-roaring "Know It's Only Love" from the first album, and received a tremendous reception. The band hit the solos early to blow away any cobwebs, before Abrahams headed for his preferred blues domain, mixing Larry Williams with Big Bill Broonzy and a surprising Alexis Korner composition "I Wonder Who The Next Fool Will Be".
The band, with Andy Pyle and Clive Bunker laying down a fierce back beat, almost intuitively slipped into some bluesy jams, before taking the set up a pitch with a well-received guitar tour de force "Cat's Squirrel". This old showstopper has jettisoned some of the drums for a mid-number country blues interlude by Mick Abrahams on his own. The interlude nicely offset the thundering tenure of much of the set, and Blodwyn Pig managed to get everyone on their feet for two hugely enjoyable encores. Comebacks often disappoint, but this one was hugely enjoyable and augurs well for the future, as a talented band looks set to reclaim its place on the Euro circuit.
*Pete Feenstra*
---
**UNAMERICAN BLUES ACTIVITIES**
*Bedrock Records BED LP9*
Produced by erstwhile blues aficionado Mike Vernon this interesting compilation record from Bedrock records takes a great step in re-establishing a credible roster of British live acts.
For too long now several talented bands and individuals have had to put up with being mis-labelled as purely pub rockers. The truth of the matter is that although many of the featured bands can be caught in a pub, the reason is down to a pitiful lack of purpose-built venues, especially in London. That said, not all the featured artists represent the best in their field, but at least they do collectively represent the diverse nature of some of the current bands on offer.
Funnily enough it's a blast from the past that opens side one. Chris Farlow is in surprisingly good form on a funky work out, "Don't talk to Me", whilst the much touted Blues & Trouble clatter along like a contented train on a rolling blues number, which suggests a piece of contentment rather than inspiration.
The Balham Alligators offer two examples of their rock-and-roll-influenced Cajun, whilst Roma Pierre just fails to cut it on two tracks, which suggests she has some way to go before she can do so in an intuitive manner which might stop people in their tracks. Newcomer Mick Pini from Leicester, offers a couple of refreshing highlights with two highly original funky blues workouts. I just wonder how his clipped guitar style sounds over 40 minutes rather than on just two tracks.
Guitar freaks will find themselves admirably catered for by the abrasive Mick Clarke Band (who contribute two tracks) and also by the very interesting UK Blues Buster's. The latter number ten personnel and sound for all the world like Peter Greene.
With further efforts from the jaunty Red Hot Pokers and a rather introspective number from Juice On The Loose, this Un-American Blues Activity augurs well for the future and I hope the producers come up with volume 2.
*Pete Feenstra*
The Downliners Sect
The Band From The Sixties
During the early sixties, many bands sprang up in and around London, following the lead given by Chris Barber, Alexis Korner and Cyril Davies, so, for a while, there was a healthy club circuit where R&B could be heard. Among the groups gaining a following and some commercial success, were The Downliners Sect. One of the founders, Don Crane, whose real name is Mick O'Donnell, had been in a social club band, The Vigilantes, before joining up with Keith Grant in an early version of the Downliners Sect.
Keith got a phone call from Don's father, whom he already knew, and was invited to join Don.
Keith: "The funny thing is, I was playing drums at the time – and I played guitar – but I'd never really got into bass, because this other fellow in the band was so good, I got the invitation to go over and have a meeting, so I went, and Don asked me whether I fancied playing bass and I said yes okay, and gave it a go from there".
It was already known as the Downliners.
Don: "I was starting to get into ritual magic at the time and as for the sect bit, you could see that, like a good religious ceremony, a good bit of rhythm and blues made people really happy and forget all their troubles, without any morality being involved. We just found we had quite a few things in common, interests and horror movies, whatever, searching out all these obscure strange horror films, 50's black and white, you know tack of the 50's, stuff like that. I think I had John Sutton in the band. I'd already sacked the previous drummer. My mother saw this guy pushing a Boys' Brigade cart, with a big drum on it, past the house so she rushed out and said 'Can you play that thing?' When he said yes, she offered him a gig that night. John Sutton was a trainee butcher at the time and he was just about to qualify and I talked him into turning professional and giving up his career. A fortnight after that I sacked the singer and the bass player and John was getting worried, which is when Keith entered to save the day.
"We got this character, Melvin in. He was a fine lead guitarist but unfortunately had designs on becoming a doctor so when university cropped up he had to leave, which was unfortunate because we were doing really well then.
Don, who was just about seventeen at this stage, had started off at fourteen, playing the two l's coffee bar. One of the new band's first gigs was at the Flamingo, working for Rick Gunnell.
Don: "What gave us the best break of all was when the Stones were going on their first tour – they were second on the bill – and for the first time since the Pantiles in Tunbridge Wells. He was great and I've never heard anyone else like him. He's one of the fastest guitarists that I've ever come across. Terry joined and Keith used to play harmonica. After a while, each time we played the 51 there were strains of another harmonica coming from the back of the hall so we eventually asked the guy to join us, That was Ray Sone."
They recorded their first EP at Studio 51, Night in Great Newport Street (this is about to be reissued in Germany). They left the Gunnell agency and went on Malcolm Nixon's books, with Long John Baldry, Jimmy Powell and the Dimensions and Manfred Mann.
Don: "So all of a sudden this Swedish guy asked if we'd like to play in Stockholm for something like £150. We thought this was great as we were on £40 or £50 a night. We'd already recorded for Columbia and had got to 29 in the charts for a fortnight. We'd already done 'Baby Whats What' and we'd just released 'Little Egypt', that was hovering about 49 in the trade papers. When this guy came into the club we didn't know who he was, just another Swede. He came and started talking to us; he asked if we'd like to go to Stockholm and we said yes, so it was all set up – unbelievable you know. It began to look suspicious when we got to the airport and there was a charter plane waiting for us booked for The Downliners Sect and support. There was a chick band called The Dollies Sound Inc. and somebody else supporting us and we got £150.
We played the ice hockey stadium and when we got there this place was massive 30,000 people waiting to get in we knew there was something up and there was about 500 screaming we had the whole police escort. 'Little Egypt' was going up their chart. We were in the top ten and going out for one hundred and fifty quid; but the experience was phenomenal. We haven't been in the top ten since - and definitely not for £150. We spent a lot of time in Sweden. We did a decent six week tour which was a classic - nothing went wrong. The guy assessed how good the gig was by the number of broken seats and everything went perfectly, in fact its probably the only tour that did before or since...there's always been a problem.
They made a couple of albums including a live one and a country album, but this caused a few upsets in the band. A rock and roll album followed, then soul music started to arrive. From the Downliners point of view there was nothing to be gained in using saxes and keyboards seriously.
Don: "We saw no point in bringing saxes in, though we'd done it on the old records, jokey records. There were other people doing it a lot better, like Georgie Fame, and everybody was doing it infinitely better and they always have done. Alexis used to take the trouble to find out what was happening in America. Although we didn't realise it, we were about five or six years behind what was happening in the States, so in 1963 Alexis was bringing in saxes and he had Graham Bond and Dick Heckstall Smith and people, but we didn't bother with all that and then it was too late. We had an image as The Downliners Sect. We didn't lose gigs, we were still working, but there was nowhere to go...there was no direction...it was stay where you were. When you stay where you were, you go backwards, so I split the band up and told everybody that that was the end of it. Keith claimed he was leaving to do something else, Terry and John actually did leave. I formed a new band immediately and Keith was back in it and we cut a single for Pye under the name Don Crane's New Downliners Sect. We used that name for about six weeks then it became The Downliners Sect again. There was sort of hippy element...there was a very strong mod element...and there was a soul element...and it hadn't quite coalesced. We jogged along for about a year and got the odd complaint about not being the original band but a lot of people liked it."
By 1967, Don was getting involved in Celtic music after a Swedish tour which went wrong, due to accidents with hire vehicles and an expensive court case. He and Keith had been running the band and paying the musicians wages. Don decided to quit and Keith continued for a year or so. Don started playing at folk gigs and eventually ran a folk club.
The success of the Canvey Island R&B bands, such as Dr Feelgood led to renewed interest in the Downliners, who had inspired the Feelgoods. Other publicity followed and eventually the band were back in demand again.
Don and Keith met up again and a few weeks later, Terry got in touch and suggested they reform the band. They decided to do so, adding harp player Paul Tiller, formerly of the Black Cat Bones and got a ten day tour. They went on to record for Raw Records and got into the alternative charts with 'Showbiz'. Charley records then re-released the Sect album and that also did well in the alternative charts and this was followed by a John Peel Show broadcast.
Another album was in the offing but didn't get released as there were financing problems after two thirds of the recording was done. The tapes remained in the studio, though they were later recovered by the Sect.
They were then approached to do a tape lease deal of some previously unissued material and this led to a German album deal. Since then Charley Records have been reissuing all their material and the band successfully toured Scandinavia, making a live tape in the process.
Don: "That's running at the moment, 'The Downliners Sect Live In The 80's', then we were contacted by an American company, Inner Mystique, and we did a limited edition single for them, out at the moment, 'Colour Coded Red' and that's running. That brings us pretty much up to date except that we parted company with our lead guitarist as of day before yesterday.
We recently did a video with Jim McCarty of the Yardbirds* which is out now. 'Newport Street' is two thirds to being paid for coming out again soon, so at the moment we've got two albums and two videos in the offing. We've got a lot of material between us, and really it's a matter of getting together and sorting through it."
So Don and Keith, despite all the hassles, remain optimistic, and seem determined to keep The Downliners Sect bandwagon rolling for some while yet.
*Available from Brisk Productions, 27 Old Gloucester Place, W1. Price £24 inc. post and packing.
Graham Vickery
Bob's Goodtime Blues
at the
STATION TAVERN
Europe’s only 7-nights-a-week Blues venue
(Plus—Sunday lunch-times too!)
LIVE & FREE
41, Bramley Road, Nth Kensington
(opposite Latimer Road tube)
AUGUST
1 Paul Lamb Band
2 Top Topham/Jim McCarty Band
3 The Jumpin’ Catfish
4 Shout Sister Shout
5 Big Joe Louis & his Blueskings
6 Shakey Vick’s Sunday Joint (Noon)
7 T Model Slim (evening)
8 B B Review Blues Jam Session
9 Paul Lamb Band
10 Top Topham/Jim McCarty Band
11 The Skywalkers
12 Shout Sister Shout
13 Big Joe Louis & his Blueskings
14 Shakey Vick’s Sunday Joint (Noon)
15 Giles Hedley/Really The Blues (Eve)
16 B B Review Blues Jam Session
17 Paul Lamb Band
18 Top Topham/Jim McCarty Band
19 Screamin’ George & Rhythm Rascals
20 Shout Sister Shout
21 Big Joe Louis & his Blueskings
22 Shakey Vick’s Sunday Joint (Noon)
23 Giles Hedley/Really The Blues (Eve)
24 B B Review Blues Jam Session
25 Paul Lamb Band
26 Top Topham/Jim McCarty Band
27 Bluer Than Blue
28 Shout Sister Shout
29 Big Joe Louis & his Blueskings
30 Shakey Vick’s Sunday Joint (Noon)
31 Mike Messer Band (Evening)
32 B B Review Blues Jam Session
33 Paul Lamb Band
34 Top Topham/Jim McCarty Band
35 The Diplomatics
36 Shout Sister Shout
37 Big Joe Louis & his Blueskings
38 Shakey Vick’s Sunday Joint (Noon)
39 B B Review Blues Jam Session
40 Paul Lamb Band
41 Top Topham/Jim McCarty Band
42 The Hotshots
43 Shout Sister Shout
44 Big Joe Louis & his Blueskings
45 Shakey Vick’s Sunday Joint (Noon)
46 Big Road Blues Band (Evening)
47 B B Review Blues Jam Session
48 Paul Lamb Band
49 Top Topham/Jim McCarty Band
50 The Diplomatics
51 Shout Sister Shout
52 Big Joe Louis & his Blueskings
53 Shakey Vick’s Sunday Joint (Noon)
54 The Bloodhounds (Evening)
55 B B Review Blues Jam Session
56 Paul Lamb Band
57 Top Topham/Jim McCarty Band
58 Screamin’ George & Rhythm Rascals
59 Shout Sister Shout
60 Big Joe Louis & his Blueskings
The Original Memphis Blues Brothers
(Little Junior Parker, Earl Forest, Bobby Blue Bland, Johnny Ace)
Ace (Chad 265)
Well, any recording featuring names like these has got me sold before I even play it and when you add players such as Mat Murphy on guitar and Ike Turner on piano, you can't go far wrong. The seventeen tracks on this album were recorded by the Bihari brothers in Memphis in the early fifties and most were released on Modern, Kent, Meteor and Flair; five of them however are previously unreleased items.
Aside from the fact that I like these people anyway, this album attracts me because it gives a very good representation of the styles current in Memphis at the time and also some idea of the early influences on artists like Bland, Parker and Ace who later went on to make their reputations working in different styles. The way these tracks were recorded also appeal to me – the band sounds as if it's in the corner of the room with the vocalist not far away getting a very intimate sound on the microphone – in other words to all intents and purposes you're there in the studio or the bar.
Side 1 consists mainly of tracks by Bobby Bland although Junior Parker contributes two sides. All show the influence of Roy Brown, one of the most popular blues artists of the period, particularly so in Bland's case. I especially liked "Good Lovin'" and found "Dry up Baby" interesting because it's probably furthest away from anything I've heard Bobby do before – a jump blues complete with handclapping. There are also no less than three versions of "Drifting from Town to Town", only one of which I've heard before. All are of interest to the listener however because of the subtle differences between them – compare takes 1 and 2, the first previously unissued.
Bland and Parker join forces to exchange choruses on "Love Me Baby" and Junior ends side 1 with two of his own performances of which I prefer "You're my Angel". These are not perhaps radically different from the later Sun material he recorded but the vocal styling definitely is. Parker's voice seems rougher here and some of his phrasing is unfamiliar. Unlike the Bland tracks, where Bobby is backed up by Ike Turner on piano and Mat Murphy on guitar, Junior is supported by his own band, the "Blue Flames" but his contributions are none the worse for that.
Side 2 of the album is largely devoted to the work of Earl Forest who sings and plays drums and who also incidentally, is the drummer on the Bland tracks on Side 1. Forest is new to me and a pleasant surprise. He has a distinctively plaintive vocal style which shows up well on the slower numbers and is backed up by a typical "Three a clock in the morning" type band. They also know how to move a bit though and of the faster items, I really liked "I Can't Forgive You", which has a tremendous sax riff.
The last two items on this side come from Johnny Ace and once again, prove to be an eye-opener. I'm only familiar with this artist's later work such as "Pledging My Love" etc. where the voice tends to be higher and smoother. Here, Ace uses a more conversational tone with some rougher inflections. The whole approach of "Midnight Hours Journey", including the accompaniment, remind me very much of T-Bone Walker.
The album is attractively packaged with some terrific photographs and also some wonderfully comprehensive sleevnotes by Ray Topping who compiled the tracks and thought of the whole idea. All in all, definitely one for the vaults – for the bluesicologist or the blues listener. "Enjoy! Enjoy!"
Big Joe Louis & His Blues Kings
Blue Horizon, Bluh 008
Here we have a welcome first album from a band which has been making a big noise in the London area over the past year. Big Joe spent most of his early years in Jamaica and heard more blues than the popular music current at the time and it certainly shows – in fact the whole band are obviously steeped in the downhome/Chicago tradition. Like say Paul Butterfield however, they are creating within the idiom rather than just recreating it.
It's probably unfair to single out any particular musicians as all of them are excellent and know just what they're doing. While good individual performances abound, they also combine very well as a unit displaying the ensemble work typical of the genre. There are two things however, that make this band stand out from most of the others playing this kind of music. The first is Joe's voice which has all the right inflections but is still recognisably his own so it sounds like the real thing rather than an imitation. The second is the drum sound of Martin Deegan for whatever else he happens to be playing, he keeps that heavy backbeat going, a la Freddie Below, Earl Palmer, Tom Whitehead et al, throughout.
Another of the band's strengths is in their choice of material – they don't do the obvious things, the ones you've all heard before. Joe contributes five originals and the rest come from sources as diverse as Arthur Crudup, Walter Davis, Floyd Jones and Z.Z. Hill. In fact, I can think of only one track that I'm overly familiar with...that being the Crudup title "Mean Old Frisco" but then again nobody else plays it much these days.
Side 1 attacks you straight away with one of Joe's songs, "What's the matter with you" – a fast Big Boss Mannish effort with overtones of "Keep Your Hands Out My Pocket". This is followed by one of my favourites, "Down Home Blues" a song originally performed, though not written, by Z.Z. Hill and taken at a lovely rolling tempo with some mean, lazy vocalising from B.J.L.
We then get a slow to medium "Now She's Gone", (J.B. Hutto), a fastish shuffle, "Monkey Motion", (Houston Baines) and then a wonderfully evocative version of the Floyd "Dark Road" Jones song "You Can't Live Long" – another of the stand-out tracks on this side. Another of Joe's things, an appropriately fast shuffle called "These Young Girls" and played with considerable venom, closes the first half of the album.
Side 2 opens with a very exciting "I Cried Last Night", (B.J.L. again). In the "Rolling and Tumbling" vein – some great original harp playing from Little Paul on this and Big Crawford or Willie Dixon couldn't have done any better than Tony Hilton does on upright bass. The rhumba rhythm of Joe's "Hey, Hey Now Baby" signals a clever change of mood and then the band groove into a truly inspirational selection – Walter Davis's "I Think You Need a Shot – some marvellous piano from Jamie Rowan here.
Jimmy McCrackin's "She Felt Too Good" – a fast, rocking shuffle allows Rowan to contribute some more particularly good piano and B.J.L. to show us how deftly he can handle a wordy but (like so many of McCracklin's songs) a very witty lyric. The band revert to a slower tempo with Joe's "Bloody Tears", (What a title!) – which features some impressive vocal and slide guitar work – and then end the album with a belting version of "Mean Old Frisco".
It only remains for me to mention the tremendous production work of Mike "The Hardest Working Man In Show Business" Vernon who manages to do that most difficult of things, to capture in studio conditions, the live, vibrant sound of a good working band and the suitably soulful sleeve photography of Dave Peabody – as Bo Diddley would
say, “What More Could a Man Want”?
The Marauders
“Red Hot and Rocking”
Blue House Music
Yet another band new to me, the Marauders are a five piece augmented on occasion with sax and keyboards and hail (rhyming not intentional) from Rochdale. Really the title of the album says it all for that’s precisely what they are. In fact their approach is reminiscent of the early “Thunderbirds” with much of the material being powered by those hard-driving guitar riffs. However within the idiom, the band have more than a few interesting variations of their own which is not surprising as eleven of the fourteen tracks here are originals. This reliance on their own material enables the Marauders to present a range of song structures eg. sixteen bar verses, eight bar verses with a bridge and to throw in the odd key change – all of which allow them to avoid the charge of being “Samey”. They do also draw upon other sources, Jimmy Witherspoon’s “Times are Getting Tougher Than Tough” being one example, so that you get an interesting diversity.
Well, what about the individual tracks? On side 1 I particularly liked “Maybe It’s True”, a Chris Gee song, not because it’s especially different but because it’s played with such a good “Feel” – the band really get into a groove on this. The afore-mentioned “Tougher Than Tough” also appealed to me, not only because it’s played well with a nice sax solo but also because it brings back to your venerable reviewer, fond memories of John Baldry doing it with the “Hoochie Koochie Men”. “Head to Toe”, (a Gee song again) has an interesting structure and a slide guitar. “Ridin on the L & N”, which ends the side, pounds along and also has an intriguing opening sequence which I won’t reveal to you (Which sound archive did you raid to get that one lads?)
Side 2 opens very effectively with an up-tempo rocker with shades of Chuck Berry’s “I’m Talkin About You” (Mess It Up). “Fourtime Boogie” engages the ear because it’s a complete departure from the band’s usual line of country – a fast, swingy jump blues with very good harp and a great guitar solo – the sound and phrasing absolutely right for that late forties/early fifties style. “Another Day” presents us with a piece of imaginative arranging – it begins as a slow gospel song with a plaintive voice over a soulful organ and then transmutes into a good-rocking shuffle – not an easy thing to bring off.
Side 2 ends with a fast instrumental, (“Duke”) which contains a key modulation and gives the harp, guitar and sax men respectively, a chance to show their paces. Although a very enjoyable album; I bet that if you wanted to hear a good noise on a good night, this band would make you very happy.
Lucky “Lopez” Evans
“Chinaman’s Door” Borderline Bord 001 – 1989
Lucky Evans is operating in that area of the blues perhaps the most successfully exploited in recent years by Robert Cray ie. the no-man’s land between traditional blues and late 60’s/early 70’s soul music. Thus on this album we get bluesy vocal and lead guitar lines superimposed upon moody/funky bass figures and ably supported by keyboard and brass arrangements. It’s a synthesis of many influences in fact and one of the pleasures of listening to a recording like this is in trying to detect them.
There are only three tracks per side but they’re all longish (circa five minutes each) and this gives the band time to establish a groove and set a bluesy mood, for mood music this most definitely is. The performances on all tracks by Lucky and the band are uniformly excellent so it’s difficult to single out any particular one on this basis. He has an individually soulful voice and the lead guitar work is outstanding – sensitive and delicate or biting and aggressive, depending upon the demands of the material.
“Chinaman’s Door”, the opening track on side 1 is interesting in that Lucky adopts an almost Howling Wolf type approach to the vocal – this over a funky bass line – and you can imagine somebody like Albert King doing this one. The next track, James Brown’s “If You Leave Me I’ll Go Crazy”, is a successful example of how a standard can be rearranged so that it sounds completely different. Here the tempo is slower and the song is presented in a lyrical way with a lovely guitar figure and vocally, J.B.’s impassioned pleas are replaced by Lucky’s sad statements of fact. “Hard Workin’ Woman” closes this side – another funky thing – good sax work here and the whole track has subliminal echoes of Marvin Gaye.
Side 2 begins with “Hail To The King”, one of Lucky’s own compositions and features some really good guitar. The band then give the B.B. King song “How Blue Can You Get” a workout (a slow blues played in the traditional manner) and the album ends with an interpretation of Bobby Bland’s “Dreamer” – another slowish, moody piece with a surprising but completely slide guitar solo. I liked this record a lot – it certainly demonstrates how the blues can absorb other influences and yet retain it’s identity and perhaps gives an indication of where the music is heading in the future.
Dana Gillespie
“Sweet Meat”
Blue Horizon Bluh 007
Well here’s an entertaining recording – an album devoted to the euphemistic qualities of the flesh and right in the blues tradition. Really you might almost call this one a “Concept album” – but seriously folks, it’s a lot of fun and containing as it does, amusing lyrics, tight playing from all involved and some excellent vocal performances from Dana, it’s a really good listen.
Side 1 gets off with a bang (nb. dear ed. this was not premeditated) with the Howling Wolf opus “Three Hundred Pounds of Joy” – the band put down a really socking rhythm here and Dana sings it in the appropriately tough manner. The next track “Sweets” (a Gillespie original) changes the mood agreeably. It’s a nice, easy roller with a seductive vocal and an unusual structure in that it has 12 bar verses and also a 12 bar bridge with some interesting chord changes. The band then rock into “Pencil Thin Papa” (written by Bob Hall and Mike Vernon) – a paean of praise to anorexic manhood. Tracks 4 and 5 are standards from the swingy fortysix, jump blues period – the latter comes off particularly well with a conversational vocal and a guitar solo from John Bruce that’s right in the idiom. Another strong Gillespie song “Meat on Their Bones” ends this side – a Chicago style effort this with roaring harp from guest Paul Sarjantson.
“Big Fat Mamas Are Back In Style Again”; so Dana tells us on the beginning of side 2. This is another 40’s type number with a honking raucous tenor solo from Mike Paice. Yet another unusual Gillespie tune next – “Sweet Meat” has a vocal line which draws inspiration from the “Classic” blues tradition (Bessie Smith, Ma Rainey et al) and a clarinet line and solo (Pete Thomas) which echoes the same source. The rhythm track however lays down a nice, easy shuffle and the “Dewdrops” contribute an almost Jordanianish backing vocal. It all fits together remarkably well. “Long, Lean Baby” (a Hall song) follows – a mellow, rolling rocker with some nice alto from Frank Mead. Bob gets the chance to show off his prowess on the next one, the classic “Meatballs” – a lovely piano figure and solo and some fine soprano sax work, again from Mike Paice. “Tall Skinny Papa” takes the tempo up a notch or two – a great swingy fortysix thing this with a fantastic brass riff and some appropriately hairy alto and guitar solos. The side ends with another Wolf song, “Built For Comfort”. Here the band groove out in style with Dana toughening up once more and John Bruce and Paul Sarjantson contributing blistering solos.
Although a highly enjoyable album – I must mention that Dave Rowberry also played piano on some tracks and that Charlie Hart (upright bass) and Chris Hunt (drums) made up the rhythm section. When you put all that together with the excellent Mike Vernon production, then you know that you’ve got something that’s worth listening to. (nb. to ed. As I’ve refrained from making any allusions to “Big Macs” etc. do I get to keep this one)
With an absolute glut of blues in July, we might be forgiven for thinking that we'd had more than our fair share, but the icing on the cake is surely to come, with the South Bank Blues Festival introducing a number of first time visitors from the American scene.
The festival runs from 2nd to 5th August in The Queen Elizabeth Hall on London's South Bank. Seats are £8.50 from the Royal Festival Hall Box Office on 01-928-8800 and each concert will start at 7.45.
It's almost like getting to tour the current blues scene in the States without having to pay the air fare.
Each day's concerts are as follows:
Wed. Aug 2, Big Daddy Kinsey and the Kinsey Report, Archie Edwards, Little Willie Littlefield & The Big Town Playboys.
Thurs. 3rd, Big Daddy Kinsey & the Kinsey Report, Honey Boy Edwards, Jimmy Nelson & The Big Town Playboys.
Fri. 4th, Joe Hughes, Archie Edwards, The Jelly Roll Kings, The Big Town Playboys.
Sat. 5th, The Jelly Roll Kings, Honey Boy Edwards, Little Willie Littlefield, Jimmy Nelson & The Big Town Playboys.
From Chicago, the six piece Kinsey Report, led by Big Daddy Kinsey, will bring the Muddy Waters influenced Chicago blues to our doorstep. Most of the Band are members of Big Daddy's family and we were advised not to miss them, in an earlier issue of the mag.
From Maryland, Archie Edwards brings us the Deep South influences via his mentor, the great country blues guitarist/singer, Mississippi John Hurt. It's good to see the fine tradition of country blues given a share of the bill.
Houston, Texas, sends us Joe Hughes, whose guitar playing should straighten a few short hairs if he emulates his Southern Blues circuit reputation. He follows in the tradition of T-Bone Walker and B B King, so expect some fireworks.
B B King would certainly approve of another Texas man on the bill – Jimmy Nelson, whose songwriting and singing influenced B B himself. A player who has done it the hard way, through a lifetime working the Bar room circuit of Texas, Jimmy will be a welcome addition.
You can find Honey Boy Edwards working and living in Memphis, bringing us the traditional Mississippi Delta country blues influence. A fine guitar picker, with a deserved reputation.
Little Willie Littlefield is no stranger here, but his Boogie woogie piano has won him many friends, and will balance a fine festival, with the backing of the Big Town Playboys, who get better and better, if that is possible, and will also fully deserve their own spot, as well as backing Little Willie, Jimmy Nelson and Joe Hughes.
Finally, another coup, The Jelly Roll Kings from Memphis, making a long overdue first visit to Britain. The Kings are Frank Frost, Jack Johnson and Sam Carr, who are going to add some downhome spice to the proceedings. Despite having been sidemen to Muddy Waters and many others, they are no back numbers, and will certainly enhance their solid reputation, given half a chance. They should set the seal on the festival and who knows, they may be as influential to a new generation of blues players over here, as Jimmy Reed was in the sixties. What else is there to say, except be there!
Talking about first time visitors, by now some of you will be familiar with the music of **The Paladins**, after their tour. A three piece from San Diego, who actually started out as a four piece bar band, they established a healthy reputation in southern California, blending Rockabilly, Blues, Swing and R&B with verve and a powerful approach to playing, that comes from a unique attitude to touring. They hit the Austin scene in the mid eighties and have since toured with Los Lobos, Stevie Ray Vaughan and The Fabulous Thunderbirds. They have a debut album on Alligator Records, *Years Since Yesterday*, which will be reviewed in the next issue, when we hope to have more time to do them justice.
Another combo to spread the gospel are **Little Charlie and the Night Cats**, again we shall cover them in the October mag. They had their debut album out in '87, *All The Way Crazy*, which helped to break them on a bigger circuit. A Hot blues band, this one and they successfully promoted their new album, again on Alligator Records, *Disturbing The Peace*. Both records will get space next issue. The band really cut it and the music is top quality power blues.
Closer home, we get news from Birmingham that King Pleasure have a debut EP out, Ain't Nobody Here But Us Chickens, which is a new cut, although it appeared on their first album. Also on the same side is Chicken Rhythm with All Night Long on the flip. We'll review both the EP and the album soon.
East Anglia's Mean Red Spiders also have a new album out which we'll review. Incidentally, they have done recent gigs in company with Duffy Power. Their August dates are: Thurs. 17th, Farnham Maltings; 18th, Pinner, Whittington Hotel; 19th, Kings Langley, Rose & Crown; 21st Putney, Half Moon and 26th, a private party at Fulham's King's Head.
Andy Schemet of Rochdale's Marauders has the following listings. Aug. 3, Glossop, Fleece; 12th, Rochdale, Gabs Football Club; 16th, Manchester, Band On The Wall; 18th, Birmingham, Breedon Bar; 19th, Farnham Maltings; 23rd, Werneth, Black Horse; 25th, Burnley, Town Mouse; 27th, Compstall, The George, Sept. 26th, Ashton Under Lyme, Witchwood; 28th, Manchester, Withington Ale House.
Further details from Andy concerning the north west are: Most Fridays and Mondays on the coast at Fleetwood, Kemp Street Catholic Club is taken over by the Fleetwood Blues Club, which is run by Ian and Elaine Carbay and Mark Sharples, who between them, book the bands and make sure that everyone pays their £1.50 — £2.00 admission. Most bands booked cater to every type of blues or R&B tastes, from one man and his guitar acoustic blues, to hard rockin' R&B, with a very warm reception from a discerning audience. Bands interested in a booking should contact Ian on Fleetwood – 03917 70680. Bands booked for August: 11th, Bare Wires; 21st, Previous Good Character. September: 1st, Harpbreakers; 11th, Switchdoctor; 25th, The Hustle.
Booked at Burnley Mechanics is Lowell Fulson on Fri. Sept 22nd. There are also plans under way for a two day event at New Year. Already booked are The Big Town Playboys. We'll bring you more details later.
At Manchester's Band On The Wall, wednesday nights through August are given up to R&B; 2nd, Gags; 5th, Victor Brox; 9th, Blues 'n Trouble; 12th, Bogus Brothers; 16th, Marauders, 19th, A&B Boogie Band. September sees the return of The Paul Lamb Band on 30th. There is also a Samaritans' Charity gig on the 25th with Victor Brox plus special guests.
Bill Rowe sends details of the rise in interest in blues around the Southampton and Portsmouth areas, with the Onslow in Southampton still heading things. Don't forget Bob Pearce's Friday nights.
Other news from the area is not quite so good. Salisbury's Bishop's Mill have stopped their successful Monday night Blues sessions for no apparent reason, though there is new management there, which is often the prelude to change. The other bad news is that Radio Solent's *Blues In The South* programme is now off the air. The only consolation is that the newsletter of the same name continues to flourish.
In London, *Wolfe Witcher* has recorded another live album, this time at 100 Club, Oxford St. and *Pete Smith* has another Cassette album out, which we'll review in a forthcoming Mag.
We must apologise to all the people who've sent us tapes and albums, and CD's. We will get around to it as soon as possible. Have patience.
Talking of CD's, JSP Records continue their releases with *Nappy Brown* and *Big Jay McNeely*. The Paul Jones Rhythm and Blues Show featuring *Rockin' Sydney*, *Carey Bell*, *Katie Webster* and *Bill Dicey*. There is also coverage of the *Burnley Blues Festival*.
Ace also have a CD list with one of their recent releases, featuring *Arthur Alexander*, which we'll review probably in the next issue.
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For new albums representing the geography of the blues, from Texas, St. Louis, Scandinavia and England. Now read on — you will be rewarded.........
U.P WILSON — "On My Way" — THE TEXAS GUITAR TORNADO. RLoo78.
The hottest thing to come out of Texas since Albert Collins strapped on a guitar. From Fort Worth, Texas, this is U.P's debut LP even though he has been playing since the early fifties. A Martial arts expert of the guitar strings, his playing is hot, loud and ferocious, almost like a Black Johnny Winter. If you like the axe, then this is a MUST — you will not be disappointed.
CHICAGO BLUES MEETING — "Snake In My Bedroom" — RLoo73.
Replete with a sleeve that owes a little to Blind Lemon Jefferson's "Black Snake Moan", this is an astonishing session, mixing Scandinavian musicians with some Chicago bluesmen, producing a stunning selection of blues. Calling on the styles of Otis Rush, Buddy Guy, Walter Horton, Eddie Taylor, etc and delivering the goods is no easy feat, these guys have done it. Listen and marvel....
BREWERS DROOP — "The Booze Brothers" — RLoo77; RLCDoo79:
Unissued material from the English blues-rock-cajun band of the seventies BREWERS DROOP, featuring the one and only MARK KNOPFLER, who made his first major appearance with this band, also partially produced by DAVE EDMUNDS who guests/musically, this is a collectors treasure trove. Listen and enjoy this disc and hear the fledgling MARK KNOPFLER cultivate the sound that made DIRE STRAITS a world wide success story.
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CONDITION YOUR HEART — Vintage R & B from St. Louis — RLoo69.
Following in the footsteps of our previous collections from St. Louis, this album features familiar artists, not so familiar and the downright obscure! The period covered was 1957-1963 with an emphasis on R & B and vocal groups. Artists include: The Rockers; Clayton Love; Oliver Sain, Ike Turner; Fontella Bass, Art Lassiter, etc.
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A Tribute to Edward O. Henneman
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Recommended Citation
A Tribute to Edward O. Henneman, 62 Wash. & Lee L. Rev. 1411 (2005).
Available at: https://scholarlycommons.law.wlu.edu/wlulr/vol62/iss4/2
This Article is brought to you for free and open access by the Washington and Lee Law Review at Washington and Lee University School of Law Scholarly Commons. It has been accepted for inclusion in Washington and Lee Law Review by an authorized editor of Washington and Lee University School of Law Scholarly Commons. For more information, please contact firstname.lastname@example.org.
A Tribute to Edward O. Henneman
Mark H. Grunewald*
Ned Henneman’s retirement from Washington and Lee marks the end of a full one-third of a century of service to the University—full not just in time but also in breadth and distinction.
In 1972, it was far from predictable that Ned, born and raised on the Upper West Side of New York City, would spend the heart of his career at Washington and Lee. There were, however, Virginia connections. His father’s family was from Buckingham County, and Ned spent the last two years of his secondary education at Woodberry Forest School in Madison County. But from his graduation there in 1955 until 1972, his ties to Virginia seemed broken. He had gone to college at Yale and then to law school at Harvard and then become associated with first one and then another highly regarded New York City law firm, working in their trusts and estates departments. His deep devotion to all things New York, particularly the Mets, made a move seem even more unlikely. Yet by 1972, Ned and Penny, whom he had married in 1960, had three young children, Neeltje, Teddy, and Bobby, and Virginia took on new appeal.
At that moment, the Development Office at Washington and Lee was looking to hire its first Director of Planned Giving. Ned’s trusts and estates background provided the technical qualifications for the position, but those who met him then were also taken with his charm, wit, and intellect, as would be those who came to know him in so many different University capacities thereafter. Thus began Ned’s career at Washington and Lee.
While successfully directing the Planned Giving program, Ned also taught Trusts and Estates courses in the Law School for a number of years as an adjunct professor. In 1978, he was appointed to a fulltime position on the law
* James P. Morefield Professor of Law, Washington and Lee University School of Law.
faculty. He continued to teach the Trusts and Estates courses over the years but expanded his repertoire to include Property, Real Estate, Family Law, and Elder Law.
In 1981, Dean Roy Steinheimer asked Ned to take on the additional assignment of Associate Dean. At that time, there was only one Associate Dean, and he did it all: Admissions, Academic Affairs, Student Affairs, and various other catchall administrative duties. Ned performed them all extraordinarily well and, despite a facade of gruffness, endeared himself to faculty, students, and staff alike with his practical yet humane approach to administration. Perhaps most remarkably, Ned held the position of Associate Dean for eleven years, a record unlikely ever to be broken. Even as Ned shouldered his administrative duties, he continued to teach half time, accumulating several "best teacher" awards while he was at it. After he finally finished his tour of duty as Associate Dean, he continued to perform important administrative functions in the Law School, the University, and the Bar, serving on, and in many cases chairing, important committees.
As full and rich as Ned’s career as lawyer-teacher-administrator has been, it has always coexisted with his broad and deep commitment to civic responsibility. He has served as member and as chair of the Lexington School Board, board member of the Stonewall Jackson Hospital, Lexington Meals-for-Shut-Ins, Threshold, Rockbridge Area Relief Association, and Virginia Skyline Girl Scouts Council, among others. He currently serves as a member of the Rockbridge County Electoral Board and the boards of Kendal at Lexington, Yellow Brick Road, and the Rockbridge County Democratic Committee. He is also a Vestryman of the R.E. Lee Memorial Episcopal Church, where he has also served as Senior Warden and Chair of Mission/Outreach. Ned even made a brief foray into politics, running for mayor of Lexington. While he did not win the election, he succeeded, as he had intended, in refocusing attention on the importance and the needs of the Lexington city school system.
In retirement Ned will continue to serve where needed no doubt, but will now have time for the travel he and Penny enjoy, for his newly discovered talent for bridge, and most importantly, for his children and grandchildren. As his colleague and friend, I take pleasure for Ned and his family in these things, but it is a pleasure tempered by recognition that the Law School and the University are losing an irreplaceable combination of wit, insight, and conscience.
Ned Henneman came to Washington and Lee to serve as the Associate Director of the Development Office. His credentials were impressive—Yale undergrad, Harvard Law School, and law practice in the trusts and estates area with two prestigious New York City law firms. I had more than a passing interest in him because Ned would be participating in the solicitation of funds for the Law School.
When I first met Ned, I was fascinated by his manner of speech—a torrent of words spilling out of partially locked jaws in a rapid staccato fashion. This onslaught of words was often accompanied by a sort of bubbling chuckle for, as I learned, Ned is a man of great wit with a fine sense of humor. As I became better acquainted with Ned, I found that this wit and humor overlays a rather cynical and suspicious view of the world and its inhabitants. This dim view of the world is probably explained by the fact that Ned is a native of New York City—anything west of the Hudson River is suspect.
Shortly after Ned came to Washington and Lee we teamed up to make some calls on potential law school donors in Charleston, West Virginia. This trip was before Interstate 64 existed so the drive from Lexington to Charleston would take five or six hours via U.S. 60, a tortuous, two-lane mountain road. But in my Beechcraft Bonanza the flight to Charleston would take less than an hour. So I invited Ned to fly to Charleston with me. He accepted the invitation. We had "severe clear" weather for the flight, so it was, I thought, uneventful. We rented a car at the Charleston airport, made our calls, and headed back to the Charleston airport for our return flight. At this point Ned announced that he had decided to drive back to Lexington in the rental car after he dropped me at the airport. No apologies, no excuses, no explanations. I prefer to think that Ned's actions were not a mute appraisal of my skills as a pilot.
As I lurched from crisis to crisis during my deanship, Ned came to my rescue several times. There was the occasion several years after Ned came to Washington and Lee when we had a temporary but urgent need for a Trusts and Estates teacher in the Law School. I turned to Ned for help. He had the necessary expertise to teach in this area and he had a desire to try teaching so he took on this temporary teaching job. The temporary job then became a permanent opening for a teacher in this area. Ned's performance as a
* Robert E.R. Huntley Professor of Law, Emeritus, Washington and Lee University School of Law.
temporary teacher had been so outstanding that he was asked to join the law faculty on a full-time basis.
Several years after Ned became a member of the law faculty, I lurched into another crisis. The Assistant Dean of the Law School suddenly resigned shortly before the start of the fall semester. In this critical situation, I again turned to Ned for help. He had become an effective and respected member of the law faculty. He also had the qualities needed by an administrator—organized and decisive with an abundance of common sense. My need was so urgent I didn’t ask Ned if he would consider an appointment as Assistant Dean. I "drafted" him for the job. I was happy to see that Ned didn’t show up in the Assistant Dean’s office wearing the faculty-designed T-shirt bearing the message "I’ve been Royed." I am fortunate to have had Ned as a friend and colleague.
---
Rick Kirgis*
Edward Olmstead Henneman, known to all as Ned, is recognized for his long and devoted service to Washington and Lee University and to the community in which he resides. I began working closely with him in 1983, when I became Dean of the School of Law. Ned had already served for three years as Assistant Dean, having served previously as Washington and Lee’s Associate Director of Development. He graciously agreed to stay on as Assistant Dean, giving continuity to the administration of the law school. He was on tenure track, which meant that he was teaching in the regular law school curriculum even as he carried the heavy load of recruiting prospective law students, doing paperwork connected with their applications for admission and for financial aid, making many of the decisions on those applications, and serving as our dean of students (without benefit of the formal title). In other words, he was doing the work that occupies at least five full-time law school staff members today.
A year later he was elevated to the newly created post of Associate Dean. That relieved him of admissions responsibilities, but it left him with the task of handling virtually all student problems while he taught a full load of law school courses in the Property, Wills, Trusts and Estate Planning fields. Thus, he had
* Law Alumni Association Professor of Law, Emeritus, Washington and Lee University School of Law.
to do the full-time jobs of merely two people, instead of five. Students respected him as a knowledgeable teacher with a dry sense of humor and as an administrator who dealt with their concerns and problems firmly, but with compassion when compassion was called for. He earned and carried their respect right up through his retirement from the active faculty in the summer of 2005.
Few people could do five, or even two, full-time jobs for very long, especially if they were also active in community service, as Ned indisputably was. But he persevered. In addition to his law school teaching and administrative responsibilities, he was (to give just a sample) the Vice-Chair and then Chair of the Lexington School Board, a member of the Board of Stonewall Jackson Hospital, a member of the vestry of Robert E. Lee Memorial Episcopal Church, and a member of the Virginia Bar Foundation’s Continuing Legal Education Committee. All the while, he was active in Democratic Party politics. Finally, in 1992, he stepped down as Associate Dean, but he pressed on as a full-time teacher and an active participant in community affairs, including serving on the planning committee for, and then the Board of Directors of, the Kendal retirement facility on the outskirts of Lexington. Now, with relief from his teaching duties, he can be expected to focus his multiple talents on community service even more than before. It is good news for the community.
As any of Ned’s students or colleagues can attest, Ned has a sharp, dry wit—biting, at times, but never ill-intentioned. In his unofficial role as law school pundit, he could bring any flights of fancy in the classroom or faculty meeting right back down to earth with deft, good-natured retorts. Nobody ever takes offense; it’s just Ned, and in any event he is probably right.
Ned is a baseball fan. Specifically, he is a New York Mets fan—a legacy, no doubt, of his time spent practicing law in New York City before he came to Washington and Lee. The Mets do not always meet his high expectations, but instead of letting it get him down, he takes them to task with the same sense of humor he puts to good use in faculty meetings. And he never—well, hardly ever—points out that my team, the Cubs, is usually doing worse than his Mets.
One might ask, who can step in and be the multifaceted administrator, teacher, and Lewis Hall wit-in-residence, now that Ned has retired? Surely, at least three persons will be needed to fill in for him. That is just one way to say that he will be missed.
Nothing pleases me more, or seems more suitable, than the dedication of an issue of the Washington and Lee Law Review to Ned Henneman. Ned is a close and very good friend. He served as Associate Dean during the first four years of my time at W&L, and survived the excitement. He was a great faculty colleague, a demanding, compassionate, and very creative teacher, and an unending source of good judgment and sound advice throughout my tenure at W&L. I have missed him greatly. So will the law school.
My purpose here, however, is not to list all of Ned’s accomplishments and talents, nor his many, many contributions to the University and the law school. Instead, my purpose is to capture him in a more personal way: the way we teach our students, the way we respect and encourage each other as colleagues, the demands of character we place on ourselves, and the way we count ourselves as the smallest and the most educationally committed of the nation’s leading law schools.
I arrived at the Law School in 1988 with much enthusiasm and many ideas, most of which originated in conversations with faculty colleagues and “dreams” spawned by the fertile imagination of University President John Wilson. I had outlined the aspirations and dreams in a letter to the faculty some weeks or months before my wife, Elaine, and I arrived. Very shortly after our arrival, Ned and Penny invited Elaine and me to dinner, just the four of us. Ned’s purpose was not to reveal all of the secrets and personalities, though some did come up. Nor was it to discourage me in any way. But he saw me, I think, as something of a dreamer. He saw himself as a more grounded person who could offer some practical support for the many changes that lay ahead (and in the support of which he never wavered). In this he was partly right; under that professional and direct Wall Street exterior lay a dreamer, too, and an effective gatherer of consensus or, at least, consent, among the faculty and students. Our difference was perhaps best described this way: Ned saw the shortest distance between two points as a straight line. I saw it as a series of concentric circles. We complemented each other exceedingly well. And we had a great deal of fun and satisfaction doing so.
Ned regularly “thought out of the box,” a quality I greatly admired. He conceived of and developed the Elder Law curriculum at the law school, an idea we now take for granted but was ahead of its time in 1988. He instituted
* David H. Vernon Professor, University of Iowa College of Law.
serious and sustained drafting courses in his field, bringing talent from outside (yes, a big New York firm) to challenge students in the fields of trusts and estates, estate planning, and tax, often co-teaching the drafting classes with the people Ned attracted from the real world of sophisticated practice. He saw the need to change the law school’s nondiscrimination policy to include sexual orientation, not because doing so was required by our accreditors, but for a better reason: because it was the right thing to do.
Ned proved himself a magical builder of consent. The bane of deans and associate deans in American law schools is the annual determination (negotiation is a better word) of teaching assignments for the faculty. Ned completely relieved me of this burden. All of the faculty trusted him and respected his judgment. He listened to their plans and tried to accommodate them. He listened to student interests and needs and did the same. But most importantly, he made his case well: He was the keeper of the gate for the curriculum and the education of our students—the standard-bearer.
He is also,
- an old softie at heart,
- a true educator,
- a great administrator and leader,
- a dreamer, and
- the husband of dear Penny,
and, after four frantic, productive, and exciting years, he trained his successor, Mark Grunewald, very well. Washington and Lee’s law school is a much better place because of Ned Henneman. I’m very grateful for that.
L.H. LaRue*
One can praise Professor Edward O. Henneman (known to all as “Ned”) for many things, but I will limit myself to only one of his many fine qualities, although my choice will betray my personal preferences. To my mind, Ned’s greatest contribution to the law school has been the wit and elegance of his prose style. Committee work moved on the pain-pleasure axis towards the pleasure pole whenever one’s colleagues on a committee included the learned
* Class of 1958 Alumni Professor of Law, Emeritus, Washington and Lee University School of Law.
Henneman. When Ned was on a committee, he regularly wrote memoranda, and reading a Henneman missive always brought pleasure to my day.
Perhaps there are those who cannot understand why writing a witty memorandum could contribute so much to a law school, so let me digress. Our law school, like most academic communities, depends on committee work for its governance, and yet committee work is a burden on the soul. There have been times when the only hope that has kept me going is the hope that in Purgatory (if there is such a thing) committee work will be deducted, and I know that even those who do not share my unorthodox and implausible theology have constructed an equivalent fantasy that carries them through the day. (Of course, a somewhat better remedy for enduring committee work is to adopt some form of Stoicism.)
However one rationalizes one’s plight, it is true that committee work must be endured. So imagine, if you can, living in such a world of grim necessity and receiving a Henneman memorandum. The intellectual content would be first rate, since Ned brings to the task a fine mind, sturdy common sense, and deep experience, and so one could be sure that the ideas presented would be worth considering and would probably be adopted. To be sure, there are many people who combine intelligence, good judgment, and knowledge of the world, and our law school is lucky enough to have more than its share. And yet, when most write, they do not persuade. Their prose stumbles and lurches, drags across the page, pounds each point home with a hammer, and one’s soul is pained. But Henneman’s prose was never dense, never boring, and always enlightening.
The best way to establish my thesis would be to quote him extensively, but I fear that quoting old committee memoranda would not quite work. To understand their wit and intelligence, one would have to resurrect the context, yet I do not wish to revive that which should be left safely buried. So let me quote from a memorandum that was written to the entire University community.
Our community has always been lucky in having an active group of enthusiasts who did the work of bringing good and unusual films to W&L. Unfortunately, virtue seldom comes bare, and some of these enthusiasts could be a touch pretentious. In the late ’70s, the committee of film enthusiasts was headed by a young English professor whose prose style was thought by many to be precious and whose publicity announcements were a great source of amusement. Henneman decided to follow Oscar Wilde’s dictum that one should never resist temptation, and so he published the following satire. It began with the salutation, "Dear Friends and Colleagues:" Like all good parodies, the opening paragraphs seem almost genuine:
Because of its theme, it has seemed appropriate to the W&L Film Society to postpone the showing of *The Murmur of the Heart*, originally scheduled for November 2 and 3, until November 9 and 10 (Parents Weekend). Luckily, we have another film to show this weekend (Friday and Saturday nights at 8:00 P.M. in Classroom A of Lewis Hall free of charge). We hope you will announce this change to your classes.
Please note the sure touch with which Henneman used the classic bureaucratic phrase, "it has seemed appropriate." We have all read thousands of documents that speak in this tone, the disembodied passive, and so one is lulled into the world of the joke. I freely admit that the bureaucratic tone fooled me, and so on first reading I missed altogether the delicate humor of rescheduling *The Murmur of the Heart* so that it would fall on Parents Weekend. The next paragraph, however, is another matter.
This week's program will be the classic Bulgarian musical *A Boy and His Goat* (1972). The film's lilting score, hauntingly performed on solo zither, bears an uncanny resemblance to early Gershwin. The largely indigenous cast, playing with a frothy innocence so typically Slavic, helps the viewer empathize with two engaging young creatures, experiencing the early stirrings of desire.
Rereading this paragraph, some 25 years later, I am still astonished with the virtuoso display. "How did he do it," I wondered, "how does he come up with such brilliant prose?" A solo zither for the music? Where did that come from? By the way, I have no idea what it would mean for a solo zither to bear "an uncanny resemblance to early Gershwin," but I laughed anyway. And consider the lovely phrase, "with a frothy innocence so typically Slavic." If one laughs, as I do, one laughs more because one does not understand (there is nothing to understand) rather than because one does. The parody is extraordinarily skillful. Ned has captured "ArtSpeak" perfectly—the words almost have a meaning. But let me move now to the two-sentence paragraph that came next in the memorandum: "John Belushi, at that time an undiscovered talent, plays both title roles in what has come to be widely regarded a cinematic tour de force. The stunning special effects are one of the epic achievements of Balkan filmmaking."
Note that this time the words do have a meaning; it is that which was meant that is astonishing. The more one tries to imagine how John Belushi could have played both roles, both the boy and the goat, the funnier it gets. And as one tries to imagine the "special effects," one agrees that if such a thing were possible, it would indeed have been "one of the epic achievements of Balkan filmmaking." My response is envy, the unseemly desire to be able to write as well as he does, even though I know that one must not question the judgments of divine providence, which distributes things good and bad in a way beyond our
understanding. But all good things must come to an end; here is the final paragraph, which recapitulates the bureaucratic tone of the opening; this time the humor is deadpan, not subtle. "The rare showing of this film is open to all members of the community, and we hope to see you there. A keeper will be provided (in Classroom B) for any pets who may accompany you."
Perhaps some day, an industrious scholar will produce the book that presents to the world the definitive canon of Henneman humor. When this is done, I am confident that *A Boy and His Goat* will be judged by all to be the high point of the canon.
Edward O. Henneman, Jr.*
I am both a father and an attorney. I cannot say that I became either because of my father, however I think my desire to be both is certainly a reflection of my feelings for him. Although this tribute is written upon the occasion of my father’s retirement, and therefore is intended to honor his professional career and accomplishments, I have come to the conclusion that I cannot write a tribute to my father without a great deal of it honoring him as a dad, and our relationship as a father and son. I am proud of my father’s professional and civic accomplishments, but, to be honest, others can probably speak more eloquently and accurately about my father’s professional career; to me he is and always has fundamentally been a dad and it is in that role that I find myself learning from and emulating him daily.
That said, as a practicing attorney I have some perspective on the characteristics that we aspire to promote as a profession. I think it is incumbent on our profession to produce leaders within our society, and through his civic involvement my father has clearly exemplified community leadership. My father’s list of civic accomplishments includes his service to R. E. Lee Memorial Church, where he has served on the vestry for many terms and has been very active in mission outreach committees, including the Yellow Brick Road Child Care Center. He is one of the initial planners, supporters, former Chairman of the Board, and current Board Member of the Kendal at Lexington retirement community. He participated in the establishment of Meals on Wheels in Lexington, remains a board member, and has delivered meals for over twenty years. He was a member of the Lexington School Board. He has been and
* Attorney, Hunter Maclean Exley & Dunn, P.C., Savannah, Georgia.
remains an active member of the Democratic Party in both Lexington and Rockbridge County, running for mayor of Lexington in 1988, and is currently an appointed member of the Rockbridge County Electoral Board. He has also served as a member of the board of directors for the Virginia Skyline Girl Scout Council.
This list is not exhaustive, but clearly illustrates my father’s commitment to his community and environment. This commitment is purely genuine. As a law professor he has never been concerned with developing a client base; his commitment to community has never been a means to a further end. Instead, it has always been the end itself. My father simply is and always has always been an engaged citizen, compelled to contribute his time and talents to civic causes. There is no clearer example of leadership. He has exemplified the role legal professionals should take in our society.
My father is a teacher. He has been a law professor at Washington and Lee University since 1977. Although I never saw my father teach, his effectiveness as a teacher is evidenced by his being honored as most outstanding professor at the law school twice, and it was the act of teaching which always gave my father the most professional satisfaction. He placed great importance on his role in training future attorneys and enjoyed his relationship with students. He appreciated his students’ wit and laughed at “Hennemanisms.” He respected their opinions and was impressed by their talents.
I am sure there are many other examples of my father’s success and proficiency as a law professor, and I will leave it to others with more firsthand knowledge to share those. I know enough of my dad’s career to be proud of his professional accomplishments, and I am confident in his contribution to the legal profession. In my law practice I have met enough of my father’s former students to understand the impact he has had on others. But it was as a dad and in his commitment to his family that my father has truly established his legacy.
My father always appreciated the delicate balance between family and profession. He left a successful law practice at Winthrop Stimson because he did not want to raise a family in New York City. He arrived in Lexington in 1972 and began teaching in the law school five years later. My father’s career choice afforded him the opportunity to be home for dinner almost every night; to attend innumerable little league and high school soccer games, basketball games, swim meets and lacrosse games; to attend plays and concerts involving his children; and simply to be available to play catch in the back yard when his son wanted or needed to spend time with his dad. He provided support and guidance, freedom and discipline. He exhibited understanding and compassion.
My father has always made our family laugh. He communicates, teaches, and criticizes through his sense of humor and dry wit. His laughter is infectious.
My father appreciates his failings and is comfortable laughing at himself. He has a propensity to get flustered, but when he recovers he is quick to join in the laughter his reaction created.
My father has instilled in all of his children the importance of being a good person. Through his commitment to family, friends, and his community, Dad has shown us by his example that morals, ethics, charity, and altruism should be fundamental in our lives. In short, he has shown us that it is important to care.
My father has always made all of his children, and now his grandchildren, understand that we are important to him, and that what we feel, think, and accomplish is important. He expressed pride in our accomplishments as kids, whether on the playing field, the stage, or in the classroom; he challenged our opinions and encouraged our expression; and he pushed us to reach our potential. He gave us his time and full attention and made us his full-time commitment.
My father deserves to be commended at this time for a successful and distinguished career. He has served his profession and Washington and Lee University well. However, my father’s professional career is but a part of his life’s work, and as his son and now as a father myself, I am both grateful for and overwhelmed by his accomplishments as a dad. Like all parents, I find myself constantly redefining and examining what makes a good parent. My father is my constant guide on that personal journey. I respect and applaud my father for a successful career; I love my father for being my dad.
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Lesley Brown Schless*
Susan May Eckman**
Kirkland Malloy Kelley†
Elizabeth Turley††
"Ned and the Dead"
Within days, it stuck. It was not particularly clever or creative, but students often aren’t in nicknaming classes. It was simple yet descriptive (and provided a
* Washington and Lee University School of Law, J.D., 1980.
** Washington and Lee University School of Law, J.D., 1982.
† Washington and Lee University School of Law, J.D., 1982.
†† Washington and Lee University School of Law, J.D., 1980.
rare opportunity to refer to Professor Henneman, with his Ivy-Ivy pedigree and Wall Street suits, by his first name). Within days, and for years to come, Decedents' Estates and Trusts enjoyed student buzz: "I know it's hard to believe, but he makes it interesting. He's an academic practitioner. Great hypotheticals. You'll laugh 'til you hurt."
Few Washington and Lee graduates since 1979 conjure the Rule Against Perpetuities without recalling Mr. Henneman's straightforward and truthful admonishment: "It doesn't have to make any sense if you understand it." Under his guiding hand we did come to understand most of it and appreciate all of it—future interests, tax planning, philanthropy, dysfunctional families. He was practical and thorough. And, much to his pleasure, he never missed an opportunity to examine—more accurately, skewer—California law.
Several years after graduation, having taken all of Professor Henneman's classes, one of the signatories to this essay prevailed in her argument to the Virginia Supreme Court that a holographic will was valid, relying at least in part on a California case. "I'm convinced the assembled Justices found the case marginally credible, and I did acknowledge that Professor Henneman generally characterized California as 'one big hypothetical.' Perhaps that is why the vote was 4-3."
Teaching is but one of many ways that Professor Henneman has contributed to the stature and collegial culture of our law school, as the essays in this tribute confirm. But for us, Ned and the Dead, and Ned's teaching of it, holds the greatest ongoing significance. As attorneys who chose to pursue careers in Trust and Estate law, we thank him for the introduction. We salute his encouragement, his professionalism, and his charm. He taught us well.
Robert T. Danforth*
My life at Washington and Lee began in the fall of 1996 with a phone call from the then-Chairman of the Law School's Faculty Appointments Committee. Little did I know at the time how much the owner of the unassuming voice at the other end would positively affect my professional future. Before that phone call I knew Ned Henneman only by reputation, but since then it has been my good fortune to know him as a colleague, a mentor,
* Associate Professor of Law and Alumni Faculty Fellow, Washington and Lee University School of Law.
and a friend. Simply put, I would not be where I am today were it not for Ned; I owe him a tremendous debt of gratitude for the many ways in which he has helped to shape and advance my career. The story of Ned’s role in my life at Washington and Lee is a microcosm of his larger role at the law school, where he regularly placed the interests of students, colleagues, and the institution ahead of his own.
I am reasonably certain that I would not be at Washington and Lee were it not for Ned. As chairman of the Faculty Appointments Committee, Ned lobbied hard and selflessly for hiring a fellow faculty member in the trusts and estates, tax, and estate planning areas. Ned provided me with advice and encouragement throughout the interviewing process (though he left me on my own to devise a concise explanation of the Rule Against Perpetuities). Fortune smiled, and I received an offer to join the Washington and Lee community. As it turns out—and fortunately for me—Ned’s help and encouragement during the hiring process foreshadowed the role he would play as my colleague on the faculty.
Sometime during my first semester at the law school in the fall of 1997, Ned agreed to serve as chair of my Tenure Support Committee. Each semester during my first four and a half years at Washington and Lee, he undertook the job of periodically observing me in the classroom. It was more than a little intimidating to have Ned sitting in on my classes. Not only did he know more than I could hope to learn about many topics that came up in class, but he was also an extraordinary teacher whose wit and ability to capture the attention of his students were legendary.\(^1\) Our “post-mortem” discussions of my teaching were not always painless—Ned has a remarkable gift for blunt, though humorous, criticism—but they were always helpful, and I know that I am a better teacher because of them.
As chair of my Support Committee, Ned also faced the unenviable task of reviewing and providing advice about my scholarship during the pre-tenure period. Let me remind the reader that the subject matters of my work—income taxation of trusts and estates, estate tax apportionment, and the like—have been known to have a soporific, if not terminal, effect on the reader. (No reviewer alive has ever called one of my pieces “a real page turner.”) During this period,
\(^1\) Nor was this talent unused during faculty meetings. Among many memorable moments, one in particular comes to mind. As chair of the Appointments Committee it often fell to Ned to read aloud from letters recommending particular candidates. One such candidate had graduated from a well-known law school in New England. The faculty recommender seemed enormously pleased with this fact, as if it uniquely qualified the candidate for consideration. Ned did no more than read the letter verbatim, placing the slightest stress on the words, “The _______ Law School,” each time he came across them, which was often.
Ned read literally every word I wrote—often including multiple drafts—never failing to offer helpful and instructive comments that undoubtedly improved the quality of the finished product.
Ned’s common-sense advice was also uncommonly helpful in charting the course of my scholarship, smoothing as much as possible my path to the tenure I enjoy today. Recognizing that I might be inclined to write on practice-related subjects because of my many years of experience as a lawyer, Ned astutely guided me toward topics with more significant policy implications.\(^2\)
When the time came for the case for my tenure to be made, it was fitting that the Dean selected Ned to serve as a member of my tenure committee. It is no surprise to me that the process went as smoothly as it did; Ned understood and appreciated my teaching and my scholarship better than anyone else possibly could. He was tremendously supportive—and, as circumstances demanded, appropriately reassuring, critical, directive, or silent—throughout the period of my tenure decision.
For all these reasons and more, I owe Ned more than these few paragraphs can express. So do the rest of his colleagues, decades of his students, and the law school as whole. We owe a collective debt of gratitude to Ned for helping to guide the school to the prominence it enjoys today.
---
2. An anecdote aptly describes his role in this regard, along with his characteristic wit: During the meeting of the tenured faculty to review my first year pre-tenure work, Ned assured his colleagues that, despite the highly practical nature of my work product thus far, I would soon begin work on an article that would be "of no interest to anyone."
SYMPOSIUM
The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper.
1. **Demographic Data**: This includes information such as age, gender, race/ethnicity, education level, income, employment status, and marital status. Demographic data can be used to identify trends and patterns in consumer behavior, which can help businesses make informed decisions about their marketing strategies.
2. **Behavioral Data**: This includes information about how consumers interact with products or services, such as purchase history, website visits, and social media activity. Behavioral data can be used to understand customer preferences and needs, which can help businesses improve their products and services.
3. **Geographic Data**: This includes information about where consumers live, work, and shop. Geographic data can be used to identify market opportunities and target specific demographics with tailored marketing messages.
4. **Transactional Data**: This includes information about purchases made by consumers, such as product categories, prices, and payment methods. Transactional data can be used to analyze sales trends and identify areas for improvement in the supply chain.
5. **Sentiment Analysis Data**: This includes information about the emotions expressed by consumers through social media posts, reviews, and other online interactions. Sentiment analysis data can be used to gauge public opinion and identify potential issues before they become major problems.
6. **Predictive Analytics Data**: This includes information about future trends and patterns based on historical data. Predictive analytics data can be used to forecast demand, optimize inventory levels, and plan for potential disruptions in the supply chain.
7. **Customer Relationship Management (CRM) Data**: This includes information about customer interactions with a business, such as contact details, purchase history, and feedback. CRM data can be used to build relationships with customers and provide personalized experiences.
8. **Internet of Things (IoT) Data**: This includes information from connected devices, such as smart home appliances, wearables, and sensors. IoT data can be used to monitor and control various aspects of a business, such as energy consumption and equipment maintenance.
9. **Big Data Analytics**: This involves analyzing large volumes of data to uncover insights and patterns that may not be apparent through traditional methods. Big data analytics can be used to identify new opportunities and improve decision-making across all aspects of a business.
10. **Natural Language Processing (NLP) Data**: This includes information about the language used by consumers in online interactions, such as social media posts and customer service conversations. NLP data can be used to understand customer sentiment and improve communication with customers.
These are just a few examples of the many types of data that can be collected and analyzed using the methods described in this paper. By leveraging these data sources, businesses can gain valuable insights into their customers and operations, leading to improved decision-making and increased success.
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Cloning and Characterization of Postsynaptic Density 93, a Nitric Oxide Synthase Interacting Protein
Jay E. Brenman, Karen S. Christopherson, Sarah E. Craven, Aaron W. McGee, and David S. Bredt
Department of Physiology and Programs in Biomedical Sciences and Neuroscience, University of California at San Francisco School of Medicine, San Francisco, California 94143-0444
Nitric oxide (NO) formation in brain is regulated by the calcium/calmodulin dependence of neuronal NO synthase (nNOS). Calcium influx through NMDA-type glutamate receptors is efficiently coupled to nNOS activity, whereas many other intracellular calcium pathways are poorly coupled. To elucidate possible mechanisms responsible for this coupling, we performed yeast two-hybrid screening to identify proteins that interact with nNOS. Two nNOS interacting proteins were identified: the postsynaptic density proteins PSD-93 and PSD-95. Here, we report the cloning and characterization of PSD-93. PSD-93 is expressed in discrete neuronal populations as well as in specific non-neuronal cells, and it exhibits complex molecular diversity attributable to tissue-specific alternative splicing. PSD-93, like PSD-95, binds to nNOS and to the NMDA receptor 2B. PSD-93, however, is unique among PSD-95/SAP-90 family members in its expression in Purkinje neuron cell bodies and dendrites. We also demonstrate that the PDZ domain at the N terminus of nNOS is required, but it is not sufficient for interaction with PSD-93/95. Given that PSD-93 and PSD-95 each contain multiple potential binding sites for nNOS and the NMDA receptor, complexes involving oligomers of PSD-93/95 may help account for the functional as well as the physical coupling of nNOS to NMDA receptors.
Key words: neuronal nitric oxide synthase; NMDA receptor; postsynaptic density; Purkinje neurons; glutamate; calcium
Nitric oxide (NO) functions as a messenger molecule in numerous neuronal pathways in brain and periphery (Bredt and Snyder, 1992; Vincent and Hope, 1992; Garthwaite and Boulton, 1995). NO formation in neurons is stimulated by increases in intracellular calcium that locally activate neuronal NO synthase (nNOS) through interaction with calmodulin (Garthwaite et al., 1988; Bredt and Snyder, 1989; Knowles et al., 1989; Bredt and Snyder, 1990). Intracellular calcium is tightly regulated in neurons, and only certain calcium influx pathways are efficiently coupled to nNOS activity. In cerebellar granule cells, calcium influx through NMDA-type glutamate receptors is coupled to nNOS activity and to subsequent accumulation of cGMP (Ferrendelli et al., 1974; Bredt and Snyder, 1989; Garthwaite et al., 1989). This NMDA receptor pathway demonstrates specificity. Other neurotransmitters that increase intracellular calcium in granule neurons, including kainate, quisqualate, AMPA, and muscarinic agonists, are not as effective at stimulating NO formation (Kiedrowski et al., 1992). Depolarizing agents effectively stimulate NO formation in brain, but this increase is largely blocked by APS (Reiteri et al., 1991), a specific NMDA receptor antagonist. NMDA receptor antagonists also attenuate basal and stimulated NO levels in brain of awake animals (Luo et al., 1993). A fundamental understanding of NO actions in brain requires elucidation of mechanisms that functionally couple nNOS to NMDA receptors.
Recently, NMDA receptor subunits have been shown to bind to the postsynaptic density protein PSD-95 (Kornau et al., 1995). The physiological significance of NMDA receptor interaction with PSD-95 is unclear but is postulated to play a role in the assembly of multiprotein complexes involved in NMDA receptor-mediated synaptic plasticity (Kornau et al., 1995).
To determine which protein–protein interactions participate in coupling NMDA receptors to NO formation in brain, we screened for nNOS binding proteins using the yeast two-hybrid system (Fields and Song, 1989). We identified two classes of interacting gene products from a screen of $10^6$ plaques (Brenman et al., 1996). One group encoded fragments of PSD-95, and the other group encoded a novel related protein, PSD-93. Here, we report the cloning and characterization of PSD-93. We find that PSD-93 mRNA is highly enriched in brain, where it occurs discretely in specific neuronal populations. Outside the brain, PSD-93 occurs in specific neuronal and non-neuronal cells. Cloning of multiple PSD-93 cDNAs from brain indicates molecular heterogeneity, consistent with tissue-specific alternative splicing of the mRNA. Immunocytochemistry demonstrates that PSD-93 is likely postsynaptic in cerebellar Purkinje cell dendrites but does not rule out a presynaptic localization elsewhere. Biochemical studies demonstrate that the PDZ motif within PSD-93 bind to nNOS as well as to the tSXV motif of NMDA receptor 2B. Surprisingly, we find that additional sequence outside the PDZ domain of nNOS is required for binding to PSD-93/95.
MATERIALS AND METHODS
Generation of PSD-93 and PSD-95 antisera. Glutathione-S-transferase fusion proteins encoding amino acids 77–453 of PSD-93 and amino acids 1–386 of PSD-95 were expressed in vitro from *Escherichia coli*. Guinea pigs were immunized with the PSD-93 fusion. The antisera were immunized with the PSD-95 fusion. Antisera were emulsified in complete and incomplete Freund's adjuvant. Serum bleeds were evaluated by ELISA.
cDNA cloning and analysis. A human PSD-93 cDNA encoding amino acids 116–431 isolated as an nNOS interacting fragment was used to screen a rat brain cDNA library (Stratagene, La Jolla, CA). Ten hybridizing cDNAs were isolated from a screen of 10⁶ phage. Clones were sequenced on both strands using the dideoxy chain termination method (U.S. Biologicals). The GenBank accession number for PSD-93 is U50717.
mRNA isolation and Northern blot analysis. RNA was isolated using the guanidinium isothiocyanate/CsCl method, and mRNA was selected using oligo-dT Sepharose. For Northern blotting, mRNA was separated on a formaldehyde agarose gel and transferred to a nylon membrane. The filter was sequentially hybridized with random-prime-³²P probes that were generated from full-length PSD-93 cDNAs as template. A common probe corresponding to nucleotides 237–843 of PSD-93. Transcription-specific probes, 5′ and 3′, were generated by the polymerase chain reaction and corresponded to the unique regions 5′ of lysine 14 (see Fig. 1B). After each hybridization, the membrane was washed at high stringency, 68°C, with 0.1% SSC, 0.1% SDS, and exposed to x-ray film at −70°C.
In situ hybridization. Adult rats were perfused with 4% paraformaldehyde and brains were harvested, post-fixed at 4°C for 3 hr, and cryoprotected in 20% sucrose overnight. Twenty micrometer sections were cut on a cryostat and melted onto glass slides (Plus, Fisher Scientific, Houston, TX). Embryonic 15 day rats were exposed to Cesarac fixation, fixed in paraformaldehyde, and sectioned in parallel from adult brains. In situ hybridization used ³⁵S-labeled RNA probes as described (Saunders and Rosenthal, 1993). Antisense probe to PSD 93 (nucleotides 237–927) and sense control were synthesized from pBluescript vectors. Tissue sections were exposed to x-ray film for 4 d and then were dipped into photographic emulsion (Kodak NTB-2) and exposed for 14 d.
Immunohistochemistry. Adult rats. Animals were anesthetized with pentobarbital and perfused with 4% freshly depolymerized paraformaldehyde in 0.1 M phosphate buffer. Tissues were removed and post-fixed in paraformaldehyde for 1 hr at 4°C. Tissues were cryoprotected overnight in 20% sucrose. Free-floating sections (40 μm) were cut on a sliding microtome. Sections were washed for 10 min in PBS containing 1.5% normal goat serum and then incubated overnight in the same buffer containing diluted antisera. For indirect immunofluorescence, secondary goat anti-rabbit FITC- and donkey anti-guinea pig Cy 3-conjugated antibodies were used according to the manufacturer’s specifications (1:200; Jackson Laboratories, Bar Harbor, ME).
Fusion protein of *Escherichia coli*. Fusion protein of GST fused to amino acids 77–453 of PSD-93 (amino acids 1–100, 1–150, or 1–195 of nNOS) were expressed in *E. coli* and purified on glutathione-Sepharose beads as described (Brennan et al., 1995). Whole brain was homogenized in 10 vol (w/v) Tris-HCl buffer, pH 7.4, and centrifuged at 32,000 × g for 20 min. Membranes were solubilized for 2 hr at 4°C in buffer containing 200 mM NaCl, 1% Triton X-100, and 1 mM PMSF and made dense by centrifugation at 100,000 × g for 30 min. Solubilized membranes were incubated with control (GST) or GST fusion-protein beads. Samples were loaded into disposable columns, which were washed with 50 vol of buffer containing 1% Triton X-100, 300 mM NaCl. Retained proteins were eluted in 150 μl of buffer containing 10 mM reduced GSH. Blots were hybridized with a monoclonal antibody to nNOS (Transduction Laboratories, Lexington, KY). NMDA receptor peptide (KLSSIESDVF) or control peptide (KLSSIEADA) was added where indicated during tissue incubation with the fusion protein.
RESULTS
Molecular cloning of PSD-93
To determine the molecular structure of PSD-93, we screened a rat brain library with a fragment of human PSD-93 isolated as an nNOS interacting gene product (Brennan et al., 1996). Ten hybridizing clones were isolated from a screen of 10⁶ phage. Clones encoding the full open-reading frame were sequenced on both strands and predicted a protein of 834 amino acids and 93 kDa (Fig. 1A). Sequence analysis revealed that PSD-93 shares ~70% homology with PSD-95 (or SAP-90) and with HDLG (or SAP-97). These three proteins share a common domain structure consisting of three PDZ (or GLGF) protein motifs followed by an SH-3 domain and finally a domain homologous to yeast guanylate kinase. Considerable sequence divergence between these homologous proteins occurs at the N terminus. In addition, HDLG and PSD-93 have small inserts between the SH3 and guanylate kinase domains. PSD-93 also has a unique larger insert between the second and third PDZ repeats.
Analysis of multiple PSD-93 cDNAs indicated three sites for putative alternative splicing. Certain cDNA clones isolated from the library had either a 102 base pair (bp) (34 amino acid) or a 45 bp (15 amino acid) insert between amino acids K624 and R625 (Fig. 1C). Another example of alternative splicing was found by RT-PCR amplification of rat brain cDNA using primers that flank the large insert that is unique to PSD-93. In these amplifications, we consistently found two bands, one corresponding to the PSD-93 clones isolated from the library and another that lacked 156 nucleotides (52 amino acids) between PDZ-2 and PDZ-3 (noted as a deletion in Fig. 1D).
The greatest degree of heterogeneity was found at the N terminus of PSD-93 where we isolated cDNA clones with four distinct sequences (Fig. 1B). The most commonly obtained transcript, 5′a, contained an inframe starter ATG codon that predicted a protein of 93 kDa and contained 220 bp of 5′ untranslated sequence. The largest transcript, 5′a, diverged from 5′b immediately upstream of lysine 14, encoded two potential starter methionines, and contained at least 257 bp of 5′ untranslated sequence. The sequence of two other cDNAs isolated from the library diverged from PSD-93 at points further into the translated sequence. 5′c diverged upstream of alanine 69 and contained an inframe starter methionine. 5′d diverged from the common PSD-93 sequence upstream of threonine 78 and did not contain an inframe ATG start codon. Translation of the 5′d transcript may initiate at the first in frame ATG codon, which occurs at amino acid 228, or may initiate at a noncanonical start codon.
Expression of PSD-93 mRNA
We evaluated the overall distribution of PSD-93 by Northern blotting using a probe to sequences that are present in all of the alternatively spliced forms. PSD-93 mRNA occurred as a single band of ~7.5 kb in poly(A)+ RNA from brain (Fig. 2A). Under these conditions, PSD-93 could not be detected in poly(A)+ RNA from kidney, spleen, liver, heart, or skeletal muscle. We also evaluated the distribution of PSD-93 in various brain regions. Highest levels were found in cerebral cortex and cerebellum, with somewhat lower densities in striatum and hippocampus, and essentially no PSD-93 could be detected in brain stem. The PSD-93 hybridizing bands in forebrain regions migrated as ~7.5 kb bands, whereas that in cerebellum migrated just slightly faster (Fig. 2B).
The altered migration that the message is alternatively spliced in a tissue-specific manner. To evaluate this, we rehybridized the blot with probes corresponding to the two large alternative N termini. The first probe, 5′a, hybridized to a single band of ~7.5 kb from rat brain RNA and resembled the distribution of the general PSD-93 probe in various brain regions (Fig. 2C). On the other hand, hybridization with 5′b indicated that this transcript occurs selectively in forebrain regions and is absent from cerebellum (Fig. 2D).
We next evaluated the cellular distribution of PSD-93 mRNA by *in situ* hybridization. As reported previously (Brennan et al., 1996), PSD-93 occurred in subpopulations of neurons in the adult brain. In the forebrain, PSD-93 was apparent in cerebral cortex, striatum, and hippocampus. Highest densities in hippocampus were found in pyramidal neurons of Ammon’s horn and in granule cells of the dentate gyrus (Fig. 3a). In the hindbrain, PSD-93 was restricted to Purkinje neurons of cerebellum (Fig. 3a). PSD-93
Figure 1. Predicted amino acid sequence and alternative splicing of PSD-93. A, Alignment of PSD-93 with PSD-95 and HDLG-SAP97 indicates an overall amino acid identity of ~70%. Identical amino acids are indicated by black boxes, and conserved amino acid changes are shaded by gray boxes. B, The N terminus of PSD-93 is alternatively splice prone. Sequences of the four alternative N-terminal transcripts (5′a–d) are indicated. Black triangles denote the sites at which the sequences diverge from PSD-93. The amino acid numbers in bold refer to that predicted using 5′b of PSD-93. In-frame starter methionines or stop codons are indicated. C, Two different alternatively spliced inserts occur between amino acids K624 and R625. The arrow indicates the location at which the two isoform insertions occur. The sequences of the alternative insertions are also shown. D, A schematic model showing the domain structure of PSD-93. Identified sites of putative alternative splicing are indicated. (PSD-93 has been given GenBank accession number U50717.)
was not detected in brain stem structures, confirming the regional distribution found by Northern analysis.
To determine expression of PSD-93 in peripheral tissues, we conducted *in situ* hybridization on E15 rat embryo (Fig. 3b). We found highest densities of PSD-93 in developing brain and spinal cord. Several neuronal populations in the periphery also showed strong hybridization, including myenteric neurons of the intestine and sensory neurons of the dorsal root ganglia and trigeminal ganglia. Unlike PSD-95, certain non-neuronal tissues contained PSD-93. Particularly high levels of PSD-93 were noted in several glands, including the adrenal, thymus, and submandibular glands.
**PSD-93 is present in Purkinje cell bodies and dendrites in cerebellum**
To compare the cellular localization of PSD-93 and PSD-95 in brain, we developed affinity-purified antisera to PSD-93 and PSD-95 in guinea pig and rabbit, respectively. Immunoblotting of total brain homogenate demonstrates that antiserum to PSD-93 predominantly recognizes a protein product that migrates at ~103 kDa (Fig. 4). The antiserum to PSD-95 recognizes a protein that migrates at ~95 kDa. Longer exposure of the PSD-95 Western blot reveals a second reactive band of ~75 kDa. This lower band has been noted previously by others (Cho et al., 1992).
Although PSD-95 is postsynaptic in forebrain (Hunt et al., 1996), PSD-95 immunoreactivity in cerebellum is most concentrated in the presynaptic axon terminals of basket cells (Kistner et al., 1993; Hunt et al., 1996). These PSD-95-rich terminals form dense structures called beards or pineaus about the Purkinje neuron axon hillock (Fig. 5). PSD-93 immunoreactivity, in contrast, is highly enriched in Purkinje neuron somata and dendrites (Fig. 5), suggesting possible postsynaptic functions for PSD-93 in cerebellum. PSD-93 immunoreactivity is also postsynaptic in the dendrites of hippocampal neurons (data not shown). No immunoreactivity is observed with preimmune serum for either PSD-95 or PSD-93.
**nNOS binds to PSD-93**
PSD-93 was identified in a yeast two-hybrid screen as an nNOS interacting protein (Brennan et al., 1996). To verify this interaction biochemically, we expressed and purified a fragment of PSD-93 as a glutathione-S-transferase protein (G-P93) in *E. coli*. The expressed fragment encoded amino acids 77–453, which represent the first two PDZ domains of PSD-93. We evaluated binding of endogenous nNOS to this fragment of PSD-93 by affinity chromatography (Brennan et al., 1996). Crude solubilized brain extracts were incubated with G-P93 or control. Glutathione-Sepharose was added, and nonspecific proteins were removed by washing with buffer containing 300 mm NaCl and 1% Triton
B
5′a
```
toccccaacccotgctttctttcgggaagacgaccoccgagaoccartgtattgcogcca
gnagtgcttgcacttagctcogggatggctgcacccgggraggggragggatcacgctgcoctgctttcagctgtctagggcaggctgrocctcog
agcacrtgggtgagcaccgagtctgctttccccagcaagctgccagcocaaaaggaaatgtccctgtcttaaggaccttgactgtttactcca
```
```
atg att tgc cac tgt aaa gtt gct tgc acc aac act ttg tcg ttg atg ttt gga tgc aag aag tat cga tac...
M I C H C K V A C T N N T L S L M F G C K Y R Y ...
```
14
---
5′b
```
ctaatggaattactgggcataaagctat
atatgcgaatgagatctcgagcttcactcaactgtgctttcaagacatgtgcttttgtagcagaggaacagggatccatgttttcaaaactgacagag
gaacggatgtctttctagcacatgccagatctggtgtggtgggtctgggtgtgtgtgtaagaaagctgatccacggcccatatgccccttatattactgca
```
```
atg ttc ttt gca tgt tat tgt gca ctc cgg act aac gtg aag aag tat cga tac...
M F F A C Y C A L R T N V K K Y R Y ...
```
14
---
5′c
```
gagtgtctttcttaaaaacaatgtgaagaaagct
atg caa cat gcg ttc att ccg gct agc cct gct cct ata att ctc agc aca gac act ttg...
M Q H A F I P A S P A P I I V N ...
```
69
---
5′d
```
ggcacgagctttctcacattgttt
tag aga agc aat tgt atc cca cag aag ctg ata att ctc agc aca gac act ttg...
STOP R S N C I P Q K L I I L S E D T L ...
```
78
---
C
```
gca aaa cct ggt gtg att gat tcc aaa cga gga caa gaa gat ctc att ctt tcc...
A K P G V I D S K R G Q E D L I L S ...
```
616
Insertion 1
```
ggg tca ttc aat gac aag cgt aaa aag agc ttc atc ttt tca cga aaa ttc cca
G S F N D K R K K S F I F S R K F F F
```
```
ttc tac aag aac sag gag cag agt gag cag gaa acc agt gat cct gaa
F Y K N K E Q S E Q E T S D P E
```
Insertion 2
```
ggg aca tcc cgg tta ggt gac gac ggt tat gga aca aag act ctg
G T S R L G D D G Y G T K T L
```
D
5′a
5′b
PDZ-1
PDZ-2
Insertion 1
Insertion 2
5′c
5′d
Deletion
SH3
Guanylate Kinase
Figure 1 continued.
X-100. Adherent proteins were eluted with loading buffer and resolved by SDS-PAGE. Western blotting showed selective retention of nNOS to a PSD-93 column but not to a control GST column (Fig. 6). Previous studies indicate that nNOS interacts selectively with the second PDZ motif of PSD-95 and that binding can be competed away with a peptide corresponding to the nine terminal amino acids of the NMDA receptor 2B (KLSSIESDV).
To determine whether binding of nNOS to PSD-93 displayed similar properties, we repeated the “pull-down” assays in the presence of varying concentrations of the NMDA receptor peptide. We found that this 9-mer peptide potently displaced nNOS from PSD-93 ($K_d < 5 \mu M$). Displacement by the NMDA receptor peptide was specific. A control peptide (KLSSIEADA), with only point mutations of the consensus serine and valine residues to alanines, had no effect on binding, even at higher concentrations (Fig. 6).
The PDZ domain of nNOS is contained within the first 100 amino acids, whereas the first 195 amino acids of nNOS were originally used to identify PSD-93 in a two-hybrid screen. We therefore asked whether the PDZ domain of nNOS was sufficient for interaction with PSD-93. To address this question, we engineered overlapping constructs spanning the amino terminal 195 amino acids of nNOS and screened for interaction with PSD-93 by the yeast two-hybrid system (Table 1). We found that constructs containing the first 150 amino acids of nNOS were necessary and sufficient for association with PSD-93. Deletion of sequences on either side of this 150 amino acid domain produced fusions that failed to interact with PSD-93. Importantly, an N-terminal 100 amino acid construct encoding the entire consensus PDZ domain of nNOS did not associate with PSD-93.
To verify that the PDZ domain of nNOS is not sufficient for interaction with PSD-93, we biochemically evaluated binding using affinity chromatography. GST fusion proteins encoding amino acids 1–100, 1–150, and 1–195 were linked to columns of glutathione-Sepharose beads and were incubated with solubilized brain extracts (Fig. 7). After the columns were washed, retained proteins were identified by Western blotting. Again, we found that amino acids 1–150 of nNOS potently interacted with PSD-93 but that amino acids 1–100 are not sufficient for association. In parallel experiments, we found that amino acids 1–150 of nNOS are necessary and sufficient for interaction with PSD-95 (data not shown).
**DISCUSSION**
These studies identify PSD-93 as a novel member of a growing family of proteins with both PDZ motifs and homology to guanylate kinases. These proteins seem to organize signaling molecules at membrane junctions. The PDZ motif contains ~100 amino acids and is present in a diverse family of enzymes and structural proteins. The first identified member of this group, discs-large (dlg) tumor suppressor protein of *Drosophila*, is localized to septate junctions of epithelial cells in *Drosophila* larvae. The absence of *dlg* in mutant flies results in disruption of the septate junctions, loss of cell–cell adhesion, and neoplastic growth of epithelial cells in the larval imaginal disks (Woods and Bryant, 1991). Mammalian homologs of *dlg* have also been localized to sites of cell–cell contact. For example, zona occludens 1 and 2 (ZO1 and ZO2) occur at tight junctions of epithelial cells (Stevenson et al., 1986; Willott et al., 1993; Jesaitis and Goodenough, 1994). PSD-95/SAP-90 and HDLG/SAP-97 are enriched in presynaptic compartments of certain synapses (Kistner et al., 1993; Lue et al., 1994; Muller et al., 1995) and postsynaptic densities of forebrain neurons (Hunt et al., 1996). The high densities of PSD-93 mRNA identified here in specific neuronal populations in brain and periphery suggest an analogous role for PSD-93 in synaptic function. The dramatic enrichment of PSD-93 in cerebellar Purkinje
---
**Figure 2.** Tissue expression and alternative splicing of PSD-93. *A*, Northern blotting of adult rat tissues indicates that PSD-93 is expressed as an ~7.5 kb transcript that occurs in brain (*Br*) but not in kidney (*Ki*), spleen (*Sp*), liver (*Li*), heart (*He*), or skeletal muscle (*Sk*). *C*, Northern blotting of brain regions demonstrates that PSD-93 is present in cerebellum (*Cb*), cortex (*Cx*), hippocampus (*Hi*), and striatum (*St*) but is absent from brainstem (*BS*). Note that the band in cerebellum migrates slightly faster than that in other brain regions. For *A* and *B*, a probe common to all of the alternatively spliced forms of PSD-93 was used. *D, E*, The blot in *B* was sequentially rehybridized with probes corresponding to two of the alternatively spliced C-terminal regions of PSD-93. *C*, Probe through 5 reveals that the regional distribution of this splice variant is similar to that of PSD-93. *D*, 5′b, however, is selectively absent from cerebellum. *B, F*, Duplicate samples of mRNA were probed for glyceraldehyde 3-phosphate dehydrogenase to demonstrate loading and integrity of the mRNA for the above blots.
Figure 3. Cellular localization of PSD-93 mRNA in adult brain and E15 embryo. *In situ* hybridization was used to localize transcripts for PSD-93 (A, C, E, G) or sense control (B, D, F, H).
*a.* In adult brain, PSD-93 seems to be neuron-specific and is highly expressed in Purkinje neurons in the cerebellum (*Cb*) and also occurs in pyramidal and granule cells in hippocampus (*H*).
*b.* In E15 embryo, PSD-93 is abundantly expressed in neurons of spinal cord (*SC*), dorsal root ganglia (*DRG*), and intestine (*In*). PSD-93 is also observed in cells of the thymus (*Thy*) and submandibular gland (*SG*).
cells, which lack other members of this gene family, may indicate an important role for PSD-93 in synaptogenesis for Purkinje cells as well as postsynaptic function in cerebellum. Targeted disruption of PSD-93 in vivo should help clarify this question.
PSD-95/SAP-90 was identified independently by two laboratories as an abundant and detergent-insoluble protein enriched in brain synaptosomal fractions (Cho et al., 1992; Kistner et al., 1993). Specific functions for PSD-95 remain uncertain, and no catalytic activity has yet been demonstrated for the guanylate kinase domain. Yeast two-hybrid analysis, however, identified that PSD-95 can bind to NMDA receptor subunits and to certain K⁺ channels (Kim et al., 1995; Kornau et al., 1995). PSD-95 and NMDA receptor 2B have been shown to cluster together at synaptic sites in hippocampal neurons in culture (Kornau et al., 1995). In addition, coexpression of PSD-95 with K⁺ channel Kᵥ1.4 results in redistribution and clustering of the channel in cell surface patches (Kim et al., 1995). These studies identified that the first two PDZ repeats of PSD-95 can participate in a domain interaction with ion channels that contain a C-terminal tSIXV motif (Kim et al., 1995; Kornau et al., 1995). We similarly find that PSD-93 expressed as a GST fusion protein interacts with Kᵥ1.4, which contains the tSIXV motif (data not shown). Therefore, PSD-93 may also play a role in clustering of synaptic receptors in certain neurons.
In brain, nNOS is enriched in membrane fractions (Hecker et al., 1994; Brennan et al., 1996). Electron micrographic studies demonstrate that membrane-associated nNOS is concentrated in axon terminals and over thick postsynaptic densities (Aoki et al., 1993). This membrane association of nNOS in neurons is mediated by the PDZ-containing domains, because nNOS isoforms lacking this domain occur only in soluble fractions of brain extracts (Brennan et al., 1996). Membrane association of nNOS in brain may be mediated by interaction with PDZ repeats in PSD-95 and PSD-93. These PDZ domain interactions are specific: nNOS interacts selectively with the second PDZ motif of PSD-93/95 (Brennan et al., 1996). Because the first and third PDZ domain of PSD-95 can interact independently with tSIXV domains of certain ion channels (Kim et al., 1995; Doyle et al., 1996), PSD-95 and PSD-93 may serve as molecular bridges linking ion channels to nNOS. This compartmentalization of nNOS with ion channels may account for the selective coupling of specific calcium influx
**Figure 4.** Specificity of antisera to PSD-93 and PSD-95. Western blot analysis reveals that the predominant PSD-93 protein product in rat brain migrates at 103 kDa, whereas the major PSD-95 reactive band migrates at 95 kDa. Proteins from rat brain homogenates (50 μg of protein/lane) were size-fractionated by SDS-PAGE and analyzed by immunoblotting with affinity-purified antiserum to either PSD-95 (*lane 1*) or PSD-95 (*lane 2*). Size markers are in kilodaltons.
**Figure 5.** PSD-93 is postsynaptic, whereas PSD-95 is predominantly presynaptic in rat cerebellum. A sagittal section of rat cerebellum was processed for indirect immunofluorescent double-labeling using a guinea pig antiserum to PSD-93 and a rabbit antiserum to PSD-95. *A*, PSD-93 immunoreactivity, visualized in the red channel, is present in Purkinje cell somata and molecular layer (*M*) of cerebellum (100× magnification). *B*, PSD-95, visualized in the green channel, is present within the synaptic plexus formed by axons beneath the Purkinje cell layer (*P*) (100× magnification). *C*, Higher-power double exposure shows that PSD-93 immunoreactivity (*orange*) is confined to Purkinje neurons (*arrow*), whereas PSD-95 immunoreactivity (*green*) primarily labels the presynaptic basket cell pinceaux (*arrowhead*) (400× magnification). Note that the *orange color* observed on double exposure is attributable to the longer exposure times required by FITC filters.
Figure 6. The PDZ repeats of PSD-93 interact with nNOS and the tSXX motif of NMDA receptor 2B. Glutathione-Sepharose beads bound to GST or to the PSD-93 protein fragment (amino acids 77–453) fused to GST (G-P93) were incubated with brain extracts. After the beads were washed extensively, retained proteins were eluted with 0.2% SDS and separated by SDS/PAGE. Western blotting indicates that nNOS is selectively retained by G-P93 (lane 3) but not by GST alone (lane 2). Binding assays performed in parallel indicate that the NMDA receptor 2B C-terminal peptide displaces nNOS from G-P93 columns at concentrations of 4 and 5 μm subcellularly at 5 μm (lanes 6 and 7), and negligibly at 0.1 μm (lanes 8 and 9). A control peptide had no effect on nNOS binding to G-P93 at 10 μm (lanes 10 and 11). Input = 10% of the protein loaded onto the fusion-protein columns.
Yeast Y187 cells were cotransformed with expression vectors encoding various Gal4 DNA binding domain and Gal4 activation domain fusion proteins. Each transformation mixture was plated on synthetic dextrose plates lacking tryptophan and leucine. Interaction was measured by the liquid culture β-galactosidase assay as described (Fields and Song, 1989; Chien et al., 1991).
Values are representative of experiments repeated twice with similar results.
Table 1. Interactions of nNOS and PSD-93
| Gal4 DNA binding hybrid | Gal4 activation hybrid | β-Galactosidase units |
|-------------------------|------------------------|-----------------------|
| nNOS (amino acids 1–100) | PSD-93 (116–421) | 1.23 |
| nNOS (40–150) | PSD-93 (116–421) | 1.64 |
| nNOS (40–195) | PSD-93 (116–421) | 1.51 |
| nNOS (100–195) | PSD-93 (116–421) | 1.06 |
| nNOS (1–150) | PSD-93 (116–421) | 14.7 |
| nNOS (1–195) | PSD-93 (116–421) | 17.2 |
| Lamin C (60–230) | PSD-93 (116–421) | 0.430 |
One PDZ subunit interacts with residues in β-strands from the other subunit (Cabral et al., 1996). This binding topology of PDZ domains may explain why the tSXX peptide of NR2B potently blocks nNOS binding to PSD-93.
Other studies have shown that PDZ domains can interact with transmembrane proteins, which entirely lack tSXX motifs (Shieh and Zhu, 1996). Interaction of nNOS with PSD-93/95 shows certain unique characteristics. nNOS is the first peripheral membrane protein found to interact with a PDZ domain. Also, the PDZ domain of nNOS is involved in binding to the PDZ domain of PSD-93/95. Future structural studies of the amino terminal domain of nNOS should identify determinants that confer binding of nNOS to PSD-93/95. Interestingly, we report here that the PDZ domain of nNOS alone is not sufficient for association with PSD-93. It will be important to determine whether interaction of PDZ domains and adjacent sequences is a common mechanism for organization of signaling machinery.
Cloning of PSD-93 identifies a significant heterogeneity of tran-
Figure 7. The 100 amino acid PDZ domain of nNOS is not sufficient to bind to PSD-93. Glutathione-Sepharose beads bound to GST alone or to GST fusion-protein fragments encoding various N-terminal domains of nNOS (G-nNOS) were incubated with brain extracts. After the beads were washed extensively, retained proteins were eluted with 0.2% SDS and separated by SDS/PAGE. Western blotting with PG-93 antiserum reveals that PSD-93 does not bind to GST alone (lane 2) or to G-nNOS-100 (lane 3) but is selectively retained by G-nNOS1-150 (lane 4) and G-nNOS1-195 (lane 5). Input = 10% of the protein loaded onto the fusion-protein columns (lane 1).
scripts. Our molecular studies identified six examples of putative alternative splicing, and it seems likely that additional heterogeneity exists. Alternative splicing within the open reading frame regulates the expression of inserted sequences between the second and third PDZ motifs and between the SH3 and guanylate kinase domains. These alternative splicing events may modify the protein-binding properties of the PDZ and SH3 domains. A more complex level of alternative splicing occurs at the N terminus of PSD-93, where the alternative 5' regions are expressed in a tissue-specific manner. Thus the PSD-93 gene may contain multiple promoter regions that are differentially active in specific tissues and during specific developmental stages. Similar complex mechanisms for transcriptional regulation of the nNOS gene have been detected in human (Xie et al., 1995) and rat tissues (Brennan et al., 1996).
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The Effectiveness of Lean Manufacturing Tools in Maintaining Quality Control (Assurance): A Case of a Door Manufacturing Company in Malaysia
Zurinah Suradi, Nazatul Shima Abdul Rani, and Noor Haslina Yusof
Abstract—This paper highlighted on the effectiveness of lean manufacturing tools in maintaining quality control or assurance in a door manufacturing company in Malaysia. The company has experience producing defective product at an alarming rates. Hence, Poka Yoke has been applied to reduce waste or defective door components produced in the manufacturing plant. After the application of Poka Yoke method, it has reduced from 29% to 6%. Hence, Poka Yoke method can be used to reduce defective production of a door components at the door manufacturing plant in Malaysia.
Index Terms—effectiveness, lean manufacturing, quality, control, assurance, poke yoke, waste reduction, management.
1 INTRODUCTION
In a manufacturing plant producing defective products are not acceptable due to increase in waste that lead to increase production cost and reducing profitability of the company. Hence, quality assurance is highly needed in order to ensure high efficiency rate, and reduce of cost and waste from producing defective products.
In industrial manufacturing most companies receives complaints on product quality from customers. In manufacturing industry, quality is defined as anything that adds value to the end product from the customer’s perspectives [6]. Manufacturer have to maintained low operational cost, and at the same time able to produce high quality products without defects [6], [12], [13]. Hence, this is a huge challenge for most manufacturing companies.
The objectives for this study is to identify the total rejection for the last three months operations, and to propose poke yoke tool in reducing production rejection. Poka yoke is one of the lean manufacturing tools which can be used or applied to reduce the number of rejections during production process.
2 LITERATURE REVIEW
2.1 What is Lean?
Lean is a manufacturing philosophy in manufacturing that incorporates principles, tools, and techniques into the business processes in optimizing time, human resources, assets, and productivity that will enhance quality level of products and services delivered to the customers [11].
According to [2] by applying lean, it can improve processes and eliminate waste in terms of excess of work, capacity, time, and cost. Further, it can be applied to any processes and type of industries due to its principles which are value creation, waste elimination, integrity building, continuous learning, localize responsibility, fast delivery, delay commitment, and optimizing the whole. It should add more values to the customers as it will allow continuous improvement from a standard at the point of activity by everyone, everywhere, and everyday [10].
[9] had proposed five lean thinking fundamentals that include:
1. Specify value from the customer perspective.
2. Identify the value stream by eliminating steps that do not create value.
3. Make value flow continuously by eliminating causes of delay.
4. Pull value through customers and avoid pushing work into the next process or department by letting work and supplies be pulled as and when needed.
5. Pursue perfection via continuous process improvement.
2.2 Lean Manufacturing
Lean manufacturing systems was started at Toyota Motor Company, whereby they had devised a new and more disciplined process oriented system that is now known as “Toyota Production System” or “Lean Manufacturing”. The focus of the system is to identify the major sources of waste and using the JIT, production smoothing, setup reduction and other systems to eliminate the waste [17].
Lean manufacturing is a systematic approach to identify and eliminate wastes (non-value added activities) through continuous improvement processes in producing products or rendering services in meeting customers demand or requirements [4], [14]. This suggests the existence of a synergistic work practices environment in the company to fulfill quality requirements and added value to products produced or services rendered. In addition, lean manufacturing may eliminate problems associated with poor production scheduling and line balancing. In return, companies are also seen to have a competitive edge since customers know that the companies will produce value added quality products.
The waste-elimination concept of Lean manufacturing has a significant impact on various industries including factories, healthcare, and hotels. The waste could be in terms of:
- Transport (moving products that are not actually required to perform the processing),
- Inventory (all components, work in process, and finished product not being processed),
- Motion (people or equipment moving or walking more than is required to perform the processing),
- Waiting (waiting for the next production step, interruptions of production during shift change),
- Overproduction (production ahead of demand),
- Over Processing (resulting from poor tool or product design creating activity), and
- Defects (the effort involved in inspecting for and fixing defects) [4].
Application of lean manufacturing leads to gaining competitive advantage in the world market by being able to eliminate waste (non-value added activities). The main aim of lean manufacturing is to reduce non-value added activities while continuously improve productivity, product quality, and deliver on-time to the customers [6].
Usually, lean manufacturing is used to eliminate poor production scheduling and line balancing, and most suitable for companies without ERP systems or weak material requirement planning (MRP), that includes production scheduling or production allocation systems.
2.3 Benefits of Lean Manufacturing Tools
There are few benefits can be gained from the lean manufacturing tools, as discuss below:
2.3.1 To Improve Response Time to Customer Demand
Lean manufacturing allow for more efficient production with less lead times, with high quality products as it reduce defects and waste. The application of JIT allows for faster production to meet demand on time, with greater efficiency and higher product quality [6].
2.3.2 To Reduce Inventories
Lean manufacturing tools allow for more efficiency, and less storage needed to store inventories. As along the way, unnecessary stock will be reduce via KAIZEN [15].
2.3.3 To Reduce Working Capital Requirements
Raw materials will be received Just in Time for production and will be send out to customer Just in Time for their consumption [6].
2.3.4 To Simplify and Visual Control
Unnecessary work or repetitive works will be eliminated in order to increase efficiency, and less manpower intervention in order to speed up the production process [12], [13].
2.3.5 To Improve Productivity
Every single minute is count for more efficiency, and all error eliminated earlier before production, and well maintain machine enable greater efficiency as it will eliminate factory shutdown at the manufacturing plant [1], [3], [12], [16].
2.4 Tools in Lean Manufacturing
Tools for lean manufacturing are continuous improvement (KAIZEN), just in time (JIT), single minute exchange of die (SMED), and poka yoke.
2.4.1 Continuous Improvement (KAIZEN)
In KAIZEN, the 5S is used for effective lean company which are Seiri (Sort), Seiton (Straighten), Seiso (Sweep and Clean), Seiketsu (Systemize), and Shitsuke (Standardize). The main focus of KAIZEN is to ensure minimal waste of time to retrieve information or files or materials for continuous production efficiency in case of sudden death or leave of any production employees. In other words, this tool can be used to identify waste and to eliminate them to achieve zero deficiency. Waste could be in the form of defective parts, excessive time taken, defect machines, obsolete machines and etc. This is an excellent organizing technique or housekeeping to make workplace in order and will involve workers in the improvement process. Hence, this is one of the fundamental processes for continuous improvement in lean manufacturing [15].
2.4.2 Just in Time (JIT)
Just in time delivery in can be a pull or push delivery system, whereby pull will be coming from the company from the supplier. Whereas, push will be from the manufacturing company to the customer. Customer for a company can be categorized as supplier or buyer. Just in time production is to allow minimal storage of finish products, in order to reduce damage in the warehouse, and will reduce cost of storing finished products or raw materials in the manufacturing plant [6].
2.4.3 Single Minute Exchange of Die (SMED)
SMED is one of the lean production method to reduce waste in a manufacturing process, and it provides rapid and efficient way of converting a manufacturing process from running the current product to running the next product. Single minute is referring to quick changeover that should be less than 10 minutes or a single digit of minutes. Implying that the time needed to set up the
equipment should be within single digit which is considered as good. The need for SMED and quick changeover programs is more popular now than ever due to increase demand for product variability, reduce product lifecycle and the need for significant inventories reduction [16]. However, as study has shown that SMED can be more effective if apply together with another tool such as ECRS (eliminate, combine, reduce, and simplify) [12].
2.4.4 Poka Yoke
According to [5], poka yoke is used to detect errors and defects, which is to inspect 100% of the production piece, working independently on the operator’s attention span. Hence, manufacturing company must be able to detect the propensity of errors resulted from human, and eliminate it earlier before production [3]. Further, poka yoke also known as a technique for avoiding simple human error at the workplace.
FIGURE 1
POKA YOKE METHOD
CONTROL METHOD
Control method detects problem and stops production lines or process so that corrections may be carried out immediately, while avoiding a series of defect. Example: Operation for submission, where there is no one part will stop process.
WARNING METHOD
Used to carry out inexpensive control determining whether or not each produced product is to adopt or to reject, shall inform the emergence or series deviations by various sounds, lamps or other warning signals. In certain situations is impossible or uneconomic prevention defects. In these cases errors are detected as early as possible, so that it will not cause greater losses. Does not result in detention process. Despite the fact that the process is continued signals Poka-Yoke give operator of the necessary to remove problem from the production line to be able to continue the process.
Source: [8]
There are three basic function of Poke-Yoke method which are (Figure 1):
1. Shutdown Poke-Yoke – this is a prevention method to checks upon critical process parameters and to shut down the process immediately when defects reached intolerance zone.
2. Control Poke-Yoke – here, devices are regularly inspect to ensure installed process equipment and/or work piece are in order to avoid defects product being produced or non-conforming product move to next process.
3. Warning Poke-Yoke – devices should be installed with warning capability in order to inform machine operators when there is something wrong so that the operators can stop the process and resume the process as needed [7].
2.4.5 Total Productive Maintenance (TPM)
The total productive maintenance is referring to machine breakdown. The reliability of the equipment on the production line is very important since if one machine breakdown the entire production process will be affected. This denoted that production machine needs to be reliable in order for a factory to fulfil ordered products. Machines in the factory are expected to work smoothly with the expectation of few breakdown.
One of the usage of TPM is to encounter sudden machine breakdown. Hence, a scheduled maintenance must be in place in order to ensure uninterrupted production process (preventive maintenance), decision whether to buy new or fix the machine (corrective maintenance), and to buy the right machine with minimal maintenance needs or costs (maintenance prevention).
TPM is also identified as a tools that can helps organizations in organizing their maintenance activities based on the following actions [1]:
1. Cultivate a sense of ownership in the operator by introducing autonomous maintenance – the operator takes responsibility for the primary care of his/her workstation.
2. Uses cross functional teams consisting of operators, maintainers, engineers and managers to improve individual employee and equipment performance.
3. Establish an optimal schedule of clean-up and productive maintenance to extend the plant’s lifespan and maximize its uptime.
3 METHODOLOGY
A manufacturing company at Shah Alam, Malaysia that is involved in producing car door parts was chosen for this study. A data on the last 3 months performance of the company before the application of poka yoke were collected for comparison purposes. The duration of the observation in total were 6 months.
4 FINDINGS
4.1 Process Flow after Application of Poka Yoke
The process process flow and manpower mapping was done to show the application of poke yoke into the process, and was used as the blueprint for the workflow. The workflow at workstation D, was modified to reduce waste at the production process, and to enhance quality of the production as shown on Figure 2.
4.2 Rejection 3 Months before Poka Yoke
In Table 1, it showed the number of rejection for the last 3 months before the application of Poka Yoke. As can be seen the quality control of this manufacturing plant are inconsistent through out the last 3 months before the application of the poka yoke into the work process.
| Parts Name | Sept -14 | Oct-14 | Nov-14 |
|---------------------|----------|--------|--------|
| Cover 2CT/2WF | 193 | 180 | 160 |
| Case Door Check 2CT/2WF | 16 | 10 | 14 |
| Cover 2XP | 8 | 4 | 4 |
| Case Door Check 2XP | 8 | 6 | 10 |
| Patch 2XP Rear | 8 | 6 | 50 |
| Bracket Door Check | 205 | 190 | 140 |
4.3 Rejection 3 Months after Poka Yoke
In Table 2, it showed the number of rejection for the last 3 months after the application of the poka yoke. It showed that the first month after the application of poka yoke, there was no significant difference in terms of the product quality. However, there was an improvement in the Case Door Check 2XP, as there was no rejection at all in the second month and also third month of the application. Surprisingly, during the third month the Cover 2XP also has shown improvement.
| Parts Name | Feb-15 | Mar-15 | Apr-15 |
|---------------------|--------|--------|--------|
| Cover 2CT/2WF | 75 | 70 | 60 |
| Case Door Check 2CT/2WF | 10 | 8 | 6 |
| Cover 2XP | 4 | 4 | 2 |
| Case Door Check 2XP | 4 | 2 | 2 |
| Patch 2XP Rear | 4 | 4 | 2 |
| Bracket Door Check | 100 | 90 | 50 |
5 DISCUSSION
5.1 Comparison Rejection Data Before and After Poka Yoke
Referring to Figure 3 and Figure 4, there were significant improvement for overall production after the application of poka yoke at workstation D. Thus, the ability to identify the area that might lead to the most human errors, and identify ways to improve it usually lead to production improvement as proven in this study.
5.2 Incremental Improvement
As can be seen the improvement does not take place immediately, however, it happens gradually overtime. This might be due to adjustment period for the employee, as it is quite difficult for any person to change overnight, especially for routine tasks. Hence, production manager must allow the employee to learn from their mistakes, and eliminate it in the future, and take it as a learning curve for all.
7 CONCLUSION
7.1 Future Research Recommendation
The overall research was on the implementation of a specific lean manufacturing tool that is known as Poke Yoke for the quality work station in a manufacturing plant of a car door manufacturing company at Shah Alam, Malaysia industrial park. So, the findings only relevant to this type of manufacturing plant, future studies should be done to few other manufacturing plant in order to evaluate the suitability of the poka yoke or the application of all lean manufacturing tools to enhance any manufacturing plant processes.
7.2 Conclusion
The lean manufacturing tools is usable tool to be used in enhancing manufacturing plant operation, provided that the implementer understand the concept and how to apply it at their manufacturing plant. From this study, improvement at one particular single point of the operation had tremendously improved overall production that had reduced the number of waste for each components produce.
REFERENCES
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Journal of Ayurveda and Integrated Medical Sciences
www.jaims.in
JAIMS
An International Journal for Researches in Ayurveda and Allied Sciences
Maharshi Charaka Ayurveda
Indexed
Role of Ayurveda medicines in the management of Viral Hepatitis w.s.r. to Koshtha Shakhashrita Kamala
Shripathi Acharya¹, Niranjan S², Swapna Swayamprabha³, Rajeshwari S Acharya⁴
¹Director Academic and Development, Muniyal Institute of Ayurveda Medical Sciences, Manipal, Karnataka, India.
²Professor, Department of Kayachikitsa, Major S.D. Singh Ayurveda Medical College, Farukhabad, Uttar Pradesh, India.
³Associate Professor, Department of Agadatantra, K.A.T.S. Ayurvedic Medical College, Ankushpur, Odisha, India.
⁴Post Graduate Scholar, PG Department of Panchakarma, Government Ayurveda Medical College, Bangalore, Karnataka, India.
ABSTRACT
Infectious disorders are seen abundantly in India population. Viral hepatitis is occurring commonly in areas where there is poor hygiene. Viral hepatitis is one such disorder where inflammation of liver is seen due to viral infection. Due to food or water contamination, this disease spreads in the population. In Ayurveda, Koshtha Shakhashrita or Bahupitta Kamala is explained in the classics which has similarity with signs and symptoms of viral hepatitis. Yellowish discolouration of urine, skin and conjunctiva, Agnimandya, Aruchi, Dourbalya, Daha (Burning sensation in the body), Avipaka (Indigestion), Angasada (Body ache) and Hatendriya are the clinical features of Kosha Shakhashrita Kamala. Viral hepatitis presents with subtypes – A, B, C and non A, non B, etc. Ayurveda medicines have better role in the management of Kamala Roga. Use of Virechana, Rasayana, Mootrala, hepatoprotection, hepatic stimulants, choalagauges, antivirals, anti-infective drugs and nutritive drugs play important role in the management of viral hepatitis. Use of Pathapathy is crucial in this disease. The present paper highlights about the role of Ayurveda medicines in the management of Viral hepatitis vis a vis Koshtha Shakhashrita Kamala, Roga.
Key words: Viral hepatitis, Koshtha Shakhashrita Kamala, Anti-viral, hepato protectives.
INTRODUCTION
Kamala Roga is classified as two types – 1) Kashthashakhashrita Kamala 2) Shakhashrita Kamala or Ruddha Pathakamala Roga (Obstructive jaundice). Viral hepatitis is usually caused by mistake of contaminated food and water. According to Ayurveda, Kamala Roga is caused due to excessive intake of Pitta Karaka Ahara and Visharas. The aggravated Pitta vitiates Rakta and results in jaundice. Viral hepatitis usually presents with clinical features like loss of appetite, lethargy, weakness, itching, body ache, yellowish discolouration of urine, skin and conjunctiva, abdominal pain and in severe cases, altered consciousness like stupor, delerium, precoma, coma and even death. Strict Pathyapathy is necessary while treatment viral hepatitis patients.
Single drugs useful in viral hepatitis. [1,2]
1. Katuki – Picrurrhiza kurroa
2. Guduchi – Tinospora cordifolia
3. Narikela jala – Cocos nucifera
4. Dronapushpi – Leucas aspera
5. Kakamachi
6. Bhunimba – Andrographis paniculate
7. Kiratatikta – Swertia chirayita
8. Moolaka – Radish
9. Alabu – Water gourd
10. Haritaki – Terminalia chebula
11. Vishitaki – Terminalia bellerica
12. Amalaki – Emblica officinalis
13. Punarnava – Boerhavia diffusa
14. Patola – Trichosanthus dioca
15. Ikshu – Sachurum indicum
Formulation used in Viral hepatitis [3,4]
1. Phalatrikadi Kashaya
2. Katuki Kashaya
3. Triphala Kashaya
4. Guduchi Kashaya
5. Punarnava Kashaya
6. Arogyardhini Vati
7. Godanti Bhasma
8. Yakridari Loha
9. Yakrit Pilhari Loha
10. Lohasava
11. Kumari Asava
12. Rohitakarishta
13. Pravala Panchamrita Rasa
14. Mukta Panchamrita Rasa
15. Pravala Pishti
16. Mukta Pishti
17. Pravala Moola Bhasma
18. Mukta Bhasma
19. Kamadugha Rasa with Mouktika
20. Drona Pushpi Swarasa
21. Ikshu Swarasa
Actions of the drugs used in Viral hepatitis
1. Hepatoprotectives
2. Hepatic stimulants
3. Dipana [5]
4. Pachana
5. Virechana
6. Malavatanulomana
7. Mootrala
8. Rasayana
9. Tikta and Madhura Rasayukta drugs [6]
10. Sheeta Virya Yukta
11. Anti viral
12. Anti infective
13. Anti bacterial
14. Bactericidal [7,8]
15. Anti inflammatory
16. Shothahara
17. Sramsana
Pathyas [9,10]
1. Shashika Shali Anna
2. Laghu Supachya Achara
3. Yavagu
4. Laja Manda
5. Tikta Mandhura Ahara
6. Poshaka Ahara
7. Gokshira
8. Adequate rest
Apathyas [11,12]
1. Excessive exercise
2. Snigdha (Fatty) Achara like oil, ghee etc
3. Fried and curried food items
4. Excessive Katu, Amla and Lavana Rasayukta Ahara
DISCUSSION
Ayurveda medicines have a positive role in the management of viral hepatitis, Ayurveda management includes Nindana Parivarjana (Avoidance of causative
factors), *Vyadhi Pratyanka Aushadha Prayoga*, practice of *Pathapthya*, sometimes *Pachakarma*. In Ayurveda, medicines having *Virechana*, hepatoprotective, hepatic stimulant, choalagaunge, *Rasayana*, *Pitta Saraka*, antiviral, anti-infective, antibacterial, bactericidal, immunomodulator, *Pittahara*, *Malavatanulomana*, *Tikta Madhura Rasayukta* drugs are used in this disease.\[13,14\] Usually within one month, these cases get cured completely. But, hepatitis B usually becomes chronic and persists for longer time. Sometimes it leads to chronic active hepatitis or fulminant stage. Some cases of hepatitis B turn into cirrhosis of the liver or hepatic failure. Diet plays important role in the management of Viral hepatitis. *Pittahara Ahara* and *Vihara* is usually advised. Tender coconut water, barley water and sugar cane juice are *Pathyas* in this disease. *Moolaka* (Radish) and *Alabu* (water gourd) are also proved to be wholesome in the disease.\[15,16\] Usually viral hepatitis have a better prognosis.
**CONCLUSION**
Viral hepatitis can be better treated by Ayurveda treatment. Usually one month, there will be complete alleviation of signs and symptoms. However, for treatment, 3 months *Pathyas* has to be followed. Sometimes due to strict *Pathapthya Palana*, there will be significant weight loss in some patients. Hepatitis B patients often develop chronic active hepatitis, fulminant hepatitis and cirrhosis of the liver and hepatorenal failure and even death.
**REFERENCES**
1. Shastry J L N, Dravyaguna vijnana, Choukhambha press, New delhi, Vol 2 2005 PP 650.
2. Acharya S, Researches in Ayurveda, Shripathi Acharya, Manipal 2010, PP 127.
3. Acharya S, Ayurveda Vijnana, Shripathi Acharya, Manipal, 2012, PP 140.
4. Acharya S, Updated Ayurveda, Shripathi Acharya, 2011, Manipal, PP 140.
5. Mishra Siddhinandan Bhaishajaya Ratnavali by Kaviraj Govind Das Sen –Kushtharogadhikara 54/ 64 65 Edition Chaukhambha Subharati Prakashana Publication, Varanasi, 2016; 866.
6. Nair C K N, Mohanan, Medicinal Plants of India, I edition, Nag Publishers, Delhi, 1998, pp 500.
7. Raghunathan K, Roma Mitra, Pharmacognosy of Indigenous drugs, CCARS, New Delhi, 2nd edition, 2005, pp 1130.
8. Warrier P S, Indian Medicinal Plants, Vol I, Arya Vaidya Sala, Kottakal, Orient longman ltd, 1996, pp 420.
9. KM Nadakarni, Indian Meteria Medica, Vol II, Bombay Popular prakashan Mumbai, PP 968.
10. Shastry J L N, Dravyaguna vijnana, Choukhambha press, New delhi, Vol 32005, PP 170.
11. Acharya K G, Agraushadhigalu, Shripathi Acharya, Manipal, 2012, PP 160.
12. Shastry J L N, Dravyaguna vijnana, Choukhambha press, New delhi, Vol 3, 2005, PP. 170.
13. Haridas Vaidya, Chikitsa Chandrodaya, Haridas and Company Ltd, 11th edition, Madhura, 1992, PP 906.
14. P V Sharma, Dravya guna Vijnanam, Vol I I, Chaukhambha Bharati Academy 16th edition Varanasi 1995, PP 893.
15. Ram P Rastogi, Mehrotra B N, Compendium of Indian Medicinal plants, Vol I, CDRI, Lucknow PP 515.
16. Siddhinandan Mishra, Bhaishajaya Ratnavali, Siddhiprada commentary, Choukhambha Sur Bharathi Prakashana, Varanasi 2005, PP 1116.
**How to cite this article:** Shripathi Acharya, Niranjan S, Swapna Swayamprabha, Rajeshwari S Acharya. Role of Ayurveda medicines in the management of Viral Hepatitis w.s.r. to Koshta Shakhashrita Kamala. J Ayurveda Integr Med Sci 2024;5:172-174. http://dx.doi.org/10.21760/jaims.9.5.28
**Source of Support:** Nil, **Conflict of Interest:** None declared.
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Exploring the Low-Z Shore of the Island of Inversion at N=19
Christian, G., Frank, N., Ash, S., Baumann, T., Bazin, D., Brown, J., DeYoung, P. A., Finck, J. E., Gade, A., Grinyer, G. F., Grovom, A., Hinnefeld, J. D., Lunderberg, E. M., Luther, B., Mosby, M., Mosby, S., Nagi, T., Peaslee, G. F., Rogers, W. F., ... Wersal, A.
To cite this manuscript: Christian, G., et al. “Exploring the Low-Z Shore of the Island of Inversion at N=19.” *Physical Review Letters*, vol. 108, no. 3, American Physical Society, Jan. 2012, p. 032501. doi:10.1103/PhysRevLett.108.032501.
This document has been made available through IUScholarWorks repository, a service of the Indiana University Libraries. Copyrights on documents in IUScholarWorks are held by their respective rights holder(s). Contact email@example.com for more information.
Exploring the Low-Z Shore of the Island of Inversion at $N = 19$
G. Christian,$^{1,2,*}$ N. Frank,$^3$ S. Ash,$^3$ T. Baumann,$^2$ D. Bazin,$^2$ J. Brown,$^4$ P. A. DeYoung,$^5$ J. E. Finck,$^6$ A. Gade,$^{1,2}$ G. F. Grinyer,$^{2,\dagger}$ A. Grovom,$^7$ J. D. Hinnefeld,$^8$ E. M. Lunderberg,$^5$ B. Luther,$^9$ M. Mosby,$^{2,10}$ S. Mosby,$^{1,2}$ T. Nagi,$^5$ G. F. Peaslee,$^5$ W. F. Rogers,$^7$ J. K. Smith,$^{1,2}$ J. Snyder,$^{1,2}$ A. Spyrou,$^{1,2}$ M. J. Strongman,$^{1,2}$ M. Thoennessen,$^{1,2}$ M. Warren,$^3$ D. Weisshaar,$^2$ and A. Wersal$^2$
$^1$Department of Physics and Astronomy, Michigan State University, East Lansing, Michigan 48824, USA
$^2$National Superconducting Cyclotron Laboratory, Michigan State University, East Lansing, Michigan 48824, USA
$^3$Department of Physics and Astronomy, Augustana College, Rock Island, Illinois 61201, USA
$^4$Department of Physics, Wabash College, Crawfordsville, Indiana 47933, USA
$^5$Department of Physics, Hope College, Holland, Michigan 49423, USA
$^6$Department of Physics, Central Michigan University, Mt. Pleasant, Michigan 48859, USA
$^7$Department of Physics, Westmont College, Santa Barbara, California 93108, USA
$^8$Department of Physics and Astronomy, Indiana University at South Bend, South Bend, Indiana 46634, USA
$^9$Department of Physics, Concordia College, Moorhead, Minnesota 56562, USA
$^{10}$Department of Chemistry, Michigan State University, East Lansing, Michigan 48824, USA
(Dated: December 9, 2011)
The technique of invariant mass spectroscopy has been used to measure, for the first time, the ground state energy of neutron-unbound $^{28}\text{F}$, determined to be a resonance in the $^{27}\text{F} + n$ continuum at 220(50) keV. States in $^{28}\text{F}$ were populated by the reactions of a 62 MeV/u $^{29}\text{Ne}$ beam impinging on a 288 mg/cm$^2$ beryllium target. The measured $^{28}\text{F}$ ground state energy is in good agreement with USDA/USDB shell model predictions, indicating that $pf$ shell intruder configurations play only a small role in the ground state structure of $^{28}\text{F}$ and establishing a low-$Z$ boundary of the island of inversion for $N = 19$ isotones.
PACS numbers: 21.10.Dr, 21.10.Pc
A hallmark of the nuclear shell model is its reproduction of large energy gaps at nucleon numbers 2, 8, 20, 28, 50, 82, and 126. Although well established in stable nuclei, these magic numbers begin to disappear for nuclei far from stability. For example, it has been known for over 30 years that the large shell gap at $N = 20$ diminishes for neutron-rich nuclei [1–4]. The change in shell structure around $N = 20$ is now known to be a result of the tensor force, which is strongly attractive for the spin flip pairs $\pi d_{5/2} - \nu d_{3/2}$ and strongly repulsive for the pairs $\pi d_{5/2} - \nu f_{7/2}$ [5–7]. For nuclei in the region of $N \sim 20$ and $Z \lesssim 13$, the reduced $N = 20$ gap allows $pf$ shell intruder configurations, in the form of multi-particle, multi-hole ($np$-$nh$ or $n\hbar\omega$) cross shell excitations, to compete with standard $sd$ only configurations if the gain in correlation energy is on the same order as the size of the shell gap [8–10]. This has led to the establishment of the “island of inversion”—a region of nuclei near $N = 20$ for which the intruder configuration is dominant in the ground state.
The island of inversion was originally thought to only include those nuclei with $10 \leq Z \leq 12$ and $20 \leq N \leq 22$ [11]. In more recent years, it has become clear that the island extends further, and much experimental effort has been put forth to determine its boundaries [12]. On the low-$N$ (western) and high-$Z$ (northern) sides of the island—both in the direction of increasing stability—it is generally agreed that ground state intruder components fade away for $Z \geq 13$ and $N \leq 18$. Ground state observables for nuclei lying outside these limits are well described by $sd$ shell model calculations, such as those utilizing the USDA/USDB effective interactions [13]. Heading away from stability, the role of intruder configurations in nuclear ground states becomes less clear. On the high-$N$ (eastern) side, there are strong indications that ground state intruder dominance persists in heavier isotopes of Mg, Na, and Ne. For example, recent measurements of $2p$ knockout cross sections from $^{38}$Si to $^{36}$Mg have indicated a $0\hbar\omega$ ground state occupation of only 38(8)% in $^{36}$Mg [14], extending the region of inversion to at least $N = 24$ for the Mg isotopic chain.
Until now, the low-$Z$ (southern) side of the island has been almost completely unexplored. A measurement of bound excited states in $^{27}$F, which lies on the island’s western border at $N = 18$, has hinted at $pf$ shell contributions to its excited state structure [15], but mass measurements [16] indicate that the $^{27}$F ground state is primarily $sd$ shell. For the heavier ($N \geq 19$) fluorine isotopes, lying within the island’s western boundary, no direct experimental information is available. All that is known are dripline systematics, e.g. as outlined in [17]. The fluorine isotopic chain is also the only area in which the intruder structure of $Z < 10$, $N \geq 19$ nuclei can be examined in any detail since the neutron dripline for all lighter elements is located at $N \leq 16$ [18–22]. This means that the $N = 19$ isotones of oxygen and below are unbound with respect to three or more neutrons, making their study extremely difficult, if not impossible.
In this letter, we report on the first experimental investigation of the low-$Z$ border of the island of inversion for $N \geq 19$ nuclei. This is done via a measurement of the ground state of neutron-unbound $^{28}$F, performed with the technique of invariant mass spectroscopy. Our results are then compared to binding energy (mass defect) predictions of the USDA/USDB shell model. In particular, investigation of the $N = 19$ binding energy systematics provides strong evidence that only the isotones at $Z = 10$, 11, and 12 are located within the island. In addition to mapping the island of inversion, the evolution of intruder structure in neutron-rich fluorine isotopes is relevant to the abrupt shift in the neutron dripline observed between oxygen (ending at $N = 16$) and fluorine (ending at $N \geq 22$) [23].
The experiment was performed at the National Superconducting Cyclotron Laboratory (NSCL) at Michigan State University, using a primary beam of $^{48}$Ca$^{20+}$ accelerated to 140 MeV/u in the coupled K500-K1200 cyclotrons [24]. The $^{48}$Ca beam was fragmented in a 1316 mg/cm$^2$ beryllium production target, and fragmentation products were selected in the A1900 fragment separator [25], with the third and fourth segments set to a rigidity of 3.47 Tm and a momentum acceptance of 3.9% to optimize the transmission of $^{29}$Ne fragments. The secondary beam was passed through a pair of plastic timing scintillators, the first located at the A1900 focal plane and the second 44.3 cm upstream of a secondary reaction target. Additionally, the beam was sent through a pair of position sensitive Cathode Readout Drift Chambers (CRDCs) and a focusing quadrupole triplet. The desired $^{29}$Ne composed approximately 2% of the beam and could be fully separated from other components using time of flight (ToF) and energy loss measurements. The incoming rate of $^{29}$Ne beam particles was approximately 70 s$^{-1}$, and the median energy of the $^{29}$Ne was 62 MeV/u.
The secondary reaction target was beryllium with a thickness of 288 mg/cm$^2$. States in neutron-unbound $^{28}$F were populated by one-proton knockout and decayed by neutron emission to $^{27}$F + $n$ with a timescale on the order of $10^{-21}$ s. The decays of the unbound states potentially feed bound excited states in $^{27}$F, necessitating the measurement of neutrons, charged fragments, and $\gamma$-rays. The gammas were detected using the CAESAR CsI(Na) array [26], which surrounded the target and provided an in-beam detection efficiency of $\sim 30\%$ for 1 MeV gammas. Charged fragments were deflected 43° by the Sweeper magnet [27] and passed through a pair of CRDCs, an ionization chamber, and thin (0.5 cm) and thick (15 cm) plastic scintillators. Neutrons were detected in the Modular Neutron Array (MoNA) [28], whose front face was located 658 cm downstream of the target at 0°. MoNA was partially shadowed by the entrance flange of the Sweeper vacuum box, resulting in a neutron angular acceptance of roughly $\pm 6.0^\circ$ in the dispersive ($x$) plane and $\pm 2.5^\circ$ in the non-dispersive ($y$) plane.
The charged particle measurements allowed for event-by-event isotope selection. Elements were selected using cuts on both $\Delta E$-ToF and $\Delta E$-$E$, with $\Delta E$ taken from the ion chamber signal and $E$ taken from the total charge collected in the thick scintillator. For a given element, isotopes were separated by correcting their ToF for the various paths taken through the Sweeper.
This amounts to removing correlations between ToF and a variety of other measured parameters, the most important being the dispersive position and angle exiting the Sweeper (up to fourth order), non-dispersive position exiting the magnet, and dispersive position of the incoming beam. A plot of the corrected ToF for fluorine elements is shown in Fig. 1, with $^{27}$F indicated.
The decay energy, $E_d$, of the breakup of unbound states was calculated using invariant mass analysis:
$$E_d = \sqrt{m_f^2 + m_n^2 + 2 \left( E_f E_n - p_f p_n \cos \theta \right)} - m_f - m_n,$$
where $m_f$ ($m_n$), $E_f$ ($E_n$), and $p_f$ ($p_n$) refer to the mass, energy, and momentum of the charged fragment (neutron), respectively, and $\theta$ is the opening angle between the two decay products. The neutron input to Eq. (1) was calculated from ToF and position measurements in MoNA using linear kinematics, while the charged fragment input was reconstructed from measurements of the post-Sweeper emittance and the $x$ position of the beam on target [29].
Resonant states were modeled by a Breit-Wigner lineshape with energy dependent width, derived from $R$-Matrix theory [30]. Free parameters are the central resonance energy $E_0$, the resonance width $\Gamma_0$, and the relative contribution to the overall decay spectrum. The orbital angular momentum was fixed at $\ell = 2$ assuming the emission of a $0d_{5/2}$ neutron. This assumption may be incorrect if intruder components are significant in $^{28}$F; however, separate analyses of the data using $\ell = 1$ and $\ell = 3$ resonances give results that do not differ significantly from the $\ell = 2$ case. We also investigated the possibility of $\ell = 0$ decay by modelling the data as an $s$-wave [31] with the scattering length, $a_s$, freely varying.
Smearing from experimental resolution and acceptance was accounted for in a Monte Carlo simulation of the experimental setup, including all relevant detector resolutions and acceptance cuts. The simulation included a realistic incoming beam profile and used the Goldhaber model [32] to describe the one-proton knockout reaction populating $^{28}$F. A demonstration of the simulated overall resolution and acceptance functions is shown in Fig. 2. To determine optimal fit parameters, large Monte Carlo data sets ($\sim 3$ million events) were generated and compared to the experimental data using an unbinned maximum likelihood technique [33].
The measured decay energy of $^{28}$F into $^{27}$F + $n$ (with no unfolding of resolution or acceptance) is shown in Fig. 3. Comparison with Fig. 2 reveals that the measured data are strongly distorted by resolution and acceptance. In particular, the width of the measured data is almost entirely due to experimental resolution, and the shape of the data above $\sim 0.8$ MeV is dominated by the limited acceptance at higher relative energies. No coincident gamma events were recorded in CAESAR, so the observed transitions are assumed to feed the ground state of $^{27}$F (around 30 CAESAR counts would be expected in the case of 100% branching to an exited state). States in $^{28}$F were populated in a direct one-proton knockout reaction from $^{29}$Ne, so non-resonant contributions to the data are not expected. An attempt to fit the data with a single Breit Wigner resonance is shown as the shaded orange curve in the figure. In this fit, the width was limited to $\Gamma_0 \leq 1$ MeV, beyond which the function saturates and lineshapes become indistinguishable. The optimal one-resonance fit parameters are $E_0 = 590$ keV and $\Gamma_0 = 1$ MeV. The $\Gamma_0$ value is two orders of magnitude larger than the single particle prediction, already suggesting that a single resonance cannot properly describe the data. Furthermore, a visual comparison of simulation and data indicates a poor fit, with the simulated curve being significantly narrower than the data despite its unphysically large $\Gamma_0$ value. The best-fit of a single $s$-wave ($a_s = -0.05$ fm) is shown as the grey dot-dashed curve and is clearly not consistent with the data.
The poor fit of a single resonance suggests that multiple resonances are present in the data, and a good agreement between simulation and data is achieved by modelling with two independent Breit Wigner resonances, with the width of each resonance fixed at its approximate single-particle value. Given this model, the best fit is obtained with the lower resonance at 220(50) keV ($\Gamma_0 \equiv 10$ keV) and the upper resonance at 810 keV ($\Gamma_0 \equiv 100$ keV), as shown in Fig. 3. The relative contributions of the lower and upper resonances to the total area are 28% and 72%, respectively. The stronger population of an excited state is somewhat surprising; however, as discussed below, contributions from multiple unresolved excited state resonances may be present in the data. Thus it is not possible to draw any definite conclusions from the relative areas of the two resonances. To examine the statistical significance of the two-resonance versus one-resonance hypotheses, we calculate the likelihood ratio ($-2 \ln[L_1/L_2]$, where $L_1$ and $L_2$ are the respective likelihoods of the one-resonance and two-resonance hypotheses) to be 22.6, providing a moderate level of support for the two-resonance model.
As mentioned, it is possible that more than two resonances are present in the data, but the low statistics and limited experimental resolution prevent the inclusion of additional resonances into the fit with any sort of certainty regarding their location. However, attempts to fit the data with three or more resonances demonstrate that the location of the ground state peak is insensitive to the presence of multiple resonances. It should be noted that the placement of the ground state peak at 220 keV is primarily dictated by the shape of the spectrum below $\sim 300$ keV and not by the dip at around 400 keV. In particular, modelling with a strong resonance at lower decay energies ($\lesssim 150$ keV) results in a sharp peak that is not consistent with the gradual rise from zero seen in the data. Likewise, placing the lowest resonance too high results in a model that significantly under-predicts the number of events below $\sim 300$ keV.
Combining the present measurement of the $^{28}$F neutron separation energy with the mass measurements of [16], which place the $^{27}$F atomic mass excess at 24630(190) keV, we determine the $^{28}$F binding energy to be 186040(200) keV. As presented in
[13], it is possible to deduce the presence of ground state intruder components in $N \leq 20$ nuclei by comparing experimental binding energies to $sd$ shell model predictions, such as those of the USDA and USDB effective interactions. For a given nucleus, good agreement between experiment and USDA/USDB theory indicates a ground state configuration that is primarily $sd$ shell. In contrast, a nucleus with significant ground state intruder components will be poorly described by the USDA/USDB shell model.
Fig. 4 presents a plot of $BE_{exp} - BE_{th}$ for $N = 19$ isotones, $9 \leq Z \leq 17$, with the fluorine data point taken from the present work. The agreement between experiment and USDA/USDB predictions is good for the isotones closer to stability ($Z \geq 13$). For $Z = 10–12$, the USDA/USDB calculations predict significantly lower binding than experiment, as expected for these island of inversion nuclei. For $^{28}$F, the good agreement between experiment and USDA/USDB is recovered, providing evidence that intruder configurations are not significant in the ground state of $^{28}$F.
In conclusion, we have determined, for the first time, the ground state of $^{28}$F to be a resonance $220(50)$ keV above the ground state of $^{27}$F using the technique of invariant mass spectroscopy. Combined with the mass measurements of [16], this translates to a $^{28}$F binding energy of $186040(200)$ keV. Investigation of $N = 19$ binding energy systematics, including the present measurement, shows good agreement between experiment and USDA/USDB predictions for $^{28}$F, in sharp contrast to the island of inversion nuclei $^{29}$Ne, $^{30}$Na, and $^{31}$Mg. This indicates that $pf$ shell intruder components play only a small role in the ground state structure of $^{28}$F, establishing a “southern shore” of the island of inversion.
The authors acknowledge the efforts of NSCL operations staff for providing a high quality beam throughout the experiment and the NSCL design staff for their efforts in the construction of a magnetic shield for CAESAR. Additionally, we acknowledge the contribution of the entire MoNA collaboration, past and present, and the NSCL Gamma group for their efforts in preparing and running the experiment. On the theory side, B. A. Brown and A. Signoracci provided assistance and enlightening discussions regarding shell model calculations. This work was supported by the National Science Foundation under grants PHY-05-55488, PHY-05-55439, PHY-06-51627, PHY-06-06007, PHY-08-55456, and PHY-09-69173.
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FIGURES
FIG. 1. (Color online) Corrected ToF for fluorine isotopes produced from $^{29}$Ne.
FIG. 2. (Color online) Simulated resolution and acceptance of the experimental setup. Each colored histogram was generated by simulating a $^{28}$F breakup at the indicated relative energy, then folding in detector resolution and acceptance cuts. The shaded curve was generated by simulating a $^{28}$F breakup with the relative energy uniformly distributed from 0–3 MeV and folding in acceptance and resolution. The colored histograms are all normalized to a total area of unity, and the shaded curve was arbitrarily scaled to fit within the same panel.
FIG. 3. (Color online) Measured decay energy spectrum (including smearing from experimental resolution and acceptance) for $^{27}$F + $n$ coincidences. The filled squares with error bars are the measured data, and the dashed red and dotted blue curves represent the 220 keV and 810 keV simulation results, respectively. The solid black curve is the sum of the two resonances, with the ratio of 220 keV resonance to the total area being 28%. The filled orange curve is a simulation of a single resonance at 590 keV, and the grey dot-dashed curve is the best fit of a single s-wave ($a_s = -0.05$ fm).
FIG. 4. (Color online) Difference between experimental and theoretical (USDA, USDB) binding energies for $N = 19$ isotones, $9 \leq Z \leq 17$. The error bars on the data points represent experimental errors only. The blue dotted, red dashed, and black dash-dotted bands represent the respective 170 and 130 keV RMS deviations of USDA and USDB interactions. Experimental values, save for $Z = 9$ which is from the present work, are taken from [16] if reported there; otherwise they are from the 2003 Atomic Mass Evaluation [34].
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Kobayashi, W; Hayashi, Y; Matsushita, M; Yamamoto, Y; Terasaki, I; Nakao, A; Nakao, H; Murakami, Y; Moritomo, Y; Yamauchi, Hisao; Karppinen, Maarit
Anisotropic thermoelectric properties associated with dimensional crossover in quasi-one-dimensional SrNbO3.4+d (d ~ 0.03)
Published in:
Physical Review B
DOI:
10.1103/PhysRevB.84.085118
Published: 01/01/2011
Document Version
Publisher's PDF, also known as Version of record
Please cite the original version:
Kobayashi, W., Hayashi, Y., Matsushita, M., Yamamoto, Y., Terasaki, I., Nakao, A., Nakao, H., Murakami, Y., Moritomo, Y., Yamauchi, H., & Karppinen, M. (2011). Anisotropic thermoelectric properties associated with dimensional crossover in quasi-one-dimensional SrNbO3.4+d (d ~ 0.03). Physical Review B, 84(8), 1-6. Article 085118. https://doi.org/10.1103/PhysRevB.84.085118
Anisotropic thermoelectric properties associated with dimensional crossover in quasi-one-dimensional SrNbO$_{3.4+d}$ ($d \sim 0.03$)
W. Kobayashi*
Graduate School of Pure and Applied Sciences, University of Tsukuba, Ibaraki 305-8571 and PRESTO, Japan Science and Technology Agency, Saitama 332-0012, Japan
Y. Hayashi, M. Matsushita, and Y. Yamamoto
Department of Applied Physics, Waseda University, Tokyo 169-8555, Japan
I. Terasaki
Department of Physics, Nagoya University, Nagoya 464-8602, Japan
A. Nakao, H. Nakao, and Y. Murakami
Condensed Matter Research Center and Photon Factory, Institute of Materials Structure Science, High Energy Accelerator Research Organization, Tsukuba 305-0801, Japan
H. Yamauchi and M. Karppinen
Department of Chemistry, Aalto University, FI-00076 Espoo, Finland
(Received 20 March 2011; revised manuscript received 1 August 2011; published 23 August 2011)
DOI: 10.1103/PhysRevB.84.085118 PACS number(s): 72.15.Jf, 71.10.Pm
We have grown large single crystals of SrNbO$_{3.4+d}$ ($d \sim 0.03$) with $n = 5$ in the homologous series Sr$_n$Nb$_3$O$_{3n+2}$ by using a traveling solvent floating-zone method and measured resistivity, thermopower, and thermal conductivity along all crystallographic axes. The thermoelectric properties are found to be highly anisotropic, which reflects a quasi-one-dimensional electronic structure. In particular, the thermopower along the $b$ axis is $-170 \mu\text{V/K}$ at 300 K, which is 1 order of magnitude higher than the $-15 \mu\text{V/K}$ along the $a$ axis and $-25 \mu\text{V/K}$ along the $c$ axis. A possible origin of the high anisotropy in the thermopower is discussed in terms of dimensional crossover associated with a structural modification.
I. INTRODUCTION
Thermoelectric oxides are promising materials for recovering electric energy from waste heat. Recent developments in nanotechnology enable the achievement of a thermoelectric performance higher than that of conventional thermoelectrics. Since the enhancement of the dimensionless figure of merit $ZT = \frac{\beta^2 T}{\rho \kappa}$ ($\beta$, thermopower, $\rho$, resistivity, $\kappa$, thermal conductivity; and $T$, temperature) in nanostructures was predicted by Hicks and Dresselhaus in 1993, artificial structures with low dimensionality have been extensively studied. A nanostructure such as a superlattice or nanowire can show good thermoelectric properties owing to the reduced thermal conductivity by phonon scattering at the artificially controlled boundary and the enhanced thermopower by a steep change in the density of states at the Fermi level. Indeed, the Bi$_2$Te$_3$/Sb$_2$Te$_3$ superstructure exhibits high performance above $ZT = 2.4$, and also recent studies on Si nanowires show a performance 50 times higher than that of bulk Si. The two-dimensional (2D) electron gas induced at the interface between SrTiO$_3$ and TiO$_2$ also displays a high thermopower, of the order of 1 mV/K.
Not only artificial nanostructures but also bulk oxides with a low-dimensional electronic structure have been known to be promising thermoelectric materials since 1997. Layered cobalt oxide Na$_x$CoO$_2$ and misfit layered cobalt oxides exhibit a $ZT$ of the order of unity at high temperatures. Their large thermopowers are successfully explained by both band calculation and the extended Heikes formula. Compared with the extensive study of layered oxides, there has been little research on the thermolectricity of quasi-one-dimensional (Q1D) oxides, because they tend to be insulating even at room temperature and sometimes exhibit a charge density wave (CDW) or spin density wave (SDW) due to the nesting of the sheet-like Fermi surfaces, which is a disadvantage for thermolectricity.
We have studied thermoelectric properties of Q1D Hollandites Ba$_{1-x}$Rb$_x$O$_{16}$ and K$_2$Ru$_3$O$_{16}$ and found that Ba$_{1-x}$Rb$_x$O$_{16}$ exhibits the large power factor ($P \equiv \frac{\beta^2}{\rho \kappa}$) of 30 $\mu\text{W/cm}^2\text{K}^2$ at 75 K, comparable to that seen in Na$_x$CoO$_2$ at 300 K. However, the magnitude of the thermopower is about 20 $\mu\text{V/K}$ at 300 K for both Hollandites, and enhancement of the thermopower due to the Q1D electronic structure was not observed. The low anisotropy in the resistivity ($\rho_{ab}/\rho_c \sim 3$ at 300 K) in these systems implies a three-dimensional (3D)-like electronic structure rather than a Q1D one. Thus, a Q1D material with a high anisotropy in conduction is desirable for the enhanced thermopower.
SrNbO$_{3.4}$ with Nb$^{4.8+}$ (4$d^{0.2}$) is a good Q1D conductor. SrNbO$_{3.4}$ belongs to a homologous series, Sr$_n$Nb$_3$O$_{3n+2}$ ($n = 5$; Sr$_5$Nb$_3$O$_{17}$), and is derived from the 3D network...
of the SrNbO$_3$ perovskite structure by separating the NbO$_6$ octahedra parallel to the (110) planes and introducing additional oxygen.\textsuperscript{20} As shown in Fig. 1(a), NbO$_6$ octahedra form a straight chain structure along the $a$ axis, while NbO$_6$ octahedra form a zigzag path along the $b$ axis [see Fig. 1(b)], which realizes high anisotropy even in the $ab$ plane. Since the resistivity along the $c$ axis is the highest due to the layered structure, the anisotropy in the resistivity becomes $\rho_{ab}/\rho_b/\rho_c = 1:10^{-5}:10^4$.\textsuperscript{21} Very recently, Sakai \textit{et al.} have reported anisotropic thermoelectricity in SrNbO$_{3.4}$ and concluded that strong upgrading of the ZT by using pseudo-1D material is not observed.\textsuperscript{21} Motivated by Ref. 19, we have grown single crystals of SrNbO$_{3.4+d}$, measured the resistivity, thermopower, and thermal conductivity along all crystallographic axes, and analyzed the data combining structural data measured by synchrotron powder x-ray diffraction. The resistivity is found to be 7, 110, and 840 m$\Omega$ cm for the $a$, $b$, and $c$ axes at 300 K, showing an anisotropy of $\sim 15$ in the $ab$ plane. The thermopower along the $b$ axis is $-170 \mu$V/K, which is 1 order of magnitude higher than those along the other axes. A possible origin of the enhanced thermopower along the $b$ axis is discussed in terms of dimensional crossover associated with a structural modification.
II. EXPERIMENTS
High-quality single crystals of SrNbO$_{3.4+d}$ were grown by a traveling solvent floating zone method with a growth velocity of 10 mm/h in a mixed-gas flow of Ar (97%) and H$_2$ (3%) at 0.2 L/min. Feed rods of fully oxidized SrNbO$_{3.5}$ were prepared by solid-state reaction. Stoichiometric amounts of SrCO$_3$ and Nb$_2$O$_5$ were mixed, and the mixture was sintered at 1300 °C for 12 h. Then the product was finely ground, pressed into a bar shape with a 5-mm diameter and 5-cm length, and sintered at 1300 °C for 12 h. Large single crystals with a typical dimension of $5 \times 5 \times 1$ mm$^3$ were successfully grown.
The x-ray diffraction pattern of the single crystal along the $c$ axis was checked using a standard diffractometer with CuK$\alpha$ radiation as an x-ray source in the $\theta$–$2\theta$ scan mode (Rigaku MiniFlexII). Synchrotron powder x-ray diffraction measurements at a wavelength of 0.7749 Å were carried out at the BL-8A at the Photon Factory (KEK), controlling the temperature from 80 to 300 K, and structural refinements were performed by Rietveld analysis (RIETAN-FP). The oxygen stoichiometry was determined by means of thermogravimetry (TG) described elsewhere.\textsuperscript{22} The orientations of the crystals were determined by backreflection Laue x-ray diffraction.
Resistivity was measured by a four-probe method in a liquid He cryostat. Gold wires were carefully attached to the sample using silver paste (DuPont 4922) as electrodes. Thermopower was measured using a steady-state technique in a liquid He cryostat with a copper-constantan thermocouple to detect a small temperature gradient of about 1 K/cm. Thermal conductivity was measured by a steady-state technique with a chromel-constantan differential thermocouple to detect a temperature gradient. One edge of the crystal was glued to a cold head of a closed cycle refrigerator with varnish (GE 7051), while a resistive heater ($\sim 120$ Ω, KYOWA strain gauges) was attached on the opposite edge. The error in the heat current estimation should be below 0.15% using a chromel wire of 50-$\mu$m diameter and 2-cm length. To avoid leakage of the heat current by radiation and conduction through the air, we attached a Cu radiation shield and evacuated the air down to $10^{-4}$ Pa. Heat loss was evaluated to be $\sim 16\%$ along the $c$ axis, which is greater than the $\sim 8\%$ along the $a$ axis and $\sim 5\%$ along the $b$ axis at 300 K.
III. RESULTS AND DISCUSSION
A. Sample characterization and transport properties
Figure 2(a) shows the x-ray diffraction pattern of a SrNbO$_{3.4+d}$ single crystal along the $c$ axis. $(00l)$ peaks are clearly observed. The $c$-axis length was evaluated to be 32.47 Å, which is very close to that reported in the preceding work.\textsuperscript{19} As shown in Fig. 2(b), the synchrotron x-ray diffraction pattern of a ground single crystal was well fitted by orthorhombic symmetry ($Pnmm$; Int. Tables A-58-1) with lattice parameters of $a = 3.988$ Å, $b = 5.676$ Å, and $c = 32.467$ Å.\textsuperscript{19} From TG measurement, the oxygen content...
$d$ was evaluated to be 0.03. Accordingly, we use SrNbO$_{3.43}$ as the chemical formula hereafter.
Figure 3(a) shows the temperature dependence of the resistivity along all the crystallographic axes ($\rho_a$, $\rho_b$, and $\rho_c$). The magnitude of the resistivity is 7, 110, and 840 m$\Omega$ cm at 300 K for the $a$, $b$, and $c$ axes, respectively, showing an anisotropy of $\rho_b/\rho_a \sim 15$ in the $ab$ plane, and $\rho_b/\rho_c \sim 120$ in the $ac$ plane. This anisotropic behavior is the same as seen in SrNbO$_{3.41}$. On the other hand, the magnitudes of the resistivities are several times larger than those of SrNbO$_{3.41}$. This difference is caused by the different carrier concentrations, namely, different valences of Nb ions, Nb$^{5+}$ (4$d^{13}$) for SrNbO$_{3.41}$ and Nb$^{4+}$ (4$d^{14}$), for SrNbO$_{3.43}$. Indeed, SrNbO$_{3.45}$, with the higher valence of Nb$^{3+}$ (4$d^{15}$), exhibits resistivities higher than those of SrNbO$_{3.43}$. As shown in the inset in Fig. 3(a), the temperature dependence of the resistivity is described over a wide range of temperatures by the activation transport as $\rho = \rho_0 \exp(E_g/k_BT)$, where $\rho_0$, $E_g$, and $k_B$ represent a constant, the activation energy, and the Boltzmann constant. At around 300 K, $E_g$ was evaluated to be 29.7, 26.4, and 19.9 meV for the $a$, $b$, and $c$ axes, respectively. With decreasing temperature, $\rho(T)$ changes at around $T^* = 100$ K and the quite low $E_g$ of 1–2 meV was found for all axes below 20 K. A similar result has been reported for SrNbO$_{3.41}$.
Figure 3(b) shows the temperature dependence of the thermopower along the $a$, $b$, and $c$ axes ($S_a$, $S_b$, and $S_c$), respectively. The thermopower is negative along all the directions, and the magnitude (of the thermopower) along the $b$ axis is found to be 170 $\mu$V/K at 300 K, which is about 10 times higher than the 15 $\mu$V/K for the $a$ axis and 20 $\mu$V/K for the $c$ axis. Though 1D conductors generally show such an anisotropic thermopower due to the anisotropic electronic structure, we would like to emphasize that the coexistence of a high thermopower that is typical for a semiconductor and a low thermopower for a conventional metal is a significant characteristic of this system. The temperature dependence of the thermopower seems to change at around $T^* = 100$ K, where $\rho(T)$ displays the change in the activation energy. In particular, $S_b$ increases significantly above $T^*$. According to the Mott formula, $S$ is described as $S = -\frac{e}{\pi} \frac{\partial k_B}{\partial E} T(\frac{\partial E}{\partial E})_{E=E_g}$, where $e$ and $\sigma$ represent the electron charge and electric conductivity, respectively. Here, the conductivity $\sigma$ is related to the electronic state at the Fermi level. Thus, the change in $\rho(T)$ and $S(T)$ at $T^*$ implies a modification of the electronic state of SrNbO$_{3.43}$. Similar behaviors are also observed in the layered-cobalt oxy sulfide Sr$_2$Cu$_2$Co$_2$S$_2$, in which electronic inhomogeneity is proposed at about the temperature where the thermopower increases, and in the QID oxide PrBa$_2$CuO$_8$, in which dimensional crossover is suggested. Note that the thermopower along the $c$ axis differs in magnitude from that reported in Ref. 21. The difference could originate from the different density of states along the $c$ axis.
Figures 4(a)–4(c) show the temperature dependence of the thermal conductivity along the $a$, $b$, and $c$ axes ($\kappa_a$, $\kappa_b$, and $\kappa_c$), respectively. As seen for $\rho$ and $S$, $\kappa$ also exhibits a high anisotropy: $\kappa_a$ is 6.0 W/mK at 300 K, which is 3 times larger than the $\kappa_b$ of 2.1 W/mK and 10 times larger than...
the $\kappa_c$ of 0.6 W/mK. The total thermal conductivity $\kappa_{\text{tot}}$ is the sum of the lattice thermal conductivity $\kappa_{\text{ph}}$ and the electron thermal conductivity $\kappa_{\text{el}}$ ($\kappa_{\text{tot}} = \kappa_{\text{ph}} + \kappa_{\text{el}}$). In this system, $\kappa_{\text{el}}$ is negligibly small because of the rather low electric conductivity. As a result, this anisotropy comes from $\kappa_{\text{ph}}$. Such a high anisotropy in $\kappa_{\text{ph}}$ is also seen in the 2D superlattice or Q1D organic compound, where the mean free paths of phonons are different along crystallographic axes.\cite{23,24} As shown in Fig. 1(a), phonons may easily propagate along the $a$ axis due to straight–Sr–Sr–Sr– and –Nb–O–Nb–O– networks, while a zigzag network along the $b$ axis and a layered structure along the $c$ axis can be effective scatterers. The possibility that there is also substantial anisotropy in the phonon dispersion (anisotropy in sound velocity) is an open question. In addition to the anisotropy, we would like to emphasize that the phonon mean free path is very weakly temperature dependent. The thermal conductivity data show no peak structure at low temperatures, which implies that the phonon-phonon scattering rate is high. The high scattering rate can be attributed to defects in the crystal. Table I lists $S$, $\rho$, $\kappa$, and dimensionless figure of merit $ZT$ at 300 K along all crystallographic directions. Owing to the high thermopower along the $b$ axis, $ZT$ reaches $3.7 \times 10^{-3}$ along the $b$ axis.
### B. Structure-related thermoelectric properties
As shown in Fig. 3, SrNbO$_3$ changes its thermoelectric properties below 150 K; (1) the activation energy decreases with decreasing temperature; and (2) $\frac{d\rho}{dT}$ decreases with decreasing temperature, in particular, along the $b$ axis. These results indicate that SrNbO$_3$ undergoes a metallic-like state at low temperatures compared with the weak semiconducting state above 150 K. This situation is rather strange, because Q1D material often displays a CDW or SDW state associated with insulating behavior, which cannot explain our observations. Recently, Campos et al. revealed that the small gap in resistivity at low temperatures is not attributable to CDW, showing heat capacity and thermal-expansion-coefficient measurements, and reported that power-law fitting is reasonable, indicating a possible signature of Luttinger liquid behavior.\cite{21}
To elucidate the possible origin of the crossover, the crystal structure was analyzed by Rietveld refinement using synchrotron powder x-ray diffraction data between 70 and 300 K. Figure 5 shows the temperature dependences of the lattice parameters. A structural phase transition was not observed in the measured temperature range, though the temperature dependence of the lattice parameters changes slightly below 150 K. This behavior is consistent with the temperature dependence of the linear thermal expansion of SrNbO$_3$.\cite{4,3}
Now we mainly focus on the transport properties along the $b$ axis where the thermopower rapidly increases at around $T^*$. Figure 6(a) depicts the projection along the $a$ axis of SrNbO$_3$. There are three crystallographic Nb sites [Nb(1), Nb(2), and Nb(3)] in SrNbO$_3$. According to the band calculations,\cite{32,33} the predominant contribution to the density of states at $E_F$ is attributed to the Nb(1) site situated in the middle of the slab [see Fig. 6(a)], while the contributions of the other two Nb sites are considerably small. The Nb(1)O$_6$ octahedra are the least distorted ones, with the Nb atoms situated in the center of the octahedra, while the Nb(2) and Nb(3) atoms are considerably displaced away from the central position of the NbO$_6$ octahedron. Consequently, the Q1D transport is related to the central chain with the least distorted octahedra in the slab. Thus, the temperature dependences of the bond lengths of Nb–O and/or Nb–O–Nb bond angles of Nb(1)O$_6$ and Nb(3)O$_6$ octahedra are important for understanding the transport properties along the $b$ axis.
Figures 6(b)–6(e) show the temperature dependence of Nb(1)–O(x) ($x = 1, 2$) and Nb(3)–O(x) ($x = 1, 2$) distances and Nb(1)–O(1)–Nb(3) and Nb(1)–O(2)–Nb(3) angles, respectively. Both angles decrease monotonically, which signifies rotations of NbO$_6$ octahedra with decreasing temperature. On the other hand, Nb(1)–O(2) and Nb(3)–O(2) bond lengths change significantly at around 150 K. Now let us focus on Fig. 6(b),
referring to Fig. 6(a). At 300 K, the Nb(1)-O(1) bond length is equal to the Nb(1)-O(2) bond length, which shows that Nb(1)O$_6$ is a perfect octahedron. On the other hand, the Nb(1)-O(1) bond length is significantly larger than the Nb(1)-O(2) bond length at 80 K, reflecting a distortion of the Nb(1)O$_6$ octahedron [see Fig. 6(a)]. Correspondingly, the difference between the Nb(3)-O(1) and the Nb(3)-O(2) bond lengths becomes smaller with decreasing temperature, which shows that the Nb(3)O$_6$ octahedron starts to release its distortion with decreasing temperature [see Fig. 6(a)]. As described above, the distortion-released Nb(3)O$_6$ octahedron may contribute to the transport better than the distorted ones, which will realize rather isotropic conduction in the $ab$ plane. In fact, the anisotropy in resistivity in the $ab$ plane seems to decrease with decreasing temperature as shown in Fig. 3(a). Thus, it seems that electric transport is affected by transforming NbO$_6$ octahedra to be stable in higher dimensional transport. In other words, dimensional crossover might occur below 150 K. Such dimensional crossover is universally observed in Q1D materials, where the interchain hopping energy is finite. Finite interchain hopping will induce warping of the Fermi surface and effect 2D or 3D behavior below $t_{\perp}$ ($t_{\perp}$: interchain hopping energy).\textsuperscript{29,34} Naive thinking suggests that the higher dimensionality will induce a metallic state rather than an insulating state.
Finally, we would like to emphasize the unique transport properties in SrNbO$_{3.43}$; a high anisotropy in the thermopower appears at $T^*$, which is related to the dimensional crossover from a higher dimensional to a Q1D electronic structure associated with the shapes of Nb(1)O$_6$ and Nb(3)O$_6$ octahedra. Though Q1D material generally shows a high anisotropy in thermopower, there is no example that exhibits both the low thermopower that is typical for a conventional metal and the high thermopower typical for a semiconductor except for SrNbO$_{3.43}$, as far as we know. Thanks to the enhanced thermopower along the $b$ axis, the $ZT$ along the $b$ axis is the largest of the $ZTs$ along all the crystallographic axes. These results show that the Q1D electronic structure enhances the thermopower even in a bulk crystal.
IV. CONCLUSION
We have systematically investigated the transport properties of a SrNbO$_{3.43}$ single crystal along all crystallographic axes. The resistivity, thermopower, and thermal conductivity were found to be highly anisotropic, which reflects Q1D electronic
and crystal structures. In particular, the thermopower along the $b$ axis is $-170 \mu\text{V/K}$, which is 1 order of magnitude higher than the $-15$ and $-25 \mu\text{V/K}$ along both the $a$ and the $c$ axes. A high anisotropy in the thermopower appears at $T^*$, which is related to the dimensional crossover from a higher dimensional to a Q1D electronic structure associated with the shapes of Nb(1)O$_6$ and Nb(3)O$_6$ octahedra.
ACKNOWLEDGMENTS
We appreciate the technical support of Y. Nakahara and S. Vasala. This study has been approved by the Photon Factory Program Advisory Committee (Proposal No. 2009S2-008). This work was partially supported by the Strategic Japan–Finland Cooperative Program on “Functional Materials,” JST, Japan.
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|
Chromosome Constitution of the Plants Induced from Callus Culture of the Daylily Hemercallis Flava L.
Yvonne C. Goeden
Follow this and additional works at: https://openprairie.sdstate.edu/etd
Recommended Citation
Goeden, Yvonne C., "Chromosome Constitution of the Plants Induced from Callus Culture of the Daylily Hemercallis Flava L." (1976). Electronic Theses and Dissertations. 4947. https://openprairie.sdstate.edu/etd/4947
This Thesis - Open Access is brought to you for free and open access by Open PRAIRIE: Open Public Research Access Institutional Repository and Information Exchange. It has been accepted for inclusion in Electronic Theses and Dissertations by an authorized administrator of Open PRAIRIE: Open Public Research Access Institutional Repository and Information Exchange. For more information, please contact firstname.lastname@example.org.
CHROMOSOME CONSTITUTION OF THE PLANTS INDUCED
FROM CALLUS CULTURE OF THE DAYLILY HEMEROCALLIS FLAVA L.
BY
YVONNE C. GOEDEN
A thesis submitted
in partial fulfillment of the requirements for the
degree Master of Science, Major in
Biology, South Dakota
State University
1976
CHROMOSOME CONSTITUTION OF THE PLANTS INDUCED FROM CALLUS CULTURE OF THE DAYLILY HEMEROCALLIS FLAVA L.
This thesis is approved as a creditable and independent investigation by a candidate for the degree, Master of Science, and is acceptable for meeting the thesis requirements for this degree. Acceptance of this thesis does not imply that the conclusions reached by the candidate are necessarily the conclusions of the major department.
_________________________ _______________________
Thesis Advisor Date
_________________________ _______________________
Head, Botany-Biology Department Date
ACKNOWLEDGMENT
I would like to express my gratitude to Dr. C. H. Chen, Professor of Biology, for his guidance during the course of this study.
My thanks are due to Dr. Charles McMullen, Assistant Professor of Biology, for his assistance in photography.
I also wish to thank my parents, Mr. and Mrs. Emil Goeden, and my fiancé, Bob Kallemeyn for their encouragement throughout this investigation.
YCG
# TABLE OF CONTENTS
| Section | Page |
|-------------------------------|------|
| INTRODUCTION | 1 |
| LITERATURE REVIEW | 2 |
| MATERIALS AND METHODS | 12 |
| RESULTS | 14 |
| DISCUSSION | 29 |
| SUMMARY | 39 |
| LITERATURE CITED | 40 |
| Figure | Description | Page |
|--------|-----------------------------------------------------------------------------|------|
| 1 | Somatic chromosomes of a diploid *Hemerocallis flava* L. plant at mitotic metaphase | 16 |
| 2 | A karyotype and idiogram of *Hemerocallis flava* L. | 20 |
| 3 | A regression line of the shortest chromosome upon the longest chromosome | 25 |
| 4 | Pollen-mother-cells of *H. flava* L. showing 11 bivalents, 10 bivalents plus 2 univalents, normal separation of homologous chromosomes at AI and 2 lagging chromosomes at AI | 28 |
| 5 | Root-tip cells of diploid tetraploid and octaploid plants | 31 |
| 6 | Comparisons of stomata and pollen grains among various polyploid daylily plants. Diploid, tetraploid and octaploid stomata. Pollen grains of diploid and tetraploid | 33 |
| 7 | Diploid, tetraploid, and octaploid daylily plants and flowers of diploid and tetraploid plants | 35 |
| Table | Description | Page |
|-------|-----------------------------------------------------------------------------|------|
| I | MEASUREMENTS OF SOMATIC CHROMOSOMES OF *HEMEROCALLIS FLAVA L.* | 17 |
| II | CHROMOSOME CONFIGURATION OF *HEMEROCALLIS FLAVA L.* AT METAPHASE I AND ANAPHASE I | 26 |
| III | CYTOLOGICAL VARIATION AMONG 16 POLYPLOID PLANTS EVOLVED AFTER COLCHICINE-TREATMENT OF A DIFFERENTIATING CALLUS OF *H. FLAVA* | 36 |
INTRODUCTION
Variations in chromosome number and/or structure were reported to occur in long-term cultures (Heinz, Mee and Nickell, 1969; Heinz and Mee, 1971; Horak, Lustinec, Mesicek, Kaminek and Polackova, 1975; Kao, Miller, Gamborg, and Harvey, 1970; Mitra and Steward, 1961; Sacristan, 1971; Singh and Harvey, 1975a and b; Torrey, 1959). No change of chromosome number was found in the callus tissue or in the plants induced from the callus of *Hemerocallis flava* L. subcultured for six months (Chen and Holden, 1972).
In this study, karyotype of the plants derived from a callus culture of *H. flava*, which had been subcultured for 30 months was analyzed to determine any change in chromosome structure.
Meiotic studies of pollen-mother-cells of the plants were also made to determine the nature of aberration in the chromosomes.
Polyploid plants derived from a colchicine-treated long-term culture of the daylily callus were also investigated cytologically for obtaining indirectly the evidence of chromosome stability in the callus culture.
Variations in chromosome number and structure in cultured cells were first reported by Torrey (1959). In the callus initiated from pea roots, the inability to form adventitious roots after a prolonged period of subculture was found to be associated with the elimination of the diploid cells from the culture. It was later discovered by Torrey (1967) that prolonged cultivation of pea callus resulted in a high frequency of the occurrence of polyploid cells, with lower chromosome numbers disappearing. The cells having chromosomes deviating from the diploid number lost their organ-forming capacity. The polyploid cells also showed structural changes of the chromosomes.
Mitra and Steward (1961) reported changes of chromosome number and structure in cell cultures of *Haplopappus gracilis*. Various ploidies were observed in a suspension culture subcultivated for six months. The majority of the polyploids were tetraploid. Structural changes observed included chromatid breaks, fragmentations and dicentric chromosomes. Singh and Harvey (1975a and b) investigated the effects of the physical condition of the medium on chromosome behavior of the cultures of *H. gracilis*. In both the callus and suspension cultures, number and/or structure change in chromosomes were observed. In agar medium, the frequency of polyploid cells increased with time, while in the suspension cultures, a very large increase in the frequency of diploids was observed but longer transfer intervals in the suspension cultures resulted in an increase in the
frequency of tetraploid cells. The authors suggested that endoreduplication was the major factor involved in the increase of polyploidy frequency. Among euploids investigated from callus cultures, diploid cells appeared to be the most stable and have the highest chance to survive. However, in callus cultures, polyploids had better competitive advantages than diploid cells. Anaphase figures from callus were observed with fragments, lagging chromosomes and chromatin bridges in low frequencies. In cells suspension-cultured for 94 days, chromosomal fragments, dicentric, ring and microchromosomes were observed occasionally at metaphase. However, anaphase analysis in the cultures 100 days old showed chromosomal fragments, bridges and lagging chromosomes in higher frequency in suspension culture than in callus cultures.
Kao, Miller, Gamborg and Harvey (1970) reported no variation in number or structure in long term suspension cultures of *H. gracilis*. They explained that the loss or gain of a chromosome in a species with a low chromosome number as *H. gracilis* (2n=4) would sufficiently upset the genetic balance; therefore, a high degree of stability would be expected in cell cultures of this species.
Reinert and Kuster (1966) found no variation in chromosome structure or number in cells of *Crepis capillaris* after one year of subculture. However, Sacristan (1971) reported that cell cultures of *C. capillaris* subcultivated for one year became partially polyploidized. Chromosome rearrangements were also observed. The frequency of aberration was found to be much higher in polyploid cells than diploids.
The frequencies of these abnormalities increased rapidly with time, suggesting a positive selective value in respect to polyploid cells *in vitro*.
In *Nicotiana*, Shimada and Tabata (1967) discovered that in cultured stem pith cells, chromosome number varied widely, ranging from 40 to 215 at first mitosis after explanting. A similar variation was observed in second mitosis. These aneuploids contributed to 70 percent of the cell population. However, after a prolonged period of subculture (18 months), the cell population became much more uniform in chromosome number. The wide range of variation in chromosome number found in the early stage of culture suggested that the pith tissue of tobacco, at the time of explanting, had been made of cells containing different chromosome numbers. Shimada (1971) also observed chromosome numbers in tobacco cultures originated from roots and subcultured for three to seven months varying from 45 to 96 with 64 percent of the cells being diploid. After two years of subculture the spectrum of chromosome variation widened. The change of chromosome number in the course of subculture, in that instance, was similar to that shown in the callus cells originated from the pith tissue. Plantlets regenerated from tumerous and non-tumerous cultures in tobacco have been reported by Sacristan and Melchers (1969). The variation in chromosome number in the plantlets differentiated from the non-tumerous cell which had a mean range of 72 chromosomes whereas those regenerated from the tumerous cultures had a mean range of 63 chromosomes. More plantlets were obtained from the tumerous cultures than the non-tumerous.
Chromosome number changes were also reported in callus cells of *Saccharum* (Heinz, Mee and Nickell, 1969; Heinz and Mee, 1970; Heinz and Mee, 1971). The plantlets evolving from these callus cultures had different chromosome numbers than the "parental" cells. Univalents were found at meiotic metaphase I (MI) in the plants differentiated from callus cultures but not in the "parental" plants. This implied that abnormalities in chromosome number or structure were present in these plantlets. In cell suspension cultures no cells were observed to have chromosome number doubled (Heinz and Mee, 1970).
Similar results have been reported by Horak, Lustinec, Mesicek, Káminek and Polackova (1975) in cultures of stem pith in Kale. Of the plantlets observed, 76 percent were tetraploid. The tetraploid plants appeared to arise from "parental" cells that were already tetraploid.
Nishi, Yamada and Takahaski (1968) reported that rice plantlets restored from callus contained uniform diploid numbers while the chromosome number in the callus varied widely.
Callus cells of common wheat and emmer wheat after subculturing for four years were examined by Shimada (1971). In common wheat 40 percent of the cells maintained the original chromosome number, while the rest were aneuploids. After prolonged culture, the wheat callus tissue did not greatly change its chromosomal constitution. Kao, Miller, Gamborg and Harvey (1970) also found that both *Triticum monococcum* and *Triticum aestivum* had numerical and structural variation. In *T. monococcum*, the majority of cells in one culture were found to be
aneuploid and the other cultures were tetraploids with fragments. In *T. aestivum* most cells were aneuploids; no tetraploids were found. Acentric fragments, dicentric chromosomes and one chromosome that was extremely long were observed. The dicentric chromosomes found in cultured cells were not observed in the intact root-tips of plants grown from the same seed source.
It had been reported by Asami, Shimada, Inomata and Okamoto (1975) that after six months of subculture, four aneuploid groups of *T. aestivum* exhibited a greater change in number than the disomic line. This suggested that the disomic line had greater stability in the karyotype than the aneuploid lines.
In cell suspension cultures of *Daucus carota*, the chromosome number remained stable if at the diploid level (Wetherell and Halperin, 1973) but the loss of totipotency of the carrot callus was attributed to the callus being aneuploid. Smith and Street (1974) cultured carrot tissue and discovered that the callus that had no embryogenetic potential was of higher ploidy.
*Glycine max* and *Melilotus alba* were also subcultured and studied by Kao, Miller, Gamborg and Harvey (1970). *G. max* had cells with chromosomes less than the normal. Chromosome structure was not studied. *M. Alba* was found to have no change in chromosome morphology but the majority of the cells were found to be diploid or tetraploid: only a few cells were found to contain aneuploids.
Plantlets obtained from callus tissue of *Lilium longiflorum* and *L. philadelphicum* showed no change in chromosome number of root-tip
cells (Stenberg, Chen and Ross, 1976).
Chen and Holden (1972) observed a normal diploid number \((2n=22)\) in cultured cells of *H. flava* and plantlets derived from the callus. The callus appeared to be cytologically stable even though it had been subcultured for as long as six months on the same medium.
It appeared that plantlets exhibiting variations might have been induced from callus cells which could already have had those variations at the time of explanting. The callus tissue which was chromosomally heterogeneous might lose its totipotency.
A defined karyotype of a species has been found to be useful in detecting chromosome aberrations. Karyotype analysis has been used as a tool in identification of similarities and differences among species. For example, a comparison of karyotypes in several species of bulbous *Iris* were made by Mitra and Randolph (1959). Based on camera lucida drawing of the mitotic chromosomes, idiograms were constructed. The chromosomes were numbered according to length starting with the longest to the shortest.
Bhattachargya and Jenkins (1960) measured with a Zeiss ocular screw micrometer the mitotic chromosomes of ten metaphase cells of *Secale cereale L.* cv. "Dakold." The mean of several measurements of each arm and total length of every chromosome was taken for more accurate results. An idiogram was then constructed using the arm index ratio.
Huziwara (1957) applied the information obtained from karyotype analysis to his studies of taxonomic relationships in the genus *Aster*.
In all species examined the chromosome numbers were nine or multiples of nine. No aneuploidy or structural changes were found.
Mensinkai (1939) made an extensive study of mitotic and meiotic chromosomes of *Allium* species. It was found that in some plants of *Allium cepa*, univalents at MI and bridges plus fragments at anaphase I (AI) were frequently present, indicating a heterozygous inversion was involved. In other plants of this species, only univalents were observed in meiotic cells. Homologous chromosomes that did not form chiasma failed to pair. Failure of chiasma formation in *Primula kevensis* (Upcott, 1939) and in *Paeonia japonica* (Haga and Ogata, 1959) was also accounted for by the presence of univalents in meiosis. In *Allium darwasicum* heteromorphic pairs were observed but pairing at meiosis was normal. In all species of *Allium* examined there was more than 20 percent inversion heterozygosity. This had a significant effect on the fertility of the plant.
Levan (1931, 1932) also did cytological studies in *Allium*. Karyotypes were drawn for several species. Measurements of the long arm, short arm and total length of the chromosomes were calculated. Fragments in somatic and meiotic cells were found. In one cell, the chromosome fragment attached perpendicularly on a chromosome near the centromere.
In a meiotic study of *Viola canina*, Clausen (1931) discovered an oscillating chromosome number. Twenty bivalents plus three fragments were found to behave irregularly during meiosis.
In *Tulipa* the presence of chromatin bridges and fragments at meiotic AI and/or AII indicated the involvement of heterozygous inversion (Upcott, 1937). In all triploid *Tulipa*, one or more inversions were found.
Ourecky (1970) found that in the genus *Sambucus* pairing of meiotic chromosomes was irregular. Univalents occurred in one species while chromosome bridges in AII appeared in another species. Karyotype analysis of individual plants revealed no apparent morphological differences within each of the species. This abnormality was caused by chromosome instability or structural hybridity. Univalents resulted from the cancellation of the end-to-end junctions of the bivalents that were paired only by terminal chiasmata (Haga and Ogata, 1956).
Reciprocal translocations and paracentric inversions in *Paeonia californica* were reported by Stebbins and Ellerton (1939) and Walters (1942). But inversion bridges and fragments were found more often than translocations.
In *Bromus* unequal length in homologous pairs arose from normal median pairs of chromosomes by means of two independent pericentric inversions, resulting in a heteromorphic pair. Ninety percent of the pollen was functional but bridge-fragments appeared at AI and AII (Walters, 1952).
Carson and Stalker (1947) found that in *Drosophila robusta* two pericentric inversions changed one chromosome from median to submedian.
The heteromorphic chromosome pairs found by Boyes and van Brink (1967) in *Syrphidae* frequently exhibited reduced somatic pairing affinity.
in mitotic metaphase. They separated from each other as two univalents at meiosis.
Lagging chromosomes at AI in *Crepis capillaris* were observed by Richardson (1936). The lagging chromosomes would migrate to each pole before the nuclear membrane was formed. Occasionally the lagging chromosomes would be excluded from the daughter nuclei.
In *Trillium kantschaticum* abnormalities in meiotic chromosomes such as tangling of chromosome ends and premature separation of chromatids resulted in pollen abortion. They attributed the abnormality to the effect of high temperature (Haga and Kayano, 1955; Matsuura and Haga, 1940).
Marenah and Holden (1967) used a karyotype to differentiate nine chromosome deficient lines of *Avena sativa*. Karyotype and idiogram of root-tip chromosomes were constructed. Chromosomes were classified on the presence or absence of satellites and on the position of the centromere. Chromosomes were placed in four groups: satellited, median, submedian and subterminal groups established by Rajhathy (1963) for *A. sativa*.
Chromosomes of *Hemerocallis* were first studied by Belling (1925). Meiotic chromosomes of *H. fulva* were found to associate in trivalents, bivalents and univalents at metaphase I. This species was identified as a triploid and was highly sterile.
Takenaka (1929) analyzed karyotypes of some species of *Hemerocallis* using camera lucida drawings. No clear structures of the chromosome pairs were distinguishable. Later, mitotic and meiotic
chromosomes of some *Hemerocallis* species were depicted by Dark (1932). At meiosis no univalents were observed in any species studied except in the triploid *H. fulva*. Chromosomes of all other species studied paired to form eleven bivalents. He then concluded that, in the genus *Hemerocallis*, the somatic number of 22 was a rule for all species. Stout (1932) obtained the same conclusion.
Arisumi (1971) observed that it was necessary to differentiate cytologically the causes of sterility in *Hemerocallis* by counting of the chromosomes. It was also reported that spontaneous chromosome doubling in daylilies was very low.
MATERIALS AND METHODS
Thirty-two plants, which were originated from callus cells of the daylily *Hemerocallis flava* L. subcultured for 30 months, were used for this study. The methods of culturing and maintenance of the callus were described by Chen and Holden (1972). For somatic chromosome analysis root-tips were taken from the plants reared in clay pots in the greenhouse. Material used for meiotic studies were taken from plants growing in the field condition.
The tips of three young roots from each plant were prefixed in 0.2 percent aqueous solution of colchicine at 5°C for two to three hours before being fixed in acetic alcohol (one part glacial acetic acid: three parts absolute ethanol) for 24 hours. The roots were then hydrolyzed in 1N HCl at 60°C for ten minutes and stained with Feulgen reagent for 15 to 30 minutes. In preparing the microscope slides, a modified squash technique described by Darlington and LaCour (1960) was applied. Briefly, a root-tip, 1 mm in length was restained in a drop of 1 percent carmine in 45 percent acetic acid and macerated in the center of the slide. The root-tip cells were then squashed under a coverslip. The slide was made permanent by using the quick freezing method which was essentially the same as described by Conger and Fairchild (1953).
Chromosome measurements were made under an oil immersion objective with the aid of an ocular screw micrometer. These measurements of each arm of a chromosome were made and averaged. A photomicrograph of
every cell measured was taken with an automatic camera attached to a Leitz compound microscope.
A karyotype as well as an idiogram was established from the chromosome measurements of six randomly sampled plants. Chromosome constitution of the root-tip cells taken from the rest of the plants were then compared to the "standardized" karyotype for determining if there was any variation in chromosome number or structure.
For meiotic studies, young floral buds, 10 mm long, were collected from the plants grown in the field in the early afternoon during the latter part of June and early part of July and fixed in acetic alcohol for 24 hours. They were then transferred into 70 percent ethanol and stored in the refrigerator until used. The aceto-carmine squash technique for pollen-mother-cells described by Chen and Gregory (1973) was employed. Slides were temporarily sealed with wax.
RESULTS
Twenty-two somatic chromosomes were observed in all 545 cells of 32 plants. The result of chromosome counts agreed with those of Stout (1932), Dark (1932), Takenaka (1952) and Chen and Holden (1972) in the genus *Hemerocallis*. Figure 1 shows a root-tip cell of *H. flava* L. having 22 chromosomes. Measurements of these chromosomes from 17 cells are presented in Table I. The information given on this table includes the average lengths of the short and the long arms, and total length of each individual chromosome. Standard errors for these measurements were also calculated. A pairing t-test was made to ascertain any real difference in length between any of these homologous pairs. With the exception of the chromosome pair 3, the calculated t-value for each of the pairs showed no significant difference. The differences in short arm and total length of chromosome pair 3 were significant at 1 percent level whereas the long arm was at 5 percent significant level. It appeared that the heteromorphic pair might result from a change of lengths in both arms of the homologues.
A standardized karyotype was constructed based upon the chromosome length beginning with the longest (Fig. 2A). The chromosomes were placed into five groups, each of which was characterized as follows:
**Group 1**
Chromosome pairs number 1 and 2 belonged to this group. Both pairs were submetacentric with centromeric indices of 0.42 and 0.41,
Figure 1. Somatic chromosomes of a diploid *Hemerocallis flava* L. plant at mitotic metaphase (2n = 22) x3600.
\[ \frac{1}{\sum_{i=1}^{n} x_i} = \frac{1}{\sum_{i=1}^{n} y_i} \]
Centromeric index
0.42
0.42
0.41
0.41
0.47
0.43
0.53
0.35
0.35
0.35
0.33
0.33
0.40
0.40
0.24
0.24
0.18
| Chromosome # | Length of short arm | t | Length of long arm | t | Total Length | t | Centromeric index |
|-------------|---------------------|----|--------------------|----|--------------|----|------------------|
| 1 | 2.77 ± .06 | 0.000 | 3.78 ± .09 | 0.225 | 6.56 ± .15 | 0.664 | 0.42 |
| | 2.77 ± .07 | | 3.77 ± .08 | | 6.55 ± .14 | | 0.42 |
| 2 | 2.54 ± .05 | 1.294 | 3.63 ± .08 | 0.361 | 6.17 ± .10 | 1.523 | 0.41 |
| | 2.50 ± .05 | | 3.63 ± .08 | | 6.12 ± .11 | | 0.41 |
| 3 | 2.40 ± .08 | 4.658** | 2.56 ± .08 | 2.362* | 5.09 ± .15 | 4.258** | 0.47 |
| | 2.10 ± .07 | | 2.70 ± .09 | | 4.78 ± .15 | | 0.43 |
| 4 | 1.67 ± .05 | 0.450 | 3.07 ± .07 | 0.222 | 4.74 ± .11 | 0.137 | 0.35 |
| | 1.65 ± .05 | | 3.08 ± .08 | | 4.73 ± .11 | | 0.35 |
| 5 | 1.50 ± .03 | 0.213 | 2.76 ± .07 | 0.068 | 4.26 ± .08 | 0.202 | 0.35 |
| | 1.51 ± .03 | | 2.77 ± .06 | | 4.27 ± .07 | | 0.35 |
| 6 | 1.38 ± .03 | 0.214 | 2.77 ± .08 | 0.139 | 4.15 ± .10 | 0.214 | 0.33 |
| | 1.39 ± .04 | | 2.78 ± .08 | | 4.17 ± .11 | | 0.33 |
| 7 | 1.64 ± .05 | 0.172 | 2.50 ± .06 | 0.418 | 4.13 ± .09 | 0.422 | 0.40 |
| | 1.65 ± .04 | | 2.51 ± .05 | | 4.17 ± .09 | | 0.40 |
| 8 | 0.97 ± .03 | 0.426 | 3.07 ± .05 | 0.901 | 4.04 ± .06 | 0.506 | 0.24 |
| | 0.99 ± .04 | | 3.02 ± .05 | | 4.01 ± .06 | | 0.24 |
| 9 | 0.38 ± .02 | 1.739 | 3.50 ± .07 | 1.796 | 3.88 ± .08 | 1.440 | 0.11 |
| | 0.36 ± .02 | | 3.56 ± .07 | | 3.92 ± .07 | | 0.10 |
| 10 | 0.70 ± .02 | 1.852 | 2.81 ± .07 | 0.960 | 3.51 ± .09 | 1.218 | 0.20 |
| | 0.74 ± .02 | | 2.82 ± .07 | | 3.56 ± .08 | | 0.20 |
| Chromosome # | Length of short arm | t | Length of long arm | t | Total Length (μm) | t | Centromeric index |
|-------------|---------------------|----|--------------------|----|------------------|----|------------------|
| 11 | 1.36 ± .04 | 0.255 | 1.86 ± .08 | 0.377 | 3.22 ± .11 | 0.000 | 0.42 |
| | 1.35 ± .05 | | 1.87 ± .07 | | 3.22 ± .11 | | 0.42 |
* and ** 5% (t = 2.120) and 1% (t = 2.921) significant levels, respectively.
respectively. An average length for pair number 1 is 6.6 μm while pair number 2 had an average length of 6.2 μm. The two pairs were distinguishable from each other by the short arm of pair 1 being noticeably longer than that of pair number 2. The long arms of these chromosome pairs appeared to be nearly the same length.
**Group 2**
The chromosomes of pair 3 were placed in this group; these two chromosomes were heteromorphic. One chromosome of the pair was submetacentric, 4.8 μm long, with a centromeric index of 0.44, while its apparent homologue was metacentric which was unique in the karyotype. The metacentric chromosome had an average length of 5.1 μm with a centromeric index of 0.47. The submetacentric chromosome had a characteristic rounding at the end of the short arm.
**Group 3**
Five pairs of chromosomes, designated chromosome pairs 4 through 8, belonged to this group. All members of this group showed little difference in chromosome length. The average chromosome lengths in this group varied ranging from 4.78 μm to 4.07 μm. Chromosome pair 7 had a relatively high centromeric index (0.40), indicating the centromere was nearly in median position while chromosome pair 8 had a nearly terminal centromere with a centromeric index of 0.24.
**Group 4**
Two pairs of satellite chromosomes, designated pair 9 and 10 respectively, belong to this group. They were identified not only
by presence of a satellite but the position of the centromere. The centromeric indices for pair 9 was 0.10 and chromosome pair 10' was 0.20. These calculated indices do not include the satellite. In both cases the satellite which was located on the short arm was extremely difficult to measure. All measurements of the satellites was done by the use of photomicrographs. The satellites were so small, at times they were folded under or bent down to where they could not be discernable. The satellite on one chromosome of each pair is shown in Figure 1. The short arm of pair 9 (0.37 μm) was almost half the size of the short arm of pair 10 (0.72 μm). A noticeable difference in the length of the long arm also distinguished between these two pair of chromosomes.
**Group 5**
Chromosome pair 11 belonged to this group. The average length of this chromosome was 3.2 μm with a centromeric index of 0.42. It was the shortest chromosome pair in the karyotype.
Based on the information present in Table I an idiogram for the plant population was constructed (Fig. 2B). The idiogram represented the chromosome length, the location of the centromere and the presence or absence of a satellite.
Marenah and Holden (1967) indicated that if colchicine was used to contract the chromosomes, it was essential to determine if the degree of contraction was proportional to chromosome length. In other words, in order for the idiogram to be valid, the tendency for the variation of chromosome length among the cells should be the same.
To test the validity, an analysis of correlation was made using the longest and the shortest chromosomes of each cell as the two variables. A significant positive correlation coefficient, $r=+0.57$, was calculated. A linear regression of the shortest on the longest chromosome is expressed in Figure 3, suggesting that there was a tendency for the chromosomes in a cell to contract proportionally to their length.
In 75 mitotic cells examined, no chromosomes were found to be abnormal with the exception of the heteromorphic pair, which was found consistently in all of the cells examined. This structural abnormality appeared to have existed at the time of explanting.
In order to determine the nature of aberration of chromosome pair 3, meiosis of pollen-mother-cells from eight plants was analyzed. The chromosome configurations obtained in the first division of meiosis are presented in Table II. Of 297 cells observed in metaphase I (MI), 285 pollen-mother-cells or 95.6 percent had 11 bivalents (Fig. 4A), while 12 or 4.0 percent of the cells showed 10 bivalents and two univalents (Fig. 4B). At anaphase I (AI) 954 cells or 97.8 percent showed a normal separation of the homologous chromosomes (Fig. 4C), while 21 cells or 2.1 percent of the cells examined showed two lagging chromosomes (Fig. 4D) which appeared to be derived from the two unpaired chromosomes seen at MI. No quadrivalents which might otherwise be an indication of the presence of reciprocal translocation were observed at MI, nor chromatin bridges and fragments for inversions at AI. The occurrence of the two univalents appeared to be related to the heteromorphic pair. Thus, the heteromorphic pair appeared to result from a chromosomal addition and/or deletion in these two chromosomes.
Figure 3. A regression line of the shortest chromosome (y) upon the longest chromosome (x).
Length of shortest chromosome (µm)
Length of longest chromosome (µm)
\[ \hat{Y} = 0.43X + 0.41 \]
Société de Géographie
1892
| Metaphase I | Anaphase I |
|------------|------------|
| 11 II | Normal |
| 10 II + 2 I| 954 |
| Total | 21 |
| | 975 |
| No. | % | 285 | 12 | 297 | 954 | 21 | 975 |
|-----|-----|-----|-----|-----|-----|-----|-----|
| | | 95.6| 4.0 | 99.6| 97.8| 2.1 | 99.9|
Figure 4. Pollen-mother-cells of *H. flava*. (A) 11 bivalents, (B) 10 bivalents plus 2 univalents, (indicated by arrows), (C) normal separation of homologous chromosomes at AI, and (D) 2 lagging chromosomes at AI (indicated by arrows) x1700.
DISCUSSION
No variation in chromosome number or structure in the plants obtained from a long-term culture of *S. alba* is evident although the tissue was karyologically stable.
The contradictory reports on chromosome numbers observed in long-term cultures of some plant species could be due to the differences in: (i) the nature of the material, (ii) the method of culturing, and (iii) the length of time the cultures have been maintained.
In the present study, all tetraploid plants examined showed no change in chromosome number, the polyploidy was not altered during the period of culture, and the plants examined. Table 17 lists the chromosome numbers for the examined plants. Black markers I through 4 were found in all plants while the remaining 3 (numbers 5-7) were not detected.
Each (1927, 1964) and Tschudin (1928) suggested that the same type of *Hemerocallis* is responsible for these two different types, each of which was responsible for the development of certain floral structures and organs.
Figure 27
The General Idea of Political Economy
DISCUSSION
No variation in chromosome number or structure in the plants obtained from a long-term culture of *H. flava* L. would indicate that the tissue was karyologically stable.
The contradictory reports on chromosome variation observed in long-term cultures of some plant species could be due to the differences in: (1) the media used for the cultures; (2) the duration of subculture; (3) varieties or species; (4) tissues of the plant used in the culture.
Earlier, polyploid plants were induced after colchicine-treatment of the differentiating callus tissue (Chen and Goeden, 1974). Cytological studies of the tissues derived from different histogenic layers were made on 17 polyploids by chromosome-count in root-tips (Fig. 5), measuring sizes of stomata (Fig. 6A-C) and pollen grains (Fig. 6D and E) to further ascertain whether these polyploid plants evolved spontaneously or as a result of colchicine treatment. Morphologically, except for an octaploid plant, which had miniature stature, all tetraploid plants exhibited gigantic characters (Fig. 7). However, the polyploidy was not always cytologically homogeneous among the plants examined. Table III shows cytological variations among the polyploid plants. Plant numbers 1 through 9 were uniformly tetraploid while the remaining 7 (numbers 10-16) were cytochimeras.
Peck (1957, 1968) and Arisumi (1972) indicated that the stem apex of *Hemerocallis* consisted of three histogenic layers, each of which was responsible in the development of certain plant tissues and organs.
Figure 5. Root-tip cells of (A) diploid, (B) tetraploid and (C) octaploid plants x1000.
A
B
C
Figure 6. Comparisons of stomata and pollen grains among various polyploid daylily plants. (A) diploid, (B) tetraploid, and (C) octaploid stomata (x320). Pollen grains of (D) diploid and (E) tetraploid (x140).
A, B, C, D, E
Figure 7. (A) Diploid, tetraploid, and octaploid daylily plants and (B) flowers of diploid and tetraploid plants.
CYTOLOGICAL VARIATIONS AMONG POLYPLOID
A
2n 4n 8n
B
2n 4n
| Plant No. | Stomates | Pollen | Root-tips |
|----------|----------|--------|-----------|
| 1 | 4n | 4n | 4n |
| 2 | 4n | 4n | 4n |
| 3 | 4n | 4n | 4n |
| 4 | 4n | 4n | 4n |
| 5 | 4n | 4n | 4n |
| 6 | 4n | 4n | 4n |
| 7 | 4n | 4n | 4n |
| 8 | 4n | 4n | 4n |
| 9 | 4n | 4n | 4n |
| 10 | 2n | 2n | 4n |
| 11 | 2n | 4n | 4n |
| 12 | 2n | 2n | 4n |
| 13 | 2n | 2n | 4n |
| 14 | 2n | 4n | 4n |
| 15 | 2n | 4n | 4n |
| 16 | 2n | 4n | 4n |
According to Derman (1960), the outermost layer, designated L-I, gave rise to epidermis; the middle layer, or L-II, developed into spores; and the innermost layer, or L-III, was responsible for the formation of internal tissues of all organs including secondary roots. If polyploidization should have been spontaneous and occurred before cellular differentiation, the differentiated cells which eventually organized into a plant body would have been karyologically uniform. On the other hand, if the differentiating tissue should be treated with colchicine, cytochimera would be expected to occur. The occurrence of cytochimera in a relatively high frequency would then indicate that the polyploid plants appeared to have been induced by colchicine treatment, not the result of prolonged subculture of the tissue.
The heteromorphic pair, which occasionally separated as two univalents at meiosis appeared to be caused by a chromosomal deletion and/or addition. This pair must have been present in the "parental" tissue since they were observed consistently in all somatic cells. If the original tissue should not have been karyologically uniform, chromosome variation among the plants evolved from callus would have been found. Through asexual reproduction which appears to be the unique way of propagation for this stock, the propagates may retain the aberrant chromosome constitution.
Diploid plants of this stock did not set seed. The sterility was due to self-incompatibility in the style as reported by Jost (1907) and Brewbaker and Gorrez (1967). Analysis of pollen grains
showed that only 80 percent of the grains were stainable and normal in shape. Thus, the univalents observed in meiosis appeared to contribute the pollen sterility.
Since callus culture of daylily is karyologically stable, plants evolved from the callus would be expected to form a genetically homogeneous population. Thus, tissue culture appears to be an ideal method for rapid cloning of this ornamental plant. Furthermore, colchicine-treatment of daylily callus followed by induction of differentiation into plantlets would provide an effective method of producing polyploid plants.
SUMMARY
Karyotype analysis of root-tip cells in the plants, which were initiated from a long-term callus culture of *Hemerocallis flava* L., indicated no variation in chromosome or structure. A heteromorphic pair, designated chromosome pair 3, appeared consistently in the plants examined suggesting that the aberrant pair was present in the tissue at the time of culturing.
Meiotic studies revealed the presence of two univalent chromosomes in a small percentage of the pollen-mother-cells, which appeared to result from the unpaired members of chromosome pair 3. Since no pollen-mother-cells with multivalents at metaphase I or chromatin bridges at anaphase I were observed, the presence of heterozygous reciprocal translocation or inversion could be ruled out. Chromosomal deletion and/or addition might be involved in the aberration.
The occurrence of univalent chromosomes in some cells could account partially for sterility of this species of *Hemerocallis*.
A high frequency of polyploid plants arose after colchicine-treatment of the differentiating daylily callus. Cytological examination of the tissues derived from different histogenic layers revealed the presence of cytochimera sectors in the colchicine derivatives, suggesting that polyploidization took place after colchicine-treatment of the callus. No polyploid cells were found in the plants differentiated from the culture grown on a medium devoid of colchicine.
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Kao, K. N., R. A. Miller, O. L. Gamborg and B. L. Harvey. 1970. Variation in chromosome number and structure in plant cells grown in suspension cultures. Can. J. Genet. Cytol. 12:297-301.
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Singh, B. D. and B. L. Harvey. 1975b. Karyotypic changes and selection pressure in *Haplopappus gracilis* suspension culture. Can. J. Genet. Cytol. 17:109-116.
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THE WIRELESS AGE
SEPTEMBER 1915
A WIRELESS DETECTIVE IN REAL LIFE
ONE OF A DOZEN SPECIAL ARTICLES IN THIS ISSUE
FIFTEEN CENTS
Owing to the fact that certain statements and expressions of opinion from correspondents and others appearing in these columns from time to time may be found to be the subject of controversy in scientific circles and in the courts, either now or in the future, and to sometimes involve questions of priority of invention and the comparative merits of apparatus employed in wireless signaling, the owners and publishers of this magazine positively and emphatically disclaim any privity or responsibility for any statements of opinion or partisan expressions if such should at any time appear herein.
SEPTEMBER, 1915
When the Pacific Belied Its Name
Being the Outline of a Voyage Which Included Two Wrecks and a Rescue by Wireless
By A. R. Short.
WHEN is the Pacific not pacific? The answer is, when I am on it.
So if you believe that life aboard a one-man ship may become monotonous, consider the voyage I have just returned from as this is written. In only one way was there monotony, that was in the regularity with which we postponed our meals. For three days we lived solely on expectations.
Sailing from San Francisco on April 29, the freighter Edgar H. Vance had the Norwegian ship Aggi in tow. Despite dual neutrality we were challenged by heavy northwest gales from the time we poked our noses outside the Golden Gate. We gave battle. After a three days' encounter we won, but we were just about ready for "taps" by then.
First, when but a short distance out, our steering gear refused to work and we drifted almost on to our tow; the wind pressure against her rigging fortunately caused her to pass barely clear of our starboard quarter. The next morning we had to cut the Aggi loose, her sails gone and decks awash. She was a pitiful looking spectacle, but we could hold on to her no longer. She went ashore on Santa Rosa Island—a total wreck.
With over eight feet of water in the hold, bulkheads broken open, food and water gone, deckload overboard, bridge and engine room telegraph broken and the engine room filling with water, we were in nearly as bad a predicament as that of the Aggi. To add the finishing touches, the rudder broke in the afternoon, leaving us floundering around out in the ocean, perfectly helpless, a mass of floating wreckage.
I had already notified land regarding the Aggi's distress, and opened up the key again to forward messages of our plight. Fortunately, I was given a reassuring answer soon after.
Then we rigged up two jury rudders, but these were of no avail. Appreciating the danger of taking a sea broadside, we next tried to keep her "head-on" by hoisting the sails of the lifeboats aft.
But for the Marconi equipment we would never have been rescued, for our position was uncertain. By wireless we were notified to make black smoke by day and blue fire at night and the rescuing tug thus located us early in the following evening; its arrival being gladly welcomed and duly celebrated with "coffee an'"—nectar of the gods to us!
So, leaving 'Frisco with a tow, we arrived back in tow. Including the efforts of the return escort, three seagoing tugs, the Edgar H. Vance had managed to make in five days a voyage to a point about 130 miles southwest of San Francisco and a return to that port.
All hands had been on deck for three days and nights, without sleeping or eating, injured, wet and expecting to go down any minute. Maybe that wireless set wasn't appreciated!
Most of those aboard saw for the first time its real value, and saw it so well that many of them vowed never to sail on a ship that had no radio equipment.
WAR INCIDENTS
True Stories of Exciting Experiences of Operators
THE American steamship Leelanaw was destroyed by a German submarine on July 25. Shannon Morgan, Marconi operator on the former craft, has written the following account of the sinking of the Leelanaw for The Wireless Age:
The Leelanaw left New York on May 17, bound for Gothenberg, with a cargo of cotton to be transferred through Sweden to Moscow, Russia. Little occurred beyond the routine happenings of life aboard ship during the earlier stages of our voyage. When we neared the Shetland Islands, however, the Leelanaw was boarded by a British prize crew and taken to Kirkwall. We spent twenty-eight days at that port, the destination of our ship being changed by the British Admiralty to Archangel, Russia. Here we discharged our cargo of cotton and took on a load of flax for Belfast.
As we passed through the Straits of the White Sea we saw along the shore the wrecks of several ships that had been blown up by mines—grim reminders of the fact that a world war was in progress. This was impressed upon me still more vividly at about fifteen minutes to two o'clock on the afternoon of July 25, when I heard the report of a gun nearby. It sent me scurrying to the port side where I saw a submarine ploughing toward us. Then the underwater craft fired a shell which fell some 300 yards short of us. It was an unmistakable order for the Leelanaw to heave to and Captain Delk, our commander, ordered the engines of the steamship stopped.
As I interestedly awaited the next development in the incident my eyes encountered another steamship in the distance. The next instant the place where she had been steaming through the waters was marked by a flying mass of splinters and smoke—an apt illustration of the effective torpedoing practiced by the submarine which had halted the Leelanaw. I afterwards learned that the ill-starred steamship was a Norwegian craft. But this was not the only exhibition shown of the prowess of the submarine, for even as I was wondering at the complete demolition of the Norwegian ship the former craft began shelling a large trawler to our port, the latter sinking twenty minutes afterwards. Then I went back to the wireless room and listened in. I heard no signals, however, and soon orders came from the commander of the submarine to lower a boat and brings the papers of the Leelanaw for examination.
These of course disclosed the fact that we carried a cargo of flax which Germany has declared to be contraband. All hands were therefore ordered to abandon the Leelanaw, a large parrot, our mascot, which speaks excellent Spanish, being included in the order. We tumbled into our small boats and went aboard the submarine which, after dropping about fifty yards astern of the Leelanaw, opened fire on the starboard side of the steamship. The latter listed heavily and the underwater craft made her way alongside near the wireless room and fired a torpedo amidships. The Leelanaw then began to sink rapidly. Two more shells were fired at her and about an hour and a half afterwards she disappeared from view.
The submarine, we found, was a large sized specimen of her kind. She was equipped with wireless, the aerial being a telescoped mast which was arranged so that it could be raised or lowered from below deck. More than 100 feet in length, it had two wires of seven-stranded bronze.
The treatment we received aboard the submarine left no reason for complaint. The commander of the German craft seemed particularly interested in radiotelegraphy, one of his first questions being, "Did you make any wireless signals?" After the Leelanaw's men had been on board the submarine for about five hours, land was sighted and another steamship also appeared. They were the signals for the captain of the submarine to order us again into our small boats. We left the underwater craft making toward the new prospective object of attack and headed for Kirkwall, the Orkney Islands, which we reached at six
'clock in the morning of July 26. Thus ended my war adventure.
An attack on the Cunard liner Orduna was made by a German submarine on July 9, the Marconi operator on the steamship being called upon to send distress signals which were responded to by the armored yacht Jeanette. The Orduna, which was bound from Liverpool to New York, arrived at the latter port undamaged, her escape, it is believed, being due to the fact that the Germans miscalculated the speed of the liner.
The Orduna was thirty-seven miles south of Queenstown when the attack was made. Captain Thomas McComb Taylor, the commander of the steamship, told the following story of the incident:
"At ten minutes to 6 A. M., the lookout man on the after bridge rang the telegraph, at the same time pointing his hand downward and out on the port beam. The third officer was immediately sent aft to inquire what was seen. He returned quickly and reported both men had seen a torpedo pass across the stern from port to starboard only ten feet clear of the rudder. In the meantime both the chief officer and myself distinctly saw the trail of the torpedo, extending from the stern to about two hundred yards out on the port beam. About eight minutes afterward the chief officer and I saw the submarine come to the surface about two points on the starboard quarter, distant about three-quarters of a mile, with five or six men on her deck getting her gun ready. I immediately ordered all possible steam, altered the course and brought her right astern, when they began shelling us. The first shot struck the water abreast of the forecastle on the starboard side, about thirty feet off. The second dropped just under the bridge, the third abreast of No. 5 hatch, quite close alongside; the fourth under the stern, sending up a volume of water forty feet high. The fifth and sixth and last shells all fell short. The firing then ceased and the submarine was soon left far astern.
"Marconi distress signals were sent out at once. I got a reply that assistance would be with us in an hour, but it was four hours before the small armored yacht Jennette appeared. I account for the torpedo missing the ship to their misjudging the speed, allowing fourteen knots instead of sixteen, which we were doing at the time. The torpedo passed only ten feet clear."
The Wireless Age told last month of the sinking of the Leyland liner Armenian by a German submarine off Trevose Head, Cornwall, and the dangers attendant upon sending out the S O S. Additional details of the attack on the steamship reveal the complete story of the heroic efforts of the Marconi operators—John S. Swift, the senior, and James D. Murphy, his assistant—to save the British ship from destruction by the underwater craft. When the latter ordered the Armenian to stop, the commander of the steamship sent his vessel ahead at full speed and the German craft followed, repeatedly firing shells at the quarry. Murphy was at the wireless set when the submarine was first sighted, but Swift afterward took charge. He flashed signals of distress and the Armenian's position, sending the appeal broadcast for twenty-five minutes. Only when a shell demolished the roof of the cabin did he relinquish his efforts to summon aid. Another shell completely demolished the structure and Swift and Murphy found their usefulness as operators ended for the time being.
While they were assisting in lowering a boat a shell severed some of the ropes supporting the craft and the latter plunged into the water, carrying a considerable number of men with it. Several of the latter lost their lives. Other boats were lowered, but the Germans kept up a continuous firing and a number of the small craft were destroyed. Murphy struggled in the water for fifteen minutes before he was rescued. The survivors of the Armenian, including the wireless operators, rowed about in the small boats until they were picked up. Swift and Murphy are none the worse for their experience beyond some slight injuries.
The Early Fall Crop
The Wireless Age is certainly the best thing out in the wireless line. I could hardly be without it now. It has opened my eyes to the technical side of wireless.—K. R. C., Illinois.
I cannot say too much in praise of The Wireless Age; in the issue just received, I found an answer to a question regarding the leakage effect of high power wires in damp or wet weather. This information was worth the price of the subscription to me.—R. M. P., Connecticut.
The Wireless Age has nothing but my best wishes for success; I think it is IT when it comes to wireless news.—J. B., Jr., New Hampshire.
I have read your magazine in the City Library since its first issues and believe it to be the most thorough and practical wireless amateur medium of to-day.—D. T. W. McC., Oregon.
I have been a subscriber to The Wireless Age for the last three years and think it is one of the best magazines published.—M. A. M., New York.
July issue of The Wireless Age just received. It is excellent.—W. K. M., Canada.
All you say about your magazine is true, and after I saw one copy I was convinced that I was missing something and immediately bought all the back numbers and subscribed for 1915.—W. B., Massachusetts.
Your magazine is sure the cream of all the others when it comes to what is required in the radio field. It is worth its weight, as the old adage has it.—W. R. C., Iowa.
I like the "Queries Answered" Department and read it first. I am only waiting about sending the questions, because I expect they will be answered in the next issue as some others I have been puzzled over have been answered.—E. L. B., Kentucky.
I am very pleased with The Wireless Age—so much so that I can hardly wait for the next issue.—E. M., Louisiana.
Please begin with the May issue of this year, as I want to get as much as possible of that "How to Conduct a Radio Club."—F. K. M., Colorado.
Our Club takes The Wireless Age, and we think it a fine magazine.—E. E., Wisconsin.
The Wireless Age is certainly a fine magazine. I don't see how I got along without it.—J. A. I., Indiana.
I have only taken The Wireless Age for four months, and never knew there was such a magazine published until a friend recommended it to me. I have many other books on radio work, but The Wireless Age is on top of the pile every time.—H. R. H., Connecticut.
A Wireless Detective in Real Life
How an Amateur, Working In the Interests of the United States Secret Service, Made Permanent Records of Some 25,000 Words Transmitted by the German Owned Sayville Station
WITH the control of the German-owned Sayville wireless station now in the hands of the United States Government and its operation governed by American naval officers, details of the acts which led to the seizure reported in the August issue are rapidly coming to light. Accusations of neutrality violation have followed thick and fast in the daily press and many disclosures made in unexpected quarters. That the principal evidence upon which the seizure was made was supplied by an amateur who has been a constant reader of The Wireless Age makes the story just that much more dramatic to our readers.
The story properly begins back in the early part of July when the first rumble of suspicion came from Washington officials and found its way into the newspapers. It had been hinted in certain quarters that the Government might refuse to issue a new license for the new and more powerful equipment then being installed at Sayville. Persistent rumors of messages of a military character sent under cover of ordinary commercial dispatches in plain English and German caused the situation to be viewed from an angle more serious than that which concerned the right of the Government to refuse to grant the new license on the ground that no belligerent nation or its agents has the right to establish a wireless station in a neutral country after war has been declared. Some of the messages filed had been rejected by the naval censors on the ground that they were too obviously not what they pretended to be. Commercial orders, or pretended commercial orders, that could not in the nature of things be executed in Germany on account of the present commercial isolation of that country, were rejected. Certain messages to persons in this country to execute orders for goods that could not be shipped to German ports or would be useless in Germany in this time of war, if it were possible to get them into German territory, shared the same fate.
The fear was expressed that through apparently harmless messages the Sayville station might be used to communicate military information to German submarines. In answer, Dr. Karl
G. Frank of the Atlantic Communication Company, which owns the station, said he did not consider this intimation worthy of serious consideration, for what it claimed was a physical impossibility. "In the first place," he said, "the wave length used at Sayville is eight or ten thousand meters, whereas the wireless equipment of submarines would produce a very much shorter wave length." When this statement appeared a newspaper editorial called attention to the fact that information sent first to Nauen could easily be re-transmitted.
And so the situation stood when, on July 9, the United States Government announced that in the future the plant would be conducted by American naval officers in the interests of its proprietors. The official memorandum from the Secretary of Commerce—published in full in the August issue—stated that the new license had been refused because it had been learned that the Atlantic Communication Company is owned by the Telefunken Company of Germany, the controlling interest in which is owned by powerful German electrical concerns. Dr. Frank was identified as the New York representative of these controlling companies and Prof. J. Zenneck, who had been conducting so-called experiments at Sayville, was known to be a captain of marines in the German army and had been during the present war in the trenches in Belgium. The opinion of the department as stated was: "To grant a license for a new station, erected since the war began, with German apparatus, avowedly under German ownership and control, communicating avowedly with stations known to be under the control of the Imperial German Government . . . would be an unneutral act."
The seizure of the station was characterized a "precautionary measure" and rested as such in the public mind for ten days. Then, on a Sunday morning, New Yorkers were startled by reading in their newspapers what was announced by the World, "the real reasons" for taking over Sayville. Investigation by the Secret Service, the account said, had established a definite probability that unneutral uses were being made of the station, the exact nature and extent of these uses remaining an official secret.
Great was the astonishment of readers when they learned that in the course of the investigation by the Secret Service, phonographic records were taken by Charles E. Apgar, owner of a wireless experimental station at Westfield, N. J., for fourteen successive nights of every message, every signal, sent out from Sayville. These messages, according to the World, established the truth about Sayville. They showed exactly what had been transmitted.
Two days after this comparison had been made, Cabinet officers officially took up the situation at Sayville. One week later came the announcement that the Government was preparing to take over the station. Two weeks later this action was taken.
An interesting parallel is afforded in the progress of this investigation and the action taken by the government.
On June 7 the taking of phonograph records of the matter sent out from Sayville was begun.
On June 21 the taking of the phonograph records was completed. On June 22 they were sent to Washington by Chief W. J. Flynn, who had been in personal charge of the investigation.
On June 25 Secretary Redfield advised Secretary Lansing that to grant the long-pending application for a license for the reconstructed plant at Sayville "would be an unneutral act."
On June 27 Lieut. Walter S. Anderson of the Navy Yard staff took to Washington duplicates of the messages that had been filed at the Sayville station during the month. The value of the records caught by phonograph lay in variations or discrepancies they might show upon comparison with the messages as filed. Three days after Lieut. Anderson took the duplicates to Washington came the announcement that the Government was considering the taking over of the Sayville station.
On July 7 Secretary Daniels notified President Metz of the Atlantic Communication Company that the Navy Department would "take over the active control and operation of the Sayville Radio Station," and that "the necessary personnel will be sent to that station to take active charge of the administration and operation of the station.
By specific statute provision the contents of messages sent by wireless must be held inviolate. The World maintained, however, that the phonographic reproduction of the messages sent from Sayville from June 7 to 21 inclusive, showed these significant things:
That striking variations from the customary methods of sending were recorded, the possibility of system in these variations being made apparent.
That in the repeating of messages and in the sending of "message checks" there were similar variations from customary practice, with a similar possibility of system.
That these variations, undetected by the Government operators at Arlington and Fire Island, who "listened in" nightly on Sayville, were made unmistakable by the phonograph.
In long distance transmission what is known as a Wheatstone tape machine is used. This punches out the dots and dashes on a strip of paper, the sending itself being mechanical. By the closing of a switch, however, it is possible to cut in on such transmission and to send by key, as, for instance, when it is necessary to repeat a word.
The phonograph records showed that such repetitions as this were frequently made with so little loss of time that they must have been done by key. In the same way it would be possible, furthermore, to add a word or two, or even a sentence, in the middle or at the end of a message with no record to show for it.
Government inspectors had been visiting Sayville at intervals since April. Neither their reports nor those of the operators at Arlington and Fire Island were able, however, to disprove the allegations that continued to pour in regarding the uses to which the Sayville station was being put.
Chief Flynn was told to "find out" what really was going on at Sayville. He dropped over to the office of Chief Inspector L. R. Krumm of the radio service, and on June 5 this letter went from Mr. Krumm to Charles E. Apgar, of Westfield, N. J.
"My dear Mr. Apgar: Will you be kind enough to call me up Monday morning from your place of business? I am very desirous of getting in touch with you immediately, as I believe you can be of considerable service in a good cause."
Mr. Apgar was known to Inspector Krumm as a business man who had made wireless telegraphy his hobby for the past five years. With equipment made by himself his plant has shown extraordinary efficiency.
Nearly two years ago Mr. Apgar turned his attention to the development of a method of recording radio signals. He has been making phonograph records of messages since October, 1913. Though Westfield is only 100 feet above sea level, and though Mr. Apgar's aerials are well "treed in," he has taken messages from Government stations all over the United States; he has often caught San Francisco, and he has even heard German stations.
As he perfected his system, Mr. Apgar came into contact with many experts both in and out of the Government service, and what he has been doing has been pretty well known to Chief Inspector Krumm. Responding in person to the letter Mr. Apgar was introduced to Chief Flynn, and was forthwith commissioned to catch and record, until further orders, the messages that went out from Sayville.
Sayville starts transmission about 11 o'clock each night. It continues to send for two or three, sometimes four, hours, depending a great deal upon static conditions. At 11 o'clock on the night of June 7 Mr. Apgar began his vigil. He continued until the night of June 21, by which time he had filled nearly 175 cylinders, each big enough to take four minutes of conversation.
Chief Flynn at once turned these over to Secretary McAdoo of the Treasury Department, his superior. From the Treasury Department they went on to the departments directly concerned. Their contents by specific statute provision are inviolate. It has been alleged by the press, however, that some irregular things were brought to light by the records.
The Sayville Station
At top, the operating room; in center, an exterior view of the station and mast used with former equipment; below, the transmitter
In the Sayville messages it was found that custom was frequently varied. Sometimes a word would be repeated twice. Sometimes there would be still other variations in sending that became apparent in the faithful reproduction of the phonograph.
An operator taking down the message by ear could easily miss the possible significance of these variations. With his attention centered on getting the meaning he would regard the repetition as being intended merely to make the symbol clear. What Arlington and Fire Island did not note, therefore, the phonograph took down.
Numerous instances appeared where the messages were not always repeated in the order of their sending. Messages Nos. 73, 74, 75 and 76 would be sent, then Nos. 78, 79, 80, and so on. After a score or more of messages had been repeated, No. 77 would appear. Sometimes the missing message would come after only two or three others had been repeated. On one occasion forty-eight had been sent again before it appeared.
Another nightly custom that offered similar opportunities, apparently, was in the "message checks." These are reports back to the Nauen station of the messages, by number, "received complete" the night before. These reports would read, for example: "Received complete 191 till 196, 199 till 210," etc. What had happened to messages Nos. 197 and 198 would not appear.
Each night, also, after the transmission was at an end, there was always "talk" of how the signals had come in, of static conditions of the night, between what hours signals had been strongest, and matters of that sort.
Mr. Apgar took as many as thirty records in a night. Not all the "repeats" were taken when they were being made for the second time. The actual time of recording during the fourteen nights was a few minutes less than eleven hours. The number of words was in the neighborhood of 25,000.
One of the allegations regarding the messages sent out from Sayville has been that acrostic codes were used. In such a code one word in one message, another from the next, and so on, make up a distinct message. It was contended that the variations in sending that were recorded might have indicated the key to such a code. The skipping of messages in the "repeats" might have been intended to emphasize them.
None of those concerned in the investigation in New York knows of course, what was done in Washington after the records had been sent there. None of them knows what may have been brought to light when the recorded messages—the messages as they were sent—were compared with the messages as they were filed—the messages that were submitted to the censor for his O. K.
Chief Flynn would not enter into any discussion of the matter.
"I made, under instructions from my superiors," he said, "an investigation into the situation at Sayville. In the course of that investigation Mr. Apgar, at my direction, made a series of phonograph records of the messages sent out from Sayville. He did the work for the Government, and he was paid for it by the Government, through me. The records he made are now in the possession of the Government."
When Dr. Frank of the Atlantic Communication Company read the revelations published by the World he gave out an interview which quoted him as saying:
"That Mr. Apgar can record messages sent out by wireless on a phonograph cylinder is hardly worth discussing. That is physically impossible. I have never heard of its being done. If Mr. Apgar has accomplished it, he should get his idea patented and perhaps we will buy it."
On several occasions during the past year reference has been made in magazines and newspapers to the dictaphone receivers installed by the Marconi Company in its new trans-oceanic stations. Among wireless men the dictaphone, or phonographic wax cylinder, method of recording is known as a development that made possible the reception of signals at a speed greater than the most expert operator could achieve.
Dr. Frank's declaration was read with amused interest by Charles E. Apgar. By way of reply he produced a letter, written under date of February 5, 1914, on stationery of the Atlantic Communication Company of which Dr. Frank was then, as now, secretary and treasurer.
The letter read:
"Mr. Charles E. Apgar, No. 549 Carleton Road, Westfield, N. J.:
"Dear Sir: Your letter of the 30th ult. addressed to Mr. A. F. Seelig has come to hand and we have noted its contents with interest. In answer we beg to say that we have no objection to your receiving our Sayville press in the way you have done so far. We can, however, not allow you to publish what you receive, neither private messages nor press. It would interest us to receive one or two of the phonographic records you have taken, and we would be much obliged if you would favor us with the same.
"Yours very truly,
"ATLANTIC COMMUNICATION COMPANY,
"Operating Department,
"H. Boehme."
On the letter Mr. Apgar had written this memorandum:
"Monday, Feb. 9, 1914."
"Delivered personally to Mr. Boehme two phonographic records of Sayville (W S L) sending, dated Nov. 3, '13, and Nov. 12, '13, for test of results."
"I think," said Mr. Apgar, "that ought to show Dr. Frank it is his own fault if he never heard of making phonographic records of wireless messages. This letter was written eighteen months ago. The records that were delivered at that time were made three months earlier, and, incidentally, in the course of the second month of my experiments in recording messages. You can see my experience with Sayville 'sending' began a long, long time before I did my work for the Government."
Making the Records from Sayville
A Description of My Set and How I Worked It
Written Specially for The Wireless Age
By
Chas.E.Apgar.
THERE is comparatively little I can add to what has been so well set down by this magazine's editor. My part in the Secret Service work has been told and the circumstances which led to my employment faithfully related; what then, will probably interest my fellow readers most are a few of the details connected with making the records and a description of my equipment.
First, let me deal with the attempts to discredit the use of the records:
It has been stated in several New York papers that as the phonographic records did not reach Washington till after the Sayville station had been taken over by the Government, they did not play any important part in securing certain desired information. Replying to this I will say that the records were made each night, between 11 P. M. and 2 A. M. The next morning I immediately transcribed the recorded messages and delivered them personally to Chief Flynn in New York, or sent them to him in Washington; hence they were filed with the Secret Service a very few hours after being sent out by Sayville, which enabled practically immediate comparison with the censored messages, as well as with those received by other wireless operators of the Government who were "listening in" presumably, at Arlington and elsewhere.
Just before this special work began L. R. Krumm, Chief Radio Inspector of the
port of New York, visited my station and after many hours of actual experience with the receiving instrument pronounced the station of the highest efficiency. Many phonographic records were demonstrated to him, hence when Chief Flynn of the Secret Service consulted him concerning the best method to get Sayville undeniably on record, he requested me to call at his office "on an important matter."
I was immediately introduced to the head of the Secret Service in New York, who told me to "get busy." Needless to state, perhaps, it was some pleasure at least to aid in taking the 'Say' out of Sayville.
When I was asked to execute this commission, or whatever you want to call it, no time was allowed for extended preparation. The interview was held at eleven in the morning and I was instructed to begin work the same evening. Scouring New York for "blanks" meant some tall hustling, but before sundown I had secured a number sufficient for a night or two. Subsequently during the period of action it became necessary for me to go several times in person to the Edison Company at Orange to replenish my supply of wax cylinders.
In regard to the operation, Sayville was never very generous with her 11 P.M. test signal Vs and it meant working fast to utilize these in securing perfect tuning. There were several circuits to be looked after, their various condensers, inductances, batteries—everything, had to be practically in perfect harmony the instant Sayville began sending. That not a single message was missed and hundreds were recorded is evidence that every instrument and device of my home-made set did its duty fully and promptly; which is to me, of course, very gratifying.
The amateur station in which the Sayville records were made. A description of the equipment built by Mr. Apgar is given in the accompanying article.
To avoid the loss of a single word, which seemed likely in substituting a new blank for the record just filled, two phonograph machines were used. When the record on one machine was filled it was only necessary to switch the amplifier receiver from one machine to the other. The filled record was then replaced by a fresh blank and everything put in readiness for the next switch-over. This made practicable a continuous record without loss of a signal.
The cylinders were consecutively numbered at when the work was finished, a complete tabulation by message numbers was made. This was supplemented by a tabulation which revealed instantly on which cylinder any particular message could be found.
Of course, during the two weeks I recorded considerable static along with the message signals; other irregularities, too, were registered, particularly Sayville's many "breaks," due to poor spark. These breaks and the usual tuning-up signals all appear clearly on the cylinders. The phonographic record reveals some significant things; for example, when a break occurred in the middle of a long German word, three attempts were made to get through with this word before the message was continued. I was not a little interested to discover that "tape" sending could take care of such unusual interruptions.
Now as to my equipment:
There is nothing about it which might be termed remarkable; but unquestionably it is efficient for an amateur plant. The photograph of my station and diagram of connections tell the whole story, the hook-up being the simplest form of the Armstrong circuit. Referring to the photograph and using the explanatory
diagram's identification letters the equipment is quickly described. The vertical and horizontal inductances to the left of the photograph are primary loading; vertical inductance in center on loose-coupler, secondary loading (L); vertical and horizontal inductances to right, boxed and open, are in the wing circuit (L'). The slide condenser in the foreground is connected to grid of audion valve detector (C'); the small variable rotary condenser across secondary and loading of loose-coupler (C); the other variable rotary condenser across receiving phones (C²). The loud-speaking phone is in the amplifying circuit—on battery box to the right. When the records were made the amplifying circuit receiver, without the horn, was placed directly over the phonograph's recorder. The box containing the wireless receiver and amplifier, also transmitter, does not happen to show in the photograph.
Excepting the regular receiving phones and the valve detector, all my instruments are home-made. The set, without "loading" will easily tune to 4,000 meter wave lengths and over; with loading, 10,000 meter wave lengths are secured.
I have two aerials, a short one on the house, 55 feet long, 4 wires spaced 2 feet apart, and a long aerial in the trees measuring about 600 feet, 4 wires, fan shape starting 10 feet apart and graduating down to 18 inches, suspended at an average height of 50 feet; both of these aerials are well below the tree-tops.
THE USES OF THE CANAL ZONE STATION
It is pointed out in a dispatch from Washington that the opening of the new United States naval wireless station at Darien, on the Canal Zone, does not add to the facilities for the transmission of commercial messages. The new station will be used exclusively for government business. Primarily, it will be used as a means of directing operations of various kinds on the Canal Zone, and keeping in communication with ships at sea, but it will also be used freely by the Department of Commerce for the sending of its official messages.
Out of a total of forty-seven naval radio stations now in use in various parts of the United States or its possessions, twenty-one, it is declared, are open to commercial messages, the others being reserved strictly for official business. In the Canal Zone there are two stations—at Balboa and at Colon—which receive commercial messages, so that the new station need not enter that field in order to accommodate the public, as the facilities are already ample.
Plans have been made for radio communication between San Francisco and Manila by way of Honolulu. The section to Honolulu will not be in operation until a year from this time.
It has been announced that the Navy Department is planning to construct a new high power wireless station on Puget Sound, probably at Keyport, near Bremerton, Wash. The plant will have towers 400 feet high.
MYSTERY IN SOS CALL
An SOS call which was picked up by several land and ship stations on the night of July 25, has caused considerable speculation as to its source. The appeal was received by the United States naval wireless station on Fire Island at ten minutes to ten o'clock, but before the name or the position of the ship could be ascertained, the message was broken off. Fire Island called back in the hope of getting a response, but none came. The appeal was also picked up by the Marconi station at Sea Gate. Investigation failed to show that a sea disaster had occurred, and the source of the call still remains a mystery.
ERRATA
In the article "The Rapid and Simple Calculation of the Inductance of a Cylindrical Single Layered Coil," which appeared in the August issue, a compositor's error appeared at the foot of the first column on page 844. The equation which made complete the footnote appeared in the opposite column.
The foot note should read:
* Since there are $10^9$ cms. ofductance in a henry, therefore
$$L = \frac{4\pi^2}{b} \frac{a^2n^2}{K} \text{ K. cms. ofductance.}$$
WIRELESS
BY A. F. GANNON.
Into the heart of Abysmal Night
I uttered the Ultimate Word,
The Master Fiat: "Let there be light!"
And the scething Chaos heard.
Right proud was I! When the law construed,
I leaped at its least intent
From star to star, where the thick seas brood,
Each big with a continent.
I hurled the Lightning's defiant flare!
I muttered the Thunder's scorn!
And had no fear of the Furies there
That cluttered Creation's Morn.
But One, betimes, (when the great green sea
Gave birth to the rock-ribbed shore)
There came, who bade that I bend the knee,
And shoulder the task he bore.
I flouted him, and his foolish task,—
To carry a puny crash—
But he curbed my pride with an earthen flask,
And drove with a fiery lash.
He taught me speech, (in a sputtering tongue)
Who bellowed the Comet's roar,
And the mighty note of a new star swung
Aloft in the Cosmic corps!
Now hither and yon I scurry quick
With tidings of ill or good,
And whisper them, with a "tick, click-click!"
To one of his myriad brood.
Let them but brew me a draught of Force,
And fling in my teeth a phrase:
I'll speak each sun on its circled course,
Or question the Pleiades!
A COMPLETE portable wireless telegraph equipment for amateurs which can be employed at the summer camp to communicate between points several miles apart will now be described. The apparatus is conveniently mounted in portable cabinets so that the component units can be divided among a number of persons while it is being transported. The transmitting set comprises, mainly, a 3-inch spark induction coil with necessary vibrator and condenser, a simple aerial change-over switch, a spark gap with cooling fins, a transmitting key and aerial tuning inductance. The complete assembly for this equipment is shown in Fig. 1, wherein all of the parts are mounted in an oak cabinet fitted with a leather carrying handle. A fundamental diagram of connections for the entire equipment is shown in Fig. 15, the assembly of the corresponding receiving apparatus, comprising an inductively-coupled receiving tuner, detector, variable and fixed condensers, in Fig. 5, and the diagram of connections in Fig. 15.
The Transmitting Apparatus
It should be noted in the case of the transmitting apparatus that no provision is made for the use of an oscillation transformer, as it has been the experience of the writer that more consistent and efficient results are obtained with small spark coils by connecting the spark gap directly in series with the antenna system. This connection, however, is not in accordance with the United States regulations when it is planned to operate the apparatus within the zone of commercial or naval stations; but inasmuch as the average boys' camp is located outside of that zone a license for experimental operation will undoubtedly be allowed.
The construction of the transmitting apparatus (see Fig. 1), beginning with the induction coil, comes next in the order of description. The core for the primary winding consists of a bundle of fine wires, 8 inches in length by \( \frac{3}{4} \) of an inch in diameter, neatly taped in circular form. It is then covered with two layers of Empire cloth of moderate thickness. The primary winding has 200 turns of No. 16 D. C. C. wire, which is preferably soaked in melted paraffine just previous to the winding. When completed it is covered with from six to eight layers of Empire cloth.
It will be observed that the secondary winding is split in two sections, each of which has approximate overall dimensions of about 3 by 3 inches. For this winding about 1\( \frac{1}{2} \) pounds of No. 36 enameled wire are required.
Mechanical details and dimensions for the vibrator are not given because many amateurs prefer to purchase rather than construct the necessary parts. But if made to the scale of the drawing (Fig. 1) a satisfactory interruptor will be produced. A piece of phosphor bronze, E, having a width of, say, \( \frac{1}{2} \) inch, and thickness of 1-16 of an inch, has mounted upon it a circular piece of soft iron, D, \( \frac{3}{8} \) of an inch in diameter. It also carries the platinum point, F, \( \frac{1}{8} \) of an inch in diameter. The vibrator spring is fastened in place to the L shaped piece of brass by the aid of two machine screws.
The stationary portion of the interruptor has the holding screw, C, the adjustment rod, H, carrying another platinum point, and the tension adjustment screw, B. The latter has a small shoulder at one end which engages the spring, E, so that when B is turned to the left, the rigidity of E is increased and also in consequence the rate of interruption of the current in the primary winding.
The spark gap electrodes, GG, are mounted on the inside of the top of the case, and are fitted with cooling fins.
Plan View
(Top board removed showing the locations of parts)
Elevation
(Cover removed showing the interior)
DATA
Primary Core: 8" x 4"
Secondary: each section: 3" x 3"
Condenser: (in base) - 60 sheets of tinfoil; each 9" x 4"; Total 2000 sq. inches.
Aerial Tuning Inductance:
5/8" x 3" x 12", to be wound full with No. 8 - D.B.R.C. wire.
Front Cover:
Inside of cover, showing the location of operating key. Care should be taken when placing the key for interior clearance.
which may be cast integral with the rod or mounted later. A detailed drawing and the necessary dimensions for this gap are presented in Fig. 2. The hard rubber standards for support of the primary core are represented in detail in Fig. 3. Two are required.
The condenser for the vibrator contains approximately 2,000 square inches of tin-foil which may consist of 65 sheets of tin-foil, 4 by 9 inches, separated by thin paraffine paper, the entire arrangement being closely pressed together and mounted in the space provided for it at the base of the coil.
An aerial tuning inductance is included in the antenna circuit to allow for adjustments of the radiated wave and to decrease the decrement of damping, thus producing a "sharper" wave. This inductance is wound on a rectangular form, 3\(\frac{3}{4}\) by 3 by 12 inches, and is covered with No. 8 D. B. R. C. stranded wire. The fixed binding posts represented at K allow a variable connection to be made to this inductance.
The transmitting key, W, is mounted on the inside of the lid of the cabinet. It may be of the ordinary type as used in land line telegraphy, but must be fitted with extra heavy contacts to carry the current. An S. P. D. T. switch is mounted to the left of the box for changing the aerial from a transmitting to a receiving position. It may be of any dimensions consistent with the size of the cabinet, but it should have a well insulated base. There should be a distance between the contacts on the base of at least 1\(\frac{1}{2}\) inches. The binding post, E, is connected to the portable aerial, while the post, Z, is connected to the antenna post of the receiving apparatus.
A drawing for the over-all dimensions of the cabinet is shown in Fig. 4. The ends of the cabinet are preferably dove-tailed, but if desired they can be glued together or held with small wood screws.
An equipment which can be employed at the camp to communicate between various points.
Attention is now directed to the battery containing cases for the transmitting coil, as depicted in Fig. 16. Herein six dry cells are mounted in each box, each cell having its own compartment. Two boxes are required, giving a potential when connected in series of from 15 to 18 volts. The life of the battery, however, is prolonged by connecting the two boxes in parallel, thus supplying the necessary amperage for operation of the coil. These boxes should have over-all dimensions of $6\frac{3}{4}$ by $7\frac{3}{4}$ by $9\frac{3}{8}$ inches. The detailed dimensions are given in full in Fig. 16.
**Receiving Apparatus**
A complete portable receiving set assembled and mounted in a cabinet is shown in Fig. 5. The over-all dimensions of the cabinet are 5 by 5 by $9\frac{1}{2}$ inches. The receiving tuner about to be described is specifically designed to give the maximum degree of efficiency on amateur wave-lengths only, namely, from 160 to 450 meters. By the use of a variable condenser in shunt to the secondary winding having capacity beyond that described this tuner can be made adjustable to wave-lengths of 600 meters. The design is such that inductance predominates in the secondary winding over the range of wave-lengths desired, making the tuner particularly effective with detectors requiring a high potential, like the vacuum valve or certain detectors of the crystalline type.
It will be observed that the primary turns are wound on a hard rubber tube $3\frac{1}{4}$ inches in diameter by 2 inches in length. This tube is covered with 80 turns of No. 28 D. S. C. wire. The secondary winding, S, is $2\frac{3}{4}$ inches in diameter by $1\frac{1}{2}$ inches in length and has sixty turns of No. 30 D. S. C. wire.
The turns of the secondary winding are equally divided between the taps of a 3-point switch, S-3, while the turns of the primary winding are progressively cut in the circuit by two switches, S-1 and S-2. S-2 is connected to the first ten single turns of the primary winding, and S-1 is connected to every successive tenth turn of the remainder of that winding. These two switches are mounted on a hard rubber upright, the dimensions in detail for which are given in Fig. 6.
The primary and secondary windings are supported by two brass rods shown in detail in Fig. 10. These rods are held in position by the hard rubber uprights, K-1 and K-2, shown in detail in Fig. 9. Two are required. Details of the supports for the primary and secondary windings are given in Figs. 7 and 8.
A variable condenser for the secondary winding is mounted immediately above the oscillation transformer. It consists of two concentric brass tubes, one of which is movable and the other stationary.
The complete details for this condenser are shown in Fig. 11; the inner tube is \( \frac{1}{2} \) inch in diameter by 3 inches in length; the outer tube is \( \frac{5}{8} \) of an inch in diameter by 3 inches in length. The inner tube is covered with a very thin sheet of hard rubber for purposes of insulation.
The fixed stopping condenser is mounted to the rear of the cabinet at the right and contains approximately 70 square inches of tin-foil. It may consist of two strips of tin-foil, 17 inches in length by 1 inch in width, separated by a thin sheet of paraffine paper. The entire unit may then be rolled up in circular form or folded back and forth to have a rectangular shape as shown in Fig. 5.
The complete receiving detector is represented by the cup with crystals, P, the hair spring, G, and the flexible strip, N; also the rigid strip, M, with an adjustment screw. The crystal cup is mounted in a socket so it can be revolved, allowing contact to be made with any of the minerals; or if desired it can be held in position by a small wooden screw as shown in the accomTHE 8 and 10 POINT SWITCHBOARD
Fig. 6
Fig. 7
panying drawing. Complete details of dimensions for this detector are given in Figs. 12 and 13. The strip, M, should be a light piece of phosphor bronze.
In order that no confusion may arise in the mind of the builder it should be understood that in Fig. 15 a potentiometer and battery for the crystalline detector are shown, but, as will be observed, they have not been included in the portable set. This was done to simplify matters of construction and operation, but they can be mounted if desired, on the right hand side of the cabinet.
Whether at the summer camp or at home, it is well for amateurs working in the restricted wave-length of 200 meters in the majority of their experiments, to build a receiving tuner of the dimensions given. The reason for this is found in the fact that owing to the absence of dead-ends and that the windings were specifically designed for the lower range of wave-lengths the maximum strength of signals will be secured. The secondary winding of this tuner is particularly suitable for use with the vacuum valve detector at a wave-length of 200 meters.
The apparatus described having been constructed and wired in accordance with the diagram of connections shown in Fig. 15, it can be used as a stationary equipment at the summer camp or installed in a launch or small sailing vessel. It can also be used as a portable equipment for a Boy Scout exploration party.
Since the spark gap of the transmitter is connected in series with the antenna, the wave-length is governed by the dimensions of the aerial alone. Consequently a hot-wire ammeter is not necessary to determine the maximum value of current in the antenna circuit. However, a wave-meter is of considerable value in determining whether the emitted wave complies with the United States restrictions.
A wave-meter suited strictly to amateur wave-lengths and having a range of from 120 to 600 meters, is fully described in an article of the series "How To Conduct a Radio Club," which appeared in the February, 1915, issue of The Wireless Age. The wave-meter under consideration comprises a fixed coil of inductance $5\frac{1}{2}$ inches in diameter wound with 26 turns of No. 18 D. C. C. wire; two extended terminals of 10 inches each connected to the binding posts of a Clapp-Eastham variable condenser having a capacity of .0008 microfarad; also to a Murdock condenser having a capacity of .001 microfarad.
A complete chart of wave-lengths covering the scale for the two condensers appears on pages 380 and 381 of the February issue. Resonance between the wave-meter and the antenna system is indicated by a receiving detector connected unilaterally to the cleats connected in series. The ground wave-meter system. The construction connection can consist of a number of copper or galvanized iron wires spread radially over the surface of the earth, or placed in a creek or moist ground.
As recommended in a previous article of this series, the aerial for the portable set consists of two aluminum wires, each 100 to 150 feet in length, which can be insulated by several porcelain
For preliminary tests and adjustments two of these equipments should be set up at a distance of, say, a mile in order that the apparatus may be brought to the highest degree of efficiency.
If it is desired to employ a detector of the vacuum valve type, it is recommended that a third cabinet be constructed to hold the lamp socket, the battery rheostat and the necessary high potential batteries.
No provision has been made in the receiving set for carrying the head telephones, but the dimensions of the case can be enlarged and a small compartment furnished in one end to hold them, if desired.
Provided the transmitting aerial is erected in a clear space and the receiving apparatus at both stations fitted with sensitive vacuum valve detectors properly adjusted, a range of 10 miles should be obtained. With the crystal-line detectors a distance of from 3 to 5 miles should be covered under favorable conditions.
(To be continued)
AN AMATEURS' OBITUARY
An unusual obituary notice, forwarded by the Rochester, N. Y., Democrat and Chronicle, appeared in that newspaper on July 7. It follows:
"The web of wires on the roof of No. 206 Frank street last night might have told the secret of navies, as it had often done, if there had been anyone to translate their murmurings, but Charles L. Van Hoesen, who by lamplight each evening used to sit and pick words out of the air, was dead. His funeral will take place this afternoon.
"Some years ago when the amateur radio operators in Rochester organized the Rochester Wireless Association they elected Mr. Van Hoesen president. His wires were high-powered and sensitive enough to receive messages from as far away as Cape Cod, but yesterday, if there were dots and dashes flying from the coast of New England, they were not noted at No. 206 Frank street. Mr. Van Hoesen's 12-year-old son, Edmund, some day may take his father's place at the instruments, though he has yet to master their technic. His mother says she will preserve the instruments for him.
"'Have any of the operators in Rochester wirelesslyed their sympathies?' Mrs. Van Hoesen was asked.
"'I don't know. This is so much Greek to me,—with a wave at the rheostat and queer contrivances—they may have, but I don't know. Some day Edmund will know.'
"Piled at one side of the receiving station were books filled with messages, set down by Mr. Van Hoesen as he caught them on the wing. Most of them have to do with weather observations, but there are others in code, and still others bristling with war terms. Mr. Van Hoesen, up until he was taken ill on April 19th, never missed opening the station for an hour a day."
Marconi Decremeter No. 24
(Special Instructions to Marconi Inspectors)
Part I
The amount of interference to be expected from a given wireless telegraph transmitter may be accurately predetermined if the rate at which the energy decays per wave train is definitely known. It is customary to express this loss of energy in terms of the "logarithmic decrement," which is the Napierian logarithm of the ratio of one oscillation in a wave train to that preceding it in the same direction. Measurements of this character are obtained by an instrument known as a decremeter.
Since the operation of the decremeter is based on the phenomena of electrical resonance and corresponding current readings in a given circuit at certain wavelengths, both at and off resonance, apparatus of precision is required. Decremeter No. 24 has been especially designed to meet the urgent demand for a semi-direct reading portable instrument having a range suitable for the requirements of the marine service, namely, 300 to 600 meters. For convenience in operation the complete range of the decremeter scale extends from 200 meters to 850 meters.
This instrument is not only useful for accurate measurement of the decrement (or decay) of the oscillations in a wireless telegraph circuit, but may also be employed for the determination of the frequency and wave-length of such circuits. Variation in wave-lengths of the decremeter is secured by means of an accurately constructed variable condenser fitted with a scale calibrated directly in values of condenser capacity, wavelengths (200 to 850 meters), decrement of the instrument.
In Fig. 1 the capacity value of the condenser at various positions is engraved on the scale marked K, the decrement of the instrument on the scale marked δ and the wave-length on the scale marked λ. The position of the movable plates of the condenser in respect to the stationary plates may likewise be accurately determined by means of a $180^\circ$ scale.
The complete decremeter comprises the following apparatus:
1. A variable condenser having a range of .0025 microfarad to .003 microfarad.
2. A fixed coil of inductance.
3. A hot wire galvanometer having a current carrying capacity of .5 amps.; the instrument being calibrated in current ratios; that is to say, the scale readings are proportional to the current flowing through the instrument. The range of the scale is from 0 to 100.
4. A buzzer excitation set, enabling the wave-meter to be employed as a miniature transmitter of electromagnetic waves of definite lengths.
5. A crystalline detector and head telephones for the determination of the point of resonance when making simple wave-length readings.
A top view of the complete decremeter is shown in Fig. 2 and a side view in Fig. 2a.
The use of the binding posts on the
instrument as shown in Fig. 2, is explained as follows:
The posts marked "battery" allow connection to an external source of one or two cells for operation of the buzzer. The switch marked "buzzer" connects the external battery to the buzzer. If the buzzer is to be held in a continuous state of operation the switch is depressed and simultaneously given a slight turn to lock it in position.
The plug connection marked "inductance" takes the terminals of a flexible cord connected to the inductance coil of the wave-meter proper. The binding posts marked "meter" allow connections to be made to an external galvanometer should the one supplied with the instrument become inoperative. A small push switch mounted near to these posts permits either the external or the supplied galvanometer to be short-circuited if desired. The head telephones are connected to the binding posts marked "telephone."
A schematic diagram of the complete connections is given in Fig. 3.
The point of resonance between the decremeter and the circuit under measurement may be obtained either by use of the crystalline detector and head telephones or by means of a hot wire galvanometer. When the crystalline detector and head telephones are employed, the maximum potential at the terminals of the condenser is indicated at resonance, but when the galvanometer is used conditions of maximum current flow at resonance are given.
If the crystalline detector is thus employed, the hot wire galvanometer is short circuited by means of a push switch, but if the galvanometer is used the head telephones are to be disconnected from their binding posts and the detector itself cut out of the circuit by removal of the adjustable contact from the crystal.
When the galvanometer is employed for determination of resonance, care should be taken not to bring the inductance coil of the wave-meter too close to the circuit under measurement; otherwise a burn-out may result.
The second and concluding installment of this article will appear in an early issue.
MUSIC BY WIRELESS
One of the wireless operators on the steamship Port Kembla was recently entertained by music rendered by a gramophone on shore, while the steamship was making her way from New York to foreign ports, according to an article published in a newspaper. Soon after the vessel left New York the operator, who was listening in, was surprised to hear a human voice coming from the apparatus. Then he distinguished the words, "Hello, Philadelphia," followed by "Hello, Boston." Shortly afterwards, the following come from the first station: "Stand by for a little music."
The discordant sound of the musical instrument next reached the ears of the wireless man. This was succeeded by the notes of a song, which were as plain as if the gramophone were in the wireless cabin. When the Port Kembla arrived at Bermuda it was learned that other operators had been given the privilege of hearing the music. It was afterwards learned that experiments conducted in wireless telephony in Boston enabled them to enjoy the concert.
TIME SIGNALS IN SOUTH AFRICA
It has been announced that arrangements have been completed for the daily transmission of a wireless time signal for the convenience of mariners in the waters of South Africa by means of the Union Government wireless station at Slangkop. The stations at Cape Town and Durban, which are open night and day, work on a 600-meter normal wave. At Cape Town a clock gives automatically a series of signals extending over an interval of thirty seconds. The signals are flashed at eleven o'clock at night, Union time, which is nine o'clock at night, Greenwich time. The usual signal of warning is given.
JOINT MEETING AT EXPOSITION
On Thursday and Friday afternoons, September 16 and 17, joint meetings of the Institute of Radio Engineers and the American Institute of Electrical Engineers will be held at the Native Sons at the Golden West Hall, Panama-Pacific Exposition Grounds, San Francisco.
Two papers for the Radio Engineers will be presented, one each day. Thursday afternoon Prof. Harris J. Ryan will read the results of investigations on the "Sustained Radio Frequency High Voltage Discharge," by Mr. Roland G. Marx and himself, taking up the flame and brush types of discharge obtained from conductors when a powerful arc generator is used to apply voltages up to 50,000 at frequencies as high as 200,000 cycles per second. On Friday, Mr. Robert H. Marriott will read a paper on, "Radio Development in the United States," giving especial attention to Pacific Coast conditions.
A meeting of the Institute of Radio Engineers was held Wednesday evening, September 1, in Fayerweather Hall, Columbia University, New York. Professor J. Zenneck presented a paper on "The Operating Theory of Frequency Changers." The fundamental equations of the theory of the frequency changer were derived (with certain assumptions) and the application of the solution to unloaded and loaded frequency changers was discussed.
WITH THE AMATEURS
A meeting called for September 1 and 2 at Ames, Ia., marked the close of the first year of the Hawkeye Radio Association. Exhibitions and tests of modern wireless instruments were made possible through permission granted by the Iowa State College to use its wireless station.
This association reports that nearly every part of the state can be reached by relaying among its twenty-five members. The membership is expected to reach a total of thirty-five or forty members before the end of the year.
The Norfolk Radio Society fears that an erroneous impression may have been given by the item in our July issue which mentioned in the amateur field nine juvenile Virginians of that city, four having licenses and five remaining unlicensed. It appears that the licensed ones possess only second grade certificates and the young man alleged to have received messages from Florida has heard but one station, N A M, the Norfolk Navy Yard.
The point is, according to C. Bruce Flick and W. W. Barrett, this item may have given the impression that Norfolk is not wideawake in amateur work, whereas the Norfolk Radio Society, comprising eighteen members and in every sense a vigorous and progressive organization, is more representative of the city's activities. Five of this society's members have first grade commercial licenses, and five others first grade amateur certificates, all of which were secured by passing the regular examination at the Norfolk Navy Yard.
PAINT PROTECTOR FOR MASTS
Protection for aerial masts is a question which comes up for discussion every so often. The Marconi Wireless Telegraph Company's steel masts at New Brunswick, N. J., are painted with silica-graphite paint. Exposed steel construction often requires more than ordinary care in the selection of a protective covering. Architects, engineers and contractors specify, where economy and durability is desired, a paint whose pigment is a natural mixture of silica-graphite, rather than one containing the free silica mechanically mixed with graphite. Chief among the reasons for this preference of paint pigment is that the natural mixture, i.e., the silica mined with and intimately attached to the graphite, spreads more evenly than the other. Also in a natural mixture the silica will not settle into a hard mass which later makes it difficult to stir the contents. The graphite in a silica-graphite paint should be of flake formation. The flakes spread flat upon the painted surface, and overlapping one another, form with the linseed oil vehicle, a film impervious to moisture, gases and even acids and alkalis.—S. B. P.
The editor of this department will give preferential attention to contributions from amateurs covering the design of transmitting sets, wave-meters, etc. There is an over-supply of material on receiving tuners, particularly "loose-couplers," the designs for the majority of which present nothing new or original.
FIRST PRIZE TEN DOLLARS
Design for an Efficient Transmitting Set
An efficient and well-appearing transmitting set is a source of great pride to the average amateur experimenter. The design presented in this article combines both of these desirable features and, in addition, allows very short connecting leads to the elements of the oscillatory circuits.
By a slight change of the dimensions the general plan suggested may be adapted to any size of amateur set, but those given are intended for a ¼ or ½ k. w. transmitter employing an unmounted transformer.
In the accompanying drawings (Figs. 1 and 2), compartment A contains a transformer imbedded in paraffine or any other good insulating compound. Compartment B contains a high potential condenser which, if home made, may be immersed in light lubricating oil, thus eliminating brush discharge and leakage through moisture. Considerable care should be taken to make the joints of the containing case oil-tight. The oscillation transformer is mounted on the top of the cabinet; the coils may be placed in a vertical or horizontal position. The latter position is used in my set, particularly because it does not require the length of leads necessary with the former. The primary winding of the oscillation transformer is supported by small porcelain knobs and the secondary winding is kept in position by a set screw through a fibre block, F.
Two heavy insulating bushings, such as are found on transformer cases, are mounted on the front of the cabinet. These carry the leads from the transformer, the condenser being connected across the transformer inside the cabinet by means of heavy D. B. R. C. wire passing through partition C. One outside connection, D, is connected to one side of the rotary spark gap, while the other terminal of the gap is connected to the primary winding of the oscillation transformer. A lead is then extended from the oscillation transformer to the bushing, E.
In order to conform to the Fire Underwriters' regulations, one end of the cabinet is of slate, about ¼ of an inch in thickness. The 110-volt binding posts and a multi-point switch to vary the input to the transformer are mounted on this end.
The cabinet, outside of the slate end, is best built of birch or some other wood that will take a good finish. The complete cabinet is mounted on porcelain knobs, which are used as feet, similar supports being used for the rotary gap. If the gap is of the ordinary type, consisting simply of two electrodes, it can be mounted on the front of the cabinet.
As stated previously, the plan given may be varied to suit the individual ideas and the apparatus obtainable. The general scheme, if adhered to, however, will give a greater degree of efficiency than the usual arrangement of amateur transmitting sets.
ROGER G. WOLCOTT, Virginia.
SECOND PRIZE, FIVE DOLLARS
Design for a Transmitting Set
Unit design for amateur wireless telegraph apparatus seems to be the order of the day. I have recently constructed a complete set which is divided into three component parts, the particular one under discussion being called the power and transformer set. It comprises the transformer, magnetic key, protective condenser, wattmeter and necessary resistance coils, all compactly and neatly mounted, as per Fig. 1. A detail of the connections for the protective condenser is indicated in Fig. 2 followed by a sketch for a special electro-magnetic key, as per Fig. 3. In Fig. 4, complete connections for the set are shown.
The construction is as follows:
First secure two uprights, 2" x 2" x 3', which are separated by a 1-foot brace at the top and bottom. The front of this frame is then covered with a piece of hard wood forming a panel board for the mounting of instrument and control switches. A lamp bracket is mounted at the top of the panel and directly underneath, a wattmeter. Three control switches are placed side by side at the center of the panel board. These switches should be properly fused.
Next construct a base for the panel (as in Fig. 1), of sufficient dimensions to hold the transformer and the wattmeter resistance coil.
The protective condenser and magnetic key are mounted on the trans-
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Fig. 1, First Prize Article
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Fig. 2, Second Prize Article
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Fig. 3, Third Prize Article
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Fig. 4, Fourth Prize Article
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Original from UNIVERSITY OF MICHIGAN
container. A flexible contact is extended from the rod to a binding post for outside connection. Connection to the magnet of the telegraph sounder is made at the binding posts B and B'. The circuit to the power transformer is closed through the contacts, M and M'. The complete apparatus should be connected up as per Fig. 4.
At a later date I may supply to the readers of *The Wireless Age* a description of the additional apparatus comprising my set.
**HARRY PATTON, California.**
**THIRD PRIZE, THREE DOLLARS**
*Screeching Rotary Spark Gap*
The rotary spark gap I am about to describe is not entirely of my own design, but on account of the obvious advantages it possesses, I have decided to present it to the readers of *The Wireless Age* with apologies to A. R. Macreary, a local enthusiast.
The desirable features of this gap are: large sparking surfaces; a clear high tone, and close adjustment to the stationary electrodes.
In Figs. 1 and 2 the rotary element, A, is a standard brass gear wheel having 80 teeth. Every other tooth must be sawed out with a sharp file in order to produce a desirable tone. A wheel of this description may be purchased at a hardware store for about $1.25. The wheel is then mounted on a polishing head stand, B, which also may be pur-
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**Fig. 1, Second Prize Article**
**Fig. 2, First Prize Article**
**Fig. 2, Second Prize Article**
**Fig. 3, Second Prize Article**
chased at the average hardware store for $1.25. The gear wheel is then clamped tight by the two nuts, E.
The details of the standards for the stationary electrodes are shown in Fig. 3. From ½-inch fibre stock a piece, G, is cut to the required size. Then drill
holes as shown in Fig. 3. The standards, H, are made from a \( \frac{3}{4} \)-inch hexagon brass rod, being drilled and tapped at each end for a depth of \( 1\frac{1}{2} \) inches. The parts should then be assembled as shown in Fig. 3.
Demount the standards on the polishing head stand, place the stand on a table and measure upwards \( 2\frac{3}{8} \) inches from the table on the stand, then mark off a place \( \frac{5}{8} \) of an inch higher up. Drill two \( \frac{1}{8} \)-inch holes at these points and tap for an \( 8/32 \) machine screw thread. With two \( 8/32 \) machine screw thread bolts, \( \frac{5}{8} \) of an inch in length, fasten the standards firmly to the stand.
The stationary electrodes themselves are made of copper, being shown in detail in Fig. 4. The rod that holds the electrodes in place is of \( 3/16 \)-inch brass, \( 2\frac{1}{2} \) inches in length. Two of these are required. These rods are pressed firmly into the copper electrodes and then fitted into the adjustment standards, H. Now by moving the electrodes, FF, back and forth also up and down, a very accurate spacing is secured. If this gap is driven by a fan motor having a speed of 1,800 R. P. M., a high screeching note, similar to that given by the 500 cycle quenched spark transmitter is obtained.
An amateur who desires the last degree of efficiency will, I believe, appreciate the design which I have described.
PARKER E. WIGGIN, Kansas.
FOURTH PRIZE, SUBSCRIPTION TO THE WIRELESS AGE
A Sensitive Receiving Detector
A well constructed receiving detector is an essential part of any amateur's equipment; in fact, more so than many believe. The design I am about to describe is particularly suitable for galena, silicon or other detectors which require accurate adjustment.
The base is made of hard wood or rubber, \( 2\frac{1}{2} \) by \( 3\frac{1}{2} \) inches. The upright, A, is made of \( \frac{1}{8} \) by \( \frac{1}{2} \)-inch brass and bent as shown in Fig. 4. It is tapped with an \( 8/32 \) thread to take the adjusting screw B. It should also be drilled, in order that it may be fastened to the base. The arm, C, is made as shown in Fig. 1. It may be soldered to A or screwed on to the upright, A. The piece of fibre F, is \( \frac{1}{2} \) inch in length by \( \frac{1}{4} \) of an inch in diameter at one end, tapering to \( \frac{1}{8} \) of an inch in diameter at the other end. It is drilled with a \( \frac{1}{8} \)-inch hole to a depth of \( \frac{3}{8} \) of an inch, or to suit the spring, E. It is then drilled the remainder of the distance to take the spring wire. The spring, E, is made of No. 36 copper wire. The point of the spring should project through the fibre about \( 1/16 \) of an inch.
The arm for holding the mineral is made as shown in Fig. 2. The piece, H, is soldered to the bottom of J. The other joints are made as shown. The adjusting screw is intended to hold the mineral.
To adjust the detector, the point of the spring, E, is placed over a sensitive spot. The fibre is then screwed down tight on the mineral, followed by corresponding necessary adjustment of the spring. The complete details are shown in Figs. 1, 2, 3, and 4.
PETER VENEMAN, New Jersey.
HONORARY MENTION
"Station 3EJ"
The accompanying photographs will show how I solved the problem of maintaining a wireless set in my apartment. The space being limited, I could not erect a permanent outfit on the usual amateur lines, therefore I constructed a folding cabinet set, which has given perfect satisfaction in operation as well as economy of space.
The cabinet when closed appears to be the usual box window seat and in no respect suggests a wireless telegraph equipment. The necessary leads for connection extend through the rear of the cabinet direct to my antenna and ground connection. When the cabinet is open the wireless instruments are readily accessible for quick and accurate adjustment.
A general idea of the construction is given in the accompanying photograph. An oak table top, which also forms the table, is fastened at right angles to the lid of the cabinet. To this I have securely attached a loose coupler, variable condenser, detector, fixed condenser and connectors for the head telephones. The transformer, sending condensers and key of the transmitting apparatus, also the antenna switch and buzzing tester apparatus, are mounted between. On the inside of the lid is placed a holder for the telephones, loading coil, transmitting oscillation transformer, spark gap and necessary code abbreviation card.
All my instruments are of old design, having been constructed four years ago. Since they give perfect satisfaction under steady operation, I have not replaced them with more modern instruments.
A good many amateurs, I am sure, would enjoy.
An outfit assembled in this manner need not prevent the use of other instruments for experimenting, because I often use auxiliary apparatus for testing, such as rotary, quenched spark gap, hot wire ammeter and numerous other appliances.
D. L. PRIMROSE, Maryland.
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**Fig. 1, Fourth Prize Article**
**Fig. 2, Fourth Prize Article**
**Fig. 3, Fourth Prize Article**
**Fig. 4, Fourth Prize Article**
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I believe that to secure maximum efficiency from any wireless telegraph outfit, it is necessary to have large surface connectors with tight and short connections; a set of this type has a great advantage over the usual amateur apparatus.
This cabinet, practically dustproof and locked when I am away and yet ready for use upon raising the lid, is a source of great satisfaction to me and one which
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HONORARY MENTION
An Attachment for an Aerial Switch
Many amateurs prefer to have a combined aerial and lightning switch and, therefore, in order to comply with the underwriters' regulations they are required to place this switch on the outside of the building. Even though they are allowed to mount it on the inside of the building, it is often inconvenient to have to rise from the operating chair to
change from sending to receiving or to ground the aerial, as may be desired. The following simple attachment will be found useful in cases of this kind:
An iron rod 5/16 or 3/8 of an inch in diameter having one end bent into the shape of a crank, as shown in Fig. 1, is required. To the end of the crank a piece of fibre is fastened by two bolts. A hole is drilled in one end of the fibre large enough to fit over the switch handle. The bearings which secure the rod to the building can easily be made from a flat piece of iron about ¼ of an inch thick and 1½ inches wide, the length depending upon the special requirements of the building. A hole is drilled in one of the pieces, large enough for the rod to pass through and turn easily. The other end of the bearing is bent into an "L" shape and fastened to the building by screws.
The general construction will be readily understood from the accompanying drawing. The rod may be obtained from any hardware store in 8 or 10-foot lengths and, if one section is not long enough, two or three may be put together by bending a hook in each end or using a bushing with set screws. The end near the ground should be bent into the shape of a short handle for turning the switch.
Frank Marstell, Kentucky.
Drawing, Honorary Mention Article,
Frank Marstell
HONORARY MENTION
Wire Protection
When an amateur desires an aerial of lasting quality he usually employs copper wire. As this wire is somewhat expensive, particularly in the "prairie" states, he must depend upon aluminum wire, which usually breaks from corrosion, even during a mild windstorm.
A coating of copper which resists corrosion can be put on aluminum wire by a simple process. The electrolytic method of plating is exasperating as well as expensive and it has been found possible to resort to another method.
An inexpensive solution for plating can be made at a cost of 5 cents a hundred feet. The solution is made up in the following manner: Three parts of copper sulphate; four parts of pumice stone and one pint of sulphuric acid are thoroughly mixed. To plate the wire some of the solution is placed on a piece of muslin and rubbed over the aluminum. A hundred feet may be plated in this manner in four or five minutes. The solution when properly applied produces a fairly thick coating, which does not crack, peel or corrode.
Joseph L. Armak, New York
THE TESLA SUIT AGAINST THE AMERICAN MARCONI COMPANY
In a suit brought in the United States District Court in New York City by the Nikola Tesla Company against the Marconi Wireless Telegraph Company of America to have the Marconi tuning patent adjudged void, as interfering with two of the Tesla patents, Judge Hand on August 10 rendered a decision on a motion made by the Tesla Company to strike out certain allegations in the answer of the Marconi Company. He refused to strike out the allegations in the Marconi answer alleging the invalidity of the Tesla patents. He decided that these allegations are good defenses of the suit, and should, therefore, remain in the answer.
Judge Hand, however, decided that as the allegations in the answer relating to Judge Veeder's decision sustaining the validity of the Marconi tuning patent over the Tesla patents in the suit against the National Electric Signaling Company is a legal precedent and can be presented on the argument in relation to the issues, and as it was not alleged that the Tesla Company was in privity with the National Company, or had control over that suit, that allegation should not be set up in the answer.
The suit of the Tesla Company against the Marconi Company is a new development in the latter's claim to ownership of all basic patent rights in the transmission of wireless messages. In a number of other wireless patent suits against companies and individuals the Marconi Company is the plaintiff, and, though a defendant in this latest litigation, Edward J. Nally, vice-president and general manager of the Marconi Company, believes that the suit will serve as one of the mediums through which the Marconi Company hopes to establish the broad claim of its right to all basic wireless patents.
The dispute over patent rights between the Marconi Company and Mr. Tesla began in August, 1914, when the Marconi Company sued Fritz Lowenstein, a German engineer, alleging that certain wireless apparatus sold by him to the United States Navy was made in violation of Marconi patent 763,772. It was announced then that Tesla would testify for Mr. Lowenstein, alleging that the Lowenstein devices were developed from Tesla patents 645,576 and 649,621, which were granted prior to the Marconi patent.
In the present suit, Mr. Tesla bases his action on the allegation that his two patents were granted in 1900, and that the Marconi patent was not granted until 1904. The bill of complaint asks for a decree adjudging the Marconi patent null and void, and asserts that the Marconi patent covers the inventions and combinations of apparatus described and claimed in the Tesla patents.
The answer of the Marconi Company denies that the Marconi patent covers the inventions or combination of apparatus described in the Tesla patents, and also denies that it is guilty of any infringement. The company asserts that its patent was granted to Guglielmo Marconi on the proof of independent invention by Mr. Marconi, not in any way due to or based on any invention of Mr. Tesla.
Mr. Nally said that he had no reason to fear the Tesla suit.
"The Marconi Company has a right to its patent," he said, "and can establish that right in the courts. Many individuals and companies have infringed the Marconi patents, and others have attempted to disprove the originality of our inventions, but when our present litigation shall have gone through the courts, I am confident that the leadership of the Marconi Company in the invention and development of wireless communication will be established."
Radio Tractor at Plattsburg Camp
A feature of the Camp of Instruction for business and professional men in Plattsburg, N. Y., was United States radio tractor No. 3, in charge of Sergeant W. T. Payson, U. S. A. The tractor is a big gray automobile with accommodations for the men who operate the wireless, which has a radius of three hundred miles.
Standing out prominently amid the awful scenes which marked the loss of lives following the capsizing of the steamship Eastland at her dock in Chicago on July 24th, are the deeds of several men who unselfishly put thoughts of their own safety behind them and aided others to escape death. Among these is Marconi Operator C. M. Dibbell. From the minute the ill-starred craft began to list until she had careened over on her side, he was active in striving to avert the disaster and save lives, remaining on the vessel up to the time the Chicago authorities took charge of the rescue work and ordered him to go ashore.
The number of known dead is estimated at 839. One hundred and forty-two persons are missing.
The Eastland, which had been chartered to carry employees of the Western Electric Company on a picnic to Michigan City, Indiana, was crowded with passengers said to number approximately 2,000 persons as she lay in the Chicago River ready to steam away. Twenty minutes before she turned over she had a considerable list to port and Dibbell walked to the starboard side of the vessel and looked over the rail on to the dock. A watchman there shouted that it would be advisable to gather the passengers on the starboard side. Dibbell then attempted to move the members of the crowd to port. Few seemed to realize the danger they were in, however, and showed no inclination to follow his directions.
In the meantime the Eastland kept listWIRELESS TO RESCUE IN GALVESTON TORNADO
In a tornado which blew continuously for eighteen hours in southeastern Texas, leaving death and destruction in its path, Marconi wireless telegraphy and Marconi men showed their worth by keeping the residents of Galveston in touch with the rest of the world when all other means of communication had failed. This was accomplished in spite of the widespread havoc, including the destruction of the aerial mast at the Marconi station at Galveston.
Gulf Division of the Marconi Company, came from New Orleans to Galveston to take charge of the situation, arriving in the latter city on August 19. The army transport Buford was at that time communicating with Fort Sam Houston, which is about 250 miles away, with only indifferent success. No messages were handled at night. The steamship Concho being in port, the Marconi operators from the Galveston station reported for duty on board that vessel and communication was established on August 20 with the Marconi station at Port Arthur, Texas. Messages were handled for the steamship companies, the military authorities and the general public, this service being the only means of communication between Galveston and other places.
The mast and the guy anchors at the Marconi station at Port Arthur also gave way during the storm, messages being sent and received from the steamship Wild Duck.
MARCONI EXHIBIT AT GALVESTON
One of the most interesting among the educational exhibits at the Seventh Annual Cotton Carnival and Exposition, held at Galveston from July 22 to August 1, was the Marconi Wireless Telegraph Company of America's wireless exhibit. This consisted of a modern Marconi set, also an auxiliary set which was worked from batteries identical with those installed on ocean liners.
The exhibit was in charge of C. D. Campbell, local manager for the Marconi Company at Galveston and an expert operator was constantly on duty to explain how wireless messages are sent to ships at sea. Adjoining the Marconi exhibit the Southwestern Tel. and Tel. Co. demonstrated a modern switchboard and telephones, the Postal Telegraph Co. showed a telegraph set and a messenger call system, the three exhibits explaining to the public how communication is carried over land and out to sea.
Dispatches telling of the revolutionary troubles in Cap Haiten, Hayti, contain information to the effect that a wireless station has been erected on the roof of the American Legation in that city.
NEW SERVICE TO ALASKA
With the announced date of opening still several weeks off the new wireless telegraph circuit connecting the United States with Alaska was opened August 7, following the report that the Government cable had broken down and cut off the only means of communication between Pacific Coast cities and various Alaskan ports.
Over a span of 826 miles covered by the Marconi stations at Astoria, Ore., and Ketchikan and Juneau, in Alaska, commercial operation has been officially inaugurated and public business is being handled for Ketchikan, Juneau, Wrangle, Petersburg, Cordova, Sitka, Douglas and Treadwell.
A reduction in rates of 30 per cent. to 50 per cent. less than the government cable charges is announced. Wireless messages from New York to Ketchikan and Juneau will be accepted at 19 cents per word, as against 26 cents charged by the Government cable. The wireless rate from Seattle is to be 12 cents, whereas the cable charge is 19 cents a word. Similar reductions have been effected to all points.
The present wireless service is operating over what is understood to be but the first link in a chain of stations which will eventually cover all Alaska. With the ports of the southwest section provided for, the next Marconi station is to be erected on Prince William Sound. When it is determined where the terminus of the new Alaskan railroad is to be four 300-foot towers will rise at that point and a 25-kilowatt station will be established. Later plans cover an additional relay station at some point along the peninsula and, if business justifies it, various other stations in districts not yet connected with outside communication.
THE SHARE MARKET
New York, August 27.
At the close of yesterday's trading the outside market showed transactions amounting to 257,546 shares. Among the forty-four active industrials, American Marconi stood fifteenth in volume of trading and at the close today showed a fair advance over the prices quoted in the August issue. The high level since the war began was reached on August 9, several sales being reported at $5\frac{1}{4}$.
Trading in Canadians has been light and English issues have been practically at a standstill today. One broker reported no sales whatsoever and attributed the stagnation to the lowered exchange rate on the English pound sterling. Another broker could not account for the public's unresponsiveness to the excellent showing made in the parent Marconi Company's annual report, other than to attribute it to the natural unwillingness of investors to touch the industrial securities of countries engaged in war. Canadian Marconi's fractional advance is pointed to as a hopeful sign, however, and in combination with the American Company's renewed activity in a rising market, is expected to strengthen the English issues.
Bid and asked quotations today:
American, $4\frac{1}{4} - 4\frac{3}{8}$; Canadian, $1\frac{3}{8} - 1\frac{3}{4}$; English, common, $9\frac{1}{2} - 14$; English, preferred, $8\frac{1}{2} - 13$.
AID FOR STORM-BATTERED SCHOONER
The schooner Emma F. Angell was caught in a storm off Fire Island on August 4 and battered by the seas and gale until she was compelled to fly distress signals. The Seneca of the United States Coast Guard Service set out in search of the distressed craft, when word of her plight reached land, but could not locate her. In the meantime the steamship Bermudian, bound up the Atlantic coast, took a course near enough to the Angell to enable the captain of the former vessel to see the distress signals of the storm-racked craft.
A wireless message from the Bermudian flashed and the Seneca picked up the message. The revenue craft asked for the position of the Angell, and upon receiving it, steamed in search of her. When the Seneca found the Angell the pumps of the latter were just keeping her afloat. The schooner which carried a crew of nine, was towed safely to an anchorage inside Sandy Hook.
It is not always an advantage to be alone in the sphere of your endeavor, as Adolph H. Rau realized when he established what has been described as the first amateur's wireless station in the vicinity of New York City. His opportunities for advancing in the art were limited, of course for he was veritably a Robinson Crusoe in the amateur's field of radio-telegraphy. These conditions didn't dampen his ardor as a wireless man, however. In fact, he kept right on persevering in his pursuit of knowledge of the art till he found himself in the Marconi service. Especial interest attaches to this epitomized version of his career in view of the fact that he was recently appointed engineer-in-charge of the Marconi trans-Pacific stations in Hawaii, with headquarters in Kahuku.
Rau was born in what is now the borough of Manhattan, New York City. He took up his residence in the Bay Ridge section of Brooklyn when he was a boy, however, attending public school in that borough. Even then his tastes ran to science and mechanics, the construction and operation of a station at his home, enabling him to ride his hobby without restraint. His set was crude enough, but he found considerable satisfaction in working it, even though there were no other amateurs' stations within the radius of his equipment to communicate with.
His thoughts were still of wireless when he entered the employ of the Brooklyn Edison Company. In the meantime he had made the acquaintance of William J. Brooker, an operator in the Marconi service, who further kindled his interest in the art. Rau saw that wireless held big opportunities and, deciding to embrace them, he joined the Marconi Wireless Telegraph Company of America.
The initial stage of his employment with the Marconi Company, which began about seven years ago, took him into the repair shop in New York. Afterwards he was chosen as one of the six men to go to England to acquire additional knowledge regarding the construction and operation of wireless apparatus. Upon his return to New York he was again detailed in the repair shops. About two years and a half ago he was sent to Bolinas, Cal., to aid in the construction of the trans-Pacific stations, later becoming engineer-in-charge.
His new detail gives him the supervision over stations which have a more extensive aerial and mast line than any wireless plant in the world. The stations, which are able to communicate with both the United States and Japan, have been open for the transaction of commercial business between Hawaii and this country since last fall. Although the commercial service to Japan is not yet in operation, the plant was recently employed in an exchange of marconigrams between Edward J. Nally, of the Marconi Company and Jiro Tanaka, director general of the Ministry of Communications, in Tokio, Japan.
1,148,709. RECEIVER FOR WIRELESS TELEGRAPHY.
Ross B. Avant, South Bend, Ind. Filed Apr 5, 1913.
Serial No. 759,205. (Cl. 250—8.)
1. A wireless wave detector including a signaling instrument, a local circuit therefor, means for opening and closing said local circuit, a step-up transformer having the primary thereof in circuit with a normally energizing circuit, an electrostatic element in circuit with the secondary of the transformer, a spark-gap in the secondary circuit and means operated by said element to control the means for opening and closing of the local circuit.
2. A wireless wave detector including a signaling instrument, a local circuit therefor, a make and break device for said local circuit, a step-up transformer having the primary thereof in circuit with a normally energized circuit, an electrostatic device in circuit with the secondary of the transformer, a spark-gap control in circuit with the electrostatic device, and a mechanical connection between the electrostatic device and the make and break.
1,144,969. RADIO TELEGRAPHY AND TELEPHONY RECEIVER. Greenleaf Whittier Pickard, Amesbury, Mass. Filed Apr. 17, 1914. Serial No. 833,392. (Cl. 250—8.)
1. In a system of communicating intelligence by electromagnetic waves which are not materially damped, the combination, at a receiving station, with means for causing such waves of a given frequency to set up oscillating currents of two frequencies differing from each other to such extent as to produce beats of audible frequency, of means for causing the energy of said beats to produce a sound of a pitch corresponding to the frequency of the beats.
2. In a system of communicating intelligence by electromagnetic waves which are not materially damped, the combination, at a receiving station, with means for causing such waves of a given frequency to set up oscillating currents of two frequencies differing from each to such extent as to produce beats of audible frequency, of means for rectifying the oscillations composing said beats, and a telephonic device operable by the rectified beat-pulses to produce a sound having a pitch corresponding to the beat-frequency.
3. In a system of communicating intelligence by electromagnetic waves which are not materially damped, the combination, at a receiving station, with two resonant circuits having such periods and coupling as to cause such waves of a given frequency to set up oscillating currents of two frequencies differing from each other to such extent as to produce beats of audible frequency; of a pick-up coil arranged to receive said beat-pulses; means for rectifying the oscillations composing said beats; and a telephonic device operable by the rectified beat-pulses to produce a sound having a pitch corresponding to the beat-frequency.
4. In a system of communicating intelligence by electromagnetic waves which are not materially damped, the combination, at a receiving station, with two resonant circuits having such periods and coupling as to cause such waves of a given frequency to set up oscillating currents of two frequencies differing from each other to such extent as to produce beats of audible frequency; of a pick-up coil arranged to receive said beat-pulses; of means for causing the energy of said beats to produce a sound having a pitch corresponding to the frequency of the beats.
5. In a system of communicating intelligence by electromagnetic waves which are not materially damped, the combination, at a receiving station, with means for causing such waves of a given frequency to set up oscillating currents of two frequencies differing from each other to such extent as to produce beats of audible frequency, of a pick-up coil arranged to receive said beat-pulses; and means unilaterally connected to said pick-up coil, and operable by the energy of said beat-pulses to produce a sound having a pitch corresponding with the frequency of the beats.
Annual Meeting of the English Marconi Company
A Dividend of Ten Per Cent Was Declared and the Inside Story of the Company's Early Struggles, Together With Some Light on Government Methods, Was Revealed by the Managing Director
In the report of the Directors for the year ending December 31, 1915, Marconi's Wireless Telegraph Co., Ltd., shows a gross profit for the year amounting to £371,071 14s. 6d. ($1,785,819.54); the net profit carried to the balance sheet is entered as £232,716 8s. 11d. ($1,132,514.58), an increase of net profit over the preceding year of £110,392 ($537,222.66). Adding to the net profit £76,549 15s. 7d. ($372,529.60) brought forward from the previous year the balance is increased to £309,266 4s. 6d., the American equivalent of which is $1,505,044.18.
The basis of remuneration from the British Government for the use of the company's high-power stations since the beginning of the war not having been settled, this sum has not been considered in the report. Mention is made of compensation due for other services, both items to be entered to the credit of the account for the current year.
A dividend of 10 per cent, on the ordinary, or common, shares is provided for and about a third of a million dollars is carried forward.
It is stated that during the current year the company has been engaged to its full capacity in supplying the demands from various governments and orders in hand justify belief that the volume of business this year will exceed that of any previous year.
Regret is expressed over the deaths of General Albert Thys and Major Samuel Flood Page, actively associated with the company for fifteen years.
At the annual meeting of the company, held July 26 at the Hotel Metropole, London, the report was characterized by Mr. Marconi, the chairman, as satisfactory from every standpoint. Commenting on the figures he said to the stockholders: "I am satisfied that you will regard them in all the circumstances as highly satisfactory. They exclude, however, as you have been told in the report, any remuneration from the Government for the use of the company's high-power stations since the beginning of the war, and numerous other services which the company has rendered. As no basis for remuneration has yet been settled, we have thought it better to make no estimate of this amount, but have left the whole item to be dealt with in the accounts of the current year. All that I can be permitted to tell you is that the amount of work which has been done and the services rendered are considerable, and we have very little doubt that the remuneration which will be awarded the company in due course will be proportionate to the value of the services rendered and the work done.
"We all realize that we are passing through most exceptional and serious times, and everybody, I am sure, will appreciate that the outbreak of hostilities at the beginning of August of last year must have caused very considerable disturbance to a world-wide business such as ours. As was to be expected, wireless telegraph apparatus was promptly declared to be contraband of war, and for the time being, therefore, our work in
many parts of the world practically came to a standstill. Some of our negotiations had to be completely abandoned and many others deferred. Our programme has consequently undergone complete dislocation, and it is quite impossible at the present moment to say to what extent, or in what way, it will be affected eventually. We can only bide our time and await events. On the other hand, our factory has been kept very fully occupied in carrying out the very important orders which we have received, both from home and abroad, in consequence of the war. The greater part of this work, however, will figure in the accounts of the present year.
**Japanese-American Service Soon**
"Very naturally, the businesses of our associated companies in some cases have also been very much disturbed. The American company have been deprived of the use of their Transatlantic station, owing to the stations on this side being required for other purposes. It is hoped, however, that in due course they will receive fair compensation. Their high-power stations, however, of San Francisco and Hawaii have been completed, and a telegraphic service is being conducted with very satisfactory results. We are daily awaiting information with regard to the opening of the service through to Japan. Arrangements have been made with the Japanese Government for the conduct of a commercial telegraph service, which they contemplated to inaugurate ere this."
Mr. Marconi then briefly described the activities of other affiliated companies. The Canadian Company, he said, was progressing, but the war had prevented important changes being executed. The Belgian Company now had its headquarters in Marconi House, London, but it had been impossible to make up its balance sheet. The French Company's dividend for 1914 was similar to that of 1913. The Marconi International Marine Communication Company had shown satisfactory progress, although suffering war losses. The Russian Company paid a dividend of 15 per cent., as compared with 6 per cent. the previous year. The Spanish Company's negotiations with its government appeared to be assured of an early and satisfactory termination.
Taking up a subject of great interest to the world at large, Mr. Marconi said: "With regard to the Imperial chain—you will remember that, in their report of last year, the directors informed you that they were permitted to make but slow progress with the erection of the six high-power stations for which they had contracted with his Majesty's Postmaster-General, and the company's interests were being seriously prejudiced thereby. Within a few days of our general meeting war was declared, and at the end of the year the Postmaster-General informed the company that, owing to the altered circumstances resulting from the war, the Government had decided not to proceed with the Imperial wireless chain. We were further informed that the governing factors in determining the Imperial scheme would be better met by means other than the construction of stations of the character and in the situations contemplated by the contract for the Imperial chain, and that the amounts disbursed by the company in respect of the contract would be refunded to us. Subsequently, in February, negotiations were entered into with his Majesty's Government for the erection of certain stations on conditions differing from those contained in the original scheme. Negotiations are proceeding on a basis which, if agreed to, would represent to the company a reasonable equivalent of the terms of the 1913 contract."
**Eleven Hundred Employees in the War**
Referring in a general way to improvements in the art of wireless telegraphy and applications for several new patents, the chairman added: "I should like to be able to give you a full account of the very important part which your company has played since the outbreak of war, but, unfortunately, this would not be permitted me, nor would it be in the interests of anybody for me to attempt to do so at the present time. All I am able to say is that the company has received more than one letter of appreciation from the Lords Commissioners of the Admiralty in respect of the work they, and members of their staff, have done. It
will interest you to know that from our companies some 1,100 men are employed in the Forces on active service or on special duties, apart from the very large number at the head office and works who have been requested to remain at their posts, where by so doing they could render greater service to the country.
Couldn't Pay Salaries at First
"On behalf of my co-directors and myself I wish again to place on record our high appreciation of the services rendered to your company, and I might also say to the British nation and her Allies, by our managing director, Mr. Godfrey Isaacs. He has continued untiring in his work and activities, and it would be difficult to over-estimate the value of his services. As I said last time I had the honor of addressing you, I believe it to be an indisputable fact that it is very largely due to him that wireless telegraphy has become and has remained a great British industry—I might also say a great British enterprise—of perhaps greater value to the nation during wartime than in peace.
"You will, perhaps, remember that I said last year: 'The value of wireless telegraphy may one day be put to a great practical and critical test; then, perhaps, there will be a true appreciation of the greatness of the work.' I have full confidence that when the war is over, and the facts can be made public, the appreciation to which I referred will not be lacking."
Managing Director Godfrey C. Isaacs, in seconding the chairman's motion that the report be adopted, said he proposed to take advantage of the opportunity to tell the stockholders "something about the company and the competition which it has experienced—circumstances which at no other period has it ever been possible for me to speak about. I want to remind you that I joined the company," he said, "at Mr. Marconi's personal invitation, on January 25, 1910. At that time the company had an issued capital of £547,299. It had practically no cash resources whatsoever, and it had no credit. It had been extremely difficult to find money in this country for wireless telegraphy.
"Mr. Marconi had personally made great efforts to find the necessary money to conduct the business of the company, and he only succeeded by going to Italy and obtaining there a substantial subscription to the Preference issue which was at that time made. But for that fact—but for his being able to obtain that money in Italy—there is little doubt, I think, that the Marconi Company would have then come to an end. When I joined in 1910 Mr. Marconi personally lent to the company the sum of £12,000, and he then proceeded to Canada upon the company's business. Within a very few weeks of his absence I had to draw a cheque on my own banking account to pay the salaries which were due on the Saturday morning for the preceding month. To-day, ladies and gentlemen, we have a capital issued of somewhere approaching one and a half million sterling, and I think you have but to refer to the balance-sheet to be satisfied that we are in a very sound financial position and that our balance-sheet is a very sound balance-sheet, and that our assets are very sound assets.
"We have to-day nearly one million sterling to the credit of our general reserve account, and we have very large assets in the shape of cash, realisable first-class securities, freehold property, leasehold property (and in speaking of leasehold property I would like to tell you that, although it appears in the balance-sheet at cost less depreciation, we could dispose of it to-day—and we have had more than one offer for it—at a very handsome profit); and we have, in addition, a large number of shares in our associated companies, most of which have to-day a very substantial value, and all of which we hope in the future will have a very big value.
Competition Created by Germany
"Now, ladies and gentlemen, I want to tell you something of the reasons why the business did not prosper in its first years. I think it is advisable—I think it is desirable—that you should have an insight into the history of this company, which heretofore has of necessity, for reasons which you will all understand, been a closed book. Very soon after Mr.
Marconi provided the company with this very valuable invention the methods which obtained abroad were adopted with regard to this science, and the very valuable patents which were then this company's property, and the property of this company alone, were imitated in Germany, and, with the great ability of the German people and their great foresight, a big German company was created. This German company was created by the German Government. It had for its direction the most, or some of the most, eminent and able commercial men in Germany—men who were then the directors of some of the biggest commercial industries of that country. It had, further, the great advantage of the financial aid of some of the principal German banks, and it had, finally, a very large subsidy from the German Government.
Foreign Negotiations Hampered
"Now, ladies and gentlemen, that was the opposition company against which the Marconi Company for many, many years up to the time when I joined it, and subsequently, had to contend. Mr. Marconi personally, with the aid of his managers, had for many years succeeded, and in my opinion marvelously, in maintaining something of the position of the English company, notwithstanding this very powerful opposition of the German company; and I think that it was very largely due to the magnificent support given to the company—and, perhaps, it would be more correct to say to Mr. Marconi personally—by the Italian Government, notwithstanding the fact that they were the ally of the German company's Government, that the Marconi Wireless Telegraph Company was able to continue in existence. The German company, no doubt, under the direction to a large extent of the German Government, proceeded to create powerful agencies in pretty well every country in the world, and they made great headway.
"With the exception of Italy, France, and this country, they had, I think, obtained the preponderating position in this industry in practically every part of the world, and that was the position which I found in 1910. Wherever one went, whatever negotiations one had with a foreign Government, one was always in competition with the powerful German agency; but that was not all.
"We had not only to contend with the German agents, but we had also to contend with the German Ambassadors, and we eventually found that our position was so impossible under such conditions that I returned from a journey abroad and made an immediate appeal to Sir Edward Grey, and placed these facts before him; and from that time forward I obtained the support of the British Ministers abroad in our different negotiations with foreign Governments, and from that time also we commenced to make substantial progress until we reached undoubtedly the preponderating position in the industry throughout the world.
"It is easy to understand that to a company like this German company, which had the support of the German Government and conducted the greater part of its business under the direction of the German Government—always with the aim of obtaining the contracts or concessions for the construction of wireless telegraph stations in foreign countries, having a view to the importance which they one day would play, and with the prospect where a German station was built that German hands would work that station—it mattered little or nothing to the German company, with the German Government behind it, at what price or in what condition it entered into contracts for the construction of those stations. In those circumstances I think you will agree that it was not easy for the Marconi Company to maintain its own."
Initial Offer on Imperial Chain
Mr. Isaacs explained that within three months after he joined the company it was evident to all that the future of the company lay in the commercial wireless telegraph service round the world, and adopted the policy of creating such a commercial telegraph service. "One of our first acts in April, 1910," he said, "was to apply to the British Government for the right to erect high-power stations in all British possessions, stating at the time that we had determined to create this telegraph service—that we had determined to create that service on British soil, if possible, but that we had made up
our minds that the stations were to be built and the service created.
"Unfortunately the Government did not see its way to grant us that right, although we had asked for no money. We had merely proposed that we should, at our own expense, build these stations and work a commercial service in peace time and, in case of war, hand over the whole of the stations to the Government for Government purposes. It is regrettable that we were not enabled in 1910, when we made that proposal, to proceed with that programme. Out of it was born the Imperial chain. As you will remember, when that was mentioned in Parliament it received most hostile criticism, on the ground that it was alleged that the company was receiving terms far too favorable to it. Immediately the matter was mentioned the German Government resolved to build a chain of wireless stations in all German colonies. The matter was not discussed in Parliament. The stations were immediately proceeded with, and they were built.
Ten Million Dollars for German Chain
"I am informed, and I think I am correctly informed, that the price which the German Government paid for each of those stations was three times the price which we had asked of the British Government. Besides that price, which provided for a very handsome profit, there was a subsidy which represented in amount far more than we ever contemplated we should get in any year from the royalty which we were to receive upon the Imperial stations, and that subsidy was to be paid, not for eighteen years, but for twenty-five years. Those stations, ladies and gentlemen, were built, and, I believe, cost the German Government £2,000,000 sterling. In the light of what has subsequently happened you will probably say that it was a very bad investment, but you would be mistaken.
"You will remember that this country declared war on Germany, at twelve o'clock midnight on August 4th last. At five o'clock in the afternoon of August 4th last Germany sent out a message to all its wireless stations which passed that message on from one to another and each station sent it out to sea covering a radius of something like 2,000 miles or more, to this effect: 'War declared upon England; make as quickly as you can for a neutral port.' By that message, which occupied but a few minutes. Germany contrived to save the greater part of its mercantile marine. If it had but saved one of its big ships, the Vaterland, or any one of that class, it would have paid for the whole cost of its wireless stations. We all know that it did a great deal more than that, and that it did a great deal more by sending this message to its mercantile marine, but I do not think I am permitted to go further or to tell you any more than what I have told you already with regard to the saving of the mercantile marine."
Company's Net Profits Total Close to Five Millions
After paying a stirring tribute to the company's officers, his co-workers, the managing director expressed the pleasure all must feel that Mr. Marconi was able to return to London for a few days and be there to preside over the meeting.
"In his work in Italy as an officer supervising all matters electrical for the army and navy," said Mr. Isaacs, "I am sorry to say that he has been nearer to Austrian and German shells than I like to think about; but I am very glad, at all events, that we see him safely home none the worse for his experiences. I also want to tell you that although he has been employed in the capacity which I have just named for his own country, he has nevertheless been able to give to us during all that time all the direction and all the assistance, and has been able to watch over this company's affairs and to work in the interests of this company just the same as he has always done."
In concluding, he added: "There is one thing more I want to mention before I sit down—I ought to have told you sooner—that the five balance-sheets of this company published since 1910 show a net profit of close upon one million sterling, and I think, in face of the difficult conditions under which we have had to work, that is not a bad result."
The retiring directors, Henry S. Saunders and Samuel Goeghegan, were unanimously re-elected as the meeting adjourned.
Marconi Men
The Gossip of the Divisions
Eastern Division
F. Webb, a graduate of the Marconi School of Instruction, has been assigned to the El Sol as assistant operator.
F. Rosenweig is now attached to the Brabant, a one-man ship.
A. C. Berg and George Abbott are attached to the Comanche as first and second operators, respectively.
K. M. Hance is now junior on the North Star.
Henry Markoe is second operator on the Zulia.
Joseph Wombacher is on the Pleiades.
J. E. Jones, formerly of the Philadelphia of the American Line, has been detailed to the San Francisco of the Isthmian Line which runs to South American ports.
Henry Horneij, who was absent from duty because of illness, has recovered and is now senior on the Satsuma.
J. F. Forsyth, formerly of the Boston division, and W. A. McDonald have been assigned as senior and junior, respectively, to the City of Macon, which is expected to make a trip to foreign ports.
Leon Freedom was recently assigned at Savannah to the City of St. Louis as junior.
S. Rosenfeld is no longer in the service.
T. R. Bunting has been reengaged and is now second operator on the Princess Anne. M. Beckerman is first.
W. C. Kay, formerly of the Carolina, has been promoted and is now second on the New York of the American Line. S. R. Kay has been assigned to his old post on the Carolina.
L. Martinez has resigned from the service.
T. A. Tierney and H. L. Goff are attached to the Nickerie as senior and junior, respectively. The latter is a new man in the service.
O. M. Shaw now fills the post vacated on the Philadelphia by J. E. Jones' transfer to the San Francisco.
W. C. Graff and C. Preiss are on the Comus. Graff is senior.
A. E. Ericson has been detailed to the S. Y. Remlick, a newly-equipped vessel. F. Hues and R. H. Fleming were transferred from the San Juan to the City of Memphis when the former vessel laid up at New York.
J. Davenport has replaced J. Rodenbach on the Larimer. Rodenbach is absent because of illness.
H. A. Carder and Martin Derx have been assigned to the El Rio as senior and junior, respectively. Derx is from the Marconi School of Instruction.
G. P. Hamilton is attached to the Apache as senior.
William Kaiser was transferred to the El Cid as senior upon the lay-up of the Rio Grande, to which he was previously attached.
Samuel Schneider and C. C. Langevin have been placed on the Brazos as senior and junior. The Brazos is one of the first of the ships to be equipped with the new 500-cycle quenched gap set.
H. E. Orben has been transferred to the Havana where he is senior.
H. M. Ash is junior on the Maracaibo.
William Sirkin, late of the Nickerie, is now attached to the Mohawk as junior.
J. A. Bossen and B. N. Lazarus were detailed to the Sabine at first and second, respectively, when she went into commission recently.
M. Myers, a New Orleans man, relieved W. T. Weatherbee on the Caloria at that city.
L. L. Beard has been relieved at Port Arthur by J. McW. Stone.
J. D. Haig of the Philadelphia office relieved W. Neumann on the Texas.
C. F. Schaefer has been replaced on the Platuria by H. Koehler.
E. Barnwell has relieved W. Travers on the Santiago.
B. T. Elkins is now attached to the W. B. Keene.
R. T. Willey was transferred to the El Sud upon the lay-up of his old ship, the El Alba.
E. N. Pickerill, who has been selected as operator for the trans-Pacific service, was relieved at San Francisco. C. T. Nichols took his place on the Kroonland. D. Duffield has been transferred to the St. Paul of the American Line, where he is second.
W. Tylar is now second on the City of Savannah. Tylar recently returned from a trip to England on a British steamer.
P. W. Harrison, a Pacific coast man, has relieved D. Brand on the El Valle.
S. J. Morgan is now attached to the El Occidente.
Earl Thornton has relieved G. F. Evans on the Gulfstream.
C. L. Fagan and J. D. Woltal have been detailed to the Lampasas as senior and junior, respectively.
E. Bambourakis is now senior on the Carolina.
A. C. Brinsmade is doing temporary duty at Sea Gate.
F. C. Justice and T. A. Johnson have replaced H. E. Ingalls and F. D. Pitts on the Bunker Hill.
Southern Division
J. F. Larrimore of the Suwannee recently made a trip on the Howard in place of L. E. Bell, while the latter was absent from duty because of illness.
W. Osterlich was detailed on the Suwannee as junior, vice Operator Larimore.
L. W. Sinclair, of the Jacksonville station, recently spent a short vacation at Cape May, N. J.
M. W. Mervine, who recently made a trip on the Quernmore to Liverpool, returned to Baltimore on the Swanmore.
H. McKiernan has been transferred from the Dorchester to the Vigilancia, at Savannah, Ga., vice Operator Warner, who is now on the Somerset. McKiernan's place on the Dorchester was filled by P. H. Singewald.
H. W. Shallcross, of the Cape May station, who has been on leave of absence, has returned to duty.
II. Graf, assistant operator of the Baltimore station, recently spent two weeks at Cape May, N. J.
The English Marconi ½ k. w. cargo set on the Charles E. Harwood, was recently replaced with a ½ k. w., 500 cycle panel set at Baltimore. The change in equipments was made by E. M. Murray and J. F. Wyble. The Harwood is now under American registry.
J. D. Haig of the Tuscan, has been transferred to the Texas at Philadelphia, relieving Operator W. Neumann.
H. Koehler was recently transferred from the Lexington to the Platuria at Philadelphia.
D. Dudley, who has been on a short leave of absence, has returned to the Cretan.
William Fithian, who has resigned from the Marconi service, has been relieved on the Toledo by P. Hickman.
J. Casebeer has been transferred from the Olivette to the Persian as senior operator, relieving Operator Batchelder, who is on leave of absence.
E. Thornton relieved F. Evans on the Gulfstream, while the latter was on leave of absence.
The friends and fellow workers of A. Campbell of the Cape May station wish to express their sympathy for him because of the death of his mother.
Gulf Division
The second of the new two kilowatt, 500-cycle panel sets will be installed by Construction Man Grubman on the steamer Ponce.
J. W. B. Foley, chief operator on the Brunswick, has been detailed as second operator at the Port Arthur station, relieving Operator Doane who resigned.
J. E. Broussard, inspector of the Gulf Division, has been transferred from the Excelsior to the Chalmette. Lee Norton of the Olivette will be second operator on the Chalmette.
J. A. Hybarger has been assigned to the Brunswick as chief operator. William Uhalt has been appointed second operator.
M. Myers has been transferred from the Brunswick to the Coloria, relieving Operator Weathersbee who has resigned.
Superintendent Newton has just returned from a trip of inspection to Galveston, Port Arthur, Mobile and Fort Morgan.
J. E. Hayes was sent recently to Baton Rouge to repair the transformer on the Coloria.
L. Asadorian recently made a trip on
the Excelsior as second operator.
John Casebeer has been transferred from the Olivette to the Southern Division.
**Great Lakes Division**
H. P. Roberts, relief operator on the steamers City of Erie and State of Ohio, has been transferred to the City of Detroit III as operator in charge.
C. J. Hiller has returned from the Atlantic Coast. He has been assigned as relief operator on the steamers City of Erie and State of Ohio.
C. G. Fuss of the Lakeland, has resigned to enter college.
Operator A. F. Moranty, Jr., of the Lakewood, has been assigned as second operator at the Mackinac Island station.
C. W. Thomas of the Lakeport has been assigned to the City of Cleveland III, as second operator.
A. J. Main, second operator at the Detroit station, has been transferred to Cleveland. F G. Siegel, assistant chief operator, has gone to Detroit for a brief visit.
E. W. Schulthise, second operator at the Duluth station, is on the U. S. S. Gopher for a fifteen days' cruise.
A. J. Thierriault, operator in charge of the Mackinac Island station, has resigned to accept a position with the Canadian Company. D. A. Nichols, second operator, has been placed in charge.
E. Reed, second operator on the steamer City of Detroit III, has resigned. Operator E. Smith took his place.
J. T. Joynes, operator in charge at Frankfort, Mich., is on a leave of absence. Charles Slipfield is acting as relief operator.
W. L. Birren has been assigned to the Virginia.
Operator L. Hansen has been assigned to the Minnesota, relieving Operator M. F. Kliepera.
**Pacific Coast Division**
E. M. Sutton recently relieved C. H. Canfield as operator of Barge No. 91. Canfield took a vacation for one trip.
E. Diamond acted as operator in charge of the Coronado for one trip while that vessel replaced the Centralia on the Eureka run. He has now returned to the Centralia.
Richard Johnstone, who has been operator in charge of the Wilhelmina for a year and eight months, has been temporarily transferred to the Congress, as assistant. This is a record for the Wilhelmina. Johnstone has been highly commended for his work and good conduct during that time.
H. R. Davis joined the China as assistant operator on July 22nd. Operator Carmine is in charge.
J. W. Russell joined the Coronado on July 14th after thirty days' leave of absence, which he spent in his home in the North.
E. D. Perry, of our Honolulu city office trans-Pacific Department, rejoined the marine service on July 17th at Honolulu, relieving W. R. Lindsay of the Colon bound for Australia.
J. M. Chapple and M. W. Michael are now acting as first and assistant of the City of Puebla.
Lee Fassett has been assigned to the Francis Hanify.
George Shecklen, of the Minnesotan was recently transferred to the Georgian of the Pacific Coast Division, at New York.
J. W. Miller has joined the George W. Elder, as operator in charge.
J. H. Southard and D. W. Kennedy have been assigned to the Great Northern as first and assistant, respectively.
H. C. Hax recently joined the Honolulu, as operator in charge, for the trip from San Francisco to New York. He plans to leave the service on arrival at the latter port.
H. W. Faig has been assigned as assistant operator of the F. A. Killburn.
W. R. Lindsay, who has been at Honolulu for three weeks, joined the Lurline on August 3, as assistant operator for the trip to San Francisco.
J. L. Slater has relieved assistant operator, E. L. Reimers on the Mulino-man.
F. A. Lafferty of the Rose City, has been assigned to the Matsonia as assistant operator.
W. G. Anderson, a former member of the Marconi forces, recently joined the staff as assistant operator of the Manoa,
at Honolulu, relieving E. J. Des Rosier.
J. F. Woods has been assigned as assistant operator of the Northern Pacific. G. W. Kelley relieved F. W. Harper as operator in charge.
J. W. Anderson has been assigned as assistant on the Peru.
H. W. Kelley was recently assigned as assistant on the Pennsylvania.
O. Treadway and K. D. Noble are acting as first and assistant, respectively on the Queen.
G. F. Roberts has joined the Roanoke as operator in charge and purser, relieving J. A. Wilson. Wilson will rejoin his vessel after a short vacation in the mountains.
H. W. Underwood was recently assigned as assistant on the San Jose.
A. P. Stone and C. E. Goodwin are now first and assistant aboard the Santa Clara of the North Pacific Steamship Company.
G. B. Ferguson and C. E. Capwell are acting as first and assistant aboard the Umatilla.
F. G. Strauss, of trans-Pacific fame, joined the Chapman, as wireless operator and purser.
I. Farwell was recently detailed as assistant operator of the Willamette.
S. Cissenfeld is acting operator in charge on the Wilhelmina.
W. A. Collins has been assigned as assistant of the Yosemite.
C. M. Jackson and F. L. Comins acted as operator in charge and assistant, respectively on the Aroline, for the trip ending August 5th.
After a week's vacation T. L. Atwood has returned to his position in charge of the Aroline, with C. M. Jackson, as assistant.
The Kroonland has left San Francisco for New York, with A. H. Schweider and C. T. Nichols as first and assistant, respectively.
E. N. Pickerill, formerly in charge of the Kroonland, has been transferred to our trans-Pacific staff stationed on the Hawaiian Islands.
B. H. Linden was recently assigned as assistant operator of the Rose City.
Seattle Staff Changes
J. J. Ritter has been transferred from the Paraiso to the tug Onenta. J. N. MacGowan, who was detailed on the former craft, has been transferred to the Pavloff.
J. A. Marriott has been transferred from the Seattle station to the Congress.
H. J. Scott is no longer on the tug Oneonta.
F. M. Ryan, who was on the Umatilla, has been detailed to the Alliance.
C. E. Capwell has been transferred from the City of Seattle to the Umatilla.
A. P. Neilson, who was on the Alliance, has been assigned to the City of Seattle.
W. B. Wilson recently relieved William Christensen, while the latter was on leave of absence from the Seattle station.
A. G. Simpson was recently transferred from the Windber to the Alliance.
B. C. Springer, who was on the Humboldt, has been transferred to the Windber.
C. Pemberton, of the Marconi School has been assigned to the Humboldt.
A. Lang, who was on the Puebla, has been transferred to the Admiral Evans. J. M. Chappel, who was detailed on the latter craft, has been assigned to the City of Puebla.
R. W. Wrenn Dies
Word was received in New York on August 20 that R. W. Wrenn, an operator in the Marconi service, who had been detailed on the Old Dominion Liner Madison since 1913, had died from typhoid fever in a hospital in Norfolk, Va. He entered the wireless service in 1908.
OPERATOR WALKED 200 MILES
F. M. Williams, wireless operator of the United States gunboat Machias, stationed at Tampico, arrived in San Antonio, Texas, recently after having walked 200 miles through northern Mexico. Williams started by train from Tampico for Laredo on leave, but was forced to proceed on foot when the blowing up of a Carranza troop train south of Monterey destroyed the track. He said that hundreds of Mexicans are eking out a bare existence on wild berries. The only meat he was able to obtain on his entire trip was a small piece of goat's flesh.
Directors and Officers
MARCONI WIRELESS TELEGRAPH COMPANY
OF AMERICA
WOOLWORTH BUILDING
233 BROADWAY, NEW YORK
Board of Directors
Hon. John W. Griggs
Commendatore G. Marconi
Edward J. Nally
John Bottomley
James Van Vechten Olcott
Godfrey C. Isaacs
James W. Pyke
George S. De Sousa
James R. Sheffield
John L. Griggs
Edward L. Young
Executive Committee
Hon. John W. Griggs, Chairman
Commendatore G. Marconi John Bottomley
Edward J. Nally James R. Sheffield
James W. Pyke
Hon. John W. Griggs...........President
Edward J. Nally................Vice-President and General Manager
John Bottomley ................Vice-President, Secretary and Treasurer
George S. De Sousa....Assistant Treasurer
C. B. Smith.............Assistant Treasurer
Legal Department
Hon. John W. Griggs......General Counsel
William B. Vansize.........Patent Attorney
Sheffield & Betts...........Patent Counsel
Gifford & Bull.............Patent Counsel
Engineering Department
Frederick M. Sammis......Chief Engineer
Harry Shoemaker..........Research Engineer
Roy A. Weagant...........Assistant Engineer
C. D. Warner.............Assistant Engineer
Julius Martin ............Assistant Engineer
Auditing Department
C. J. Ross .......................Auditor
Traffic Department
George S. De Sousa.......Traffic Manager
David Sarnoff....Assistant Traffic Manager
TRANS-OCEANIC DIVISION
C. H. Taylor.................Engineer
Lynn C. Everett............Assistant Engineer
Edw. B. Pillsbury...General Superintendent
Lee Lemon ..................Superintendent
William A. Winterbottom.Commercial M'gr
Harry Chadwick.............Office Manager
Paul C. Kast................Cashier
MARCONI SCHOOL OF INSTRUCTION
25 Elm St., New York
E. E. Bucher.............Instructing Engineer
Manufacturing Department
Aldene, N. J.
G. W. Hayes.....Superintendent of Factory
Purchasing Department
G. Harold Porter...........Purchasing Agent
Publishing Department
J. Andrew White...Editor of Publications
Wheeler N. Soper...........Assistant Editor
Pacific Coast Division
Merchants Exchange Bldg., San Francisco
A. H. Ginman......General Superintendent
John R. Irwin........Supt. Northern District
George J. Jessop....Supt. Southern District
Eastern Division
Operating Department, 25 Elm St., New York.
Ernest T. Edwards...........Superintendent
G. W. Nicholls......District Superintendent
Southern Division
American Building, Baltimore, Md.
T. M. Stevens..............Superintendent
Gulf Division
919 Decatur St., New Orleans, La.
E. C. Newton..............Superintendent
Great Lakes Division
Schofield Bldg., Cleveland, Ohio
F. H. Mason..............Superintendent
WHAT MAY BE EXPECTED
A CARTOONIST'S IDEA OF WIRELESS IN DAYS TO COME
Since steering a torpedo by wireless from the shore is possible.
Grandfather may be able to steer his motor-plow over on the other end of the farm from the front porch.
Racing cars will be guided by drivers seated safely in the grandstand.
And ma can steer pa along the street on his way to and from work, from the attic window.
From the Rochester, N. Y., Herald.
Well, how'd the vacation go? . . .
So did I
Speaking of vacations—
Like many an operator, Hank's one aim in life was "to see Paris and die."
But not by the starvation route, he adds, writing in from the Berkshires where food is had a-plenty and transportation's cheap.
In the Marconi Static Room, where all the heroes and heroes-to-be congregate when on shore leave, the Garrulous One maintained that in an argument the day before he stood by his sentiments and was outspoken—
"Who outspoke you?" murmured someone in the corner.
Frank S., who pushes the pen—or do you use a typewriter, Frank?—for a living in Philadelphia (which in itself is strange) says I am not serious. Frank is. Here, listen to this:
War
The searchlight's sword thrust, blinding bright,
Stabs thro' the starry summer night.
Shrapnel and shell tear shrieking by
Where late the white doves* circled high;
Gone from the once-fair village street
The lover's laugh, the childish feet,
Where smiled Peace, Life and Hope before
Red Madness raves.
—And this is War.
* Temptation to be funny resisted here.
Peace-loving readers of this country will now rise up and tender a hearty vote of thanks to Columbus for having discovered America.
Gee, it's depressing, ain't it? Much rather confine war thoughts to neighbor Apgar's little feat of ledgerdemain with Sayville holding the bag.
This country's all right; any way you look at it. Never mind the patriotic effusion; I know! Better things may be in store for us but, as the little boy said to the clergyman: "Don't tell me about Heaven. I want to be surprised."
Queries Answered
Answers will be given in this department to questions of subscribers, covering the full range of wireless subjects, but only those which relate to the technical phases of the art and which are of general interest to readers will be published here. The subscriber's name and address must be given in all letters and only one side of the paper written on; where diagrams are necessary they must be on a separate sheet and drawn with India ink. Not more than five questions of an individual can be answered. To receive attention these rules must be rigidly observed.
Positively no Questions Answered by Mail
F. C., Yonkers, N. Y., inquires:
Ques.—(1) Kindly explain the action of the graphite resistance rod connected in shunt to a variable condenser in a receiving set.
Ans.—(1) A proper reply to this query would depend upon the type of circuit in which it is employed. If you refer to the graphite resistance rod which is ordinarily connected in shunt to the condenser in the grid circuit of a vacuum valve detector, it is employed to prevent the accumulation of high potentials on the plates of the condenser which otherwise would "paralyze" the detector. Used in other types of circuits this rod would have a different effect, but we should require that you state a definite problem in order to answer properly.
Ques.—(2) Can you give me a formula for calculating the high frequency resistance of an inductance wound with No. 32 copper wire at a frequency of 500,000? The D. C. resistance of the coil is 50 ohms. What is the high frequency resistance of the same coil at a frequency of 40,000 cycles?
Ans.—(2) The formula for the high frequency resistance of a straight wire is as follows:
\[
R' = \frac{XW}{2Y} \quad \ldots \ldots (1)
\]
Where
\[
X = 2\rho \sqrt{\pi \omega \mu}
\]
\[
W = \text{ber } x \text{ bei}^2 x - \text{bei } x \text{ ber}^2 x
\]
\[
Y = (\text{ber}^2 x)^2 + (\text{bei}^2 x)^2
\]
and
\[
\rho = \text{radius of wire in centimeters}
\]
\[
\omega = 2\pi n \text{ where } n = \text{frequency}
\]
\[
\mu = \text{permeability } = 1 \text{ for Cu}
\]
\[
\sigma = \text{specific resistance } = 1721 \text{ for Cu}
\]
\[
R = \text{direct current resistance}
\]
and
\[
\text{ber } x = 1 - \frac{X^4}{2^2 4^2} + \frac{X^8}{2^2 4^2 6^2 8^2}
\]
\[
\text{bei } x = \frac{X^4}{2^2} - \frac{X^8}{2^2 4^2 6^2} + \frac{X^{10}}{2^2 4^2 6^2 8^2 10^2}
\]
and ber' and bei' are their differential coefficients with respect to X. (Lord Kelvin.)
In the Bureau of Standards publication we find W and Y given, the argument X.
\[
X = 2 \sqrt{\pi \omega \mu} = \pi d \sqrt{\frac{2n}{1721}}
\]
\[
= \frac{29.3}{\pi d} \sqrt{n}, \text{ since for No. 32 wire } d = .0202
\]
\[
= \frac{29.3}{\pi \times 0.0202} \sqrt{n} = 0.00186 \sqrt{n}
\]
(a) For frequency of 500,000 cycles per second:
\[
X_a = 0.00186 \sqrt{n} = 0.00186 \sqrt{5 \times 10^4} = 1.32
\]
\[
\frac{X_a W_a}{2 Y_a} = 1.01570
\]
Ans.—(a) \( R' = 50 \times 1.01570 = 50.785 \) ohms.
(b) For frequency of 40,000 cycles per second;
\[
X_b = 0.00186 \sqrt{n} = 0.00186 \sqrt{4 \times 10^4} = 0.372
\]
\[
\frac{X_b W_b}{2 Y_b} = 1.000105
\]
Ans.—(b) \( R' = 50 \times 1.000105 = 50.00525 \) ohms.
However, the unsymmetrical distribution of current in the section of the conductor, the capacity effect, and the eddy current loss—especially at the ends of the coil—will cause the resistance of the wire to be much greater when wound in the form of a coil. This increase can only be found accurately when the shape of the coil is given together with its operating conditions, and then only from empirical charts drawn up from experimental measurements with previously measured coils.
Ques.—(3) Give the capacity and inductance for a wave-meter to cover a range from 500 to 9,500 meters.
Ans.—(3) A circuit having this range of wave-lengths is described in the February, 1915, issue of *The Wireless Age* in the article "How to Conduct a Radio Club." The winding described in that article was intended to be used as the secondary winding of a receiving transformer, but will act efficiently as a wave-meter when used in connection with a crystalline or vacuum valve detector. The resistance of the coil would be too high for use in connection with a current indicating instrument such as a milliammeter or a small wave-meter.
Ques.—(4) If a wireless telegraph station was transmitting on a wave-length of 25,000 meters and radiation took place, would it be possible to detect these waves without a detector? Such a wave would have a frequency of 12,000 meters, which is well within the limits of audibility.
Ans.—(4) While a frequency of 12,000 cycles is well within the limits of audibility from the standpoint of sound vibrations, it is not so in the case of the ordinary magneto telephone. Numerous tests have revealed that the ordinary telephone gives little response even at frequencies as low as 5,000 or 6,000 cycles. It is quite possible that radiation at a frequency of 12,000 cycles per second could be heard if the receiving aerial and head telephones were a few miles distant from the transmitting station, but it is hardly possible that the signals would be received at any great distance. Suppose, for example, that the telephones were connected in series with the aerial. The presence of the core in the telephone winding would have a severe damping effect on the oscillations in the antenna circuit and would prevent the upbuilding of energy which might otherwise ensue. As far as we are aware, transmission has not been attempted at these frequencies although the Marconi Company has done successful trans-Atlantic work at a frequency of 19,000 cycles.
E. K. Lawrence, Kas.:
Ans. (1): The confusion existing in your mind in reference to the shortening of the emitted wave from a transmitting set by use of a condenser in shunt to the secondary winding may be explained in the following manner: Let us, for example, consider two closed oscillatory circuits, as per Fig. 1-a, namely L C and L' C'. These two circuits are taken as being identical, having the same values of capacity and inductance in each and also the same wave-length. Say circuit L C was adjusted to a wave-length of 300 meters, and likewise circuit L' C'. Then let the two circuits be connected in parallel, as per Fig. 1-b. If the circuit shown in Fig. 1-b is set into oscillation it will have identically the same wave-length as either circuit L C or L' C', shown in Fig. 1-a. The explanation is simple. In the case of Fig. 1-b we have simply doubled the value of capacity and halved the value of inductance; therefore the time period or the oscillation constant of the circuit remains unchanged, as compared to either circuit in Fig. 1-a.
Keeping the foregoing in mind it will be readily understood how the wave-length of an antenna system can be reduced by shunt condensers. The method employed by the Marconi Company is as follows: Referring to Fig. 1-c, the antenna system is represented at ac and an adjustable high potential condenser at C2. The condenser, C2, is altered in capacity until the wave-length of the antenna system is 300 meters. The secondary winding of the transmitting oscillation transformer, L', is then shunted by a high potential condenser, C3, until this circuit also has a period of 300 meters. The circuits shown in Fig. 1-c and Fig. 1-d are then connected up as per Fig. 1-e, with the result that we have a circuit very similar to that shown in Fig. 1-b and the emitted wave from the antenna system is 300 meters. In other words, two oscillatory circuits having wave-lengths of 300 meters are connected in parallel and the resultant wave-
Figs. 1a (top), 1b (center) and 1c (bottom)
length is 300 meters. This will explain some of the phenomena referred to in your second query. It will be understood from the foregoing explanation in reference to transmitting apparatus that with certain receiving aerial systems in which the primary winding of the receiving oscillation transformer is shunted...
by a variable condenser the wave-length of the antenna system at certain values of capacity at the condenser as a whole will not be changed at all. The effective capacity in shunt to the primary winding will simply make the antenna system act as two circuits of identical wave-length connected in parallel and the resultant wave-length of course will be the same as that of a single circuit. It has been definitely shown by Dr. Austin and likewise reported in the proceedings of the Institute of Radio Engineers that in the average case a condenser in shunt to the primary winding of the receiving transformer results in a loss of received energy rather than in an increase, that is to say provided the complete apparatus is properly designed and has such values throughout that it can be placed in resonance with the distant transmitting station.
Ques.—(3) Is there any method of calculating the high frequency resistance of a stranded cable when the resistance of the individual strand is known? I wish to apply this to cables composed of 6-30 No. 30 enameled wire. Is the increased resistance due to stranding important enough to warrant a calculation? Perhaps a more convenient wave of getting at this would be to compare the resistance before and after winding it up into cables. Would a high frequency Wheatstone bridge, similar to diagram 2, be suitable?
Ans.—(3) If the individual strands composing the cable are not insulated the high frequency resistance will be
\[
\frac{1}{m}
\]
the resistance of a single strand, if there are \( m \) strands in the cable. You will find Thompson's formula for fine wires and medium high frequencies more suitable for accurate calculation.
For measurement of the high frequency resistance the following circuit is recommended: Referring to Fig. 2, either \( r_1 \) or \( r_2 \) should be of standard high frequency resistance built of extremely fine wire. Starting with the formula:
\[
\omega = 2 \pi n \sqrt{\frac{I}{(L_a + L_s)(C_1 + C_2)}}
\]
Where \( L_w \) = the equivalent inductance of the leads.
For zero potential difference between D and B
\[
c_1 = \frac{i_1}{w c_1} = \frac{i_2}{w c_2}
\]
\[
c_1 = r_1 i_1 = r_2 i_2
\]
dividing (3) by (2)
\[
\frac{w r_1 c_1}{w r_2 c_2} = \frac{r_1}{r_2} \frac{c_1}{c_2}
\]
hence
\[
r_1 = \frac{r_2 c_2}{c_1}
\]
Ques.—(4) Is the statement made by a certain writer, that the antenna capacity should bear the relation of
\[
\frac{0.02}{x}
\]
to the capacity of the transmitting condenser correct? This seems unreasonable as the important point seems to be that the requisite energy be present in the primary condenser when charged, the only limiting condition being that the condenser shall not be too large to enable oscillations of the required period to be reduced when the coupling inductance is connected to it, and on the other hand not so small that an excessive voltage must be employed to store up the energy it is desired to utilize. These conditions would permit a large range of values as we witness with various types of wireless telegraph sets placed upon the market today.
Ans.—(4) This is purely an empirical ratio, but there is some basis for its existence. The energy at the moment of discharge of the primary circuit is stored up entirely in the electrostatic field within the dielectric of the primary condenser. This energy in Joule's is equal to the energy stored up in the antenna electrostatic field the moment the envelope of the first train of oscillations in the primary circuit reaches zero less some small losses. That is to say:
\[
\frac{1}{2} C_1 V_1^2 = \frac{1}{2} C_2 V_2^2 \text{ Joule's — losses....(1)}
\]
Where \( C_1 \) and \( V_1 \) are respectively the capacity and maximum potential difference in the primary circuit and \( C_2 \) \( V_2 \) the corresponding quantities for the antenna circuit. From equation No. 1 we get:
\[
\sqrt{\frac{C_1}{C_2}} = \frac{V_2}{V_1}
\]
or substituting the limiting ratio of
\[
\frac{1.0}{00.2}
\]
we have:
\[
\sqrt{\frac{1.0}{0.02}} = 7.7 = \frac{V_2}{V_1} \ldots \ldots \ldots (3)
\]
That is to say, if the maximum voltage across the primary spark gap is 10,000, the maximum potential at the top of the antenna will be practically 77,000 volts. In other words, the smaller the ratio of \( \frac{C_1}{C_2} \) the smaller will be the antenna maximum potential and the less costly its consequent insulation for the same primary maximum voltage applied.
Ques.—(5) In an article by Mr. Shoemaker and Lieutenant Mauborgne mention is made of the use of a hot wire ammeter and hot wire wattmeter in the circuit of a wave-meter. We have been unable to construct such an instrument which would give the slightest indication in this location even when the wave-meter was so closely coupled to the sending helix that destructive sparking occurred in the coil and condenser. What manner of active element should be employed?
Ans.—(5) A wattmeter can be considered as follows (Fig. 3): AB is a 4-inch piece of .003 inches diameter Therlo wire, having a resistance value of about 10 ohms with a negligible temperature coefficient. EF and CD are pieces of small silk fibre. S is a shaft 1/32 of an inch in diameter which carries the pointer, and an Eddy current damping brake (not shown). A hair spring is used to hold the pointer at the Zero position and is indicated at H. A suitable zero adjustment screw may be placed as shown at B. A scale may be constructed as indicated at S.
The instrument will give a full scale deflection of 90 degrees for .10 amperes. Since
\[
(R I)^2 = W \text{ watts}
\]
\[
10 \times (.1) = 0.1 \text{ watts}
\]
Or, in other words, a full scale deflection represents an energy rate of consumption in the instrument of .1 watt. There are other types of high frequency wattmeters in use, but this is the simplest form for wave-meter work.
R. G., Oberlin, O., inquires:
Ques.—(1) I have disputed with several of my friends the statement that a hot wire ammeter registers amperes irrespective of the applied voltage.
The formula for heat developed in a wire for ordinary current is: Calories = Volts \( \times \) Amperes \( \times .24 \). Now, if the deflection of a needle in the ammeter depends on the heat developed in the hot wire, does not the amperage reading also depend on the voltage? This seems to be the only possible explanation in my mind of the fact that one can radiate 4 amperes into an aerial at an approximate voltage of 2,500 = 10,000 watts or 10 k.w. with an input of 1 k.w. I want to know whether my solution is right. If not, kindly explain.
Ans.—(1) The deflection of an ammeter, d, is proportional to the rate at which heat is dissipated in the hot wire element, or since
\[
H = R I^2_{\text{eff}} t \text{ joules} \ldots \ldots \ldots \ldots (1)
\]
\[
d = K \frac{H}{t} = K R I^2_{\text{eff}} \text{ watts} \ldots \ldots \ldots (2)
\]
Where R is the resistance of the hot wire element, \( I^2_{\text{eff}} \) is the square of the effective current flowing through it, and K is the constant of the instrument.
In damped oscillations \( I^2_{\text{eff}} \) takes into account the various amplitudes of the oscillating current and the epoch of zero current between three successive wave trains. This is due to the relatively high mechanical period of the moving parts of the instrument as compared to the period of the wave trains and to the fact that the hot wire does not instantaneously regain its normal length the moment the current is shut off. Both these factors prevent the needle from following either the oscillations or the group heating effect and cause it to assume a deflection corresponding to that which it would have for a constant current whose integral heating effect over a complete group period would be the same. The value 4 amperes is a reading of this type.
Since
\[
\frac{V_{\text{eff}}}{I_{\text{eff}}} \cos \theta = R
\]
(3)
substituting this value of \( R \) in equation (2) we have
\[
d = K V_{\text{eff}} I_{\text{eff}} \cos \theta
\]
(4)
Where \( V_{\text{eff}} \) is the effective value of the potential and \( \theta \) is the phase displacement angle between the voltage and current in the circuit. For direct current work this angle is equal to zero, and since
\[
\cos \theta = \cos \theta, V_{\text{eff}} = V, \text{ and } I_{\text{eff}} = I, d = K V I
\]
(5)
For an isolated closed oscillator this angle is approximately 90°. In an open oscillator it is somewhat smaller, decreasing with increasing equivalent resistance of the oscillator or antenna. In any case, it can only be determined by secondary measurements.
You are perfectly correct in saying that the current through the antenna ammeter depends upon the potential of the antenna, but your output conclusions are in error. The output of an antenna is determined by two general methods.
(a) The output of an antenna
\[
P = \frac{1}{2} n L I^2 \max = \frac{1}{2} n C V^2 \max
\]
(6)
Where \( n \) is the spark frequency, \( L \) and \( C \) are respectively the inductance and capacity of the antenna, and \( I \max \) and \( V \max \) are respectively the maximum current in the antenna and its maximum potential.
(b) The equivalent resistance \( R \) of the antenna is measured either by means of series inserted resistances or by the decrement method, when
\[
P = R I^2
\]
(7)
If your antenna input rate is 1 k.w. and you obtain an ammeter reading of 4 amperes, you will find that
\[
R = \frac{P}{I^2} = \frac{1000}{16} = 62 \text{ ohms}
\]
for it is contrary to the laws of the conservation of energy for you to get more out of an apparatus than you have put into it. If the antenna input is 1 k.w. and your output 10 k.w., where does the extra 9 k.w. come from? If your line of reasoning were correct every dry cell in the country would be a potential Niagara Falls!
* * *
E. J. R., Fort Hamilton, N. Y.:
Ans.—The diagram of connections given in Fig. 4 should fully cover your question. We cannot advise you regarding the receiving range of your apparatus unless we know more of the local conditions, but, generally speaking, you should be able to hear in the daytime at a distance of 200 miles and at night time up to 1,100 miles.
* * *
H. V. R., Los Angeles, writes:
Ques.—(1) Please tell me the lowest frequency possible to use in wireless telegraphy for the production of electro magnetic waves.
Ans.—(1) The minimum frequency that can be employed has not been definitely determined from a practical standpoint. The Marconi Company has already conducted successful trans-Atlantic experiments with an antenna frequency of 19,000 cycles and it may be possible that satisfactory results will be obtained with still lower frequencies. Radiation will take place at any frequency from the lowest up to those ordinarily employed in commercial wireless telegraphy today, provided the antenna system is in resonance with the source of energy. Whether or not the radiation of extremely low frequencies will be effective at a distance remains an open question.
Regarding your second query relative to the frequency of interruption in the Poulsen arc: We have been unable to locate in Pierce's "Principles of Wireless Telegraphy" any statement similar to that mentioned. It is true that the oscillations set up in the antenna circuit are not of pure, sine wave form and do possess some irregularities when the Poulsen arc transmitter is employed.
Ques.—(3) Please define radiation resistance and describe briefly how this quantity can be determined.
Ans.—(3) The term "radiation resistance" is an expression employed to represent the effective radiation from an antenna system. In the absence of a specific unit the energy radiated from such a system is expressed in terms of lost energy in the circuit and therefore the unit for resistance, the ohm, is employed. If an antenna has a radiation resistance of 7 ohms it means that the energy extracted by radiation is equivalent to placing 7 ohms of resistance in a similar circuit which is non-radiative.
For a flat top aerial the radiation resistance can be computed from the following formula, namely:
\[
R = K \times \frac{h^3}{\lambda^4}
\]
Where \( K = \) the constant 1,600 meters;
\( h = \) the height of the antenna in
meters;
λ = the wave length in meters.
This formula was presented by Rudenberg in 1908.
Regarding your fourth query: If two crystalline detectors were connected in opposition to the secondary winding of a receiving tuner and, furthermore, if a set of receivers were connected to each detector and if the detector had like characteristics, the effects would be equal and opposite and no signals would be received.
* * *
D. C. W., Long Beach, Cal., writes:
Ques.—(1) When I use my transmitting apparatus our house telephone makes such a terrific noise that it cannot be used. My aerial is located at some distance from the telephone line and I have tried grounding the telephone wires through one microfarad condensers without result. The local telephone men are at a loss to solve this problem and I should be glad if there is any method by which the trouble can be eliminated.
Ans.—(1) An ardent experimenter and reader of THE WIRELESS AGE has solved this problem in the following manner:
Knowing that the trouble was caused by electrostatic and electromagnetic induction from the transmitter aerials, the incoming leads of the telephone line from the last pole to the house were made up of triple stranded wire. Two of these wires were, of course, connected to the house telephone and the third one "dead-ended" at one end and earthed at the other end. Electrostatic potentials were thus induced to earth and the trouble entirely disappeared.
* * *
A. P., Kansas City, Mo.:
Ques.—(1) If the condenser plates are made of glass, 8 x 10 inches, having a thickness of 3/16 of an inch, and are to be covered with brass foil, 6 x 8 inches, please tell me how many plates should be required for a Blitzen 1 k.w. transformer, the set to be operated on a wave-length of 200 meters. The condenser will be immersed in paraffin oil. Also, how many plates are required for 300 meters?
Ans.—(1) At a wave-length of 200 meters, the capacity of the condenser cannot possibly be more than .04 microfarad. About seventeen plates of the condenser described connected in parallel will give the desired capacity. At a wave-length of 300 meters, the capacity can be slightly increased and your condenser in this case should consist of about twenty plates of the size named, connected in parallel.
Ques.—(2) Please give the data for a choke coil to limit a Blitzen 1 k.w. transformer to 3/8 k.w., 1/4 k.w., 1/2 k.w. and 3/4 k.w.
Ans.—(2) Having no data as to the constants of the windings of this transformer and the general overall design, we cannot give definite advice. We suggest that you communicate direct with the manufacturer. It should not, however, be difficult to construct a suitable reactance coil by experiment. One fact is certain: The wire on the reactance coil should be at least the size of the wire in the primary winding of the transformer. As a matter of experiment, a core 12 inches in length by 2 inches in diameter made up of rather fine soft iron wires can be wound with one or two layers of wire of sufficient diameter to carry the current. The current input to the transformer can be varied either by variable tap-off connection or by drawing the iron core in and out of the winding.
Ques.—(3) What size wire is best for the secondary winding of an inductively coupled receiving tuner to be used with the vacuum valve detector, namely, 28, 30 or 32? The primary of the receiving tuner is covered with No. 20 wire. It is 4½ inches in length by 5½ inches in diameter. The secondary winding is 4½ inches in length by 5 inches in diameter.
Ans.—(3) Owing to the fact that the vacuum valve detectors are potential operated devices, it is desirable that the secondary winding be so constructed as to supply the maximum value of voltage. That is to say, the capacity in shunt to the secondary winding for a given wave-length should be very small. We advise the use of No. 32 wire in this case, but are not in favor of No. 20 wire for the primary winding. This winding is preferably of No. 24 or No. 26 wire. If the secondary winding is wound full of No. 32 wire with the dimensions suggested, it will be adjustable to wave-lengths in the vicinity of 3,500 meters, depending upon the capacity of the variable condenser connected in shunt.
* * *
L. I. J., New Bedford, Mass., writes:
Ques.—(1) How can I calibrate one wave-meter from another?
Ans.—(1) The complete method is shown in Fig. 5. Herein B is an accurately calibrated standard wave-meter with a crystal detector and head telephones connected unilaterally. The wave-meter under calibration is represented at C and also has a detector connected unilaterally. At A are the circuits of an oscillatory circuit, comprising the fixed inductance, L, the condenser, C, the buzzer, B, the battery, Bat, and the condenser, C 1.
By means of the calibration chart furnished with the wave-meter, B, the condenser, C 1, is set at certain values so as to give the wavelength adjustment desired. The buzzer having been put into operation, the variable condenser of the oscillatory circuit, A, is then altered until maximum response is secured at the head telephones of the wave-meter, B. During this operation the coupling between the coils, L and L', should be as loose as is consistent with the strength of signals in the head telephone. The point of resonance having thus been actually obtained, the coil, L 2, of the wave-meter, C, is placed in inductive relation to L. The capacity of the condenser, C 2, is then altered until a resonant response is secured in the head telephones. Obviously, the wave-length of the wave-meter, C, is now identical with that of the wave-length of the wave-meter, B. In this manner a number of settings can be taken at the standard wave-meter and resonant adjustments made at the condenser, C 2, until a complete set of wavelength values is obtained. If desired, the crystalline detectors connected to the wave-meters, B and C, may be connected in series with the head telephones and then in shunt to the condensers. The connection shown, however, affords increased accuracy because the constants of the wave-meter circuit are not so seriously interfered with.
For less accurate adjustment the excitation buzzer and battery could be connected in shunt to the wave-meter, B, and corresponding readings made on the wave-meter, C; but by the method shown all errors due to the shunting of the circuits are eliminated.
Ques.—(2) How can I make and what is the principle of a ticker to be used with a receiving set to hear stations employing a frequency above the limits of audibility?
Ans.—(2) A ticker is nothing more than a circuit interrupter however it may be constructed. If, in the receiving circuit of the ordinary apparatus, an interrupter is connected so as to break that circuit, say, 700 or 800 times per second, a note is produced in the head telephones corresponding to the rate of interruptions.
The sliding wire ticker is often employed. A complete circuit diagram for it appears on page 1015 of the September, 1914, issue of THE WIRELESS AGE. In this apparatus a small grooved wheel has a piece of spring wire in light contact to it. The wheel is revolved at a speed of from 1,000 to 2,000 r.p.m., and by proper adjustment of the variable elements in the circuit, a "mushy" note is produced in the head telephones, making the signals of undamped stations audible. It should be taken into consideration that with this ticker the telephone condenser (in shunt to the head telephones) becomes an active element of the oscillatory circuit and in consequence for adjustment to given wave-length the secondary winding of the receiving tuner need not have the large value of inductance employed with the ordinary crystalline detectors. In fact, the secondary winding of the receiving tuner to be used in connection with a ticker should have rather coarse wire, as compared to that employed in the present day receiving tuners.
Ques.—(3) In what proportion does the addition of more wires in parallel to a single wire aerial increase the wave-length of the latter?
Ans.—(3) This query cannot be answered unless a definite problem is given. The increase of wave-length depends upon the spacing of the adjacent wires and, if the wires were only separated by a few inches, the capacity would hardly be increased at all, the only effect being that the high frequency resistance of the antenna as a whole is reduced. Adding more wires to any aerial increases the capacity and decreases the effective inductance and the high frequency resistance, but the actual increase of wave-length depends upon the spacing.
E. C., Springfield, Ill., writes:
Ques.—(1) Where can licensed silicon and galena crystals be obtained?
Ans.—(1) The Wireless Specialty Apparatus Company, New York City.
Ques.—(2) Where can I purchase a perikon elektra detector and what is the price?
Ans.—(2) Communicate with the same company. We do not know the price.
Ques.—(3) How many plates should be used in a 1 k.w. condenser?
Ans.—(3) This depends upon the voltage and frequency of the transformer and the range of wave-length over which it is desired to work. For 200 meters the sending condenser cannot have a capacity value of more than .01 microfarad. Five glass plates, 14 x 14 inches, covered with tin foil 12 x 12 inches, the glass being ½ of an inch in thickness, and an oil plate connected in parallel will give a capacity value of .01.
Ques.—(4) What is a series parallel connection of condensers?
Ans.—(4) A diagrammatic sketch of a series parallel connection is shown in Fig. 6.
Ques.—(5) At what speed should a spark gap revolve for a 1 k.w. set when there are twelve studs on the rotor?
Ans.—(5) A speed of 2,400 r.p.m. is preferable.
E. C. H., Niagara Falls, N. Y., writes:
Ques.—(1) I desire information as to the construction of a transformer suitable for 25 cycle current.
Ans.—(1) Please observe the Fourth Prize Article, in "From and For Those Who Help Themselves," in the August, 1915, issue of THE WIRELESS AGE.
* * *
O. A., Canton, O., inquires:
Ques.—(1) What is the natural wave-length of an aerial which consists of 4 wires spaced 3 feet apart, 125 feet in length by 55 feet in height?
Ans.—(1) The natural wave-length of this antenna is about 320 meters.
Ques.—(2) Has the licensed amateur more rights than one unlicensed?
Ans.—(2) He is allowed to transmit at a wave-length of 200 meters, which would not be possible without a license. With a special license he may be allowed to work his apparatus on wave-lengths in excess of this value provided the station is located outside of the zone of commercial or naval interference.
* * *
W. R. S., Pittsburgh, Pa.:
Ques.—(1) I am constructing an inductively-coupled receiving tuner with a primary 4½ inches in diameter wound with 160 turns of No. 24 G. S. D. wire. If I make the secondary tube 4 inches in diameter, how many turns and what gauge wire should I wind it with? This tuner is to be used with a mineral detector.
Ans.—(1) This question cannot be definitely answered unless the range of wave-length over which it is desired to work is stated; the same statement applies to the primary. We do not know whether it is of the proper dimensions because we lack data as to the inductance and capacity of the receiving aerial. Speaking generally, if the secondary winding is 4 inches in diameter it might be wound for a distance of 3½ inches with No. 32 S. S. C. wire. With a small variable condenser in shunt to this winding, it should be adjustable at wave-lengths up to 3,500 meters. Used in this manner a loading coil is required in the antenna circuit.
Ques.—(2) If this coupler is used with a vacuum valve detector, what gauge wire and how many turns should be placed on the secondary?
Ans.—(2) No. 32 wire is quite correct for a vacuum valve detector and the actual number of turns will of course depend upon the wave-length it is desired to receive. Therefore no definite data can be given.
Ques.—(3) What is the proper gauge of wire for winding loading coils?
Ans.—(3) These coils are preferably wound with No. 20, 22 or 24 S. S. C. wire.
* * *
D. M. K., Binghamton, N. Y., writes:
Ques.—(1) I have an inductively-coupled receiving tuner, the primary work being wound with No. 22 wire. I also have a double slide tuner wound with No. 24 wire. Could I use a loading coil wound with No. 30 S. S. C. wire to good advantage with either coil?
Ans.—(1) A diagram of connections would have helped us to reply. No. 30 wire is feasible for the secondary circuit, but not for the antenna circuit. The loading coil in the antenna circuit should be of No. 20, 22 or 24 S. S. C. wire.
Ques.—(2) Please inform me whether it is preferable to wind the wire for a loading coil on a tube as a tuning coil, or in layers?
Ans.—(2) Multiple layers are to be avoided by all means. It should be wound in the form of an ordinary tuning coil having a single layer.
Ques.—(3) How many square inches of foil are required for a condenser to be connected in shunt to the head telephones?
Ans.—(3) Sixty square inches of foil separated by paraffined paper, all pressed closely together, will give the desired capacity.
Ques.—(4) How many square inches of tin foil should be used in a receiving condenser to be placed in series with a three-slide tuning coil and the detector?
Ans.—(4) It may have the same value of capacity as that given in the reply to your third query. If the head telephones are connected in shunt to the fixed condenser, which is the proper connection, only one condenser is required.
* * *
I. H., Pittsfield, Mass., writes:
Ques.—(1) What is a good design for the construction of a ½ kw. closed core transformer to have a secondary voltage of about 10,000? The primary supply is 110 volts, 60 cycles.
Ans.—(1) A complete answer to this query appeared in the fourth Prize Article in the August, 1915, issue of THE WIRELESS AGE.
Ques.—(2) Can you recommend an efficient design for a loose coupled receiving transformer to be used with an aerial 60 feet in length, comprising 6 wires, erected on 14-foot spreaders, in order that the time signals may be received from Arlington at a wave-length of 2,500 meters? This tuner is to be used for the reception of amateur signals.
Ans.—(2) Lacking data as to the height of this aerial, we cannot give an accurate reply, particularly in regard to the number of turns to be used in the primary winding. The secondary winding for a receiving tuner suitable for the reception of signals from Arlington and to be used in connection with crystalline detectors, can be constructed as follows: The secondary winding should be 3½ inches in length by 3¼ inches in diameter, wound closely with No. 28 S. S. C. wire. This winding may have 12 taps.
The primary winding may be 3¾ inches in diameter by 4 inches in length, wound closely with No. 26 S. S. C. wire. It is intended that the secondary winding shall be shunted by a variable condenser having a
capacity value of approximately .001 microfarad.
This tuner will not be entirely suitable for the reception of amateur signals, unless special dead-end switches are employed to cut off the unused turns. It is desirable that a separate receiving tuner be constructed for the reception of 200 meter wavelengths. It is very probable that the natural wave-length of your aerial is slightly above 200 meters and you therefore require a series condenser for the efficient reception of such signals.
To be adjustable to 200 meter, amateur signals, the secondary winding of the receiving tuner may have the same dimensions as those given in the foregoing case, but the winding need not be more than 1½ inches in length. Likewise the primary winding may be reduced to a length of from 2 to 2½ inches.
In a future issue of The Wireless Age data will be given for Receiving tuners employing No. 32 wire in the secondary.
Ques.—(3) If my aerial is within 3 feet of a tin roof, will the receiving range be affected?
Ans.—(3) If only a part of the aerial is within this distance of the roof it will have little, if any, effect. Of course, the proximity of the tin roof will increase the effective capacity of the aerial; therefore its natural wave-length will be greater than if the roof were not nearby.
* * *
H. J. M. D., Buffalo, N. Y., asks:
Ques.—(1) What will be the result of using a 60 cycle, ¼ kw. transformer on 25-cycle current?
Ans.—(1) The transformer will draw an abnormal value of current, owing to the lack of effective impedance.
Ques.—(2) What can I do to remedy any faults caused by the difference?
Ans.—(2) Increase the number of turns in the primary winding in order that the impedance of the winding may be increased.
* * *
W. C. K., Rochester, N. Y., asks:
Ques.—(1) I have an aerial composed of 4 copper clad wires, 95 feet in length by 40 feet in height, the wires being spaced 1½ feet apart. The lead-in is 15 feet in length. What is the natural wave-length of this aerial?
Ans.—(1) About 230 meters.
Ques.—(2) I have a receiving tuner, the primary winding of which is 7 inches in length by 3¼ inches in diameter, wound with No. 30 wire; the secondary winding is 7 inches in length, 2½ inches in diameter, wound with No. 30 wire. I also have a loading coil, 14 inches in length by 1½ inches in diameter, wound with No. 30 wire. With the aerial referred to what wave-length can I adjust to?
Ans.—(2) Your receiving tuner represents inefficient design. The primary winding should be made with No. 24 or No. 26 wire, while the secondary winding can remain as stated. The aerial tuning inductance is preferably made with No. 20 or No. 22 wire, No. 30 wire being entirely too small. With the windings as you described them, you should be able to adjust to wave-lengths up to 4,000 meters, but please take into consideration that with these windings the aerial circuit can be adjusted to a longer wavelength than the secondary circuit, depending upon whether you have a variable condenser connected in shunt to the secondary winding or not.
Ques.—(3) Please give the data for the construction of a 2-inch spark coil.
Ans.—(3) The coil should consist of a bundle of fine iron wires, 1¾ inches in diameter by 10½ inches in length. It is then covered with 2 or 3 layers of Empire cloth and wound with 2 layers of No. 14 S. C. C. wire. The secondary winding requires 2½ pounds of No. 34 wire, which should be divided in 4 sections, having a total length of 7 inches.
Ques.—(4) Please publish a drawing showing the best method for connecting the following apparatus: A loose coupler, loading coil, galena detector, fixed condenser, 2,000 ohm head telephones.
Ans.—(4) A complete diagram of connections is shown in Fig. 1.
* * *
L. E. B., Roundup, Mont.:
Ans.—We are not familiar with the receiving apparatus shown in the photograph accompanying your communication. If, as the makers say, it is adjustable to wavelengths of 4,000 meters, you should be able during the winter months at night time to hear signals from stations on the Pacific Coast. Your station, however, is badly located for long distance receiving, particularly at this time of the year, and results are therefore problematical.
You ask for advice as to the very best apparatus for all round experimental work. This cannot be given, unless we know definitely the stations from which you desire to receive. A receiving tuner suitable for the reception of wave-lengths up to 7,000, 8,000 and 9,000 meters is unsuitable for reception of wave-lengths in the vicinity of 4,000 meters and absolutely useless for wave-lengths in the vicinity of 600 meters. We know of no commercial wireless telegraph stations in your immediate vicinity and consequently you will have to rely upon stations on the Pacific Coast. If you are in a mountainous district and your receiving aerial is surrounded by hills the reception of signals will be interfered with seriously. During the winter months you should be able by proper adjustment of the apparatus to receive signals from ships plying on the Pacific Coast. We note that your photograph contains a vacuum valve detector. If you have had no experience with this device, it may be that it is not in proper adjustment. To some extent this is a matter of skill and training and cannot be
accomplished at the first test. In the series on "How To Conduct A Radio Club" in the January, 1914, and July, 1915, issues of The Wireless Age definite information concerning receiving tuners for certain wavelengths is published. In the July issue the circuits of a super-sensitive receiving set for long wave-lengths are fully covered.
* * *
S. G. Salem, N. J.:
Ans.—(1) The aerial described in your first query has a natural wave-length of 300 meters and can be reduced to a value of about 200 meters by a series condenser of the following dimensions: 4 sheets of glass, 10 by 10 inches, covered with tinfoil, 7 by 7 inches; all plates connected in series, will reduce the wave-length of this aerial to a value of about 200 meters. You, of course, require a wave-meter for accurate adjustments.
Ques.—(2) Is the enclosed diagram of connections an efficient one?
Ans.—(2) It depends upon the range of wave-lengths it is desired to receive and the general over-all design of the receiving tuner.
Ques.—(3) The primary winding of my receiving transformer is wound with No. 24 S. S. C. wire on a tube 4\(\frac{1}{8}\) inches in diameter. The secondary is wound with No. 28 S. S. C. wire on a tube 3\(\frac{3}{8}\) inches in diameter. It has an 8-point switch. I find that in tuning for NAR, 120 turns of wire are needed in the primary; for WHE, 130 turns; WHI, 140 turns; WCC, 150 turns, and NAA, 225 turns. The amount of wire necessary for these stations seems to be out of proportion to their wave-lengths.
Ans.—(3) Taking into consideration the wave-lengths of these stations, your results tally correctly throughout. Perhaps you have been misinformed as to wave-lengths being used. At present, the wave-length of Cape Cod is greater than that of either the Wanamaker station in Philadelphia or New York. Likewise, the wave-length of Key West is less than that of either of the Wanamaker stations. The wave-length of the Arlington station is greater than all, being 2,500 meters on the time signals.
Ques.—(4) Why is it that I cannot hear amateur stations with this set? With the equipment I formerly possessed, such signals could be received. My present receiving tuner, however, brings in the signals from Key West much louder than the one I had.
Ans.—(4) The dimensions of the present receiving tuner are such that when adjusted to wave-lengths of 200 meters there will be considerable absorption of energy on account of the dead-ends. Again, it may be possible that the tapoffs of your present tuner do not allow a sufficient minimum value of turns for adjustment to wavelengths of 200 meters. To construct a receiving tuner responsive to a range of wavelengths of from 200 to 2,500 meters, it should be so arranged that when adjusted to the shorter wave-lengths, the dead-ends are cut off by means of a special dead-end switch.
Ques.—(5) Will the addition of a variable condenser in the secondary circuit bring in stations much plainer?
Ans.—(5) If this condenser is required in order to obtain conditions of resonance, yes; otherwise no increase of signals will result.
* * *
C. B. H., Great Neck Station, N. Y., writes:
Ques.—(1) I am constructing a receiving tuner described on page 294 of the January, 1915 issue of The Wireless Age, but some of the details are not entirely clear. Referring to the front view of the secondary switch, what function has the lower 1-inch brass segment. No connection for it appears. In Fig. 8 the secondary winding is shown divided into three sections, apparently designed to be connected up by moving the second blade of the switch to the extra point. Won't the usual loop taken out for the tap serve this purpose more simply? In any case the number of turns in use will be those between the left terminal and the point on which the switch rests. In case the second blade is set on the furthest segment connecting sections 2 and 3, doesn't this open the gap between sections 1 and 2, thus rendering the coupler inoperative? Why are the segments used when contact is only made with the protruding points, as shown in the side views of both the primary and secondary switches?
In other words, couldn't the connections be greatly simplified by using a single series of switch points, to which loops of the wire are taken out and connected as taps without impairing the efficiency of the coupler in any way? This would progressively add more turns until all were included. This statement should apply to both the primary and secondary winding. Isn't this the method followed by most manufacturers in making receiving tuners.
Ans.—(1) Apparently you have failed to grasp the underlying idea of our contributor's design. This tuner was constructed to eliminate the effect of dead ends which are detrimental in a receiving tuner employed for a large range of wave-lengths. You have already observed that the primary winding is divided into a number of sections and that the secondary winding is divided into three distinct sections. The extra fan blade switch mounted on the rotary switch (which controls the amount of inductance in use in the secondary winding) is employed to cut off the unused turns at various wave-lengths. When the taps of inductance in use on section No. 1 of the secondary winding are employed, the segment on the fan blade switch does not make connection with the two extra points shown in dotted lines directly underneath the handle. But when the switch is about to be shifted to the second section of turns the first segment of the fan blade switch makes contact with the protruding points and closes the electric connection to the second section of the winding. In this position the third section still remains disconnected.
When the handle of the secondary switch is about to be moved to the third section the first fan blade makes contact with the second set of protruding points connecting in the third section while the lower segment maintains the electrical connection between the first and second units of the secondary winding. In this manner the three units of the secondary winding are connected to the circuit as needed, but when not required for given wave-lengths they are disconnected and the continuity of the dead end circuit is broken. You, of course, understand that the two brass segments shown in Fig. 5 on page 296 are mounted on an insulating section and also that the two segments are insulated from each other. We believe the design presented by our contributor is superior to that ordinarily found on the open market and, if the receiving tuner has a range of wave-lengths up to 2,500 meters, as this one probably will have, considerable energy losses will be sidetracked by this arrangement when receiving signals at a wave-length of from 200 to 600 meters.
The design furnished by our contributor should give a range of wave-lengths up to 2,500 meters. Previous issues of The Wireless Age have contained a number of articles on the subject of dead ends.
* * *
C. F. S., Newark, N. J., writes:
Ques.—(1) In the transmission of wireless telegraph messages what power is considered the best and also the most economical?
Ans.—(1) The amount of power employed in a radio transmitter depends upon the frequency of the current supply, the capacity of the condenser, and the voltage of the secondary winding. It is not advisable to use a voltage of more than 25,000 at the secondary winding on account of the strain on the insulation of the set. The frequency of a wireless telegraph transmitter varies from 60 to 500 cycles and the wave-length is governed by United States regulations. For amateur transmitting purposes, the condenser capacity cannot have a value of more than .01 microfarad to obtain a wave-length of 200 meters. This being the case, the amount of power used by the set will depend upon the voltage and the frequency supply.
Ques.—(2) Does ordinary rubber covered wire give sufficient insulation for handling when used in connection with a 1-inch or 1½-inch spark coil?
Ans.—(2) The insulation of this wire cannot be considered sufficient for such circuits. There is a special type of high tension cable made for automobile ignition purposes which is applicable to this work. This can be purchased at any automobile supply store.
Ques.—(3) Is copper wire considered better for an aerial than aluminum wire?
Ans.—(3) Copper wire has a high degree of conductivity and, strictly speaking, is preferable. If, however, a number of aluminum wires are used a similar degree of conductivity is afforded and consequently the results obtained are practically identical.
Ques.—(4) What is a good protection for a wireless telegraph station against lightning discharges?
Ans.—(4) When the aerial is not in use, it should be connected to earth through a very soft copper wire or a piece of sheet copper. This wire should be at least No. 4 and larger if possible. A piece of iron gas pipe may be driven to a distance of 15 or 20 feet in the earth, or a small sheet of copper or zinc buried in moist earth as near to the station as possible. A receiving aerial may be permanently connected to earth through a toothed gap lightning arrester and thus powerful discharges will be conducted to earth immediately at all times.
* * *
C. M. D., Passaic, N. J.:
Ques.—(1) Is the peroxide of lead detector more sensitive than the silicon detector?
Ans.—(1) No.
Ques.—(2) How is the peroxide of lead detector connected in a receiving circuit?
Ans.—(2) In a manner similar to that of an electrolytic detector. The platinum electrode of the peroxide lead detector is connected to the positive pole of the local battery, while the lead electrode is connected to the negative pole. The current flowing may be adjusted by a potentiometer in the ordinary manner.
Ans.—(2) We cannot advise regarding the wave-length adjustment afforded by a tuning coil, unless we know the inductance capacity of the aerial with which it is to be employed.
The receiving set you describe should give you a daylight range of 100 miles and a night range of 500 or 600 miles.
* * *
L. M., New York City, writes:
Ques.—(1) Can I connect two spark coils in series to increase the spark length? Kindly publish a diagram of connections.
Ans.—(1) A diagram of connections is unnecessary. The interrupter of one coil should be screwed up tight and the circuit broken by the interrupter of the second coil. The primary and secondary windings should be connected in series.
* * *
W. H., Middlefield, Ohio:
Ques.—(1) My interrupter does not work well. I should be glad if you would advise me how to construct an interrupter which will carry 220 volts direct current and at the same time be efficient.
Ans.—(1) The electrolytic interrupter is preferable for this work and can be purchased at a nominal price from a number of supply houses. A constructional article on this subject will be published in the forthcoming issue of The Wireless Age.
Books on Wireless
A list of some of the best books pertaining to the wireless art. We have made arrangements whereby we can supply our readers with any book on wireless published in America at regular published price. We can also import on order any book published abroad. Send us your orders. They will receive prompt attention.
| Title | Pub. Price Post-paid | With one Year's WIRELESS AGE |
|----------------------------------------------------------------------|----------------------|------------------------------|
| YEAR BOOK OF WIRELESS TELEGRAPHY (1915) pp. 1000. Contains a yearly record of the progress of wireless telegraphy; complete list of ship and shore stations throughout the world, their call letters, wave-lengths, range and hours of service, and articles by the greatest authorities on vital questions. | $1.50 | $2.25 |
| HOW TO PASS U. S. GOV. WIRELESS EXAMINATION. 118 Actual Questions Answered. 72 pp. E. E. Bucher. The greatest wireless book ever published for amateurs and prospective wireless operators. | .50 | 1.75 |
| THE ELEMENTARY PRINCIPLES OF WIRELESS TELEGRAPHY, pp. 155, Bangay, R. D., explains in the simplest possible manner the theory and practice of wireless telegraphy. Arranged for use as a reference book for amateur students and Boy Scouts. | .30 | 1.00 |
| LIST OF RADIO STATIONS OF THE WORLD, 220 pp. Compiled by F. A. Hart, Chief Inspector of Marconi Wireless Telegraph Company of Am. and L. M. Short, Resident Inspector U. S. A. Marconi International Marine Com. Co. The only complete authoritative call list published. | 1.00 | 2.25 |
| HANDBOOK OF TECHNICAL INSTRUCTIONS FOR WIRELESS TELEGRAPHISTS, pp. 260, Macbeth, J. S. Covering principally the practice of the Marconi Co. abroad and elementary explanations of the underlying principles. | 1.50 | 2.50 |
| AN ELEMENTARY MANUAL OF RADIO-TELEGRAPHY AND RADIO-TELEPHONY FOR STUDENTS AND OPERATORS, pp. 324. Fleming, J. A. Useful to technical students and practical operators. | 2.00 | 3.00 |
| TEXT BOOK ON WIRELESS TELEGRAPHY, pp. 352. Stanley, R. A text book covering the elements of electricity and magnetism, with details of the very latest practice in wireless telegraphy in European countries—recommended to all workers in the art of radio telegraphy. | 2.25 | 3.25 |
| WIRELESS TELEGRAPH CONSTRUCTION FOR AMATEURS, pp. 200, Morgan, A. P. The construction of a complete set of wireless telegraph apparatus for amateurs' use. Recommended to beginners. | 1.50 | 2.50 |
| PRACTICAL USES OF THE WAVEMETER IN WIRELESS TELEGRAPHY. Mauborgne, J. O. Originally compiled for the Officers of the U. S. Signal Corps comprises an explanation of the use of the wavemeter, the most complete publication on the subject so far produced. | 1.00 | 2.25 |
| WIRELESS TELEGRAPHY AND TELEPHONY, pp. 271. Kennelly, A. E. One of the Prize Series giving in simple language an explanation of electro-magnetic waves and their propagation through space, also fundamental facts about wireless telegraph equipments. | 1.00 | 2.25 |
| EXPERIMENTAL WIRELESS STATIONS, pp. 224. Edelman, Philip E. A book for amateurs. The design, construction and operation of an amateur wireless station in compliance with the new Radio Law. | 1.50 | 2.50 |
| EXPERIMENTS, New, pp. 256. Edelman, Philip E. Practical, up-to-date information for building simple, efficient apparatus at small cost, for conducting tests and experiments and for establishing a laboratory. | 1.50 | 2.50 |
| HOW TO MAKE A TRANSFORMER FOR LOW PRESSURES, pamphlet. Austin, Prof. F. E. For Amateurs, showing how to construct a Transformer with an efficiency of 85% to 90%. | .25 | 1.00 |
| HIGH PRESSURE TRANSFORMERS, pamphlet. Austin, Prof. F. E. Directions for designing, making and operating High Pressure Transformers, with numerous illustrations of actual apparatus. | .50 | 1.85 |
| LESSONS IN PRACTICAL ELECTRICITY, pp. 507. Swoope, Walton C. Published by the Spring Garden Institute for use in its evening classes in practical electricity. It is one of the most popular works on practical electricity covering as it does principles, experiments and arithmetical problems,—404 illustrations. | 2.00 | 3.00 |
| The New (Aug., 1915) STANDARD HANDBOOK FOR ELECTRICAL ENGINEERS. Fourth Edition—Fully Revised—Large Size—Re-set. Edited by Frank E. Powley. 1800 pages, limp leather, thumb indexed. This fourth edition is practically a new book, revised, rewritten, reset from cover to cover. The rapid progress in electrical development and the broader scope have necessitated a book of 1800 pages—more than fifty per cent new. Contributors include over sixty of the leading electrical engineers giving you the best data of the best engineers in the country. Of the earlier Editions over 30,000 copies were sold. Invaluable to all electrical experimenters. | 5.00 | 5.50 |
Send Orders to The Marconi Publishing Corporation, 450 4th AVENUE, NEW YORK, N.Y.
## CONTENTS
| PAGE | TITLE | PAGE |
|------|----------------------------------------------------------------------|------|
| 868 | When the Pacific Belied Its Name. By A. R. Short | |
| 869 | War Incidents | |
| 871 | The Early Fall Crop | |
| 872 | A Wireless Detective in Real Life | |
| 877 | Making the Records from Sayville. By C. E. Agar | |
| 880 | The Uses of the Canal Zone Station | |
| 880 | Mystery in S O S Call | |
| 880 | Errata Notice | |
| 881 | Wireless (verse). By A. F. Gannon | |
| 882 | How to Conduct a Radio Club. Art. XVI (cont'd.). By E. E. Bucher | |
| 892 | An Amateur's Obituary | |
| 893 | Marconi Decremeter No. 24, Part I. | |
| 895 | Music by Wireless | |
| 895 | Time Signals in South Africa | |
| 896 | Joint Meeting at Exposition | |
| 896 | With the Amateurs | |
| 896 | Paint Protector for Masts | |
| 897 | From and For Those Who Help Themselves | |
| 904 | The Tesla Suit Against the Marconi Company | |
| 904 | Radio Tractor at Plattsburg Camp | |
| 905 | The Eastland Catastrophe | |
| 906 | Wireless to Rescue in Galveston Tornado | |
| 906 | Marconi Exhibit at Galveston | |
| 907 | New Service to Alaska | |
| 907 | The Share Market | |
| 907 | Aid for Storm-Battered Schooner | |
| 908 | In the Service—Adolph H. Rau | |
| 909 | Recent Patents | |
| 910 | Annual Meeting of the English Marconi Company | |
| 915 | Marconi Men | |
| 918 | R. W. Wrenn Dies | |
| 918 | Operator Walked 200 Miles | |
| 920 | What May Be Expected (cartoon) | |
| 921 | Radio Ravings | |
| 922 | Queries Answered | |
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**RENEWALS** When your subscription expires you will find a renewal blank enclosed. You should fill out and return same with remittance at once to avoid missing a number. Positively no copies will be mailed on any subscription after same expires unless renewed, and we cannot agree to begin subscriptions with back numbers.
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---
Issued Monthly by Marconi Publishing Corporation, 450 Fourth Ave., N. Y. City
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Yearly Subscription, $1.50 in U. S.; $2.00 Outside U. S.; Single Copies, 15 Cents
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The Best —
"Best" is a word frequently used, and as frequently abused. But we do not hesitate to say that this magazine is best—in the field of wireless telegraphy, of course.
The dictionary defines "best"—first, as an adjective: Excelling all others; most advantageous, desirable or serviceable. Then, as an adverb: In the most excellent, appropriate, or suitable manner.
Clearly then (to us at least) this magazine is best—unqualifiedly—best in the wireless (or, if you choose, radio) field.
Why?
The proof lies in the back of this issue.
You will find there an index. It tells something of the subjects we have covered in the twelve issues which make up our volume for the year ending with this number.
Give that index your attention for five minutes.
Then turn to your text books, to any other twelve magazines you may have saved.
Can you duplicate the information?
You can not.
No question about it—for the wireless experimenter, The Wireless Age is best. The 932 pages of reading matter covered by the index have cost our subscribers $1.50.
Where can you secure as much information?—for the same money, for twice the money!
Have the twelve numbers of The Wireless Age. Volume II, bound. You will use the volume constantly. Because—
It is most advantageous, desirable and serviceable.
It contains the most information prepared in the most excellent, appropriate, or suitable manner.
Which is the definition of "best."
Are you a subscriber?
THE WIRELESS AGE
450 Fourth Avenue, NEW YORK
A new volume begins with the October issue
ROOME WIRELESS APPARATUS
NAVY TUNER $10
ROOME WIRELESS APPARATUS contains the ideas and experience of several designers who have had years of experience in the field of radio telegraphy.
Complete Set of Bulletins of Roome Wireless Apparatus for four cents in stamps
HARRY V. ROOME
940 West Twentieth St.
LOS ANGELES, CAL.
NOW WE HAVE The New Turney Variable Condenser
This New Condenser Will Add Wonderfully to Your Receiving Range
The New Turney Variable Condenser meets all the requirements of the most exacting wireless men inasmuch as it has more capacity for its size than any condenser ever made. The great advantage lies in the fact that it is provided with round plates of a special alloy 1½ in. in diameter, of which the entire area is available for condensing purposes. This you will find in no other variable condenser.
CRYSTALOI TYPE O
Very Sensitive
Price, $3.50
Mailing Weight One Pound
DIMENSIONS: 3½ x 2½".
Made in two capacities.
Type X—35 Plates. Price, $3.50.
Type XX—50 Plates. Price, $5.00.
ORDER ONE NOW and see what you have been missing.
CRYSTALOI
A PERMANENT WIRELESS DETECTOR THAT HAS MADE A WONDERFUL RECORD
You will find wireless men on land and sea using Crystalol Detectors in preference to any other detector made. They will not burn out or go dead and are ever ready to pick up the minutest currents that are in the air. They are sold under the Turney guarantee and are making their wonderful reputation on real merit. Send today for full description.
Eugene T. Turney Co., Inc.
2595 Third Avenue New York City
Mailing Weight One Pound
CRYSTALOI TYPE AA
Super Sensitive
Dimensions,
4 x 3½".
Price $6.00
THE New Turney Variable Condenser possesses an absolute zero. This you will find in no other variable condenser. The plates are enclosed in a flint glass tube on which the scale is engraved. It is air-and water-proof and can never get out of order. The dielectric is air, therefore the efficiency is the greatest possible. The knobs are molded rubber composition and are highly finished. A handsomer and more valuable wireless instrument you never saw.
ELECTROLYTIC COPPER CASTINGS
Our completely modern equipped foundry—one of the largest in this section—has unexcelled facilities for the prompt production of castings in COPPER, BRONZE, and ALUMINUM—in large quantities. Extreme accuracy to pattern guaranteed.
FISCHER-SWEENEY BRONZE COMPANY
HOBOKEN, N. J.
To have your instruments work with precision, make and repair them with "Red Devil" Tools
the tools of precision.
Write today for free booklet.
Smith & Hemenway Co., Inc.
128 Chambers St., New York City
AMPLIFYING RECEIVERS
Hear Stations You Never Heard Before
USED BY GOVERNMENT RADIO STATIONS.
Constructed on a new principle which makes them NINE times as sensitive as the best of the regular wireless receivers.
Commercial stations claim their range increased 2½ times by the use of these receivers.
MASSIVE OPERATORS are now using them. Send 2c stamp for Bulletin "A."
[ Radio Apparatus Co. of America
Parkway Bldg., Phila., Pa. ]
Multi-Audi-Fone
$55.00 OR $3000.00
That is the question
After a long test three wireless operators united in saying: "You can get better results out of your set than any amount of apparatus you can buy for $3,000.00."
These instruments, in combination, have a receiving range of 3,000 miles. They are beautifully finished in durable nickel plate and made of hard rubber composition. They are both "fool proof" and will last a life time at a cost of only six cents per month for batteries. Compare this with what it will cost you to maintain some other instrument. The upkeep alone for a single year will buy you one of our instruments.
MULTI-AUDI-FONE
The exact measurements of this instrument are 4⅛ x 3 x 2½ inches; weight, 12 ounces. Price, $30.00. WILL WORK EQUALLY WELL WITH ANY DETECTOR.
Free Trial Offer
MULTI-AUDI-FONE:
General Electric will send us, at your expense, one of your complete outfits under these conditions: First—We agree in no way to mar or injure any of the instruments by taking them apart. Second—We agree to repack carefully any of the instruments we do not buy in the same box in which we receive them. The prices of these instruments are understood to be: Multi-Audi-Fone, $50; Multum in Parvo, $20; Head Set, $5; the outfit, $55. Third—We agree to remit within ten days of receipt of the instruments for such of them as we consider a purchase and to repack the rest as above agreed and return the same at your expense within ten days after they are received by us.
Very truly yours,
(Name) ..................................................Address
(Name) ..................................................Address
(Name) ..................................................Address
I hereby guarantee that the above agreement will be faithfully kept and performed.
SIGN—TEAR OFF—MAIL TO-DAY
MULTI-AUDI-FONE — 271 Morris Ave., Elizabeth, N. J.
STEEL TOWERS
GALVANIZED or PAINTED
of any desired height, of first class construction and at extremely low prices.
The self-supporting type does away with guys entirely and those of moderate height do not require expensive concrete footings.
MILLIKEN BROTHERS
INCORPORATED
NEW YORK, 17 BATTERY PLACE
London - San Francisco - Buenos Aires
Hydro-Electric Transmission Engineers
Manufacturers of all Classes of Structural Steel Work.
FOR THE BEGINNER
The Elementary Principles
OF Wireless Telegraphy
By R. D. BANGAY
Explains in the simplest possible manner the theory and practice of wireless telegraphy.
Arranged for use as a reference book for amateur students and Boy Scouts.
155 PAGES PRICE, 30 CENTS PER COPY
Book Department, The Wireless Age
450 Fourth Ave., New York
Wire Rope
We manufacture wire rope to use as guys for the towers of wireless stations. This rope is of high grade material and is protected against rust by the Roebling process of double galvanizing. We manufacture also wire strand, insulated wire and phosphor bronze antenna wire.
Large stocks of Roebling products are kept at warehouses in the cities named below.
JOHN A. ROEBLING'S SONS CO.
TRENTON, N. J.
Chicago Philadelphia Cleveland Pittsburgh Atlanta
John A. Roebling's Sons Co., of New York
New York City
John A. Roebling's Sons Co., of California
San Francisco Los Angeles Seattle Portland, Ore.
Read
What the Man Who Employs the Marconi Operators Has Said of This Book
---
Marconi Wireless Telegraph Company of America (EASTERN DIVISION)
New York June 23, 1915.
The Marconi Publishing Corporation
480 Fourth Avenue
New York City.
Dear Sirs:
I have read your recent publication entitled "How to Pass the Government Wireless Examination." I consider it invaluable to all aspirants who wish to become commercial operators. Operators will also find this little volume extremely useful in assisting them to obtain renewal of their licenses.
The author, who has had many years of experience in the commercial field of wireless telegraphy and who speaks from experience, is perhaps better qualified than any one I know of to compile a book of this kind.
Very truly yours,
[Signature]
Superintendent
---
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THE WIRELESS AGE
450 4th Ave., New York
When writing to Advertisers please mention THE WIRELESS AGE
A COMPARATIVE TEST
This cut, reproduced from a photograph of a test made to demonstrate the superiority of the Interlock Weld (the branch on the left) over the ordinary butt weld (the branch on the right), speaks for itself.
For your next installation write "Interlock Welded Necks" in your specifications and eliminate two-thirds of your joint trouble.
Examine method of fabrication from lower cut and you will see why it is the only joint of this type that is As Strong As the Pipe.
We design and execute complete piping contracts for electrical installations.
PITTSBURGH VALVE, FOUNDRY and CONSTRUCTION CO.
PITTSBURGH, PA.
INTERLOCK WELDED NECK
(Patented)
Established 1905
THE LUZERNE RUBBER CO.
Manufacturers of Fine Quality
HARD RUBBER GOODS
STANDARD AND SPECIAL
MAIN OFFICE AND FACTORY:
TRENTON :: :: :: NEW JERSEY
A. J. Cox & Company
WESTERN REPRESENTATIVES
28 South Jefferson Street
CHICAGO, ILL.
New Edition of LIST OF
Corrected and Completed up to August 1, 1915
RADIO STATIONS OF THE WORLD
Compiled by
FRANK A. HART and H. M. SHORT
Chief Inspector of the Marconi Wireless Telegraph Company of America
Resident Inspector (U. S. A.)
Marconi International Marine Communication Company, Ltd.
Following is reproduced the preface from the book:
"This book has been compiled for the use of operators in wireless telegraphy and for all those who have receiving instruments. It is so arranged as to be equally available to the operator who desires to find the call of any given station, and to the operator who wants to trace instantly the calls that come to him over his receiver.
"The tabulation of naval vessels gives, at a moment's glance, a comparison of the wireless equipment of the Powers. The list of commercial ship stations not only enumerates vessels equipped with wireless, but also gives the character of wireless control, the owner and the nationality. The list of coast stations is so devised that any ship operator can find the nearest station without any delay. This volume has been compiled by practical men for practical use, and every point needed will be found to have been included."
Contents Arranged as Follows:
Key to Lists in Volume.
All Ship Stations Alphabetically by Call Letters.
Naval Ship Stations Alphabetically by Country and Vessel.
Commercial Ship Stations Alphabetically by Vessel, giving owner, nationality and control.
Key to Control of Stations.
Coast Stations Alphabetically by country and Stations, with control.
Compiled for use by all who have wireless receiving sets.
PRICE 50 CENTS PER COPY, Paper Covers—In Cloth, $1.00
Foreign Postage 20c.
Published by
MARCONI PUBLISHING CORPORATION
450 Fourth Avenue
New York, N. Y.
The Perfect Insulating Base
must possess all the properties of Marble and Slate and none of their limitations.
With this in mind we set out to provide a material of high permanent insulating quality. One which would be free from possibility of breakage and defacement—clean to handle and easily worked with ordinary tools—one which would take any finish and be impervious to oil and moisture. And such a material is
J-M TRANSITE
EBONY ASBESTOS WOOD
On insulation test it withstands 40,000 volts potential under conditions which applied to marble would have caused its failure at 10,000 to 12,000 volts. For panels, instrument bases, switch-tops, barriers, etc.
J-M Transite Ebony Asbestos Wood is the ideal insulating material. Write for Special Bulletin at any branch.
H. W. Johns - Manville Co.
Atlanta Baltimore Boston Buffalo Chicago Cincinnati Cleveland Columbus Denver Detroit Galveston Indianapolis Kansas City Louisville Memphis Milwaukee Minneapolis Newark New Orleans New York Omaha Philadelphia Pittsburgh Portland St. Louis Salt Lake City San Francisco Seattle Toledo
Station "I" Pacific Gas & Electric Co.
San Francisco, Cal.
PATENTS
WILLIAM N. MOORE
PATENT ATTORNEY
Loan and Trust Bldg., Washington, D. C.
The first important step is to learn whether you can obtain a patent. Please send sketch of your invention with $5, and I will examine the patent records and inform you whether you are entitled to a patent, the cost and manner of procedure.
TRADE MARKS, LABELS and COPYRIGHTS OBTAINED
Personal Attention Established 25 Years
Protect poles, masts and other wireless property with the longest service paint.
DIXON'S
SILICA GRAPHITE PAINT
is specified by engineers and owners where economy and durability are desired. Booklet No. 30-B upon request.
Made in JERSEY CITY, N. J., by the JOSEPH DIXON CRUCIBLE COMPANY
Established 1827 B-74
BIGLOW QUALITY STANDS FOR
Tasteful Printing
L. H. BIGLOW & COMPANY 62 BROAD STREET NEW YORK
Dickinson Manufacturing Co.
Makers of
HIGH GRADE MOULDED ELECTRICAL INSULATIONS. Composition Specialties.
SPRINGFIELD, MASS.
HABIRSHAW WIRE CO.
Manufacturers of HABIRSHAW WIRES and CABLES
Lighting—Power Transmission—Railway—Telephone—Telegraph—Signal Cables
Offices and Works: YONKERS, N. Y.
BAKELITE-DILECTO
The Standard Insulating Material for all RADIO WORK
Waterproof—Strong—High Electrically—Furnished in Sheets, Rods, Tubes, and Special Shapes. Samples on request.
Also makers of High-Grade Vulcanized Fibre.
THE CONTINENTAL FIBRE CO., NEWARK, DEL.
Woolworth Bldg.
New York, N. Y.
McCormick Bldg.,
Chicago, Ill.
IF YOU ARE INTERESTED IN WIRELESS TELEGRAPHY
The Wireless World
will give you the latest information relating to the subject
THE WIRELESS WORLD records monthly the world-wide progress of telegraphy and telephony, and every phase of the subject is dealt with in its columns, so that no one, whether he be student, amateur, engineer or commercial man, can afford to do without it.
A feature of THE WIRELESS WORLD is the publication of new and revised laws and regulations.
SUBSCRIPTIONS:
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THE WIRELESS PRESS, Limited
Marconi House, Strand, London, W.C.
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32 Park Place (Broadway Block)
NEW YORK
Manufacturers of
HIGH GRADE TELEGRAPH APPARATUS FOR RADIO AND REGULAR SYSTEMS
Send for Catalog 34-M
ELECTRIC GENERATING OUTFITS FOR WIRELESS SERVICE
Information and Prices on Request.
THE ROBBINS & MYERS CO.
SPRINGFIELD, O.
Branches and Agencies in Principal Cities.
SOFT NORWAY IRON WIRE FOR MAGNET CORES. IN COIL OR CUT TO LENGTH.
Geo. W. Prentiss & Co.
HOLYOKE, MASS.
MANUFACTURERS OF HIGH GRADE IRON AND STEEL WIRES
Established 1857
For all Damp and Moist Places use Sea Lion
THE WATERPROOF BELT THAT LASTS
If dampness or moisture affect the places where any of your belts run, stop all trouble right now by putting in SEA LION WATERPROOF. Write for further particulars.
CHICAGO BELTING CO., Chicago, Illinois
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The "Exide" Battery
has been adopted for
Wireless and Emergency Lighting Service
by the following steamship companies
Atlantic Fruit Co.
American Hawaiian S. S. Co.
Border Line Transportation Co.
Barber & Co.
Eastern Steamship Corporation
Goodrich Transit Co.
Great Northern Pacific S. S. Co.
Great Northern S. S. Co.
Gulf & Southern S. S. Co.
W. R. Grace & Co.
Lampert & Holt Line
New England Steamship Co.
New York Trans-Atlantic S. S. Co.
New York & Cuba Mail S. S. Co.
New York & Porto Rico S. S. Co.
Old Dominion S. S. Co.
Ocean Steamship Co. of Savannah
Panama R. R. Co.
Peninsular & Occidental S. S. Co.
Quebec Steamship Co.
Red "D" Line
Southern Pacific Co.
Wolvin Line
THE ELECTRIC STORAGE BATTERY CO.
Manufacturer of
The "Chloride-Accumulator" the 'Tudor Accumulator'
The "Exide" "Mycap=Exide" "Thin=Exide" and "Ironclad=Exide" Batteries
PHILADELPHIA, PA.
1888-1915
New York St. Louis Detroit
Boston Cleveland Los Angeles
Chicago Atlanta Rochester Washington San Francisco
Pittsburgh Denver Seattle
Toronto
The Marconi Trans-Atlantic Wireless Telegraph Stations of America, Canada, England, and Italy are equipped with
American Transformers
made by specialists in the design and construction of transformers for extremely high potentials for testing, ozone generation, wireless work, etc.
American Transformer Company
NEWARK, N. J.
The Ideal Book for Wireless Telegraphists
The Handbook of Technical Instructions FOR Wireless Telegraphists
By J. C. HAWKHEAD
295 pages, profusely illustrated. Cloth bound.
Price $1.50 Postpaid
"The Handbook of Technical Instruction for Wireless Telegraphists is far superior to any other text book we have seen. It covers the subject from alpha to omega; in fact, with its aid, anyone starting with no knowledge whatever of electrical science could become an expert in Wireless."
Syren and Shipping.
"The book is a complete manual, entirely up to date and eminently practical and useful."
Journal of Commerce.
THIRD LARGE ISSUE WITHIN SIX MONTHS
MARCONI PUBLISHING CORPORATION
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Learn Wireless
Railroad or Commercial Telegraphy: individual instruction, five days and five evenings per week; evening instruction, $5.00 per month.
THE PAINE UPTOWN BUSINESS SCHOOL
1931 Broadway, 65th Street - New York City
"CONSTRUCTION OF THE AUDION AMPLIFIER," with working drawings, particularly describing the transformer. Price 50 cents.
THE MISCELLANY 17 Board of Trade, Kansas City, Mo.
BACK NUMBERS OF THE MARCONIGRAPH AND THE WIRELESS AGE
We can supply back numbers of THE MARCONIGRAPH (changed to WIRELESS AGE, Oct., 1913) from Nov., 1912, to Sept., 1913, at 25c each, or set of 11 numbers for $1.75 (only 18 sets left).
We can supply back numbers of THE WIRELESS AGE at 15c each, beginning Oct., 1913, with the exception of Jan., June and Oct., 1914, and Jan., 1915, which are 25c each when in stock. Remittance may be made for the 25c numbers and if orders are not filled within 60 days, money will be refunded.
NO BOUND VOLUMES. We do not have bound volumes of either THE MARCONIGRAPH or THE WIRELESS AGE. If you want your copies bound, send copies to us by parcels post with 75c for binding and additional amount sufficient to prepay return postage.
THE WIRELESS AGE 450 Fourth Avenue, New York City
ELECTRICITY
CONDENSED COURSE IN ELECTRICAL ENGINEERING
Complete in One Year
Bliss Electrical School
Studies restricted to theoretical and practical electricity, mechanical drawing and necessary engineering knowledge. Actual construction of apparatus, installation and testing right in the school. Teaches concentration and hard work. 23rd year opens Sept. 22nd. Write for new catalog E. Special 6 months Evening Course in
"Wire and Wireless Operating"
opens November 15th, 1915. An Exceptional Opportunity to qualify as a First Class Commercial Operator
Write for catalog 135
160 Takoma Avenue, WASHINGTON, D. C.
RECEIVE THE TIME FROM ARLINGTON AND ALL NEWSPAPER AND SHIP REPORTS. Our Special Time Signal Receiving Outfit $10.85
Complete in every detail. Tunes up to 3200 meters. Complete Receiving Stations from $1.85 up.
PARTS FOR THIS STATION $7.25
Send 6c in s'amps for our 152-page Wireless and Electrical Catalog "X-60"
NICHOLS ELECTRIC CO., 1-3 West Broadway N. Y. C.
Reliable goods only at a saving of 30% to 50%
UNIFORMS
We make-to-measure a most complete line of EVERYTHING in uniform clothing for the yachtsman,—also for captains, deck officers, engineers, stewards and sailors.
Single and Double Breasted Uniforms, Suits, blouses, bridge coats, reefers, caps, and white duck coats and trousers.
The prices are attractively low. Catalogue on request. Within a near radius, our representative will call on request.
Smith Gray Uniform Department Inc.
Model 32. 3 pc. Suit like illustration—$15.00 up—Cloth or Serge
264 BROADWAY, NEW YORK CITY
at Warren St., opp. City Hall Park
ALADDIN Houses Help Make Happy Homes
Built of the Finest Michigan Timber and Shipped Direct from Forest to You
Aladdin houses have character, distinction and beauty. Colonial types, English types, California bungalows, Swiss designs—in fact, the finest ideas in modern homes are represented in the Aladdin catalog.
DWELLINGS, BUNGALOWS, COTTAGES, GARAGES, $137 to $2000
Complete 5-room Aladdin House, $298. Aladdin houses cut costs by one-third, have better designs and best material. Price includes clear siding, clear flooring, sheathing, framing lumber, all cut to fit; all outside and inside finish; all doors, frames, casings, stairs, entry, glass, hardware, locks, nails, paints, glass, shingles, plaster, or plasterboard; complete instructions and illustrations for building.
Send today for Catalog 240
North American Construction Co.,
243 Aladdin Ave., Bay City, Mich.
The Green Fuel Economizer Co.
90 WEST STREET - NEW YORK
Builders of
Green's Patent Fuel Economizers,
Mechanical Draft Apparatus and Commercial Fans for all purposes.
"I'd pay $1 for every foot found in our Bay City siding"
—O. E. Swerling.
Marconi School of Instruction
The unusually high grade of young men required for the Marconi marine service has made this company's standard of efficiency favorably known all over the world.
There are at present a few vacancies in the school for young men who have the necessary qualifications and references.
Including all the latest types of apparatus developed by the Marconi Company, this school stands first with more complete wireless telegraph equipment than any institution in the United States. Special attention is given to training young men for future advancement. Students of unusual ability are often assigned to positions higher than those of the regular marine service. Positions assured to those who satisfactorily complete the course. Call or write.
INSTRUCTING ENGINEER
EDISON BUILDING, 57 DUANE STREET,
NEW YORK CITY
When writing to Advertisers please mention The Wireless Age
STANDARD
Special Bronze Wire
is especially suited for use as antennae wire because it is unequalled for lightness and strength. Millions of feet of it have been sold to a large wireless telegraph company and it is giving satisfactory service.
We can also supply power cables of all kinds for any commercial voltage, magnet wire and bare and insulated wires, also cable terminals, junction boxes, etc.
Write our nearest office for prices.
Standard Underground Cable Co.
Pittsburgh, Pa.
New York Philadelphia Chicago
Boston San Francisco St. Louis
For Canada: Standard Underground Cable Co. of Canada, Limited, Hamilton, Ont.
A Compact Unit for Wireless Stations
This 4 H.P. Special Electric Oil Engine and Direct-current Generator is especially desirable where space is limited. Has exceptionally steady speeds at all loads and all temperatures, on low priced fuels—needs no readjustment for lightest load or coldest weather.
Ask for details.
Fairbanks, Morse & Co.
New York Chicago San Francisco
804-21D
UNDERWOOD
RECEIVES THE Grand Prize
HIGHEST POSSIBLE AWARD
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"The Machine You Will Eventually Buy"
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|
Protoplast Fusion of *Streptomyces tubercidicus*
Yoo, Jin Cheol, Soon Woo Hong and Yung Chil Hah
Department of Microbiology, Seoul National University
*Streptomyces tubercidicus*의 원형질체 융합
유진철·홍순우·하영칠
서울대학교 자연과학대학 미생물학과
**Abstract:** A procedure for the preparation, regeneration and fusion of protoplasts of *Streptomyces tubercidicus* was confirmed. Also, protoplast releasing processes from mycelia were observed by scanning electron microscope. Three types of protoplasts releasing processes—from the hyphal tip, hyphal end regions and lateral regions of the hyphae—were observed. More than 17% regeneration efficiency was obtained by regeneration medium that is composed of tryptone-yeast extract—sodium acetate—MgCl$_2$—CaCl$_2$—sucrose. Optimal concentrations of Ca$^{++}$, Mg$^{++}$ and sucrose in the regeneration medium were 50 mM, 5 mM, 0.4–0.5 M respectively. Above 30% of fusion frequency of the protoplasts derived from two auxotrophic strains of *S. tubercidicus* was induced by polyethylene glycol 4000 (60% w/v).
**Key words:** *Streptomyces tubercidicus*, protoplast preparation, regeneration, fusion, protoplast releasing process.
The prokaryotic genus *Streptomyces* is curious if not phenomenal in its ability to synthesize antibiotics of diverse chemical structure and mode of action (Hopwood and Merrick, 1977, Hopwood, D.A., 1967). Of the 3000 or so antibiotics discovered through about 1974, about 70% are produced by *Streptomyces* (Hopwood and Merrick, 1977). The most significant advances in *Streptomyces* genetics involve protoplast fusion, facilitating the high frequency of *in vivo* genetic recombination and the transformation or transfection of protoplasts by plasmid or actinophage DNA, resulting in the development of *in vitro* recombinant DNA technology (Hopwood and Chater, 1980). Therefore, procedures for protoplast preparation and regeneration of different species and even of different strains are indispensable.
The basic conditions for handling *Streptomyces* protoplast were largely developed by Okanish *et al.* (1974) and adapted with minor modifications by many investigators (Hopwood, 1981, Sagara *et al.*, 1971, Shirihama *et al.*, 1981).
In this paper, we describe procedure for the preparation, regeneration and fusion of protoplasts of tubercidin producing *Streptomyces tubercidicus* and report morphological details of the protoplast releasing process itself.
**MATERIALS AND METHODS**
**Bacterial strains**
The strains used in this study were *Streptomyces tubercidicus* ATCC 25502, *S. tuberS. tubercidicus 412(his) and S. tubercidicus 115(ade). S. tubercidicus 412 and 115 were auxotrophic mutants obtained by u.v. mutagenesis from S. tubercidicus ATCC 25502 in our laboratory.
**Growth of mycelia and protoplast preparation**
The strains were cultivated in medium containing tryptic soy broth (30g/l), sucrose (0.5M), glycine 2% (w/v). The mycelia were harvested by centrifugation and were washed with a solution of 0.5M sucrose. For the preparation of S. tubercidicus protoplasts, the following procedure was used. Washed mycelia were incubated in P buffer (Okanish et al., 1974) containing 0.5M sucrose with the addition of 2mg of lysozyme(Sigma) per ml at 29°C for 90 min. And then, protoplasts were filtered by cotton wool and washed by P buffer three times. The number of protoplasts was determined with a hemacytometer.
**Reversion of protoplasts**
Purified protoplasts were diluted in P buffer and plated on regeneration media for viable counts to determine protoplasts reversion. The plates were incubated at 29°C for more than 3 weeks. Growing colonies were counted, and the reversion rate expressed as a percentage of the total number of inoculated protoplasts. Regeneration of protoplasts was monitored on following regeneration medium containing tryptone (5g/l), yeast extract, (0.5g/l), sodium acetate (0.2g/l), sucrose (0.5M), MgCl₂·6H₂O (5mM), CaCl₂ (50 mM). Colony formation from nonprotoplasted unit was determined by diluting protoplasts in water and plating on nonhypertonic regeneration medium.
**Fusion of protoplasts**
After suspending in P buffer, protoplast (about 1×10⁹ of each auxotrophic strain 412 and 115) were mixed and sedimented by centrifugation to 1500×g for 15 min. The pelleted protoplasts were resuspended gently with P buffer and prewarmed (29°C) solution of 60% (w/v) PEG 4000 in P buffer was added. After incubation at 29°C for 5 min serial dilution (0.1ml amount) of fused protoplasts in P buffer were plated on regeneration media and incubated at 29°C until no new colonies were formed. Each colony on regeneration media was transferred to complete medium (Bennet's agar) and minimal medium (Hopwood et al., 1985) with toothpick. Fusion frequency was given as the ratio of prototrophic colonies growing on MM to the total number of viable colonies on CM expressed as a percentage.
**Electron microscopy**
Normal mycelia and lysozyme treated mycelia were harvested by centrifugation and observed with scanning electron microscope (Hitachi S-450) as described by Hah et al. (1986).
**RESULTS AND DISCUSSION**
**Optimal conditions for protoplast formation and regeneration**
The effect of the growth phase on protoplast formation of S. tubercidicus ATCC 25502 is presented in Fig 1.
**Fig.1.** Effect of growth phase on protoplast formation of S. tubercidicus ATCC 25502.
- ○—○: total protoplast
- ●—●: total protoplast
- △—△: wet weight mycelium(g)
- △—△: growth curve
Within 36h, few protoplasts were formed even with prolonged lysozyme treatment. After that time protoplasts could be readily obtained with large number. At transition stage between exponential and stationary growth, maximal total protoplasts and the best protoplast yield (No. of total protoplasts per mycelium wet weight(g)) were obtained. The effect of the growth phase on protoplast regeneration is presented in Fig 2. Same as the protoplast formation, protoplast regeneration was the best at critical transition stage between exponential and stationary growth. These results are similar with *S. fradiae* and *S. griseofus* (Baltz, 1978) and *S. rimosus* (Pigac et al., 1982). Fig 1 and Fig 2 showed that 60 h culture was optimal for the protoplast preparation and regeneration of *S. tubercidicus* ATCC 25502. Regeneration frequency was about 17% at this growth stage. Protoplasts formation and regeneration are affected by osmotic stabilizers in *Streptomyces* (Okanishi et al., 1974). To examine the effect of osmotic stabilizer on regeneration, protoplasts from *S. tubercidicus* was tested in a regeneration medium containing different concentrations of Ca$^{++}$, Mg$^{++}$ and sucrose. It showed that 50 mM Ca$^{++}$ and 5 mM Mg$^{++}$ was optimal for regeneration efficiency on regeneration medium containing 0.5 M sucrose (Table 1), but regeneration efficiency are decreased as Mg$^{++}$ concentration increase. Above result showed that high Ca$^{++}$ concentration and low Mg$^{++}$ concentration are essential for good regeneration of *S. tubercidicus* ATCC 25502. There is no regeneration on of protoplasts media containing 50 mM Ca$^{++}$, 5
---
**Table 1. Effect of Mg$^{++}$ and Cann concentration on regeneration of *S. tubercidicus* protoplasts.**
| CaCl$_2$ (mM) | MgCl$_2$ (mM) | protoplasts /ml | *CFU/ml | regeneration frequency (%) |
|---------------|---------------|----------------|---------|---------------------------|
| 60 | 2 | $2.0 \times 10^7$ | $1.04 \times 10^6$ | 5.2 |
| 50 | 5 | $2.0 \times 10^7$ | $2.80 \times 10^6$ | 14.0 |
| 30 | 30 | $2.0 \times 10^7$ | $1.06 \times 10^6$ | 5.3 |
| 5 | 50 | $2.0 \times 10^7$ | $2.20 \times 10^5$ | 1.1 |
| 2 | 60 | $2.0 \times 10^7$ | 0 | 0 |
| 2 | 2 | $2.0 \times 10^7$ | $6.00 \times 10^4$ | 0.3 |
*CFU: Colony forming unit*
---
**Fig. 2. Effect of growth phase on protoplast regeneration of *S. tubercidicus* ATCC 25502.**
- ○—○: regeneration frequency
- ●—●: growth curve
**Fig. 3. Effect of sucrose concentration on protoplast regeneration of *S. tubercidicus* ATCC 25502.**
mM Mg$^{++}$ and below 0.3 M sucrose (Fig 3). Regeneration efficiency was optimal at 0.4 M -0.5 M sucrose and decreased at higher concentration (Fig 3). Table 1 and Fig 3 showed that regeneration of *S. tubercidicus* protoplast was very sensitive to the concentration of osmotic stabilizer. Protoplasts of *S. tubercidicus* was regenerated very slowly and more than 3 weeks was required for complete regeneration (Fig 4). However, in case of many other *Streptomyces* species 3-10 days are required for regeneration (Hopwood and Wright, 1978, Pigac et al., 1982, Ochi et al., 1979). It was observed that colonies from nonprotoplasted units appeared before those originating from regenerated protoplasts (data not shown). After complete protoplast regeneration, the fraction of nonprotoplasted units represented 0.01-0.05% of the entire population. However, the autoinhibition of protoplast regeneration by non-protoplasted unit (Baltz, 1978, Hopwood et al., 1977) was not observed.
**Morphological studies of protoplast releasing process**
Normal mycelia of *S. tubercidicus* grew with many branches (Plate 1-a). It was observed that the protoplasts were formed at the hyphal tip by treatment with lysozyme solution (Plate 1-b). The size of protoplasts produced from hyphal tip was 0.5 μm (mean value) and progressively increased. It was also observed that protoplasts were formed sequentially from
**Fig. 4.** Effect of incubation time on regeneration of *S. tubercidicus* ATCC 25502 at 29°C.
**Plate 1.** Scanning electron microscopic observation on normal mycelium and protoplast releasing process of *S. tubercidicus* ATCC 25502.
a: normal mycelium, b: protoplast released from hyphal tip, c: protoplast released from hyphal end regions, d: protoplast released from lateral regions of the hyphae.
**Fig. 5.** Effect of PEG 4000 concentration (w/v) on fusion frequency of *S. tubercidicus* 412 (his) and 115(ade).
hyphal end regions and lateral regions of the mycelium which was puffed entirely (Plate 1-c,d). In protoplast formation of *S. tubercidicus*, it was not found that protoplasts were produced by the fragmentation of mycelium in *Micromonospora rosaria* or other *Streptomyces* spp. (Kim, 1983).
**Protoplast fusion**
Fig 5 reveals the effects of the concentration of PEG 4000 on the frequency of prototrophic colony formation from fusion of protoplasts of *S. tubercidicus* 412 and 115. It showed that with increasing PEG 4000 concentration the fusion frequency increased, but above 60% (w/v) the fusion frequency declined a little. At 60% (w/v), high frequency of recombination (up to 33%) were obtained by the fusogenic procedure.
**적 요**
*Streptomyces tuberaidicus*의 원형질체 생성, 생성된 원형질체의 정상 균사체로의 환원 그리고 원형질체 융합에 대하여 조사하였다. 또한 균사체로부터 원형질체가 생성되는 과정을 주사전자현미경을 사용하여 관찰하였다. 원형질체는 균사의 끝부위에서 뿐만 아니라 균사 밑단의 부풀어오른 부위 그리고 균사의 중간 부위에서도 생성이되는 세 종류의 원형질체 생성양상을 보였다. 원형질체의 정상균사체로의 환원물은 tryptone-yeast extract-sodium acetate-MgCl$_2$-CaCl$_2$-sucrose로 조성된 배지에서 대략 17% 이었으며, 이때 Ca$^{++}$, Mg$^{++}$, sucrose의 농도가 각각 50 mM, 5 mM, 0.4~0.5 M일 때 최적의 환원물을 보였다. *S. tuberaidicus*의 histidine과 adenine을 요구하는 두 균주의 원형질체간의 융합에서 30% 이상의 융합빈도를 얻을 수 있었다.
**REFERENCES**
1. Baltz, R.H., 1978, Genetic recombination in *Streptomyces fradiae* by protoplast fusion and cell regeneration. *J. Gen. Microbiol.* 107: 93-102.
2. Hah, Y.C., S.W. Hong, J.C. Yoo and H.M. Lim, 1986, Ultrastructural studies for protoplasts and protoplast fusion in *Streptomyces lavendulae*. *Kor. Jour. Microbiol.* 24: 197-203.
3. Hopwood, D.A., 1967, Genetic analysis and genome structure in *Streptomyces coelicolor*. *Bacteriol. Rev.* 31: 373-403.
4. Hopwood, D.A. and M.J. Merrick, 1977, Genetics of antibiotic production. *Bacteriol. Rev.* 41: 595-635.
5. Hopwood, D.A., M.J. Bibb, H.M. Wright, 1977, Genetic recombination through protoplast fusion in *Streptomyces*. *Nature.* 268: 171-174.
6. Hopwood, D.A. and H.M. Wright, 1978, Bacterial protoplast fusion: Recombination in fused protoplast of *Streptomyces coelicolor*. *Molec. Gen. Genet.* 102: 307-317.
7. Hopwood, D.A. and K.F. Chater, 1980, New approaches to antibiotic production. *Philos. Trans. R. Soc. London. Ser. B.* 290: 313-328.
8. Hopwood, D.A., 1981, Genetic studies with bacterial protoplasts. *Annu. Rev. Microbiol.* 35: 237-272.
9. Hopwood, D.A., M.J. Bibb, K.F. Chater, T. Kieser, C.J. Bruton, H.M. Kieser, D.J. Lydiate, C.P. Smith, J.M. Ward, H. Schremp, 1985, Genetic manipulation of *Streptomyces*. A laboratory manual. Norwich: The John Innes Foundation. pp.233.
10. Kim, K.S., 1983, Application of protoplast fusion technique to the genetic studies of antibiotic producing *Micromonospora* spp. Ph.D. thesis, KAIST.
11. Ochi, K., M.J.M. Hitchcock and E. Katz, 1979, High-frequency fusion of *Streptomyces parvulus* or *Streptomyces antibioticus* protoplasts induced by polyethylene glycol. *J. Bacteriol.* 139: 984-992.
12. Okanishi, M., K. Suzuki and H. Umez
awa, 1974, Formation and reversion of *Streptomyces protoplast*: Cultural condition and morphological study. *J. Gen. Microbiol.* **80**: 389-400.
13. Pigac, J., D. Hranueli, T. Smokvina, M. Alacevic, 1982, Optimal cultural and physiological conditions for handling *Streptomyces rimosus* protoplasts. *Appl. Environ. Microbiol.* **44**: 1178-1186.
14. Sagara, Y., K. Fukuji, F. Ota, N. Yoshida, T. Kashiyama, 1971, Rapid formation of protoplasts of *Streptomyces griseoflavus* and their fine structure. *Japan J. Microbiol.* **15**: 73-84.
15. Shirihama, T., T. Furumai and M. Okanishi, 1981, A modified regeneration method for *Streptomyces* protoplast *Agric. Biol. Chem.* **45**: 1271-1272.
(Received Nov. 7, 1986)
|
A High-Performance Software Graphics Pipeline Architecture for the GPU
MICHAEL KENZEL, BERNHARD KERBL, and DIETER SCHMALSTIEG, Graz University of Technology, Austria
MARKUS STEINBERGER, Graz University of Technology, Austria and Max Planck Institute for Informatics, Germany
Fig. 1. Various scenes rendered by our software graphics pipeline in real-time on a GPU. (a) A smooth triangulation of the water surface in an animated ocean scene is achieved via a custom pipeline extension that allows the mesh topology to dynamically adapt to the underlying heightfield. (b) Scene geometry captured from video games like this still frame from *Total War: Shogun 2* is used to evaluate the performance of our approach on real-world triangle distributions. (c) Many techniques such as mipmapping rely on the ability to compute screen-space derivatives during fragment shading. Our pipeline architecture can support derivative estimation based on pixel quad shading, used here to render a textured model of a heart with trilinear filtering; lower mipmap levels are filled with a checkerboard pattern to visualize the effect. *Total War: Shogun 2* screenshot courtesy of *The Creative Assembly*; used with permission.
In this paper, we present a real-time graphics pipeline implemented entirely in software on a modern GPU. As opposed to previous work, our approach features a fully-concurrent, multi-stage, streaming design with dynamic load balancing, capable of operating efficiently within bounded memory. We address issues such as primitive order, vertex reuse, and screen-space derivatives of dependent variables, which are essential to real-world applications, but have largely been ignored by comparable work in the past. The power of a software approach lies in the ability to tailor the graphics pipeline to any given application. In exploration of this potential, we design and implement four novel pipeline modifications. Evaluation of the performance of our approach on more than 100 real-world scenes collected from video games shows rendering speeds within one order of magnitude of the hardware graphics pipeline as well as significant improvements over previous work, not only in terms of capabilities and performance, but also robustness.
CCS Concepts: • Computing methodologies → Rasterization; Graphics processors; Massively parallel algorithms;
Additional Key Words and Phrases: Software Rendering, GPU, Graphics Pipeline, Rasterization, CUDA
ACM Reference Format:
Michael Kenzel, Bernhard Kerbl, Dieter Schmalstieg, and Markus Steinberger. 2018. A High-Performance Software Graphics Pipeline Architecture for the GPU. *ACM Trans. Graph.* 37, 4, Article 140 (August 2018), 15 pages. https://doi.org/10.1145/3197517.3201374
1 INTRODUCTION
For a long time now, the hardware graphics pipeline has been the backbone of real-time rendering. However, while a hardware implementation can achieve high performance and power efficiency, flexibility is sacrificed. Driven by the need to support an ever growing spectrum of ever more sophisticated applications, the *graphics processing unit* (GPU) evolved as a tight compromise between flexibility and performance. The graphics pipeline on a modern GPU is implemented by special-purpose hardware on top of a large, freely-programmable, massively-parallel processor. More and more programmable stages have been added over the years. However, the overall structure of the pipeline and the underlying rendering algorithm have essentially remained unchanged for decades.
While evolution of the graphics pipeline proceeds slowly, GPU compute power continues to increase exponentially. In addition to the graphics pipeline, modern *application programming interfaces* (API) such as Vulkan [Khronos 2016b], OpenGL [Khronos 2016a], or Direct3D [Blythe 2006], as well as specialized interfaces like CUDA [NVIDIA 2016] and OpenCL [Stone et al. 2010] also allow the GPU to be operated in *compute mode*, which exposes the programmable cores of the GPU as a massively-parallel general-purpose co-processor. Although the hardware graphics pipeline remains at the core of real-time rendering, cutting-edge graphics applications increasingly rely on compute mode to implement major parts of sophisticated graphics algorithms that would not easily map to the traditional graphics pipeline such as, e.g., tiled deferred rendering [Andersson 2009], geometry processing (cloth simulation) [Vaisse 2014], or texel shading [Hillesland and Yang 2016].
Observing this trend of rapidly growing compute performance and more and more complex rendering work being pushed to compute mode, we ask the question: What level of performance could be achieved by a software graphics pipeline on a current GPU?
As an alternative to a hardware pipeline, software pipelines can provide similar or identical feature sets, while inherently supporting full programmability. For systems lacking a dedicated GPU, CPU implementations, such as the widespread Mesa3D library [1993] or the highly-optimized (now discontinued) Pixomatic SDK [RAD 2002] have served as a fallback as well as a secondary rendering engine, for example, for visibility culling [Andersson 2009].
We are not the first to raise the question of a software graphics pipeline for the GPU. Previous work such as CUDARaster [Laine and Karras 2011] has demonstrated that software approaches can achieve high-performance. However, to the best of our knowledge, our CUDA Rendering Engine (cuRE) is the first end-to-end Direct3D9-class software graphics pipeline architecture able to deliver real-time rendering performance for real-world scenes on a current GPU. Unlike previous approaches, it encompasses both geometry processing and rasterization in a streaming fashion and operates within bounded memory while preserving primitive order until the blending stage.
The main contribution of this work is a design and a set of algorithms for achieving a high-utilization software implementation of a streaming graphics pipeline on the GPU. Extensive benchmarks demonstrate real-time performance at a low overhead factor (usually within one order of magnitude) compared to a reference implementation running on OpenGL. For demanding scenarios, where the workload is dominated by shading, cuRE can reach about 40% of the OpenGL performance. Moreover, relative performance is generally highly-consistent with OpenGL across a variety of scenes and across all individual stages of the pipeline. Finally, we present four experimental pipeline extensions that demonstrate the versatility of a software approach.
2 RELATED WORK
For an introduction to GPU architecture and programming model, we refer the reader to the available literature such as, e.g., Fatahalian and Houston [2008], or Nickolls et al. [2008]. In this paper, we will follow CUDA [NVIDIA 2016] terminology: The GPU consists of multiprocessors that combine single instruction, multiple data (SIMD) cores with fast shared memory. A kernel function is launched to a large number of parallel threads, grouped into warps (assigned to one SIMD core) and further into blocks (assigned to one multiprocessor).
On the CPU, where multi-threaded applications are explicitly controlled by the application programmer, each thread runs a unique function. In contrast, on the GPU, a single kernel function is shared by all threads. A typical way of implementing a software pipeline on the GPU is launching one kernel per stage. Unfortunately, such an approach requires all data to be passed from one stage to the next through slow global memory. Exploiting producer-consumer locality to redistribute some data through fast on-chip buffers becomes difficult to impossible. Additionally, as illustrated in Fig. 2a, if the pipeline is expanding, intermediate data can consume excessive amounts of memory as it must be buffered in its entirety. If a stage cannot fully occupy the GPU, processors are left to idle.
These restrictions can be avoided by using a persistent threads architecture [Aila and Laine 2009], which fully occupies the GPU with threads that keep drawing items from a global work queue until the queue is empty. New work items can be dynamically inserted into the queue [Tzeng et al. 2010]. Combining persistent threads with a megakernel—an approach popularized for raytracing [Parker et al. 2010]—allows load balancing of different stages by dispatching work items to individual multiprocessors. All threads share a single, monolithic kernel function which contains branches with the code for each stage. One limitation of such a persistent megakernel design is that all multiprocessors must share the same resource configuration, which is determined by the most expensive stage [Laine et al. 2013]. Additionally, the global work queue can become a bottleneck. However, the advantage of being able to locally pass data between stages through shared memory can outweigh the cost of suboptimal occupancy, and the bottleneck of the global work queue can be alleviated by using a separate work queue for each stage [Steinberger et al. 2014]. Furthermore, by prioritizing later stages over earlier ones, buffer fill levels can be kept below a threshold (Fig. 2b).
2.1 Parallel rendering
Parallelization is key to achieving the level of performance that real-time rendering demands. However, while the operation of each stage of the graphics pipeline is inherently parallel, the nature of parallelism changes drastically throughout the pipeline. A stream of input primitives entering the pipeline can be processed in parallel on a per-primitive level. However, the number of pixels that will be covered by each primitive varies and cannot easily be predicted.
At the most fundamental level, work in the graphics pipeline can be parallelized either by distributing work associated with individual primitives, or by distributing work associated with individual
Fig. 3. Graphics pipeline for rendering indexed triangle lists. The pipeline consists of a geometry processing section where input triangles are projected to the image plane and a rasterization section where the pixels covered by each projected triangle are subsequently filled in. The input assembly stage starts by forming vertices from input vertex attributes. Each vertex is transformed by the vertex shader into a projected position and a set of output attributes to be interpolated across triangles. Primitive assembly then constructs triangles from transformed vertices. Triangles facing away or outside the viewport are culled before the triangle setup stage prepares the remaining triangles for rasterization. The rasterizer determines which pixels are covered by each triangle. For each covered pixel, a fragment consisting of depth and other interpolated attributes is fed into fragment shading to compute the fragment color. Finally, the raster operations stage combines the shaded fragments for each pixel by performing the depth test and blending fragment colors into the framebuffer.
screen regions among available processors. When distributing work per primitive, we speak of object-space parallelism; distributing work per screen region is typically referred to as screen-space parallelism. Molnar et al. [1994] classified parallel rendering approaches based on the “sorting” point in the pipeline, where the system redistributes work from object-space to screen-space: sort-first, sort-last, or sort-middle. Eldridge et al. [2000] expanded the sorting taxonomy by introducing the sort-everywhere approach. Our approach can be classified as sort-everywhere, but aligns the sorting steps with the computational hierarchy on the GPU: We use sort-middle between multiprocessors, and sort-everywhere between cores inside a multiprocessor. We discuss the reasoning behind this approach in the following section.
2.2 Software graphics pipelines
Software pipelines on the CPU were commonly used in industry prior to the introduction of the consumer GPU [Mesa 3D 1993; RAD 2002]. Later, the Intel Larrabee project [Seiler et al. 2008] demonstrated a software rendering pipeline on a multicore system with wide vector units. Unfortunately, Larrabee was ultimately not deemed competitive enough to yield a commercially viable product and repurposed as a high-performance computing appliance. However, Larabee sparked a lot of enthusiasm in the graphics research community and was an important inspiration for this paper.
A hardware-agnostic simulation environment for arbitrary graphics pipelines (GRAMPS) has been introduced by Sugerman et al. [2009]. However, only a CPU target for the GRAMPS architecture [Sanchez et al. 2011] has been published to date.
One of the first works demonstrating an implementation of a standard graphics pipeline in software on a GPU was FreePipe [Liu et al. 2010]. While FreePipe is a complete end-to-end software pipeline, its architecture follows a sort-last approach and suffers from poor GPU utilization in typical scenes due to a lack of load-balancing. For standard depth-buffering, they only present an approximate approach based on an interleaved depth and color buffer managed with atomic operations.
Probably the fastest software rendering pipeline implementation to date is CUDARaster [Laine and Karras 2011], a highly-optimized sort-everywhere design using separate kernel launches to implement each pipeline stage on the GPU. Due to its reliance on low-level optimizations, it is tightly coupled to the original hardware it was designed for. A more recent approach with a similar aim is Piko [Patney et al. 2015], a compiler for programmable graphics pipelines with a CPU and GPU backend. Like CUDARaster, Piko uses a sort-everywhere approach on top of a sequential kernel architecture. Both approaches separate pipeline stages into multiple kernels. Therefore, they do not support a streaming pipeline model and can be subject to the excessive memory requirements and bandwidth issues discussed before. CUDARaster reports a memory overhead of $2–4 \times$ the size of the input data for internal buffering. Both CUDARaster and Piko focus on rasterization and move the formation of the input stream into a preprocessing step. Piko does not address clipping, concurrent framebuffer access, and ordering constraints.
3 GRAPHICS PIPELINE ARCHITECTURE
Fig. 3 shows the logical graphics pipeline implemented in cuRE. Without loss of generality, we focus on rendering of indexed triangle lists. Other primitive types follow analogously. To limit the scope of this discussion, the treatment of a tessellation stage will be deferred as future work. Furthermore, we shall mention geometry shaders only by noting that such a stage is a straightforward extension to the primitive processing stage of the pipeline architecture presented in the following.
3.1 Design considerations
Our design aims to provide a level of functionality that is comparable to Direct3D9-class hardware. This implies a stateful pipeline, and, in particular, preservation of primitive order. Fragments must be blended in the same order in which their generating primitives were specified, at least when using a non-associative blend function. Moreover, we require that fragment shaders must be able to compute screen-space derivatives for dependent variables, e.g., to support mipmapping [Williams 1983]. In addition to these functional requirements, a practical real-time rendering pipeline must operate within bounded memory.
Given the dynamic workload presented by a graphics pipeline, the main challenge for a competitive software implementation is to ensure near-peak utilization of all available processing cores. Contemporary hardware implementations typically follow a sort-middle or sort-everywhere approach [Purcell 2010], sort-first and sort-last approaches have been shown to exhibit poor scalability [Eldridge et al. 2000]. Guaranteeing blending in primitive order would be
expensive in a sort-last approach. A sort-first approach would likely be susceptible to load imbalances.
In contrast, sort-everywhere benefits from exposing multiple points in the pipeline that provide opportunities for optimization. However, a software pipeline executing on an actual hardware must not only consider logical communication cost, but also actual communication cost. On a contemporary GPU, communication across multiprocessors (via global memory) is orders of magnitude slower than communication across SIMD cores within a multiprocessor (via shared memory.) This circumstance requires to make a trade-off: One the one hand, the cost of global communication is likely going to dominate all other design decisions performance-wise. On the other hand, some global communication is necessary for effective load balancing, in order to ensure high utilization of the device.
Consequently, we found a tiled rendering approach with sort-middle in global memory, between geometry processing and rasterization, to be the optimal design point. Allowing no global redistribution at all (as in sort-first or sort-last) would not facilitate effective load balancing, while allowing more than one global redistribution step (as in full sort-everywhere) becomes too costly in terms of memory bandwidth to remain competitive. We characterize the resulting strategy as “global sort-middle, local sort-everywhere-else.”
Fig. 4 illustrates our pipeline architecture. The two main stages, geometry processing and rasterization, redistribute via global memory. The sub-stages of each of the main stages move much larger amounts of data than the main stages, but also offer a large degree of producer-consumer locality. Taking advantage of this producer-consumer locality, we redistribute between sub-stages only locally through fast on-chip shared memory without having to sacrifice significant load-balancing potential.
In the geometry stage, the most important local redistribution takes place from vertex processing to primitive processing. Vertex processing loads batches of input indices and sorts out duplicates to avoid redundant vertex shader invocations. Shared memory is used to pass vertex shader outputs on to primitive processing.
In the rasterization stage, the viewport is subdivided into bins of configurable size. Each bin is assigned a rasterizer; multiple bins can map to the same rasterizer. Each rasterizer reads triangles covering its bins from an input queue in global memory. During primitive processing, each triangle is inserted into the input queues of all rasterizers assigned to bins covered by the bounding rectangle of the triangle.
Every rasterizer’s input queue is exclusively assigned to one thread block. As a consequence, each such rasterizer thread block gains exclusive access to the corresponding framebuffer regions. This exclusive access supports a coarse-to-fine rasterization strategy with communication only in shared memory: Per bin and triangle, a thread determines coverage of tiles in a bin. For each covered tile, pixel-wise coverage masks are determined. Pixel coverage masks are further compacted, and rasterizer threads are reassigned to pixel quads or individual fragments for fragment shading. Finally, fragment shading threads perform in-order framebuffer blending using local synchronization.
3.2 Implementation strategy
We implement the streaming graphics pipeline using the persistent megakernel approach of Steinberger et al. [2014]. The stages of the rendering pipeline are branches within the kernel function, which are called from the megakernel scheduler, which is itself a branch of the kernel function. The scheduler dynamically assigns thread blocks the role of a rasterizer or a geometry processor on demand for optimal load balancing. In a streaming approach, the global queues must operate within limited storage requirements, so the scheduling of each block must take these limits into consideration:
1. If there is sufficient work available for rasterization, the block executes rasterization.
2. Otherwise, if there are input primitives for geometry processing available and all rasterizer queues can accept sufficient additional triangles, the block executes geometry processing.
3. If there is no input geometry available, the block consumes any rasterization input data that is left in its queue.
4. If there is neither input to geometry processing nor rasterization available and no other block is still processing geometry, the block terminates.
For the sort-middle step, we must provision sufficient space in the rasterizer queues (as mentioned in section 2) to accommodate the worst case of all blocks starting geometry processing at the same time with all their triangles ending up in the same rasterizer queue. To avoid these buffering requirements dominating the memory usage, we store only references in the rasterizer input queue and allocate the triangle data in a separate triangle buffer (Fig. 5). This indirect memory layout not only removes duplicates when a triangle covers multiple bins, but also reduces the data output of geometry processing, which can make up a significant part of the overall memory transfer. The triangle buffer is implemented as an atomically-operated ring buffer with reference counting to make sure data is not overwritten before it is consumed by rasterization. The rasterizer input queues use similar ring buffers, consisting of
entries guarded by atomically operated flags, to avoid that entries are read before they have been written.
The way bins are assigned to rasterizers influences the load put on individual rasterizers. Choosing a good bin-to-rasterizer mapping is, therefore, important for performance. A detailed analysis of different rasterizer patterns has been presented by Kerbl et al. [2017]. We rely on a pattern based on their $X$-shift design, which has proven to be most effective in practice.
In the following sections, we describe geometry processing (Section 4) and rasterization (Section 5) in more detail.
### 4 GEOMETRY PROCESSING
Geometry processing reads the indices for each primitive, fetches the vertex attributes and runs the vertex shader. Since vertex shader invocations are costly, identical vertices indexed multiple times should ideally be processed only once. Such vertex reuse was not considered in previous work, since the irregular accesses to cached shader results is difficult to handle in parallel. Naïve approaches, such as simply executing the vertex shader once for each index [Liu et al. 2010] or running the vertex shader as a preprocessing step [Laine and Karras 2011], ignore the fact that only a small subset of the vertex data may actually be referenced by a draw call.
**Vertex shading and vertex reuse.** Our geometry stage processes input geometry in batches of primitives. We identify reoccurring indices within a batch and invoke the vertex shader only once per batch for each vertex index in three steps: (1) Geometry processing first loads indices for a batch of primitives, deduplicates indices, and fetches vertex attributes for each distinct vertex. (2) The vertex shader is executed exactly once for each distinct vertex. (3) We reassemble the original triangles using the transformed vertex data. As batch size, we use a common multiple of warp size and primitive size—for example $3 \cdot 32 = 96$ for a triangle list—which allows us to process each batch using one warp and, thus, take advantage of efficient intra-warp communication primitives. A more detailed description of this approach can be found in [Kenzel et al. 2018].
**Primitive assembly.** With our vertex reuse implementation, every thread executes the vertex shader for a single vertex. Consequently, the attributes for a triangle are distributed among threads. We use one thread per triangle to assemble the primitive data. We ensure that we have enough threads for all the triangles by limiting the number of indices loaded in the previous stage. We utilize the mapping from indices to threads created during vertex reuse detection to access the vertex shader results from other threads using register shuffles.
**Clipping and culling.** With the entire triangle data available, we begin by computing the clip-space bounding rectangle for each triangle. Backfacing triangles or triangles that do not intersect the view frustum are simply skipped. Traditional pipeline designs would clip triangles at the near and far planes in this step, possibly generating multiple output triangles for a single input. However, our software rasterizer has to run on the general-purpose cores of the GPU which are mainly designed for floating-point arithmetic. Working in floating point, we make use of *homogeneous rasterization* [Olano and Greer 1997] which allows us to avoid explicit primitive clipping. Nonetheless, to avoid unnecessary scheduling overhead, we compute the bounding rectangle of the clipped triangle and subsequently use this tight bounding rectangle for rasterizer assignment.
**Triangle setup.** If a triangle is not discarded in the previous stage, it will potentially be processed by multiple rasterizers. To determine which rasterizers the triangle needs to be sent to, we compute which bins are covered by the triangle’s bounding rectangle. Triangle rasterization requires a number of parameters, such as the coefficients of triangle edge equations and attribute plane equations. Since all the necessary data is available at this point, we compute these parameters and store them in the triangle buffer. For more efficient memory access, triangle parameters are packed in ways that enable the use of vector load and store instructions. Finally, we add the triangle’s location to the input queues of all covered rasterizers.
**Primitive order.** With multiple blocks working on geometry in parallel, the order in which triangles end up in the rasterizer queues is arbitrary. However, fragments must be output in primitive order. Since we cannot afford the bandwidth for a fragment reorder buffer, we require that fragments already be generated in primitive order. To do so, we rely on the rasterizers consuming their input in the correct order. Previous approaches, which did not implement a streaming design, had multiple options to enforce primitive order. For example, when stages are executed as separate kernels, a prefix sum can be used to allocate successive memory locations for the output.
Enforcing that triangles are entered into the rasterizer queues in the right order would require expensive synchronization between geometry processing blocks. Instead, we make use of the exclusive access a rasterizer has to its input queue to restore order before triangles are consumed. This re-ordering simply corresponds to sorting the input queue according to primitive id. Note that the indirect memory layout using the triangle buffer pays off here, since we only need to move lightweight triangle references.
However, a sorted input queue alone is not sufficient. A triangle might simply not be in the queue yet because it is still going through geometry processing, or it might never arrive because it was culled. The rasterizer must not consume input past a point up to which the queue is known to be complete in the sense that no more primitives will arrive. To achieve this, we track the progress of primitives.
Fig. 6. A bitmask is used to track which primitives have completed geometry processing. Rasterizers use this information to restore primitive order in their input queues before consuming triangles. (1) $p_{arr} = 89$ indicates that all primitives up to id 89 have previously been accounted for. (2) Having determined that all bits from $p_{arr}$ up to 94 are now set, the block updates $p_{arr}$ and clears the bits. (3) It then starts moving a sorting window (blue rectangle) from the back of the queue to the front. $p_{rdy}$ marks the end of the part of the queue currently known to be complete and in order. A block-wide radix sort takes the position of each element relative to the sorting window (blue) and reorders these values using the primitive id (remapped to the range $[0, p_{arr} - p_{rdy})$) as key (grey). (4) Queue elements are then rearranged accordingly and the sorting window is moved to the front. (5) The first three elements are ready to be processed and $p_{rdy}$ is updated.
through geometry processing using a large bitmask stored in a ring buffer, where each bit represents a primitive. When a geometry processing thread enqueues or discards a triangle, it updates the corresponding bit. Before sorting the input queue, the rasterizer searches the bitmask for the first bit not set. Note that a simple counter is not a viable alternative to this bitmask, as updating it would require serialization of geometry processing threads.
We implement an efficient search for the lowest zero bit by a parallel find-first-set operation on a word from the bitmask, followed by a reduction. To limit the size of the bitmask, we prune the lower part of the mask as soon as all bits up to a progress value $p_{arr}$ are set. We store $p_{arr}$ and reuse all bits below $p_{arr}$. A pipeline flush only needs to reset $p_{arr}$, as all bits are unset when all primitives have moved through the pipeline. Updating $p_{arr}$ with atomic operations allows sharing one progress tracking buffer by all rasterizers.
For reordering, we use a block-wide radix sort. Primitives with id larger than $p_{arr}$ are not ready for consumption yet; sorting only must deliver primitives with id less than $p_{arr}$ to the front of the queue. We achieve this by moving a sorting window from the back of the queue to the front (Fig. 6). In our experiments, a sorting window of $w = 8–10 \times$ the block size, moving along $w/2$ primitives in each step, achieved the best performance. As soon as the sorting window reaches the front of the queue, we search for the largest primitive id less than $p_{arr}$. This element marks the end of the part of the queue that is complete, its position is denoted as $p_{rdy}$. As long as the id of all sorted primitives is below $p_{arr}$, we continue sorting from the back. Since we are only interested in primitives with id less than or equal to $p_{arr}$, we can remap the primitive id from $[p_{rdy}, p_{arr}]$ to $[0, p_{arr} - p_{rdy}]$ to use as the sorting key. Doing so reduces the number of bits the radix sort needs to consider, thus avoiding the sorting time growing with absolute value of the primitive ids.
5 RASTERIZATION
Rasterization reads triangle data from the queues in global memory and outputs fragments to the framebuffer. To generate fragments, we use a hierarchical rasterization approach with three levels, similar to Greene [1996]. In our preferred configuration, every $64 \times 64$ bin is split into $8 \times 8$ tiles, and every tile covers $8 \times 8$ pixels. Since large triangles lead to significant data expansion during rasterization, it is challenging to keep temporary data in shared memory and ensure high occupancy. Aiming for high thread utilization, we require dynamic work balancing between the sub-stages of rasterization. The entire workload must stay within the bounds of shared memory, independent of the number of intermediate objects that might be generated, and must not interfere with primitive order.
5.1 Bin raster work distribution
There are multiple options to implement the required work distribution. First, we could consider threads as individual workers which can take on any stage at any point and store intermediate data in atomically operated queues. However, this would lead to increased thread divergence, increased overhead from atomic operations, and keeping memory usage bounded would be difficult. Second, we could use entire warps as workers, allowing them to cooperatively work on individual objects. However, this approach would still require atomically operated queues and leave the problem of unbounded memory requirements unresolved. Instead, we chose to coordinate all threads within a block, assigning all of them to the same stage at once. This design decision allows using prefix sums (c.f. "Allocating Processors" in Blelloch [1990]) for work assignment, and we can assign an arbitrary number of threads to work cooperatively on one object. Using a prefix sum also automatically ensures primitive order is preserved.
Bounded memory consumption is tackled with an encode only, expand in next stage strategy. We limit every thread to generate a single fixed-size output. This output must encode the number of threads required to be completed in the next stage and a hook to decode the actual data. This strategy is similar to how hardware tessellation subdivides work between the hull shader (only sets tessellation factors) and the domain shader (generates vertices before commencing shader code). Threads working on the same stage and producing a fixed-size output allow temporary data to be stored as a simple array in shared memory.
The rasterization work distribution (Fig. 7) works as follows: Triangles are fetched from the input queue. Binning computes the number of potentially covered bins. A first work distribution assigns
bins to bin rasterizer threads, which compute tile bit masks and store them in the next work distribution. After tiles are assigned to threads, they compute fragment coverage and quad masks, which go through work distribution again before entering fragment shading. After all threads are done with fragment shading and blending, they consume the next set of quad masks from the work distribution. The block continues with fragment shading and blending, until the quad mask work distribution is empty. Then, the tile rasterizer continues work on the next set of available tiles. This approach ensures that the block only steps back one stage when all elements from the current set of work have been processed. It can never happen that more output is generated than can be held in the work distributions. Note that all information from the previous stages is readily available at any point, e.g., the fragment shader can use information from the bin and tile rasterizer to determine the fragment coordinates.
5.2 Hierarchical rasterization
One thread per triangle computes binning information from the triangle’s bounding box. Binning determines how many bins owned by the active rasterizer may be covered by the input triangle. Efficient handling of large triangles demands that this computation must not iterate over bins. In accordance with the encode-only strategy, we compute the actual coordinates of the hit bin right before launching the bin rasterizer.
The bin rasterizer uses one thread to determine which tiles in a given bin are hit by the triangle. Using the concept of coverage masks, the hit tiles can be determined without explicitly checking each tile. To avoid the memory traffic incurred by precomputed coverage masks [Laine and Karras 2011], we use an approach similar to Kainz et al. [2009] to construct a conservative coverage mask in scanline order directly from the triangle’s edge equations (Fig. 8).
The tile rasterizer determines the actual pixels inside its tile that are covered by the triangle. We follow the same approach as for bin rasterization, however, instead of constructing a conservative mask, the tile rasterizer computes an exact rasterization. Our coverage rasterizer always works along positive $y$ steps, flipping the vertices for edges with negative slope. This approach makes sure that edges shared between triangles exhibit the same sequence of floating point operations and deliver the same intersection results. This establishes a robust fill convention for edges that exactly intersect pixels.
5.3 Fragment shading
The coverage mask already contains all the information necessary to perform fragment shading. We could simply assign one thread for every set bit in the coverage mask to execute the fragment shader.
However, one crucial feature we must support in the fragment shader is the computation of screen-space derivatives of dependent variables (demonstrated in Fig. 1c). While derivatives can be estimated from differences to neighboring fragments, neighbors do not exist in all cases. To solve this problem, we rely on *quad fragment shading*: the fragment shader is always invoked for quads of $2 \times 2$ pixels, *helper threads* are spawned to run the shader for pixels outside the triangle if necessary, all writes being discarded.
To implement quad fragment shading, we compute another bitmask in which bits do not correspond to individual pixels but to quads of pixels. A bit in this *quad coverage mask* is set iff any of the pixels of the quad were covered. The quad coverage mask can be computed from the original coverage mask using a series of inexpensive bit operations. For every set bit in the quad coverage mask, we start four consecutive threads within the same warp to execute the fragment shader. Neighboring values of a variable can then be accessed using register shuffle instructions to estimate screen-space derivatives via finite differences. We keep the original coverage mask to identify helper threads and disable writes.
The rasterizer delivers all pixels that are inside the triangle and within the bounding rectangle, which has been shrunk during geometry processing to consider clipping. However, as triangles are in general not oriented in parallel to the image plane, additional fragments may be generated in front or behind the near or far plane. These fragments should be discarded before launching the fragment shader. When it is safe to do so, one can also perform an early $z$-test at this point. The fragment’s interpolated coordinates, depth, and attributes required by the fragment shader are computed using the information stored in the triangle buffer by the triangle setup stage.
5.4 Raster operations
Previous software rendering pipelines used very small tiles [Laine and Karras 2011]. This allows keeping data for blending and depth testing in shared memory. Small tiles are efficient, if the entire input data is collected before working on a tile, so that sufficient parallel workload per tile is available. In contrast, data in a streaming approach only arrives gradually. Setting up a large number of rasterizers, each working on a very small tile, would, therefore, leave many rasterizers waiting for input. Larger input buffers become necessary, stripping the streaming approach of all its advantages. Thus, our streaming design makes each rasterizer responsible for many bins, with framebuffer and depth buffer kept in global memory accessed during blending operations. Note that the hardware graphics pipeline relies on special-purpose hardware for efficient blending, which is, unfortunately, not available in compute mode.
Since multiple fragments are processed in parallel within each rasterizer, different threads might potentially access the same pixel for blend operations. To resolve this issue, we have to detect and resolve contention within the rasterizer before blending. According to our experiments, delaying the conflict avoidance logic to the end of the pipeline works best.
Before launching the fragment shader, we detect possible access conflicts by searching from each coverage mask to the front, looking for a tile with the same coordinates and an overlapping mask (in the original mask, ignoring helper threads) using simple bit operations. If a conflict is detected, we store the index of the closest coverage mask involved in a conflict (the predecessor index). If there are multiple conflicts, this approach implicitly generates a linked list of conflicts. After fragment shading, every thread with an active conflict holds back on blending. After the other threads completed their blending operation, we synchronize all threads in the block. Threads whose predecessor does not have a store conflict are now first in line and can complete blending. Afterwards, they set their predecessor index to zero, indicating to threads that are waiting on them that it is safe to perform blending now. We continue this loop, until all threads complete their blend operations. Note that, if there are no conflicts, this approach allows blending to complete without any serialization.
6 PROGRAMMING INTERFACE
Our software implementation is based on the assumption that target hardware and execution configuration are known at compile time. This allows decisions based on architectural properties such as the number of multiprocessors, SIMD width, or the number of threads per block to be made during compilation and, thus, avoids unnecessary run-time overhead and makes sure that optimal code is generated for every GPU.
The C++ implementation can be divided into two main parts: the graphics pipeline itself, and a module layer. The graphics pipeline is built as a C++ class template that expects the vertex buffer, input layout definition, primitive topology, blend function, and shaders to use as parameters.
The module layer lets the user instantiate different pipeline configurations, and takes care of generating the necessary CUDA kernel functions to invoke the pipeline and manage pipeline state. A module definition containing one or more pipeline configurations can be compiled into a binary image using the standard CUDA toolchain. A matching host library is provided, which offers utility functions for accessing pipeline configurations inside a CUDA binary, finding a suitable configuration for a given GPU, and launching draw calls from the CPU side.
This design offers a convenient high-level interface to a low-level pipeline implementation, in certain ways similar to how a graphics pipeline is exposed through a modern graphics API. Shader programs are represented as C++ function objects. Shader input and output parameters are inferred from the function signature. Using template metaprogramming techniques inspired by SH [McCool et al. 2002], the pipeline implementation automatically matches shader signatures to the inputs and outputs of the next and previous stages, allocates inter-stage buffers, and generates code to pack and unpack shader parameters to and from vector slots for efficient memory access.
7 PERFORMANCE EVALUATION
To evaluate the performance of our approach on real-world data, we collected more than 100 test scenes captured from recent video games. These include Deus Ex: Human Revolution (abbrev. de) with 0.3 M–1.2 M triangles, Rise of the Tomb Raider (tr) with 0.4 M–3.6 M triangles, The Stone Giant Demo (sg) with 2.9 M–8.0 M triangles, The Witcher 3: Wild Hunt (tw) 0.3 M–4.6 M triangles, and Total War: Shogun 2 (sh) with 0.6 M–3.2 M triangles. The scenes were captured by injecting a geometry shader through a Direct3D 11 hook to write out clip-space geometry for each draw call using the stream output stage. The resulting triangle soup was turned into an indexed triangle mesh by fusing vertices based on their position. To account for the fact that some applications switch backface culling modes between drawcalls, all triangles were duplicated with reversed winding order. Example scenes are shown in Fig. 9 and also Fig. 1b.
7.1 Experimental setup
As test platform, we used an Intel Core i7-4930K CPU @ 3.4 GHz with 32 GiB of RAM running Windows 10. Experiments were performed on an NVIDIA GeForce GTX 780 Ti, GTX 980 Ti, GTX 1080 Ti, and GTX 1080. Timings were obtained as average over 30 frames after a burn-in period. The full set of results for all combinations of GPU, renderer, and scene is included as supplemental material. In the interest of brevity, we will limit our discussion here to a representative subset.
We compare against the three most important previous works, namely, FreePipe [Liu et al. 2010], CUDARaster [Laine and Karras 2011], and Piko [Patney et al. 2015], as well as the hardware graphics pipeline using OpenGL. An additional version of the OpenGL renderer denoted by the subscript $fi$ uses the ARB_fragment_shader_interlock extension to force the hardware pipeline to perform interlocked framebuffer access in a way more similar to our software pipeline, cuRE. For tables and plots, w/o indicates that primitive order and quad shading is deactivated, w/p is with primitive order, w/q with quad shading, and no subscript indicates that both are on. We set the index queue size to 32,000 indices, and our triangle buffer can hold up to one million entries.
Due to the fundamental differences between all the approaches to be compared—not only in terms of their mechanisms, but particularly also their capabilities—we settled on a minimum set of features that can be supported by all methods to allow for a meaningful comparison. Not all approaches are capable of supporting primitive-order blending. Some methods utilize an early-depth-test optimization, while others do not. FreePipe only implements an approximate depth-buffering scheme. We, thus, use a simple rendering of interpolated vertex normals without blending or depth buffering as the lowest common denominator for a performance evaluation in terms of pure drawing speed.
All methods, except Piko, are implemented as plugins for our testbed application. Thus, all these methods run in the exact same environment on the exact same input data. For CUDARaster, we simply wrap the available open source implementation for our framework. Since there is no such reference implementation for FreePipe, we provide our own implementation of their algorithm. Our OpenGL reference renderer is based on OpenGL 4.5 core profile and follows common best practices such as using immutable storage for static data and uniform buffers to manage shader parameters. OpenGL drawing time is measured using GL_TIME_ELAPSED queries; the CUDA-based approaches use CUDA events. Since the overhead for setting up a new frame varies among the different algorithms, we compare only time spent on drawing primitives. Each scene is drawn in a single call as one large mesh using a single shader. No coarse primitive sorting or other optimizations commonly found, e.g., in game engines were used.
Due to its dependencies, we, unfortunately, were unable to successfully integrate Piko with our testbed. Instead, we evaluated their open source reference implementation separately on a suitably configured Linux system running on the same machine. Experiments were carried out using the same test scenes. However, since the Piko rasterization pipeline does not support clipping and will not handle triangles that cross into the negative $w$ space correctly, we provide pre-clipped versions of all our test scenes to Piko. To not give Piko an unfair advantage over other methods by having to process fewer triangles, these pre-clipped scenes were constructed such that clipped parts of each original scene triangle become separate input triangles, which Piko can discard before rasterization.
### 7.2 Results
CUDARaster and Piko both focus on the rasterization part of the pipeline and run the vertex shader on the entire vertex buffer in advance, which reduces complexity of geometry processing significantly. However, if only parts of the vertex buffer are referenced by a draw call—which is common practice in video games—this may result in considerable performance issues and even malfunctions in practice. To enable a comparison, we merged all draw calls into a single render call, pre-transforming all vertices and removing all non-referenced vertices. All vertex shaders simply multiply the input data with the identity matrix. A demonstration of the influence of multiple draw calls is shown in Table 1. The performance results summarized for each game, for a subset of resolutions and tested architectures are shown in Table 3; selected scenes and standard common test cases are given in Table 2.
Table 1. Performance comparison for different number of draw calls in ms for three specific test scenes on the GTX 780 Ti at $1920 \times 1080$. As CUDARaster always runs the vertex shader on the whole vertex buffer, it can achieve high performance when draw calls are merged into one. When multiple draw calls reference subsets of the vertex buffer, performance can quickly deter. The performance loss of our approach is only due to separate draw calls leading to underutilization.
| | tw17 | sh19 | tr16 |
|------------------|------|------|------|
| Triangles | 0.3 M| 2.0 M| 5.2 M|
| Draw Calls | 81 | 512 | 446 |
| CUDARaster single call | 1.9 | 7.7 | 13.2 |
| cuRE single call | 9.3 | 44.9 | 87.2 |
| CUDARaster multiple calls | 31.0 | 707.1| 1383.1|
| cuRE multiple calls | 33.3 | 180.0| 262.3|
As expected, none of the software approaches reach the performance of the hardware pipeline. CUDARaster stays within a factor of 4–6, while cuRE manages to stay within about one order of magnitude. Depending on the test case, restoring primitive order costs up to 20% of performance. Quad shading may add little cost for scenes dominated by big triangles, like in *Sibenik*, but may also add up to 20% of overhead for scenes with many small triangles, like more complex game scenes. The performance edge of CUDARaster over our approach is not surprising, as it follows a sequential kernel approach, which takes away the burden of scheduling and allows to store data for blending and depth testing in shared memory. However, recall that a sequential kernel approach may lead to increased memory consumption, as all intermediate data needs to be stored in global memory (Fig. 10), leading to failure for large test cases, like *San-Miguel*. Memory issues also quickly become evident with larger resolutions; e.g., CUDARaster did not run in 4K ($3840 \times 2160$). CUDARaster is furthermore dependent on optimizations targeting the outdated Fermi architecture, execution on architectures more recent than Kepler fails.
Although Piko follows a similar approach to CUDARaster and does not consider clipping, blending, primitive order, or quad shading, their performance is significantly lower than CUDARaster. Comparing it to our approach without quad shading and without primitive order, it can be seen that cuRE$_{w/o}$ is usually between 1.2× and 2× faster. Interestingly, our speedup on more recent architectures is higher than on the GTX 780 Ti. Piko only achieves a better average performance for *Stone Giant*, which we attribute to the uneven distribution of small triangles in these scenes, which complicates our load balancing. Piko also requires significant amounts of memory and thus has issues with larger test scenes and resolutions above $1024 \times 786$. Also, their approach requires the screen resolution and maximum number of input primitives to be hard-coded, which allows for additional compiler optimizations, at the expense of practical usability.
FreePipe always assigns one thread to each triangle and runs into performance issues when triangles become larger. Moreover, it does not support blending, primitive order or quad shading. The only scene that achieved good performance is *Buddha*, which consists of many evenly small triangles. In all other cases the performance gap is 1–2 orders of magnitude, and, for larger test scenes, FreePipe just times out. As FreePipe does not store any intermediate data, it uses the minimal amount of memory.
Overall, cuRE achieved the most consistent performance, being the only approach apart from OpenGL that completed all test cases in all resolutions on all architectures. It is the only approach that implements an entire pipeline with full geometry processing, primitive order, quad shading and appropriate blending. cuRE automatically works with low memory requirements, even if larger buffers are allocated (Fig. 10). In comparison to CUDARaster and Piko, which need to store all intermediate data in global memory, the streaming design of cuRE operates with very small intermediate buffers, demonstrating only a slight overhead compared to OpenGL. Our queue sizes can—to a certain extent—be chosen freely. For example, in tr21, the index queues reached a fill-level of 97%, but never overflowed. When queues fill up, our approach simply does not run geometry processing, leading to idle blocks waiting for other rasterizers to complete their workload. Obviously, this can reduce performance, but guarantees correctness. Note that Piko must be pre-configured to a fixed buffer size for all data, which we chose at 75% of the GPU memory to allow a maximum number of scenes to complete. However, the amount of memory was not enough for many scenes, like, *San-Miguel*. Piko has no feature to track fill levels.
To quantify how similar in behavior the different approaches are to the hardware graphics pipeline, we computed the Pearson correlation coefficient between OpenGL and the tested methods over the entire test body. On the GTX 1080 Ti, cuRE achieved correlations of .80 and .94, Piko .69 and 0.70, and FreePipe .50 and .67 with OpenGL and OpenGL$_{fi}$, respectively. On the GTX 780 Ti,
Table 2. Frame time for selected scenes in ms at $1024 \times 768$ for Buddha (bud), Fairy Forest (fry), San-Miguel (san), Sibenik (sib), and four game scenes.
| | bud | fry | san | sib | tr12 | tw12 | sh23 | sg13 |
|------------------|-----|-----|-----|-----|------|------|------|------|
| OpenGL | 1.1 | 0.2 | 7.5 | 0.1 | 2.9 | 2.3 | 0.8 | 0.4 |
| OpenGL$_{fi}$ | 1.2 | 0.3 | 7.5 | 0.1 | 4.0 | 3.9 | 2.1 | 0.9 |
| CUDARaster | | | | | | | | |
| cuRE | 7.8 | 2.8 | 35.8| 1.6 | 28.4 | 39.9 | 16.8 | 6.4 |
| cuRE$_{w/q}$ | 5.4 | 2.4 | 29.2| 1.4 | 24.0 | 21.5 | 14.8 | 6.1 |
| cuRE$_{w/p}$ | 8.3 | 2.8 | 35.5| 1.4 | 25.3 | 37.9 | 14.2 | 5.8 |
| cuRE$_{w/o}$ | 5.5 | 2.3 | 28.0| 1.4 | 20.9 | 19.4 | 12.1 | 5.4 |
| Piko | 8.4 | 3.6 | 44.0| 2.9 | 37.1 | 25.1 | 12.5 | 7.7 |
| FreePipe | 0.8 | 72.3| 292.7| 68.1| 261.3| 66.2 | 141.4| 145.0|
| OpenGL | 1.8 | 0.4 | 12.3| 0.2 | 5.1 | 3.4 | 1.4 | 0.8 |
| OpenGL$_{fi}$ | 1.5 | 2.1 | 143.3| 4.8 | 88.9 | 95.2 | 37.4 | 18.3 |
| CUDARaster | 4.2 | 2.1 | 1.5 | 20.1| 14.3 | 7.1 | 4.6 | |
| cuRE | 23.1| 8.0 | 143.3| 4.8 | 88.9 | 95.2 | 37.4 | 18.3 |
| cuRE$_{w/q}$ | 17.1| 7.4 | 105.7| 4.1 | 70.7 | 56.9 | 33.8 | 16.7 |
| cuRE$_{w/p}$ | 23.6| 7.8 | 143.7| 4.3 | 82.8 | 93.5 | 31.1 | 16.7 |
| cuRE$_{w/o}$ | 16.9| 7.0 | 95.6 | 3.6 | 63.5 | 50.4 | 28.3 | 16.7 |
| Piko | 19.4| 8.5 | 7.5 | 89.9| 62.3 | 28.9 | 19.8 | |
| FreePipe | 2.1 | 156.3| 149.1| 903.6| 182.5| 463.8| 492.4| |
Table 3. Summary results in ms for our entire test body of more than 100 test cases. Next to OpenGL, cuRE is the only approach that completed all test scenes on all architectures and resolutions. In most cases, there is a clear ordering among the software approaches with same capabilities: CUDARaster is faster than cuRE, and cuRE\textsubscript{w/q} is faster than Piko (with the exception of sg on the 780 Ti); Piko is faster than FreePipe. Comparing relative performance, our approach performs better on newer architectures and even achieves real-time framerates in 4K resolution for most games.
| | GTX 1080 | GTX 780 Ti |
|------------------|----------|------------|
| | 1024 × 768 | 1920 × 1080 | 3840 × 2160 |
| | de tr sg sh tw | de tr sg sh tw | de tr sg sh tw |
| OpenGL | 0.4 1.4 0.2 0.8 0.9 | 0.5 1.8 0.5 0.9 1.0 | 1.3 3.5 1.7 1.4 1.7 |
| OpenGL\textsubscript{fi} | 0.6 2.1 0.7 1.2 1.4 | 1.3 3.5 1.6 1.6 2.1 | 4.0 10.5 5.5 3.6 4.8 |
| CUDARaster | | | |
| cuRE | 5.5 16.8 5.5 10.2 13.0 | 9.8 27.2 11.3 13.3 16.8 | 25.1 59.7 33.7 27.3 33.8 |
| cuRE\textsubscript{w/q} | 5.0 14.5 5.3 8.2 10.3 | 9.2 25.1 11.1 11.4 14.4 | 24.4 57.4 33.3 25.3 31.4 |
| cuRE\textsubscript{w/p} | 5.1 15.3 5.1 9.3 11.6 | 9.0 25.1 10.5 12.0 14.7 | 23.5 54.9 32.0 24.3 29.6 |
| cuRE\textsubscript{w/o} | 4.5 13.0 4.8 7.3 8.8 | 8.4 22.6 10.2 10.0 12.2 | 22.5 51.8 31.3 22.1 26.6 |
| Piko | 13.2 21.8 5.8 9.3 12.3 | 386.1 522.6 376.7 354.3 196.4 | |
| FreePipe | 146.4 197.3 143.6 136.9 74.4 | | |
the correlation coefficients with OpenGL are significantly higher, with cuRE achieving .94, CUDARaster .92, Piko .97 and FreePipe .31. OpenGL\textsubscript{fi} is not supported on the GTX 780 Ti. These results show that, especially for more recent architectures, the performance of cuRE is predictably similar to the hardware pipeline. In case the hardware is forced to use interlocked framebuffer access, the relative performance matches particularly closely (up to 0.95), while other approaches stay below 0.70.
8 PERFORMANCE ANALYSIS
Fig. 11 shows a detailed performance breakdown of how much processing time is spent in each stage on each multiprocessor for a typical scene on a GeForce GTX 1080. We compare the load balancing capabilities of different methods of rasterizer assignment for three different workloads: simple lambert shading, an expensive vertex shader with a trivial fragment shader, and a trivial vertex shader with an expensive fragment shader. As simulated shader load, we use 16 octaves of simplex noise [Perlin 2001] to compute a per-vertex color or fragment color respectively. In addition to static rasterizer assignment with a diagonal or offset pattern according to Kerbl et al. [2017], we also implemented an alternative version of the megakernel in which rasterizer blocks are dynamically assigned to rasterizer queues. Exclusive ownership is guaranteed by requiring each block to acquire ownership of the queue it intends to process through a locking mechanism. The scheduling algorithm checks the number of elements available in all rasterizer queues and attempts to acquire a queue starting from the largest one in descending order. This approach will potentially yield better load balancing at increased scheduling overhead due to the need to search multiple queues to find work.
Overall, runtime is clearly dominated by blending unless very expensive shaders are used, which is one area in which CUDARaster gains an advantage, since it can perform blending in shared memory. The offset pattern yields slightly better performance over the simple diagonal pattern in the scene used here. Increasing the vertex load causes the relative significance of the slightly better load-balancing of the offset pattern to vanish. Interestingly, both static approaches turn out to be faster under higher vertex load, which we can only explain as a result of the increased latency-hiding potential and decreased resource contention due to higher arithmetic load leading to an overall reduced pipeline overhead. In cases where a different pattern cannot yield much improvement for static rasterizer assignment anymore, dynamic rasterizer assignment can sometimes still achieve a significant increase in performance. However, given a heavy vertex load, dynamic rasterizer assignment loses to both static variants as diminishing returns from better load balancing cannot outweigh the inherently larger scheduling overhead of the dynamic method.
As a general observation, the difference between pipeline implementations tends to shrink with increased shading load as the relative system overhead becomes more and more insignificant compared to the shading work. This holds true even when comparing our approach to OpenGL drawing the same scene with equivalent shaders. With very heavy fragment load (32 octaves of simplex noise), we are only a factor of about 2.5x slower than OpenGL from initially a factor of more than 10 with trivial shaders. Both, cuRE
Fig. 11. Detailed performance breakdown for the scene sh08 on the GTX 1080, showing the time spent in each stage on each multiprocessor. We compare static rasterizer assignment with diagonal and offset patterns as well as dynamic rasterizer assignment for simple lambert shading as well as vertex and fragment-heavy workloads.
as well as OpenGL behave in similar ways as the shading load is moved around. We could not identify an individual bottleneck that could be attributed with being responsible for most of the performance gap between software and hardware. Considering all of the above, we come to the conclusion that the main limiting factor for a software graphics pipeline is simply a generally higher base overhead across all parts of the system.
Unsurprisingly, the rasterizer queues and, especially, the triangle buffer are responsible for a significant portion of the global memory traffic. It is notable that at 4K resolution, they still contribute about 70% of the total memory transactions in typical scenes. However, more than 70% of the queueing traffic and more than 95% of queue management atomics hit the L2 cache. We have seen indication that there might be potential to improve the triangle buffer memory access pattern, which currently seems to be a main source of scattered writes. Heavier shading loads somewhat relieve pressure on the queueing system and achieve slightly improved cache hit rates.
On the Pascal GPU, the best configuration we could find was running at 50% occupancy with two blocks per multiprocessor and 16 warps per block. We achieve an issue efficiency of 25–30%, with the majority of stalls (about 40%) caused by inter-warp synchronization. Almost all of these stalls are observed in the scheduling logic; only a few percent are owed to rasterizer queue sorting and framebuffer access. Memory latency is responsible for only about 20% of stalls.
9 EXPERIMENTAL PIPELINE MODIFICATIONS
To demonstrate the merits of having a fully-programmable graphics pipeline that can be completely customized for an individual application, we implemented a number of pipeline modifications. First, we extended the pipeline by a custom shader stage to enable programmable primitive topology. Further examples consider programmable blending and its many applications, ranging from medical visualizations to 2D graphics and document display. We also show how some minor modifications to the rasterizer stage can enable direct wireframe rendering as well as efficient rendering of adaptively subsampled images.
9.1 Custom primitive types
A water surface, as depicted in Fig. 1a, is commonly created from a regular grid of vertices animated by a wave function. To draw the surface, these vertices are typically triangulated in a regular fashion. Such an approach can lead to artifacts like the ones seen in Fig. 12a, where some edges significantly deviate from the contour of the height field. To solve this problem, we simply make our input and primitive assembly stages programmable by two new types of
Fig. 12. By making the primitive assembly stage of our pipeline programmable, we enable an application to define its own primitive types. (a) A height field such as the water wave depicted here would traditionally be drawn using a static index buffer, forming triangles according to a regular pattern which can lead to artifacts, such as the “zigzag” shape along the crest of the wave, where edges are forced to go against the contour of the underlying wave function. (b) By introducing a new, adaptively triangulated quad primitive type, we achieve a much better mesh that dynamically accommodates to an animated height field at almost negligible cost.
shader: a *primitive assembly shader* and a *primitive triangulation shader*. The primitive assembly shader enables custom primitive types by defining which vertices of the input stream form a primitive. By adding this stage, the distinction between indexed and non-indexed primitives essentially becomes obsolete—the shader programmer can decide whether to load vertex indices from a memory buffer, evaluate a sequence based on the primitive index, or perform some even more general computation. Once vertices have been fetched and passed through the vertex shader, the primitive triangulation shader is used to determine how a primitive is split up into triangles for rasterization.
We require the primitive assembly shader to statically declare how many output triangles a primitive will generate for our geometry processing to continue to work using one thread per triangle. The primitive triangulation shader is run in parallel by all the threads allocated for the processing of the primitive’s output triangles. We use these parallel invocations to compute a score for each potential triangulation of the primitive. The primitive assembly stage simply chooses the triangulation which returns the smallest score.
To render the water surface, we define a primitive assembly shader for a new *adaptive quad* primitive type, which takes four vertices from the input stream to produce two triangles. The corresponding primitive triangulation shader computes an energy term based on the deviation of the face normals from the vertex normals, which are computed from the wave function in the vertex shader. The pipeline chooses the triangulation that minimizes this energy term, leading to dynamic mesh adaptation (Fig. 12b) at only a very small additional cost ($\approx 0.1$ ms on a GeForce GTX 1080). To achieve the same effect with the hardware pipeline would require updating the index buffer in an additional pass before rendering each frame.
9.2 Direct wireframe rendering
Another example of the power of a pure software approach can be seen in the wireframe overlays in Fig. 12. Rendering such images using a conventional hardware graphics pipeline would either require two passes with state changes in-between, where additional measures such as a slope-scaled depth bias have to be taken to avoid artifacts, or rely on fragile tricks involving the use of geometry shaders and additional interpolators [NVIDIA 2007]—all just to reconstruct information in the fragment shader that is already available in the rasterizer. Since we have full control over all aspects of the pipeline, we can modify the rasterizer to pass information like barycentric coordinates and the screen-space distance from the fragment to each edge to the fragment shader. With this information, the wireframe can be incorporated directly into the fragment shader at virtually no overhead.
9.3 Programmable blending
Since our graphics pipeline already performs blending in software, it is trivial to add another shader stage through which an application can define its own blend function instead of being limited to a set of predefined hardware functions. Fig. 13 depicts results of a vector graphics renderer based on the method described by Loop et al. [2005] with support for the full set of blend functions specified in the *portable document format* (PDF) standard [ISO 2008].
9.4 Adaptive subsampling
As display resolutions keep increasing, it gets harder for modern applications to render high-quality content quickly enough to maintain a minimum desired frame rate at full resolution. This problem becomes even more pronounced in Virtual Reality, which requires very high resolutions, while, at the same time, motion-to-photon latency must be kept low. A popular strategy to cope with this issue is *checkerboard rendering*. To save computation, rendering of every
other pixel is skipped following a checkerboard pattern, thus producing a subsampled image at ideally twice the speed. A reconstruction filter is then applied to upsample the result to full display resolution. A more sophisticated, adaptive approach for VR applications combines checkerboard rendering with foveated rendering [Vlachos 2016]. Based on eye-tracking information, a small area around the user’s current gaze point is rendered in full resolution, while resorting to checkerboard rendering for the remaining areas.
Implementations using the hardware graphics pipeline have to rely on discarding fragments in the fragment shader to achieve adaptive checkerboard rendering. The downside of such an approach, especially with long-running fragment shaders, is that it inherently leads to suboptimal GPU utilization, as half the threads in a warp executing fragment work are idle most of the time: Half the threads perform a discard and exit immediately, while the other half runs the fragment shader to completion. Another problem is caused by the fact that the GPU performs pixel quad shading. To get any benefit at all, a checkerboard pattern with $2 \times 2$ pixel squares has to be chosen, as, otherwise, any skipped pixel threads would still be forced to execute the full fragment shader branch, while acting as helper threads for their pixel quad. Using a $2 \times 2$ pixel pattern, however, has a diminishing effect on the quality of the upsampled image.
In our software pipeline, we could instead modify the coverage mask of each tile to skip the fragment shader before it is even scheduled. Therefore, we introduce the *coverage shader*, a new type of shader which is called for each tile after the rasterizer has computed the coverage mask. Using a coverage shader, an application can programmatically modify the coverage mask of each tile before the fragment shader is dispatched. In the case of adaptive checkerboard rendering, we use a coverage shader that simply computes the distance of each tile from the user’s gaze point. If a tile falls in the area where the user is currently looking, we pass on the coverage mask computed by the rasterizer unchanged. Otherwise, we combine the coverage mask using a bitwise logical AND with a bitmask representing the checkerboard pattern to use.
By using the coverage shader, instead of discarding fragments in the fragment shader, we can avoid the overhead of invoking the fragment shader for pixels that should be skipped altogether and achieve significantly better GPU utilization, since only fragment threads that will produce an output are going to be scheduled. In addition, our software pipeline allows us to turn off quad shading when not required by the application, e.g., in case screen-space derivatives are not used or can be computed analytically. Alternatively, the rasterizer could also be modified to perform quad shading across the diamond-shaped fragment neighborhood given by the checkerboard pattern. In any of these cases, we can switch to a $1 \times 1$ pixel square checkerboard pattern, which achieves better image quality at the same cost. For the scene depicted in Fig. 14, adaptive checkerboard rendering using a discard in the fragment shader is more than 30% faster than rendering at full resolution. Using the coverage shader led to another performance increase of more than 30%. The $1 \times 1$ pixel pattern achieved a 22% smaller mean squared error to the full resolution rendering while running at the same speed as the $2 \times 2$ pixel pattern, when quad shading is off.
## 10 CONCLUSION
We have demonstrated that a standard graphics pipeline implemented entirely in software can achieve real-time rendering performance for real-world scenes on a GPU today. The flexibility of a software approach opens up interesting possibilities in the form of application-defined graphics pipelines tailored directly to a specific task. Performance results established over more than 100 test scenes show rendering speeds for our approach within one order of magnitude of the hardware graphics pipeline. We are also within a factor of approximately three of CUDA Raster while enabling a bounded-memory, end-to-end streaming implementation with a fully-compliant vertex processing stage that is portable across all current CUDA hardware architectures. We are considerably faster than Piko while at the same time addressing core issues such as primitive order, clipping, and screen-space derivatives. Our streaming graphics pipeline was the only approach next to the OpenGL reference able to complete all test cases in all resolutions on all graphics cards.
While a software implementation will never replace an equivalent hardware graphics pipeline when it comes to raw speed and efficiency, we see an interesting prospect in graphics hardware gradually adding support for software pipelines alongside the traditional hardware pipeline. By doing so, future GPU architectures could cover both ends of the spectrum and give applications a choice to use the programmable hardware pipeline for maximum efficiency or a hardware-accelerated software pipeline in cases where such a more flexible approach better fits the task at hand. Given sufficient hardware support in key places, the overhead of a software rendering pipeline may ultimately be amortized in certain applications by enabling a more straightforward implementation of rendering algorithms in a custom graphics pipeline. The hardware cost of adding this support would likely be limited, as many of the desirable features such as highly-optimized framebuffer operations and high-performance scheduling logic are already present in the hardware.
An important open question is what the interfaces through which such hardware support would be exposed to software should look like. We believe that a software pipeline implementation such as ours, which is similar in design and behavior to the hardware
pipeline, may prove to also be a powerful tool in attacking problems such as this one. Even with a pure software system like the one we presented, there is a need for a proper interface between pipeline and application. Particular strength of a software approach in this regard lies in the fact that the boundary between graphics pipeline and application can be moved around freely which facilitates rapid exploration of different ideas.
For future work, we plan to further develop our implementation into a Direct3D12-class graphics pipeline with support for tessellation, and experiment with more complex pipeline extensions. Ultimately, we seek to generalize our approach to allow arbitrary streaming graphics pipelines to be expressed in a way that facilitates the synthesis of an efficient GPU implementation from an abstract pipeline model.
As a service to the community, we have made our implementation available as open source: https://github.com/GPUPeople/cuRE.
ACKNOWLEDGMENTS
This research was supported by the Max Planck Center for Visual Computing and Communication, by the German Research Foundation (DFG) grant STE 2565/1-1, and the Austrian Science Fund (FWF) grant I 3007.
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تعليق على بعض الاحاديث العالمية والعلامات حتى 7 مايو 2019
Holy_bible_1
اكبر هدفي فقط من هذه الخدمة أن نذكر بعضا بأننا نحتاج ان نستعد أي حياة اليقظة الروحية. والاستعداد ليس فقط قبل مجيء المسيح بل ايضا قبل الظلمة التي ستسبق مجيئه ليكون عندنا زيت في مصابيحنا يكفي ان نعبر هذه الظلمة وتكون مصابيحنا مضيئة وقت مجيئه او من منا سيسلم وديعته في أي وقت. بمعنى نحتاج من الان ان نستعد بقوة بأيمان عامل وبتنقية القلب وان نتمر بالخدمة أي نجمع زيت في مصابيحنا لان الظلمة والضيقة اقتربت جدا ومن لن يستعد لها بزيت كافي من الان لن يجد زيت في الضيقة لان وقتها تجميع زيت سيكون صعب جدا بل أستطيع ان أقول من مثل العذارى انه لن يكون هناك زيت الا ما جمعته سابقا.
أفضل ان اقول لنفسي ولكم استعدوا الان لأنه اقترب فتكون مستعدين سواء جاء او نحن ان سلمنا وديعتنا عن أني لا اقول أنه اقترب لكيليا يقال عني كاذب وانشر اشاعات او اخيف البعض
ولكنه يأتي بسرعة بعنته. لا اعتقاد أي أحد ندم لأنه كان مستعد ومنتظر مجيء المسيح ولم يأتي المسيح في زمنه ولكنها انتقل وهو مستعد ولكن كثيرين جدا ندموا على عدم الاستعداد عندما انتقلوا
المسيح قال بعض العلامات مثل
انجيل لوقا 21
21:10 ثم قال لهم تقوم امة على امة ومملكة على مملكة
21:11 وتكون زلازل عظيمة في اماكن ومجاعات واوبئة وتكون مخاوف وعلامات عظيمة من السماء
21:25 وتكون علامات في الشمس والقمر والنجوم وعلى الارض كرب امم بحيرة البحر والامواج تضج
21:26 والناس يعشى عليهم من خوف وانتظار ما يأتي على المسكونة لان قوات السماوات تنززع
21:27و حينذا يبصرون ابن الانسان اتيا في سحابة بقوة و مجد كثير
سفر اعمال الرسل 2
2: 19 واعطي عجائب في السماء من فوق وآيات على الارض من أسفل دما وتازا وبخار دخان
2: 20 تتحول الشمس الى ظلما والقمر الى دم قبل ان يجيء يوم الرب العظيم الشهير
2: 21 ويكون كل من يدعو باسم الرب يخلاص
لماذا قال المسيح بعض العلامات؟
أولا لكلا نرتاع
انجيل متى 24
مت 24: 6 وسوف تسمعون بحروب واخبار حروب انظروا لا ترتابوا لأنه لا بد ان تكون هذه
كلها ولكن ليس المنهي بعد
ثانيا لنؤمن
إنجيل يوحنا 14: 29
وقلْتُ لَكُمْ الآنَ قَبْلَ أَنْ يَكُونَ، حَتَّىٰ مَثَّىٰ كَانَ يُؤْمِنُونَ.
ثالثا لنتبه ونستعد
انجيل لوقا 21
28 وَمَثَّىٰ ابْتَدَأَتْ هَذِهِ يَكُونُ، فَانْتَصِبُوا وَارْفَعُوا رُؤُوسَكُمْ لَأَنَّ نَجَاكُمْ نَقْرَبُ».
NASA Chief Warns of Potential 'Major Asteroid Strike on Earth in Our Lifetime'
04-30-2019 - Steve Warren
NASA and various scientific experts are participating in their latest drill this week, examining what federal agencies would do in case an asteroid struck our planet.
If you think this sounds like the good premise for a science fiction movie, NASA administrator Jim Bridenstine would probably agree with you. However, Bridenstine thinks Earth could face the real possibility of such a catastrophic event within our lifetime.
مخاوف من منذب عملاق سيمر قرب الأرض في يوم الجمعة 13 سنة 2029
Huge 'God of Chaos' asteroid to pass near Earth in 2029: report
By Brie Stimson | Fox News
Fox News Flash top headlines for May 1
Fox News Flash top headlines for May 1 are here. Check out what's clicking on Foxnews.com
A 1,110-foot-wide asteroid named for the Egyptian god of chaos (and possibly a Stargate SG-1 character)
وناسا تبدأ تستعد لوصوله من الان
في آخر كسوف قمري نيزك يضرب القمر بسرعة 38,000 ميل في الساعة
During the Last Lunar Eclipse, a Meteor Smacked the Moon in the Face at 38,000 Mph
By Brandon Specktor, Senior Writer | May 1, 2019 06:57am ET
When the moon went dark on January 21, 2019, it got smacked in the face by a rock traveling 38,000 mph (61,000 km/h).
Credit: J. M. Madiedo / MIDAS
On January 21, 2019, the full moon passed entirely into Earth's
هابل يرصد اجسام عملاقة مثل كرات الجيلي في الفضاء البعيد
The Hubble Space Telescope recently spied new evidence of a peculiar molecule: wiggly buckyballs, which have intrigued astrophysicists since they were discovered in space nearly a decade ago.
Dubbed Buckminsterfullerene, these supersize molecules are made of 60 carbon atoms linked together in pentagons and hexagons to form a hollow sphere. The shape of these structures is much like a soccer ball, or like the geodesic domes designed by 20th-century architect Richard Buckminster Fuller (the inspiration for the molecule's name).
Buckyballs were first spotted in space in the form of a gas in 2010, and then as particles in 2012. And now, Hubble has spotted the first evidence of charged buckyballs hiding in the thin plumes of gas and dust that drift between stars, known as the interstellar medium.
Every night, a network of NASA all-sky cameras scans the skies above the United States for meteoritic fireballs. Automated software maintained by NASA's Meteoroid Environment Office calculates their orbits, velocity, penetration depth in Earth's atmosphere and many other characteristics. Daily results are presented here on Spaceweather.com.
On Apr. 30, 2019, the network reported **18** fireballs.
(17 sporadics, 1 eta Aquariid)
In this diagram of the inner solar system, all of the fireball orbits intersect at a single point—Earth. The orbits are color-coded by velocity, from slow (red) to fast (blue). [Larger image] [movies]
يوم 2 مايو 21 كرة نارية
All Sky Fireball Network
Every night, a network of NASA all-sky cameras scans the skies above the United States for meteoritic fireballs. Automated software maintained by NASA's Meteoroid Environment Office calculates their orbits, velocity, penetration depth in Earth's atmosphere and many other characteristics. Daily results are presented here on Spaceweather.com.
On May 2, 2019, the network reported **21** fireballs. (21 sporadics)
In this diagram of the inner solar system, all of the fireball orbits intersect at a single point—Earth. The orbits are color-coded by velocity, from slow (red) to fast (blue). [Larger image] [movies]
يوم 3 مايو 32 كرة نارية
Every night, a network of [NASA all-sky cameras](#) scans the skies above the United States for meteoritic fireballs. Automated software maintained by NASA's Meteoroid Environment Office calculates their orbits, velocity, penetration depth in Earth's atmosphere and many other characteristics. Daily results are presented here on Spaceweather.com.
On May 3, 2019, the network reported **32** fireballs.
(29 sporadics, 3 eta Aquarids)
In this diagram of the inner solar system, all of the fireball orbits intersect at a single point—Earth. The orbits are [color-coded](#) by velocity, from slow (red) to fast (blue). [Larger image] [movies]
يوم 4 مايو 20 كرَة نارِية
Every night, a network of NASA all-sky cameras scans the skies above the United States for meteoritic fireballs. Automated software maintained by NASA's Meteoroid Environment Office calculates their orbits, velocity, penetration depth in Earth's atmosphere and many other characteristics. Daily results are presented here on Spaceweather.com.
On May 4, 2019, the network reported **20** fireballs.
(17 sporadics, 3 eta Aquariids)
In this diagram of the inner solar system, all of the fireball orbits intersect at a single point—Earth. The orbits are color-coded by velocity, from slow (red) to fast (blue). [Larger image] [movies]
يوم 5 مايو 26 كرة نارية
Every night, a network of NASA all-sky cameras scans the skies above the United States for meteoritic fireballs. Automated software maintained by NASA's Meteoroid Environment Office calculates their orbits, velocity, penetration depth in Earth's atmosphere and many other characteristics. Daily results are presented here on Spaceweather.com.
On May 5, 2019, the network reported **26** fireballs.
(18 sporadics, 7 eta Aquarids, 1 eta Lyrid)
In this diagram of the inner solar system, all of the fireball orbits intersect at a single point—Earth. The orbits are color-coded by velocity, from slow (red) to fast (blue). [Larger image] [movies]
يوم 6 مايو 17 كرَة نارِية
All Sky Fireball Network
Every night, a network of NASA all-sky cameras scans the skies above the United States for meteoritic fireballs. Automated software maintained by NASA's Meteoroid Environment Office calculates their orbits, velocity, penetration depth in Earth's atmosphere and many other characteristics. Daily results are presented here on Spaceweather.com.
On May 6, 2019, the network reported **17** fireballs.
(10 eta Aquarids, 7 sporadics)
In this diagram of the inner solar system, all of the fireball orbits intersect at a single point—Earth. The orbits are color-coded by velocity, from slow (red) to fast (blue). [Larger image] [movies]
قائمة الاجسام الفضائية التي تهدد الأرض ارتفع الى 1983
Potentially Hazardous Asteroids (PHAs) are space rocks larger than approximately 100m that can come closer to Earth than 0.05 AU. None of the known PHAs is on a collision course with our planet, although astronomers are finding new ones all the time.
On May 4, 2019 there were **1983** potentially hazardous asteroids.
### Recent & Upcoming Earth-asteroid encounters:
| Asteroid | Date(UT) | Miss Distance | Velocity (km/s) | Diameter (m) |
|----------|------------|---------------|-----------------|--------------|
| 2019 HS2 | 2019-Apr-28| 5.1 LD | 12.1 | 18 |
| 2019 GX5 | 2019-Apr-28| 7.2 LD | 10.6 | 26 |
| 2019 HP3 | 2019-Apr-28| 14 LD | 5.8 | 25 |
| 2019 JJ | 2019-Apr-28| 2 LD | 10 | 11 |
| 2019 JF | 2019-Apr-29| 9.8 LD | 20.9 | 67 |
| 2019 HN3 | 2019-Apr-29| 6.5 LD | 8.1 | 56 |
| 2019 JK | 2019-Apr-30| 0.7 LD | 17.9 | 9 |
| 2019 HM3 | 2019-Apr-30| 6.3 LD | 5.2 | 15 |
| 2019 JH | 2019-Apr-30| 1.2 LD | 31.7 | 19 |
| 2019 HQ3 | 2019-May-01| 13.8 LD | 18.6 | 68 |
| 2019 HK | 2019-May-01| 12.8 LD | 12.9 | 51 |
| 2019 HW3 | 2019-May-01| 16 LD | 8.6 | 36 |
| 2019 HM4 | 2019-May-02| 8.4 LD | 7.9 | 19 |
| 2019 HP | 2019-May-03| 9.3 LD | 5.7 | 26 |
| 2019 HV3 | 2019-May-04| 12.4 LD | 10.9 | 55 |
| 2018 KK1 | 2019-May-05| 13.9 LD | 13.9 | 71 |
| 2019 JE | 2019-May-05| 2.5 LD | 7.2 | 23 |
| 2019 HQ3 | 2019-May-07| 15.7 LD | 12.7 | 27 |
| 2019 JM | 2019-May-09| 4 LD | 7.5 | 14 |
| 2017 RC | 2019-May-09| 14.5 LD | 10.6 | 9 |
| 2008 HS3 | 2019-May-09| 14.6 LD | 5.3 | 162 |
| 2019 JL | 2019-May-12| 14 LD | 9.2 | 19 |
| 2018 VX8 | 2019-May-12| 6.2 LD | 15.5 | 118 |
| 2012 KT12| 2019-May-17| 4.2 LD | 4 | 20 |
| 2019 GT1 | 2019-May-17| 6.1 LD | 3.9 | 36 |
| 2015 KQ18| 2019-May-25| 10.7 LD | 13.1 | 30 |
| 66391 | 2019-May-25| 13.5 LD | 21.5 | 1780 |
| 2003 LH | 2019-May-28| 15.6 LD | 7.4 | 32 |
| 2011 HP | 2019-May-30| 12.3 LD | 8.4 | 135 |
| 2014 MF18| 2019-Jun-06| 8.8 LD | 3 | 22 |
| 441987 | 2019-Jun-24| 7.7 LD | 12.6 | 178 |
| 2008 KV2 | 2019-Jun-27| 17.8 LD | 11.4 | 195 |
| 2016 NN15| 2019-Jun-28| 9.6 LD | 8.4 | 16 |
| 2015 XC352| 2019-Jul-01| 11.9 LD | 4.1 | 26 |
**Notes:** LD means "Lunar Distance." 1 LD = 384,401 km, the distance between Earth and the Moon. 1 LD also equals 0.00256 AU. MAG is the visual magnitude of the asteroid on the date of closest approach.
Massive floods hit Ottawa - breaking all-time high water records, Canada
Posted by Grace Nona on April 29, 2019 at 12:57 UTC (1 day ago)
Categories: Featured articles, Floods
Ottawa is fighting massive spring floods that hit areas along the Ottawa River on Friday, April 26, 2019. A state of emergency has been declared in the city and surrounding areas.
Democrats Want This Video Destroyed — Watch Now Before It’s Banned
Too many Americans got rich too quick, so billionaires want this system banned.
Watch The Video
Promoted Content
مخاوف من سونامي علاق يضرب الساحل الشرقي الأمريكي
Is a Mega-Tsunami About to Crash Into the East Coast of the United States?
Someday, a giant meteor will slam into the Atlantic Ocean, and the colossal tsunami that is produced will wipe out most of the people that are living along the east coast. In 1998, a big Hollywood movie entitled *Deep Impact* imagined what such an event would look like, and scientists assure us that it is just a matter of time before it takes place. And since 39% of all Americans live in a county that directly borders a shoreline, we are in an extremely vulnerable position.
Earlier today I was scrolling through my Facebook feed, and I came across a video entitled "What if A Mega-Tsunami Hit The United States?"
If you know me well, then you probably know that this is a hot-button issue for me, and
أحد المرشحين للانتخابات الامريكية القادمة يدعي أن امامنا 10 سنوات فقط لمعتبر تغير الطقس
Beto: We only have '10 years' left to address climate change
By Joseph A. Wulfsohn | Fox News
Beto O'Rourke loses two top staffers in infancy of 2020 campaign
The Texas Democrat's staff shrinks as the field of primary challengers grows; Peter Doocy has the details.
Democratic presidential candidate Beto O'Rourke sounded the alarms on Monday, saying that civilization has...
41 dead and 169 000 affected as Tropical Cyclone "Kenneth" hits Mozambique
Posted by Grace Nona on May 1, 2019 at 22:23 UTC (12 hours ago)
Categories: Cyclones, Floods, Tropical Storms
Tropical Cyclone "Kenneth" has continued to batter parts of Mozambique with heavy rain after the storm made landfall on April 25, 2019 with maximum sustained winds of 220 km/h (140 mph). This
عواصف شديدة تسبب خسائر كثيرة فقد سجل 25 تورنيدو في أسابيع
A brutal storm system bringing tornadoes, heavy rains and flooding to the country is slowly moving through the central US.
ABC News reports the system caused a tornado outbreak, hurling 25 twisters across Texas, Oklahoma, Arkansas, Missouri and Kansas.
Within the last 24 hours, 73 damaging storm reports have been released from Texas to Illinois.
System Off Florida May Be 2019's First Named Atlantic Storm
(Bloomberg) -- The Atlantic hurricane season’s official start is a month away, but the waters off Florida are already churning.
A patch of low pressure swirling over the northwest Bahamas has a 20 percent chance over the next five days of becoming the first tropical storm of 2019, the National Hurricane Center in Miami said. Either way, the system will probably dump heavy rains across Florida and the Bahamas.
“May storms are not all that uncommon,” said Jim Rouiller, chief meteorologist at Energy Weather Group. “As far as energy production is concerned there is not one worry.”
More than 100 million in the path of life-threatening Cyclone Fani as storm forecasts predict a direct hit on the eastern coast of India
Cyclone Fani continues to strengthen as it tracks over the Bay of Bengal and may make a direct hit on the eastern India coastline later this week. More than 100 million people are in the potential path of this life-threatening tropical cyclone. Fani is currently an Extremely Severe Cyclonic Storm with winds equal to a Category 3 hurricane in the Atlantic or East Pacific oceans.
Life-threatening cyclone Fani forecast to make a direct hit on eastern India coast end of the week. Map via Accuweather
Tropical Cyclone Fani Slams Into Northeast India, Uprooting Trees, Downing Power Lines and Destroying Homes
By Pam Wright · 2 hours ago · weather.com
Nearly a Million Evacuated From Cyclone, Millions More in Danger
Meteorologist Ari Sarsalari says millions are in danger in India and Bangladesh as Tropical Cyclone Fani moves along the coastline.
At a Glance
- Tropical Cyclone Fani slammed into northeast India Friday, uprooting trees, downing power lines and sweeping away thatched homes.
- More than 1.2 million residents had been evacuated Thursday in low-lying areas of northeastern India.
- Hundreds of disaster personnel have been deployed to help residents in Odisha state.
فيضان الذي ضرب المسيسيبي سبب خسائر كثيرة وارتفع النهر لمعدل لم يحدث من 157 سنة
Flooding from Michigan to the South damages homes, sends Mississippi River to 157-year-high in Davenport, Iowa
Scatter severe thunderstorms stretching from Texas to Ohio Valley brought tornadoes and flooding across several states. The storms overturned trucks, damaged homes and forced many to seek high ground. At least seven people are dead as a result of storms and flooding since Monday. The Mississippi River ticked above levels reached in 1993 in Davenport, Iowa, the highest level there in 157 years. The city’s downtown area remained under water Friday, days after a temporary levee gave way. Michigan Gov. Gretchen Whitmer declared a state of emergency Thursday for Wayne County. At least 3,000 homes have been damaged in Wayne County from flooding.
Mystery booms and loud noise reports from 1934 to now. Find out the largest list of mysterious booms and
وهذا الفيضان قد يستمر ليونيه
Historic Mississippi River flooding could extend into June, experts warn
The Mississippi River hit a record high of 22.64 feet, flooding Davenport, Iowa.
Flooding along the Mississippi River could persist through the end of the month and even into June as relentless rains continue to saturate the Midwest, forecasters say.
يوم الخميس 27 زلزال
يوم الجمعة 42 زلزال
منهم 6.1 في جزيرة سليمان
1 Day, Magnitude 2.5+ U.S.
42 of 42 earthquakes in map area.
5.7 8km WSW of San Agustin, Philip...
2019-05-04 01:05:09 (UTC) 10.0 km
منهم 5.7 في الفلبين
يوم السبت 40 زلزال
1 Day, Magnitude 2.5+ U.S.
40 of 40 earthquakes in map area.
يوم الاثنين 34 زلزال
1 Day, Magnitude 2.5+ U.S.
34 of 34 earthquakes in map area.
Click for more information
7.2 33km NW of Bulolo, Papua New...
2019-05-06 21:19:35 (UTC) 126.9 km
منهم 7.2 في بابا نيو جيني
هذا الأسبوع حدث به زلزال قرية
7 Days, Magnitude 4.5+ U.S.
78 of 78 earthquakes in map area.
Click for more information
7.2 33km NW of Bulolo, Papua New...
2019-05-06 21:19:35 (UTC) 126.9 km
6.1 145km NNE of Buala, Solomon Is...
2019-05-03 07:25:29 (UTC) 10.0 km
و به 2 بقوة 7.2 و 6.1 ريختر
تيار زلزال يضرب منطقة كالديرا البركانية وقد يكون هذا علامة انفجارات في المستقبل
Yellowstone volcano: Earthquake swarm hits deadly caldera which could be sign of ERUPTION
YELLOWSTONE volcano could be about to erupt and challenge humanity’s existence as a spate of mini-quakes have been felt around the fearsome caldera.
By SEAN MARTIN
PUBLISHED: 07.23, Fri, May 3, 2019
UPDATED: 09.49, Fri, May 3, 2019
زلازل بابا نيو جيني 7.2 سبب خسائر ولكن لا يوجد اخبار عن وفيات
7.2 magnitude earthquake strikes Papua New Guinea
A magnitude 7.2 earthquake has rattled the Pacific island nation of Papua New Guinea.
CANBERRA, Australia - The quake hit around 7:20 a.m. Tuesday about 33 kilometers (21 miles) southeast of Bulolo, on the country's eastern side. It struck at a depth of 127 kilometers (79 miles). U.S. Geological
Earthquakes today: California RATTLED as SIX earthquakes rock US west coast
CALIFORNIA was rocked by a chain of earthquakes today, with a total of six detected on the US west coast today.
By LIAM DOYLE
PUBLISHED: 15:10, Fri, May 3, 2019 | UPDATED: 09:19, Sat, May 4, 2019
The Pacific Ring of Fire has seen a total of 27 earthquakes today, ranging from magnitude-2.5 to a major 6.1. This region sees some 90 percent of the World's seismic activity and 70 percent of the planet's active volcanoes also reside there. California is particularly active, as it sits on a...
Officials have halted a major construction project at a hospital in Surabaya, Indonesia, after a large sinkhole opened up at the site, local media have reported.
يوم 15 ابريل موت قطيع من الأسماك في خليج في البرازيل
Cardume de peixes mortos surge em lagoa e desanima pescador: 'morreu o pouco que tinha'
Flagrante foi feito por Pablo Santos em São Pedro da Aldeia, RJ. Ele diz que não consegue pescar há cinco meses.
Por G1 — Região dos Lagos
15/04/2019 12h43 - Atualizado há 2 semanas
Pescador mostra a grande quantidade de peixes que apareceram mortos
يوم 17 ابريل موت مئات من الأسماك في ميناء في سويسرا
Des centaines de poissons sont morts d'asphyxie dans le port couvert de Sugiez (Fribourg). La raison de leur rassemblement dans ce port est pour l'heure un mystère. Différentes pompes ont été mobilisées mercredi pour réoxygénérer l'eau rapidement.
يوم 20 ابريل موت كم كبير من الأسماك في شاطئ في البرازيل
Peixes aparecem mortos no Rio Sergipe
Mortandade foi registrada em um trecho da região do Povoado Pedra Branca, localizado no município de Laranjeiras.
Por G1 SE
20/04/2019 11h04 - Atualizado há uma semana
يوم 21 ابريل موت 3 حيتان في شاطئ في المكسيك
Hallan tres ballenas muertas en playa de San Quintín en 14 días
Esta es la tercer ballena en catorce días que es hallada muerta en la playa de San Quintín, en Ensenada Baja California
Ensenada, Baja California.- Una tercera ballena gris fue hallada sin vida en la playa del poblado de San Quintín, a
وأيضا في نفس اليوم موت مئات من الأسماك في قناة مائية في جويانا
Guyana: Hundreds of dead fish found floating in Essequibo canals
By Guyana Times
April 21, 2019
Dead fish in the canal that runs between the Richmond Housing Scheme and La Belle Alliance Housing Scheme, Essequibo Coast
(GUYANA TIMES) — Hundreds of dead fish were found floating in a canal on the Essequibo Coast, Region Two (Pomeroon-Supenaam) on Saturday morning and residents in nearby areas are complaining of the unbearable stench emanating from the waterway.
يوم 22 ابريل موت 23 سلحفاة بحرية و13 درفيل على شواطئ مسيسيبي
Dolphins, sea turtles, oysters dying along Gulf Coast; experts point to Bonnet Carre Spillway
BY ANITA LEE | The (Biloxi) Sun Herald APR 22, 2019 - 1:23 PM
A dolphin carcass recently washed ashore from the Mississippi Sound has skin lesions, which is evidence of damage from freshwater intrusion. Moby Solangi, director of the Institute of Marine Mammal Studies, says fresh water also damages the eyes of dolphins and turtles, most notably the endangered Kemp's ridley. Handout photo from Institute for Marine Mammal Studies via The (Biloxi) Sun Herald.
استمرار موت سيد قشطة في أثيوبيا والسبب غير معروف
The bodies of at least 28 hippopotamuses have been found in Ethiopia's national park in the southwest of the country, local media reported Monday.
The semi-aquatic mammals died in the Gibe Sheleko National Park, a part of the Gibe River, local broadcaster FANA said.
Behirwa Mega, head of the park told FANA that the animals died between April 14 and 21 and that the cause of their deaths is presently unknown.
تقدير بان 150 الى 200 مليون خنزير أصيب بعدوى انفلونزا الخنازير بشكل كارثي وهذا يؤثر على موارد الغذاء في افريقيا
African Swine Fever is the greatest threat to global food production that we have seen since World War II ended. As you will see below, the disease has now spread “to every province in mainland China”, and it has now infected “an estimated 150-200 million pigs”. To put that number in perspective, that is more pigs than the entire U.S. pork
A Sign Of The Times? A Plague Of Millions Of Locusts Descends On Saudi Arabia
By Michael T. Snyder - May 1, 2019
Just a few days ago, millions of locusts suddenly descended upon a city in Saudi Arabia. Here is how the locust plague was described by the Express...
Like something out of the bible, Najran in Saudia Arabia was descended upon by a plague of locusts over the weekend. The video footage recorded by locals showed the sheer numbers within the swarm as they can be seen creating a new layer on a thick tree. Several videos have begun circulating online since Sunday showing the scale of the infestation that has impacted countries on sides of the...
حالتين اخر من الحصبة في تنسى فتصل الى 3 اشخاص مصابين
The Tennessee Department of Health says two more cases of the measles have been discovered in East Tennessee. This brings the number of cases in the state to three. (Image: CDC)
The Tennessee Department of Health says two more cases of the measles have been discovered in East Tennessee. This brings the number of cases in the state to three.
أول حالة حصبة في الباما
Alabama has first confirmed case of measles; infant in St. Clair County diagnosed
Updated May 2, 2019; Posted May 2, 2019
A vial containing the MMR vaccine, right, and another vial containing the diluent used to mix the vaccine, sit on a tray before being loaded into a syringe at the Medical Arts Pediatric Med Group in Los Angeles on February 6, 2015. (Mel Melcon/Los Angeles Times/TNS)
سيدة مصابة بالحصبة تذهب لحفل افتتاح فيلم في سينما وتعرض كل الموجودين للحصبة
‘Avengers: Endgame’ fans exposed to measles at midnight premiere, LA officials say
BY DON SWEENEY
MAY 01, 2019 02:07 PM, UPDATED MAY 01, 2019 02:28 PM
Cleveland Clinic explains how measles comes on, develops, can get complicated and how to prevent the infectious disease. BY CLEVELAND CLINIC | DAVID CARACCIO
A woman in her 20s who attended a midnight premiere of “Avengers: Endgame” in California may have exposed the opening night audience to measles, the Los Angeles Times reports.
The woman, who lives in Placentia, contracted the illness while traveling overseas, KTLA reported. She was not aware she was sick when she attended a showing of the blockbuster movie in Fullerton, the station said.
Patrons at the AMC movie theater on Lemon Street between 11 p.m. Thursday and 4 a.m. Friday may have been exposed, the Los Angeles Times reported.
أيضا وضع سفينة للسينتولوججي بكل ما عليها في الحجر الصحي بسبب إصابة أحد طاقمها بالحصبة
Scientology cruise ship quarantined after crew member tests positive for measles
The ship's doctor says the case is isolated to the vessel.
A Scientology cruise ship with nearly 300 passengers and crew members has been quarantined in the
مخاوف من الوباء الأسود وانتشاره بعد وجود مصابين على طيارة وموت اثنين
Black Death pandemic fears after ‘disease found on PLANE’ – two dead
FEARS of a Black Death pandemic are spreading after two people died from eating contaminated meat, potentially transmitting the disease onto a plane.
By Jamie Micklethwaite / Published 3rd May 2019
Expert warns that Black Death plague is spreading across cities
Shocking scenes show the plane being met at an airport by men in white anti-contamination suits.
للأسف اختلاط عدوى الهيربس الفم مع الأعضاء التناسلية ينتج عواقب كارثية على الصحة
Oral and genital herpes viruses are 'having sex' - with terrifying consequences
Researchers from the University of Washington School of Medicine have revealed that the viruses - HSV-1 and HSV-2 - are mixing together, forming new versions of herpes.
استمرار انتشار الاليبولا في الكونغو ووصل عدد الوفيات الى 1000
اكتشاف إصابة الخنازير باليبيولا يسبب موجة صادمة في شبكات انتاج الطعام
Pig ‘Ebola’ Virus Sends Shock Waves Through Global Food Chain
By Dan Murtaugh and Enda Curran
May 2, 2019 3:01 PM MDT
Updated on May 2, 2019 9:53 PM MDT
- African swine fever in China will impact global food supply
- Virus will move markets, may influence geopolitics: Rabobank
Sign up for Next China, a weekly email on where the nation stands now and where it's going next.
للأسف منظمة البيئة الأمريكية تقول ان جلايفوسات (مبيد حشائش roundup ليس مادة مسرطنة رغم كل الأبحاث التي تثبت انه مسرطن وبهذا سيزيد استخدامه أكثر.
U.S. environment agency says glyphosate weed killer is not a carcinogen
CHICAGO (Reuters) - The U.S. Environmental Protection Agency (EPA) said on Tuesday that glyphosate, a chemical in many popular weed killers, is not a carcinogen, contradicting decisions by U.S. juries that found it caused cancer in people.
miRNAs (قطع من الدي ان ايه) نباتية تدور في دم الانسان ولها دور التعبير الجيني البشري (أي جينات الانسان تتأثر بما يأكله)
Plant miRNAs found in human circulating system provide evidences of cross kingdom RNAi
Yu-Chen Liu, Wen Liang Chen, Wei-Hsiang Kung and Hsien-Da Huang
*BMC Genomics* 2017 18 (Suppl 2) :112
https://doi.org/10.1186/s12864-017-3502-3 | © The Author(s). 2017
Published: 14 March 2017
**Abstract**
**Background**
Emerging evidence indicates that plant miRNAs can present within human circulating system through dietary intake and regulate human gene expression. Hence we deduced that comestible plants miRNAs can be identified in the public available small RNA sequencing data sets.
**Results**
In this study, we identified abundant plant miRNAs sequences from 410 human plasma small RNA sequencing data sets. One particular plant miRNA miR2910, conserved in fruits and vegetables, was found to present in high relative amount in the plasma samples. This miRNA, with same 6mer and 7mer-A1 target seed sequences as hsa-miR-4259 and hsa-miR-4715-5p,
ما أريد أن أوضحه أننا كثيرا ما كنا نحذر من الأطعمة المعدلة جينيا و يقولوا ليس لها أي تأثير سلبي فهي تهضم بالكامل وهذا هنا نكتشف أن ما نأكله يؤثر على تعبير جيناتنا مثل المناعة فتخيلوا التأثير السلبي البشع للطعام المعدل جينيا.
بحث عن تأثير التطعيمات الجانبية توضح أنهم يطرحوا التطعيم لمدة سنوات وبعد هذا يعرفوا عراضه الجانبية (أي إحدى حيوانات معمل يجب فيها) بل تم الموافقة عليه بالتصويت 100% رغم أنه يمكن يسبب myocardial infarction ذبحة صدرية بنسبة تصل 10%.
في هذا الرابط من يريد ان يرى الفيديو كيف يتم الموافقة على التطعيمات بدون دراسة وبدون معرفة اعراضه الجانبية ولا التأثير الضار على المواد المضافة للتطعيم
https://www.facebook.com/black.by.name/videos/10157241043690850/UzpfSTM4OTk0OTU1NDU0OTMwNDoxMDQ4NDYyMjg1MzY0Njkx/
اخبار حروب
اكتشاف أجهزة تجسس روسية على حوت ابيض في النرويج وقد يكون هرب من روسيا
Fishermen in Norway came across a Russian spy late last week, but the interloper wouldn't reveal its mission, and with good reason: It couldn't, because it was a beluga whale (*Delphinapterus leucas*).
However, the [beluga whale's](#) outfit gave it away. The surprisingly tame whale was wearing a harness that read "Equipment of St. Petersburg," indicating that it was likely trained by the Russian navy to be used for special operations, according to news sources.
But why would the Russian navy use a beluga whale for special ops — as opposed to a [bottlenose dolphin](#) (*Tursiops truncatus*) or a California sea lion (*Zalophus californianus*), [like the U.S. Navy does](#)? Here's a look at why these marine mammals are drafted into service.
HONG KONG (Reuters) - Recent visitors to the bay surrounding a submarine base on the southern coast of China's Hainan Island describe a curious nocturnal phenomenon. Powerful spotlights are sometimes trained directly on the ocean frontages of neighboring countries, including Vietnam and the Philippines.
Trump says he welcomes help from China and Russia in North Korea issue
ترامب يقول انه يرحب بمساعدة الصين وروسيا في مشكلة كوريا الشمالية
Trump says he welcomes China, Russia help over NKorea
By Sebastian Smith with Kang Jin-kyu in Seoul
Washington (AFP) April 26, 2019
President Donald Trump on Friday welcomed Russian and Chinese help with North Korean nuclear negotiations, despite Kim Jong Un accusing the US of "bad faith" at a first summit with Vladimir Putin.
"I appreciate that Russia and China are helping us," he told reporters at the White House.
Putin's first summit with Kim on Thursday was seen as a response to the failure of a Kim-Trump meeting in Hanoi in February, where talks broke down without agreement.
But Trump indicated that he does not see China and Russia as rivals in the struggle to get North Korea to give up its nuclear arsenal.
"China is helping us because I think they want to. They don't need nuclear weapons right next to their country," Trump said.
"I think we're doing very well with North Korea. A lot of progress is being made," he added.
"I appreciated President Putin's statement yesterday. He wants to see it done also. I think there is a lot of excitement for getting a deal done with North Korea."
Kim left his summit with Putin indicating that he has cooled on the much-touted bid by Trump to woo his country into a non-nuclear future.
North Korea fires short-range projectiles eastward – S. Korea
Published time: 4 May, 2019 00:42
Edited time: 4 May, 2019 08:18
FILE PHOTO: North Korean soldiers ride a multiple rocket launcher © Reuters / Danish Siddiqui
North Korea has fired several short-range projectiles eastward from the city of Wonsan on its east coast, according to South Korea’s Joint Chiefs of Staff, which initially misidentified the objects as missiles.
The projectiles went off at 9:06 a.m. on Saturday from the east coast town of Wonsan in the direction of the Sea of Japan (known in the Koreas as the East Sea), Yonhap news agency reported, quoting South Korea’s Joint Chiefs of Staff (JCS), which initially misidentified the objects as ballistic missiles. The projectiles flew between 70 and 200km.
البنتاجون يحذر من مخاطر الغواصات الصينية في الارتك
WASHINGTON (Reuters) - Deepening Chinese activities in the Arctic region could pave the way for a strengthened military presence, including the deployment of submarines to act as deterrents against nuclear attack, the Pentagon said in a report released on Thursday.
الجيش الأمريكي ينجح في اختبارات إسقاط الطائرات بدون طيار بواسطة الليزر وأيضاً أسلحة الميكروويف.
Raytheon shoots down drone with lasers, microwaves in Air Force test
by Ed Adamszky
Washington DC (UPI) May 01, 2019
A U.S. Air Force exercise involving high-energy microwaves and guided lasers to shoot down drones was a success, contractor Raytheon announced.
Dozens of unmanned aerial targets were defeated in the tests at White Sands Missile Range, N.M., a Raytheon statement released on Tuesday said.
The event expanded on previous directed energy demonstrations, including a U.S. Army exercise in 2017 and a previous Air Force test in January.
The high energy laser system uses invisible beams of light to shoot down aerial targets, and the high-powered microwave bursts disrupt drone guidance systems. Its primary advantages are speed and a low cost per engagement. The weapons have been mounted on all-terrain vehicles specially made by Minnesota's Polaris Industries for the military.
"After decades of research and investment, we believe these advanced directed energy applications will soon be ready for the battlefield to help protect people, assets and infrastructure," said Dr. Thomas Bussing, Raytheon Advanced Missile Systems vice president.
Raytheon and the U.S. Air Force Research Laboratory have partnered on a $2 million contract to test and demonstrate high-power microwave and counter-UAV [unmanned aerial system] technologies.
تعاقات شراء الأسلحة الامريكية تزالت جدا من وقت ما أعلنت أمريكا نيتها في الانسحاب من الاتفاق النووي مع روسيا
Missile contracts surge as US exits arms treaty: study
By Nina LARSON
Geneva (AFP) May 2, 2019
Washington has signed more than $1 billion in new missile contracts in the three months since it announced plans to withdraw from a key Cold War-era arms treaty, campaigners said Thursday.
"The withdrawal from the INF Treaty has fired the starting pistol on a new Cold War," warned Beatrice Fihn, who heads the Nobel Peace Prize-winning International Campaign to Abolish Nuclear Weapons (ICAN).
US President Donald Trump announced last October that his country would leave the Intermediate-Range Nuclear Forces (INF) agreement concluded between the US and the former Soviet Union in 1987.
Washington, which accused Russia of violating the treaty through a new missile system, began the official process of withdrawing from the pact in February.
Russian President Vladimir Putin responded by saying Moscow would also leave the INF treaty, which is considered the cornerstone of global arms control.
In the three months following the October announcement, the US government "proceeded to arrange no less than $1 billion in new missile contracts", according to a report by ICAN and another anti-nuclear campaign group, PAX.
The report detailed over $1.1 billion in new contracts with six mainly US companies.
US defence contractor Raytheon saw the biggest windfall, tallying 44 new contracts worth some $537 million.
Lockheed Martin meanwhile scooped up 36 new contracts, worth $268 million, while Boeing grabbed four new contracts totalling $245 million, the report found.
إيران تحرك سفن حربية قرب مضيق هرمز و هذا يسبب ارتفاع سعر البترول
والكويت تخشى ان تغلق إيران هذا المضيق
Kuwait is looking at Iranian threats to block the Strait of Hormuz with concern, the Kuwaiti Deputy Foreign Minister Khaled al-Jarallah said Sunday, according to Reuters, which quoted the Kuwait News Agency (KUNA).
KUNA said Jarallah was commenting on tensions in the region after Iran’s Revolutionary Guards made a threat to close the strategic waterway.
“We are looking at these threats with concern, and hoping as always to distance our region from this tension,” he said.
Iran, Russia to hold joint maritime drills in Persian Gulf
Two countries discussed increased military and defense ties during the Moscow Conference on International Security (MCIS).
By Anna Ahronheim / April 29, 2019 15:41
2 minute read.
America sends message of threat to Iran through announcement of sending more warships to the Middle East.
The Trump administration is sending an aircraft carrier and a bomber task force to the Middle East, the White House said Sunday, in a show of force aimed at Iran.
“In response to a number of troubling and escalatory indications and warnings, the United States is deploying the USS Abraham Lincoln...”
RUSSIA has secretly installed nuclear missiles in Venezuela a US politician has sensationally claimed in a chilling echo of the Cuban Missile Crisis.
Republican congressman Mario Diaz-Balart said he believes Vladimir Putin's hidden
قائد المعارضة في فنزويلا يتكلم في الشوارع عن ان الجيش يزيل مادورو بقوة السلاح
ويمي يقول ان التدخل العسكري هو حل محتمل لمنع كارثة فينزويلا
Venezuela’s dictator Nicolas Maduro appears to still be in control of the South American nation following a day of violent skirmishes between his supporters and opposition forces.
Still, the country's leading politician trying to unseat him from power is urging his countrymen to keep up the pressure.
In a video posted on social media, opposition leader Juan Guaidó urged Venezuelans to take to the streets again today and called on the
ترامب وبوتين يناقشون ليلصوا لاتفاق حول مشكلة فنزويلا ومادورو
Could Russia and the US come to a deal over Venezuela’s Maduro?
Published Wed, May 1 2019 • 9:27 AM EDT | Updated Thu, May 2 2019 • 1:53 AM EDT
Holly Ellyatt @HOLLYELLYATT
KEY POINTS
- Unrest continues in Venezuela after opposition leader Juan Guaido called on protesters to take to the streets.
- President Nicolas Maduro appears to still have the backing of the military.
- Russia wants to prevent the U.S. from expanding its sphere of influence.
US vows to track down remaining ISIS leaders
United States says it will track down and defeat surviving leaders of ISIS after group publishes video of its leader.
The United States vowed on Monday that it would track down and defeat surviving leaders of the Islamic State (ISIS) jihadist group.
The comments came after the group published a video of its leader, Abu Bakr Al-Baghdadi, for the first time since 2014.
The US-led coalition against the group will fight across the world to "ensure an enduring defeat of these terrorists and that any leaders who remain are delivered the justice that they deserve," a State Department spokesman said, according to AFP.
US government analysts "will review this recording and we will defer to the intelligence community in terms of what we can say about it," he added.
رئيس وزراء العراق يحذر ان داعش ضعفت ولكن لم تنزهم بالكلية
Iraqi premier warns IS weakened, not defeated
by Staff Writers
Berlin (AFP) April 30, 2019
Iraqi Premier Adel Abdel Mahdi said Tuesday the Islamic State group had been militarily weakened but not defeated, as the recent deadly Sri Lanka bombings had shown.
An IS propaganda video released Monday with a purported appearance by the jihadist group's elusive supremo Abu Bakr al-Baghdadi showed him in what appeared to be a "very simple and isolated" location, Mahdi said on a visit to Berlin.
"One and a half years ago Daesh (IS) controlled large areas in Iraq and Syria, and now Baghdad appears in an isolated, unknown location," he said about the world's most wanted man.
"He did not seem to be among his followers like the first time in Mosul", he said, referring to a 2014 video in which Baghdadi announced the birth of the Islamic State group's much-feared "caliphate" across swathes of Iraq and Syria.
After losing its last remaining territory in the Syrian town of Baghouz in March, "IS has not completely disappeared but suffered painful blows", the Iraqi premier said at a joint press conference with German Chancellor Angela Merkel.
Mahdi cautioned that IS "will try to rebuild trust among its fighters, will try to launch further operations" like the Sri Lanka April 21 attacks which killed more than 250 people.
"Daesh was broken, but if little cells are left, it could reactivate and resurface and commit painful attacks," he added, according to interpreted remarks.
Similarly, Merkel said the video was a sign that "we will remain occupied for some time to come with the question of how IS can finally be defeated."
والجهاديين الإسلاميين يحذرها بأنهم سيضربون في مدن كبيرة لو اغتيال قادة الإسلام استمر
Islamic Jihad warns will hit major cities if targeted assassinations resume
Following IDF's publication of photo of terror commander al-Atta, Gaza commander Ziad Nahala warned that the Resistance will respond forcefully
Elior Levy | Published: 05.02.19, 23:11
The Islamic Jihad commander in Gaza Ziad Nahala responded Thursday to the revelation regarding the commander of the northern brigade of the organizations' military wing Baha al-Atta earlier this week. They believe the publication of his name is an indication that Israel will assassinate him if terror attacks continue.
"We will respond with all our might to any killing of our member regardless of their rank, occupation or organization affiliation," Nahala said and threatened to "strike major cities in retaliation regardless of prior agreements. We will have not red lines."
ترام يعمل على اعلان ان الاخوان المسلمين هي منظمة إرهابية
President Donald Trump plans to designate the Muslim Brotherhood as a foreign terror organization, *The New York Times* reports.
Such a designation would make the Muslim Brotherhood and its partners vulnerable to harsh economic and travel sanctions imposed by the US.
The *Times* reports that national security and diplomatic officials began discussing the move after Egyptian president Abdel Fattah el-Sisi held
'Armageddon' rioting breaks out in Paris as extremist demonstrators hijack May Day protests – even attacking the intensive care unit of the hospital where Princess Diana died after injured police were taken there
- The so-called Black Bloc anti-capitalist movement were involved in clashes with riot police this afternoon
- A total of 300 arrest were made in the French capital with huge parts of the city being placed on lockdown
- Some 7,400 police were on the streets for May Day, when workers traditionally protest against the ruling elite
- Bin and vehicles set on fire in barricades as rocks thrown at police who in turn use weapons on demonstrators
- Pitie-Salpetriere hospital in Paris where Princes Diana died in 1997 so up to 30 intruders storm the building
صراعات في جنوب طرابلس قتلت 187 شخص وأكثر من 1000 جرحى
Fighting in southern Tripoli kills 187, more than 1,000 wounded: spokesman
FILE PHOTO - A member of the Libyan internationally recognised government forces fires during a fight with Eastern forces in Ain Zara, Tripoli, Libya April 28, 2019. REUTERS/Ismail Zitouny
TRIPOLI (Reuters) - Recent fighting in southern Tripoli in...
Israel’s UN ambassador Danny Danon used the Bible to defend the Jewish people's claim to the land of Israel during a special session at the United Nations Security Council on Monday.
Danon was tasked with the job of proving the case for Jews' connection to the Holy Land during the session. He outlined four reasons, "the..."
Gaza-Israel hostilities flare with rocket attacks, air strikes
by Reuters
Saturday, 4 May 2019 16:44 GMT
GAZA/JERUSALEM, May 4 (Reuters) - Gaza militants fired dozens of rockets into Israel on Saturday, drawing a wave of Israeli air strikes that killed a Palestinian baby and a gunman, as hostilities flared across the border for a second day.
The escalation began on Friday when a sniper from the Palestinian Islamic Jihad militant group fired at Israeli troops across the border wounding two of them, according to the Israeli military. A retaliatory Israeli air strike then killed two militants from the Islamist Hamas group that rules Gaza.
Two other Palestinians protesting near the frontier were also killed by Israeli forces.
إسرائيل تقول إنه تم إطلاق أكثر من 600 صاروخ عليها وإسرائيل ضربت 260 موقع في غزة
Over 600 rockets fired at Israel
‘Hamas and its people will be subject to targeted assassinations whenever we want and decide,’ a senior Israeli Air Force official says.
Hamas has fired about 600 rockets at the southern region of Israel since the attacks began Saturday, according to a senior Israel Air Force official.
The official added that 400 rockets fell in open areas, and the defense establishment intercepted 86% of the other 200.
“We are hitting terrorist cells and preparing for any possible escalation,” the source said, adding that “we have many more possibilities for action which will be broader in scope. Hamas and its people will be subject to targeted assassinations whenever we want and decide.”
The official noted that the Air Force had attacked 200 targets, including quality targets such as tunnels, rocket launchers, and weapons depots, in addition to military targets.
إسرائيل تقول ان إيران هي من وراء اخر هجوم صاروخي من غزة
AMIDROR: IRAN BEHIND THE GAZA ESCALATION
"Why did the Islamic Jihad do this?" former national security adviser asks. "The answer is again and again and again - Iran."
BY HERB KEINON / MAY 6, 2019 02:15
2 minute read.
اكتشاف معسكر إرهابيين إسلاميين في الباما
MACON COUNTY, Ala. (WPMI) — A WPMI report uncovered a terrorist compound right here in Alabama. A federal search warrant WPMI obtained says this compound was similar to the terror cell’s desert compound in New Mexico that was raided last summer. Siraj Wahhaj and four others are now facing federal terrorism, kidnapping and firearms charges.
وأطفال في مدرسة إسلامية في فلاديفيا يقولوا أناشيد جهادية للقتال
The Middle East Media Research Institute (MEMRI) reported Friday that the Muslim American Society Islamic Center in Philadelphia (MAS Philly) had uploaded a video of children
Mysterious booms and rumblings, and unexplained strange sounds baffle residents across the world, but the mystery remains!
What is causing the mysterious ‘booms’ and rumblings heard around the world? What about the strange sounds in the sky? This isn’t the first time that the mysterious sound has been heard, and incidents are becoming more frequent. This year alone, similar noises have been reported dozens of times in locations including USA, UK, Canada, Australia, several countries in Europe, Middle-East and South America. Here the latest reports:
Mystery booms and rumblings, and unexplained strange sounds baffle residents across the world, but the mystery remains!
Louis Farrakhan, Alex Jones and other 'dangerous' voices banned by Facebook and Instagram
By Oliver Darcy, CNN Business
Updated 6:14 AM ET, Fri May 3, 2019
New York (CNN Business) — Facebook announced Thursday that it had designated some high-profile people, including Nation of Islam leader Louis Farrakhan, who's notorious for using anti-Semitic language, and right-wing conspiracy theorist Alex Jones, as "dangerous" and said it will be purging them from its platforms.
ترامب يهاجم شركات مواقع التواصل الاجتماعي ويقول انهم غير محايدين بعد استمرار غلق صفحات إخبارية لبعض المحافظين
رئيس الفيس بوك يأخذ إجازة من منصبه ليطلق برنامج جديد وهو ما بدأته كندا ومشروع الدخل الأساسي لكل انسان
Mark Zuckerberg, 34, unveils his latest venture: a universal basic income for all Canadians
Mark Zuckerberg steps down as CEO of Facebook to launch a new type of social program alongside his wife, Priscilla, in various countries around the world. Both strong advocates for a guaranteed income, Mark and Priscilla have rolled out the program through their Chan Zuckerberg Initiative, a non-profit organization that seeks to promote equal opportunity. As more and more jobs are threatened by robots, they claim to have come up with a plan to eventually introduce a universal basic income - which is basically a minimum salary that will be paid to all people. Though it seems like a great idea, it will be expensive. How expensive? At least $43 billion.
When asked for further information, and how they would benefit from this, the couple went on to say that "the tax credits and benefits alone would make this venture
موضوع الدخل الأساسي يبدوا براق وعدالة اجتماعية ولكن سيحول الإنسان إلى مجرد كائن بدون فائدة ولا هدف ولا طموح
بروفيسور في جامعة أكسفورد يدعي أن الكائنات الفضائية تتناسل بالفعل مع البشر على الأرض وأطلقوا عليها مباشرة نظرية التجانس
ماذا حدث لهؤلاء العلماء؟ لماذا أصبحت تصريحاتهم جنونية؟
الاضطهاد ضد اليهود أيضا يتزايد فأكبر عدد قتل ووصل إلى 400 حالة بسبب العداء لليهود من عشرات السنين
Anti-Semitic attacks spike, killing most Jews in decades
By ARON HELLER Associated Press May 1, 2019 Updated 14 hrs ago 54
FILE - In this April 29, 2019, file, photo, Hannah Kaye, center, the daughter of Lori Kaye, who died when a man opened fire during Passover service inside a synagogue, sits on the ground with her aunt, Randi Grossman, as the last shovels of dirt cover her mother's grave during funeral services, in San Diego. Israeli researchers reported Wednesday, May 1, 2019, that violent attacks against Jews spiked significantly last year, with the largest reported number of Jews killed in anti-Semitic acts in decades, leading to an "increasing sense of emergency" among Jewish communities worldwide.
Gregory Bull
Human life begins in bright flash of light as a sperm meets an egg, scientists have shown for the first time, after capturing the astonishing ‘fireworks’ on film.
An explosion of tiny sparks erupts from the egg at the exact moment of conception.
Bible BOMBSHELL: Ancient stone tablet ‘PROVES’ Old Testament king WAS real
THE latest analysis of a mysterious stone slab proves a key Old Testament king really did exist, an eminent archeologist has announced.
By TOM FISH
06:00, Fri, May 3, 2019 | UPDATED: 07:27, Fri, May 3, 2019
The historicity of the Bible, or the Christian book’s acceptability as a history, is a controversial and contested field study. Few archaeological discoveries have so far supported many of the Old Testament’s narratives as history. But a groundbreaking study of an ancient stone tablet may have overturned a thousand years of Old Testament understanding.
اكتشاف ادلة أكثر تؤكد رحلة الخروج من مصر عبر نويبع الى مديان (شمال السعودية حاليا)
‘Mind-Blowing’ Evidence of Moses’ Journey From Egypt to Saudi Arabia REVEALED
Despite a majority of researchers questioning the accuracy of the Book of Exodus, some believe that Jews’s flight from Egypt did indeed take place – and that new evidence of this is poised to “seriously shift” the frame of discussion.
Researchers from the Doubting Thomas Research Foundation (DTRF), which investigates the historicity and evidence of Biblical accounts, say they may have found the route to the Promised Land taken by the Israelites under Moses' leadership.
Filmmaker Ryan Mauro of the DTRF had made three trips to Saudi Arabia, which he believes is the location of the biblical city of Midian. He claims to have found evidence of the Israelites' journey through the region, including a rock formation that resembles a pyramid and a cave that could be the site of the burning bush where God appeared to Moses.
First-quarter gold purchases by central banks, led by Russia and China, were the highest in six years as countries diversify their assets away from the U.S. dollar.
Dollar, U.S. Assets Seen as Safe Havens, IG Markets' Rodda Says
Listen to article
2:11
Banks bought 145.5 tons in first quarter: World Gold Council
Council expects central bank demand to stay strong this year
Trump Calls on Americans to Use the 'Power of Prayer' to End Violence and Protect Religious Liberty
9:00AM EDT 5/2/2019
John Jessup/CBN News
President Donald Trump greets guests at the annual White House National Day of Prayer Dinner Wednesday night. (John Jessup: CBN News)
About 100 people—religious leaders, Trump administration officials, and their guests—celebrated the "power of prayer" at the White House Wednesday night ahead of the day set aside annually for Americans of all faiths to pray for thanks and guidance.
"America will be a nation that believes forever, and we certainly believe—more than anyone—the power of prayer," President Donald J. Trump declared in the State Dining Room before continuing with an unscripted flourish: "It's the most powerful thing there is."
رئيس كهنة يقول ان المسيحيين في نيجيريا يذبحون مثل الفراخ ولا أحد يهتم بهذا والاعلام العالمي صامت تماما
A Nigerian archbishop has decried the slaughter of Christians in his country and the media silence surrounding it, declaring that “Christians are being killed like chickens.”
Archbishop Matthew Man-oso Ndagoso told LifeSiteNews said that in the Muslim-dominated northwest of the country people live in constant fear, especially in the state of Kaduna where he resides.
‘Disappearing’: Christian Persecution Is Nearing ‘Genocide Levels’
A new report commissioned by British Foreign Secretary Jeremy
وأيضا إيران تزيد من اضطهادها للأقليات الغير شيعية (وبخاصة المسيحيين)
Report: Iran Escalates Targeting of Non-Shiite Muslims, Other Religious Minorities
Thiaa, a 20-year-old Sunni Turkman who says he was imprisoned and beaten by the Iran-backed Shi'ite paramilitaries, is seen in Tuz Khurmatu, Iraq October 27, 2017.
A U.S. government body that monitors global religious freedom says conditions in Iran worsened last year, with escalated government targeting of non-Shi'ite Muslims and...
Iran's intelligence minister has admitted publicly for the first time that Christianity is spreading throughout Iran.
*Iranwire.com* reports Mahmoud Alavi, the Islamic Republic's intelligence minister, was giving a speech in front of several Shia Muslim clerics when he announced "Christianity is spreading in 'parts' of Iran."
In an apparent attempt to make light of the people are converting, Alavi said, "I am not surprised by this. It is like a natural phenomenon."
ISIS leader hails Sri Lanka attacks in new video
Self-proclaimed caliph Abu Bakr al-Baghdadi makes first appearance in nearly five years to urge followers on
By ALISON TAHMIZIAN MEUSE, BEIRUT
A screenshot from a video published by ISIS media shows its leader, Abu Bakr al-Baghdadi, for the first time in five years.
الغاء الخدمات الكاثوليكية في سيريلانكا للمرة الثانية بسبب تحذير الحكومة من عمليات إرهابية
Catholic Services in Sri Lanka Capital Again Canceled
May 02, 2019 5:06 AM
Associated Press
A soldier stands guard outside St. Sebastian Church, days after a string of suicide bomb attacks across the island on Easter Sunday, in Negombo, Sri Lanka, May 1, 2019.
COLOMBO, SRI LANKA — Catholic services are being canceled for a second weekend in Sri Lanka’s capital after the government warned of more possible attacks by the same Islamic State–linked group that carried out Easter suicide bombings.
6 People Killed in African Church, Including Pastor, Two Sons
By Megan Briggs – April 29, 2019
A Protestant church in the western African nation of Burkina Faso was targeted by militants in an attack on Sunday, April 28, 2019. The pastor of the church and two of his sons are believed to be among the six people killed in the attack.
“The attackers were on motorbikes. They fired in the air before aiming at the members of the congregation,” a witness told Agence France-Presse.
This Is the First Such Attack on a Church
According to government spokesman Remy Fulgance Dandjinou, this is the first attack of its kind in the country’s history.
The number of Christians in the birthplace of their faith, the greater Middle East, continues to plummet months after the Islamic State, which waged a genocidal campaign against Christians, lost its “caliphate” in Iraq and Syria, Breitbart News learned from various experts, including an archbishop.
جمعية التحرر من الأديان تريد إزالة لوحة الوصايا العشر من مدرسة في اوهايو
Freedom From Religion Foundation Wants Ten Commandments Plaque Removed From Ohio Middle School
By Heather Clark on April 29, 2019 · 9 Comments
NEW PHILADELPHIA, Ohio — One of the nation's most conspicuous Church-State separation groups has sent a letter to an Ohio school district to request that it remove a plaque at an area middle school that features the Ten Commandments.
The Wisconsin-based Freedom From Religion Foundation (FFRF) says that it was contacted by a parent who advised that Welty Middle School in New Philadelphia has a Decalogue plaque near the entrance to its auditorium. The plaque cites the class of 1926 at the bottom.
وأيضا جمعية التحرر من الأديان تنجح في منع جملة ليبارك الرب أمريكا من بعض المدارس
Grade School Bans “God Bless America”
By Todd Starnes - April 30, 2019
EDITOR’S NOTE: Leftists are waging a cultural jihad across America. They are trying to erase our history and fundamentally transform our nation. I write about their quest in my new book, “Culture Jihad: How to Stop the Left From Killing a Nation. Click here to get pre-order!
Every day after the recitation of the Pledge of Allegiance someone at Sabold Elementary School in Springfield, Pennsylvania would proclaim, “God bless America.”
للأسف الشيطان الذي يحارب الكنيسة بكل الأشكال فالان مجموعة سحرة يحاولوا ادعاء انهم مسيحيين ليخترقوا الكنيسة ويفسدوها من الداخل
Prophetic Dream: Witches Are Infiltrating Churches at Alarming Rate
Witches are infiltrating the church right now at a level Christians have never seen before, says Andy Sanders.
In an interview with *Charisma News*, Sanders—an author and prophetic voice—says this is because the devil has lost some ground in the church and U.S. government.
"I had several dreams and times when God came to me, saying, 'You need to start preparing and warning the body of Christ that witches are on the loose,'" he says. "They're no longer sleeping and just camping out anymore."
He recalls an instance when a witch infiltrated a church he was pastoring. One of the members was put on staff against the previous pastor's will. Over the years, that person
احترسوا جدا من الاخوة الكذبة. ليس كل من يدعي أنه مسيحي فهو مسيحي فمن لا يجمع مع المسيح ومن لا يدافع عن كلمة المسيح فهو من هؤلاء. ومن يدعي أنه مسيحي ويؤيد غير المسيحيين ضد المسيحية فهو من الاخوة الكذبة.
تساؤل كم سيستغرق الوقت حتى تمنع مواقع التواصل الاجتماعي تماما المحافظين المسيحيين لأنهم يمنعوا تدريجيا
How Long Before Social Media Completely Bans Conservatives?
By Todd Starnes - May 3, 2019
Mark my words: It will not be long before social media purges every outspoken conservative from their platforms. You have been warned, America.
I would urge you right now to sign up for my free weekly newsletter. It is the only way to guarantee that you receive conservative news and commentary without social media censorship. Click here to subscribe.
That newsletter is the lifeboat we need to fight back against the leftist overlords who control the tech industry. Let me give you an example: more than 260,000 people follow my Facebook page, but only 5,000 or so are allowed to actually view the content.
I can’t begin to tell you how many messages we receive from our viewers and listeners angry because Facebook will not allow our content to appear on their news feeds.
الغريب جدا تعليق الحزب الديمقراطي المؤيد للإجهاض يقول اقتلهم الآن او ستنقلتهم لاحقا
Alabama lawmaker defends abortion: 'You kill them now or kill them later'
By Michael Gryboski, Christian Post Reporter
A Democratic state representative in Alabama justified the practice of abortion during a debate over a pro-life bill by arguing that "some kids are unwanted" and you either "kill them now or kill them later."
Rep. John Rogers of Birmingham garnered widespread condemnation for comments he made during a debate over House Bill 314, which makes most abortion procedures a felony. The bill eventually passed by a vote of 74–3.
دراسة تقترح أن هناك علاقة بين ازدياد حالات الانتحار بين الأطفال والمراهقين وما تقدمه نت
فليكس
Study Suggests Rise in Suicide Among Kids and Teens After Netflix Drama '13 Reasons Why'
04-30-2019 - Christian Ellis
Suicide is at a 19-year-high among kids ages 10 to 17, and some are suggesting it's tied to the release of the Netflix drama "13 Reasons Why" which showed a girl ending her life.
Researchers admit they cannot prove the connection, but they do say there were 195 more youth suicides than would have been expected in the nine months after the show came out in March 2017.
The Canadian Government Is Now a Dangerous Big Brother
2:00PM EDT 5/31/2019
Michael Brown
Canadian Prime Minister Justin Trudeau (REUTERS/Chris Wattie)
This important story has been out for some days now, but I waited before writing. Why? It’s because I did not want to write yet another article on transanity. Another article on extreme transgender activism. Another article on the world being turned upside down.
But this is too urgent. Too disturbing.
In a totalitarian regime, it's a parents' worst nightmare.
I'm talking about government intervention. About hostile, outside forces coming right into your home and usurping your authority. About the courts forbidding you from parenting your child. And, worse still, threatening to punish you if you dare try.
Is America Ready for a Gay President? ‘You’re Going to See the Wall Crumble’
Raymond Buckley, the chairman of the New Hampshire Democratic Party, talks about Pete Buttigieg and what it means to be gay and married and running for president in 2019.
Raymond Buckley, chairman of the New Hampshire Democratic Party, on election night last November. Cheryl Senter/Associated Press
By Jeremy W. Peters
April 30, 2019
Mayor Pete Buttigieg's Unlikely, Untested, Unprecedented Presidential Campaign
By Charlotte Alter/South Bend
May 2, 2019
متحولة جنسيا تناصي بان تسمح بتغيير شهادات الميلاد بما يعكس الاختيار الجنسي (وليس جنس الميلاد)
‘Transgenders’ Sue Tennessee in Effort to Have Birth Certificate Changed to Reflect ‘Gender Identity’
By Heather Clark on May 1, 2019 · 4 Comments
NASHVILLE, Tenn. — Four “transgendered” people have filed suit against the State of Tennessee in an effort to obtain a court order that would allow them to have their birth certificate changed to reflect their “gender identity.”
“For transgender people, the sex designation on their original birth certificate is inaccurate because they were assigned the incorrect sex at birth. Correcting the sex designation on their birth certificate is thus critically important for transgender people,” the lawsuit, filed by Lambda Legal on Thursday, reads.
أربع مدارس في شمال فرجينيا يقولوا ان الاف الطلبة في المدارس العامة يعرفوا أنفسهم بأنهم متحولين جنسيا
Four schools in northern Virginia claim there are "thousands of students in Virginia public schools who...identify as transgender" and should be allowed to use whatever bathroom they choose.
*The Washington Post* reports that the Alexandria, Arlington, Falls Church, and Fairfax County school boards filed a friend-of-the-court brief on behalf of Gavin Grimm, a biological girl who sued her school board in Gloucester County, Virginia in 2015 after being denied access to the boys' restroom.
Second 'Drag Queen Story Hour' Reader in Houston Exposed as a Convicted Child Sex Offender
The Houston, Texas group known as the Houston MassResistance activists have exposed a second "drag queen" as a convicted child sex offender, who was involved in reading stories to children at a local library.
LifeSite News reports the man was convicted of multiple sexual assaults against four young children (ages 4, 5, 6, and 8) in 2004. He was incarcerated and is listed as a "high-risk sex offender."
Meet the 10-year-old who is not a boy or a girl: 'I am who I am'
Xander Martin is a lot like any other 10-year-old. The Bowie native likes to read, play with animals, and climb fences. But this pre-teen is also non-binary, meaning Xander doesn’t identify as either a boy or a girl. Now Xander wants you to understand what this means.
WASHINGTON -- At the Big Purple Barn in Bowie, Xander Martin is like any other kid. The 10-year-old can
The state of California is poised to adopt a no-holds-barred K-12 health curriculum that teaches children as young as kindergarten about gender identity issues and talks explicitly with high school students about every imaginable sex act.
The State Board of Education has been taking public comment on the curriculum for months and despite protests from various parent and conservative groups, it appears it will adopt it this month.
13: 11 هذا وأنكم عارفون الوقت أنها الآن ساعة لنستيقظ من النوم فان خلاصنا الآن أقرب مما كان حين امنا
13: 12 قد تناهى الليل وتقارب النهار فلنخلع أعمال الظلمة ونبس اسلحة النور
13: 13 لنسلك بلياقة كما في النهار لا بالبطر والسكر لا بالمضاجع والعهر لا بالخصام والحسد
13: 14 بل البسوا الرب يسوع المسيح ولا تصنعوا تدبيرا للجسد لأجل الشهوات
احترس ان لم تتمسك بال المسيح من الآن قد لا تستطيع في المستقبل القريب بسبب الظلام.
وكما قلت هو اخبرنا لكي لا نخاف
انجيل متى 24
مت 24: 6 وسوف تسمعون بحروب واخبار حروب انظروا لا ترتاعوا لأنه لا بد ان تكون هذه كلها ولكن ليس المنتهي بعد
14 بطرس الأولى 3:
ولكن قول تأملتم من أجل الرب، قطوباكُم. وأما خوفهم فلا تخافوه ولا تضطرِبوا.
بل تؤمن
إنجيل يوحنا 14: 29
وقلتم الآن قبل أن يكون، حتى متى كان ثومئون.
ثالثا لنتبه ونستعد
انجيل لوقا 21
28 ومتى ابتدا هذه تكون، فانتصبو وارفقو رؤوسكم لأن نجاتكم تقترب».
افرحوا لأن عريسا قد اقترب مجيئه. وانتبهوا الشيطان يريد أن نفقد سلامنا ولا نزال أكاليل.
وأيضا استعدوا فقد تسلموا وديعتم في أي وقت فهناك 150 ألف شخص يموتون في اليوم الواحد
انت لا تعرف متى ستكون منهم
المسيح اقترب فاصنعوا ثمار تليق بالثوبة واستعدوا لاستقبال العريس.
والمجد لله دائما
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The following documents have been prepared, amended, and/or updated relative to the Licensure Inspection Report of Survey January 22, 2019. They are available for OLC inspection at the Falls Church Healthcare Center.
**Staff Reviews and Re-trainings:**
- Sign-in sheets for:
- Sedation Providers - re: hand washing between glove changes, port cleansing, skin prep for iv initiation, verbally announcing steps of provision during inspections, “time out” communication opportunities (muster), categories of health care equipment and environmental items and how each are considered either as critical, semi critical or non critical necessitating different levels of disinfection (CL, LLD, HDL).
- Staff Quality Assurance
- Environmental cleaning and simulations of CL, LLD, HDL.
- Glove PPE use and hand washing between glove changes.
- “time out” communication opportunities (muster).
- NAF and OSHA scheduled annual trainings
- Staff Review of Virginia Department of Health’s 2011 FAQ’s, the Center for Disease Controls 2008 Guidelines for Disinfecting and Sterilization in Healthcare Facilities and PIDACs 2012 Best Practices for Environmental Cleaning for Infection Prevention and Control. Simulation for categories of health care equipment and environmental items and how each are considered either as critical, semi critical or non critical necessitating different levels of disinfection (CL, LLD, HDL).
**Policies, Procedures, Forms and Support Documentation:**
- Medical Director’s Anesthesia Chart Review program
- Notice to QAC of Appointment of qualified clinician to oversee anesthesia program
- Revised Anesthesia Record
- Revised Medical Chart Page 2
- Revised Medical Chart Page 3
- Revised Medical Chart Page 4
- Revised Patient Medical History Form
- “time out” communication opportunities (muster) purpose statement
- Virginia Department of Health’s 2011 FAQ’s,
- Center for Disease Controls 2008 Guidelines for Disinfecting and Sterilization in Healthcare Facilities
- PIDACs 2012 Best Practices for Environmental Cleaning for Infection Prevention and Control.
STATEMENT:
A Reinspection was conducted January 22, 2019 by the Office of Licensure and Certification (OLC) of Falls Church Healthcare Center (FCHC).
Though the items described as "repeat deficiencies" in the inspection report would not improve patient health or care, the below Plans of Correction are provided to maintain FCHC's licensure.
This is not an admission by FCHC that either these deficiencies or the licensing scheme in any way benefits patient health. FCHC disputes that these citations rise to a deficiency or infraction.
That being said, FCHC will not jeopardize its ability to continue providing much needed healthcare to its patients and provides the below correction responses under protest.
After nearly eight years and multiple versions of proposed changes to 12 VAC 5-412, FCHC once again is doing a comprehensive review of our policies, procedures, and patient forms to realign them to the newly revised regulations.
(T 195) 12 VAC5-412-220 B Infection Prevention
Written infection prevention policies and procedures shall include, but not be limited to:
1. Procedures for screening incoming patients and visitors for acute infectious illnesses and applying appropriate measures to prevent transmission of community-acquired infection within the facility.
2. Training of all personnel in proper infection prevention techniques.
3. Correct hand-washing technique, including indications for use of soap and water and use of alcohol-based hand rubs.
4. Use of standard precautions.
5. Compliance with blood-borne pathogen requirements of the U.S. Occupational Safety & Health Administration.
STATEMENT OF DEFICIENCIES AND PLAN OF CORRECTION
| STATEMENT OF DEFICIENCIES | PROVIDER/SUPPLIER/CLIA IDENTIFICATION NUMBER | MULTIPLE CONSTRUCTION | DATE SURVEY COMPLETED |
|---------------------------|---------------------------------------------|-----------------------|-----------------------|
| | AF-0017 | A BUILDING | 01/22/2019 |
NAME OF PROVIDER OR SUPPLIER: FALLS CHURCH HEALTHCARE CENTER
STREET ADDRESS: 900 SOUTH WASHINGTON ST SUITE 300
CITY: FALLS CHURCH
STATE: VA
ZIP CODE: 22046
SUMMARY STATEMENT OF DEFICIENCIES (EACH DEFICIENCY MUST BE PRECEDED BY FULL REGULATORY OR LSC IDENTIFYING INFORMATION)
| ID PREFIX TAG | SUMMARY STATEMENT OF DEFICIENCIES |
|---------------|-----------------------------------|
| T 195 | Continued From Page 1 |
6. Use of personal protective equipment.
7. Use of safe injection practices.
8. Plans for annual retraining of all personnel in infection prevention methods.
9. Procedures for monitoring staff adherence to recommended infection prevention practices and
10. Procedures for documenting annual retraining of all staff in recommended infection prevention practices.
This RULE is not met as evidenced by Based on observation of one (1) surgical abortion procedure, it was determined facility staff failed conduct proper hand sanitizing and ensure that safe injection practices were followed during the procedure (Patient #7).
Findings included
The surveyor entered the procedure room with Staff Member (SM) #5, a CRNA (Certified Registered Nurse Anesthetist) and a medical assistant at 3:15 p.m. SM #5 placed a blue plastic container, which he/she carried into the room, on a table with a respiratory suction machine. The plastic container was used to carry supplies, including, but not limited to, tourniquets, two (2) vials of Propofol, 1 vial of Fentanyl, needles, syringes, and alcohol prep pads. At 3:19 p.m., with gloved hands, SM #5 started an IV (intravenous) access for Patient #7. SM #5 did not clean the skin with alcohol or other disinfectant prior to initiating the IV. After the IV access was secured in place, SM #5 removed his/her gloves but did not wash or sanitize hands. SM #5 placed
T 195 12 VACS-412-220 B
1) BACKGROUND:
Inspectors cited missed opportunity for handwashing after gloves were removed following initiating IV access for same patient. The below Plan of Correction is provided to maintain FCHC’s licensure and is not an admission by FCHC that submitting this Plan of Correction to the Virginia Department of Health benefits patient health.
PLAN OF CORRECTION: Issues of hand washing between changes of gloves and OLC’s reminder to wipe port off with alcohol prior to accessing port was discussed with sedation providers. As part of our regular quality assurance reviews staff reviewed PPE use and logic behind single use glove wear and hand washing between changes. A refresher retraining by NAF on OSHA Infection Prevention guidelines was scheduled for April 10, 2019.
MEASURES TO PREVENT RECURRANCE:
FCHC will continue to include an annual OSHA training in its Infection Control Best Practices. FCHC will continue its annual and ongoing staff retraining and reviews of Infection Control Policies.
MEASURES TO MAINTAIN COMPLIANCE:
Annual and ongoing staff training and reviews of FCHC’s Infection Control Policies will maintain compliance. The Governing Body and Co-Administrators will review FCHC’s policies and procedures annually and as needed to address any emergent issues and take corrective actions. No patients were affected by this inspection item. There have been no events of serious injury to a patient during her care, medication errors that necessitate clinical intervention, death, significant injury resulting from assault, or incident reported to malpractice carrier.
his/her clipboard and writing pen above Patient #7's head, propping it on the roll of table paper at the end of the exam table. With ungloved hands, SM #5 retrieved a vial of Propofol from the plastic blue container, removed the top, wiped the septum with an alcohol prep pad, and withdrew liquid medication into a 20 cc (cubic centimeter) syringe, then discarded the vial into a red sharps container. SM #5 repeated the process of opening/disinfecting a vial of Fentanyl, drawing liquid medication into a three (3) cc syringe, and discarding the vial into the red sharps container. SM #5 reached into a box of clean gloves, and donned a pair of clean gloves. SM #5 injected Propofol and Fentanyl into the Y-medicine IV port without first wiping the port off with alcohol or other disinfectant, prior to accessing the port with either syringe of medication.
"At a minimum gloves shall be used where there is reasonable anticipation of employee hand contact with blood. OPIM (other potentially infectious material), mucous membranes, or non-intact skin, when performing vascular access procedures, or when handling or touching contaminated surfaces or items. Studies have shown that gloves provide a barrier, but that neither vinyl nor latex procedure gloves are completely impermeable. Thus, OSHA (Occupational Safety and Health Administration) requires hand-washing after glove removal!"
(https://www.osha.gov/laws-regs/standardinterpretations/1994-07-01)
"Disinfect catheter hubs, needleless connectors, and injection ports before accessing. Use either an antiseptic containing port protector cap 37-41 or vigorously apply mechanical friction with chlorhexidine/alcohol 42-43 sterile 70% isopropyl alcohol 44-47 or other approved disinfectant swab."
2) BACKGROUND:
Inspectors cited that the clipboard (used for documentation/charting by the sedation provider) had to be cleaned between patients. Falls Church Healthcare Center does not find this "deficiency" to be valid and that no corrective action was made. According to Virginia Department of Health's FAQ's, the Center for Disease Control Guidelines and PIDAC's Best Practices for Environmental Cleaning, The below Plan of Correction is provided to maintain FCHC's licensure and in no way affects or improves patient health or care. FCHC believes the "deficiency" cited contradicts the Virginia Department of Health's 2011 FAQ's, the Centers for Disease Control's 2008 Guidelines for Disinfecting and Sterilizing in Healthcare Facilities and PIDAC's 2012 Best Practices for Environmental Cleaning for Infection Prevention and Control. According to the Virginia Department of Health's 2011 FAQs, non-critical items (such as the clipboard) "should be cleaned when spills occur and when they become visibly dirty." The clipboard was neither visibly soiled/dirty or worn nor were any mucosal membranes or additional precautions applicable. Also the Center for Disease Control's 2008 Guidelines states "use of noncritical items in contact with noncritical surfaces carries little risk of causing an infection in patients or staff." That said, FCHC will not jeopardize its ability to continue providing much needed healthcare to its patients and provides the below correction responses under protest.
PLAN OF CORRECTION:
Though we dispute this citation, a supplemental guideline was added to the current environmental/room/environmental cleaning policy and best practices guidelines. This guideline reviews the Virginia Department of Health's 2011 FAQ's, the Center for Disease Controls 2008 Guidelines for Disinfecting and Sterilization in Healthcare Facilities and PIDAC's 2012 Best Practices for Environmental Cleaning for Infection Prevention and Control.
Additionally, staff will continue to have trainings, simulations and reviews on proper cleaning of environmental items at all levels; aseptic, semi-critical and critical. The supplemental guideline advises how and when each item must be cleaned and decontaminated when "additional precautions" could render an environmental surface CL (clean only) to LL-D (clean and low level disinfection) or HD-L (clean and high level disinfection) when exposed to nonblood body fluids, blood, vomit, or other substances requiring a higher level of disinfection.
MEASURES TO PREVENT RECURRENTS:
Falls Church Healthcare center continues to conduct in-service for staff members reviewing continued use of our proper cleaning techniques and best practices. Our Annual Blood Born Pathogen training is scheduled.
MEASURES TO MAINTAIN COMPLIANCE:
The governing body and administrators will continue to review FCHC's policies and procedures and adapt to changing recommendations and guidelines from NAF and CLIA. FCHC will also continue to make minor, non-invasive changes to the policies and procedures necessitated by TRAAP regulations, that often times does not improve patient care or health and rather serves as a barrier to wellness receiving the level of patient care it deserves in the future. There has been no creation of serious injury to a patient during the case, medication errors that necessitate clinical intervention, death, significant injury resulting from assault, or incident reported to malpractice carriers. No patients were affected by this inspection item.
STATEMENT OF DEFICIENCIES AND PLAN OF CORRECTION
| STATEMENT OF DEFICIENCIES AND PLAN OF CORRECTION | PROVIDER/SUPPLIER/CLIA IDENTIFICATION NUMBER | MULTIPLE CONSTRUCTION |
|--------------------------------------------------|---------------------------------------------|-----------------------|
| AF-0017 | A BUILDING | B WING |
DATE SURVEY COMPLETED: 01/22/2019
NAME OF PROVIDER OR SUPPLIER: FALLS CHURCH HEALTHCARE CENTER
STREET ADDRESS: 900 SOUTH WASHINGTON ST SUITE 300
CITY: FALLS CHURCH, VA 22046
SUMMARY STATEMENT OF DEFICIENCIES
(EACH DEFICIENCY MUST BE PRECEDED BY FULL REGULATORY OR LSC IDENTIFYING INFORMATION)
ID PREFIX TAG: T 195 Continued From Page 3
PROVIDER'S PLAN OF CORRECTION
(EACH CORRECTIVE ACTION SHOULD BE CROSS-REFERENCED TO THE APPROPRIATE DEFICIENCY)
T 195 12 VAC5-412-220 B continued.
3) BACKGROUND:
Inspectors cited that the sedation provider "did not clean the 3-15-19 patient's skin prior to initiating the IV" nor wipe port before accessing. Falls Church Healthcare Center finds this statement to be inaccurate and does not find this "deficiency" to be valid. Thus our "corrective actions" include references to the statement of our sedation provider (SP) and MA in the room. The below Plan of Correction is provided to maintain FCHC's license and is not an admission by FCHC that submitting this Plan of Correction to the Virginia Department of Health benefits patient health. FCHC disputes that this is a deficiency or infraction. That being said, FCHC will not jeopardize its ability to continue providing much needed healthcare to its patients and provides the below correction response under protest.
PLAN OF CORRECTION:
The Citation was discussed with the sedation provider (SP). SP stated that the inspector was standing behind SP and could not have seen these initial steps the SP completed. Although the inspector was not positioned to ensure that he/she actually observed SP disinfect the skin or port prior to initiating the IV, the inspector did not discuss this item with SP to confirm that SP had actually disinfected the patient's skin or port. The SP has been providing for over 15 years and is a key provider in the most prodigious hospital in the area. The SP stated that they are the most basic of steps, cleansing the skin prior to initiating an IV and is absolutely automatic. The MA confirmed that the SP's always clean a patient's arm and port before initiating the IV. However, though we dispute this citation we have discussed the issue with sedation providers and asked them to make clearly evident, including verbally announcing, the steps of sedation services during an inspection.
MEASURES TO PREVENT RECURRENT:
These measures will insure that an inspector will be aware of each step of the sedation procedure as undertaken. The Governing Body and Co-Administrator will continue to review all policies and procedures to ensure compliance with all relevant statutes, regulations, and professional standards annually and on an as-needed basis to address emerging issues and take corrective action.
MEASURES TO MAINTAIN COMPLIANCE:
The governing body and administrators will continue reviews of FCHC's policies and procedures and adapt to changing recommendations and guidelines.
No patients were affected by this inspection item. There have been no reports of serious injury to a patient during her care, medication errors that necessitate clinical intervention, death, significant injury resulting from assault, or incident reported to malpractice carriers.
STATEMENT OF DEFICIENCIES AND PLAN OF CORRECTION
NAME OF PROVIDER OR SUPPLIER:
FALLS CHURCH HEALTHCARE CENTER
STREET ADDRESS CITY, STATE, ZIP CODE:
900 SOUTH WASHINGTON ST SUITE 300
FALLS CHURCH, VA 22045
SUMMARY STATEMENT OF DEFICIENCIES:
EACH DEFICIENCY MUST BE PRECEDED BY FULL REGULATORY OR LSC IDENTIFYING INFORMATION
PROVIDER'S PLAN OF CORRECTION:
EACH CORRECTIVE ACTION SHOULD BE CROSS-REFERENCED TO THE APPROPRIATE DEFICIENCY
T-355 Continued From Page 4
c Anesthesia record;
d Operative record;
e Surgical medication and medical treatments,
f Recovery room notes;
g Physician and nurses' progress notes
h Condition at time of discharge
i Patient instructions (preoperative and postoperative),
j Names of referral physicians or agencies; and
6 Any other information required by law to be maintained in the health information record
This RULE is not met as evidenced by Based on a review of medical records, it was determined the facility failed to ensure that an accurate and complete medical record was documented for one (1) patient (Patient #5)
Findings included:
A review of Patient #5's medical record revealed that she was admitted to the facility on 9/14/16, and had a monitored anesthesia care (MAC) procedure performed on [redacted]. Patient #5 reported [redacted].
The recovery room note by Staff Member (SM) #6, anesthesiologist documented [redacted]. The recovery room/nursing notes had a pink sticker attached which documented [redacted].
Concerns were discussed with SM #1, Administrative Coordinator, SM #2, Administrator, and SM #4, CEO on 1/22/19 at approximately 5:15 p.m. SM's # 1, 2, and 4 acknowledged the conflicting documentation.
T-355 12 VAC5-412-300 Health Information Records 3-15-19
BACKGROUND:
Inspectors cited an anesthesia record within a chart that had [redacted] that anesthesia record had [redacted] for same patient that would not affect care. The below Plan of Correction is provided to maintain FCHC's licensure and is not an admission by FCHC that submitting this Plan of Correction to the Virginia Department of Health for this clerical error benefits patient care.
Please Note: A patient confirms on at least three separate occasions and at each encounter, including with the sedation provider, [redacted].
PLAN OF CORRECTION:
The [redacted] was discussed with the sedation provider.
Please Note: A patient confirms on at least three separate occasions at each encounter, including with the sedation provider, [redacted].
Additionally, reviews detailing each FCHC staff member's role in keeping accurate charting notes on both the medical record and support forms in the patient chart is included in our regular reviews of the importance of maintaining a complete and accurate record per FCHC's policy "Chart Survey Checklist" and 12 VAC 5-412-355.
MEASURES TO PREVENT RECURRANCE:
The issue of anesthesia records was discussed with the Medical Director who initiated additional support for the sedation providers during their anesthesia record review. The Medical Director appointed a qualified clinician to oversee this program.
The Governing Body and Co-Administrator will continue to review all policies and procedures to ensure compliance with all relevant statutes, regulations, and professional standards annually and on an as-needed basis to address emerging issues and take corrective action.
MEASURES TO MAINTAIN COMPLIANCE:
The various expanded program of chart review will be conducted in accordance with FCHC's policies and procedures, and on an as-needed basis. No patients were adversely affected by this inspection item. There have been no events of serious injury to a patient during her care, medication errors that necessitate clinical intervention, death, significant injury resulting from assault, or incident reported to malpractice carriers.
STATEMENT OF DEFICIENCIES AND PLAN OF CORRECTION
| (X1) PROVIDER/SUPPLIER/CLIA IDENTIFICATION NUMBER | (X2) MULTIPLE CONSTRUCTION |
|---------------------------------------------------|---------------------------|
| AF-0017 | A BUILDING |
| | B WING |
| (X3) DATE SURVEY COMPLETED | 01/22/2019 |
|----------------------------|------------|
| NAME OF PROVIDER OR SUPPLIER | STREET ADDRESS | CITY | STATE | ZIP CODE |
|------------------------------|----------------|------|-------|----------|
| FALLS CHURCH HEALTHCARE CENTER | 900 SOUTH WASHINGTON ST SUITE 300 | FALLS CHURCH, VA | 22046 |
| (X4) ID PREFIX TAG | SUMMARY STATEMENT OF DEFICIENCIES (EACH DEFICIENCY MUST BE PRECEDED BY FULL REGULATORY OR LSC IDENTIFYING INFORMATION) |
|--------------------|------------------------------------------------------------------------------------------------------------------|
| | |
| ID PREFIX TAG | PROVIDER'S PLAN OF CORRECTION (EACH CORRECTIVE ACTION SHOULD BE CROSS-REFERENCED TO THE APPROPRIATE DEFICIENCY) |
|---------------|----------------------------------------------------------------------------------------------------------------|
| | |
{T 355} Continued From Page 5
related to Patient #5's [redacted]
|
AN ACT
CREATING THE DEPARTMENT OF DISASTER RESILIENCE, DEFINING ITS POWERS AND FUNCTIONS, AND APPROPRIATING FUNDS THEREFOR
EXPLANATORY NOTE
The Philippines is located along the Pacific Ring of Fire and the Tropical Cyclone Belt. As a consequence, the Philippines is considered one of the most vulnerable to natural hazards and climate change. Each year, our country sustains immense damage and tremendous losses due to natural disasters. This includes loss of life or injury, damage to infrastructure, properties, and equipment, interruption of food supply, disruptions to critical services, loss of livelihood, business or revenues from business interruption, disruption of economic development, and damage to the environment.
In 2010, we passed Republic Act No. 10121 or the Philippine Disaster Risk Reduction and Management Act (DRRM Act). Since then, the country has endured many climate-related calamities: Typhoons Juan (2010), Sendong (2011), Pablo (2012), Yolanda (2013), Ruby (2014), Lando (2015), Lawin (2016), and Paolo (2017). On top of these typhoons are the “habagat” floods recently and in 2012, and the Bohol-Cebu earthquake in 2013.
The DRRM Act continues to be an important law as it emphasizes risk reduction rather than disaster response. However, the Philippines’ experiences with previous disasters have shown that the new policies, resources, institutional arrangements and hence laws are needed to squarely address the country’s disaster prevention, mitigation, preparedness, response and rehabilitation requirements.
As a member of the Asia-Pacific Economic Cooperation (APEC), the Philippines initiated the APEC Disaster Risk Reduction (DRR) Framework. This was eventually
adopted in 2015 by the 21-member body to facilitate collective work in building adaptive and disaster-resilient economies supporting inclusive and sustainable development in the face of the “new normal.”
Moreover, the Sendai Framework for Disaster Risk Reduction 2015-2030 and the Paris Agreement of the United Nations Framework Convention on Climate Change (UNFCC), endorsed by the United Nations General Assembly in 2015 and 2016, respectively, recognize the need to address climate change as one of the drivers of disaster risk by fostering collaboration among the national and local governments with other stakeholders including non-government organizations (NGOs), international organizations, the academe, and the private sector.
In view of these frameworks, this bill addresses the need for the creation of a single, independent and permanent agency with the mandate, powers, and budget to oversee a comprehensive, coordinated strategy for addressing natural and man-made disasters.
To achieve this, the functions of NDRRMC and the Climate Change Commission, as well as the DSWD’s portfolio related to disaster response will be rolled into one line agency. It is envisioned that with this bill the country will be able to adopt and mainstream the principle of “Building Forward Better,” and take decisive steps beyond previous understandings of disaster risk reduction and management. This measure will complement our proposed measure on making it mandatory that disaster awareness and disaster mitigation are taught as part of the curriculum of all primary and secondary schools.
In line with the Philippine Development Plan (PDP) 2017-2022, which recognizes the great importance of ensuring the country’s resilience to natural disasters and mandates the urgent implementation of effective disaster resilience measures to help induce poverty-reducing growth and reduce inequality, the immediate passage of this bill is imperative and highly sought.
SONNY ANGARA
AN ACT
CREATING THE DEPARTMENT OF DISASTER RESILIENCE, DEFINING ITS POWERS AND FUNCTIONS, AND APPROPRIATING FUNDS THEREFOR
Be it enacted by the Senate and House of Representatives of the Philippines in Congress assembled:
ARTICLE I
GENERAL PROVISIONS
Section 1. Short Title. – This Act shall be known as the “Disaster Resilience Act of 2019”.
Sec. 2. Declaration of Policies and Principles. – The State shall:
a) Protect the lives and properties of its citizens by addressing and preventing the causes of vulnerabilities to natural disasters;
b) Inculcate a culture of resilience and preparedness for natural disasters at the national, regional and local levels;
c) Establish a strong and empowered institution capable of responding to the “new normal” of natural disasters and climate change, and spearhead efforts to ensure disaster resilience by delivering on the highly critical and intertwined functions of disaster risk reduction, preparedness and response, and recovery and building forward better;
d) Address the differentiated concerns and needs of sectors with special needs or higher vulnerabilities such as women, children, elderly, persons with disabilities, and indigenous peoples with respect to disaster
resilience and disaster management;
e) Protect the nation’s historical and cultural heritage and resources from natural hazards;
f) Integrate and accelerate the implementation of the principles, concepts and action plans of climate change and disaster risk reduction contained in the abovementioned international and national frameworks and commitments in various phases of policy formulation, development and investment plans, poverty reduction strategies and other development tools, and techniques by all national and local agencies, institutions and instrumentalities of the government to enhance the country’s capacity for climate change adaptation and mitigation;
g) Foster an enabling environment for substantial and sustainable participation of non-government stakeholders such as the academe, Civil Society Organizations (CSOs), private sector groups, volunteers and communities in disaster resilience programs and projects;
h) Adopt a whole-of-society approach in disaster resilience to enhance collaboration, planning, and dialogue among all sectors of society, and in improving their strategies and/or action plans for disaster risk reduction; and
i) Strengthen the chain of command and establish a unified command system to enhance our country’s disaster resilience.
Sec. 3. Definition of Terms. – For purposes of this Act, the following terms shall be defined as follows:
a. *Adaptation* refers to adjustment in natural or human systems in response to actual or expected climactic stimuli or their effects, which moderates harm or exploits beneficial opportunities;
b. *Assisting Actor* refers to any assisting international actor and any assisting domestic actor responding to a disaster in the country;
c. *Assisting Domestic Actor* refers to any not-for-profit entity established under domestic laws, which is responding to a disaster in the country;
d. *Assisting International Actor* refers to any foreign state, organization, entity or
individual responding to a disaster within or transiting through the country to respond to a disaster in another country;
e. *Biological hazards* refer to hazards that are of organic origin or conveyed by biological vectors, including pathogenic microorganisms, toxins and bioactive substances. Examples are bacteria, viruses or parasites, as well as venomous wildlife and insects, poisonous plants and mosquitoes carrying disease-causing agents;
f. *Building Forward Better* is an approach to building, reconstructing, and/or rehabilitating an area or community that entails a shift from simple recovery and restoration to safer, more adaptive, resilient, and inclusive communities;
g. *Business Continuity* refers to the capacity of a business entity to continue the delivery of its products and/or services at acceptable pre-defined levels following a disruptive incident;
h. *Capacity* refers to the combination of all strengths, attributes and resources available within a community, society or organization that can reduce the level of risk, or impacts of a disaster. Capacity may include infrastructure and physical means, institutions, societal coping abilities, as well as human knowledge, skills and collective attributes such as social relationships, leadership and management. Capacity may also be described as capability;
i. *Civil Society Organizations (CSOs)* refer to non-state actors whose aims are neither to generate profits nor seek governing power but to unite people behind shared goals and interests. They have a presence in public life, expressing the interests and values of their members or others, and are based on ethical, cultural, scientific, religious or philanthropic considerations. CSOs include NGOs, professional associations, foundations, independent research institutes, community-based organizations (CBOs), faith-based organizations, people’s organizations, social movements, and labor unions;
j. *Climate Change* refers to a change in the state of the climate that can be identified by changes in the mean and the variability of its properties, and that persists in an extended period, typically decades or longer, whether due to natural internal processes or external forces such as modulation of the
solar cycles, volcanic eruptions and persistent anthropogenic changes in the composition of the atmosphere or in land use;
k. *Climate Change Mitigation* refers to efforts to reduce or limit greenhouse gas emissions or enhance greenhouse gas sequestration;
l. *Cultural Heritage* refers to the totality of cultural property preserved and developed through time and passed on to posterity;
m. *Contingency Planning* refers to a management process that analyzes specific potential events or emerging situations that might threaten society or the environment and establishes arrangements in advance to enable timely, effective and appropriate responses to such events and situations;
n. *Department* refers to the Department of Disaster Resilience or the DDR;
o. *Development Assistance* refers to any financial, material or other forms of assistance to support the economic, social, and environmental well-being of areas and/or people affected by a natural disaster;
p. *Disability* refers to an evolving concept that results from the interaction between persons with impairments, as defined under RA No. 7277, and attitudinal and environmental barriers that hinder their full and effective participation in society on an equal basis with others;
q. *Disaster* refers to a serious disruption of the functioning of a community or a society involving widespread human, material, economic or environmental losses and impacts, which exceeds the ability of the affected community to cope using its own resources. Unless otherwise specifically indicated in this act, the term “disaster” shall refer to “natural disaster”;
r. *Disaster Contingency Fund* refers to a fund, in lump-sum form, managed by the Department to expeditiously provide funds and resources for disaster relief or response in affected areas;
s. *Disaster Mitigation* or *Mitigation* refers to the lessening or limitation of the adverse impacts of hazards. Mitigation measures include the application of engineering techniques and construction of hazard-resistant structures as well as improved environmental, land use planning, climate change and other sectoral policies and public awareness;
t. *Disaster Preparedness* refers to the knowledge and capacities developed by governments, professional response and recovery organizations, communities and individuals to effectively anticipate, respond to, and recover from, the impacts of likely, imminent or current hazard events or conditions. It includes preparedness for response such as contingency planning, stockpiling of equipment and supplies, the development of arrangements for coordination, evacuation and public information, and preparedness for recovery such as provision of land for resettlement sites;
u. *Disaster Prevention* refers to the intention to avoid, or the outright avoidance, of potential adverse impacts of disasters and related hazards through action(s) taken in advance. It expresses the concept and intention to completely avoid potential adverse impacts through action taken in advance such as construction of dams or embankments that eliminate flood risks, land-use regulations that do not permit any settlement in high-risk zones, and seismic engineering designs that ensure the survival and function of a critical building in any likely earthquake;
v. *Disaster Resilience* refers to the ability of a system, community, or society exposed to hazards to resist, absorb, accommodate, adapt to, transform, and recover from the effects of a hazard and/or the long-term impact of climate change in a timely and efficient manner, including through the preservation and restoration of its essential basic structures and functions through risk management;
w. *Disaster Response* refers to the provision of emergency services and public assistance during or immediately after a disaster in order to secure and save lives, reduce health impacts, ensure public safety and meet the basic subsistence needs of the people affected. Disaster response includes disaster relief focused on immediate and short-term needs of victims and vulnerable;
x. *Disaster Resilience Fund* refers to the budget managed by the Department, which includes funds appropriated to it by Congress pursuant to an Appropriations Act, the Disaster Contingency Fund, and the Rehabilitation and Recovery Fund;
y. *Disaster Risk* refers to the potential disaster losses in lives, health status, livelihoods, assets and services that could occur to a particular community or society in the future, and is determined by a combination of the vulnerability, capacity, exposure of persons and assets, hazard characteristics and the environment;
z. *Disaster Risk Governance* refers to the way in which the public authorities, civil servants, media, private sector, and civil society collaborate at the community, regional and national levels to manage disaster and climate related risks. This means ensuring that sufficient levels of capacity and resources are made available to the relevant actors and stakeholders to prevent, prepare for, manage and recover from disasters. It also entails mechanisms, institutions and processes for citizens to articulate their interests, exercise their legal rights and obligations, and mediate their differences;
aa. *Disaster Risk Management* refers to the systematic process of using administrative directives, organizations, and operational skills and capacities to implement strategies, policies and improved coping capacities to lessen the adverse impacts of hazards and the possibility of disaster;
bb. *Disaster Risk Reduction* refers to the prevention of new, and/or reduction of existing, disaster risk(s) and the management of residual risk, to enhance resilience to disasters;
cc. *Early Warning System* refers to an integrated system of hazard monitoring, forecasting and prediction, disaster risk assessment, and communication and preparedness activities and processes that enable individuals, communities, national government agencies, local government units, the private sector, and others to take timely action to reduce disaster risks and adequately prepare for disasters;
dd. *Eligible Assisting Actor* refers to any assisting actor that has been determined to be eligible to receive legal facilities as provided for in this Act and/or its Implementing Rules and Regulations (IRR);
ee. *Emergency* refers to an unforeseen or sudden occurrence, especially danger,
demanding immediate and decisive action;
ff. *Emergency Management* refers to the organization and management of resources and responsibilities for addressing all aspects of emergencies, in particular preparedness, response and initial recovery steps;
gg. *Environmental hazards* refer to the hazards that may be chemical, natural, and biological, and can be created by environmental degradation or physical or chemical pollution in the air, water, and soil. However, many of the processes and phenomena that fall into this category may be termed drivers of hazard and risk rather than hazards in themselves, such as soil degradation, deforestation, loss of biodiversity, salinization, and sea-level rise;
hh. *Exposure* refers to the degree to which the elements at risk are likely to experience hazard events of different magnitudes;
ii. *Geographic Information System (GIS)* refers to a system used to capture, store, manipulate, manage and display all types of spatial or geographical data;
jj. *Geographically Isolated and Disadvantaged Area (GIDA)* refers to an area with a marginalized population, which is physically and socio-economically separated from the mainstream society and characterized by physical factors – isolated due to distance, weather conditions and transportation difficulties (island, upland lowland, landlocked, hard to reach and underserved communities); and/or socio-economic factors – (high poverty incidence, presence of vulnerable sector, communities in or recovering from situation of crisis or armed conflict);
kk. *Geological or geophysical hazards* refer to the hazards that originate from internal earth processes, such as earthquakes, volcanic activities and emissions, and related geophysical processes, which include mass movements, landslides, rockslides, surface collapses, and debris or mud flows. Hydrometeorological factors are important contributors to some of these processes. While tsunamis are triggered by undersea earthquakes and other geological events, they essentially become an oceanic process that is manifested as a coastal water-related hazard;
II. *Hazard* refers to a phenomenon, substance, human activity or condition that may cause loss of life, injury or impacts to health; social and economic disruption, environmental damage, or loss of/disruption to property, livelihood, and/or services;
mm. *Historical landmarks* refer to sites or structures that are associated with events or achievements significant to Philippine history as declared by the National Historical Institute or the applicable agency;
nn. *Human-Induced Hazard* refers to an event that is caused by humans and occur in or close to human settlements or a particular environmental area. This can include environmental degradation, technological or industrial conditions, pollution, accidents, e.g. high density events, industrial and transport accidents, complex emergencies, armed conflict, situations of generalized or organized violence, and violation of human rights;
oo. *Humanitarian assistance* refers to financial, material or other similar forms of assistance to address the immediate needs of people affected by a natural disaster;
pp. *Hydrometeorological hazards* refer to hazards that are of atmospheric, hydrological, or oceanographic origin, such as tropical cyclones (also known as typhoons and hurricanes); floods, including flash floods; drought; heat waves and cold spells; and coastal storm surges. Hydrometeorological conditions may also be a factor in other hazards such as landslides, wildland fires, locust plagues, epidemics, and in the transport and dispersal of toxic substances and volcanic eruption material;
qq. *Impact and needs assessment* refers to assessing the nature and magnitude of a disaster, its impact on affected populations, the type and extent of emergency, and the requirements for recovery and rehabilitation of the affected area(s);
rr. *Imminent Danger* refers to a situation where, on the basis of official forecasts, it could reasonably be expected that a disaster will occur in a particular geographical area and within an estimated period of time, and where necessary preparedness actions or financing are required;
ss. *Integrated Disaster Resilience Information System* refers to a specialized database, which contains, among others, information on disasters and their human, material, economic and environmental impact, risk assessment and mapping, and vulnerable and marginalized groups;
tt. *International Disaster Relief and Initial Recovery Period* refers to the period that commences upon the issuance of a request for international disaster assistance or upon acceptance of an offer, and shall continue until terminated, pursuant to guidelines set in the implementing rules and regulations;
uu. *Internally Displaced Persons* refers to persons or groups of persons who have been forced or obliged to flee or to leave their homes or places of habitual residence within national borders;
vv. *International Personnel* refers to staff and volunteers of any assisting actor providing disaster relief or initial recovery assistance being persons who are neither citizens of nor domiciled in the Philippines prior to their recruitment by the international assisting actor;
ww. *Land Use Planning* refers to the process undertaken by public authorities to identify, evaluate and decide on different options for the use of land, including consideration of long-term economic, social and environmental objectives and the implications for different communities and interest groups, and the subsequent formulation and promulgation of plans that describe the permitted or acceptable uses;
xx. *Legal Facilities* refer to entitlements and exemptions that are granted to Assisting Domestic or International Actors that are declared to be eligible pursuant to this Act and its implementing rules and regulations;
yy. *Local Disaster Resilience Plan (LDRP)* refers to a document prepared by an LGU based on the National Disaster Resilience Framework (NDRF) and the National Disaster Resilience Plan and Investment Plan (NDRPIP) that sets out specific programs, objectives and goals to implement disaster risk management and climate change adaptation measures at the local level. The plan includes, among others, an evaluation and analysis of emerging disaster
risks, hazards and vulnerabilities applicable to an LGU, and specific programs and activities to ensure responsive, effective, and appropriate disaster preparedness and management at the local level;
zz. *National Continuity Policy* is a comprehensive national policy consisting of a set of programs and projects aimed at capacitating the government to ensure the continuity of governance and the delivery of public services during and after any disaster;
aaa. *National Disaster Resilience Framework (NDRF)* is a framework that provides for a comprehensive, multi-sectoral, whole-of-government, and whole-of-society approach to attaining safe, adaptive, and resilient communities that can resist, prevent, mitigate against, absorb, accommodate, adapt to, recover, or build back better from the effects of a natural hazard in a timely and efficient manner through, among others, disaster risk reduction and management, and climate change adaptation and mitigation. The NDRF shall be composed of a National Disaster Risk Reduction and Management Framework (NDRRMF), and National Framework Strategy on Climate Change (NFSCC);
bbb. *National Disaster Resilience Plan and Investment Program (NDRPIP)* refers to a plan formulated and implemented by the national and local governments, in collaboration with NGOs, the private sector, academe, international development partners, and others, in accordance with the NDRF that sets out the outcomes, goals and objectives, priorities, programs and corresponding action plans for disaster risk reduction, preparedness, and management, and climate change mitigation. The NDRPIP shall also include, among others, goals, objectives and action plans for a national continuity policy.-It shall be in conformity with the national disaster risk reduction and management framework;
ccc. *Natural Hazard* refers to a naturally occurring physical phenomena caused either by rapid or slow onset events, which can be geological (earthquakes, ground rupture, liquefaction, landslides, tsunamis, sinkholes, and volcanic activity), hydrological and meteorological (floods, severe winds, typhoons,
storm surges), climatological variability (extreme temperatures, El Niño, La Niña, forest fires), or biological (disease, epidemics and insect/animal plagues);
ddd. *Open Data* refers to a set of data that can be freely used, shared and built-on by anyone, anywhere, for any purpose. It must be available in bulk, and should be available free of charge, or at least at no more than a reasonable reproduction cost. The information should be digital, preferably available by downloading through the internet, and easily processed by the end-user’s computer. The data must permit people to use, re-use, and redistribute it, including intermixing it with other data sets and distributing the results. Lastly, it does not allow conditions to be placed on how people can use such data but permit a data provider to require that data users credit them in some appropriate way, make it clear if the data has been changed, or that any new datasets created using their data are also shared as open data;
eee. *Pre-Disaster Recovery Plan* refers to a plan intended to help government officials working in small communities or across an entire nation, to define and follow a process to pre plan for disaster recovery, and thereby strengthen their own future recovery efforts and outcomes;
fff. *Pre-Disaster Risk Assessment (PDRA)* refers to a process to evaluate a hazard’s level of risk given the degree of exposure and vulnerability in a specific area likely to be affected by an imminent hazard. It presents the possible impacts on the population and forms a basis to determine the appropriate level of response actions from the national level government agencies down to the local government units. It is hazard-specific, area focused, and time-bound;
ggg. *Recovery* refers to rehabilitation measures that ensure the ability of affected communities or areas to return their normal level of functioning by restoring livelihoods and services, reconstruction of damaged infrastructures and increasing the communities’ organizational capacity;
hhh. *Rehabilitation* refers to restoration of basic services and facilities for the functioning of a community or a society affected by a disaster;
iii. *Response* refers to any effort to provide assistance or intervention during or immediately after a disaster to meet the life preservation and basic subsistence needs of affected people and communities; and in the restoration of essential public activities and facilities;
jjj. *Retrofitting* refers to the reinforcement or upgrading of existing structures to make them more resistant and resilient to the damaging effects of hazards;
kkk. *Risk Assessment* refers to a methodology to determine the nature and extent of risk by analyzing potential hazards and evaluating existing conditions of vulnerability that together could potentially harm exposed people, property, services, livelihood and the environment on which they depend;
III. *Risk Transfer* refers to the process of formally or informally shifting the financial consequences of particular risks from one party to another whereby a household, community, enterprise or state authority will obtain resources from the other party after a disaster occurs, in exchange for ongoing or compensatory social or financial benefits provided to that other party;
mmm. *Safety stock* refers to items, such as raw materials, component parts, or finished goods, maintained in inventory to reduce the risk that such item will be out of stock, in anticipation of unforeseen shortages or unusual demand for such items;
nnn. *Service Continuity* refers to the capacity of a government instrumentality to continue delivering its mandated outputs and/or services to the public during and after a disaster;
ooo. *State of Calamity* refers to a condition involving endangerment to and/or loss of lives, damages to property, economic and/or social disruption, interruption and/or loss of livelihood and/or services, and destruction and/or damages to infrastructure as a result of natural disaster(s) or related hazard(s);
ppp. *Simplified or Pre-Arranged Contract* refers to a written agreement in the nature of an option contract between the procuring entity on one hand, and the most responsive and lowest calculated bidder on the other, granting the procuring entity the option to either place an order for any of the goods identified therein or not buy at all, within a given period of time;
Sustainable Development refers to development that meets the needs of the present without compromising the ability of future generations to meet their own needs;
Volunteers refer to individuals, groups or entities that offer and/or provide services or assistance, without compensation, to help people and/or areas affected by disasters;
Vulnerability refers to the conditions determined by physical, social, economic, organizational, and environmental factors or processes, which increase the susceptibility of an individual, a community, assets or systems to the impacts of hazards;
Whole-of-Society Approach is an approach that encourages the meaningful and active participation and synergy of the different stakeholders of society toward climate change adaptation and mitigation, and disaster risk reduction and management at the national and local levels;
Whole-of-Government Approach – an approach that instills and fosters collaboration among all government instrumentalities both at the national and local levels toward shared sustainable development goals and outcomes; and
Whole-of-Nation Approach is an approach that seeks to bring about a concerted effort towards sustainable development, national peace and security by creating consensus and understanding of development and security that is shared not just among core security forces and oversight government institutions, but also by the nation’s stakeholders, e.g., government, civil society, private sector, and the communities.
ARTICLE II
THE DEPARTMENT OF DISASTER RESILIENCE:
MANDATE, POWERS, AND FUNCTIONS
Sec. 4. Creation of the Department of Disaster Resilience. – There is hereby created the Department of Disaster Resilience, hereinafter referred to as the Department.
Sec. 5. Mandate. – The Department shall be the principal government institution responsible for ensuring safe, adaptive, and disaster-resilient
communities. It shall lead, spearhead, initiate, and integrate the crafting and implementation of plans, programs, projects and activities to reduce the risk of natural hazards and effects of climate change, and manage the impact of disasters with the primordial goal of saving lives and minimizing damage to property, in close collaboration with all relevant stakeholders at the national and local levels.
The mandate of the Department shall cover all natural hazards, including the effects of climate change, such as the following:
1. Geological Phenomena and Related Hazards
a. Earthquake – ground rupture, ground shaking, liquefaction, tsunami, fire, and landslides;
b. volcanic activity – ash fall, pyroclastic flow, lava flow, lahar, fissuring, volcanic gas, and seiche (lake water oscillation);
c. Mass movement – landslides, debris flow, sinkholes;
2. Hydrological and Meteorological Phenomena and Related Hazards
a. Tropical cyclone – severe winds, storm surge, hail;
b. Flood;
c. Erosion;
3. Climatological variability
a. El Niño;
b. Extreme temperatures;
c. La Niña; and
d. Solar radiation, among others.
The Department shall oversee and coordinate the preparation, implementation, monitoring, and evaluation of disaster and climate resilience plans, programs, projects and activities, provide leadership in the continuous development of strategic and systematic approaches to disaster prevention, mitigation, preparedness, response, recovery and rehabilitation and anticipatory adaptation strategies, measures, techniques, and options. It shall also manage and direct the implementation of national, local, and community-based disaster resilience programs in collaboration with relevant national government agencies, LGUs, CSOs, and other stakeholders, as applicable.
Sec. 6. Powers and Functions of the Department. – The Department shall exercise and perform the following powers and functions:
1. Overall Functions
a. Craft the policies and lead the implementation of the programs, projects and activities necessary to reduce the country’s vulnerabilities to natural hazards and climate change, using the PDP and the relevant climate change and DRR frameworks as anchors;
b. Review and build upon, to the extent necessary, the existing disaster resilience framework, plans and strategies in the crafting of an NDRF and the corresponding NDRPIP;
c. Oversee, review, and approve the translation, integration, and implementation of the NDRPIP into LDRPs;
d. Communicate and disseminate critical information to help the public prepare for, respond to, and recover from a disaster;
e. Receive, manage, and administer the Disaster Resilience Fund, the Disaster Contingency Fund, donations and other funds, assets and/or properties received by the Department to accomplish the purposes of this Act;
f. Recommend to the President of the Philippines the declaration of a state of calamity due to a natural disaster, and the lifting thereof when conditions stabilize;
g. Direct any government entity to help ensure the attainment of the goals and objectives of this Act;
h. Advance the country’s interests relating to disaster resilience and climate change in the regional and global arena;
i. Advise the President on matters concerning disaster resilience and make recommendations, as appropriate; and
j. Perform such other functions, as provided by law or assignment of the President, and undertake all other necessary actions to ensure the attainment of the overall goals and objectives of this Act.
2. **Disaster Risk Reduction**
a. Develop coordinated national, regional, and local strategies for the effective prevention and mitigation of disaster risk resulting from natural hazards, including the effects of climate change;
b. Monitor and ensure the integration of disaster risk reduction and management, and climate change adaptation policies into national development plans;
c. Establish a disaster resilience information system to facilitate the creation of an integrated risk assessment platform built from the inputs of government and private scientific and academic institutions, national government agencies and local government units, local communities, and other stakeholders and that is able to provide readily accessible and actionable information for purposes of risk governance and humanitarian action;
d. Formulate plans and programs to establish and implement government redundancy, service and business continuity, and a National Continuity Policy, as a high priority and urgent undertaking;
e. Ensure the use of advanced science and technology in anticipatory planning of communities against the impact of natural hazards and climate change through consultation, and employment with a regular department funding the academe or higher education institutions;
f. Develop and implement policies and programs related to the construction of new settlements or relocation of settlements in safe areas that shall, to the extent such policies and programs relate to disaster risk reduction, mitigation, prevention or building forward better, prevail over policies or decisions of other government departments, government agencies, government owned or controlled corporations, LGUs, and other government instrumentalities;
g. Design and implement an incentive system for greater private and public investment, both at the local and national levels, on disaster risk reduction;
h. Oversee and ensure the mainstreaming of climate change adaptation and disaster risk reduction in development and land use planning, and the preparation of contingency plans;
i. Create an enabling environment that shall promote broader multi-stakeholder participation for disaster risk reduction and climate change adaptation and mitigation;
j. Communicate and disseminate critical information to help the public prepare for, respond to, and recover from a disaster;
k. Establish and monitor local and national capacity for disaster risk financing and insurance and other risk transfer strategies in coordination with the Department of Finance (DOF), the Government Service Insurance System (GSIS), and the Land Bank of the Philippines (LBP), and the Insurance Commission;
l. Coordinate directly with local government units and private entities to address Disaster Risk Assessment (DRA) of regions and provinces at the meso-scale, cities and municipalities at the micro-scale, and barangays at the meta-scale;
m. Review and evaluate local disaster resilience plans and other local plans to ensure their consistency with the National Disaster Resilience Framework; and
n. Undertake all other programs, projects, and actions necessary to attain the overall goals and intended outcomes of this key result area.
3. **Disaster Preparedness and Response**
a. Lead, manage, and collaborate with the relevant government instrumentalities, non-government stakeholders, and international partners in providing the minimum basic needs of people in affected areas before, during and/or immediately after a disaster to save lives and minimize casualties;
b. Ensure the efficient prepositioning of goods, maintenance, and disposal of safety stocks;
c. Prepare pre-disaster recovery plans in anticipation of future disasters
by engaging the community and planning for recovery activities that are comprehensive and long-term;
d. Establish a corps of first responders in partnership with national and local stakeholders, both public and private;
e. Formulate standards for contingency planning for adoption by both national government agencies and local government units;
f. Recommend to the President of the Philippines the declaration of a state of calamity due to a natural disaster, and the lifting thereof when conditions stabilize;
g. Oversee and maintain a national early-warning and emergency alert system that must provide hazards-specific, areas-focused and time-bound warning that are accurate, timely, understandable and readily accessible to national and local emergency response organizations and the general public;
h. Implement pre-disaster risk assessments to include deployment of rapid assessment teams to gather information for precise actions as a basis for emergency preparedness and humanitarian response;
i. Coordinate information-sharing and other disaster risk reduction protocols following the principle of inter-operability among national government agencies and local government units;
j. Establish and maintain a national humanitarian logistics system with a network of warehouses, transport and resources, including response assets and disaster relief food and non-food items;
k. Call upon the relevant government instrumentalities, non-government stakeholders, CSOs, and international partners for assistance in ensuring the protection and preservation of life and property such as through the use of their resources and facilities, among others. This function includes the power to call on the reserve force as defined in Republic Act No.. 7077 to assist in search and rescue, and disaster preparedness and response operations;
l. Implement Pre-Disaster Risk Assessments to include deployment of
rapid assessment teams to gather information for precise actions as a basis for emergency preparedness and humanitarian response;
m. Organize, train, equip, and maintain a system of response capacity for search, rescue and retrieval and the delivery and distribution of relief goods;
n. Monitor and support LGUs in the management of evacuation centers and ensure the welfare and dignity of internally-displaced persons;
o. Procure goods and services prior to, during, and after emergencies for preparedness, response, and recovery activities, including those prompted by a declaration of a state of calamity or of an imminent disaster;
p. Issue special procurement rules and regulations, in close coordination with the Government Procurement Policy Board, for preparedness, response, and recovery activities, including those prompted by a declaration of a state of calamity or of an imminent disaster;
q. Assist in mobilizing necessary resources to increase the overall capacity of local government units, specifically those with low income and situated in high-risk areas;
r. By the authority of the President, secure the assistance of the Armed Forces of the Philippines (AFP), the Philippine National Police (PNP), DILG-Bureau of Fire Protection (BFP), DOTr-Philippine Coast Guard (PCG), and other uniformed services in undertaking disaster preparedness and response operations in at-risk and/or disaster-affected areas; and
s. Undertake all other programs, projects, and actions necessary to attain the overall goals and intended outcomes of this key result area.
4. Recovery and Building Forward Better
a. Prepare, organize, lead, implement, and manage post-disaster assessment and recovery and rehabilitation programs and plans, in coordination with the affected local governments units, national government agencies, and other stakeholders;
b. Establish a system that utilizes templates, exposure database, and other tools; and develop the Department’s in-house capacity for the prompt and expedient preparation of rehabilitation plans, when needed, for disaster affected areas;
c. Prepare and implement the recovery and rehabilitation plan(s) for disaster affected areas;
d. Implement the cluster approach to expedite reconstruction efforts, e.g., post-disaster shelter recovery, and orchestrate and serve as the clearinghouse for the participation of assisting actors in such efforts;
e. Collaborate with relevant government agencies and non-government stakeholders in undertaking programs and projects to restore and/or generate livelihood and entrepreneurial activities and opportunities in disaster-affected areas;
f. Ensure that the principle of Building Forward Better, not mere restoration, is applied to all recovery, reconstruction, and rehabilitation efforts; and
g. Undertake all other programs, projects, and actions necessary to attain the overall goals and intended outcomes of this key result area.
5. Other Powers and Functions
a. Constitute, call, convene and/or deputize agencies of government, and invite non-government and private organizations, to assist, advise, and/or coordinate with the Department to achieve the goals and purposes of this act;
b. Provide operating guidelines to the LDROs for the Declaration of Imminent Disaster in their respective areas, which shall allow them to implement preemptive measures and use their quick response funds in order to save lives and minimize damage to property, loss of livelihood, and other assets;
c. Establish and monitor local and national capacity for disaster risk financing and insurance and other risk transfer strategies in coordination with the DOF, GSIS, LBP, and the Insurance Commission;
d. Coordinate information-sharing and other disaster risk reduction protocols following the principle of inter-operability among National Government Agencies and Local Government Units, before, during, and after a disaster;
e. Administer, mobilize, monitor, and oversee the utilization of disaster resilience-related funds, including, but not limited to, the National Disaster Resilience Fund and the Supplemental Disaster Resilience Support Fund for low income provinces, cities, and municipalities, and multi-hazard local government units;
f. Inspect and examine the status of projects, programs, and activities undertaken by national government agencies and local government units in furtherance of disaster resilience efforts;
g. Whenever it becomes necessary, to save lives and/or minimize damages to livelihood and property, assume supervision over the implementation of any government program, project, or activity in anticipation of, during, and in the aftermath of a disaster;
h. Negotiate, enter into, institutionalize, and coordinate arrangements with any private person or entity for the purpose of ensuring the adequate and prompt availability of goods and services necessary in anticipation of, during, and in the aftermath of disasters;
i. Manage all funds appropriated to it by law and from other sources, including all donations and grants received by it;
j. Promulgate rules and regulations for the receipt, management, and accounting of donations that are consistent with the rules of the Commission on Audit (COA) on the use of foreign and local aid during calamities and disasters;
k. Receive humanitarian assistance from local and foreign sources, recommend the acquisition of developmental assistance for the purpose of disaster resilience, acknowledge and certify the receipt of all humanitarian assistance, and ensure their judicious use and management;
I. Establish and operate a platform, including an online platform, to monitor and provide public access to information on humanitarian assistance received by the Department;
m. Secure the assistance of the AFP, PNP, DILG-BFP, DOTr-PCG, and other uniformed services and government instrumentalities to ensure the attainment of the three key result areas, and the overall goals and objectives of this Act;
n. In consultation with the COA, promulgate rules and regulations for the retention, re-exportation, donation, and disposition of unused goods and equipment after the termination of disaster relief and initial recovery operations;
o. Assist appropriate national government agencies and offices and concerned local government units in protecting national cultural heritage including national treasures and national historical landmarks, sites or monuments from hazards and disasters; and
p. Perform such other functions, as provided by law or assignment of the President, and undertake the necessary actions to ensure the attainment of the overall goals and objectives of this Act.
ARTICLE III
EMERGENCY MEASURES
Sec. 7. Emergency Measures. – (a) The Department may undertake and implement such immediate measures as may be necessary to ensure the protection and preservation of life or property in anticipation of, during, and in the aftermath of emergencies, hazards and disasters, including preemptive and forced evacuations.
Local government units shall enact an ordinance on and implement necessary and appropriate emergency measures, including preemptive and forced evacuations, to ensure the protection and preservation of life or property in anticipation of, during, and in the aftermath of disasters.
Emergency measures, including preemptive and forced evacuations, shall be carried out with the primordial goal of saving lives and minimizing loss of property and livelihood, while respecting the dignity and culture of persons, observing
equality, and using proportionate force, and with conscious attention to the needs of vulnerable and marginalized groups.
Appropriate steps shall be taken to inform the public of the need to implement emergency measures, such as evacuations, for their safety.
Preemptive evacuation shall be the preferred and primary mode of moving people that will be affected by disasters.
Forced evacuation shall be considered as an emergency measure of last resort that may be undertaken in anticipation of, during, or after a disaster and carried out by the affected local government unit, pursuant to a duly issued order by the local chief executive: Provided, That in case of the failure of the local chief executive to issue such an order, the forced evacuation shall be implemented by the Department, which may direct and compel the assistance of law enforcement and other relevant government agencies to implement such measure.
Any person who willfully and deliberately disregards or disobeys a preemptive or forced evacuation implemented by the local government unit or the Department, as the case may be, releases such local government unit or the Department from any liability for injury, death, damage to, or loss of property due to such disobedience.
(b) Whenever it becomes necessary, the Department may recommend to the President the calling out of the Armed Forces of the Philippines to prevent or suppress lawless violence occurring before, during, and in the aftermath of disasters.
(c) The Department shall ration the distribution of basic goods in critical shortage, and/or restrict or ban the transfer of such goods outside the area covered by the emergency measure.
(d) The Department may temporarily take over or direct the operation of any private utility or business for urgent public purpose in anticipation of, during, and in the aftermath of emergencies, hazards, and disasters and only when there is imminent danger of loss of lives and/or damage to property, subject to payment of just compensation.
(e) Local government units shall likewise enact the abovementioned emergency measures including preemptive and forced evacuations, to ensure the
protection and preservation of life or property in anticipation of, during, and in the aftermath of disaster.
(f) With the concurrence of the DOF, the Department shall recommend to the Monetary Board the deferment of payment for monetary debts of LGUs and/or private entities that have been affected by disasters.
ARTICLE IV
ORGANIZATION AND MANAGEMENT
Sec. 8. The Secretary. – The Department shall be headed by the Secretary of Disaster Resilience, hereinafter referred to as the Secretary, who shall be appointed by the President, subject to confirmation by the Commission on Appointments. The Secretary shall preferably have a solid background in any of the scientific, engineering, and public management fields relevant to resilience to natural hazards and climate change; and demonstrated managerial acumen.
Sec. 9. Powers and Functions of the Secretary. – The Secretary shall exercise the following powers and functions:
a) Establish and promulgate policies, rules, and regulations for the effective and efficient operation of the Department and implement these to carry out its mandate, functions, programs, and activities;
b) Exercise executive direction over the operations of the Department and administrative supervisions over its attached agencies;
c) Exercise control and supervision over all functions and activities of the Department and its officers and personnel;
d) Appoint officers and employees of the Department, except those whose appointments are vested in the President, in accordance with civil service law, rules, and regulations;
e) Exercise disciplinary authority over officers and employees of the Department in accordance with law, and investigate such officers and employees, or designate a committee or officer to conduct an investigation;
f) Manage the financial, human, and other resources of the Department;
g) Collaborate with other government agencies, the private sector, and civil
society organizations on the policies, programs, projects, and activities of the Department, as may be necessary;
h) Advise the President on the promulgation of executive and administrative issuances and the formulation of regulatory and legislative proposals on matters pertaining to disaster resilience;
i) Represent the Philippines and articulate the national contribution to global, regional, and other inter-governmental disaster risk reduction and humanitarian platforms, in coordination with the Department of Foreign Affairs; and
j) Perform such other functions as may be provided by law or assigned by the President.
Sec. 10. The Undersecretaries. – The Secretary shall be assisted by at least four (4) Undersecretaries, who shall be responsible for the following functional areas, including the establishment of a robust and responsive ICT system to effectively support the mandate and operations of the Department:
a) Disaster Risk Reduction – the formulation, adoption, and implementation of policies and programs to reduce existing and future disaster risks to minimize loss and damage to lives and properties, including the formulation of the required policies and programs in the NDRF and relevant national investment plans;
b) Disaster Preparedness and Response – the implementation of projects and programs to prepare and respond to disasters, including the enhancement of capabilities of local government units, the development of a database of exposure or elements at risk per area and database of volunteers, the establishment of safe and strategic evacuation centers, and the implementation of responsive and efficient prepositioning and distribution of goods;
c) Recovery and Building Forward Better – the formulation and implementation of rehabilitation plans for disaster-affected areas and ensuring the implementation of disaster recovery and rehabilitation measures, such as post-disaster shelters and livelihood projects, in
collaboration with relevant government agencies, local government units, and other stakeholders; and
d) Support to Operations – the formulation and implementation of policies, programs, projects, and activities to ensure the efficient, effective, and responsive performance of the Department’s mandate, powers, and functions. Support to operations includes knowledge management, institutional development and planning, finance, administration, and human resources management.
The Undersecretaries shall have operational control and supervision over the bureaus, divisions, offices, and units assigned to their respective functional areas.
Sec. 11. The Assistant Secretaries and Directors. – The Department shall have such number of Assistant Secretaries and Directors as may be necessary for the effective and efficient implementation and performance of its mandate, powers, and functions.
Sec. 12. Qualifications. – All the Undersecretaries, Assistant Secretaries, and other officials of the Department shall preferably be specialists and have a good track record in any of the following fields, as applicable to their mandated key result areas and functions: disaster risk reduction and management, science and technology, environmental science or management, urban planning, civil engineering, public finance, information and communications technology, logistics management, mass communication, among other fields directly relevant to ensuring the country’s disaster resilience.
The appointing authority and other responsible officials shall ensure that the Department’s human resources possess the competencies, skills, behavioral attributes, training and experience necessary for them to become efficient, effective, and responsive in performing their functions and contribute to the attainment of the overall goals and delivery of the intended outcomes of this Act.
Sec. 13. Structure and Staffing Pattern. – The Department shall determine its organizational structure and staffing pattern and create such services, divisions, and units, as it may require or deem necessary, subject to the approval of the
Sec. 14. *Regional Disaster Resilience Offices.* – The Department shall establish and maintain Regional Disaster Resilience Offices (RDROs) in each administrative region, to be headed by a Regional Director. The Department shall create policies and programs to establish collaboration and coordination among the different RDROs.
Sec. 15. *Powers and Functions of RDROs.* – The RDROs shall have the following powers and functions:
a) Review the LDRPs and Provincial DRPs of LGUs within its jurisdiction, and require the amendment of such LDRPs and/or Provincial DRPs if necessary, to ensure compliance with the NDRF and relevant national investment plans;
b) Monitor and direct LDROs and PDROs to implement their respective LDRPs and PDRPs;
c) Recommend to the appropriate local legislative body the enactment of ordinances to implement the LDRP, NDRF and relevant national investment plans at the city, municipal or provincial level, and to comply with other requirements of this Act;
d) Review reports on the utilization of the LDRF and other disaster risk and management resources of LGUs within its jurisdiction, and give recommendations, as necessary;
e) Disburse to, and monitor the use by, LGUs of funds granted by the Department pursuant to this Act and its IRR;
g) Provide, upon the request of LGUs or unilaterally at its own discretion, assistance to LGU(s) within its jurisdiction as necessary to ensure the implementation of LDRPs/Provincial LDRPs, NDRF and relevant national investment plans, and to render efficient and timely disaster preparedness, response and recovery measures;
h) Identify and report to the Department issues and problems relating to, or affecting, the disaster resilience of LGUs within its jurisdiction, and make recommendations to the Department and/or to the LGUs to address such
j) Formulate and establish mechanisms to mobilize and direct LDROs and PDROs within its jurisdiction as necessary for disaster preparedness and response at the regional level;
k) Establish and maintain, in coordination with the Department, a Regional Command and Control Center (RCCC), which includes, among others, an information management system at the regional level, which consolidates and integrates information from the provinces, cities and municipalities within its jurisdiction, a multi-hazard early warning and communications system, and a monitoring system that enables the RDRO to oversee, supervise, monitor and respond to the needs of LGUs within its jurisdiction in relation to disaster resilience activities;
l) Assist in the implementation, of rehabilitation plan(s) for LGUs within its coverage; and
m) Conduct other activities and act on other matters, in accordance with policies and procedures of the Department and applicable laws, to achieve the purposes of this Act.
Sec. 16. Special Disaster Response Teams. – The RDROs may organize and/or activate Special Disaster Response Teams (SDRTs) to assist LGUs in responding to hazards and disasters that are beyond their capacities, as deemed necessary.
Sec. 17. Local Disaster Resilience Offices. – The Local Disaster Risk Reduction Management Offices in provinces, cities, and municipalities are hereby renamed as the Provincial, City, and Municipal Disaster Resilience Offices, respectively, and shall collectively be called the Local Disaster Resilience Offices (LDROs). Provincial, city, and municipal governments shall establish their respective LDROs.
The Barangay Disaster Risk Reduction and Management Committees are hereby renamed as the Barangay Disaster Resilience Committees (BDRC).
All Local Disaster Risk Reduction Management Councils are hereby abolished.
The LDROs shall be under the control and supervision of the provincial governor or the city or municipal mayor, as the case may be. The budgetary requirements for personal services, maintenance and other operating expenditures,
and capital outlay of the LDROs shall be sourced from the General Fund of the local government units concerned; Provided, That, the personal services limitations under Section 325(a) of Republic Act No. 7160, otherwise known as the Local Government Code of 1991, shall not apply in relation to the creation and appointment of at least five (5) positions in the LDROs.
Other maintenance and operating expenditures and the capital outlay requirements of LDROs in the implementation of disaster risk reduction management and climate change adaptation programs shall be charged to the Local Disaster Resilience Fund of local government units.
Sec. 18. Local Disaster Resilience Officer. – The LDRO shall be headed by a full-time Local Disaster Resilience Officer, who shall have a regular plantilla position and shall be appointed by the local chief executive: Provided, That the qualifications standards pertaining to experience and training set by the Civil Service Commission for the position may be waived by the Department in exceptional cases upon the request of the local chief executive.
Sec. 19. Powers and Functions of City and Municipal Disaster Resilience Offices. – The City and Municipal Disaster Resilience Offices shall have the following powers and functions:
a) Formulate and implement, in coordination with the Department, a comprehensive and integrated Local Disaster Resilience Plan in accordance with the NDRF and the relevant national investment plans;
b) Design, program, coordinate, and implement disaster resilience activities consistent with the standards and guidelines provided by the Department, and implement the NDRF and the relevant national investment plans at the city or municipal level;
c) Prepare and submit to the Sangguniang Panglungsod or Bayan, as the case may be, the LDRP, the proposed programming of the LDR Fund, other dedicated disaster resilience resources, and other funds of the LDRO;
d) Recommend to the Sangguniang Panglungsod or Bayan, as the case may be, the enactment of ordinances to implement the LDRP, NDRF, relevant
national investment plans, and the provisions of this Act;
e) Prepare and submit to the Department a report on the utilization of its Local Disaster Resilience Fund and other disaster risk reduction and management resources;
f) Establish and maintain, in coordination with the Department, an information management system within the LGU, which, among others, consolidates and includes local risk information (such as natural hazards, profile of the LGU’s vulnerable or marginalized groups), local risk maps, and a disaggregated database of human resource, equipment, services, resources, directories and location of critical infrastructures with their capacities (such as hospitals and evacuation centers);
g) Operate and maintain, in coordination with the Department, a multi-hazard early warning and communications system to provide accurate and timely information to the public;
h) Organize and conduct training and knowledge management activities on disaster resilience at the local level, in coordination with the Disaster Research, Education, and Training Institute;
i) Recommend to the local chief executive the procurement of emergency works, goods, and services in compliance with the regulations, orders, and policies of DBM and GPPB, to implement the LDRP or support early recovery and post-disaster activities;
j) Recommend, in coordination with the DOF and other relevant agencies, to the local chief executive, access to foreign loans to finance projects, programs, and policies for disaster preparedness, response, recovery, and rehabilitation, subject to terms and conditions agreed upon by the local government unit and the lender;
k) Monitor and mobilize instrumentalities and entities of the LGU and its partner LGUs, CSOs, private sector, organized volunteers, and sectoral organizations for disaster resilience activities, in accordance with policies and procedures of the Department and applicable laws;
l) Coordinate and provide the necessary support or assistance to the
Department in the implementation of rehabilitation plan(s) within the city or municipality covered by the LDRO;
m) Coordinate with the Department, other government agencies, members of the private sector and other stakeholders in the LGU to establish a Business Continuity Plan as part of their LDRP’s disaster preparedness measures;
n) Establish linkage/network and coordination mechanisms with other LGUs and the Department for disaster resilience activities and to achieve the purposes of this Act; and
o) Conduct other activities and act on other matters, in accordance with policies and procedures of the Department and applicable laws, to achieve the purposes of this Act.
Sec. 20. Powers and Functions of the Provincial Disaster Resilience Offices. – The Provincial Disaster Resilience Offices shall have the following powers and functions:
a) Formulate and implement, in close coordination with the Department and the local government units under the jurisdiction of the provincial government, a comprehensive and integrated Provincial Disaster Resilience Plan in accordance with the NDRF;
b) Review the LDRPs of cities and/or municipalities within its jurisdiction, and require the amendment of such LDRPs if necessary, to ensure compliance with the Provincial DRP and the NDRF;
c) Design, program, coordinate, or implement disaster resilience activities consistent with the standards and guidelines provided by the Department, and implement the NDRF and the relevant national investment plans at the provincial level;
d) Prepare and submit to the Sangguniang Panlalawigan, the Provincial DRP, the proposed programming of the province’s Local Disaster Resilience Fund, other dedicated disaster resilience resources, and other funding sources of the PDRO;
e) Recommend to the Sangguniang Panlalawigan the enactment of local
ordinances to implement the Provincial LDRP, NDRF and relevant national investment plans at the provincial level, and to comply with other requirements of this Act;
f) Prepare and submit to the Department, a report on the utilization of the province’s Local Disaster Resilience Fund and other disaster risk reduction and management resources;
g) Establish and maintain, in coordination with the Department, a Provincial Command and Control Center (PCCC), which includes, among others, an information management system at the provincial level, which consolidates and integrates information from the cities and/or municipalities within its jurisdiction, a multi-hazard early warning and communications system that is connected with the cities and/or municipalities within its jurisdiction, and a monitoring system that enables the PDRO to oversee, supervise, monitor and respond to the needs of cities and/or municipalities within its jurisdiction in relation to disaster resilience activities;
h) Recommend to the Provincial Governor the procurement of emergency works, goods, and services in compliance with the regulations, orders, and policies of DBM and GPPB, to implement the provincial LDRP or support early recovery and post-disaster activities of the PDRO;
i) Recommend, in coordination with the DOF, to the Provincial Governor to access foreign loans to finance its policies, programs, projects, and activities for disaster preparedness, response, recovery, and rehabilitation, subject to terms and conditions agreed upon by the Provincial Government and the lender;
j) Formulate and establish mechanisms to mobilize and direct LDROs within its jurisdiction as necessary for disaster preparedness and response at the provincial level;
k) Coordinate and provide the necessary support or assistance to the Department in the implementation of rehabilitation plan(s) within the cities and/or municipalities covered by the PDRO; and
i) Conduct other activities and/or act on other matters, in accordance with policies and procedures of the Department and applicable laws, to achieve the purposes of this Act.
Sec. 21. Service Continuity of the Department. – To ensure service continuity, the Department and its regional and attached offices shall be established in a reasonably resilient location; and/or undertake the necessary interventions to make its offices and systems disaster-resilient.
ARTICLE V
WHOLE OF GOVERNMENT AND WHOLE OF NATION APPROACH
Sec. 22. Synergy with Stakeholders. – The Department shall ensure seamless synergy and coordination with stakeholders, including national government agencies, local government units, government-owned or -controlled corporations (GOCCs), CSOs, the academe, and the private sector, in relation to disaster resilience programs and projects and the development and promotion of research, education, and training mechanisms.
The Department shall establish a platform, paradigm, and mechanisms for convergence and coordination with stakeholders, including the development of standards, protocols, and procedures for seamless collaboration for disaster resilience.
Sec. 23. Establishment of Multi-Stakeholders Convergence Unit. – The Department, with the assistance of other relevant government agencies and stakeholders, shall establish a Multi-Stakeholders Convergence Unit (MSCU), which shall closely engage the private sector, CSOs, academe, and other non-government stakeholders and strengthen public-private collaboration towards disaster resilience by way of the following interventions, among others:
a. Implementation of business continuity practices to ensure the continued delivery of products and services, in the event of disasters;
b. Crafting and implementation of a National Continuity Policy to ensure government service continuity during and after emergencies and disasters, and ensure the quick return of government to full operations;
c. Establishment, incorporation, and application of business continuity plans
as part of the LDRPs of LGUs;
d. Facilitation or assistance in obtaining and/or processing incentives for the private sector and other non-government stakeholders, such as but not limited to tax credits;
e. Preparation and facilitation of the issuance of special rules for Micro, Small, and Medium Enterprises (MSMEs) such as, but not limited to, mechanisms involving procurement and liquidity to create enabling environments for disaster preparedness, recovery and building forward better; and
f. Formulation of investment programs for disaster affected areas in partnership with the private business sector and civil society organizations.
The MSCU shall establish a platform that includes, among others, a database for monitoring and coordinating efforts and resources of stakeholders.
Sec. 24. Roles and Responsibilities of Stakeholders. – The commitment, goodwill, knowledge, experience and resources of relevant stakeholders are critical to realize a safer, adaptive, resilient and inclusive Filipino community. Citizens have the shared vision and duty to provide support to the State in the implementation of policies and programs, particularly the Disaster Resilience Framework and Disaster Resilience Plan at the national, regional and local levels.
a) Civil society, non-governmental organizations, international non-governmental organizations, private sector, practitioners, and volunteers shall participate, in collaboration with public institutions, in the exchange of information, learnings, and guidance on disaster resilience. The Department shall encourage and institutionalize their engagement in the implementation of local, regional, national, and global plans and strategies; enhance public awareness and promote a culture of disaster resilience;
b) The women, children, and youth, as agents of change, shall endeavor to contribute actively and participate in disaster resilience trainings and information dissemination;
c) Senior citizens and persons with disabilities shall contribute their knowledge and experience on disaster preparedness and resiliency;
d) Indigenous peoples and Muslim Filipinos shall share their traditional knowledge and practical experience on disaster resiliency;
e) Urban and rural poor, and migrants shall participate in building resilient resettlement communities;
f) Emergency responders and volunteer organizations shall contribute to resilience by promptly and efficiently responding to disasters and emergencies consistent with the policies of the Research, Education and Training Institute of the Department;
g) Academia, scientific and research entities, and networks are encouraged to undertake relevant research on disaster resiliency in partnership with the Department and other stakeholders for better decision-making;
h) The private sector is encouraged to integrate disaster resiliency projects and programs in their corporate social responsibility initiatives; and
i) The media shall provide prompt and accurate information to the public on early warning systems, natural hazards, and disaster resilience activities of the Department.
Sec. 25. *Disaster Resilience Assembly.* – The Department, with the assistance of RDROs, shall establish and convene a Disaster Resilience Assembly (DRA), at the regional and national level, which will be held on a semestral basis, or as frequently as necessary to ensure the proactive engagement of the relevant government and non-government stakeholders, such as the Union of Local Authorities of the Philippines (ULAP), League of Municipalities of the Philippines (LMP), CSOs, academe, DRRM practitioners, the private sector, and the national government agencies, among others, to ensure effective collaboration towards achieving the goals of this Act.
The LGUs may convene local DRAs within their jurisdictions, as necessary for the attainment of disaster resilience at the local level.
Sec. 26. *Inter-operability of Systems.* – The Department shall establish mechanisms to ensure the inter-operability of systems among government agencies, and to allow access of agencies to the IDRIS. It shall develop protocols to allow real-time access to information by government agencies in relation to natural disasters.
and the implementation of disaster resilience measures.
Sec. 27. National organization of all Local Disaster Resilience Officers. – There shall be a national organization of all local disaster resilience officers for the primary purpose of:
a) Developing capacity, and exchanging knowledge, experiences, and best practices concerning local government disaster resilience;
b) Fostering inter-operability of the local disaster resilience offices’ systems; Facilitating inter-LGU cooperation and collaboration;
c) Providing inputs and feedback to the Department on resilience concerns at the local level; and
d) Enhancing synergy in other areas of common concern.
ARTICLE VI
MAINSTREAMING, INTEGRATION AND CONVERGENCE OF DISASTER RISK REDUCTION
Sec. 28. Integration of DRR and Climate Change Adaptation in the National Disaster Resilience Framework and Disaster Resilience Plan. – The existing NDRRM Framework and Plan, and the National Climate Change Strategic Framework and Plan shall be integrated and harmonized into the NDRF and the NDRPIP. The NDRF and NDRPIP shall be reviewed and updated every three (3) years.
Sec. 29. Ecosystem-Based Approach to Prevention and Mitigation, Rehabilitation and Recovery from Disasters. – The Department shall ensure the application of ecosystems-based approaches in disaster risk reduction, particularly through ecosystem management and restoration as defined in this Act, and ensuring that environmental and natural resource policies are risk-informed.
ARTICLE VII
NATIONAL DISASTER OPERATIONS CENTER, ALTERNATIVE COMMAND CENTER, AND RESEARCH AND TRAINING INSTITUTE
Sec. 30. National Disaster Operations Center. – The Department shall establish, within one (1) year from the approval of this Act, and act as the primary operator of, the National Disaster Operations Center (NDOC), Alternative Command and Control Centers (ACCCs), and a Disaster Resilience Research and Training
Institute (DRRTI).
The NDOC is a physical center equipped with the necessary tools and systems to monitor, manage, and respond to disasters in all areas of the country. The NDOC shall also provide the necessary support for the overall coordination and implementation of emergency and disaster response measures throughout the country.
The ACCCs are command centers established in other locations as an alternative or to provide supplemental support to the NDOC. The number and location of ACCCs shall be determined by the Department as may be necessary in each of the country’s major island groups. Temporary ACCC may likewise be established by the Department, if necessary.
Sec. 31. DRRTI functions and inter-agency knowledge sharing. – The DRRTI shall be a platform for providing training, and for collecting, consolidating, managing, analyzing, and/or sharing knowledge and information to improve and/or enhance disaster resilience. The DRRTI shall:
Establish reliable and up-to-date Integrated Disaster Resilience Information System (IDRIS) through close and seamless collaboration with the Department of Science and Technology (DOST), Department of Information and Communications Technology (DICT), and other appropriate agencies;
a) Conduct disaster-related research programs, seminars, and trainings for all types of stakeholders;
b) Consolidate, organize and/or prepare training materials and publications;
c) Conduct other activities consistent with promoting the formation and dissemination of knowledge and information relating to disaster resilience and disaster management;
d) Establish a database that includes relevant information from other government agencies and third parties for the department to better prepare and respond to natural hazards including, but not limited to, an inventory of hazardous materials per area; and
e) Consult and coordinate with, and consolidate information/data from, relevant government agencies, such as, but not limited to, DOST, LGUs and relevant CSOs to enhance the IDRIS and to promote knowledge sharing among all stakeholders.
Sec. 32. Compliance and accreditation of DRRTI with international standards. – The Department shall strive to obtain certification from, and accreditation by, international accreditation bodies of the DRRTI to ensure DRRTI’s compliance with international standards. The Department shall likewise ensure collaboration with key countries and international organizations to incorporate best practices on disaster resilience in the Department’s policies and programs.
ARTICLE VIII
INTEGRATION, MAINSTREAMING DISASTER RESILIENCE INFORMATION, EDUCATION AND COMMUNICATION CONVERGENCE
Sec. 33. Integrated Disaster Resilience Information System (IDRIS). – The Department shall establish a National and Regional Information Management System for Disaster Resilience, which shall be a database of all relevant disaster risk reduction and climate change data, including a geographic information system on geo-hazard assessments and climate risk. It shall be the repository of current and multi-temporal information for wide-scale disaster risk analysis. The IDRIS shall be accessible at all times to the responsible officials and entities to enable the timely, reliable, and accurate collection, processing, analysis, and dissemination of information to support overall decision-making and effective coordination at both the national and sub-national level. The protocols and procedures for this shall be defined in the IRR of this Act.
Sec. 34. Disaster Resilience Education and Training. – (a) To instill a culture of safety and security including emergency preparedness and disaster resiliency, the Department, in partnership with the public and private sectors shall encourage the inclusion of appropriate information on disaster resilience in their various training programs and immersion activities.
(b) The IEC on disaster resilience shall be informative and holistic, gender, culture and disability sensitive using various available platforms.
ARTICLE IX
DISASTER RISK TRANSFER, INSURANCE AND INCENTIVES
Sec. 35. Disaster Risk Transfer, Insurance and Social Welfare. – (a) The Department shall oversee all disaster risk-sharing and risk-transfer instruments and other related initiatives to ensure the protection of property and livelihood, both public and private.
(b) The Department, in collaboration with the DOF, BSP, LBP, GSIS, and the Insurance Commission, shall create, establish, and implement, among others, disaster insurance pools, revolving funds, insurance and risk-transfer schemes and/or facilities, and other financial disaster resilience measures to ensure the protection of public and/or private properties and livelihood against the adverse effects of natural disasters. For this purpose, the Department and/or DOF may engage or require the participation of government banks, insurance agencies and financial institutions.
(c) To attain disaster resilience and achieve the purposes of this Act, the Department shall have the discretion and authority to require government agencies and GOCCs to insure their assets and/or properties such as, among others, vessels, vehicles, equipment, machineries, permanent buildings, properties stored therein, or properties in transit, against insurable risks and pay the premiums therefor, to compensate the Government and/or GOCC, as applicable, for any damage to, or loss of, properties due to a natural disaster.
(d) The Department shall endeavor the local government units to insure primary assets for unforeseen or contingent potential losses, damages and disruption from natural hazards chargeable against their respective Local Disaster Resilience Fund (LDRF).
Sec. 36. Recognition and Incentives. – The Department, in partnership with the private sector, shall establish an incentives program that recognizes outstanding performance of LDRC, NGOs, CSOs, schools, hospitals, and other stakeholders in promoting and implementing significant disaster risk reduction management-climate change adaptation programs and innovations, and meritorious acts of individuals, groups or institutions during natural.
ARTICLE X
PREPAREDNESS AND INTEGRATED EARLY WARNING
Sec. 37. Standards for Disaster Preparedness Activities. – (a) The Department shall establish standards and protocols for disaster preparedness, contingency planning, localizing and operationalizing disaster risk reduction and management, preparedness for disaster response, preparedness for early recovery, continuity of essential services, and other relevant preparedness activities.
(b) The LGUs shall identify safe and strategic sites, and establish evacuation centers with appropriate and adequate facilities in accordance with government-approved standards as provided under Republic Act No. 10821, otherwise known as “The Children’s Emergency Relief Protection Act”, to avoid disruption of school classes and lessen the use of school buildings and facilities as evacuation centers.
The LGUs shall immediately compensate said schools used as evacuation centers. The schools may seek compensation for renovation, replacement, or repairs of damaged facilities for such use.
Sec. 38. Multi-Hazard Early Warning and Risk Communication Standards. – (a) There shall be a streamlined policy governing early warning systems and risk communication protocols to ensure effective and efficient measures to prepare for, respond to and recover from potential risks and disasters.
(b) The Department shall formulate and implement multi-hazard early warning protocols integrating all disaster preparedness systems in collaboration with local executives, community-based organizations, civil society organizations, and other non-governmental organizations for proper use and application.
Sec. 39. Early Warning Mandate. – a) The Department shall issue an integrated early warning alert for the impending occurrence of hazards that will enable the public to prepare timely and act appropriately to minimize potential harm or loss.
(b) The Department shall require mobile phone service providers to send out alerts at regular intervals in the event of an impending natural hazard, in accordance with Republic Act No. 10639, otherwise known as the “Free Mobile
Disaster Alerts Act”.
(c) The Department shall recognize and proactively support local or indigenous modes of early warning systems and allow open access to near real-time data from both local and international sources made available through various platforms such as websites, mobile apps, and social media to empower local communities and individuals.
(d) Any person who transmits early warning concerning the abovementioned phenomena by means of signs in designs, colors, lights, or sound shall do so in compliance with the methods recognized or approved by the Department.
(e) The Department at the national and local level shall use an integrated early warning system to ensure it is consistent and locally contextualized with the communication protocol and safe evacuation procedure of the affected communities.
(f) The Department shall work with other agencies or organizations on pre-crisis information mapping of the humanitarian needs of at-risk communities that will enhance the overall prepositioning of resources at the national and local level.
(g) The Department shall recognize and proactively support local or indigenous modes of early warning systems and allow open access to near real-time data from both local and international sources made available through various platforms such as websites, mobile apps, and social media to empower local communities and individuals.
ARTICLE XI
DISASTER RESPONSE AND EARLY RECOVERY
Sec. 40. Declaration of State of Calamity. – The Department shall declare a cluster of barangays, municipalities, cities, provinces, and regions under a state of calamity, and the lifting thereof, based on the criteria set by the Department.
The declaration and lifting of the state of calamity may also be issued by the local sanggunian, upon the recommendation of the LDRO, based on the results of the damage assessment and needs analysis: Provided, That through the Department, the LDRO may seek from the local legislative body or Sanggunian, the declaration of a state of imminent disaster to enable the local executives to implement pre-emptive
evacuation and precautionary measures to save lives and minimize damage to property, loss and disruption of livelihood that require the use of funds and resources under the LDRF.
Sec. 41. Levels of Responsibility for Disaster Preparedness and Response. – The primary responsibility for disaster preparedness and response shall be exercised at the local or national level, as applicable, in close and seamless collaboration with the relevant national government instrumentalities, non-government stakeholders, and international partners. The four levels of responsibility and the conditions that warrant each are as follows:
| LEVELS OF RESPONSIBILITY | RESPONSIBLE OFFICIALS | CONDITIONS |
|--------------------------|-----------------------|------------|
| Level 1: City or Municipality | Lead Official: Mayor of the affected city or municipality
Support: City or Municipal Disaster Resilience Officer | If a disaster affects a single city or municipality |
| Level 2: Province | Lead Official: Provincial Governor of the affected province
Support: Provincial Disaster Resilience Officer
Municipal and/or City Mayors concerned
Municipal and/or City Disaster Resilience Officers concerned | If a disaster affects two or more municipalities and/or cities within a province |
| Level 3: Region | Lead Official: Regional Director, DDR | If a disaster affects two or more provinces within a region (except for the National Capital Region) |
| LEVELS OF RESPONSIBILITY | RESPONSIBLE OFFICIALS | CONDITIONS |
|--------------------------|-----------------------|------------|
| | Support: Governors of affected provinces | |
| | Concerned Provincial Disaster Resilience Officers | |
| Level 4: National | Lead Official: Secretary of Disaster Resilience (SDR) | If a disaster affects at least two (2) regions; When the LGU is unable to effectively cope with the risk and/or impact of a hazard; or When the President directs a Level 4 response or declares a state of calamity. |
| | Support: Governors concerned | |
| | Disaster Resilience Officers concerned | |
Sec. 42. *Disaster Preparedness and Response in the NCR.* – When at least two cities and/or municipality in the NCR are affected, the SDR shall be responsible for leading the disaster preparedness and response efforts, in collaboration with the affected LGUs, the MMDA, and the concerned government instrumentalities and non-government stakeholders.
Sec. 43. *Inter-Local Government Assistance.* – LGUs are hereby authorized to extend the necessary assistance to another LGU, whether through funding or donation of goods and/or services, and conducting disaster preparedness and response operations, to help save lives and minimize damage to property. These include the pre-positioning and provision of basic goods, training of first responders, among others, subject to the accounting and auditing rules to be defined in the IRR of this Act.
Sec. 44. *Accreditation, Mobilization, and Protection of Disaster Volunteers and
National Service Reserve Corps, CSOs and the Private Sector. – The government agencies, CSOs, private sector and LGUs may mobilize individuals or organized volunteers to augment their respective personnel complement and logistical requirements in the delivery of disaster risk reduction programs and activities. The agencies, CSOs, private sector, and LGUs concerned shall take full responsibility for the enhancement, welfare and protection of volunteers, and shall submit the list of volunteers to the Department, through the LDROs, for accreditation and inclusion in the database of community disaster volunteers.
A national roster of ACDRVs and Institutions, National Service Reserve Corps, CSOs and the private sector shall be maintained by the Department through the LDROs. Accreditation shall be done at the municipal or city level.
The mobilization of volunteers shall be in accordance with this Act and implementing guidelines to be formulated by the Department. Any volunteer who incurs death or injury while engaged in any of the activities defined under this Act shall be entitled to compensatory benefits and individual personnel accident insurance as may be defined in the IRR.
Sec. 45. Reporting of Humanitarian Assistance. – The concerned local government unit shall submit a report to the Department, taking into account all domestic or international humanitarian assistance received and distributed within its area of responsibility.
ARTICLE XII
HUMANITARIAN ASSISTANCE
Sec. 46. Management of Humanitarian Assistance. – (a) The Department shall have the power to receive and manage humanitarian assistance from any person or entity, whether from local or international sources.
(b) The importation by, and humanitarian assistance to, the Department of, among others, food, clothing, medical assistance, equipment, and materials for relief, recovery and other disaster management activities are hereby authorized in accordance with Section 105 of the Tariff and Customs Code of the Philippines, as amended, and the prevailing provisions of the General Appropriations Act covering national internal revenue taxes and import duties of national and local government.
Sec. 47. *International Humanitarian Assistance.* – The Department shall promulgate guidelines on international humanitarian assistance, including the initiation, entry, facilitation, transit, regulation and termination thereof, as well as those involving international disaster relief and personnel assisting international actors, visa waiver, recognition of foreign professional qualifications, entry of international disaster goods and equipment, and exemption from port duties, taxes, and restrictions.
Sec. 48. *Assessment of the Need for International Humanitarian Assistance.* –
(a) Immediately after the declaration of a state of calamity by the local sanggunian of the relevant local government unit or by the Department, as the case may be, the Department shall determine whether domestic capacities are likely to be sufficient to attend to the needs of affected persons for international humanitarian assistance. This determination may also be made, at the discretion of the President, prior to the onset of an imminent disaster.
(b) In the event of a determination by the Department that domestic response capacities are not likely to be sufficient due to the impact of the disaster, the Department shall recommend to the President that a request be made for international humanitarian assistance.
(c) A determination that domestic capacities are likely to be sufficient and that international humanitarian assistance is therefore unnecessary may be reviewed and rescinded by the Department, with the approval of the President, at any time, in light of prevailing circumstances and available information.
Sec. 49. *Humanitarian Assistance Action Center.* – The Department shall create an inter-agency one-stop shop mechanism called the Humanitarian Assistance Action Center (HAAC) for the processing and release of entry and facilitation of goods, articles or equipment and services and international relief workers for the provision of international humanitarian assistance and the processing of necessary documents for assisting international actors.
The Department shall lead and manage the HAAC, which shall be composed of the following:
(a) Bureau of Customs;
(b) Department of Foreign Affairs;
(c) Department of Social Welfare and Development;
(d) Department of Health;
(e) Food and Drug Administration;
(f) Department of Agriculture;
(g) Department of Energy;
(h) Department of National Defense;
(i) Philippine National Police;
(j) Philippine Coast Guard; and
(k) Bureau of Immigration.
Sec. 50. Request for International Humanitarian Assistance. – (a) In cognizance of the urgency, criticality and intensity of an imminent risk, the Department shall issue a flash appeal to the family of nations, under regional and multilateral conventions, for assistance in preparedness, including preemptive measures, search, rescue, and retrieval, relief, recovery, and reconstruction.
(b) The President may request international humanitarian assistance, upon the advice of the Secretary. Such request may be specifically directed to particular assisting international actors or may be a general request directed to the international community.
Sec. 51. Regulation of Humanitarian Assistance. – (a) The Department shall ensure the efficient and effective monitoring of humanitarian assistance from domestic or international donors, establish and operate a platform, including an online platform, to facilitate, and provide public access to information on donations.
(b) The Department shall include in the IRR of this Act guidelines and accountabilities on the receipt, management, distribution, accounting, and reporting of all humanitarian assistance, whether in cash or in kind, consistent with the rules on the use of foreign and local aid during calamities and disasters issued by the COA and other relevant government agencies.
ARTICLE XIII
OFFER AND FACILITATION OF HUMANITARIAN ASSISTANCE
TO FOREIGN STATES
Sec. 52. Offer and Facilitation of International Humanitarian Assistance to Foreign States. – In the event of a disaster occurring in a foreign state for which international humanitarian assistance is required, the Department, in coordination with the DFA, may offer, facilitate, provide, and deploy international humanitarian assistance to said foreign state, which shall be subject to guidelines to be promulgated by the Department for the purpose.
Sec. 53. Accreditation. – The Department, in coordination with relevant government agencies and organizations, shall provide and facilitate the necessary training and accreditation to the respective government personnel to be deployed for such offer, facilitation and provision of international humanitarian assistance to a foreign state.
ARTICLE XIV
RECOVERY
Sec. 54. Standards for Recovery. – The Department shall observe internationally accepted standards for recovery, planning, programming and implementation of the recovery process. Towards this end, the Department shall:
a) Improve the community’s physical, social and economic resilience, consistent with the principle of “building forward better”;
b) Use locally-driven, centrally-supported processes based on legal mandates with supplementary capacity support when requested;
c) Redirect development outside danger zones to minimize loss of lives and structures resulting from typhoons, flooding, landslides, and other hazards;
d) Employ outcome-driven planning and implementation;
e) Maximize use of Private-Public sector partnership where possible;
f) Consider local conditions such as culture, security situation and existing capacities of communities in identifying programs and projects;
g) Ensure access to public transport, physical and mental health services, markets, schools, sustainable livelihoods, and other public services in
planning for settlement areas; and
h) Ensure restoration of peace and order and recovery of government functions.
ARTICLE XV
REMEDIAL MEASURES UNDER STATE OF CALAMITY
Sec. 55. Declaration of State of Calamity. – A state of calamity may be declared when any of the following requisites are present:
a. A natural hazard, including climate change, poses imminent threat to human life and/or danger to property; or
b. A significant impact is caused by a natural hazard or climate change, which demands immediate action.
The following shall exercise this power, respectively:
a. The President, upon recommendation of the SDR, whether in whole or part of an area;
b. The SDR, upon recommendation of the RDRO, for disasters covering two or more provinces of the same region; and
c. The local sanggunian, upon recommendation of the concerned local disaster resilience office, within its jurisdiction.
Sec. 56. Remedial Measures under State of Calamity. – Upon the declaration of a state of calamity, the following remedial measures shall be immediately undertaken by concerned government agencies at the national and local levels:
a) Imposition of price ceiling on basic necessities and prime commodities by the Price Coordinating Council (PCC), as provided for under Republic Act No. 7581, otherwise known as the “Price Act”, as amended by Republic Act No. 10623;
b) Monitoring, prevention and control by the Local Price Coordination Council of overpricing or profiteering and hoarding of prime commodities, medicines and petroleum products;
c) Programming or reprogramming of funds for the repair of critical facilities or public infrastructures that are vital for the quick delivery of humanitarian assistance, to reduce further threat to lives and arrest
further deterioration of properties and loss of livelihoods in the affected communities, following the “build forward better” principle;
d) Grant of no-interest loans by government financing or lending institutions to the most vulnerable and marginalized groups or individuals;
e) Local tax exemptions, incentives or reliefs under such terms and conditions as may be deemed necessary by the affected local government unit; and
f) Use of alternative modes of procurement under Article XVI of this Act, by the Department, LGUs or the relevant government instrumentalities in relation to the urgent procurement of emergency works, goods or services to effectively respond to, quickly recover from disasters, and build forward better.
ARTICLE XVI
PROCUREMENT
Sec. 57. Procurement. – In general, the procurement rules provided under Republic Act No. 9184, otherwise known as the “Government Procurement Reform Act”, shall apply. However, alternative modes of procurement as provided in this Act may be resorted to by the Department, RDROs, or LGUs in any of the following emergency situations:
a) There is imminent danger to life or property during a state of calamity, as provided under this Act, and the procurement is necessary to avert or reduce such danger to life or property; or
b) The procurement is necessary to restore vital public services, infrastructure facilities and other public utilities; or
c) Time is of the essence in implementing a project, program or activity to effectively respond to a disaster and save lives; or
d) There are other circumstances that require immediate procurement necessary to prevent damage to or loss of life or property.
Sec. 58. Alternative Modes of Procurement. – During emergency situations as provided under this Act, the Department, RDROs or LGUs may resort to the following modes of procurement:
a) Direct negotiation under Republic Act No. 9184, otherwise known as the “Government Procurement Reform Act”, and its implementing rules and regulations;
b) Simplified or pre-arranged contracts such as, among others, pre-signed agreements, stand-by contracts, pre-arranged systems of procurement with a pre-approved list of contractors for construction projects, pre-negotiated contracts, advanced procurements contracts, and framework contracts. The parameters, requirements and conditions for these types of contracts shall be defined in this Act’s IRR.
Sec. 59. Special Rules on Procurement for Reconstruction and Rehabilitation of Affected Areas. – (a) The Department, with the assistance of, or in collaboration with, relevant government agencies, shall create special rules on procurement for services, goods, and materials to be used for reconstruction and rehabilitation efforts in case of a natural disaster, including but not limited to, the construction of post-disaster shelters and provision of service contracts, to ensure the procurement of quality-oriented goods, materials, and equipment and to guarantee effective, efficient, and speedy procurement to achieve the goals of this act.
(b) In case of procurement of services, goods, or materials for reconstruction and rehabilitation efforts, whether from local or international sources, the Department and the relevant government agencies shall provide less bureaucratic restrictions, more flexible procurement policies, or exemption from, or reduction of, customs duties.
Sec. 60. Procurement from Qualified Suppliers or Contractors. – As an exception to the provisions of Republic Act No. 9184, otherwise known as the “Government Procurement Reform Act”, and its implementing rules and regulations, the Department shall have the power to procure goods and services from either local or foreign suppliers or contractors for purposes of implementing programs, projects, and activities related to disaster resilience and disaster management. The conditions, limitations, application processes, eligibility requirements and assessment criteria for local and foreign suppliers and contractors shall be provided in this Act’s IRR.
Sec. 61. Pre-Arranged Contracts or Agreements with Private Sector Entities. – Notwithstanding Republic Act No. 9184, otherwise known as the “Government Procurement Reform Act”, the Department shall have authority to enter into pre-arranged or contingency contracts or agreements with private sector entities for the purpose of, among others, establishing, a logistics system for the efficient and prompt distribution of goods, equipment or other materials required for disaster response and management; securing food, medicines, fuel, or other supplies from groceries, pharmacies, gas stations or other sources in the event of a disaster in a specific area; ensuring an alternative source of power or water from private utilities in the event of a disaster in a specific area; or other arranging the immediate supply of other goods, services or equipment necessary for disaster response and management. The conditions, limitations and parameters of contracts or arrangements authorized under this Section shall be provided in this Act’s IRR.
Sec. 62. Other Procurement Rules and Policies. – In view of the urgency and avoid unnecessary delays to procure goods, services, and implement projects for the purpose of providing responsive, effective, and efficient rescue, recovery, relief, and rehabilitation efforts for, and to continue the provision of basic services to, disaster victims or disaster affected areas, the DBM and GPPB shall issue appropriate resolutions, orders, and policies to effectively implement the provisions of this Act.
Sec. 63. Government Accounting and Auditing Policies. – The COA shall review, align, and issue policies or rules to improve the efficiency and expediency of procurement and audit processes for programs and projects related to disaster resilience and management.
ARTICLE XVII
SPECIAL RULES ON BORROWINGS AND TAXES
Sec. 64. Rules on Borrowing. – The LGUs shall access foreign financing, through the DOF, Bangko Sentral ng Pilipinas (BSP), and other relevant agencies, as applicable, to implement disaster prevention, mitigation, early recovery, and rehabilitation measures at the provincial, city, or municipal level.
Sec. 65. Special Rules on Tax and Duties. – To facilitate prompt, efficient and effective response to, recovery from disasters, and building forward better in
disaster-affected areas, the following shall be granted special exemptions from existing taxation laws, rules, and regulations:
a. Exemption from taxes and import duties for foreign disaster assistance or international donations coursed through the Department;
b. Exemption from donor’s tax and allowing the treatment of donations as a deductible expense for local disaster assistance coursed through the Department;
c. Exemption from the Value Added Tax (VAT) for goods or services donated from abroad as coursed through the Department;
d. Tax incentives to encourage members of the private sector to render aid or provide disaster assistance, and/or to invest in disaster resilience and climate change adaptation and mitigation measures for their residences, communities and/or businesses.
LGUs may also implement local tax rules that would grant disaster victims reasonable reduction, exemption, or deferment of local taxes or other types of tax assessments; or take other necessary action at the local level to provide tax relief to disaster victims.
Sec. 66. Custom Duties and Tariffs on Donations. – The BOC shall create rules that would, among others, hasten the processing and release of donated goods and equipment to disaster victims and/or affected areas.
Sec. 67. Economic Recovery and Development of Disaster-Prone Areas. – The Department, in coordination with the Department of Trade and Industry (DTI) and other relevant agencies, shall craft policies, and implement the necessary programs and projects to stimulate economic activities and encourage investments to assist disaster-affected areas develop or recover faster, as applicable.
The Department, in collaboration with the relevant LGUs and other stakeholders, shall likewise establish dual purpose structures in disaster-affected areas, such as, among others, community agricultural centers, classrooms, and water harvesting tanks to develop and promote investments in disaster-prone or affected areas.
ARTICLE XVIII
PROHIBITED ACTS AND PENALTIES
Sec. 68. Prohibited Acts. – Any public official, private person, group or corporation who commits any of the following prohibited acts shall be held liable and be subjected to the criminal and administrative penalties as provided for in Section 71 of this Act, without prejudice to the imposition of other criminal, civil and administrative liabilities under existing laws.
a) Prohibited Acts of Public Officials. – The following acts, if committed by public officials without justifiable cause, shall be considered as gross neglect of duty:
1. Dereliction of duties that leads to destruction, loss of lives, critical damage of facilities and misuse of funds;
2. Failure to enforce laws, standards, or regulations such as the National Building Code, Solid Waste Management Act, Water Code, and other relevant laws, leading to destruction, loss of lives, and/or critical damage of facilities;
3. Failure to create a functional LDR Office within six (6) months from the approval of this Act;
4. Failure to appoint a permanent local disaster resilience officer within six (6) months from approval of this Act;
5. Failure to prepare and implement a Contingency and Adaptation Plan for hazards frequently occurring within their jurisdictions;
6. Failure to formulate and implement the LDRP with the corresponding budget allocation; and
7. Sexual exploitation and abuse and other forms of sexual misconduct on the affected population or at-risk communities.
b) Prohibited Acts of Public Officials and Private Persons or Institutions. –
1. Delay, without justifiable cause in the delivery, proper handling or storage of aid commodities, resulting to damage or spoilage;
2. Withholding the distribution of relief goods due to (i) political or partisan considerations; (ii) discrimination based on race, ethnicity, religion, or gender; and (iii) other similar circumstances;
3. Preventing the entry and distribution of relief goods in disaster-stricken areas, including appropriate technology, tools, equipment, accessories, disaster teams or experts;
4. Buying, for consumption or resale, from disaster relief agencies any relief goods, equipment or other and commodities, which are intended for distribution to disaster-affected communities;
5. Buying, for consumption or resale, from the recipient disaster affected persons any relief goods, equipment or other aid commodities received by them;
6. Selling of relief goods, equipment or other aid commodities, which are intended for distribution to disaster victims;
7. Forcibly seizing relief goods, equipment or other aid commodities intended for or consigned to a specific group of victims or relief agency;
8. Diverting or misdelivery of relief goods, equipment or other aid commodities to persons other than the rightful recipient or consignee;
9. Accepting, possessing, using or disposing relief goods, equipment or other aid commodities not intended for nor consigned to him or her;
10. Misrepresenting the source of relief goods, equipment or other aid commodities by:
i. Either covering, replacing or defacing the labels of the containers to make it appear that the goods, equipment or other aid commodities came from another agency or persons;
ii. Repacking the goods, equipment or other aid commodities into containers with different markings to make it appear that the goods came from another agency or persons or was released upon the instance of a particular agency, person, or persons; and
iii. Making false verbal claim that the goods, equipment or other and commodity in its untampered original containers actually came from another agency or persons or was released upon the instance of a particular agency, person, or persons;
11. Substituting or replacing relief goods, equipment or other aid commodities
with the same items or inferior/cheaper quality;
12. Illegal solicitations by persons or organizations representing others as defined in the standards and guidelines set by the Department;
13. Deliberate use of false at inflated data in support of the request for funding, relief goods, equipment or other aid commodities for emergency assistance or livelihood projects;
14. Stealing, taking, or processing of any of the equipment, accessories and other vital facility or items or any part thereof;
15. Selling or buying stolen equipment, accessories, and other vital facility items or any part thereof;
16. Tampering with or stealing hazard monitoring and disaster preparedness equipment and paraphernalia;
17. Attempting to commit any of the abovementioned prohibited acts; and
18. Benefitting from the proceeds or fruits of any of the abovementioned prohibited acts knowing that the proceeds or fruits are derived from the commission of said prohibited acts.
Sec. 69. Penalties. – Any individual, corporation, partnership, association or other juridical entity that commits any of the prohibited acts in the preceding section shall be made liable for the following:
(a) The penalty of imprisonment of not less than twelve (12) years but not more than fifteen (15) years or a fine of not less than One Million Pesos (Php1,000,000.00) but not more than Three Million Pesos (Php3,000,000.00), or both imprisonment and fine at the discretion of the court shall be imposed upon any person found guilty of violating subsections (a)(1) to (b)(18) of the preceding section, as well as the confiscation or forfeiture in favor of the government of the objects and the instrumentalities used in the commission of the prohibited acts;
(b) The penalty of imprisonment of not less than six (6) years but not more than eight (8) years or a fine of not less than Five Hundred Thousand Pesos (Php 500,000.00) but not more than One Million Pesos (Php 1,000,000.00), or both imprisonment and fine at the discretion of the court, shall be imposed upon any person who attempts to commit any of the prohibited acts in the preceding Section,
in violation of Subsection (b)(17) thereof;
(c) The penalty of imprisonment of not less than two (2) years but not more than six (6) years or a fine of not less than Two Hundred Thousand Pesos (Php 200,000.00) but not more than Five Hundred Thousand Pesos (Php 500,000.00), or both imprisonment and fine at the discretion of the court, shall be imposed upon any person found guilty of unlawfully benefiting from the proceeds or fruits of any of the prohibited in the preceding section, in violation of subsection (b)(18) thereof;
(d) Aside from the penalty of fine or imprisonment or both, perpetual disqualification from public office shall be imposed if the offender is a public officer, and confiscation or forfeiture in favor of the government of the objects and the instrumentalities used in the commission of any of the prohibited in the preceding section;
(e) If the offender is a corporation, partnership or association, or other juridical entity, the penalty shall be imposed upon the officer or officers of the corporation, partnership, association or entity responsible for the violation without prejudice to the cancellation or revocation of these entities’ registration, license or accreditation issued to them by any licensing or accredited body of the government. If such offender is an alien, he or she shall, in addition to the penalties prescribed in this act, be deported without further proceedings after service of sentence;
(f) Payment of the full cost of repair or replacement of the government risk reduction and preparedness equipment, accessories and other vital facility items, or any part thereof, which is the object of the crime shall likewise be imposed upon any person who shall commit any of the prohibited acts in the preceding Section; and
(g) The prosecution for offenses set forth under the preceding section shall be without prejudice to any criminal liability for violation of Republic Act No. 3815, as amended, otherwise known as the “Revised Penal Code”, and other existing laws, as well as the imposition of applicable administrative or civil liabilities.
Sec. 70. Liability for Unlawful Performance of Duties and State Liability in case of Defense Litigation. – In case a lawsuit is filed against any personnel of the
Department as a result of the performance of his or her duties, and such performance was found to be lawful, he or she shall be reimbursed by the Department for reasonable costs of litigation. For this purpose, the Department is authorized to procure applicable liability insurance for its officers and employees.
Sec. 71. Disciplinary powers of the President. – The President, subject to the recommendation of the Department Secretary and the Department of the Interior and Local Government (DILG), shall have the power to impose administrative sanctions against local chief executives and barangay officials for willful or negligent acts that relate to the implementation of, or compliance with, this Act and its IRR or relating to their official functions, which adversely affect disaster resilience projects such as, but not limited to, delayed issuance of permits or failure to implement local ordinances.
ARTICLE XIX
DISASTER RESILIENCE FUND
Sec. 72. Appropriations and Management of Disaster Resilience Fund. – The budget of the Department shall be composed of the following, which shall be collectively called the Disaster Resilience Fund:
a. Annual General Appropriations – shall provide the funding requirements for, among others, research, operations, maintenance, plans, and programs of the Department of Disaster Resilience, including, but not limited to, establishment of evacuation centers, retrofitting of structures, establishment of emergency operating centers, and implementation of other disaster risk reduction projects.
b. Disaster Contingency Fund – shall be in a lump-sum form to provide funds in case of imminent hazards or actual disasters for, among others, immediate response, relief and quick recovery measures for disaster affected areas.
c. Rehabilitation and Recovery Fund – shall provide the funding requirements for rehabilitation and/or reconstruction projects of disaster affected areas such as public classrooms, government buildings, public hospitals, permanent shelters and livelihood programs.
The Disaster Resilience Fund shall be managed by the Department to finance its operations, and disaster risk reduction, disaster preparedness, response, recovery, rehabilitation and building forward better programs, projects and activities formulated at the national level.
Sec. 73. Continuing Appropriations. – The unutilized balances from the Disaster Contingency Fund, and Rehabilitation and Recovery Fund shall be treated as Continuing Appropriations, which may be used to finance the cost of projects, programs, and/or activities even when such costs are incurred beyond the fiscal year of the GAA from which such funds were appropriated.
Sec. 74. Fund Regulations. – The DBM and COA shall establish rules and regulations that apply specifically to the Disaster Resilience Fund to ensure that funds required for disaster response, recovery, and rehabilitation are available and/or released efficiently and expeditiously through innovative budgeting and auditing mechanisms, which may include, among others, providing for longer validity periods for funds and/or exemption from cash-based budgeting rules; imposing auditing or reporting requirements, which apply specifically to the utilization of the Disaster Resilience Fund.
Sec. 75. Local Disaster Resilience Fund and Local Disaster Contingency Fund. – LGUs shall annually set aside not less than ten percent (10%) of their local budget, to constitute a Local Disaster Resilience Fund (LDRF). The LGU shall use its LDRF to maintain and operate its local disaster resilience office to maintain its officers, employees and staff, and to implement plans, programs and activities under its LDRP. Thirty percent (30%) of the LDRF shall be set aside as Local Disaster Contingency Fund (LDCF), which shall be used for disaster response and quick recovery measures. Nothing contained in this Act shall prevent LGUs from providing additional funding or allocating additional resources for disaster resilience activities, plans and programs within their jurisdiction.
Sec. 76. Supplemental LDRF. – The Department may allocate and disburse funds to supplement an LGU’s LDRF based on the parameters and requirements indicated in the IRR. In determining such parameters and requirements, the IRR shall aim to provide supplemental funds to LGUs with low income and/or high
exposure to natural hazards. Supplemental LDRFs shall, as much as possible, fill gaps or shortages in LGU resources to ensure that LGUs can implement disaster resilience measures such as, among others, implementing their LDRP/Provincial LDRP, establishing their local disaster resilience offices, obtaining and/or maintaining the necessary equipment and staff in their local disaster resilience offices, and implementing the NDRF and NDRPIP at the local levels.
Sec. 77. People’s Survival Fund. – The Department shall manage and administer the People’s Survival Fund, created under Republic Act No. 10174, and facilitate its utilization by LGUs, through RDROs, to implement climate change adaptation and mitigation projects of LGUs and enhance the climate resilience of vulnerable communities.
Sec. 78. Multi-Donor Trust Fund. – The Department shall create and manage, together with the Bureau of Treasury, a Multi-Donor Trust Fund for the processing, releasing and accounting of money and other similar resources intended for disaster assistance. The Department shall establish a system to ensure transparency in the management and use of the Multi-Donor Trust Fund.
Sec. 79. Financial Administration. – The Department shall manage all funds appropriated to it by Congress and received from other sources. The Department shall also manage all donations received by it, subject to the auditing powers of the COA.
To fund its operations, the Department shall have the power to collect fees derived from the DRRTI and other related activities.
ARTICLE XX
SPECIAL COURTS AND INJUNCTIONS
Sec. 80. Special Courts on Disaster Resilience Matters. – To ensure the prompt and expeditious resolution of disputes relating to disaster response, recovery or rehabilitation measures, the Supreme Court shall designate special courts to hear, try, and decide cases arising from the following, among others:
a) Expropriation, eminent domain or right-of-way issues related to the implementation of disaster resilience projects;
b) Failure to comply with standards for disaster risk reduction and continuity
planning, including, but not limited to, infrastructure standards and designs;
c) Commission of prohibited acts under Article XVIII of this Act; and
d) Disputes involving donations, relief goods, or contracts executed or implemented pursuant to the provisions of this Act.
Sec. 81. *Dispute Resolution Mechanisms.* – The Department shall establish a Disaster Resolution Board, which shall resolve disputes involving administrative matters related to:
a) Accreditation or denial of accreditation of disaster resilience training institutions, trainers, instructors, donors, volunteers, and Assisting Domestic or International Actors;
b) Decisions of the RDROs;
c) Contracts entered into by the Department or any of its agents pursuant to the provisions of this Act; and
d) Other administrative matters or issues as may be determined by the Department.
The composition, structure, and other organizational matters related to the DRB shall be defined and provided in this Act’s IRR.
Sec. 82. *Imposition of Temporary Restraining Order.* – No Court, except the Supreme Court, shall have the power to issue an injunction or a temporary restraining order against any action taken or projects implemented by the Department or its agents pursuant to this Act.
**ARTICLE XXI**
**FINAL PROVISIONS**
Sec. 83. *Transfer of Functions.* – The following are hereby transferred to the Department:
a) All the functions of the Climate Change Commission (CCC);
b) Natural disaster-related functions of the National Disaster Risk Reduction and Management Council (NDRRMC) and the Office of Civil Defense (OCD); and
c) Natural disaster-response functions of the Department of Social Welfare
and Development (DSWD).
Accordingly, the CCC and NDRRMC are hereby abolished.
The DILG, DND, DSWD, and other relevant government instrumentalities, including the AFP, BFP, PNP, PCG, and OCD, shall continue to perform their functions related to the management of human-induced disasters, as provided for by existing laws.
Sec. 84. Transfer of Resources. – The transfer of powers and functions listed above shall include the corresponding funds and appropriations, plantilla positions, data, records, equipment, facilities, properties and other resources of the concerned government instrumentalities. The Department shall have the power to reorganize or reallocate these resources and positions, as may be necessary to attain the goals and objectives of this Act.
Sec. 85. Program Management Office for the Earthquake Resiliency of the Greater Metro Manila Area. – The Program Management Office for the Earthquake Resiliency of the Greater Metro Manila Area (PMO-ERG), as created pursuant to and mandated by Executive Order no. 52, s. 2018, shall be attached to the Department and be authorized to implement earthquake resiliency programs, projects, and activities, as it may deem necessary to carry out its mandate and attain its overall goals. The Head of the PMO-ERG shall report directly to the SDR.
Sec. 86. Post-Disaster Shelters. – The Department shall establish a post-disaster shelter recovery policy framework for low-income/informal settler families, with the assistance of the appropriate housing agencies and the applicable LGUs. It shall determine, among others, the appropriate shelter modalities depending on the following phases: emergency, temporary or transitional, and permanent. The Department shall likewise identify, assess, and decide on safe zones for the implementation of recovery or rehabilitation projects.
Sec. 87. Cultural Heritage. – To protect, preserve, and promote the nation’s historical and cultural heritage, the Department shall assist the relevant cultural and heritage agencies and the appropriate LGUs to give priority protection and restoration to all national cultural treasures or national historical landmarks, sites, or monuments in post-disaster recovery or rehabilitation measures.
Sec. 88. *Indigenous People.* – The Department, with the assistance of the National Commission on Indigenous Peoples (NCIP) and the applicable LGUs, shall devise and implement mechanisms that foster social protection for indigenous communities that are vulnerable to the effects of natural disasters.
The Department shall ensure respect for, and protection of, the traditional resource right of the Indigenous Cultural Communities/Indigenous Peoples (ICCs/IPs) to their ancestral domains, and recognize the customary laws and traditional resource use and management, knowledge, and practices in ancestral domains.
In ancestral domains that are disaster-prone, the Department, with the assistance of the NCIP and applicable LGUs, shall create an Ancestral Domain Disaster Management and Resiliency Plan. It shall likewise properly communicate and explain information on disaster risks in ancestral domains with the concerned ICCs/IPs and, as much as possible, engage such ICCs/IPs in jointly formulating a disaster resiliency plan for their ancestral domain.
Sec. 89. *Incentives Program.* – The Department shall establish an incentives program that recognizes the outstanding promotion and implementation by local disaster resilience offices, CSOs, academe, and other institutions of disaster resilience programs and/or projects, and the meritorious acts of individuals or entities during natural disasters.
Sec. 90. *Structural audit of government buildings and critical infrastructure.* – The Department shall be assisted by the DPWH, DOTr, Department of Energy (DOE), DOH, DepEd, DICT, DILG, local building officials, and other relevant government instrumentalities and stakeholders, in ensuring the effective and expeditious conduct of structural audit, as often as necessary, on government buildings, critical infrastructure, and private structures to attain the disaster risk reduction goals of this Act.
Sec. 91. *Transitory Provision.* – The functions, assets, funds, equipment, properties, transactions, and personnel of the affected and transferred agencies, and the formulation of the internal organic structure, staffing pattern, operating system, and revised budget of the Department, shall be completed within one (1) year from
the effectivity of this Act, during which time the existing personnel shall continue to assume their posts on holdover capacity. The Department, in collaboration with the DBM, shall come up with its Organizational Structure and Staffing Pattern, both of which shall be approved within thirty (30) days from the effectivity of this Act.
The Secretary of National Defense shall serve as the interim SDR until such time that the SDR has been appointed and taken his/her oath of office. Upon assumption to duty, the SDR shall make use of the existing structure, systems, and personnel in responding to natural hazards and disasters within the transition period.
In accordance with Section 12 of this Act and the critical importance of attracting the most competent and dedicated personnel to the Department, suitable and qualified career personnel from the NDRRMC-OCD, DSWD, and the CCC, as defined by the CSC and other pertinent rules, may be absorbed by the Department. The system and mechanics for this shall be defined in the IRR of this Act.
Sec. 92. *Magna Carta Benefits.* – Qualified employees of the Department, including those of its attached agencies, shall be covered by and entitled to the benefits under Republic Act No. 8439, otherwise known as the Magna Carta for Scientists, Engineers, Researchers and other S & T Personnel in the Government, and Republic Act No. 7305, otherwise known as the Magna Carta of Public Health Workers.
Sec. 93. *Hazard Pay.* – All personnel of the Department and the local disaster resilience offices are entitled to receive hazard pay, subject to the guidelines to be set forth in the IRR of this Act.
Sec. 94. *Separation Benefits of Officials and Employees of Affected Agencies.* National government employees displaced or separated from service as a result of this Act shall be entitled to either separation pay and other benefits in accordance with existing laws, rules, or regulations, or be entitled to avail themselves of the privileges provided under a separation plan that shall be one and one-half month salary for every year of service in the government.
In no case shall there be any diminution of benefits under the separation plan until the full implementation of this Act. With respect to employees who are not retained by the Department, the government, through the Department of Labor and
Employment, shall endeavor to implement training, job counseling, and job placement programs.
Sec. 95. Appropriations. – The amount necessary for the initial implementation of this Act shall be taken from the current fiscal year’s unexpended and unobligated appropriations of all agencies herein absorbed, transferred, and attached to the Department. Thereafter, the amounts necessary for the operation of the Department and the implementation of this Act shall be included in the annual General Appropriations Act.
Sec. 96. Implementing Rules and Regulations. – The Department, DBM, DND, DOF, DILG, DOST, NEDA, and the PMS shall collectively craft and issue, within ninety (90) days from the effectivity of this Act, the Implementing Rules and Regulations (IRR) for the effective implementation of this Act. They may call upon other relevant government instrumentalities and stakeholders to assist in the crafting of the IRR.
Sec. 97. Joint Congressional Oversight Committee on Disaster Resilience. – There shall be created a Joint Congressional Oversight Committee on Disaster Resilience to monitor the implementation of this Act. The committee shall be composed of six (6) Members of the House of Representatives and six (6) Senators to be designated by the Speaker of the House of Representatives and the President of the Senate, respectively; Provided, That; two (2) Members of the House of Representatives and two (2) Senators shall come from the Minority of their respective houses of Congress. The committee shall be jointly chaired by a Member of the House of Representatives and a Senator designated by the Speaker of the House of Representatives and the President of the Senate, respectively.
Sec. 98. Mandatory Review. – Within five (5) years after the effectivity of this Act, or as the need arises, the Joint Congressional Oversight Committee on Disaster Resilience shall conduct systematic evaluation of the accomplishments and impact of this Act, as well as the performance of the Department of its mandate and functions, for purposes of determining remedial legislation.
Sec. 99. Interpretation. Any doubt in the interpretation of any provision of this Act shall be resolved in favor of a liberal interpretation that will fulfill the
objectives of this Act, especially in relation to the provision of effective, efficient and timely disaster response, rehabilitation and recovery.
Sec. 100. Separability Clause. – If any provision of this Act shall be declared unconstitutional or invalid, the other provisions or parts thereof not otherwise affected shall remain in full force and effect.
Sec. 101. Repealing Clause. – The provisions of Republic Act No. 10121, Republic Act No. 7160, Republic Act No. 7916, Republic Act No. 9184, and all other laws, decrees, executive orders, proclamations and other executive issuances, which are not consistent with or contrary to the provisions of this Act, are hereby repealed or amended.
Sec. 102. Effectivity. – This Act shall take effect fifteen (15) days after its publication in the Official Gazette or in any two (2) newspapers of general circulation in the Philippines.
Approved,
|
प्रेषक,
डा0 रजनीश दुबे,
प्रमुख सचिव,
उ0प्र0 शासन
सेवा में,
1. कुलसचिव,
किंग जार्ज चिकित्सा विश्वविद्यालय,
उ050 लखनऊ
3. निदेशक,
एस0जी0पी0जी0आई0,
लखनऊ
5. निदेशक,
सुपर स्पेशियलिटी बाल चिकित्सालय
एवं स्नातकोत्तर शिक्षण संस्थान,
नोएडा
7. समस्त प्रधानाचार्य, राजकीय
मेडिकल कॉलेज, उ0प्र0
2. कुलसचिव,
उ0प्र0 आयुर्विज्ञान विश्वविद्यालय,
सेफई इटावा
4. निदेशक,
डा0 राम मनोहर लोहिया
आयुर्विज्ञान
संस्थान, लखनऊ
6. निदेशक,
राजकीय आयुर्विज्ञान संस्थान,
ग्रेटर नोएडा
8. समस्त प्रधानाचार्य, स्वशासी
राज्य चिकित्सा महाविद्यालय,
उ0प्र0।
लखनऊ : दिनांक 3 अप्रैल, 2020
चिकित्सा शिक्षा अनुभाग–2
विषय:– Covid–19 संक्रमण से ग्रस्त व्यक्तियों की मेडिकल कॉलेज/संस्थान के चिकित्सालयों में मृत्यु की दशा में शव के निर्तारण के संबंध में दिशा–निर्देश
महादय,
उपर्युक्त विषय पर स्वास्थ्य एवं परिवार कल्याण मंत्रालय, भारत सरकार द्वारा दिनांक 15.03.2020 को निर्मित Covid–19: Guidelines On Dead Body Management की छायाप्रति संलग्न कर प्रेरित करते हुए मुझे यह कहने का निर्देश हुआ है कि Covid–19 के संक्रमण से ग्रस्त रोगियों की मृत्यु की दशा में शव के निर्तारण हेतु उक्त दिशा–निर्देशों का अनुपालन सुनिर्दिष्ट किया जाए!
2– Covid–19 के संक्रमण से हुई मृत्यु की स्थिति में मुतक के परिजनों तथा मीडिया को सूचना संबंधित चिकित्सा संस्था के प्रमुख अथवा अपरिहार्य परिस्थिति में चिकित्सा संस्था के प्रमुख द्वारा अधिकृत वरिष्ठ चिकित्सक द्वारा ही सूचना दी जाय। सूचना देते समय संबंधित चिकित्सक को औपचारिक चिकित्सकीय वेश भूषा में होना चाहिए।
3– Covid–19: Guidelines On Dead Body Management से संबंधित दिशा निर्देशों के क्रियान्वयन हेतु पुलिस प्रशासन द्वारा आवश्यक पुलिस बल की व्यवस्था की जायेगी।
कृपया उक्त निर्देशों का अनुपालन सुनिर्दिष्ट करने का कष्ट करें।
संलग्नक यथोक्त।
( डा0 रजनीश दुबे )
प्रमुख सचिव।
संख्या एवं दिनांक तदैव—
प्रतिलिपि निम्नलिखित को सूचनार्थ एवं आवश्यक कार्यवाही हेतु प्रेषित:—
1. अपर मुख्य सचिव, गृह विभाग, उ0प्र0 शासन
2. निजी सचिव, माओ मंत्री, चिकित्सा शिक्षा विभाग, उ0प्र0 शासन
3. प्रमुख सचिव, चिकित्सा स्वास्थ्य एवं परिवार कल्याण विभाग, उ0प्र0 शासन
4. प्रमुख स्टाफ आफिसर, मुख्य सचिव, उ0प्र0 शासन
5. महानिदेशक, चिकित्सा शिक्षा एवं प्रशिक्षण, उ0प्र0, लखनऊ को इस आशय से प्रेषित कि वे निजी क्षेत्र के समस्त 27 मेडिकल कालेजों के प्रबन्धकों/प्रधानाचार्यों को उक्त दिशा निर्देश की प्रति उपलब्ध करायेंगे
6. पुलिस महानिदेशक, उ0प्र0, लखनऊ
7. समस्त जिलाधिकारी ,उ0प्र0
8. गार्ड बुक।
आज्ञा से,
(कुलदीप कुमार रस्तोगी)
उप सचिव।
Government of India
Ministry of Health & Family Welfare
Directorate General of Health Services
(EMR Division)
COVID-19:
GUIDELINES ON
DEAD BODY
MANAGEMENT
15.03.2020
1. Scope of the document
- There are currently over 100 laboratory confirmed cases and two deaths due to Novel Coronavirus disease (COVID-19) in India. Being a new disease there is knowledge gap on how to dispose of dead body of a suspect or confirmed case of COVID-19.
- This guideline is based on the current epidemiological knowledge about the COVID-19. India is currently having travel related cases and few cases of local transmission. At this stage, all suspect/confirmed cases will be isolated in a health care facility. Hence the document is limited in scope to hospital deaths.
2. Key Facts
- The main driver of transmission of COVID-19 is through droplets. There is unlikely to be an increased risk of COVID infection from a dead body to health workers or family members who follow standard precautions while handling body.
- Only the lungs of dead COVID patients, if handled during an autopsy, can be infectious.
3. Standard Precautions to be followed by health care workers while handling dead bodies of COVID.
Standard infection prevention control practices should be followed at all times. These include:
1. Hand hygiene.
2. Use of personal protective equipment (e.g., water resistant apron, gloves, masks, eyewear).
3. Safe handling of sharps.
4. Disinfect bag housing dead body; instruments and devices used on the patient.
5. Disinfect linen. Clean and disinfect environmental surfaces.
4. **Training in infection and prevention control practices**
All staff identified to handle dead bodies in the isolation area, mortuary, ambulance and those workers in the crematorium / burial ground should be trained in the infection prevention control practices.
5. **Removal of the body from the isolation room or area**
- The health worker attending to the dead body should perform hand hygiene, ensure proper use of PPE (water resistant apron, goggles, N95 mask, gloves).
- All tubes, drains and catheters on the dead body should be removed.
- Any puncture holes or wounds (resulting from removal of catheter, drains, tubes, or otherwise) should be disinfected with 1% hypochlorite and dressed with impermeable material.
- Apply caution while handling sharps such as intravenous catheters and other sharp devices. They should be disposed into a sharps container.
- Plug Oral, nasal orifices of the dead body to prevent leakage of body fluids.
- If the family of the patient wishes to view the body at the time of removal from the isolation room or area, they may be allowed to do so with the application of Standard Precautions.
- Place the dead body in leak-proof plastic body bag. The exterior of the body bag can be decontaminated with 1% hypochlorite. The body bag can be wrapped with a mortuary sheet or sheet provided by the family members.
• The body will be either handed over to the relatives or taken to mortuary.
• All used/soiled linen should be handled with standard precautions, put in biohazard bag and the outer surface of the bag disinfected with hypochlorite solution.
• Used equipment should be autoclaved or decontaminated with disinfectant solutions in accordance with established infection prevention control practices.
• All medical waste must be handled and disposed of in accordance with Biomedical waste management rules.
• The health staff who handled the body will remove personal protective equipment and will perform hand hygiene.
• Provide counseling to the family members and respect their sentiments.
6. Environmental cleaning and disinfection
All surfaces of the isolation area (floors, bed, railings, side tables, IV stand, etc.) should be wiped with 1% Sodium Hypochlorite solution; allow a contact time of 30 minutes, and then allowed to air dry.
7. Handling of dead body in Mortuary
• Mortuary staff handling COVID dead body should observe standard precautions.
• Dead bodies should be stored in cold chambers maintained at approximately 4°C.
• The mortuary must be kept clean. Environmental surfaces, instruments and transport trolleys should be properly disinfected with 1% Hypochlorite solution.
• After removing the body, the chamber door, handles and floor should be cleaned with sodium hypochlorite 1% solution.
8. Embalming
- Embalming of dead body should not be allowed.
9. Autopsies on COVID-19 dead bodies
Autopsies should be avoided. If autopsy is to be performed for special reasons, the following infection prevention control practices should be adopted:
- The Team should be well trained in infection prevention control practices.
- The number of forensic experts and support staff in the autopsy room should be limited:
- The Team should use full complement of PPE (coveralls, head cover, shoe cover, N 95 mask, goggles / face shield).
- Round ended scissors should be used
- PM40 or any other heavy duty blades with blunted points to be used to reduce prick injuries
- Only one body cavity at a time should be dissected
- Unfixed organs must be held firm on the table and sliced with a sponge – care should be taken to protect the hand
- Negative pressure to be maintained in mortuary. An oscillator saw with suction extraction of the bone aerosol into a removable chamber should be used for sawing skull, otherwise a hand saw with a chain-mail glove may be used
- Needles should not be re-sheathed after fluid sampling – needles and syringes should be placed in a sharps bucket.
- Reduce aerosol generation during autopsy using appropriate techniques especially while handling lung tissue.
• After the procedure, body should be disinfected with 1% Sodium Hypochlorite and placed in a body bag, the exterior of which will again be decontaminated with 1% Sodium Hypochlorite solution.
• The body thereafter can be handed over to the relatives.
• Autopsy table to be disinfected as per standard protocol.
10. Transportation
• The body, secured in a body bag, exterior of which is decontaminated poses no additional risk to the staff transporting the dead body.
• The personnel handling the body may follow standard precautions (surgical mask, gloves).
• The vehicle, after the transfer of the body to cremation/burial staff, will be decontaminated with 1% Sodium Hypochlorite.
11. At the crematorium/Burial Ground
• The Crematorium/burial Ground staff should be sensitized that COVID 19 does not pose additional risk.
• The staff will practice standard precautions of hand hygiene, use of masks and gloves.
• Viewing of the dead body by unzipping the face end of the body bag (by the staff using standard precautions) may be allowed, for the relatives to see the body for one last time.
• Religious rituals such as reading from religious scripts, sprinkling holy water and any other last rites that does not require touching of the body can be allowed.
• Bathing, kissing, hugging, etc. of the dead body should not be allowed.
- The funeral/burial staff and family members should perform hand hygiene after cremation/burial.
- The ash does not pose any risk and can be collected to perform the last rites.
- Large gathering at the crematorium/burial ground should be avoided as a social distancing measure as it is possible that close family contacts may be symptomatic and/or shedding the virus.
|
Employment Law: *Burlington Industries, Inc. v. Ellerth* and *Faragher v. City of Boca Raton*: A Clear Rule of Deterrence or an Invitation to Litigate? The Supreme Court Rules on Employer Liability for Supervisory Sexual Harassment
Bryan J. Pattison
Follow this and additional works at: https://digitalcommons.law.ou.edu/olr
Part of the Labor and Employment Law Commons
**Recommended Citation**
Bryan J. Pattison, *Employment Law: Burlington Industries, Inc. v. Ellerth and Faragher v. City of Boca Raton: A Clear Rule of Deterrence or an Invitation to Litigate? The Supreme Court Rules on Employer Liability for Supervisory Sexual Harassment*, 52 Okla. L. Rev. 461 (1999), https://digitalcommons.law.ou.edu/olr/vol52/iss3/5
This Note is brought to you for free and open access by University of Oklahoma College of Law Digital Commons. It has been accepted for inclusion in Oklahoma Law Review by an authorized editor of University of Oklahoma College of Law Digital Commons. For more information, please contact firstname.lastname@example.org.
NOTES
Employment Law: *Burlington Industries, Inc. v. Ellerth* and *Faragher v. City of Boca Raton*: A Clear Rule of Deterrence or an Invitation to Litigate? The Supreme Court Rules on Employer Liability for Supervisory Sexual Harassment
I. Introduction
In the 1982 best-seller *In Search of Excellence*, management consultants Tom Peters and Robert Waterman issued these simple words of advice to companies aspiring to obtain the status of excellence: "Treat people as adults; [t]reat them as partners; treat them with dignity; treat them with respect . . . ; [t]here [is] hardly a more pervasive theme in . . . excellent companies than *respect for the individual*." This advice, if followed by every company, from upper to lower management, would do away with the need for terms such as "tangible action," "aided in agency," and "quid pro quo" in the employment context. This, however, is not the case. Whether the off-color joke, sexual innuendo, or the supervisor who conditions a promotion on sex, it is inevitable that some level of offensive behavior will always exist in the workplace that might lead an individual to make a claim of sexual harassment. It is the litigation of such claims that has brought about different terms and types of harassment, as well as several differing theories of employer liability for supervisory harassment. In *Burlington Industries, Inc. v. Ellerth* and *Faragher v. City of Boca Raton*, the Supreme Court attempted to bring uniformity to the law of employer liability for supervisory sexual harassment by implementing the policies that underlie Title VII.
In *Burlington*, the Court downplayed the judicially created distinction between quid pro quo and hostile environment sexual harassment, and established a rule that an employer may be held vicariously liable for a supervisor's sexual harassment of an employee, even if the employee does not suffer any tangible change in her
---
1. Thomas J. Peters & Robert H. Waterman, Jr., *In Search of Excellence: Lessons from America's Best-Run Companies* 238 (1982).
2. 118 S. Ct. 2257 (1998).
3. 118 S. Ct. 2275 (1998).
4. For purposes of this note, "her" or "she" will be used to refer to the employee, and "him" or "his" to refer to the supervisor. It must be noted, however, that the gender of the plaintiff making a discrimination claim under Title VII is not limited to females. See 42 U.S.C. § 2000e-2(a)(1) (1994); Tomkins v. Public Serv. Elec. & Gas Co., 568 F.2d 1044, 1047 n.4 (3rd Cir. 1977); Rafford v. Randle E. Ambulance Serv., Inc., 348 F. Supp. 316 (D.C. Fla. 1972). Additionally, in *Oncale v. Sundowner Offshore Servs., Inc.*, 118 S. Ct. 998 (1998), the Supreme Court held that discrimination consisting of same-sex sexual harassment is actionable under Title VII.
employment status.\textsuperscript{5} In the companion case, \textit{Faragher}, the Court provided an affirmative defense to employers in cases where no tangible employment action is taken. To escape liability, an employer must prove that it took reasonable care to prevent and correct sexual harassment and that the employee unreasonably failed to take advantage of the remedial procedures provided by the employer.\textsuperscript{6}
In the wake of \textit{Burlington} and \textit{Faragher}, some employers might argue that the Supreme Court has swung the pendulum too far to the left, necessarily forcing employers to create a work environment where trust is nonexistent and video surveillance and constant supervision are the norm.\textsuperscript{7} This is likely not the type of environment Peters and Waterman had in mind when they envisioned the "excellent company."\textsuperscript{8} However, employers need not worry nor become paranoid; the status of excellence is still obtainable. The purpose of this note is to show that, with \textit{Burlington} and \textit{Faragher}, the Supreme Court swung the pendulum to the middle and implemented Congressional intent behind Title VII to promote conciliation, avert litigation, and most importantly, deter sexual harassment in the workplace. Before analyzing \textit{Burlington} and \textit{Faragher}, Part II of this note reviews the law of employer liability for gender discrimination prior to \textit{Burlington} and \textit{Faragher}. Part III of this note recounts the facts, holding, and reasoning of the Court in \textit{Burlington} and \textit{Faragher}, while Part IV analyzes the Court's decisions in the two cases. Part V of this note discusses the implications the cases have on Oklahoma law; specifically, how the cases indirectly expose the inadequacies of Oklahoma's antidiscrimination laws. Part VI concludes this note.
\textbf{II. Law Prior to Burlington and Faragher}
The development of the law on sexual harassment began with Title VII of the Civil Rights Act of 1964 (the Act).\textsuperscript{9} Enacted primarily to address racial prejudice, the Act made it unlawful for an employer to "discriminate against any individual with respect to his compensation, terms, conditions, or privileges of employment, because of such individual's . . . sex . . . ."\textsuperscript{10} Because gender-based discrimination was a late addition to Title VII, little legislative history was available to assist courts in applying Title VII.
\begin{itemize}
\item[5.] See \textit{Burlington}, 118 S. Ct. at 2270.
\item[6.] See \textit{Faragher}, 118 S. Ct. at 2292-93.
\item[7.] In his dissent, Justice Thomas opined that the only way for employers to prevent sexual harassment and thus avoid liability under the majority decisions in \textit{Burlington} and \textit{Faragher} is by taking "extraordinary measures" such as video and audio surveillance, which would "revolutionize the workplace in a manner incompatible with a free society." \textit{Burlington}, 118 S. Ct. at 2273 (Thomas, J., dissenting). Chief Judge Posner of the Seventh Circuit Court of Appeals opined the same, stating that employers could not prevent harassment in the workplace without going to extreme expense and sacrificing the privacy of their employees by putting them under constant video surveillance. \textit{See Jansen v. Packaging Corp. of Am.}, 123 F.3d 490, 511 (7th Cir. 1997) (Posner, C.J., concurring in part, dissenting in part), \textit{aff'd sub nom.}, Burlington Indus., Inc. v. Ellerth, 118 S. Ct. 2257 (1998).
\item[8.] See supra note 1 and accompanying text.
\item[9.] 42 U.S.C. §§ 2000e to e-17 (1994).
\item[10.] 42 U.S.C. § 2000e-2(a)(1) (1994).
to sexual harassment claims.\textsuperscript{11} As a result, the case law that developed in the mid-1970s on employer liability for sexual harassment was far from uniform.\textsuperscript{12}
Several cases illustrate this non-uniformity between the circuits. In \textit{Barnes v. Costle},\textsuperscript{13} the United States Court of Appeals for the District of Columbia Circuit held, as a general rule, an employer is chargeable under Title VII for the discriminatory acts of its supervisory personnel.\textsuperscript{14} The \textit{Barnes} court recognized that an employer can escape responsibility for the supervisor's conduct if the conduct "contravene[s] employer policy without the employer's knowledge and the consequences are rectified when discovered."\textsuperscript{15} In \textit{Tompkins v. Public Service Electric & Gas Co.},\textsuperscript{16} the Third Circuit Court of Appeals concluded that the standard for employer liability was negligence, finding liability only when the employer has "actual or constructive knowledge" of the supervisor's sexual harassment and "does not take prompt and
\begin{itemize}
\item[11.] See Meritor Sav. Bank, FSB v. Vinson, 477 U.S. 57, 63-64 (1986); Michael J. Phillips, \textit{Employer Sexual Harassment Under Agency Principles: A Second Look at Meritor Savings Bank, FSB v. Vinson}, 44 Vand. L. Rev. 1229, 1231 (1991) (arguing that agency principles should be abandoned in determining questions of employer liability).
\item[12.] This note will not address what type of conduct is pervasive enough for an individual to bring a sexual harassment claim. For a discussion of the type of conduct which triggers a claim, see Harris v. Forklift Sys., Inc., 510 U.S. 17, 21 (1993) ("Conduct that is not severe or pervasive enough to create . . . an environment that a reasonable person would find hostile or abusive . . . is beyond Title VII's purview."); Meritor, 477 U.S. at 67 ("For sexual harassment to be actionable, it must be sufficiently severe or pervasive to alter the conditions of the victim's employment and create an abusive working environment.") (internal quotation marks and citation omitted); Anita Bernstein, \textit{Treating Sexual Harassment with Respect}, 111 HARV. L. REV. 445 (1997) (advocating a respectful person standard for defendants charged with hostile environment sexual harassment); Kellie A. Kalbar, \textit{Through the Eye of the Beholder: Sexual Harassment Under the Reasonable Person Standard}, KAN. J.L. & PUB. POL'Y, Spring 1994, at 160 (examining the different approaches currently used by courts to determine whether conduct was severe or pervasive enough to create a hostile work environment); Toni Lester, \textit{The Reasonable Woman Test in Sexual Harassment Law -- Will It Really Make a Difference?}, 26 IND. L. REV. 227 (1993) (arguing for the application of the reasonable woman test to sexual harassment cases); Leah R. McCaslin, Note, \textit{Harris v. Forklift Systems, Inc.: Defining the Plaintiff's Burden in Hostile Environment Sexual Harassment Claims}, 29 TULSA L.J. 761 (1994) (examining plaintiff's burden in sexual harassment cases); Joseph M. Pellicciotti, \textit{Sexual Harassment in the Workplace: A Consideration of Post-Vinston Approaches Designed to Determine Whether Sexual Harassment is Sufficiently Severe or Pervasive}, 5 DEPAUL BUS. L.J. 215 (1993) (considering approaches that have been developed by courts in determining what conduct is sufficiently severe or pervasive). Furthermore, this note will not discuss employer liability for sexual harassment committed by co-employees. For a discussion of co-employee sexual harassment, see \textit{Distasio v. Perkin Elmer Corp.}, 157 F.3d 55, 63 (2d Cir. 1998) (refusing to apply \textit{Burlington} and \textit{Faragher} to cases of sexual harassment by co-employees); \textit{Adler v. Wal-Mart Stores, Inc.}, 144 F.3d 664, 673 (10th Cir. 1998) (finding employer liability for sexual harassment by co-employee if employer has actual or constructive knowledge of harassment, and fails to adequately respond to the same); \textit{Henderson v. Whirlpool Corp.}, 17 F. Supp. 2d 1238, 1244 n.4 (N.D. Okla. 1998) (refusing to extend \textit{Burlington} and \textit{Faragher} to cases of sexual harassment by co-employees).
\item[13.] 561 F.2d 983 (D.C. Cir. 1977).
\item[14.] \textit{See id.} at 993.
\item[15.] \textit{Id.} In a concurring opinion, Judge MacKinnon looked to agency law, reasoning that vicarious liability should be imposed on employers only if the employee alleges that others in the agency aided and abetted in retaliating against her, with knowledge of her complaints, thus ratifying the supervisory harassment. \textit{See id.} at 1001.
\item[16.] 568 F.2d 1044 (3rd Cir. 1977).
appropriate remedial action after acquiring such knowledge."17 In *Miller v. Bank of America*,18 the Ninth Circuit Court of Appeals refused to apply a negligence standard and instead turned to the doctrine of respondeat superior.19 The *Miller* court rejected an employer's contention that it was not liable for its supervisor's harassment of an employee because the employer had a grievance procedure and a policy prohibiting harassment.20 The court reasoned that "the . . . rule, that an employer is liable for the torts of its employees, acting in the course of their employment, . . . [is] just as appropriate here as in other cases . . . where . . . the actor is the supervisor of the wronged employee."21
In 1980, the Equal Employment Opportunity Commission (EEOC) issued regulatory guidance on sexual harassment and employer liability that essentially amounted to strict liability.22 Under the EEOC guidelines, an employer is "responsible for its acts and those of its agents and supervisory employees with respect to sexual harassment regardless of whether the specific acts complained of were authorized or even forbidden by the employer and regardless of whether the employer knew or should have known of their occurrence."23
As differing rules on liability emerged, two different forms of sexual harassment also emerged — quid pro quo and hostile environment.24 Generally, quid pro quo harassment "occurs in situations where submission to sexual demands is made a condition of tangible employment benefits," such as promotion or discipline.25 Hostile work environment harassment, sometimes called environmental harassment, occurs where discriminatory comments, advances, touching, ridicule, and the like make the workplace hostile or abusive.26
In a 1982 decision, *Henson v. City of Dundee*,27 the Eleventh Circuit Court of Appeals issued the first published federal decision recognizing the distinction between quid pro quo and hostile environment harassment.28 The court ruled that an employer may be held vicariously liable for the acts of its supervisors in a quid pro quo sexual harassment case, but an employer would be subject to a negligence standard in a hostile environment case.29 The Eleventh Circuit found that when a plaintiff seeks
---
17. *Id.* at 1048-49.
18. 600 F.2d 211 (9th Cir. 1979).
19. *See id.* at 213.
20. *See id.*
21. *Id.*
22. See 45 Fed. Reg. 74,676 (1980) (codified at 29 C.F.R. §1604.11 (1998)).
23. 29 C.F.R. §1604.11(e) (1998).
24. See Eugene Scalia, *The Strange Career of Quid Pro Quo Sexual Harassment*, 21 HARV. J.L. & PUB. POL'Y 307 (1998) (advocating the abandonment of quid pro quo as a category of discrimination under Title VII); see also CATHARINE A. MACKNINON, SEXUAL HARASSMENT OF WORKING WOMEN: A CASE OF SEX DISCRIMINATION 32 (1979). MackNinnon is credited with introducing quid pro quo to the analysis of sex discrimination.
25. Bryson v. Chicago State Univ., 96 F.3d 912, 915 (7th Cir. 1996).
26. See Harris v. Forklift Sys., Inc., 510 U.S. 17, 21-23 (1993).
27. 682 F.2d 897 (11th Cir. 1982).
28. *See id.* at 903-09; see also Scalia, *supra* note 24, at 310.
29. *See Henson*, 682 F.2d at 910. In *Henson*, Barbara Henson, a dispatcher in the City of Dundee
to hold an employer responsible for the hostile environment created by a supervisor, the plaintiff must show "that the employer knew or should have known of the harassment in question and failed to take prompt remedial action."\textsuperscript{30} The court found that a plaintiff alleging sexual harassment can demonstrate an employer's knowledge of the harassment by showing she complained to higher management about the supervisor's harassment, or the plaintiff can impute constructive knowledge by showing the pervasiveness of the harassment giving rise to the inference of knowledge.\textsuperscript{31}
The \textit{Henson} court refused to impute liability automatically on employers because the ability of any person to create a hostile environment is not necessarily enhanced by any degree of authority which the employer has conferred on that individual.\textsuperscript{32} "When a supervisor gratuitously insults an employee, he generally does so for his reasons and by his own means," because in creating a hostile environment, the supervisor is acting outside the actual or apparent scope of his authority.\textsuperscript{33} Therefore, the court reasoned that a supervisor's conduct "cannot automatically be imputed to the employer any more so than can the conduct of an ordinary employee."\textsuperscript{34}
In contrast, the Eleventh Circuit stated that the reason for holding employers strictly liable in quid pro quo cases is "readily apparent."\textsuperscript{35} When an employer gives supervisory personnel authority to fire employees, the employer must also accept responsibility to remedy any harm caused by the unlawful exercise of that authority.\textsuperscript{36} "The modern corporate entity consists of the individuals who manage it, and little, if any, progress in eradicating discrimination in employment will be made if the corporate employer is able to hide behind the shield of individual employee action."\textsuperscript{37}
Distinguishing quid pro quo from hostile environment harassment, the \textit{Henson} court reasoned that a quid pro quo case is "fundamentally different [because] the supervisor uses the means furnished to him by the employer to accomplish the prohibited purpose [and thus] acts within the scope of his actual or apparent authority to 'hire, fire, discipline or promote.'"\textsuperscript{38} Because the supervisor is acting within the scope of authority with which the employer has entrusted him, each time a supervisor makes an employment decision it is fair that his conduct be imputed to the source of his authority.\textsuperscript{39}
\textsuperscript{30} \textit{Id.} at 905.
\textsuperscript{31} \textit{See id.}
\textsuperscript{32} \textit{See id.} at 910.
\textsuperscript{33} \textit{Id.}
\textsuperscript{34} \textit{Id.}
\textsuperscript{35} \textit{Id.} at 909.
\textsuperscript{36} \textit{See id.}
\textsuperscript{37} \textit{Id.} (quoting Tidwell v. American Oil Co., 332 F. Supp. 424, 436 (D. Utah 1971)).
\textsuperscript{38} \textit{Id.} at 910 (quoting Miller v. Bank of America, 600 F.2d 211, 213 (9th Cir. 1979)).
\textsuperscript{39} \textit{See id.}
With the groundwork sufficiently laid by the circuit courts, in 1986 the United States Supreme Court decided *Meritor Savings Bank, FSB v. Vinson*, marking the first time the Supreme Court would consider what standard of liability should apply to employers for sexual harassment committed by their supervising employees.
In *Meritor*, Mechelle Vinson brought a Title VII action against her employer, Meritor Savings Bank, and her supervisor, alleging the supervisor constantly subjected her to sexual harassment during her four years of employment with Meritor. The federal district court found that Meritor could not be held liable for the acts of the supervisor because it had a policy against discrimination. Furthermore, the district court held that because Vinson never complained to anyone about the alleged harassment, Meritor was without notice and thus could not be held liable.
The D.C. Circuit Court of Appeals reversed the district court's decision and held that an employer is strictly liable for a supervisor's sexual harassment of subordinates. The D.C. Circuit was the first circuit court to endorse and apply EEOC guidelines, reasoning that supervisors are agents of employers for Title VII purposes because, as supervisors, they have the authority and power to "coerce, intimidate and harass." The Supreme Court affirmed the holding on different grounds.
When the Supreme Court granted certiorari to hear *Meritor*, then EEOC Chairman and current Justice Clarence Thomas lobbied the Solicitor General to submit an amicus brief that supported employers. The brief took the position of the district court. With respect to hostile environment harassment claims, the brief argued:
> [A]n employer should not be liable unless it knew or had reason to know of the sexually offensive atmosphere. . . . [A]n employer in our view should generally be able to insulate itself from liability by publicizing a policy against sexual harassment and implementing a procedure designed to resolve sexual harassment complaints.
The amicus brief recognized vicarious liability for quid pro quo harassment under the EEOC guidelines, but, as to hostile environment harassment claims, the brief stated that "the usual basis for a finding of agency will often disappear. By definition, the supervisor in such circumstances is not exercising, or threatening to exercise, actual or apparent authority to make personnel decisions affecting the victim."
---
40. 477 U.S. 57 (1986).
41. See id. at 60.
42. See id. at 62.
43. See *Meritor*, 477 U.S. at 63.
44. See EEOC Guidelines, 29 C.F.R. § 1604.11 (1998); David Benjamin Oppenheimer, *Exacerbating the Exasperating: Title VII Liability of Employers for Sexual Harassment Committed by Their Supervisors*, 81 CORNELL L. REV. 66, 123-24 (1995).
45. Vinson v. Taylor, 753 F.2d 141, 150 (D.C. Cir. 1985).
46. Justice Thomas wrote the dissenting opinion in *Burlington* and *Faragher*.
47. See Oppenheimer, supra note 44, at 124 (citing David G. Savage, *Thomas Fought Workplace Harassment*, L.A. TIMES, Oct. 10, 1991, at A6).
48. Id. at 126-27 (quoting Brief for the United States and the Equal Employment Opportunity Commission as Amici Curiae at 6-7, *Meritor* (No. 84-1979)).
49. Id. at 127 (quoting Brief for the United States and the Equal Employment Opportunity
The Supreme Court, however, expressly declined to issue a definitive rule on employer liability, choosing instead to provide guidance to the courts.\textsuperscript{50} The Court reasoned that Congress intended courts to look to principles of agency law for guidance when determining employer liability under Title VII.\textsuperscript{51} In making this pronouncement the Court cited generally the \textit{Restatement (Second) of Agency},\textsuperscript{52} but the Court did not issue an explicit command that the \textit{Restatement} be used as the framework for evaluating sexual harassment under Title VII.\textsuperscript{53} The Court reasoned that the court of appeals erred in its conclusion that "employers are always automatically liable for sexual harassment" by supervisory employees because "Congress' decision to define 'employer' to include any 'agent' of an employer surely evinces an intent to place some limits on the acts of employees for which employers . . . are to be held responsible" under Title VII.\textsuperscript{54} The Court went further, stating that employers without notice are not necessarily insulated from liability, and the existence of a grievance procedure that is not invoked by a plaintiff employee will not insulate an employer from liability.\textsuperscript{55}
After \textit{Meritor}, courts continued to hold employers strictly liable for quid pro quo sexual harassment.\textsuperscript{56} Notwithstanding \textit{Meritor}'s guidance in hostile environment harassment cases, courts continued to disagree about the appropriate standard for employer liability in such cases.\textsuperscript{57} One year after the \textit{Meritor} decision, the Tenth Circuit Court of Appeals, in \textit{Hicks v. Gates Rubber Co.},\textsuperscript{58} looked to the \textit{Restatement (Second) of Agency} for the proper standard of employer liability in a hostile environment case.\textsuperscript{59} The court found that an employer may be held liable if negligent or reckless, or if the supervisory employee was aided in accomplishing the harassment
\textsuperscript{50} Commission as Amici Curiae at 22-24, \textit{Meritor} (No. 84-1979)).
\textsuperscript{51} See \textit{Meritor}, 477 U.S. at 72-73. The Court declined to make such a ruling based on the fact that it was never decided whether Vinson's supervisor made any sexual advances toward Vinson, and whether those advances, if any, were unwelcome or sufficiently pervasive enough to constitute a condition of employment. \textit{See id.}
\textsuperscript{52} \textit{See id.}; see also \textit{RESTATEMENT (SECOND) OF AGENCY} §§ 219-237 (1958).
\textsuperscript{53} \textit{See generally} Anne C. Levy, \textit{The Change in Employer Liability for Supervisor Sexual Harassment After Meritor: Much Ado About Nothing}, 42 ARK. L. REV. 795 (1989) (showing why application of agency principles should continue to hold employers to strict standards of liability for supervisory sexual harassment); Katherine S. Anderson, \textit{Note, Employer Liability Under Title VII for Sexual Harassment After Meritor} Savings Bank v. Vinson, 87 COLUM. L. REV. 1258 (1987) (proposing an approach to apply agency law principles in Title VII cases); Marilisa Vinciguerra, \textit{Note, The Aftermath of Meritor: A Search for Standards in the Law of Sexual Harassment}, 98 YALE L.J. 1717 (1989) (attempting to show the interplay between hostile environment and quid pro quo sexual harassment).
\textsuperscript{54} \textit{Meritor}, 477 U.S. at 72 (citing 42 U.S.C. §2000e(b)).
\textsuperscript{55} \textit{See id.} Vinson claimed she never attempted to use Meritor's complaint procedure to report her supervisor because she was afraid of him.
\textsuperscript{56} See Phillips, \textit{supra} note 11, at 1237-38.
\textsuperscript{57} \textit{See id.}; see also Faragher v. City of Boca Raton, 118 S. Ct. 2275, 2282 (1998) ("Since our decision in \textit{Meritor}, Courts of Appeals have struggled to derive manageable standards to govern employer liability for hostile environment harassment perpetrated by supervisory employees.").
\textsuperscript{58} 833 F.2d 1406 (10th Cir. 1987).
\textsuperscript{59} \textit{See RESTATEMENT (SECOND) OF AGENCY} § 219 (1958).
through the existence of the agency relation.\textsuperscript{60} While the Tenth Circuit looked to the \textit{Restatement} as cited by the Supreme Court in \textit{Meritor}, the Eleventh Circuit applied the doctrine of respondent superior. In \textit{Steele v. Offshore Shipbuilding, Inc.},\textsuperscript{61} the Eleventh Circuit, while noting that the \textit{Meritor} Court rejected automatic liability for hostile environment harassment, held that an employer may be held liable for supervisory harassment only where the employer "knew or should have known of the harassment and failed to take prompt action against the supervisor."\textsuperscript{62}
The Second Circuit adopted a more restrictive version of the standard adopted by the Tenth Circuit. In \textit{Karibian v. Columbia University},\textsuperscript{63} the Second Circuit Court of Appeals reasoned that under agency principles, employer liability could not be reduced to a "universal formula."\textsuperscript{64} The Second Circuit, while not adopting a negligence theory, held that an employer is liable for supervisory sexual harassment "if the supervisor uses his actual or apparent authority to further the harassment, or if he is otherwise aided in accomplishing the harassment by the existence of the agency relationship."\textsuperscript{65} Meanwhile, in \textit{Nichols v. Frank},\textsuperscript{66} the Ninth Circuit Court of Appeals held that the proper analysis for finding employer liability in hostile environment cases is what "management-level employees knew or should have known, not whether an employee was acting within the 'scope of employment."\textsuperscript{67} The Supreme Court would not attempt to clarify the issue until \textit{Burlington} and \textit{Faragher}.
\section*{III. Statement of the Cases}
\textbf{A. Facts}
\textit{1. Burlington Industries, Inc. v. Ellerth}
Kimberly Ellerth was an employee at Burlington Industries for a little over one year, during which time she alleged she was subjected to constant sexual harassment by her supervisor, Ted Slowik.\textsuperscript{68} Ellerth emphasized three incidents as threats to her tangible job benefits.\textsuperscript{69} The first incident occurred on a business trip where Slowik invited Ellerth to a hotel lounge.\textsuperscript{70} Because Slowik was her supervisor, Ellerth
\begin{itemize}
\item \textsuperscript{60} See id. at 1418. In the Tenth Circuit, negligence remains a viable theory for imposing liability on employers for supervisory sexual harassment after \textit{Burlington} and \textit{Faragher}. See, e.g., Lockard v. Pizza Hut, Inc., 162 F.3d 1062, 1074 (10th Cir. 1998); Wright-Simmons v. City of Oklahoma City, 155 F.3d 1264, 1270-71 (10th Cir. 1998).
\item \textsuperscript{61} 867 F.2d 1311 (11th Cir. 1989).
\item \textsuperscript{62} Id. at 1316.
\item \textsuperscript{63} 14 F.3d 773 (2d Cir. 1994).
\item \textsuperscript{64} Id. at 779.
\item \textsuperscript{65} Id.
\item \textsuperscript{66} 42 F.3d 503 (9th Cir. 1994).
\item \textsuperscript{67} Id. at 508; see also Gary v. Long, 59 F.3d 1391 (D.C. Cir. 1995); Hirschfeld v. New Mexico Corrections Dept., 916 F.2d 572 (10th Cir. 1990).
\item \textsuperscript{68} See \textit{Burlington Indus., Inc. v. Ellerth}, 118 S. Ct. 2257, 2262 (1998). Slowik was a mid-level manager with the power to make hiring and promotion decisions, subject to the approval of his supervisor.
\item \textsuperscript{69} See id.
\item \textsuperscript{70} See id.
claimed she felt compelled to accept his offer.\textsuperscript{71} Ellerth gave no encouragement to the crude remarks made by Slowik, to which Slowik responded by stating, "You know, Kim, I could make your life very hard or very easy at Burlington."\textsuperscript{72} The second incident occurred a year later when Ellerth was under consideration for a promotion.\textsuperscript{73} Slowik suggested during the promotion interview that Ellerth was not "loose enough," a comment that was followed by his rubbing her knee.\textsuperscript{74} The third incident occurred when Ellerth made a work related phone call to Slowik, to which he responded by stating, "I don't have time for you right now, Kim — unless you want to tell me what you're wearing."\textsuperscript{75}
Throughout her employment, Ellerth was aware that Burlington maintained a policy against sexual harassment and had read the policy in her employee handbook.\textsuperscript{76} Ellerth claimed, however, that she did not inform anyone of authority about Slowik's conduct out of fear that it would jeopardize her job.\textsuperscript{77} A short time after the third incident, Ellerth quit her job and filed a sexual harassment suit against Burlington, alleging the company created a hostile work environment and forced her constructive discharge in violation of Title VII.\textsuperscript{78}
The district court granted summary judgment to Burlington. Applying a negligence standard, the district court found that Burlington neither knew nor should have known about the harassing conduct.\textsuperscript{79} The Seventh Circuit reversed in a decision that produced eight differing opinions.\textsuperscript{80}
\textit{2. Faragher v. City of Boca Raton}
Beth Ann Faragher worked for five years as a lifeguard for the City of Boca Raton, Florida.\textsuperscript{81} The immediate supervisors of the lifeguards were Bill Terry and David Silverman.\textsuperscript{82} During the five year period Faragher was employed, both Terry and Silverman repeatedly touched Faragher and other female employees without invitation, and made comments and vulgar references to the women about their bodies and other sexual matters.\textsuperscript{83} Faragher never formally complained to higher management about Terry or Silverman, and although the City had a sexual harassment policy in place,
\begin{itemize}
\item \textsuperscript{71} See id.
\item \textsuperscript{72} Id.
\item \textsuperscript{73} See id.
\item \textsuperscript{74} Id. Ellerth received the promotion. See id.
\item \textsuperscript{75} Id.
\item \textsuperscript{76} See id.
\item \textsuperscript{77} See id.
\item \textsuperscript{78} See id. at 2263.
\item \textsuperscript{79} See id.
\item \textsuperscript{80} See Jansen v. Packaging Corp. of Am., 123 F.3d 490 (7th Cir. 1997) (per curiam), aff'd, Burlington Indus., Inc. v. Ellerth, 118 S. Ct. 2257 (1998). There was general agreement in the Seventh Circuit regarding whether or not to impose liability on employers for supervisory sexual harassment; however, there was a wide divergence on the court regarding the correct standard for imposing liability.
\item \textsuperscript{81} See Faragher v. City of Boca Raton, 118 S. Ct. 2275, 2279 (1998).
\item \textsuperscript{82} See id. at 2279.
\item \textsuperscript{83} See id. at 2281.
it failed to disseminate it to the lifeguards or their supervisors.\textsuperscript{84} Faragher resigned from her job and brought an action against Terry, Silverman, and the City of Boca Raton, alleging that Terry and Silverman created a sexually hostile work environment in violation of Title VII.\textsuperscript{85} Faragher sought a judgment against the City asserting that Terry and Silverman were the City's agents and their conduct amounted to discrimination in the "terms, conditions, and privileges" of her employment.\textsuperscript{86}
The district court held the City vicariously liable for the harassment committed by Terry and Silverman. The court reasoned that the harassment was pervasive enough to support an inference that the City had knowledge or constructive knowledge of it, and that the City was liable under agency principles because Terry and Silverman were acting as the City's agents when they committed the acts.\textsuperscript{87} The Eleventh Circuit reversed, holding that Terry and Silverman were acting outside the scope of their employment when they engaged in the harassment and that they were not aided in their actions by the agency relationship.\textsuperscript{88}
\textit{B. Issue and Holding}
The issue before the Supreme Court in \textit{Burlington} was whether an employer may be held vicariously liable when a supervisory employee "makes explicit threats to alter a subordinate's terms or conditions of employment, based on sex, but does not fulfill the threat."\textsuperscript{89} The Court answered in the affirmative, holding that an employer may be held vicariously liable for a supervisor's sexual harassment of an employee, even if the employee does not suffer any tangible change in her employment status.\textsuperscript{90}
In the companion case \textit{Faragher}, the issue before the Court was the standard of employer liability for supervisory sexual harassment in cases where the harassment amounts to a hostile work environment.\textsuperscript{91} The Court held that an employer is subject to vicarious liability for supervisory sexual harassment creating a hostile work environment.\textsuperscript{92} The Court provided employers with an affirmative defense to liability where an employer can prove that it took reasonable care to prevent and remedy the harassment, and that the employee unreasonably failed to take advantage of the remedial procedures provided by the employer.\textsuperscript{93}
\begin{footnotesize}
\begin{enumerate}[label=\textsuperscript{\arabic*}.]
\item See id.
\item See id. at 2275.
\item Id. (citing 42 U.S.C. § 2000e-2(a)(1)).
\item See Faragher v. City of Boca Raton, 864 F. Supp. 1552, 1563-64 (S.D. Fla. 1994).
\item See Faragher v. City of Boca Raton, 111 F.3d 1530, 1537 (11th Cir. 1997) (en banc), rev'd, 118 S. Ct. 2275 (1998).
\item Burlington, 113 S. Ct. at 2265.
\item See id. at 2270.
\item See Faragher, 118 S. Ct. at 2279.
\item See id. at 2292-93.
\item See id. at 2293.
\end{enumerate}
\end{footnotesize}
C. Reasoning of the Court
1. Burlington
In *Burlington*, the Court began its analysis by downplaying the significance between the terms quid pro quo and hostile work environment harassment, noting that the terms are not creatures of statute but rather first appeared in academic literature before entering into the decisions of the courts of appeals.\(^{94}\) According to the Court, the terms are helpful in making "a rough demarcation" between cases in which threats are carried out and cases in which they are not.\(^{95}\) Beyond this, however, the Court found that the terms are of "limited utility."\(^{96}\) Specifically, the Court stated that "[t]o the extent [the terms] illustrate the distinction between cases involving a threat which is carried out and offensive conduct in general, the terms are relevant when there is a threshold question whether a plaintiff can prove discrimination in violation of Title VII."\(^{97}\) The Court then turned to employer liability.
Justice Kennedy, delivering the opinion of the Court, began with the premise established by the Court in *Meritor*. This premise was that Congress, in express terms, "directed federal courts to interpret Title VII based on agency principles."\(^{98}\) The Court looked to the *Restatement (Second) of Agency* as a "useful beginning point for a discussion of general agency principles."\(^{99}\) Following the *Restatement*,\(^{100}\) the Court reasoned that an employer may be subject to liability when the supervisor's tortious act is committed within the scope of employment.\(^{101}\) The Court determined, however, that as a general rule supervisory sexual harassment is not conduct within the scope of employment.\(^{102}\)
---
94. See *Burlington*, 118 S. Ct. at 2264.
95. Id.
96. Id.
97. Id. at 2265. Justice Ginsburg agreed with the majority holding that the "labels quid pro quo and hostile environment harassment are not controlling for purposes of establishing employer liability." *Id.* at 2271 (Ginsburg, J., concurring).
98. *Id.*
99. *Id.* at 2266.
100. The *Restatement* provides:
(1) A master is subject to liability for the torts of his servants committed while acting in the scope of their employment.
(2) A master is not subject to liability for the torts of his servants acting outside the scope of their employment, unless:
(a) the master intended the conduct or the consequences, or
(b) the master was negligent or reckless, or
(c) the conduct violated a non-delegable duty of the master, or
(d) the servant purported to act or to speak on behalf of the principal and there was reliance upon apparent authority, or he was aided in accomplishing the tort by the existence of the agency relation.
*RESTATEMENT (SECOND) OF AGENCY* § 219 (1957).
101. See *Burlington*, 118 S. Ct. at 2266. The *Restatement* defines conduct to be within the scope of employment when actuated by a purpose to serve the employer. *RESTATEMENT (SECOND) OF AGENCY* § 228(1)(c) (1957).
102. See *Burlington*, 118 S. Ct. at 2267.
The Restatement provides four situations in which an employer is subject to liability for the torts of employees acting outside the scope of employment.\textsuperscript{103} The Court looked most critically at two instances, the first being where "the master was negligent or reckless."\textsuperscript{104} Under this situation, the Court found an employer is negligent and therefore liable, under Title VII, if it knew or should have known about the supervisor's conduct and failed to stop it.\textsuperscript{105} The Court went no further in analyzing the negligence standard because Ellerth sought to invoke "the more stringent standard of vicarious liability."\textsuperscript{106}
The second situation the Court analyzed under the Restatement is where "the servant purported to act or to speak on behalf of the principal and there was reliance upon apparent authority, or he was aided in accomplishing the tort by the existence of the agency relation."\textsuperscript{107} The Court divided this situation into two separate standards; first, the "apparent authority standard" and second, the "aided in the agency relation standard."\textsuperscript{108} The Court quickly dismissed application of the apparent authority standard to Ellerth's case, finding that such a standard arises in rare situations when it is alleged that "there is a false impression that the actor was a supervisor, when in fact he was not."\textsuperscript{109} The Court then turned to the "aided in the agency relation standard," finding the standard to require something more than the mere existence of the employment relation itself.\textsuperscript{110}
The Court reasoned that when a tangible employment action is taken against a subordinate, the "aided in the agency relation standard" will always be met because such action necessarily requires a company act that in most cases is documented and subject to review by upper-management.\textsuperscript{111} Thus, in such cases there is no question that more than the "mere existence of the employment relation aids in the commission of the harassment."\textsuperscript{112} An employer empowering a supervisor as an agent with the power to make economic decisions affecting subordinates cannot escape liability under agency principles.\textsuperscript{113}
Relying on the "aided in the agency relation standard," the Court went into great detail to articulate a rule of vicarious liability for supervisory sexual harassment in cases where tangible employment action is taken, stating:
A tangible employment action in most cases inflicts direct economic harm. As a general proposition, only a supervisor, or other person acting with the authority of the company, can cause this sort of injury . . . . Tangible employment actions fall within the special province of the
\begin{itemize}
\item[103.] See Restatement (Second) of Agency § 219.
\item[104.] Restatement (Second) of Agency § 219(2)(b).
\item[105.] See Burlington, 118 S. Ct. at 2267.
\item[106.] Id.
\item[107.] Restatement (Second) of Agency § 219(2)(d).
\item[108.] See Burlington, 118 S. Ct. at 2267.
\item[109.] Id.
\item[110.] Id.
\item[111.] at 2269.
\item[112.] Id.
\item[113.] See id.
supervisor. The supervisor has been empowered by the company as a distinct class of agent to make economic decisions affecting employees under his or her control.\textsuperscript{114}
The Court reasoned:
[Whatever the exact contour of the aided in the agency relation standard, its requirements will always be met when a supervisor takes a tangible employment action against a subordinate. In that instance, it would be implausible to interpret agency principles to allow an employer to escape liability, as \textit{Meritor} itself acknowledged.\textsuperscript{115}
The Court then turned to the more difficult task of determining whether the agency relation aids in the commission of harassment which does not result in tangible employment action. The Court viewed the issue from two different sides, reasoning that on one hand, a supervisor is always aided by the agency relation because his or her power and authority gives his conduct a "threatening character."\textsuperscript{116} On the other hand, the Court reasoned that a supervisor's harassment might be the same as that of a co-employee and as such the supervisor's status makes little difference.\textsuperscript{117}
The Court attempted to avoid these tensions by reasoning that in cases of supervisory harassment it was bound by its holding in \textit{Meritor} — that agency principles constrain the imposition of vicarious liability.\textsuperscript{118} The Court determined, however, that, although \textit{Meritor} "suggested" such a limitation on liability stemmed from agency principles, it could look at other considerations as well.\textsuperscript{119} Specifically, the Court stated that "[t]he aided in the agency relation standard . . . is a developing feature of agency law, and we hesitate to render a definitive explanation of our understanding of the standard in an area where other important considerations must affect our judgement."\textsuperscript{120} Looking to "other considerations," the Court reasoned that
Title VII is designed to encourage the creation of antiharassment policies and effective grievance mechanisms. Were employer liability to depend in part on such procedures, it would effect Congress' intention to promote conciliation rather than litigation in the Title VII context. To the extent limiting employer liability could encourage employees to report harassing conduct before it becomes severe or pervasive, it would also serve Title VII's deterrent purpose.\textsuperscript{121}
\textsuperscript{114.} \textit{Id.} at 2269.
\textsuperscript{115.} \textit{Id.}
\textsuperscript{116.} \textit{Id.}
\textsuperscript{117.} \textit{See id.}
\textsuperscript{118.} \textit{See id.} at 2270.
\textsuperscript{119.} \textit{See id.}
\textsuperscript{120.} \textit{Id.}
\textsuperscript{121.} \textit{Id.}
Following this rationale, the Court held that employers may be held vicariously liable for a supervisor's sexual harassment of a subordinate, even if the subordinate does not suffer any tangible change in her job status.\textsuperscript{122}
\textit{2. Faragher}
In \textit{Faragher}, the Court addressed the standard of employer liability for supervisory sexual harassment that results in a hostile environment. At the outset, the Court recognized the difficulties the courts of appeal have had in deriving standards of employer liability for supervisory sexual harassment since \textit{Meritor}, specifically pointing to the divergence in approaches to standards of liability under agency law.\textsuperscript{123} While noting these difficulties, the Court reasoned that Congress had, in effect, adopted the Court's holding in \textit{Meritor} because it had amended Title VII after \textit{Meritor}\textsuperscript{124} without modifying the \textit{Meritor} holding.\textsuperscript{125} Thus, the Court began its analysis by stating that "Meritor's statement of law is the foundation on which we build today."\textsuperscript{126}
As it did in \textit{Burlington}, the Court turned to the "aided in agency relation standard" as the appropriate starting point for determining employer liability for hostile environment sexual harassment, because, in some sense, a "harassing supervisor is always assisted in his misconduct by the supervisory relationship."\textsuperscript{127} The Court noted that the "aided in agency" standard is merely a starting point because "our obligation here is not to make a pronouncement of agency law in general or to transplant § 219(2)(d) [of the Restatement] into Title VII. Rather, it is to adapt agency concepts to the practical objectives of Title VII."\textsuperscript{128} With the "aided in agency" standard as the starting point, the Court reasoned:
When a fellow employee harasses, the victim can walk away or tell the offender where to go, but it may be difficult to offer such responses to a supervisor, whose "power to supervise — [which may be] to hire and fire, and to set work schedules and pay rates — does not disappear . . . when he chooses to harass through insults and offensive gestures rather than directly with threats of firing or promises of promotion." Recognition of employer liability when discriminatory misuse of supervisory authority alters the terms and conditions of a victim's employment is underscored by the fact that the employer has a greater opportunity to guard against misconduct by supervisors than by common workers; employers have
\begin{itemize}
\item[122.] See id.
\item[123.] See \textit{Faragher v. City of Boca Raton}, 118 S. Ct. 2275, 2282 (1998).
\item[124.] See Civil Rights Act of 1991, Pub. L. No. 102-166, tit. I, § 102, 105 Stat. 1072 (codified at 42 U.S.C. § 1981a (1994)).
\item[125.] See \textit{Faragher}, 118 S. Ct. at 2286.
\item[126.] Id. at 2286.
\item[127.] Id. at 2290.
\item[128.] Id. at 2291 n.3.
greater opportunity and incentive to screen them, train them, and monitor their performance.\textsuperscript{129}
However, while finding sufficient reasons to hold employers vicariously liable for supervisory sexual harassment, Justice Souter, writing the majority opinion, refused to recognize vicarious liability for hostile environment harassment unless the Court could square such a holding with \textit{Meritor}'s express limitation that an employer is not "automatically" liable for sexual harassment caused by its supervisor.\textsuperscript{130}
The Court articulated two alternatives that could square the holding in \textit{Meritor} with the position that a supervisor, aided in agency, can subject his employer to vicarious liability.\textsuperscript{131} The first alternative would be to require proof of an affirmative invocation of supervisory authority by the harassing supervisor.\textsuperscript{132} The other alternative would be to provide the employer with an affirmative defense to liability in certain circumstances, even when an actionable hostile environment has been created by a supervisor.\textsuperscript{133}
The Court reasoned that plaintiffs and defendants would be poorly served under the first alternative\textsuperscript{134} because the line between affirmative and merely implicit uses of supervisory power is too difficult to ascertain.\textsuperscript{135} The Court recognized that "[s]upervisors do not make speeches threatening sanctions whenever they make requests in the legitimate exercise of managerial authority, and yet every subordinate employee knows the sanctions exist."\textsuperscript{136} According to the Court, such a rule would create a temptation to litigate, when the primary objective of Title VII is prevention and avoidance, not redress.\textsuperscript{137}
The Court stated that employers need "to take all steps necessary to prevent sexual harassment from occurring, such as . . . informing employees of their right to raise and how to raise the issue of harassment."\textsuperscript{138} The Court reasoned that Title VII would be implemented sensibly by crediting employers who make reasonable efforts to prevent harassment and not rewarding a plaintiff who could have avoided harm but failed to do so.\textsuperscript{139} Based on this premise, the Court held that an employer is subject to vicarious liability for supervisory sexual harassment creating a hostile work environment.\textsuperscript{140} However, to credit employers for taking reasonable efforts to prevent harassment, the Court provided employers with an affirmative defense to liability where an employer can prove that it took reasonable care to prevent and remedy the
\begin{itemize}
\item \textsuperscript{129} \textit{Id.} at 2290.
\item \textsuperscript{130} \textit{See Faragher}, 118 S. Ct. at 2291.
\item \textsuperscript{131} \textit{See id.}
\item \textsuperscript{132} \textit{See id.}
\item \textsuperscript{133} \textit{See id.}
\item \textsuperscript{134} \textit{See id.} at 2292.
\item \textsuperscript{135} \textit{See id.} at 2291.
\item \textsuperscript{136} \textit{Id.} at 2291-92.
\item \textsuperscript{137} \textit{See id.} at 2292.
\item \textsuperscript{138} \textit{Id.} (citing 29 C.F.R. § 1604.11(f) (1997)).
\item \textsuperscript{139} \textit{See id.}
\item \textsuperscript{140} \textit{See id.} at 2292-93.
harassment, and the employee unreasonably failed to take advantage of the procedures provided by the employer.\textsuperscript{141}
* * *
\textbf{IV. Analysis}
In \textit{Burlington}, the Court went to great lengths to analyze agency law in developing a rule of employer liability for supervisory sexual harassment. According to the Court, the basis for this analysis was Congress' decision to include the term "agent" in its definition of employer, which the Court determined to be an explicit instruction to interpret Title VII based on agency principles.\textsuperscript{142} As the Court admitted, however, looking to agency principles for guidance in defining employer liability has led to considerable disagreement in the courts of appeal.\textsuperscript{143} After gleaning the "aided in the agency relation standard" from the \textit{Restatement}, the Court hesitated to explain it and readily admitted that it does not fully understand the standard. For example, in articulating a rule of vicarious liability for supervisory sexual harassment in cases where tangible employment action is taken, the Court stated that "\textit{whatever the exact contours of the aided in the agency relation standard}, its requirements will always be met when a supervisor takes a tangible employment action against a subordinate. In that instance, it would be implausible to interpret agency principles to allow an employer to escape liability."\textsuperscript{144} In other words, the ends justify the means.
This failure to understand the "aided in the agency relation standard" becomes even more evident in cases where no tangible employment action is taken. After discussing the \textit{Restatement} and its various parts, the Court stated that "[t]he aided in the agency relation standard . . . is a developing feature of agency law, and we hesitate to render a definitive explanation of our understanding of the standard in an area where other important considerations must affect our judgement."\textsuperscript{145} In this case, those "other considerations" were the policies that underlie Title VII. As recognized by the Court, these policies are to deter sexual harassment in the workplace and encourage employers to create antiharassment policies and effective grievance mechanisms — in short, to promote deterrence rather than litigation.
In \textit{Faragher}, the Court based its decision on those same principles of deterrence. At first glance, it appears that \textit{Meritor} and the agency law it pronounces is the foundation on which the majority builds. It is a shaky foundation at best. Justice Souter's majority opinion represents an attempt to distance the Court from the principles that it pronounced in \textit{Meritor}, without expressly overruling \textit{Meritor}. \textit{Meritor} stood for the proposition that employer liability for supervisory sexual harassment is to be determined from agency law principles, and expressly held that an employer \textit{cannot} be held vicariously liable for such harassment. Under \textit{Faragher}, employer liability for supervisory sexual harassment was determined based upon the objectives
\begin{itemize}
\item[141.] See id. at 2293.
\item[142.] See Burlington Indus., Inc. v. Ellerth, 118 S. Ct. 2257, 2265 (1998).
\item[143.] See id. at 2263.
\item[144.] Id. at 2269 (emphasis added).
\item[145.] Id.
that Title VII serves, and the Court expressly held that employers may be held vicariously liable for such harassment.
The majority recognized at the outset that the courts of appeal have struggled under the agency law principles expressed in *Meritor* to "derive manageable standards to govern employer liability for hostile environment" supervisory sexual harassment.\textsuperscript{146} This is precisely why the Court granted certiorari. One would hope that the Court would not base its decision in *Faragher* on the very principles that failed to serve their purpose in the first instance. Fortunately, the Court did not do so. In fact, one can infer that Justice Souter had hoped that Congress, in amending Title VII, would have modified the *Meritor* decision. Justice Souter found this to be "conspicuous," and stated that because of it, the Court was "bound" to honor *Meritor*.\textsuperscript{147} The Court did so only by manipulating *Meritor*'s principles and molding them into a reasoned conclusion.
The Court noted in *Meritor* that it had admonished courts to "find guidance in the common law of agency, as embodied in the Restatement."\textsuperscript{148} The Court claimed to do the same in *Faragher*, only to the extent that it used the *Restatement* as a "starting point" for determining employer liability for supervisory sexual harassment. This is because its obligation is not "to make a pronouncement of agency law in general or to transplant [the *Restatement*] into Title VII. Rather, it is to \textit{adapt agency concepts to the practical objectives of Title VII}."\textsuperscript{149} The Court stated that Title VII's primary objective is prevention and avoidance, not redress. This is the foundation on which the Court builds. The Court's objective was to implement the purposes underlying Title VII; to do so its holding had to influence conduct.
Thus, while *Meritor* held that an employer cannot automatically be held liable for supervisory sexual harassment, the Court, to realize its objectives, held that employers may in fact be held vicariously liable. Bound by the constraints of *Meritor*, however, the Court provided an affirmative defense to allow employers to escape automatic liability. In essence, the Court's holding that employers may be held vicariously liable for supervisory sexual harassment in hostile environment cases, subject to an affirmative defense, influences conduct by forcing employers to take affirmative action to prevent supervisory harassment. The necessary result was that the Court squared its holding with *Meritor*, and further achieved its objectives to promote deterrence rather than litigation.
What about the agency law concepts expressed in *Meritor* that the Court struggled to make sense of in *Burlington*? In *Faragher*, the Court used those agency concepts to explain the relationship between employers, their supervisory employees, and subordinates, and gave a detailed summation of why employers should be held responsible for the actions of their supervisory employees. Beyond this, however, agency law seems to disappear in the opinion, while the objectives underlying Title VII come to the surface. As set forth above, the recognition of vicarious liability
\begin{itemize}
\item \textsuperscript{146} \textit{Faragher}, 118 S. Ct. at 2282.
\item \textsuperscript{147} See id. at 2291 n.4.
\item \textsuperscript{148} Id. at 2282.
\item \textsuperscript{149} Id. at 2291 n.3 (emphasis added).
promotes prevention and avoidance, thus acting as a deterrent. These are the objectives underlying Title VII. Therefore, in *Faragher*, the Court did not abandon agency law as it necessarily did in *Burlington*, but rather manipulated its concepts into reasons for liability, while ultimately resting liability on Title VII's objectives.
In his dissent,\(^{150}\) Justice Thomas took issue with the majority in *Burlington* and *Faragher*, characterizing the majority's rule of vicarious liability as "manufactured."\(^{151}\) He opined that the majority holding "is a whole-cloth creation that draws no support from the legal principles on which the Court claims it is based."\(^{152}\) Here, Justice Thomas was referring to the majority's use of agency law and the "aided in the agency relation standard." He reasoned that liability under the standard depends upon the alleged victim's belief that her supervisor, by sexually harassing her, is conducting official company business.\(^{153}\) "In this day and age, no sexually harassed employee can reasonably believe that a harassing supervisor is conducting the official business of the company or acting on its behalf."\(^{154}\) Justice Thomas further reasoned that "[a]lthough the Court implies that it has found guidance in both precedent and statute *its holding is a product of willful policymaking, pure and simple. "*\(^{155}\) Indeed it was — only to the extent that *Burlington* and *Faragher* implemented the policies underlying Title VII.
One has to believe, as Justice Souter suggested, that if Congress had dealt with *Meritor* and the agency principles that it embodies when it amended Title VII, the waters would be much clearer. Instead, the Court was forced to distance itself from agency law in *Burlington* and *Faragher*, which it accomplished with varying degrees of success. The end result is that agency law and the *Restatement* are alive and well in Title VII jurisprudence.\(^{156}\) Of course, one could argue that *Burlington* and *Faragher* represent an attempt by the Supreme Court to please all interested entities. With the inclusion of agency law in its analysis, the Court provides legal scholars and academics with a subject of debate, while its holdings provide practitioners with a seemingly straightforward test with which to litigate claims. Courts should approach the *Restatement* in the context of Title VII with caution, and in doing so, take heed to the opinion of Chief Judge Posner of the Seventh Circuit Court of Appeals who best described the interrelationship of the *Restatement* with Title VII. Judge Posner opined that the *Restatement* is unworkable in the context of Title VII:
The . . . *Restatement* . . . was promulgated 40 years ago, before Title VII was enacted and before the concept of sexual harassment had emerged as a distinct legal concept. There is nary a hint in the text or legislative
---
150. Justice Thomas was joined in his dissent by Justice Scalia. *See Burlington*, 118 S. Ct. at 2271; *Faragher*, 118 S. Ct. at 2294.
151. *Id.* at 2271 (Thomas, J., dissenting).
152. *Id.* at 2273.
153. *See id.* at 2274.
154. *Id.*
155. *Id.* (emphasis added).
156. *See, e.g.*, Wright-Simmons v. City of Oklahoma City, 155 F.3d 1264 (10th Cir. 1998); Harrison v. Eddy Potash, Inc., 158 F.3d 1371 (10th Cir. 1998).
history of Title VII that Congress intended to incorporate the Restatement by reference. It would have been loopy to do so. The Restatements are intended to provide a compact statement of common law principles. The essence of the common law method of rulemaking is suppleness and flexibility facilitating adjustment to altered circumstances, and is inconsistent with treating any statement of common law principles as a petrified text.\textsuperscript{157}
In Judge Posner's view, courts should look to and examine the social policies that Title VII serves, rather than "teasing out the meaning of words in a text composed with other problems in mind."\textsuperscript{158}
Ultimately, the Supreme Court did examine those policies. Burlington and Faragher both recognized Title VII's purpose to deter conduct and promote internal conciliation rather than to invite litigation in the courts by providing an act under which sexual harassment claims may be brought. The Court's holdings in both Burlington and Faragher implemented this purpose. Employers place their supervisors in a position where the supervisor is cloaked with power over subordinate employees. The extent of that power will vary from case to case, but as such, an employer has a duty to make certain that its supervisors do not abuse this power. Additionally, employers have a duty to provide employees with a work environment that is not consumed with offensive conduct and where advancement is not conditioned on sexual acts. The Supreme Court, by subjecting employers to vicarious liability, forces them to take affirmative steps to prevent sexually harassing conduct by their supervisors.\textsuperscript{159} In cases where tangible employment action is taken, knowledge will be imputed to the employer because such action necessarily requires a company act. As such, the employer can take adequate measures and implement internal controls to prevent
\textsuperscript{157}. Jansen v. Packaging Corp. of Am., 123 F.3d 490, 508 (7th Cir. 1997) (Posner, C.J., concurring in part, dissenting in part).
\textsuperscript{158}. \textit{Id.} at 509. Judge Posner went further in his argument against the application of the Restatement to Title VII, opining:
[H]ad the Supreme Court told us to use the . . . Restatement . . . as the framework for evaluating sexual harassment under Title VII, I would bow to its command. It did not; but by citing the Restatement [in Meritor] it gave lawyers and judges a straw to grasp at. The straw has broken in their hand. The Restatement turns out to be hopelessly vague in its bearing on the issue of employers' liability for sexual harassment, being vaguely worded and addressed to other issues. So judges can in good faith reach opposite results when they seek guidance in the Restatement to employers' liability for sexual harassment by supervisory employees. The judges and lawyers who insist that the Restatement of Agency is The Way either are disingenuous, wishing to conceal their true grounds of decision, or are in the grip of the formalist belief that difficult cases can be decided by teasing out the meaning of words in a text composed with other problems in mind, without need to examine the social policies that the law might be thought to be serving.
\textit{Id.}
\textsuperscript{159}. See generally Lisa L. Fowler, Sexual Harassment Policies: An Employer's Burden or Advantage? 10 BYU J. PUB. L. 71 (1996) (proposing elements of sexual harassment policy in light of federal antidiscrimination law); Chad W. King, Sex, Love Letters, and Vicious Rumors: Anticipating New Situations Creating Sexually Hostile Work Environment, 9 BYU J. PUB. L. 341 (1995) (suggesting how employers can anticipate and address sexually harassing conduct in the workplace).
supervisors from conditioning promotion, hiring, or the like on sex. Any failure to so do may result in liability.
The Supreme Court has also placed a burden on employers to establish internal grievance mechanisms and complaint procedures. In cases where no tangible employment action is taken, a victimized employee has a duty to make her employer aware of the supervisor's harassing conduct through the use of internal grievance mechanisms and complaint procedures. Any unreasonable failure to do so will allow the employer to escape liability. Therefore, the Court has placed a burden on the employee to inform the employer of the harassment, allowing the employer the opportunity to remedy the conduct or face liability.\textsuperscript{160} Additionally, in placing this burden on employees, the Court deterred frivolous and groundless sexual harassment lawsuits by litigious employees who would otherwise bring such claims. Indeed, with \textit{Burlington} and \textit{Faragher}, the Supreme Court swung the pendulum to the middle of the field of supervisory sexual harassment.
\textit{V. Implications for Oklahoma Law}
The implications of \textit{Burlington} and \textit{Faragher} for Oklahoma law are somewhat subtle in the context of this analysis. The purpose of Part V of this note is not to render an opinion of how Oklahoma courts should apply \textit{Burlington} and \textit{Faragher}, but rather illustrate how the two cases expose the inadequacies of substantive Oklahoma law regarding employment discrimination — more specifically, supervisory sexual harassment.
Comparable to the federal Title VII statutes in Oklahoma is the Oklahoma Anti-Discrimination Act.\textsuperscript{161} The stated purpose of the Oklahoma Act is to "provide for execution within the state of Oklahoma of the policies embodied in [Title VII]."\textsuperscript{162} By making such a broad statement of purpose, the Oklahoma Legislature has, in effect, given Congress the authority to dictate the policies underlying the Oklahoma Act, such that the Oklahoma Act will constitute a state equivalent to Title VII.
The policies that embody Title VII were set forth by the Supreme Court in \textit{Burlington} and \textit{Faragher}. Those policies, as analyzed in detail above, essentially amount to deterrence and prevention, but not redress. \textit{Burlington} and \textit{Faragher}, by holding employers vicariously liable for supervisory sexual harassment subject to an affirmative defense where no tangible action is taken, necessarily influence employers to deter and prevent harassment. Thus, by implication, the purpose of the Oklahoma
\textsuperscript{160} In cases where tangible employment action has been taken, the Tenth Circuit Court of Appeals has interpreted \textit{Burlington} and \textit{Faragher} to mean that liability is imputed on the employer, even if the employer ultimately stops further harassment. \textit{See} Gunnell v. Utah Valley State College, 152 F.3d 1253, 1261 (10th Cir. 1998); \textit{see also} Indest v. Freeman Decorating, Inc., 164 F.3d 258, 266 (5th Cir. 1999) (holding that in cases where no tangible action has been taken, an employer cannot be held vicariously liable if the employer, upon gaining knowledge of sexual harassment, moves promptly to investigate and stop the same).
\textsuperscript{161} 25 OKLA. STAT. §§ 1101-1102 (1991); \textit{id.} § 1201; \textit{id.} § 1301 (Supp. 1998); \textit{id.} §§ 1302-1311 (1991).
\textsuperscript{162} \textit{Id.} § 1101 (1991).
Act in the context of supervisory sexual harassment is to deter and prevent such harassment. The following analysis proceeds under this premise.
A. Federal Preemption
A threshold issue is whether Title VII preempts the Oklahoma Act. The Supreme Court has held that federal law may preempt state law in three different ways.\textsuperscript{163} First, Congress may preempt state law in express terms.\textsuperscript{164} Second, Congress' intent to preempt state law "may be inferred where the scheme of federal regulation is sufficiently comprehensive to make reasonable the inference that Congress left no room for supplementary state regulation."\textsuperscript{165} Third, state law may be preempted where it conflicts with federal law by either making compliance with federal and state law a physical impossibility or where it stands as an obstacle to accomplishing and executing the full purposes and objectives of Congress.\textsuperscript{166} The first two alternatives may be discarded within this analysis because Congress addressed these alternatives in Title VII, which explicitly disclaims any intent to categorically preempt state law or to occupy the field of employment discrimination to the exclusion of state law.\textsuperscript{167} Congress also addressed the third alternative in Title VII, providing that analogous state laws are preempted by Title VII only to the extent that they conflict or are inconsistent with Title VII.\textsuperscript{168} Thus, the Oklahoma Act can be preempted by Title VII only to the extent that it conflicts with or is inconsistent with Title VII.
In \textit{Tate v. Browning-Ferris, Inc.},\textsuperscript{169} the Oklahoma Supreme Court held that Title VII does not preempt the Oklahoma Act.\textsuperscript{170} Although neither party in \textit{Tate} raised the preemption issue, the court addressed it as a "critical prerequisite" to its analysis.\textsuperscript{171}
\begin{quote}
Nothing contained in any title of this Act shall be construed as indicating an intent on the part of Congress to occupy the field in which any such title operates to the exclusion of State laws on the same subject matter, nor shall any provision of this Act be construed as invalidating any provision of State law unless such provision is inconsistent with any of the purposes of this Act, or any provisions thereof.
\end{quote}
42 U.S.C. § 2000h-4 (1994).
Nothing in this subchapter shall be deemed to exempt or relieve any person from any liability, duty, penalty, or punishment provided by any present or future law of any State or political subdivision of a State, other than any such law which purports to require or permit the doing of any act which would be an unlawful employment practice under this subchapter.
\textit{Id.} § 2000e-7.
\textsuperscript{163} See California Fed. Sav. & Loan Ass'n v. Guerra, 479 U.S. 272, 280-81 (1987).
\textsuperscript{164} See id.
\textsuperscript{165} Id.
\textsuperscript{166} See id. at 281.
\textsuperscript{167} See id. Title VII provides:
\textsuperscript{168} See \textit{Guerra}, 479 U.S. at 281.
\textsuperscript{169} 833 P.2d 1218 (Okla. 1992).
\textsuperscript{170} See \textit{id.} at 1222.
\textsuperscript{171} Id.
with Title VII.\textsuperscript{172} In holding that Title VII did not preempt Oklahoma state law, the Oklahoma Supreme Court, paraphrasing the U.S. Supreme Court reasoned that Title VII is a floor "beneath which federally provided protection may not drop rather than a ceiling above which it may not rise."\textsuperscript{173} The court recognized that remedies for employment discrimination under state law may be both different from and broader than those provided by Title VII.\textsuperscript{174} Thus, accepting the Oklahoma Supreme Court's holding that Title VII does not preempt the Oklahoma Act and that remedies under the Oklahoma Act may be different from those under Title VII, the analysis turns to remedies.\textsuperscript{175}
\textit{B. A Statutory Private Right of Action}
The major difference between Title VII and the Oklahoma Act is remedial. Title VII provides a private right of action for employment discrimination\textsuperscript{176} as well as compensatory and punitive damages.\textsuperscript{177} The only private right of action provided by the Oklahoma Act, in the context of employment discrimination, is for discrimination based on handicap.\textsuperscript{178} Any other remedies for employment discrimination under the Oklahoma Act are administrative.\textsuperscript{179}
The Oklahoma Human Rights Commission is the state agency charged with enforcing claims brought under the Oklahoma Act.\textsuperscript{180} The Commission is vested with the power to receive, investigate, conciliate, hold hearings on, and pass upon complaints alleging violations of the Oklahoma Act.\textsuperscript{181} The Commission may seek enforcement of its orders in court and its decisions are subject to judicial review.
\textsuperscript{172}. \textit{See id.}
\textsuperscript{173}. \textit{Id. at 1222-23 (citing Guerra, 479 U.S. at 285).}
\textsuperscript{174}. \textit{See id. at 1223.} An Illinois court held that \textit{Burlington} and \textit{Faragher} did not apply to its state's Human Rights Act because the state act imputed strict liability on employers regardless of whether the employer knew of the offending conduct, whereas Title VII recognizes that employers are not automatically liable based on \textit{Burlington} and \textit{Faragher}. \textit{See Webb v. Lustig}, 700 N.E.2d 220, 227 (Ill. Ct. App. 1998). Thus, the state act recognized broader relief to the exclusion of federal law.
\textsuperscript{175}. Though the Oklahoma Supreme Court reached the correct result regarding preemption, one has to question the clarity of its reasoning, particularly in light of the fact that the court took it upon itself to address the issue. The court's reasoning gives the false impression that a state's remedial scheme cannot be more restrictive than that provided by Title VII while its holding states that the same may be both different from and broader than Title VII. Perhaps the court should have stated that state protection from discrimination cannot conflict with Title VII by permitting that which Title VII does not, but may provide greater protection by permitting less than Title VII allows. \textit{See supra} note 167. Such a statement would have clarified the court's reference to Title VII being a "floor" rather than "ceiling." Thereafter, the ultimate conclusion that a state's remedial scheme may be both different from and broader than Title VII, would not imply that such a scheme may not provide for more restrictive enforcement procedures than those provided by Title VII. Stated in more simplified terms, state law cannot permit more than Title VII allows, but a state's remedial scheme may be different from Title VII.
\textsuperscript{176}. \textit{See 42 U.S.C. § 2000e-5(f) (1994).}
\textsuperscript{177}. \textit{See id. § 1981a.}
\textsuperscript{178}. \textit{See 25 OKLA. STAT. § 1901 (Supp. 1998); see also Tate v. Browning-Ferris, Inc., 833 P.2d 1218, 1229 (Okla. 1992); Williams v. Dub Ross Co., 895 P.2d 1344, 1346 (Okla. Ct. App. 1995).}
\textsuperscript{179}. \textit{See 25 OKLA. STAT. §§ 1501-1508 (Supp. 1998).}
\textsuperscript{180}. \textit{See id. § 1501.}
\textsuperscript{181}. \textit{See id. § 1501(A)(3).}
relief provided by the Oklahoma Act includes temporary injunctions and restraining orders, cease and desist orders, the hiring or reinstatement of employees, and costs and attorneys fees. The Oklahoma Act does not provide for compensatory or punitive damages. Thus, the remedies provided by the Oklahoma Act are sufficiently limited in comparison to those provided by Title VII. However, simply because the statute does not provide for a private right of action does not mean that such action is foreclosed in Oklahoma because Oklahoma recognizes the public policy, common law tort action.
C. The Common Law Tort Action
Oklahoma courts have long followed the at-will rule in employment. Generally stated, this rule holds that an employer may discharge an employee for good cause or no cause without being guilty of a legal wrong. In the 1989 case Burk v. K-Mart Corp., the Oklahoma Supreme Court adopted the public policy exception to the at-will termination rule. The court held that this exception will apply only in a narrow class of cases in which the discharge is contrary to a clear mandate of public policy as set forth in constitutional, statutory, or case law.
Turning back to Tate v. Browning-Ferris, Inc., the main issue before the Oklahoma Supreme Court was whether a retaliatory discharge upon an employee's complaint of racial discrimination was actionable under the Burk public policy exception. The court answered in the affirmative and held that such a discrimination claim was actionable as a "state law claim for tortious employment discrimination under Burk."
The Tate court began its reasoning with the premise that a racially motivated discharge comes under the protection of Burk because such action clearly offends public policy. The court noted that the Oklahoma Anti-Discrimination Act does not provide a private right of action for individuals aggrieved by racial discrimination and that such claims are properly brought before the Oklahoma Human Rights Commission. The court articulated two reasons for holding that a common law tort action existed under Oklahoma common law. First, the court reasoned that Oklahoma
---
182. See id. § 1502.1.
183. See id. § 1505.
184. See Burk v. K-Mart Corp., 770 P.2d 24, 26 (Okla. 1989).
185. 770 P.2d 24 (Okla. 1989).
186. See Burk, 770 P.2d at 28. See generally Hurry F. Tepker, Jr., Oklahoma's At-Will Rule: Heeding the Warnings of America's Evolving Employment Law?, 39 OKLA. L. REV. 373 (1986) (examining Oklahoma law against decisions in other jurisdictions redefining the at-will presumption).
187. See Burk, 770 P.2d at 28.
188. 833 P.2d 1218 (Okla. 1992).
189. See id. at 1225.
190. Id. at 1230-31. See generally Brad Rogers Carson, Note, Labor Law: Tate v. Browning-Ferris Industries: Oklahoma Creates a Common Law Action for Employment Discrimination, 46 OKLA. L. REV. 557 (1993) (analyzing the impact of Tate on the employment relationship in Oklahoma and providing an analytical framework within which to evaluate the relationship).
191. See Tate, 833 P.2d at 1225.
192. See id. at 1229.
law does not allow legislative abrogation of common law by implication, and as such the legislature would have to textually express its desire to occupy a field of discrimination law to the exclusion of all other law.\textsuperscript{193} Since the legislature did not express this desire within the statute, the court found the state tort action under the public policy exception supplemental to the Oklahoma Act.\textsuperscript{194} Second, the court reasoned that because a private right of action was provided in the Oklahoma Anti-Discrimination Act\textsuperscript{195} only for discrimination based on handicap, a holding that the statute established the sole remedy for racial discrimination would "create a dichotomous division of discrimination remedies contrary to . . . the Oklahoma Constitution."\textsuperscript{196} The court stated that the Oklahoma Constitution "absolutely interdicts the passage of special law that would sanction disparate remedies for those who complain of employment discrimination."\textsuperscript{197}
Four years later in \textit{List v. Anchor Paint Manufacturing, Co.},\textsuperscript{198} the Oklahoma Supreme Court distinguished \textit{Tate} by holding that the public policy exception did not create a state law tort action in the case of a constructive discharge based on age discrimination. In \textit{List}, the plaintiff employee, C.R. List, claimed he was demoted because of his age and that such demotion was an attempt to create working conditions that were so intolerable that they would force his resignation.\textsuperscript{199} As a result, List, claiming his work environment was intolerable, resigned and brought action against his former employer based on the \textit{Burk} tort exception to the employment at-will doctrine.\textsuperscript{200} List claimed that his employer's actions constituted a wrongful discharge in violation of public policy as set forth in the federal Age Discrimination in Employment Act and the Oklahoma Anti-Discrimination Act.\textsuperscript{201}
The Oklahoma Supreme Court distinguished \textit{Tate} from the situation in \textit{List}, noting that while similar in some respects, the two cases differ significantly.\textsuperscript{202} The \textit{List} court found similarities in that both the plaintiffs in \textit{Tate} and \textit{List} claimed violation of their rights as protected by federal antidiscrimination statutes.\textsuperscript{203} Distinguishing the cases, the court reasoned that the statutory remedies available to the plaintiff in \textit{Tate} were significantly limited compared to those available to the plaintiff in \textit{List}.\textsuperscript{204} The Oklahoma Supreme Court recognized that had it held in \textit{Tate} that the plaintiff was not entitled to assert a common law cause of action, he would have had no right to a jury trial because neither the Oklahoma Act nor the federal act provided for such a remedy. Consequently, his remedies would have been limited to back pay and he would have had no right to additional compensatory or punitive damages.\textsuperscript{205}
\begin{itemize}
\item[193.] See id. at 1225-26.
\item[194.] See id. at 1230-31.
\item[195.] Id. at 1229.
\item[196.] Id. at 1230.
\item[197.] 910 P.2d 1011 (Okla. 1996).
\item[198.] See id. at 1013.
\item[199.] See id.
\item[200.] See id.
\item[201.] See id.
\item[202.] See id.
\item[203.] See id.
\item[204.] See id. Congress amended Title VII in 1991 to provide for compensatory and punitive damages
court reasoned that the plaintiff in *List*, however, would be entitled to a jury trial and punitive damages, and thus was afforded greater statutory remedies than the plaintiff in *Tate* because the statutes governing age discrimination provided for such action.\textsuperscript{205} Therefore, because List had adequate remedies for age discrimination under statute, the court would not extend the *Burk* common law exception to age discrimination claims.\textsuperscript{206}
Having addressed racial and age discrimination in *Tate* and *List*, the Oklahoma Supreme Court's focus turned to sexual harassment in *Marshall v. OK Rental & Leasing, Inc.*\textsuperscript{207} In *Marshall*, the Oklahoma Supreme Court considered a hostile environment sexual harassment claim under *Burk*, and held that such a claim was not cognizable under the *Burk* exception because the plaintiff had adequate statutory remedies.\textsuperscript{208}
The plaintiff, Jody Marshall, brought action against her employer claiming she was constructively discharged from her employment because she was sexually harassed by a co-worker.\textsuperscript{209} The court found that its analysis in *List* controlled — that where the "employee has an adequate statutory cause of action for wrongful discharge which is sufficient to protect . . . her rights, that remedy is exclusive and no common law remedy is available under *Burk*."\textsuperscript{210} The court followed the reasoning of the Maryland Court of Appeals, opining that allowing Marshall to bring a common law tort action under the *Burk* public policy exception would be a misuse of the exception.\textsuperscript{211} The court stated:
In cases of discharge motivated by employment discrimination prohibited by Title VII and [state antidiscrimination statutes] the statutes create both the right, by way of an exception to the terminable at-will doctrine, and remedies for enforcing that exception. Thus, the generally accepted reason for recognizing the [public policy exception] tort, that of vindicating an otherwise civilly unremedied public policy violation, does not apply. Further, allowing full tort damages to be claimed in the name of vindicating the statutory public policy goals upsets the balance between right and remedy struck by the Legislature in establishing the very policy relied upon.\textsuperscript{212}
The Oklahoma Supreme Court reasoned that an employee who alleges she was constructively discharged due to a hostile work environment created by sexual
\textsuperscript{205} See *List*, 910 P.2d at 1013.
\textsuperscript{206} See id.
\textsuperscript{207} 939 P.2d 1116 (Okla. 1997).
\textsuperscript{208} See id. at 1119.
\textsuperscript{209} See id.
\textsuperscript{210} Id. at 1120.
\textsuperscript{211} See id. at 1121.
\textsuperscript{212} Id. at 1121-22 (quoting Makovi v. Sherwin-Williams Co., 561 A.2d 179, 190 (Md. Ct. App. 1989)).
harassment has adequate remedies under Title VII because Title VII allows for trial by jury and compensatory as well as punitive damages.\textsuperscript{213} Therefore, with adequate remedies provided by statute, the court did not extend the \textit{Burk} exception to claims for hostile work environment sexual harassment.\textsuperscript{214}
While \textit{Marshall} was a hostile environment claim based on sexual harassment by a co-worker, the Oklahoma Supreme Court's analysis and holding apply equally to claims based on supervisory sexual harassment. An individual alleging supervisory sexual harassment may bring a claim under Title VII, which, as set forth by the Oklahoma Supreme Court in \textit{Marshall}, provides for adequate remedies of trial by jury and compensatory and punitive damages. Therefore, based on the reasoning of the Oklahoma Supreme Court, the \textit{Burk} exception will not apply to claims for supervisory sexual harassment.
\textbf{D. The End Result}
As set forth in detail above, in \textit{Burlington} and \textit{Faragher}, the Supreme Court based its rulings on the policies underlying Title VII. Those policies are to influence conduct, to deter sexual harassment in the workplace, and encourage employers to create antiharassment policies and effective grievance mechanisms. The Supreme Court's holdings in \textit{Burlington} and \textit{Faragher} serve to implement this policy of deterrence by holding employers vicariously liable for supervisory sexual harassment. What gave teeth to the Supreme Court's holdings in \textit{Burlington} and \textit{Faragher} are the remedies provided by Title VII — private right of action\textsuperscript{215} and compensatory and punitive damages.\textsuperscript{216}
By implication, the purpose of the Oklahoma Act in the context of supervisory sexual harassment, is to deter and prevent such harassment. The question then becomes whether or not the Oklahoma Act works to deter sexual harassment in the workplace and encourage employers to create antiharassment policies and effective grievance mechanisms. The short answer is that it does not because the Act does not have the same teeth as Title VII.
The administrative remedies provided by the Act, while nothing to ignore, are certainly not going to influence conduct to the same extent as Title VII, given the fact that neither a private right of action nor compensatory or punitive damages are available under the Oklahoma Act or the \textit{Burk} exception. Vicarious liability under \textit{Burlington} and \textit{Faragher} mean nothing to employers if the statute which provides the basis for the claim provides nothing more than mere administrative remedies. The Oklahoma Supreme Court recognized as much in \textit{Tate} and \textit{List}, reasoning that without a right to a jury trial and compensatory or punitive damages, a plaintiff's remedies would have been limited to the administrative slap on the hand provided by the Oklahoma Act.
\begin{itemize}
\item[213.] See id. at 1122.
\item[214.] See id.
\item[215.] See 42 U.S.C. § 2000e-5 (1994).
\item[216.] See id. § 1981a.
Thus, the only logical conclusion is that the Oklahoma Anti-Discrimination Act has failed its stated purpose to create a state equivalent to Title VII. This should not be cause for alarm, however, because common sense dictates that Oklahoma employers will not harass employers with reckless abandon because of the inadequacy of Oklahoma's antidiscrimination laws. Title VII does not allow for such a result, as any individual could bring action in federal or state court under Title VII.\footnote{217}{See Yellow Freight Sys., Inc. v. Donnelly, 494 U.S. 820, 825 (1990) (holding that state courts have concurrent jurisdiction over Title VII claims).} However, should the Oklahoma Legislature amend the Oklahoma Act to provide for a private right of action? Alternatively, should the Oklahoma Supreme Court recognize a common law tort action under the \textit{Burk} exception? One can infer that the Oklahoma Supreme Court does not think so in either case. With Title VII providing adequate remedies for any individual in Oklahoma of which to avail themselves, there is no need for a private right of action or a common law tort action under the \textit{Burk} exception. Perhaps the Oklahoma Supreme Court is correct in this assertion. An aggrieved individual would be better off in federal district court where the judges are more familiar than state courts with employment discrimination claims. However, to the extent that the Oklahoma Act fails in implementing its stated purpose of deterrence, as recognized by the Supreme Court in \textit{Burlington} and \textit{Faragher}, it is something the Legislature should address, lest it leave an ineffective law on the books.
\textbf{VI. Conclusion}
In \textit{Burlington} and \textit{Faragher}, the Supreme Court implemented the policies underlying Title VII, which are to promote conciliation, avert litigation, and deter sexual harassment in the workplace. While the Court went to great lengths analyzing agency law, the end result appears straightforward in application. The Court held that an employer may be held vicariously liable for a supervisor's sexual harassment of an employee, even if the employee does not suffer any tangible change in her employment status. The Court provided an affirmative defense to employers in cases where no tangible employment action is taken. Under this defense an employer must prove that it took reasonable care to prevent and correct sexual harassment and that the employee unreasonably failed to take advantage of the procedures provided by the employer.
In establishing this rule, the Court has swung the pendulum to the middle, placing a burden on employers to enact policies, procedures, and grievance mechanisms geared towards deterring, preventing, and providing remedies for sexual harassment in the workplace. In cases where no tangible employment action is taken, an employer does not necessarily have knowledge that the offending conduct has taken place. Thus, those employees claiming to be victims of supervisory harassment in such cases must take the initiative to apprise their employer, giving the employer the opportunity to remedy the problem. In the end, the Supreme Court has served the interests of both parties as companies make it their business to implement the advice of Peters and
Waterman — that all are treated with dignity and respect, and ultimately it is the companies that move closer to achieving excellence.
Bryan J. Pattison
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Cutting off your nose
By the time you read this, it is highly likely that the British Musicians' Union—and, soon no doubt, similar organisations in other countries—will have 'outlawed' certain instruments in the class that we might describe as 'those devices which reproduce the sound of another instrument by electronic means'. Their argument is, no doubt, that the use of such devices (specifically the E-mu Systems Emulator and the Linn drum machines) reduces the work opportunities for those musicians whose instruments are simulated or reproduced by these devices.
In one or two cases this might be true. By and large, however, it isn't. Let's remember the Mellotron for a moment. Yes, bands used it because they wanted a string sound: in that sense it might replace string musicians. But generally bands used the Mellotron for one of a number of reasons. First, they often couldn't afford to hire session musicians for an album, let alone a tour. Second, the Mellotron was simply a rather lo-fi tape machine and did not offer either high quality reproduction or real dynamics. In other words, it produced a Mellotron sound. Third, and perhaps most important, it enabled a band to retain musical control over the performance. Finally, the Mellotron enabled the keyboard musician to expand the range of sounds he or she produced, thus creating more work for such musicians.
All four of these arguments hold true for the present situation. The Emulator enables the addition of sounds previously economically unavailable to bands in the studio or on the road. It must be played by a musician, who happens to be a keyboardist. It produces its own sound, because a sampled input has to be looped at a point determined by the musician. In addition, it has a sequencer facility which enables musical lines to be realised that would be impossible on almost any other instrument. The Emulator enables the artist to retain full control over the realisation. It adds possibilities to the keyboardist's art. The Linn, too, fits these arguments. Indeed, most Linn owners appear to be drummers adding to their repertoires. Banning the instruments makes it impossible for musicians to offer a sound which is currently fashionable and in demand. The Linn, like other drum machines is not used as drums are. The pattern is likely to be boringly repetitive to play and impossible for a drummer to perform without adding odd little improvisations. This is just what a lot of modern music does not want.
Indeed, this is the fundamental point. It is still true that if you want a string sound, or a saxophone sound, or whatever, the best way to get it is to hire session musicians. Synthesisers have their own sounds which are unique to them, even if they use recording techniques to get it. Those synthesised sounds, and that mechanical lack of 'human' feel are vitally important in a wide area of modern music. They are central to many modern musicians' mode of musical expression. The Musicians' Union is an important and valuable part of the modern music scene. If it wishes to maintain its vital role in protecting the rights of musicians against exploitation it must represent all musicians and accept the instruments they play. By considering rulings like this, it proves it does not represent all, but will discriminate against those younger members of the musical fraternity who are introducing new ideas. Too many rock musicians already feel that the MU is out of touch with their needs. It isn't true, but rulings like this will perpetuate the myth.
The exact areas of expertise may have changed: the musicians may spend as much time programming a computer as plucking a string or blowing down a tube, but he or she is still a musician.
New technology is vitally important in the music business. Not only that: it offers exciting new directions and possibilities. The industry needs that newness. It must not pretend it doesn't exist. Richard Elen
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Hangover, a rather loose term to describe the stored energy resonance in a loudspeaker, the principal cause of colouration that immediately tells you you're listening to a loudspeaker.
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24 track
Soundcraft 2400 series seen here with their 24 track recorder
Tracktech 24 x 16 x 24
For the truly discerning, we are offering 24 track packages from as little as £12,000 (plus VAT).
EXCLUSIVE: Soundcraft 2400, 1600 and the new range of in-line consoles from Tracktech (16 and 24 track) now in stock and available only from us.
16 track
SUMMER SPECIAL!
Tascam AQ 85 autocolator for Mk. I 16 track for a getaway £250!
The most popular packages in Britain — and we have immediate availability! We have Soundcraft 1” and 2” packages in stock, and we’re offering the new Soundcraft 1600 Series/Tascam 85-16B 1” 16 track with dbx for only £10,500 (plus VAT).
The new EXR Exciter is here and available on a sale-or-return basis at just £349 (plus VAT). We always maintain supplies of Tannoy, JBL, Quad, MXR, Lexicon, Rebis, Ecoplate and hold complete ranges of Neuman, Electrovoice, AKG, Sennheiser, Shure and Wright microphones.
Ring 01-440 9221 for details.
turnkey
OUR BUSINESS IS HELPING YOU WITH YOURS.
8, East Barnet Road, New Barnet, Herts EN4 8RW England.
The whole truth.
Bipolar transistor power amplifiers are obsolete.
Now there's HH MOS-FET technology; with no thermal runaway, no secondary breakdown, simpler circuits, fewer components and superior high-end performance for better sound quality when reproducing fast transients.
Naturally, we anticipate that most professional sound engineers will be eagerly switching over to MOS-FET at the first opportunity. So to make it easier, there are 4 models (all 19" rack mounting) with outputs from 150 to 800 Watts...and multiples thereof, using the X300 frequency dividing network.
And once installed, our cool MOS-FET amplifiers will perform with so little distortion that i.m.d., d.f.d. and t.i.m.d. are almost immeasurable by contemporary standards.
So at last you can boost your input with total honesty—and nothing else.
Graduate to the 80's. MOS-FET.
UK: HH Electronic
Viking Way,
Bar Hill, Cambridge, CB3 8EL.
Tel: Crafts Hill (0954) 81140
Telex: 817515 HH ELEC G
USA: HH Electronic Inc
2500 East Fender Avenue
Unit 1,
Fullerton, California 92631
Tel: (714) 680 4293
FRANCE: HH Electronic Son Professionnel
2 Rue de Tennerailles,
92210 Saint Cloud,
Paris.
Tel: (01) 602 6815
3 Greats from Otari!
MX5050B — the top selling compact Master Recorder.
Embodying the facilities and ruggedness of tape machines costing double, or more, the new OTARI MX5050B is the recorder to meet the challenge of this decade, when economic restraints plus performance requirements will place greater demands on manufacturers than ever before. The MX5050B is the answer.
- DC Capstan Servo.
- Varispeed.
- TTL IC Logic.
- Switchable NAC/IEC EQ.
- Additional 4 track replay head.
- 3 calibrated record levels.
- +28dBm 600 ohm balanced output.
- Optional balance input.
- Good editing.
- Built-in 1KHz oscillator.
As chosen by CARDIFF BROADCASTING, RADIO WEST, etc.
MX5050 BQII — the 1st 4 track for the serious user.
- Completely new microprocessor-based transport logic.
- Computerised motion-sensing control with dynamic braking.
- DC Capstan Servo 15/7½ ips with varispeed.
- Real-time tape counter with digital LED display and memory.
- Mic/Line mixing on each channel.
- Plug-in heads.
- Automatic sync/source switching.
- Click-free drop in/drop out.
- Test oscillator and bridging input for line-up.
- Inputs/outputs optionally balanced.
- Line input level switchable -15dBm/-6dBm min. Output level switchable +4dBm/-8dBm (OVU), max. +22dBm.
- Remote control, rack mounting, and covers available.
MX5050 MkIII-8 — the ultimate ½" 8 track.
From Otari a new, fully professional compact 8 track recorder. Bearing the Otari hallmark of superb performance and reliability, this is truly the ultimate ½" 8 track — at a non-ultimate price!
- DC servo capstan 15/7½ ips direct drive with ±7% varispeed (record/playback).
- Computerised motion-sensing control with dynamic braking.
- Automatic sync/input changeover on punch-in/out.
- Click free punch-in/out.
- Switchable +4 or -8dBm line input variable or fixed, line output also switchable; XLR input/output connectors.
- Wide range of bias adjustment, suitable for all tapes.
- Built-in 1KHz/10KHz test oscillator.
- LED tape timer and peak indicator.
- Single card per channel modules and externally accessible electronics adjustment.
from ITA, 1-7 Harewood Avenue, Marylebone Road, London NW1.
Tel: 01-724 2497. Telex: 21879
TOA’s professional mixing console—great sound when you’re on the road.
Toa’s modular RX-7 mixing console comes in three ruggedly portable models, allowing you to select just the right amount of mixing versatility and convenience for your needs. Our most powerful unit is the RX-7-328, with an impressive 32 input channels, 4 group outputs and 8 program outputs. For those requiring fewer input channels, our RX-7-248 has 24, along with the same number of group and program outputs as the 328. Thanks to the modular construction of the RX-7 mixing consoles, all the functions are exactly the same, except there are 8 blank panels in the 248 replacing the input modules. The RX-7-164 has its own, smaller frame, but the same high-quality modules are used to provide 16 input channels, 4 group outputs and 4 program outputs. All three mixing consoles are powered by the RPS-7 independent power supply, making them easier to carry and eliminating AC line noise. With all that each unit in Toa’s powerfully versatile RX-7 series has to offer, you’re sure to find one that’s a perfect match for all your sound mixing needs.
TOA ELECTRIC CO. LTD.
Castle Street, Ongar, Essex.
Tel: (0277) 364333
Telex 995554
Crafted in Japan. Proven in the States.
The brand new Tascam 38 is a sensation on its own. Now, coupled with ITAM DB30 noise reduction, this must be the greatest offer ever! 8 channels of simultaneous noise reduction increases sig/noise to 98dB (A wtd). Even more amazing — the price!
£1666 (+ VAT) for the complete package!!
**THE MOST SENSATIONAL 8 TRACK OFFER EVER!**
ITAM DB30 noise reduction is also available separately, and is the most realistically priced NR system giving 30dB improvement.
- 4ch (simultaneous) £275
- 8ch (simultaneous) £450
- 16ch (simultaneous) £799
**D & R MODULES**
This excellent range of outboard effects modules is now available from ITA. This is the only rack system on the market that does not need an expensive separate power supply — all modules are self-powered! The range of modules includes:
- Noise Gate
- Compressor-Limiter
- Compander
- Parametric Equaliser
- RIAA pre-amp
- Stereo limiter
All modules priced under £80. A rack is available at £35.
**ITA STEREO — 8**
A very quiet low-cost 8/2 mixer. Performance figures meet IBA spec. Extremely flat frequency response, distortion < 0.08% at +20dBm output at ALL frequencies. Simple to operate — NO GIMMICKS! £550
**THE LOCATION MIXER**
An extremely comprehensive 8/2 mixer in a flightcase, powered from mains or batteries (dry or NiCads). Almost every facility you’re ever likely to need on location or in the small studio, and highly robust as well! Also in 16/2 format. Amazing value at £995
**FOSTEX • FOSTEX**
Come and see the full range of FOSTEX — now on demonstration at our showrooms. All models in stock.
- A-8 — the mini 8 track on ¼ inch tape; with Dolby C noise reduction.
- 350 — the 8×4 mixer that makes recording at home a doddle!
- 250 — 4 channel cassette deck with built-in mixer. The musical notebook!
- 3050 — an inexpensive digital delay. Variable delay plus a range of effects inc. phasing, flanging & doubling.
ITA, 1-7 Harewood Avenue, Marylebone Road, London NW1 6LE.
Tel: 01-724 2497 / 8 & 01-724 3768. Telex: 21879.
CAN YOU AFFORD NOT TO AFFORD THE 8000 SERIES?
The D & R SERIES 8000 consoles offer all facilities required of a top-class non-automated multitrack recording console AT A VERY HIGH QUALITY LEVEL AND AT A REMARKABLE PRICE
SORRY This small advertisement can only hint at the great potential of the D & R SERIES 8000 in-line recording console.
Take the first step towards a sound decision and contact us now for further details on this or any other D & R mixer.
NAME ..........................................
ADDRESS ..........................................
WESTMORLAND ROAD, LONDON NW9
Tel. 01-204 7246 Telex: 895 4243
Heat shrinkable boots
Available from PSP Electronics a specially designed range of colour-coded heat shrinkable boots for use with ITT CANNON XLR connectors, and their Neutric and Switch craft equivalents.
In clear, black, white, red, blue and yellow, they make identification easy where several XLR’s are used in close proximity, the added advantage being that the boots prevent the insert-retaining screw or cable-clamp screw from working loose and falling out. They can be used on both the 11C and 12C styles of connectors and are offered in multiples of 10. Heat-guns to facilitate easy shrinking of these boots can also be supplied.
For details of stock and prices ring 01-998 9061/9.
PSP ELECTRONICS LIMITED
Unit 2, 2 Bilton Road, Perivale, Middlesex UB6 7DX
Telex: 8954609
THE ACOUSTIC SCREENS from AK
- Space saving corner interlock system
- Welded metal frames
- Attractive 'cigarette proof' covering material
- Wide differential non crushing castors
- Custom size option
- Roof sections to match
SONAPANEL ACOUSTIC SYSTEM
- Economic and flexible
- Individual layout scope
- Fast delivery
- Detachable fixture allows relocation or resale
AUDIO KINETICS (UK) LIMITED
Verulam Road, St Albans, Herts, AL3 4DH. Tel: 32191. Telex: 299951
ITAM Introduce SIGMA
SIGMA — the new multitrack console that outclasses the competition — in price, features and performance. Facilities include: Full modular construction, full 16 track monitoring, 8 busses + stereo buss + 4 aux busses, programmable muting, autosolo, LED bargraph metering with switchable VU/PPM.
Price:
16-8-16 £3,960.
With Audiofad faders: £4,360.
Stand: £155.
(exc. VAT)
16 TRACK PACKAGE.
The new Sigma is available in a complete 16 track system, with the Itam 1610 recorder. Prices from under £9,000 for a complete package.
ITA, 1-7 Harewood Avenue, Marylebone Road, London NW1. Tel: 01-724 2497. Telex: 21879
Please send colour brochure on the new Sigma to:
Name ...............................................................
Address ..................................................................
YOU’LL FIND IT ALMOST EVERYWHERE...
(intelligible, versatile, affordable)
and if you agree that it’s about time to have your own SYNTOVOX Triple Two VOCODER in the FX-Rack, you’ll find us here:
| Country | Company |
|---------------|--------------------------------|
| USA | SYNTON USA |
| | 269 LOCUST |
| | NORTHAMPTON, MA 01060 |
| | (413) 586-1777 |
| Canada | SYNTON CANADA |
| | TORONTO (416) 868-0528 |
| Germany | STUDEL/REVOX LTD |
| | GERMANY |
| | TOKYO (03) 28761-98 |
| | MELBOURNE (03) 333801 |
| | KOREA |
| | JAPAN |
| | AUSTRALIA |
| | KLAIRON PTY LTD |
| | IMAI & CO., LTD |
| | SHINJUKU-TOKYO |
| | LONDON |
| | JOHANNESBURG |
| | S. AFRICA - ELTRON |
| | FRANCE |
| | SWEDEN |
| | FINLAND |
| | UK |
| | FELDON AUDIO LTD |
| | STORE ROBERTSGATAN |
| | HELSINKI |
| | ITALY |
| | DENMARK |
| | SWITZERLAND |
| | DYROCORD OMBH |
| | LUGANO (091) 523827 |
| | INTRASON |
| | CHAUVINNIS |
SYNTON ELECTRONICS BV POB 83 • 3620 AB BREUKELLEN • HOLLAND ☎ 03462-3499 TELEX 40541 SYNTO NL
STUDIO SOUND, SEPTEMBER 1982
Radio microphones that sound like wired microphones — and are reliable as well!
HME Dynamic Expansion Systems are world acclaimed as the ultimate in wireless microphone performance and reliability. The key to their remarkable sound quality is a sophisticated approach to the long known and widely used compression technique for noise reduction.
Alternatively, where this wide dynamic range is either unnecessary or undesirable, soft compressor/limiter versions are available.
Another of HME’s unique products is the AD10A diversity system. The system provides multi-aerial reception — virtually eliminating dropouts — for up to 4 separate radio microphone systems. It can be used with your existing radio mic system until you purchase HME.
Full details from the European distributors:
Technical Projects
Electrosound House, 11 Marshalsea Road, London SE1.
Tel. 01-403 3838 Telex 885659 YODEL G.
A member of the Theatre Projects group of companies.
OTARI
The No 1 Name for Cassette Duplicators and Winders
C2 In-cassette Copier
High quality at low cost. Stereo. Expandable to 11 copies. Ferrite heads. DC servo motors.
DP4050 OCF
Reel to cassette copier. 6 slaves, DC Servo motors and ferrite heads. 2 speed master.
DP2700 Audio Tape-loader
A precision loader at a budget price. Compressor not required. Easy to operate and reliable. 100 C-60 per hour. Video tape loaders also available.
ITA … The Duplicator Specialists
ITA, 1-7 Harewood Avenue, Marylebone Road, London NW1.
Tel: 01-724 2497 Telex: 21879
ANNOUNCE A FULLY PROFESSIONAL 16 track 2inch RECORDER FOR UNDER £5000
If you're looking for a tape machine that's well designed to give maximum performance, long term reliability and yet is easy to service and maintain, consider what we offer as an alternative to other, rather expensive, machines on the market...
- Full function remote
- Varispeed
- 3 long life heads
- 58dB noise
- 30Hz to 20kHz rec/PB response
- Full motion sensing/Logic interlock
- Electronic tape tensioning/braking
- 2 year warranty
USA:
A.C.E.S (USA)
244 Lyell Ave,
Rochester, New York 14608
Tele: (716) 458 5610
UK:
A.C. ELECTRONIC SERVICES
Unit 2, Oak,
Albrighton,
Nr. Shrewsbury,
Shropshire,
SY4 3AG
Tel: (0939) 290 574
Telex: COM CAR G
AC ELEC
337492
MICROPHONE SPLITTER COMBINER TRANSFORMER TYPE 4079
For use with one microphone to give two separate outputs; one to a PA mixer, the other to a recording mixer; or to group two microphones to give one output. Suitable for most types of microphones requiring loads of up to 1200 ohms. It will handle 2.3 volts at 30 Hz, typical frequency response is ± .5 dB, 20 Hz to 20 kHz contained in a high quality screening can with rugged fixing. Please write for leaflet 4079.
WITH 40 YEARS' EXPERIENCE IN THE DESIGN AND MANUFACTURE OF SEVERAL HUNDRED THOUSAND TRANSFORMERS WE CAN SUPPLY:
AUDIO FREQUENCY TRANSFORMERS OF EVERY TYPE
YOU NAME IT! WE MAKE IT!
OUR RANGE INCLUDES
Microphone transformers (all types), Microphone Splitter/Combiner transformers, Input and output transformers, Direct line Transformers for Guitar Multi-secondary output transformers, Line transformers, Line transformers, Line transformers to G.P.O. Isolating Test Specification, Tapped impedance matching transformers, Graphophone output transformers, Amplifier Output transformers (all types), Audio transformers, Microphone transformers for PCB mounting, Experimental transformers, Ultra low frequency transformers, Ultra linear and other transformers for Valve Amplifiers up to 500 watts, Inductors, Choke coils, Power Transformers, Audio Transformers for Valve Amplifier to 100 volt line transformers (from a few watts up to 1000 watts), 100 volt line transformers to speakers, Speaker matching transformers (all powers), Column Loudspeaker transformers up to 300 watts or more.
We also design and manufacture to your specifications QUALITY, HI-FI QUALITY OR LOW QUALITY. OUR PRICES ARE HIGHLY COMPETITIVE AND WE SUPPLY LARGE OR SMALL QUANTITIES AND EVEN SINGLE TRANSFORMERS. Many standard types are in stock and normal dispatch times are short and competitive.
OUR CLIENTS COVER A LARGE NUMBER OF BROADCASTING AUTHORITIES, MIXING DESK MANUFACTURERS, RECORDING STUDIOS, HI-FI ENTHUSIASTS, BAND GROUPS AND PUBLIC ADDRESS FIRMS. Export is a speciality. We have overseas clients in the COMMONWEALTH, E.E.C., U.S.A., MIDDLE EAST etc.
Send for our questionnaire which, when completed enables us to post quotation by return.
MULTI PURPOSE MICROPHONE TRANSFORMER TYPE 3678
This is suitable for inputs of 600 ohms, 200 ohms or 60 ohms (tapped primary) with a secondary load of 5 Kilohms (can load secondary with 2 Kilohms to 10 Kilohms), the frequency response is within ± .5 dB from 20 Hz to 20kHz. The secondary can handle 2 volts. Contained in well-finished screening can with colour coded flying leads. Please write for leaflet 3678.
SOWTER TRANSFORMERS
Manufacturers and Designers
E. A. SOWTER LTD. (Established 1941), Reg. No. England 303990
The Boat Yard, Cullingham Road, Ipswich IP1 2EG,
Suffolk. P.O. Box 36, Ipswich IP1 2EL, England.
Phone: 0473 52794 & 0473 219390. Telex: 987703G
The more memorable EMT 245.
The EMT 244 gave you the warmth of sound you’d expect from a plate but in a digital reverberation unit. Now the EMT 245 gives you even greater flexibility.
The 245 features natural, large-room reverberation through adjustable predelay. You have amplitude control over the first reflections, selectable pre-echo delay in 8 steps from 0-84ms and reverberation time in steps from 0.4-4.5 secs and frequency response of reverberation time switchable for bass and treble equalisation.
The reverberation parameters may be logged in an optional 10 programme store and immediately recalled by the remote control unit.
With improved algorithm, greater programme memory and, of course, a superbly clean decay, the EMT 245 has an extremely low noise floor, making it ideal for studios, broadcast units and mobiles. And you’ll warm to its economical price as well.
To find out how much more you can now get from the space-saving EMT 245, contact Bauch today.
EMT FRANZ GmbH
Postfach 1520, D-7630 Lahr
F.W.O. Bauch Limited
49 Theobald Street, Boreham Wood, Hertfordshire WD6 4RZ
Telephone 01-953 0091, Telex 27502
www.americanradiohistory.com
PROFESSIONAL EQUIPMENT HIRE
Current Equipment Available includes:
STUDER A80 MkII 24tk - May be supplied as 16tk, 8tk - 7½/15 or 15/30ips £125.00
STUDER A80 RC ¼" STEREO - May be supplied as ½"st, ½"4tk, ¼"MONO, ¼"ST+TIME CODE - 7½/15 or 15/30ips + VARI £30.00
SONY PCM 1610 + BVU200B - Stereo Digital Recording System £275.00
AUDIO KINETICS Q LOCK 210 - Various Interfaces for Audio/Video Equip. £60.00
DOLBY M24 NOISE REDUCTION - XLR Interface £60.00
DOLBY A361 NOISE REDUCTION £15.00
WEEKLY CHARGED AS 5 DAYS, MONTHLY CHARGED AS 15 DAYS.
CONTINENTAL PRICES AND TERMS ON REQUEST.
DIGITAL AUDIO SYSTEMS LTD., Coburg House, Western Road, Wood Green, London, N22 6UH
Tel: 01-889 9347 Telex: 266170 DIGWEB
A SELECTION FROM OUR RANGE OF USED PROFESSIONAL AUDIO EQUIPMENT
USED MULTITRACKS
STUDER A80 MkI 15/30 ips 6000 Hrs. New heads recently fitted. Remote and vari-speed, very good order and well maintained. £8,000
Amek MM1100 24 Track plus 16 track head block. £7,000
3M M96 16 Track with remote 15/30ips. £6,000
Daily 8 Track machines 200 series 3 available From £2,000
3M M56 Head block new plus Selectape auto locator with M56 interl/SOUNDCRAFT 16 Track 1" with remote and Auto Loc. £1,400
£6,000
USED STEREO MACHINES
FELT ABD RC. 16 track with VU's and mono inputs. 100 Hrs. £1,800
TEAC Model 15. 24x8x16. Good condition. £3,500
Randall 18x8x16. Factory reconditioned full patching facilities. £2,000
Chilton 12x4x8 with 4 comp/lms. PPM's plus VU's on channels. £1,950
Allen & Heath Ex Demo 16x4 £1,700
NEVE Melbourne 12x2. Little used immaculate. £5,750
SOUNDCRAFT Series 2. 16x8x8. The monitors can be switched to 16 in. £2,000
DEL TALAB DLA4 Delay Line VGC. £550
EVENTIDE Stereo Delay. £550
KLARK TECHNIK 11 Graphic £250
FRU ARTEC FA20 2x10 Graphic as new. £195
ROLAND Phase Shifter £199
ROLAND Vocoder SVC 350 £335
ROLAND SP-303 2 channel Guitar Synth £350
SOUNDWORKSHOP Stereo Reverb £250
ASHLEY SC50 Complim. £175
MARSHALL 5053 Time Modulator £750
AUDIOPROD SC50 E560 Selective limiter with parametric EQ section £600
AUDIO AND DESIGN F760 RS. As complete but less the expander. £600
AUDIO AND DESIGN 700 Mono comp/lm £250
BEL BAA0 Delay Line/Flanger £300
BEL BAA1 Delay Line/Flanger £300
LEXICON DELTA T one in two out Delay line £450
MXR DUAL LIMITER £220
MASTER 15 2x15 way graphic Equaliser £220
MXR 31 band graphic 2 available £230
DOLBY 301 stereo A Type noise reduction units £290 each
AKG BX20 Stereo reverb unit £1,300
MASTER ROOM B Reverb unit £350
IF YOU DO NOT SEE THE ITEM YOU REQUIRE ABOVE, PLEASE TELEPHONE FOR OUR COMPLETE STOCK LIST.
SOME MACHINES MAKE CARTRIDGES A LITTLE WOOLLY!
Not the ITC 99. A cleaner, crisper sound. That is what ITC cartridge machine technology is all about. And the ITC 99 delivers precisely that.
Built around a rugged deck that is not cast but milled from half-inch thick, solid aluminium tool plate, the ITC 99 contains such advanced features as a crystal-referenced servo-motor, a positive, mechanical latching solenoid, a micro-adjust head module and a distortion-free cartridge positioning system. To the user, these features mean reduced wow and flutter, improved azimuth (phase) stability and long-term speed accuracy.
In short, reel-to-reel performance from a cartridge machine.
ITC also offers the unique ELSA option. This cartridge preparation system automatically bulks out the tape, aligns the recording head azimuth to compensate for cartridge variations, erases the cartridge again to remove the alignment tones and locates the splice which is then positioned just beyond the capstan shaft. This results in a clean, splice-positioned tape ready for use.
The ITC 99 microprocessor-controlled cartridge machine and recording amplifier are truly a sound above the rest. If you want to rid your cartridges of their wooliness, talk to F.W.O. Bauch about the ITC 99.
International Tapetronics Corporation
Bloomington, Illinois 61701, USA.
F.W.O. Bauch Limited
49 Theobald Street, Boreham Wood, Hertfordshire WD6 4RZ
Telephone 01-953 0091, Telex 27502
www.americanradiohistory.com
A range of tape recorders designed for demanding users (typical wow and flutter, 0.3% CCIR at 15 i.p.s.), who can upgrade their equipment as their needs evolve through a wide range of accessories and options such as: remote control panel, varispeed unit with ±13 semi-tone range, tape marker, scissors, NAB hub adaptors, monitoring loudspeaker...
When ordering your recorder, you may select: 2 of the 4 capstan speeds, the tape deck height, your usual equalization standard (CCIR/NAB), the head assembly corresponding to your type of operation (mono / stereo / two-track, with full or separate overlapping track erasure), etc.
...And you can change your mind later by upgrading your configuration at your convenience for a minimum cost.
F 462: an outstanding and flexible range of master recorders.
Give us a call. We'll let you know how and where you can try this product (Why not in your own studio?).
The image builders.
PCM41 and Prime Time: Lexicon digital delay systems that enable recording artists and live performers to explore new dimensions in sound.
The Lexicon PCM41, developed from the Prime Time, offers a complete repertoire of effects; such as automatic double tracking, flanging, slap echo, infinite repeat, doppler pitch shift and many others. Its ease of control makes it ideal for on-stage use where dramatic sounds can be created with studio precision.
The Lexicon Prime Time is a real sound builder. It makes studio enhancement 'live' and, offering an integral input and output mixer on two outputs, it is central to the stage performance of many top musicians.
Lexicon digital delay systems are used throughout the world in concert halls, auditoriums and stadiums. Lexicon creates clean musical effects to enhance performance and open up new dimensions in sound.
For the complete story, talk to F W O Bauch about Lexicon digital delay systems.
Lexicon
Lexicon, Inc., 60 Turner Street, Waltham, MA 02154 (617) 891-6790
F.W.O. Bauch Limited
49 Theobald Street, Boreham Wood, Hertfordshire WD6 4RZ
Telephone 01-963 0091, Telex 27502
NEW Economy 'Push-fit' Knobs from Bulgin
- As an extension of our 'Multirange' collet fixing knobs, we are now able to offer a new range of economy 'push-fit' control knobs.
- They fit flatted shafts of Ø3, 4, 6mm, 1/8" & 1/4".
- Knob sizes: Ø10, 15, 21 & 28mm.
- Supplied in 4 colours (with or without indicator line).
- The complete range of accessories for the collet types is also suitable for the push-fits e.g., caps in 7 colours and 3 styles, dials, pointers, stators & nut covers.
- The collet knobs are produced in 3 main styles, 4 colours, 5 shaft sizes & low profile versions.
FULL DETAILS ON REQUEST.
A.F. Bulgin & Company P.L.C.
Electrical & Electronic Component Manufacturers
Bypass Road Barking Essex IG110AZ England
Telephone 01 594 5588 Telex 897255
A flexible mixing system offering a choice of two or four different modules for two or four group operation. The MXT-1000 is designed mainly for broadcasters and is used widely in Radio, and Television studios and outside broadcast vehicles, where full broadcast standards are required.
Audix Limited, Wenden, Saffron Walden, Essex CB11 4LG, England
Telephone: Saffron Walden (0799) 40888 Telex: 817444 Cables: 'Audix Walden'
Editing with our new PCM recorders requires this sophisticated hardware...
The AEG-Telefunken MX80 and MX80a are a completely new breed of PCM tape recorders. Now, for the first time, you can use cut-and-splice editing procedures on a PCM machine. Smooth, silent splices are ensured by a sophisticated automatic cross-fade technique which joins the signals before and after the splice.
But AEG-Telefunken didn’t stop with just one innovation. They designed these machines to be so simple that anyone familiar with analogue master-tape machines can operate them. For example, they use standard analogue controls; they aren’t unduly sensitive to dust and dirt; they’re rugged, reliable and simple to maintain and service.
Another important feature is that the head assembly is finished to a tolerance of 10 microns, which results in complete compatibility between machines.
And you’ll be pleased to hear that all these innovations have resulted in a system which is about half the price of our competitors.
The AEG-Telefunken MX80 and MX80a — the new breed of PCM recorders.
AEG-TELEFUNKEN
MX 80
MX 80a
Hayden Laboratories Limited,
Hayden House, Chiltern Hill,
Chalfont St. Peter,
Gerrards Cross, Bucks SL9 9UG.
Telephone: (02813) 88447/89221
At Meyer Sound, we've applied over a decade of research and field experience to the production of a growing line of reinforcement loudspeaker systems optimized for arraying, and we've developed sets of simple, clear guidelines for applying these systems. For the professional user, calculation and experimentation are replaced by a tool and set of design techniques offering the means to make arrays which afford consistent, exceptional performance.
**Polar Control**
An important key to this performance is careful control of polar response. Meyer Sound reinforcement systems are designed to be coherent not only in terms of phase, but also in terms of propagation. For this reason, the crossover transition in Meyer systems is smooth and seamless, and frequency response remains consistent over long throws. In arrays, propagation coherence means smooth addition between adjacent units, minimizing lobing and producing a coherent image of the source behind the array. In practical terms, this means even, controlled coverage, greatly enhanced clarity, and little or no need for room EQ.
**Modular Design**
Meyer Sound reinforcement loudspeakers are designed as modular systems: full-range building blocks which offer the flexibility to meet a wide variety of demands. This means, for example, that the same product which serves for live music reinforcement in a 500-seat club can be used to make a large array for live reinforcement in a 15,000-seat sports arena. Finally, since the array retains the performance of the modular unit with which it is made, its characteristics are predictable.
**User Orientation**
For the professional in the field, dependable real-world performance is the ultimate goal. At Meyer Sound, we direct our efforts in system design and documentation toward making that goal more achievable. If you would like more information on the theory behind our arrayable systems, and how these systems can be made to work for you, call or write us today:
Distributed in Europe by:
Contact: David Solari,
Autograph Sales Ltd.,
Stable 11, British Rail
Camden Depot,
Chalk Farm Road,
London, NW1 8AH, UK.
Tel: 01-267 6677
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Formula Sound have been designing and building sound systems for a great many years. Our reputation is based on our professional approach to all our installations. We use only the best equipment and systems that are designed to suit each specific venue. All our loudspeaker enclosures are hand built and designed to fit the location and can, therefore, be an integral part of the interior decor if required.
**Equalisers** We manufacture our own unique STEREO octave graphic equaliser for overall equalisation of any system. A version with a built-in analyser is also available.
**Loudspeakers** JBL speakers are used throughout our installations because quite simply JBL are the best speakers available, and with a complete range of components all aspects of sound reproduction can be catered for from one manufacturer. We have been the country's leading JBL dealer for the past 8 years and can offer a first class sales and repair service.
**Mixer** Because we could not find a mixer which came up to our exacting standards we developed and built our own. The technology and quality of components that go into the PM80 are of the same standard as are used when manufacturing custom built recording studio and PA mixing consoles. A complete MODULAR mixing system, the PM80 has provision for up to 8 input modules. These can be any combination of m/c/ape/phono so the system can be extended as and when trends dictate. (Size 19" x 10½" x 3")
Whatever the requirement, be it disco, cabaret, a new club or upgrading an existing system, we can give you the best possible advice and service.
Formula Sound Ltd.
3 Waterloo Road
Stockport, Cheshire SK1 3BD
Before you invest your money make sure of a sound return—ring Tony Cockell 061-480 3781
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Our SS.100 and SS.50 are economical amplifiers with outputs of up to 175 and 100 Watts RMS into 4-16 ohms, typical THD figures being 0.1%, slewing rate > 10v/μs, noise > 90dB down, zero level input, and full electronic protection. Considering these points with their proven reliability and robust construction, plug in output transistors and driver board, optional balanced input and 100V line output, and virtually ex stock despatches we reckon we take some beating! Contact us now for the full technical specifications.
Manufacturers of mixers, integrated mixer amplifiers and slave amplifiers, studio power amplifiers, transformers, lighting control equipment and cabinets for the home and export markets. Contact us for full illustrated technical brochures.
**MUSTANG COMMUNICATIONS**
Eastfield Industrial Estate,
Cayton Low Road, Scarborough,
North Yorkshire YO11 3UT
Telephone (0723) 582555
This delay was worth the wait
Whether you are specifying or replacing a system which is simple or complex, you will achieve accuracy and complete reliability with the new DF-4015 Audio Signal Delay System from Knowles Electronics.
Knowles’ DF-4015 has been designed to maintain the original acoustics through absolute control of an enhanced sound reinforcement system by the application of audio path synchronisation. This specialist technique is now available to everybody from the market leaders.
The DF-4015 is available with up to four outputs, each of which will deliver 192 milliseconds of delay in 3 millisecond steps. For further information on the DF-4015 and Knowles’ Automatic Mixers please contact the Audio Team on (044 46) 5432.
Knowles are heard in the best places
Usher Concert Hall, Edinburgh.
Westminster Abbey.
Hillingdon Council Chambers.
Fairfield Halls, Croydon.
Knowles Electronics Co.,
Victoria Road, Burgess Hill, Sussex RH15 9LP, England.
Tel: Burgess Hill (044 46) 5432 Telex: 87460
If you need Jackfields
Jacks, Plugs, Panels, Patch Cords and Cables
WHY NOT TALK TO THE SPECIALISTS?
CAE GROUP
Communications Accessories & Equipment Group
Akeman Street, Tring, Herts HP23 6AJ
Tel. Tring (0442 82) 4011/5551
International Tel. + 44 44262 4011/5551
Telex: 82362
Associated Companies
TE/GADC/CAE/ME
Please send us a copy of your current catalogue
Name ____________________________
Company ___________________________
Tel. _______________________________
A Quiet Boast from Chilton
The QM3
ultra low noise mixer ideal for digital recording
The low noise mixing facility of the QM3 may be what we are most proud of, but there are many other features that make it a sound choice before even our more expensive competitors.
These features include:
- Very strong construction.
- Compact but with ample finger space around the controls.
- Options include Full parametric EQ, stereo compressor, 20 LED channel bar graph and filters.
- Long throw plastic conductive faders are standard.
- Broadcast PPM's as standard or VU at no extra cost.
- All control panel modules removable from the top.
- Comprehensive 8 or 16 track monitoring and subgrouping.
- 4 Auxiliary sends switchable pre or post fader.
- Inbuilt talkback microphone and switchable frequency oscillator all routable.
- All outputs and microphone inputs have XLR's as standard.
- Broadcast 12/4 version fully meets IBA requirements.
- Silent cue/mute/assignment switching.
- Standard frames: 12/4/2/1 20/4/2/1 16/8/2/1 24/8/2/1
Find out more about the QM3, a time tested and proven design of the highest technical standard – Contact us today, and ask for our brochure "The QM3 in Depth."
CHILTON
EVERYTHING WE DO IS JUST THAT LITTLE BIT BETTER
Magnetic Tapes Ltd, Chilton Works, Garden Road, Richmond, Surrey.
Tel: 01-876 7957 Telex: 91288lCW
ILR/Polytechnic linkup
A unique experiment in British local radio has recently begun in South Wales. CBC, the Cardiff ILR station, has been connected by private wire to the studios of the Media Resources Unit at the Polytechnic of Wales, Pontypridd, about 15 miles away. Students studying radio production at the Poly now have the opportunity to broadcast some of their programmes, produced as part of the course, to a potential audience of over 500,000 people.
Technical Projects
In order to reflect more closely the broad base of its work in the field of entertainments industry electronics, Theatre Projects Ltd is changing the name of its Special Projects operation to Technical Projects. Technical Projects will encompass electronic design, manufacturing and installation projects, with retail sales of sound and lighting equipment remaining under the banner of Theatre Projects Services. In addition the skills and experience of MJS Electronics in broadcast and test equipment design will be combined with the Theatre Projects design team's experience in the design of sound reinforcement, television, film and broadcast studio equipment.
Audio & Design Marketing
Audio & Design (Recording) Ltd, the Reading-based manufacturer of outboard equipment, has established a professional marketing division incorporating the UK distribution of Dutch manufacturer Eela Audio's equipment. Bill Dyer, the UK representative of Eela Audio, will continue to work within the marketing setup.
Other products available through the new division, to be known as Audio & Design Marketing, will include AEG Telcom noise reduction, preamp boards from US manufacturer Straight Wire Audio, plus Calrec mics along with a range of Ambisonic products.
The marketing of Audio & Design's own products will not be changed in any way.
Audio & Design (Recording) Ltd, 16 North Street, Reading RG1 7DA, Berkshire, UK: Audio & Design (Recording) Inc, PO Box 786, Bremerton, Washington 98310. Tel. (206) 275-5009. Telex: 152426.
AM stereo USA
Following the recent decision by the Federal Communications Commission to allow the transmission of AM stereo, the Harris Corp has announced that it has already commenced selling its AM stereo broadcasting system and that it intends licensing manufacturers of home radios to use its stereo receiving technology. Harris claim to hold some 150 contingent orders from AM stations for stereo systems and hopes to convert these to firm orders over the coming months. Whether American AM stations will decide to take the plunge into stereo transmission still remains to be seen, especially considering the FCC's decision to allow the marketplace to decide between the five incompatible AM stereo systems currently on offer.
Contracts
- Trident has supplied Nimbus 9 Recording Studio, New York with a custom 32/24 Series 80 console; Record Plant Studios, New York with a 48 input in-line Series 80 with a remote fully modular patchbay for the studio's 'white' mobile; and Kingdom Sound, Syosset with a 40 input/32 monitor TSM console which is to be fitted with Melkuist GT800 automation.
- Feldon Audio has supplied a Sony 2-track digital recording and editing system to Tape One Studios, London. The system comprises BVU U-matic machines, PCM-1610 processor and an AE-1100 digital editor.
- Swedish Radio and TV has received nine MTR90 24-track tape machines from Otari. Three of the machines are 16-track pre-wired for 24-track.
- Hardware House (Sound) Ltd has recently completed the design and supply of a touring sound reinforcement system for the National Theatre of Qatar in the Arabian Gulf. The system includes an Amek M1000 26/8/2 console; ancillary equipment from Brooke Siren Systems, Eventide, Micmix and Roland; Court Acoustics Proflex and Gauss/JBL monitors powered by Amcron amps; a comprehensive multicore line system; plus mics from AKG, Crown, Beyer, Neumann and Shure.
- Tamevic Service Ltd has supplied a 24 input, 8 output, 16 monitor return Soundcraft 1600 Series console to RMS Studios, London.
- The BBC has ordered a further 100 Rogers LS3/5A monitors, plus 100 Rogers LS3/8 monitors from Swisstone Electronics.
- MCI has supplied a transformerless 32 input JH-500D console, JH-24 24-track tape machine and JH-110B mastering machines including a ½in mastering machine to CECCA Sound Studio, Dallas—the new 24-track studio opened by Charley Pride, the country music artist. An unusual feature of the console is that the studio's limiters and effects units are hard wired, normalled into I/O's 25 to 32 for effects sampling without patching.
Sound recording courses
The short course Sound Studios and Recording which has been offered by the Department of Electronic and Communications Engineering at The Polytechnic of North London over recent years is again on offer this year. The course, which commences in late October, is a part-time course with examinations in June 1983. As previously, the course provides a thorough grounding in the workings of recording studios with particular emphasis being given to practical studio equipment and operational aspects of the course. A new feature of the course for future years is the intention to include visits to studios to give a broader view of the recording industry. Details of this course are available from: Department of Electronic and Communications Engineering, The Polytechnic of North London, Holloway Road, London N7 5DB, UK.
Further to the above, as a result of discussions with the APRS, Salford College of Technology is proposing to offer full-time courses in Recording Technology and Techniques commencing in September of this year. The courses are available in two forms: a three-year course with a minimum entry age of 16 and entry requirements of at least five 'O' levels including mathematics, physics and English; or a two-year course with a minimum entry age of 18 and entry requirements of at least two 'A' levels including mathematics and physics or engineering science. These new courses will cover the whole gamut of recording technology and techniques and will be particularly configured for the technician who wishes to be involved in the design and maintenance of sound recording systems and related signal processing systems. To support the courses the College will include in its facilities a multitrack studio plus an extensive range of test and repair equipment. Further details of the courses are available from: The Admissions Tutor (Recording Courses), Department of Humanities, Salford College of Technology, Adelphi Building, Peru Street, Salford M3 6EQ, UK.
Sub-Miniature Precision Pressure Microphones
- 125 dB dynamic range
- ± 1.5 db, 20Hz-15KHz
- 1cm square package
- Accepts 150 dB SPL without distortion
- Omni and Directional versions available
(C) COUNTRYMAN ASSOCIATES INC.
Scenic Sounds Equipment Limited
97-99 Dean Street, London W1V 5RA
Telephone: 01-734 2812/3/4/5
Telex: 27 939 SCENIC G
Its never too late for noise reduction
Dynafex, from MICMIX, removes noise from existing programme. So if you have any noisy master material on carts, VTR, disc, cassette, land line or tape Dynafex can offer up to 30dB of noise reduction without the compatibility problems of encode/decode systems.
dynafex
Scenic Sounds Equipment Limited
97-99 Dean Street, London W1V 5RA Telephone: 01-734 2812/3/4/5 Telex: 27 939 SCENIC G
MU threat to 'copy cat' synths
At the Central London Branch Meeting of the British Musicians' Union on 20th May, 1982, the following motion was proposed and passed by a vote of two to one:
"This Central London Branch requests the Executive Committee to institute an official ruling to proscribe and prohibit, for the purposes of recording or live performances, the use of all electronic devices that make audible imitation or simulation of any musical/percussion instrument as defined by the Musicians' Union directory.
"We further request the E.C. to make provision and formulate new agreements with the parties concerned, with effect to proscribe and prohibit the use of any recording or live transmission that bears in effect any such electronic device as defined above."
This motion has created considerable speculation throughout the industry, and not surprisingly, the UK national press have picked it up and 'deduced' that this could be the end for such bands as Human League, Landscape, Duran Duran, etc. This is, of course, nonsense. However the very fact that this motion has attracted so much interest to the use of synthesisers and electronic musical instruments illustrates the concern being expressed in certain corners that new technology is depriving more traditionally skilled musicians of their livelihoods.
The motion was proposed by Neil Lancaster—a session singer/writer/arranger. He is extremely worried by the advance of new technology into the music 'profession', though he is not aiming his attack on the use of synthesisers towards synthesiser bands such as those mentioned above. He feels that these groups are peripheral to the main body of the music industry, employing only a small percentage of the union's membership, and by using synthesisers they are not really putting other members out of work. His worries, as identified in the motion, are with the use of these electronic devices (synthesisers, rhythm units, etc) to simulate existing musical instruments. "If you agree that music is a living art form, then it figures logically that you cannot have music without musicians; and in the sense where they are replaced by cheap-skate fascimiles of musicians, then the question arises—is it unethical?—is it dishonest?—because it is certainly a recorded lie, and I think that it is time that this should be brought out into the open and discussed."
The passing of this motion has certainly done the latter, with much press coverage, and Neil Lancaster himself has found that his life isn't as quiet as it used to be. "I've been contacted by all kinds of people who have obviously got hold of the wrong end of the stick—I don't want to ban synthesisers, just to prevent their dominance of an already troubled industry. Technology is moving at a fantastic rate, and in ten years time, if nothing is done to stop it, the synthesiser will put all the conventional musicians out of work.
"I've been discussing the misuse of synthesisers with various musicians for years now. In the right context they are magic; this motion is not an attack on synthesisers but on the total misuse of the instruments when they are used to imitate and substitute for musical instruments and musicians which would normally be used—this is generally done for economic reasons."
One of the reasons that the effects of this branch meeting has sparked off so much interest must lie in the present state of the recording industry. The economic situation, with the possible exception of the advertising world, is well in the doldrums; recording and production companies are also on the decline, and the session musician faced with the fall in demand for his services must see the synthesiser as an obvious target—it is one thing that can be identified as a possible reason for his plight.
As things stand, the passing of this motion is just the first step in the process of becoming Union policy: in July it will be considered by the London District Council and, if approved, passed on to the Executive Committee in August, who will decide whether or not this motion should become Union policy. If so, there could be quite a stir come September. However, it would seem that the Union itself is in a bit of a dilemma over this one, and that it is unlikely that Neil Lancaster's motion will gain the approval of the Executive Committee.
The Union has had an agreement with the BPI and various other major organisations, including the BBC and ITV, that runs as follows: "Instruments and devices incorporating pre-recorded sounds or producing sounds by electronic means must not be used to replace or reduce the employment of conventional instrumentalists in circumstances where they may reasonably be expected to be used; they may, however, be used to produce sounds that cannot be produced by conventional instruments".
Manor Mobile at LWT
The Manor Mobile was in use recently at London Weekend Television's Stonebridge Park studios during recording for Understanding Opera, a new series to be shown in Britain later this year which will introduce viewers to the wide appeal of opera. The series is being recorded on multitrack for the preparation of a stereo audio version to be transmitted in those countries which have stereo TV sound capability.
The Union feels that these agreements are fair, and that to seek to clamp down further on the use of the synthesiser would be extremely difficult. A working party confirmed this in 1979: "It would be impractical to ban specific instruments on the grounds that they would be potentially capable of reducing employment; such a ban would also be unacceptable to those members who perform on the instruments in question, and incapable of enforcement". So the Union is at present relatively happy with the situation, and unless they can be persuaded to change their thinking with new 'evidence' then this motion has little chance of acceptance.
Well, there is no real new evidence as such; however, although these agreements may be working in some areas, there is definitely a case against the synthesiser if you consider it wrong for it to simulate existing instruments. Such simulations are taking place, and conventional musicians' work is being eroded. Secondly, though, technology has advanced considerably over the past couple of years and simulations of existing instruments are far more easily attainable, and will become more and more realistic over the next few years—what will be happening in ten years time? In 1979 we did have the 'string carpet'; now it is possible to create a lifelike string section, but to say that such a creation is non-musical is rubbish. To be able to 'feel' a string section (or whatever) using a keyboard and performance controls, takes considerable musical skill.
Ron Geesin, one of this country's top composer/synthesisists, has some interesting views on the attempt to get the use of the synthesiser restricted. Unlike Neil Lancaster's view that being a musician is a professional occupation, he considers musicians to be just middlemen who are there to transpose the notions of the composer into sound. "There is coming a time very soon when the digital synthesisers will be flexible, that they will be able to provide all the nuances of inflection as from a musical instrument such as a clarinet, oboe, etc, and musicians who do not realise this will be out of the game. There are, for example, thousands of jazz band saxophonists of the '30s and '40s who have already become casualties of change. There are far too many people in the world who get a pursuit, playing a musical instrument, and they put their blinkers on in order to concentrate on playing the musical instrument and then when society has changed they don't realise it and become afraid. You can relate musicians, those in the medium range of sessions and orchestral—i.e. not soloists or top feature—session players—to unemployed steel workers: they both have their blinkered approach and they are both skilled craftsmen."
As with every dispute there are two sides to be considered, and the Union, as such, is at present somewhat on the fence. In order that the majority of members can be best represented in this important issue, it is necessary for the Union to be able to gauge the feeling of its members. At the London Branch Meeting just three synthesiser players turned up, and the Agenda had been circulated some weeks before. If, therefore, you are a member of the MU, and have an interest in this dispute, please let your views be known to your local branch office. Dave Crombie
New realms of expression from MXR.
The Pitch Transposer is MXR's newest addition to our professional line. It is one of our most innovative products, and possibly the most revolutionary signal processor in the music industry today. It is a unique, high-quality unit which provides a cost effective and flexible package for today's creative artists.
The Pitch Transposer extends your musical boundaries by creating live instrumental and vocal harmonies. It has 4 presets which allow the artist to predetermine the intervals to be processed. Transposed intervals can be preset anywhere from an octave below to an octave above the original pitch. The chosen interval is activated by means of touch controls or a rugged footswitch. LED indicators display which of the four presets has been selected.
A mix control is provided, enabling the unit to be used in one input of a mixing console, or with musical instrument amplifiers. A regeneration control provides for the recirculation of processed signals, creating more and more notes, depending upon the selected interval. This results in multitudes of voices or instrumental chords. An entire new range of sound effects and musical textures, unattainable with any other type of signal processor, is suddenly at your fingertips.
With many other pitch transposition devices a splicing noise, or glitch, is present. The MXR Pitch Transposer renders these often offensive noises into a subtle vibrato which blends with the music, and is, in some cases, virtually inaudible. The result is a processed signal which is musical and usable.
We have been able to maintain a high level of sonic integrity in this most versatile signal processor. The frequency response of the processed signal is beyond 10 kHz, with a dynamic range exceeding 80 dB.
A micro computer based display option allows the user to read the created harmonic interval in terms of a pitch ratio, or as a musical interval (in half steps). This unique feature allows the pitch to be expressed in a language meaningful to both musicians and engineers.
We designed our Pitch Transposer as a practical musical tool for those actively involved in creative audio. It reflects our commitment to provide the highest quality signal processors with the features and performance that will satisfy the creative demands of today's musical artist. See your MXR dealer.
Atlantex Music, Ltd., 34 Bancroft Hitchin, Herts. SG51LA, Eng., Phone 0462 31513, Tlx 826967
MXR Professional Products Group
Firmware and software from Eventide
Eventide have produced a firmware upgrade for Hewlett-Packard 9845 computers, plus new spectral analysis software for the Apple II. In addition, the company has announced a hardware simulator and demo program to show the benefits of the Eventide realtime analyser systems.
Eventide already offer memory expansion hardware to upgrade the HP 9845 desk-top computer to 1.6MB storage. The new firmware package enables up to the full memory capacity to be used to emulate floppy disks, tape cartridges or even hard disks, offering operational speed improvements of up to several hundred to one.
The Eventide plug-in spectrum analyser has been available for several small micros for about two years. The new Specessystem software package for the Apple II and Apple II Plus greatly improves the analytical powers of the system.
Also available from Eventide is the Hardware Simulator and demo program which allows a potential purchaser of the RTSA to see exactly how it will behave after installation (and purchase!). The program is available free, recorded on a blank disk sent in by the user.
Eventide Clockworks Inc, 265 West 54th Street, New York, NY 10019, USA. Phone: (710) 581 2593.
UK: Feldon Audio, 126 Great Portland Street, London W1N 5PH. Phone: 01-580 4314. Telex: 28668.
Emulator updated
E-mu Systems has announced a series of updates to the Emulator digital polyphonic keyboard instrument. All Emulators now include as standard a realtime multitrack sequencer allowing complex musical compositions and sound effects to be created, the sequencer also being available for retrofitting to earlier models. Using the Emulator’s built-in disk drive, completed sequences can be stored on floppy diskettes along with the instrument’s sounds.
Further additions to the instrument’s facilities include two foot switches and a foot pedal. The foot pedal duplicating the function of the MOD wheel, making it possible to control vibrato depth while playing with both hands. One of the foot switches acts as a sustain pedal, while the other controls a new keyboard doubling mode. In this mode, notes played on the lower half of the keyboard are automatically doubled by the sound in the upper half of the keyboard.
Turning to hardware, E-mu has announced the availability of an analogue voltage interface allowing any source of control voltages and gates to control Emulator channels. Possibilities include remote polyphonic keyboards and polyphonic sequencers.
On the software front, two new optional programs have been introduced. User’s Multi-Sample allows the recording of up to eight individual samples at ½-octave intervals across the keyboard allowing more accurate reproduction of resonant sounds. This program also makes it possible to have eight independent sounds available on the keyboard simultaneously. The other new program, a Personal Computer Interface, allows any computer equipped with an RS-232 serial port to control Emulator sounds.
E-mu Systems Inc, 417 Broadway, Santa Cruz, Cal 95060, USA. Phone: (408) 429-9147.
UK: Syco Systems Ltd, 20 Conduit Place, London W2. Phone: 01-723 3844.
New Loft products
Phoenix Audio Laboratory, manufacturer of the Loft range of ancillary processing equipment, has introduced two new units, the Model 401 parametric equaliser and the Model 403-M electronic crossover.
The Model 401 is a 4-band 19in rack mount unit with overlapping frequency ranges covering the range 30Hz to 20kHz with ±18dB of boost or cut. The band ranges are 30Hz to 600Hz (LF), 100Hz to 2kHz (LMF), 400Hz to 8kHz (HMF) and 1kHz tp 20kHz (HF). Each band has adjustable Q with a range variable between ¼ and three octaves, and the bandwidth may be adjusted without affecting the amount of boost or cut. As the Model 401 incorporates a preamp with up to 20dB of gain and an additional low level output (padded -20dB), it may be interfaced to equipment at musical instrument levels, or can be used as an instrument preamp. In addition, the unit can also provide simultaneous line level and instrument level feeds.
The Model 403-M is a mono 2-way, 18dB/octave (state variable filter) electronic crossover. Again a 19in rack mount unit, this electronic crossover has continuously variable crossover frequencies from 40Hz to 12kHz (LF 40Hz to 8kHz, HF 600Hz to 12kHz). Features of this unit include detented and recessed controls calibrated in dB; LED peak output indicators; power on/off suppression; and ¼in phone jack inputs and outputs.
Phoenix Audio Laboratory Inc, 91 Elm Street, Manchester, Connecticut 06040, USA. Phone: (203) 649-1199.
"I wouldn't feel comfortable going to a recording session without a Shure SM7 ...that's a fact!"
GLYN JOHNS
SHURE
You simply can't make it any clearer.
For the address of your nearest dealer together with full details of the Shure Microphone range, write to:
Shure Electronics Ltd., Eccleston Road, Maidstone ME15 6AU or telephone: 0622 59881.
Cassette gauge
Audio consultant and engineer, Mike Jones, has provided us with information on a simple go/no-go gauge manufactured by him for the cassette industry. The gauge which is manufactured to the maximum tolerances of the IEC 94A specification, is machined from steel to an accuracy of 0.001in and is nickel plated to extend its life and protect the steel from corrosion. Designed for the rapid assessment of C-Zero's and cassettes by unskilled personnel, the gauge immediately indicates those that are either oversized or bowed. Cassettes can be inserted in two ways allowing the back and front edges to be checked as well as the complete cassette body.
Mike Jones, Audio Consultant Engineer, 31 Parkfield Avenue, Eastbourne, East Sussex BN22 9SE, UK. Phone: 0323 52300.
Buzzbox protects valuable gear
The Buzzbox is a novel personal alarm system designed for use with musical instruments, equipment, luggage and the like. No larger than a pack of cigarettes, the unit features an 'acceleration detector' which causes the unit to 'bleep' loudly when moved. The Buzzbox may be attached in a number of different ways, and a complete multipurpose fixing kit is supplied with the unit. Typical mounting is via adhesive pad, through a rigid front-panel, or on a hanging loop.
The unit is activated by a key, which is removable in both the 'on' and 'off' positions. After activation, a 5s reset period allows the user to leave the unit without triggering the alarm. Thereafter, movement triggers the alarm, the system being retriggered by continued movement. The buzzer sounds for about 3min after movement ceases, the unit then returning to the 'armed' state. The 'fired' state can only be terminated by turning the device off with the key. The unit retails for £12.95.
Visioncon Ltd, 1211 Greenford Road, Greenford, Middx UB6 0HY, UK. Phone 01-864 0244/5.
BGW Proline series
BGW now have two amplifiers available in their new Proline range, unveiled recently. The Model 7000 was introduced late last year, while the new Model 6009 was introduced at the recent NAMM show in Atlanta. The 7000 offers 200W RMS per channel and is a 5\(\frac{3}{4}\)in high rack-mount unit, while the 6009 is a compact 3\(\frac{1}{2}\)in package offering a solid 100W RMS per side. 150W output devices are used in both amps, the smaller featuring four such devices and the larger amp containing eight. Both amps feature modular design, low noise discrete circuitry, thermal circuit breakers, thermostatic switches on the heat-sink and power transformer, and current limiting protection circuits against shorting on the output stage. The 7000 also features forced-air cooling with the novel venting of heated air through the front panel to avoid overheating of other gear in the rack.
BGW Systems Inc, 13130 South Yukon Avenue, Hawthorne, Cal 90250, USA. Phone: (213) 973 8090.
UK: Theatre Projects Ltd, 10 Long Acre, London WC2E 9LN. Phone: 01-240 5411.
New Linndrum
Linn Electronics, manufacturer of the LM-1 digital drum machine, has introduced an improved model at a substantially reduced price. The new Linndrum has digital recordings of a wide range of drum and percussion sounds stored in computer memory and is capable of storing as many as 49 different rhythm patterns which are user programmable in real time with adjustable error correction and complete editing functions. The sounds available on the new machine include bass, snare, open and closed hi-hat, three toms, two congas, sidestick snare, tambourine, calasha, cowbell, handclaps, plus crash and ride cymbals. Snare, toms and congas are all tunable by front panel controls, or control-voltage inputs. The improved Linndrum allows pre-programmed patterns to be sequenced for playback, dynamics, odd time signatures and 'human rhythm feel' are all programmable; and all the patterns remain in memory even when the unit is unpowered. The machine also has tape storage functions enabling programmed data to be kept on cassette for later reloading. The Linndrum will sync to a wide variety of synthesizers and sequencers and can overdub to tape.
A useful feature is the provision of a front panel stereo mixer section with volume and pan controls which augments the unit's separate outputs for all sounds.
Linn Electronics Inc, 18720 Oxnard Street, Tarzana, Cal 91356, USA. Phone: (213) 708-8131.
UK: Scenic Sounds Equipment Ltd, 97-99 Dean Street, London W1V 5RA. Phone: 01-734 2812. Telex: 27939.
UK: Syco Systems Ltd, 20 Conduit Place, London W2. Phone: 01-723 3844.
Orban Optimod-AM improved
Orban has announced the availability of the second generation of its Optimod-AM broadcast unit. Two versions will be available: the 9100A/1 mono unit which may be converted to stereo operation by simply plugging in additional circuit cards (available as a field retrofit kit), and the 9100A/2 sum-and-difference stereo unit. The 9100A offers a number of improvements over its predecessor, the Model 9000A, including a new 6-band limiter with a distortion-cancelled multiband clipper which, together, offer at least a 3dB increase in RMS modulation levels.
Other improvements include an improved transmitter equaliser with four sets of adjustments which may be remotely selected; 25dB of headroom; outputs for two transmitters; and a smooth gated gain-riding AGC at the system's front end.
Orban Associates Inc, 645 Bryant Street, San Francisco, Cal 94107, USA. Phone: (415) 957-1067. Telex: 171480.
UK: Lee Engineering Ltd, Bridge Street, Walton-on-Thames, Surrey KT12 1AP. Phone: 09322 43124. Telex: 928475.
PPM3 DRIVE CIRCUIT
To IEC268-10A, BS5428-9 Unbalanced input. May be used in equipment which will be required to pass IBA Code of Practice inspection.
PPM2 drive circuit under licence from the BBC. Balanced inputs. Approved for monitoring main programme outputs. Meets the requirements of EBU, RTE, IBA and British Telecom.
ILLUMINATED PPM BOXES Coaxial TWIN movement with sum and difference selection. Also mono version, circuit boards and kits for building into equipment.
Peak Deviation Meter * Programme and Deviation Chart Recorders * Stereo Discriminator 2 and 3 * Moving Coil Preamplifier * 10 Outlet Distribution Amplifier * Stabilizer * Fixed Shift Circuit Boards * Broadcast Monitor Receiver 150kHz-30MHz.
SURREY ELECTRONICS LTD. The Forge, Lucks Green, Cranleigh, Surrey GU6 7BG. Tel. 04866 5997.
The Acclaimed Multitrack Engineering Logic. Otari MTR-90.
Otari science integrated the cold logics with sophisticated electronics into a compact yet responsive whole. The unique pinchrollerless transport with 60mm diameter direct drive capstan is eloquent case in point. The industry's first CPU-controlled 3 motors, utilizing advanced PLL DC servo method, deliver fully symmetrical constant tension tape path. It induces the gentlest handling of your 2" master tape with far more precision than ever. While eliminating tape wear and stretching generic to the conventional pinchroller design.
The MTR-90 comes fitted with the functional efficiency like digitally timed silent punches, electronic cueing, digital timer and ±20% varispeeded with 0.1% readout. SMPTE interface access for audio-video, audio-audio synchronization. Spot erasing is perfected thanks to the new narrow head block design. Full-remote as a standard, along with optional 10-position autolocator.
Or high slew-rate components, active mixing of bias and audio for better aural results. Advanced modular concept is exemplified in single card circuitry.
The MTR-90 is available in 24, 16 and 16 prewired for 24 configurations.
Otari Electric Co., Ltd.
4-29-18 Minami-Ogikubo, Suginami-ku, Tokyo 167
Phone: (03) 333-9631, Telex: J26604
**Radio mics**
**ARTECH (UK)**
USA: Coherent Communications, 13733 Glenoaks Blvd, Sylmar, Cal 91342. Phone: (213) 362-2566.
**Transmitter:** pocket pack or handheld with either Shure SM58 or electret elements; Audio input – 3dBu, 600Ω, 1kHz, 0.78μV, 150mV, 1000mV; variable compression over 35dB range; HF power output 50mW into 50Ω, high power units 500mW. Dimensions – single battery pocket model 102 x 60 x 21mm, 270g; dual battery model 102 x 85 x 26mm, 298g; handheld model 241mm long, 100g, display window (on pocket model).
**Receiver:** battery operated portable with optional mains power supply, or rack-mounting cards for mainframes with built-in mains power supplies. Audio output – mic level, 150mV, ball line unbal 500mV, balanced phono or dual 300mV; RF sensitivity 1.5μV for 20dB S/N, 5μV for 40dB; adjacent channel rejection 85dB. Dimensions – portable 125 x 180 x 25mm, 880g, rack 480 x 134mm.
**Overall system specification:** frequency response (20dB below limiting): 80Hz to 20kHz ±2dB, includes 6dB/octave roll-off at 60Hz to remove wind and rumble. S/N: 64dB unweighted 66dB A weighted. Harmonic distortion: 1kHz typically 0.5% 100Hz to 20kHz 1%. Pre- and de-emphasis: 50μs. Carrier frequency range: VHF 120MHz to 240MHz, UHF 400MHz to 470MHz.
**Mini-Mic:** Professional subminiature electret condenser mic measuring 11.7 x 8.38 x 8.28mm; noise 26dB, S/N, output impedance 3kΩ unbal (batteries), 100Ω balanced; sensitivity 60dB below 1V RMS per μV/bar; battery 1.1V to 2V DC, available with a multitude of connectors.
**AUDIO LTD (UK)**
Audio Ltd, 26 Wendell Road, London, W12 9RT. Phone: 01-743 1518.
USA: Murry Rosenblum Sound Associates Inc. 21 – 36 33rd Road, Long Island City, NY 11106. Phone: (212) 278-2654.
**AU18/RM55H transmitters:** AU18 pocket transmitter. RM55H handheld with cardioid or omni electret elements. Suitable audio input for moving coil or electret mics, 30 and 600Ω; pre- and de-emphasis 50μs; carrier frequency 70MHz to 250MHz; stability ±5kHz at 175MHz; RF power output from 1mW to 500mW. Dimensions – pocket 118 x 59 x 22mm, 270g; handheld 260mm length 30mm diameter, 450g.
**RM55 receiver:** battery-operated receiver; mic level 30μV, 1mW for 40dB S/N. Dimensions 225 x 150 x 64mm, 1.6kg.
**RMS8 Series:** pre- and de-emphasis 50μs; carrier frequency range 140 to 250 MHz. UHF system available between 400 and 500MHz; frequency stability ±5kHz.
**AU18/RM55H transmitters:** AU18 pocket transmitter. RM55H handheld transmitter with omni or Shure SM58 cardioid element; specification otherwise similar to AU18/RM55H. Optional high power transmitter in 140 x 86 x 22mm case, with two PP3s allows up to 400mW; with separate 12V power supply and additional space for internal batteries up to 500mW is possible.
**RMS8 receiver Series:** battery-powered receiver; mic level 30 to 150μV, headphone 1mW/600Ω; RF sensitivity 1.5μV for 40dB S/N. Dimensions – 180 x 105 x 25mm, 880g. RMS8/2-2-channel version of the above.
**RMS8A:** updated version of the RMS8 with headphone level control; Lemo socket for external powering and aux out and XLR audio out.
**RMSM:** mini-microphone powered receiver with XLR audio head-out and RF level meter.
**RMSBT:** Twin-channel receiver.
**TR58:** subminiature electret mic 13.3 x 7.6 x 4.5mm operating voltage 1 to 1.5V, available with optional powering adaptor enabling it to be used with ordinary tape recorders.
**BEYER (West Germany)**
Beyer Dynamic, PO Box 1320, D-7100 Heilbronn. Phone: 071 31.82.348. Telex: 728771.
UK: Beyer Dynamics (GB) Ltd, 1 Clair Road, Haywards Heath, Sussex RH16 3DP. Phone: 0444 51003.
USA: Beyer Dynamic Inc. 5 – 05 Burns Ave, Hicksville, NY 11801. Phone: (516) 935-8000.
TS73/TS83/SM84: TS73 pocket transmitters TS83 with built-in limiter, SM84 handheld radio mic with exchangeable heads; operating frequencies one or two channels, between 26MHz and 48MHz; RF output power available from 1mW or 10mW. Dimensions – pocket, 105 x 67 x 25mm, 200g, handheld 170 x 50 x 41mm, 300g.
TE20: portable receiver, battery operated; frequencies up to three channels between 26 and 46MHz; 140 x 85 x 30mm, 200g.
NE75/NE84: mains/battery receivers for up to three channels, with cardioid speaker; 9V battery; diversity connections on NE84.
NE77: receiver with simultaneous three-channel reception; frequencies 26 to 46MHz; 361 x 216 x 48mm.
**CETEC VEGA (USA)**
Cetec Vega, 9900 Baldwin Place, El Monte, Cal 91731. Phone: (213) 442-0782. Telex: 910-587 3539.
UK: Cetec International Ltd, Unit 15 Northfield Ind Estate, Beresford Avenue, Wembley, HAQ 1YB. Phone: 01-900 0355, Telex: 935847.
**77/80/1/88 transmitters:** 77 is pocket transmitter with circuitry sealed in compartment separate from battery; 80mW is handheld with built-in electret microphone; 100mW power 50mW frequency range 150 to 216MHz. 88 is pocket pack with built-in mic.
**58/63 receivers:** 58 standard receiver, 63 diversity receiver. Response 10Hz to 15kHz, multifunction metering; mains or 12V battery. 68 receiver similar to 58/63 but portable. Powered from four 9V batteries.
**89 receiver:** mains powered receiver for 88 transmitter; 70Hz to 12kHz.
Cetec Vega have a wide range of accessories and aerials.
**COMREX (USA)**
Comrex Corp, PO Box 269, 60 Union Avenue, Sudbury, Mass 01776. Phone: (617) 443-8811. Telex: 710-347 1049.
**450RA/TA system:** pocket UHF transmitter with matching pocket receiver designed to be mounted on a camera. 450 to 415MHz, 350 to 450MHz transmitter input and low level RF output power 150mW. Dimensions each 76 x 12.7 x 25mm.
**450DS diversity system:** diversity receiver mounted in luggage type case. Includes two 450RA receivers, a diversity combiner, a monitor amplifier and speaker, and an external power supply enabling the system to be operated from AC power or internal Ni/Cads. Case also holds 450TA pocket transmitter and HHT-1KA handheld transmitter.
**HHT-1KA transmitter:** handheld transmitter with built-in electret microphone, automatic modulation limiter, 1W output; 220 x 44 x 38mm.
**CTA/CTB Cue Transmitter:** rack-mounting 1W transmitter, 26.1 to 26.48MHz CTA, and 161.625 to 161.775MHz CTB, includes ducking limiter operating on line level, 6dB bandwidth. CRA Cue Receiver: pocket-sized receiver with headphone output of 600mV into 8Ω; antenna operates from earphone cable; battery 9V Mallory MN1604, 75 x 125 x 25mm; 50 to 550MHz or 26.1 Ip 26.48MHz.
**EDC (UK)**
Elkom Design Ltd TA/EDC, 29A West Street, Wareham, Dorset BH20 4JS. Phone: 09295 6085/6081.
USA: Keith Monks (USA) Inc, 652 Glenbrook Road, Stamford, Conn 06906. Phone: (203) 348-4969/1045. Telex: 643678.
**Cygnus transmitters CTXP/CTXH:** available as pocket CTXP or handheld with cardioid electret (omni to order). CTXH: audio input matches any 200Ω, low imp or 2kΩ electret; RF output power 10mW, higher output power available for export. Dimensions – pocket transmitter 110 x 45 x 19.5mm, handheld 215mm, 220mm diameter.
**Cygnus receivers CRX/A and CRX/A:** mains/external battery operated, numerical channel and status indicator. CRX/A simplified panel version with only output on line level, outputs mic level 30 to 300μV balanced, line bal or unbal.
**Overall system specification:** pre- and de-emphasis 50μs; carrier frequency range UK 174MHz to 175MHz band; Europe 37.1MHz standard, or 27MHz to 60MHz band; to order 150MHz to 200MHz band.
**Minkom System:** transmitter and receiver are each pocket sized in plastic cases. Specification very similar to Cygnus but receiver same as transmitter with 0dB into 8Ω output; 6 hours operation from Ni/Cads.
**Sirius System:** handheld mic/transmitter with integral Shure R97 dynamic mic capsule. Specification similar to Cygnus system, transmitter has silver zinc rechargeable battery for 8 hour continuous use. receiver has optional switched channels (5 crystals), built-in charger.
Wide range of rechargeable batteries, vertical and right angle helical aerials, dipole aerials, lapel microphone, etc., supplied slip on sleeves for handheld mics also available.
**Pikamic:** self-contained transmitter module that fits into the XLR output socket of any conventional cable mic. Includes silver-zinc rechargeable battery which can also provide phantom power for a condenser microphone. Five channels in 173.80 to 175MHz band, European 27 to 60MHz and 150 to 250MHz band; RF output 10mW into 50Ω load (higher for export models); 35mm max diameter, 103mm long.
**EDCOR (USA)**
Edcor, 16782 Hal Avenue, Irvine, Cal 92714. Phone: (714) 556-2740. Telex: 685557.
**PM1/PM5 transmitter:** pocket transmitter with belt clip, available as PM1 Interviewer with built-in mic or PM1 Demonstrator with attached dynamic external mic, PM5 handheld with dynamic cardioid electret microphone.
Operating frequency 30 to 50MHz; RF output 200mW; FM modulation 40KHz deviation; PM1 31 x 70 x 98mm.
**ST-3B/ST-3B2:** mains or DC powered receiver in cabinet case, ST-3M2 has two channels. Audio output up to 5V for driving high imp. 100mV for low imp. RF Sensitivity 2μV for 20dB quieting; 75 x 185 x 254mm.
**PR1:** personal mini pocket receiver with belt clip; basic unit identical as above, but 500mW into 8Ω output for headphones; battery operation from 9V alkaline, 4 hours life.
**ST-3B diversity Receiving System:** specification similar to ST-3B but with two receivers, two antennas and a diversity switch.
**E-COM1 The Elite:** pocket transmitter, crystal controlled with mini jack, optional phantom powering; 40dB compressor, external antennas, 9V alkaline battery; operating frequency 150MHz to 210MHz.
**E-COM3 Receiver:** single-channel crystal controlled receiver signal energised electronic switch; operating frequency 150MHz to 210MHz.
**E-COM5 Diversity:** similar to E-COM3 but diversity with two receivers and electronic switch.
**E-COM7 Body Receiver:** battery powered pocket receiver, headphone output; operating frequency 150MHz to 210MHz.
**HM ELECTRONICS (USA)**
HM Electronics Inc, 6151 Fairmount Avenue, San Diego, Cal 92120. Phone: (714) 280-6050. Telex: 697122.
USA: Theatre Projects Services Ltd, 10 Long Acre, London, WC2E 9LN. Phone: 01-240 5411. Telex 27522.
USA: Advance Access Group, 10526 West Cermak, Westchester, Illinois 60153. Phone: (312) 562-5210.
**WM222/WM225A transmitters:** body pack pocket transmitters, WM222 has dynamic expansion providing wide dynamic range but requiring expansion receiver, WM225A has soft compression plus adjustable non-clipping, line level, low imp dynamic or electret input, switchable bias; positive ground, WM222 ~52dBm. WM225A ~65dBm; 50mW nominal RF power output, WM225A switchable 50/100mW, dimensions – 102 x 64 x 20mm.
**WM500/WM522 transmitters:** handheld transmitters, WM250 similar to WM222 specs, WM252 similar to WM255A specs, but both with either Shure SM57 or SM58 elements, 267 x 30mm diameter.
**WM122/WM125:** mains or externally powered receivers, WM122 has dynamic expansion capabilities, WM125 straight; audio input line level bal 600Ω/0dBm, mic level bal 200Ω/–52dBm, monitor 1V into 50Ω, RF sensitivity 1μV for 30dB quieting; 146 x 76 x 178mm.
**WM152/WM155:** specifications basically similar to WM122/WM125, but Flat Pac receivers with two or four batteries, or external 10 to 30V, 146 x 39 x 178mm.
**WM300:** executive receiver, specification similar to WM125 but simplified controls and outputs; mains only.
Sony Digital Audio is anything but a new idea. As far back as 1974 Sony introduced their original working digital audio recorder.
Even at that stage its wider dynamic range, flat frequency response, lower distortion and lack of deterioration in repeated copying put analogue equipment in the shade.
But now, having put much time and effort into research and development, Sony have produced a range of digital audio equipment which produces results even better than their original machine. Giving sound recordings which are virtually indistinguishable from the original performance.
An achievement made possible not only by improving on the original design but also by Sony extending the digital audio range to include a 24 track recorder, reverberator, 2-channel audio processor, preview unit and electronic editor. The widest range of digital audio equipment on the market.
If you'd like brochures covering the Sony Digital Audio Range, phone Keith Smith or Mike Jopp on Sunbury 81211.
And we'll give you some impressive copies.
Sony Digital. Sound recording even better than the original.
**ADS/AD10 Diversity Systems:** passive diversity systems that combine the outputs of three antennas into one receiver, while AD10 also provides four outputs.
**Overall system specification:** carrier frequency range 150MHz to 174MHz, or TV versions 174MHz to 216MHz; S/N 60dB on standard system. 95dB on dynamic expansion system; 1% distortion.
HME produce a wide number of systems composed of the above transmitters and receivers, with roadcases and other accessories.
**MARTI (USA)**
Marti Electronics Inc, PO Box 661, 1501 N Main, Cheburum, Texas 76031. Phone: (817) 645-9163.
UK: Clyde Electronics Ltd, Ranken House, Anderson Cross Cent, Glasgow, G2 7LB. Phone: 041-221 5906/248 3001.
Marti Electronics manufactures a range of rack and freestanding wideband transmitters and receivers providing broadcast quality for links and reverse talkback purposes. Products include: BW 200MHz models, 1W and 4W versions in 150MHz to 172MHz band, and .07W and 25W versions in 450MHz to 470MHz band.
**MICRON (UK)**
Audio Engineering Ltd, 33 Endell Street, London WC2A 9BA. Phone: 01-836 9373.
USA: Micron Audio Products Ltd, 210 Westlake Drive, Valhalla, NY 10595. Phone: (914) 761-6520.
Micron 100 series transmitter: available as T01 with one 9V battery, or T02 with larger case and two 9V batteries, pocket packs; audio input and connector uses 8-pin XLR connector which can directly accept 200Ω dynamic (~74dB), dynamic via 20dB pad 2KΩ (~54dB); wide range of mics can be used. FM deviation ±75kHz max., normally 22kHz at limiter threshold; RF power output 10mW or 30mW; dimensions 101 x 93 x 62 x 22mm; 102 120 x 62 x 22mm.
Micron 200 series transmitter: TX203 handheld transmitter with interchangeable cardioid or omni capsules; switchable bass cut and alignment features as pocket pack transmitters; battery one PP3/3 hrs; MN1604 (12 to 15 hrs); length 25cm, antenna 10cm flexible helical.
MR1/MR2 receivers: MR1 mobile receiver with external power, and leather case; MR2 mains powered receiver with directional mic with monitor loudspeaker; audio output ~51dB into 50Ω; RF sensitivity 2uV, 20uV gives 50dB S/N; adjacent channel rejection 80dB; dimensions MR1 120 x 95 x 32mm; MR2 185 x 100 x 55mm.
**Overall system specification:** S/N 50dB with signal strength 55dB with receiver at max AF; 70dB with AF gain ~20dB; pre- and de-emphasis 50μs; carrier frequencies 30MHz to 500MHz.
Diversity systems: MDU1 comprises MDU01 diversity combining unit and two MR1s; MDS2 is a modular frame system available in 4-, 6- and 8-channel configurations, which contain mains/battery powering, antenna distribution amplifiers and line level output; 8-channel frame capable of 19in rack mounting.
**NADY (USA)**
Nady Systems Inc, 1145 65th Street, Oakland, CA 94608, Phone: (415) 652-2411.
UK: Hardwicke House (Solving) Ltd, 1/7 Briarima Row, Islington, London, N1 8OH. Phone: 01-226 7940.
Black Systems: pocket transmitter using FM Band II, Nady Cordless Black has high impedance input for most mics and cables; Nady Cordless Black has low impedance input; used with good quality FM receiver.
Operating frequency tunable from 88MHz to 108MHz; modulation wideband FM; harmonic distortion less than 1% THD; operating range 250ft; features on/off toggle, vernier antenna tuning control externally, level adjustment, 30in wire antenna 9V alkaline battery provides 12 hour operation.
Blue Systems: basically similar to the Black systems, but use low-noise circuitry that provides 99dB/S/N with less than 1% distortion; must be used with Pro 400 or Pro 500 receivers operating over 88MHz to 108MHz.
Nady VHF Systems: pocket or handheld transmitters fixed frequency with wide dynamic range; carrier frequency 150MHz to 216MHz; transmitter output 50mW or 125mW switchable; S/N 102dB; harmonic distortion 0.6%; modulation FM ±15kHz; operating range 1500ft line of sight; 200ft adverse conditions; receivers basic or diversity available; image rejection 100dB image and spurious rejection.
**PANASONIC (Japan)**
Matsushita Electric Co Ltd, PO Box 51, Osaka Central 530-19, 1006 Ozaza Kadoma, Osaka, 571. Phone: 06-634-1121. Telex: 63426.
UK: National Panasonic Ltd, 308-318 Bath Road, Slough SL1 6JB. Phone: 0753 34522. Telex: 847652.
USA: Panasonic Co. 1 Panaway Way, Secaucus, New Jersey 07094. Phone: (201) 348-7000. Telex: 710-992-8996.
WX-9000: body pack transmitter designed for ENG applications in television non-directional electret microphone. audio limiter, audio input: unbalanced connector; sensitivity 84dB SPL, 90dB SPL and 96dB SPL at 3kHz; S/N 50dB; carrier frequency 450.4 or 450.2MHz, switchable; transmitter output 30mW; 2.6 x 3.5 x 0.7in.
WX-9250: two matching receivers; WX-9200 is externally powered (typically from TV camera), while WX-9250 has internal batteries; audio output ~60dBm on XLR, 1mW at 80m on min jack for monitoring; RF sensitivity 10uV for 20dB S/N; carrier frequency 450.4 or 450.2MHz switchable.
**RELLO (UK)**
Marcello Sound Ltd, Haywood Way, Ivyhouse Lane, Hastings, E. Sussex TN35 4PL. Phone: 0424 713220. Telex: 957066.
TXR: pocket transmitter; mic level 200mV on pre-5 pin socket; FM deviation ±75kHz; RF output power 10mW; operating frequency 174 to 175MHz; 57 x 38 x 8.5mm.
RXR: mains-powered case receiver; output mic level 3000 bal., and 400mV impedance; RF sensitivity mute at 5uV; 203 x 127 x 51mm.
Performer: complete radio mic system using handheld transmitter with dynamic ball-top element, and receiver built into custom case: telescopic aerial built into lid; mains powered.
**RF TECHNOLOGY (USA)**
RF Technology Inc, 54 Wilton Road, Westport, Connecticut 06880. Phone: (203) 226-9511.
Transmitter: pocket pack transmitter; Audio input ~40dBm to ~60dBm, 3KΩ unbal, will power electrets; carrier frequency range 947MHz to 952MHz; order to order; RF power output 50mW on balanced XLR, 500mW on battery/pack; dimensions ~76 x 20 x 137mm.
RM100 series diversity receivers: RM100-5 channel in rack, RM101-1 channel pocket pack or strapped to recorder; RM101-5 channel pocket pack strapped to recorder; channel in metal case all with main and diversity receivers; audio output RM100 line +8dBm 150Ω bal. ~50dB 150Ω bal. RM101 ~50dBm 150Ω; dimensions ~RM101 100 x 33 x 140mm; RM102/4 230 x 310 x 50mm.
**SCAFFER (USA)**
Ken Schaffer Group Inc, 10 East 49th Street, New York, NY 10017. Phone: (212) 371-2335.
B and T: pocket transmitter and battery or mains powered receiver, transmitters available with high or low impedance inputs; operating frequency 50MHz to 216MHz, single-channel only; range with 'proper antenna placement' 600ft; receiver sensitivity 1uV for 20 dB quieting; Image rejection ~70dB.
**SENNHEISER (West Germany)**
Sennheiser Electronic, D-3002 Wedemark 2. Phone: 05131-8011. Telex: 9284263.
UK: Haydn Laboratories Ltd, Hayden House, Collier Hill, Chalfont St. Peter, Bucks SL9 9UG. Phone: 02813 89221. Telex: 849469.
USA: Sennheiser Electronic Corp, 10 W 37th Street, New York, NY 10018. Phone: (212) 239-0190. Telex: 421608.
SK1010-9 transmitter: pocket pack transmitter that includes removable mic elements and a switchable neckband or on-ear earpiece elements; audio input 8-pin connector with 1mV input for 40kHz swing; carrier frequency bands 30MHz to 45MHz, 140MHz to 174MHz; UK 174MHz; RF output power 50mW; 150 x 46 x 24mm.
EM1010-4 receiver: cabinet mounted receiver, built-in monitor speaker; audio outputs 1.55V, 200Ω; RF sensitivity 2uV gives 50dB S/N, 50uV gives 65dB; dimensions ~294 x 172 x 97mm.
SKM4031 Mikroport-solo: handheld vocal radio mic/transmitter available in wide and narrow band FM versions.
Sennheiser also have systems operating in the 72MHz to 76MHz, 25MHz to 110MHz and 40MHz to 44MHz bands.
**SONY (Japan)**
Sony Corporation, PO Box 10, Tokyo Airport, 149. Phone: 03 448-2111. Telex: 22262/24666.
UK: Sony UK Ltd, Pyrene House, Sunbury-on-Thames, Middlesex. Phone: 0937 82111. Telex: 266371.
WRT42/WRT57/WRT27 transmitters: WRT42 VHF handheld, WRT57 UHF handheld, WRT27 VHF pocket pack; handheld have cardioid electret elements; audio input WRT27 4KΩ suitable for ECM50 mic; also dynamic mics; frequency bands VHF 40MHz to 47MHz, UHF 470MHz to 488MHz, 900MHz to 950MHz; FM deviation VHF ~10kHz, UHF ~2.4kHz; RF power output VHF 20mW, available for any normal standard; dimensions handheld 171mm long x 20mm diameter, pocket 59 x 20 x 82mm.
WRR52/WRR57/WRR27: WRR52 VHF module mount, WRR57 portable module mount, WRR27 portable, audio slumber RF sensitivity muting ~30dB, S/N 55dB with 6dBm RF input; audio output ~20dbm 600Ω, portable ~6dBm 600Ω; dimensions ~68 x 89 x 205mm, portable 148 x 35 x 106mm.
Sony also produce diversity units for separate receivers and tuner base and portable base units.
**SWINTEK (USA)**
Swintek Enterprises Inc, 1180 Aster Avenue, Unit J, Sunnyvale, Cal 94086. Phone: (408) 249-5594.
UK: Optical & Textile Ltd, 22/28 Victoria Road, New Barnet, Herts EN4 9PH. Phone: 01-441 2199/0098. Telex: 8955869.
WMS111 series transmitters: handheld with Shure SM57 or SM58 elements, TS 7 pocket pack, T pocket pack; audio inputs ~54dBm to 57dBm, high impedance for electret, positive or negative phantom bias; matches ECM50, CE10, M1m/MC, EV805etc; FM deviation 10kHz; deviation; frequency hand 150MHz to 220MHz; S/N 70dB; spurious radiation ~40dBc; RF power output 50mW TS/T; 100mW T; dimensions ~137 x 95 x 57 x 22mm, TS 216 long x 32mm diameter.
WMS111 series receiver: portable receivers with a variety of powering and monitoring arrangements; audio output level 10dBm on balanced XLR 50Ω ~25dB; high level unbal on jack 600Ω line level and head set unbal/6dB 100Ω jack; RF sensitivity 0.25uV for 12dB SINAD, 70dB S/N.
All models available with optional dB-S companding system to give 80dB S/N.
Mark 1L-SM57: system comprising WMS111TH handheld transmitter with SM57 element. WMS111RAC/THR receiver, NiCad and case.
Mark 2L-50A: system comprising WMS111TS pocket transmitter and WMS111RAC receiver, and case.
**TELEX COMMUNICATIONS (USA)**
Telex Communications Inc, 9600 Aldrich Avenue South, Minneapolis, Minnesota 55420. Phone: (612) 884-4051. Telex: 297053.
UK: Avcom Systems Ltd, Newton Works, Stanlake Mews, London, W127HS. Phone: 01-7400051. Telex: 692513.
WT-100: belt-pack transmitter designed for use with Telex electronic lavaliere mic WLM-105; audio input low impedance, bias voltage for mic provided; response 50Hz to 15kHz ±2dB, S/N 80dB with 100fT range; carrier frequency 150 to 174MHz; transmitter output 50mW; range 400m; dimensions ~2 × 4 × 1in.
WHM-300/400: similar to above, but handheld transmitter/mic; 15mW max output; 300m range. WHM-300 is 3electret with switches for RF and audio. WHM-400 is dynamic mic with NO switching; dimensions ~11¾in long using ball screen 2¼ diameter, flat side screen ½in diameter.
FM1-1: marching receiver, operated as a diversity receiver when two antenna are used; phase shifting the receiver output to give best performance. Minimum distance between antennas should be 20ft for diversity reception; audio output 0dB or ~50dB selectable, headphone monitor output; RF sensitivity 1uV for 12dB S/N; carrier frequency 150 to 174MHz.
NEUTRIK CONNECTORS
Neutrik is an Electro-Acoustical, Electro-Mechanical Research, Development and Manufacturing Company.
20 International Patents have been granted on Neutrik Connectors and several more are pending.
Connector Programme 1982
LINE CONNECTORS, 3,4,5,6 pin configuration, male and female, matt black or silver finish.
CHASSIS SOCKETS, 3,4,5,6 pin configuration, male and female, matt black or silver finish.
NON-LATCHING UNIFIED HOUSING CHASSIS SOCKETS, in 3 pin configuration, male and female, silver finish.
LINE CONNECTORS, RIGHT ANGLE, in 3,4,5,6 pin configuration, male and female, silver finish.
CHASSIS SOCKETS FOR P.C. BOARD, 3 pin configuration, male and female, horizontal and vertical mounting, silver finish.
LINE, MALE AND FEMALE LINE CONNECTORS AND CHASSIS SOCKETS, silver finish.
* These connectors are not suitable for making external connections to equipment for domestic use as defined in the Electrical Equipment (Safety) Regulations 1975.
LOCKING JACK SOCKET AND 2-POLE JACK PLUG, silver finish.
MODULAR ACCESSORIES, e.g. from XLR to DIN, male to female, XLR and 2-pole jack plug, etc.
Sole Agent U.K.
The House of Exclusive Components
Eardley Electronics Ltd
Distribution nationwide
Eardley House
182/184 Campden Hill Road
Kensington, London W8 7AS
Telephone: 01-221 0606 Telex: 299574
The 8X32 Digital Reverberation Unit from Ursa Major.
Already recognised by many leading studio and broadcast organisations as one of the most comprehensive and most natural sounding digital reverberation devices on the market today.
Specifications and Features:
* Four programmes Plate I Plate II Hall and Space
* Separate control of up to 96ms for both early reflections and initial delay times.
* Early reflections and initial delay levels variable: 8 steps.
* Reverb time ranging from 0.2-19.9 seconds depending on programme selected.
* LF and HF decay: 3 values of LF decay – 4 values of HF decay.
* 64 non-volatile storage registers
* Microprocessor-based control and display of all programmable reverberation parameters.
* Optional versions available with remote control.
* Size 3.5" high 19" rack mount 10" deep.
U.K. Distributors
Feldon Audio Ltd.,
126 Great Portland Street, London W1N SPH Tel: 01-580 4314 Telex: London 28668.
**Mic stands**
**ACCURATE SOUND (USA)**
Accurate Sound Corp, 3515 Edison Way, Menlo Park, Cal 95008. Phone: (415) 365-2843. Telex: 348327.
Starbird: rubber castor-mounted stand with 360° rotation boom arm.
**AEA (USA)**
Audio Engineering Associates, 1029 North Allen Avenue, Pasadena, Cal 91104. Phone: (213) 798-9127.
Collapsible stands: AEA/4707 18in to 7ft; AEA/428 28in to 12ft; AEA/532 32in to 15ft.
**AKG (Austria)**
AKG GmbH; Brunhildengasse 1, A-1150 Wien. Phone: 43222 220.127.116.11. Telex: 131839.
UK: AKG Acoustics Ltd, 191 The Vale, London, W3 7QS. Phone: 01-749 2042. Telex: 28933.
USA: AKG Acoustics Inc, 77 Salleck Street, Stamford, Conn 06902. Phone: (203) 348-2121. Telex: 84451121.
ST30: lightweight telescopic boom with collapsible legs.
ST102A: studio boom with telescopic upright and screw mounted legs.
ST200: telescopic upright stand with collapsible legs.
ST12: stand with circular cast iron base and telescopic tube.
ST4A/41/43: rectangular solid base with rubber feet for goosenecks mics, stand adaptors and flexible shafts.
AKG also manufacture a range of goosenecks, stand adaptors, numerous mounting facilities, windshields and extensive accessories for the CMS range of capacitor mics.
**ALAN GORDON (USA)**
Alan Gordon Enterprises Inc, 1430 Cahuenga Blvd, Hollywood, Cal 90028. Phone: (213) 466-3561. Telex: 910-321-4526.
UK: Optical & Textile Ltd, 22/26 Victoria Road, New Barnet, Herts EN4 9PH. Phone: 01-441 2199/0098. Telex: 8955869.
Lightweight fishpole boom extending from 5 to 12ft in three telescopic sections. Built-in mic cable.
**ALTEC LANSING (USA)**
Altec Corp, 1515 South Manchester, Anaheim, Cal 92803. Phone: (714) 774-2900. Telex: 855415.
UK: Rank Strand Sound and Cinema, PO Box 51, Great West Road, Brentford, Middx TW8 9HR. Phone: 01-568 9222. Telex: 27976.
UMS100/101/102/103: stands with heavy circular bases and telescopic uprights adjustable between 88 and 160cm.
UMS110/111: stands with heavy circular base and telescopic upright, adjustable between 87 and 162cm.
UDS100/101: desk stands with circular bases.
UBB100: boom attachment with brass swivel mount.
UBB200: baby boom attachment with all chrome steel counterweight and ratchet-type lock.
UBS200: adjustable holder for two guitar mics; includes 15cm tube.
Altec also manufacture goosenecks and various adaptors.
**ATLAS (USA)**
Atlas Sound, 10 Pomeroy Road, Parsippany, NJ 07054. Phone: (201) 887-7800.
UK: Kelsey Acoustics Ltd, 28 Powis Terrace, London NW1 8AH. Phone: 01-723 7046.
SB-100W: stand with 110in boom; height adjustable 61½in to 91½in; 350° mic follower; base has heavy duty lockable wheels.
SB-36/SB-36W: boom with solid base; grip action clutch with air suspension system for counterbalance; boom length 62in and adjustable height 48 to 72in. SB-36 (general purpose); SB-36W (stage visible).
Oral series: stands with rectangular counter-weighted base allowing positioning of the stand at the traditional 90° as well as 75° and 105°, floor standing (32 to 61in) or lectern height.
Atlas also produce a wide selection of general purpose upright, desk and special purpose stands with accessories.
**BEYER (West Germany)**
Beyer Dynamic, PO Box 1320, D-7100 Heilbronn. Phone: 0713 3000. Telex: 729771.
UK: Beyer Dynamics (GB) Ltd, 1 Clair Road, Haywards Heath, Sussex RH16 3DP. Phone: 0444 51003.
USA: Beyer Dynamic Inc, 5-05 Burns Ave, Hicksville, NY 11801. Phone: (516) 935-8000.
ST220: anti-vibration stand; adjustable column 83 to 157cm height; folding legs.
ST199: lightweight stand; adjustable 30 to 150cm height.
ST201/1: noiselessly adjustable stand; screw-in legs; height 83 to 150cm.
ST251/2: 3-section adjustable stand with folding legs; height 60 to 152cm. ST252 has 66cm adjustable boom.
ST205A1: lightweight stand with flat section folding legs; height 91 to 152cm.
ST212: heavy duty stand with 2-section column; height 1.5 to 2.25m, boom reach 0.91to 1.8m.
ST195: heavy duty stand for mounting PA cabinets; removable folding base; height 1.1 to 1.7m.
ST208A: heavy duty stand with 4-section column extending to 4.5m.
ST208B: extension stand; telescopic boom with reach 83 to 152cm.
ST259: drum stand with boom.
Beyer also manufacture a range of table stands, goosenecks, clamps and accessories.
**CANFORD AUDIO (UK)**
Canford Audio, Stargate Works, Ryton, Tyne & Wear NE40 3EX. Phone: 089422 7171. Telex: 537792.
Anglepole mic stands: heavy duty with standard 1in mounting spigot; Cable can be internally threaded; table or wall-mount brackets; can be modified for use with heavier mics.
**COLORTRAN (USA)**
Colortran Inc, 1015 Chestnut Street, Burbank, Cal 91506. Phone: (213) 843-1200. Telex: 877252.
UK: Colortran UK, PO Box 5, Burrell Way, Thetford, Norfolk IP24 3RB. Phone: 0842 2484. Telex: 81294.
Compact mic boom 540-008: automatic balancing and stainless steel wire pulley system for extension control; noise-free operation with panning and tilt handle control; short rear boom stand; boom can be removed for transport; 100in can be mounted on Compact pram 540/011 enabling the height of the boom pivot to be adjusted 78¼ to 120in; 360° rotation; telescopic wheel axles; collapsible side flaps.
**EAGLE**
UK: Eagle International, Precision Centre, Heather Heather Park Drive, Wembley, HA0 1SU. Phone: 01-902 8832. Telex: 921231.
FS2/FS2B: adjustable stands with two sections; max height 4m; snap fit legs.
PRO range: interchangeable parts enabling a variety of stands to be constructed.
**FLEXO (USA)**
Harris Corporation, PO Box 4280, Quincy, Illinois 62305. Phone: (217) 222-8200. Telex: 404347.
Mikestar arms: range of mic arms that remain where positioned with loads up to 4lbs; max extension 36in in any direction; German model clamps or screws to any surface; bracket version for wall or vertical mounting; floor model as general but on 40in stand with heavy 13in diameter base.
**KEITH MONKS (UK)**
Keith Monks (Audio) Ltd, South Fleet, 26-28
---
**Distributed in the UK by:**
Autograph Sales Ltd
Stable 11, British Rail Camden Depot, Chalk Farm Road, London NW1 8AH.
Telephone: 01-267 6677
"Untwisting all the chains that tie the hidden soul of harmony."
Milton, 1608-1674.
Knowledge is the key to unequalled audio equalisation — and Klark-Teknik's DN60 Audio Spectrum Analyser is a rack-mounted, laboratory standard instrument that provides instantly usable information for an enormous range of applications. With continuous measurement and display of signal levels at 30 points across a broad audio spectrum from 25Hz to 20kHz, this cost-effective microprocessor-based analyser adds new standards of accuracy to the audio professional's vocabulary.
For easy equalisation, the 30 measurement frequencies of the DN60 exactly match the control frequencies of our latest two-channel DN30/30 equaliser. Add the inexpensive RT60 Reverberation Analyser to untangle structural reflections. Result: exact knowledge permits exact adjustment of response levels for total control of sound consistency. DN60 has got the features you need, because it is:
**ALL THESE USES!**
- Tape recorder alignment
- Room acoustical analysis
- Microphone/loudspeaker design and testing
- Reverberation checks
- Continuous system quality monitoring
- Audio components research and development
- Fast semi-automatic production testing
- Selective noise level checks and environmental analysis
- Quality assurance for VTR audio channels
- Broadcast programme quality monitoring
- Mastering analysis and level monitoring
- Level optimisation in disc cutting
For technical details ask for:
Our DN60/RT60 Data Sheet.
Our DN30/30 Data Sheet.
Klark-Teknik Research Limited
Coppice Trading Estate, Kidderminster, DY11 7HH, England.
Telephone: (0562) 741515 Telex: 339821
Klark-Teknik Electronics Inc.
262a Eastern Parkway, Farmingdale, NY 11735, USA.
Telephone: (516) 249-3060
THE PERFECT EQUALISER
Klark-Teknik's DN30/30 dual channel Graphic Equaliser gives fingertip control at precisely the 30 measurement frequencies displayed on the DN60.
Mic stands guide
Reading Road, Fleet, Hants. Phone: 02514 20568. Telex: 858806.
USA: Keith Monks (USA) Inc, 652 Glenbrook Road, Stamford, Conn 06906. Phone: (203) 348-4969/1045. Telex: 643678.
MS/M and BA/M: heavy duty mic stands of medium weight; height 98 to 180cm; three screw legs.
MS/S and BA/S: lightweight mic stands, height 96 to 117cm, two screw legs.
MS/L and BA/L: Heavy duty floor stand forming base for Studio series; four screw legs; height 114 to 213cm. Boom arms 98 to 121cm and 170 to 210cm. EXT/T extends boom by 91cm and can be stowed inside boom when not in use.
MS/W: heavy studio stand with reinforced base assembly; rubber suction cups enable stand to be locked in position; height 118 to 208cm.
MS/CT/2: floor stand with cast base; height 96 to 117cm.
MS/M and MS/LCT/2: low floor stand 50 to 91cm height range.
MS/F/2: folding floor stand, height 71 to 183cm; three folding legs.
DB/1, DB/2 and CF/1: drum boom arms which attach to MS/M or MS/W stands giving 360° coverage in a 71cm length from the clamp. CF/1 is 180cm ceiling or wall fitting for DB stands.
BS/1/B and BS/2/B: banqueting stands for table or floor use, with telescopic tube.
MS/P/2: single stand with telescopic upright that provides 180° vertical coverage; four screw legs; 132 to 215cm.
MT/1: collapsible large tripod stand; height 54½ to 103in, range of accessories.
MSF/3: portable mic stand with folding legs.
Keith Monks also manufacture a wide range of clamps, stereo bars, spring grip clamps, table stands, tishpoles, goosenecks and thread adaptors.
LUXO (USA)
Harris Corporation, PO Box 4290, Quincy, Illinois 62305. Phone: (217) 222-8200. Telex: 404347.
Multipurpose arms: range of mic arms, all are spring balanced and stay where positioned with loads up to 6lb and reaches of 21 to 56in.
MATTHEWS (USA)
Matthews Studio Equipment Inc, 2405 Empire Avenue, Burbank, Cal 91504. Phone: (213) 849-6811/843-6715. Telex: 691599.
Studio: tripod adjustable in two sections from 41 to 112in.
Concert: similar to Studio but with articulated leg. Location: tripod with articulated leg; height 53 to 198in four sections.
Pro Roller: tripod on locking wheels; height 66 to 210in in four sections.
High Roller: larger version of Pro Roller, height 84 to 268in.
All these stands can be fitted with a 6ft boom and wheels where not supplied.
MOLE-RICHARDSON (USA)
Mole-Richardson Co, 937 North Sycamore Avenue, Hollywood, Cal 90038. Phone: (213) 851-0111. Telex: 910-321 4615.
Type 103B boom: system of control cords enables easy length adjustment 158¼ to 274¼in in two sections. Range of hangers for different mics.
MUSIC TECHNOLOGY (USA)
Music Technology Inc, 105 Fifth Avenue, Gardena City Park, NY 11040.
Mic stand: tripod-based boom stand with rubber shock absorbers.
NEUMANN (West Germany)
Georg Neumann GmbH, Charlottenstrasse 3, D 1000 Berlin 61. Phone: 030 251-4091. Telex: 184595. UK: FWO Bauch Ltd, 49 Theobald Street, Boreham Wood, Herts WD6 4RZ. Phone: 01-953 0051. Telex: 27502.
USA: Gotham Audio Corp, 741 Washington Street, New York, NY 10014. Phone: (212) 741-7411. Telex: 129269.
M31: stand with solid base; height 110 to 180cm.
M32: collapsible tripod; height 90 to 180cm.
M35/G35: substantial stand with tripod base; height 1.4 to 5m.
M180: substantial stand with solid wheeled base; 4.5m height.
M272 series: stands with solid circular base; height 1.2 to 2m; built-in wired connector available in 4 types to fit most Neumann mics.
MFS31: heavy mic stands with built-in connector on gooseneck.
MA: fishpole length 1.23 to 3.75m; swivel mic holder.
Neumann also produce goosenecks, stand adaptors and elastic suspension units.
SENNHEISER (West Germany)
Sennheiser Electronic, D-3002 Wedemark 2. Phone: 05130 8011. Telex: 0924623.
UK: Hayden Laboratories Ltd, Hayden House, Chiltern Hill, Chalfont St Peter, Bucks SL9 9UG. Phone: 0249 89221. Telex: 849469.
USA: Sennheiser Electronic Corp, 10 W 37th Street, New York, NY 10018. Phone: (212) 239-0190. Telex: 421608.
MZS14: lightweight floor stand.
MZS144: floor stand with rubber tipped detachable legs.
MZS210: floor stand with antivibration mounts in legs.
MZS211: boom arm for mic stand.
SHURE (USA)
Shure Brothers Inc, 222 Hartrey Avenue, Evanston, Illinois 60204. Phone: (312) 866-2200. Telex: 724381.
UK: Shure Electronics Ltd, Eccleston Road, Maidstone, ME15 6AU. Phone: 0622 59881. Telex: 96121.
MS10C: regular floor stand, positive ring lock.
BB44: baby boom 78cm reach.
MS20: heavy duty floor stand, rubber feet and decoupling.
S15: very lightweight tripod stand, fully adjustable.
Shure also produce a wide range of mic holders, windshields, table stands and mounts.
SIMMON (UK)
Simmon Sound & Vision, 28a Manor Row, Bradford, Yorks. Phone: 0274 307763/307788.
Simmi fishpole: light alloy mic boom extending from 4½ to 9ft.
SONY (Japan)
Sony Corporation, PO Box 10, Tokyo Airport, 149. Phone: 03 448-2111. Telex: 22262/24666.
UK: Sony UK Ltd, Pyrene House, Sunbury-on-Thames, Middlesex. Phone: 09327 81211. Telex: 266371.
B-302/B-402: various mic boom stands. B-302 height 40 to 71in, boom length 41in. B-402 height 34 to 58in, boom length 36in.
SWAN (UK)
UK: Kelsey Acoustics Ltd, 28 Powis Terrace, London W11 1JH. Phone: 01-727 1046.
Major MS2: hydraulic telescope stand with cast base.
MS1DH: two section heavy base desk stand.
Extensive range of clamps, adaptors and mic holders, etc.
VALAN (UK)
Valan Electrics, 1034 Yardley Wood, Warstock, Birmingham, B14 4BW. Phone: 021-474 2229.
Range of goosenecks and mic mounting bars.
WYNDCLIFF (UK)
Walter Luther Ltd, 102 Chaldon Road, Caterham, Surrey CR3 5PH. Phone: 0883 48666.
HD1: double extension stand complete with roller castors.
HD2: single extension similar to HD1.
Coombi-Major: lightweight boom stand.
EH/R5: fishpole with min length of 128cm.
SHD3: multipurpose stand with load bearing centre member and tripod legs. Uses include lighting, column speakers and mics.
Accessories: range of head accessories for their stands.
---
**DOUBLE PRECISION EQUALIZATION**
**ONE-SIXTH OCTAVE**
**SERIES 4301**
**ACTIVE EQUALIZERS**
- 1/6 Octave offers TWICE as much TUNING RESOLUTION as 1/3 Octave.
- Our 1/6 Octave Equalizers are COST-EFFECTIVE HYBRIDS of 1/6 Octave and broader bandwidth filters, typically 1/3 Octave. This DOUBLE RESOLUTION is concentrated where you need it the most for your tuning application.
- Recording, Studio, Control Rooms and other large spaces tend to have more acoustic problems below 100 Hz than above. Models 4301 and 4303 offer 28 1/6 Octave bands from 40 Hz through 900 Hz plus 13, 1/3 Octave bands from 1000 Hz through 16 kHz.
- As the volume of rooms increase to Auditorium or Gymnasium sizes, the acoustic problems tend to rise in frequency. Models 4310 and 4311 offer 29, 1/6 Octave Bands from 180 Hz through 4.5 kHz plus 12, 1/3 Octave bands from 31.5 Hz through 160 Hz and 5000 Hz through 10 kHz.
- You have a 1/6 Octave Equalizer OPTIMIZED FOR SPEECH! The Model 4240 concentrates DOUBLE RESOLUTION in the SPEECH INTELLIGIBILITY band with broader bandwidth filters to trim either side.
- Quick and efficient installation of these new equalizers is made possible by the MODEL 200 SIGNAL ANALYZER which features inexpensive, field plug-in, INTERCHANGABLE FILTER SETS.
- Call or write us for all the details.
**ONE SIXTH OCTAVE REALTIME ANALYZERS AVAILABLE**
**White Instruments, Incorporated**
P.O. Box 689 AUSTIN TEXAS 78767
PHONE AREA 512/892-0752
TELEX: 776405 WHITE INST. AUS
Distribution in U.K. & Western Europe
SCENIC SOUNDS EQUIPMENT
97-99 Dean St., London W1 Tel: 734-2812
Rebis RA200 Series
The N°1 Gate
RA201 Noise Gate
The N°1 System
Get the full facts on the most creative modular system in the world.
Rebis Audio Ltd., Kinver Street, Stourbridge, West Midlands, DY8 5AB, England.
Tel: 0384 71865. Telex: 335494.
Australia; Audio Mix Systems, Sydney 371-9009
Belgium; S.E.D., Bruxelles 522-7064
Canada; Heini Electronics Inc., Ontario 495-0688
Denmark; Kinovox APS, Lyngsvej 18 76 17
Finland; Studiotec, Helsinki 90 556 252
France; Lazare Electronics, Paris 8786210
Germany; Thum & Mahr Audio, Leverkusen 2173-11003
Hausmann Concert Electronic, Berlin 4336097
Studiotechnik Jurgen Klever, Hamburg 6901044
Greece; P.D.R (Recording Services) E.F. Athens 80-3000
India; Kapco Sound, New Delhi 43718
Jamaica; Audifon Systems Ltd., Kingston 926-2569
Japan; Hibino Electro Sound Inc., Tokyo 864-4961
Netherlands; Special Audio Products B.V., Amsterdam 797055
South Africa; Tru-Fi Electronics, Johannesburg 838-4938
Spain; Mike Llewellyn Jones, Madrid 445-1301
Sweden; Tal & Ton, Gothenberg 803620
U.S.A.; Klark-Teknik Electronics Inc., Farmingdale, N.Y. 249-3660
www.americanradiohistory.com
This survey covers microphones used in studios and for music PA, but excludes many small mics designed for public address purposes. Where possible, mic variations are given, but where there are numerous versions with different sockets, clamps, carrying cases, etc, these are not detailed.
**KEY**
- **Transducer type**: D—dynamic moving coil; R—ribbon; DR—double ribbon; C—capacitor; E—electret; PG—pressure gradient.
- **Polar response**: O—omnidirectional; C—cardioid; HC—hypercardioid; SC—supercardioid; 8—figure-of-eight; V—various; VS—various switchable; S—special.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|-------|-----------------|----------------|---------------|--------|---------|
| ALTEC LANSING (USA) | | | | | |
| D601 | D | O | 200 | —60dBm | Lavalier |
| D60C | D | O | 200 | —59dBm | Grey metallic finish |
| D81 | D | O | 200 | —54dBm | Satin chrome |
| D90P | D | O | 200 | —58dBm | Satin chrome |
| C61L | E | O | 200 | —54dBm | Miniature lavalier |
| C70C | C | O | 200 | —40t0 | Satin chrome |
| C71 | C | O | 200 | —40t0 | Satin chrome |
| ASTATIC (USA) | | | | | |
| 950S | D | C | 150 | —54dB | Contoured, switch |
| 925S | D | C | 150 | —54dB | Flat, switch |
| 855S | D | C | 150 | —54dB | Contoured, switch |
| 852S | D | C | 150 | —54dB | Flat, switch |
| 850A | D | C | 150 | —54dB | Flat |
| 850SA | D | C | 150/40k | — | Flat, switch |
| 857H | D | C | 40k | —57dB | Peak free |
| 857HS | D | C | 40k | —57dB | Peak free, switch |
| 857L | D | C | 150 | —57dB | Peak free |
| 857LS | D | C | 150 | —57dB | Peak free, switch |
| 815S | D | C | 150 | —54dB | Contoured, switch |
| 812S | D | C | 150 | —54dB | Flat, switch |
| 810A | D | C | 150 | —54dB | Flat |
| 810SA | D | C | 150/40k | — | Flat, switch |
| 1070 | D | O | 150 | —54dB | |
| AUDIO-TECHNICA (Japan) | | | | | |
| AT801 | E | O | 600 | —48dB | Lightweight |
| AT802 | D | O | 600 | —56dB | For outdoor recording |
| AT803S | E | O | 600 | —57dB | Submin lavalier |
| AT803R | E | O | 600 | —57dB | For remote power supply |
| AT805S | E | O | 600 | —56dB | Miniature tieclip type |
| AT811 | E | C | 600 | —56dB | Switch |
| AT812 | D | C | 600 | —60dB | |
| AT813 | E | C | 600 | —55dB | Large windscreens |
| AT813R | E | C | 600 | —55dB | For remote power supply |
| AT814 | D | O | 200 | — | Designed for hand use |
| AT815 | E | C | 600 | — | Gun mic |
| AT831 | E | C | 600 | — | Submin mic with clothing and guitar clips |
| ATM10 | E | O | 600 | — | Instrument mic accessories available |
| ATM10R | E | O | 200 | — | For remote power supply |
| ATM11 | E | C | 600 | — | Instrument mic accessories available |
| ATM11R | E | C | 200 | — | For remote power supply |
| ATM13 | E | C | — | — | Guitar mic |
| ATM21 | D | C | 600 | —60dB | Instrument mic |
| ATM31 | E | C | 600 | —55dB | — |
| ATM31R | E | C | 200 | — | For remote power supply |
All output values are in units of mV/μB at 1kHz.
The Harrison MR-3. High on Features, Low on Price.
You can never afford to buy cheaply. What you must do these days is buy economically.
Recognising this, Harrison has developed the MR-3 music desk. High on impressive features, but not on cost, the MR-3 represents excellent value and a unique opportunity to invest in Harrison performance.
In other words the MR-3 guarantees maximum efficiency in 24-track recording.
The Harrison MR-3. Underpriced it may be, undermade it’s not.
To find out more about the Harrison MR-3 contact F.W.O. BAUCH at the address below.
F.W.O. Bauch Limited
49 Theobald Street, Boreham Wood, Hertfordshire WD6 4RZ
Telephone 01-953 0091 Telex 27502
### Microphones
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|-----------|-----------------|----------------|---------------|--------|----------------------------------------------|
| ATM41 | D | C | 250 | — | —6dB Vocal mic, handheld |
| ATM91 | E | C | 600 | — | —56dB Bass boost |
| ATM91R | E | C | 200 | — | —49dB For remote power supply |
| PRO4L | D | C | — | — | Stage vocal mic |
**B & K (Denmark)**
Bruel & Kjaer A/S, DK-2850 Naerum. Phone: 02 80.05.00. Telex: 37316.
UK: Bruel & Kjaer (UK) Laboratories Ltd, Cross Lances Road, Hounslow, Middlesex TW3 2AE. Phone: 01-570 7774. Telex: 934150.
USA: Bruel & Kjaer Instruments Inc, 185 Forest Street, Marlborough, Mass 01752. Phone: (617) 481-7000.
The company is better known for its instrumentation microphones, but points out that several are suitable for music recording.
- 4133 C O 25 12.5 3.9kHz to 40kHz
- 4165 C O 25 50 3kHz to 20kHz
A suitable preamplifier for these capsules is model 2619. Output figures are in units of mV/Pa.
**BEYER (West Germany)**
Beyer Dynamic, PO Box 1320, D-7100 Heilbronn. Phone: 071 31.82.348. Telex: 728771.
UK: Beyer Dynamic (GB) Ltd, 1 Clair Road, Haywards Heath, Sussex RH16 3DR. Phone 0444 51003.
USA: Beyer Dynamic Inc, 505 Burns Ave, Hicksville, NY 11801. Phone (516) 935-8000.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------|-----------------|----------------|---------------|--------|---------|
| M130C | DR | 8 | 200 | —50dB | XLR |
| M160N | DR | HC | 200 | —60dB | DIN |
| M160C | DR | HC | 200 | —60dB | XLR |
| M260NS | R | HC | 200 | —61dB | DIN, switch |
| M260NCS | R | HC | 200 | —61dB | XLR, switch |
| M400C | D | HC | 200 | —54dB | XLR, switch |
| M50UN | R | HC | 200 | —61dB | XLR |
| M50UC | R | HC | 200 | —61dB | XLR |
| M600C | D | HC | 200 | —57dB | XLR, switch |
| M69N | D | C | 200 | —52dB | DIN |
| M69C | D | C | 200 | —52dB | XLR |
| M88N | D | HC | 200 | —52dB | DIN |
| M88C | D | HC | 200 | —52dB | XLR |
| M101N | D | C | 200 | —58dB | DIN |
| M101C | D | C | 200 | —58dB | XLR |
| M111N | D | C | 200 | —62dB | Lavalier, lead |
| M201N | D | HC | 200 | —59dB | DIN |
| M201C | D | HC | 200 | —59dB | XLR |
MC series comprises CV710 preamp for 48V phantom powering, CV720 for 12V phantom powering and the CK701/2/3/4/6/7/8 range of capsules. With DIN or XLR connectors.
- MC711/721 C O 200 —41dB Modular
- MC712/722 C O 200 —41dB Modular, pop shield
- MC713/723 C O 200 —39dB Modular
- MC714/724 C C 200 —39dB Modular, pop shield
- MC716/726 C SC 200 —39dB Modular, short shotgun
- MC717/727 C HC 200 —39dB Modular, long shotgun
- MC718/728 C 8 200 —40dB Modular
- MCE5 E O 200 —43dB Submini
**CALREC (UK)**
Calrec Audio Ltd, Hangroyd Lane, Hebden Bridge, Yorkshire HX7 7DD. Phone: 0422 842159. Telex: 51311.
USA: Audio & Design Recording Inc, PO Box 786, Bremerton, Washington 98310. Phone: (206) 275-5009. Telex: 152426.
**CM1000 series of 48V phantom-powered mics with non-detachable capsules:**
- CM1001C C O 1k 0.8 Handheld
- CM1050C C C 1k 0.8 —
- CM1050C As CM1050C with bass roll-off
**CM2000 series of 48V phantom-powered mics with detachable CB20C preamplifier and a choice of capsule:**
- CM2001C C O 1k 0.8 CC01 capsule
- CM2003C C O 1k 0.8 CC03 capsule
- CM2050C C C 1k 0.8 CC50 capsule
- CM2056C C C 1k 0.8 CC56 capsule
- CM2066C C C 1k 0.8 CC56 capsule
**CM2100 series of 7.5 to 50V phantom-powered mics with detachable CB21C preamplifier and choice of capsule:**
- CM2101C C O 1k 0.8 CC01 capsule
- CM2103C C O 1k 0.8 CC03 capsule
- CM2150C C C 1k 0.8 CC50 capsule
- CM2151C C C 1k 0.8 CC51 capsule
- CM2156C C C 1k 0.8 CC56 capsule
**CM4050 Soundfield microphone.** This comes complete with the Soundfield control unit CS5014/3 and is designed primarily for surround sound and ambisonic recording, and allows post session control of stereo microphone operational mode and position. Greater rigging flexibility reduces setting up time. (Also see reviews in this issue.)
**COUNTRYMAN (USA)**
Countryman Associates, 417 Standard Avenue, Redwood City, Cal 94063. Phone: (415) 364-9988.
UK: Scenic Sounds Equipment Ltd, 97-99 Dean Street, London W1V 5RA. Phone: 01-734 2812. Telex: 27939.
**EM-101:** condenser mic which can be fitted to virtually any musical instrument using adhesive tape; supplied with individual calibration curves; phantom or battery powered with a max SPL 150dB. Also available EM-102 battery powered only, EM-202 uncalibrated version of the EM-102, EMW for wireless use.
**CROWN/AMCRON (USA)**
Crown International, 1718 West Mishawaka Road, Elkhart, Indiana 46514. Phone: (219) 294-5571. Telex: 810-295 2160.
UK: HHB Hire and Sales, Unit F, New Crescent Works, Nicoll Road, London NW10. Phone: 01-961 3295. Telex: 923393.
**PZM Series:** pressure zone microphones using the Pressure Recording Process, offering improved sound quality resulting from the lack of phase interference within the pressure zone. PZM-6LP is 2½ x 3in with cable output, while the PZM-30GP is 5 x 6in with an XLR socket output. Both require either a PX-18 transformer or PA-18 active power supply, being battery or phantom powered. Also PZM6LZ lavaliere model and PZM-31S, similar to 30GP but with deeper LF response.
PZM 3LVR/3LV: pressure zone mics mounted on a clip-bar 5cm by 1cm with active power supplies. 3LVR has two mics on the same bar for broadcast applications.
**C-TAPE (UK)**
C-Tape Developments Ltd, Unit 19, Holder Road, Aldershot, Hants GU12 4RH. Phone: 0252 319171. Telex: 858623.
USA: Griffith Jones & Associates, 3074 Greenwood Trail SE, Maryetta, Georgia 30067. Phone: (404) 953.0697.
USA: Hammond Industries Inc, 8000 Madison Pike, Madison, Alabama 35758.
**Cducer System:** contact transducer system in the form of tapes that are fixed to musical instruments; available in three sizes, 3in, 6in and 30in; power supply/preamp available in several formats—mono, stereo, 2-channel, 6-channel with mixer (for drums); mains, battery or phantom powered versions.
**D.I. TAPES (UK)**
D.I. Tapes Ltd, 107 Park Street, London W1Y 3TA. Phone: 01-629 6223. Telex: 298404.
**Magnasound contact condenser mic:** sensitive condenser contact mic designed to be attached to the soundboard of a musical instrument and picks up only the vibration of the instrument and no spill. Mic contains own preamp circuitry and requires the use of the Powerpack which supplies balanced or unbalanced outputs. Battery or phantom powered.
**EAGLE (Japan)**
UK: Eagle International, Precision Centre, Heather Park Gate, Wembley HA0 1SV. Phone: 01-902 8832. Telex: 922131.
And Now The Proline Professional Package For ALL Your Recording Needs.
Proline 1000 and 2000 Tape Recorders
Tomcat Cartridge Recorders
BMX Mixing Consoles
Slow Speed Logging Recorders
Garner and Leevers Erasers
PROLINE PROFESSIONAL
Leevers-Rich Equipment Limited
319 Trinity Road Wandsworth London SW18 3SL
Telephone 01 874 9054
Cables Leemag London SW18 Telex 923455
### Product Guide: Microphones
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------|-----------------|----------------|---------------|--------|---------|
| PROM50 | E | SC | 600 | —60dBV | 'Rifle' mic |
| PROM70 | E | C | 600 | —62dBV | 10dB f t b |
| PROM80 | D | C | 200 | —64dBV | Body as M70 |
| PROM90 | D | C | 600 | —64dBV | |
| CO-96 | E | C | 600 | —62dBV | 'Pencil' mic |
| PROM3 | E | — | 600 | —62dBV | Miniature tie clip mic |
| PROM5 | E | — | 600 | —57dBV | Submini tie clip mic |
All output values are in units of dBV/Pa (+3dBV).
**ELECTRO-VOICE (USA)**
Electro-Voice Inc, 600 Cecil Street, Buchanan, Michigan 49107. Phone: (616) 885-6831.
UK: Electro-Voice (Gulton Europe) Ltd, Maple Works, Old Shoreham Road, Hove, Sussex BN3 7EY. Phone: 0273 23329/778401. Telex: 87680.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------|-----------------|----------------|---------------|--------|---------|
| RE10 | D | SC | 150 | —56dB | Bass tilt switch |
| RE15 | D | SC | 150 | —56dB | Bass tilt switch |
| RE11 | D | SC | 150 | —56dB | Bass tilt switch |
| RE15 | D | SC | 150 | —56dB | Bass tilt switch |
| RE16 | D | SC | 150 | —56dB | Bass tilt switch |
| RE18 | D | SC | 150 | —57dB | Bass tilt switch, shock mount |
| RE20 | D | C | Several | —57dB | Shock mounting |
| 627C | D | C | Lo/HI | —58dB | Bass emphasis |
| 631B | D | C | Lo/HI | —58dB | |
| 635A | D | O | 150 | —55dB | For high sound pressure use |
| 660 | D | SC | Lo/HI | —56dB | Close use |
| 671A | D | C | Lo/HI | —57dB | General purpose |
| DO54 | D | O | 150 | —58dB | Boom or stand |
| DO56 | D | O | 150 | —61dB | Shock mounted |
| DS30 | D | O | 150 | —80dB | Blast filter |
| RE50 | D | O | 150 | —55dB | Noise-free |
| RE55 | D | O | 150 | —57dB | 40Hz to 20kHz |
| 1776 | E | C | 150 | —50dB | Blast filter |
| 1777 | E | C | 150 | —54dB | Close use |
| CS15P | E | C | 150 | —45dB | 40Hz to 15kHz |
| CO90 | E | O | 150 | —57dB | Lavaliere mic |
| CO85 | E | O | 150 | —56dB | Mini mic |
| RE85 | D | O | 50/250 | —61dB | Lavaliere mic |
| 644 | D | C | Lo/HI | —53dB | Gun mic |
| DL42 | D | C | 150 | —50dB | Gun mic |
| CL42S | E | C | 250 | —33dB | System C |
| CH15S | E | HC | 150 | —40dB | System C |
| PL77AA | E | C | — | Vocal mic |
| PL88 | D | C | 150/25k | —58dB | Vocal mic |
| CC94 | E | O | 150 | —56dB | Miniature tie clip type |
| PL80 | D | SC | 150 | —56dB | Vocal mic |
| PL91A | D | C | — | —60dB | Vocal mic |
**EPM (Canada)**
RD Systems of Canada Ltd, 2 Thorncliffe Park Drive, Unit 28, Toronto, Ontario M4H 1H2. Phone: (416) 421-5831.
UK: John Page Ltd, Wesley House, 75 Wesley Avenue, London NW10. Phone: 01-961 4181. Telex: 24224.
**P650:** parabolic mic with clear plastic reflector, built-in EQ, preamp and speech/music. Also provided is a headphone output for on site monitoring. Power from two 9V batteries.
**S1000:** similar to P650 but with twin mic capsules side-by-side for stereo pick-up.
**P200:** non-electronic version of P650.
**S300:** non-electronic version of S1000.
These EPM parabolic mics were developed in conjunction with Dan Gibson.
**FRAP (USA)**
FRAP, PO Box 40097, San Francisco, Cal 94140. Phone: (415) 431-9350.
UK: Peavey Electronics (UK) Ltd, Unit 8, New Road, Ridgwood, Uckfield, Sussex TN22 5SX. Phone: 0825 5566. Telex: 957098.
**Flat Response Audio Pickup Type F Professional Series:** system containing 3 piezoelectric pickups in one transducer to respond to vibration in three dimensions. Range of preamps with balanced and unbalanced outputs, 2- and single-channel systems, various output levels and impedances with battery or mains models.
**IMAGE DEVICES (USA)**
Image Devices Inc, 1825 NE 149 Street, PO Box 81-0606, Miami, Florida 33181. Phone: (305) 945-1111. Telex: 519358.
**IDI Micro Mike:** miniature electret mic measuring \( \frac{1}{2} \times \frac{1}{2} \times \frac{3}{4} \) in. Capsule is isolated from the casing which is constructed from smooth plastic material so that contact with clothing will generate a minimum of noise.
**Model 14** supplied with 4½ ft of cable. Comes with accessories. Recommended for wireless mic applications.
**Model 30** supplied with 12ft cable with locking micro plug, model BT balancing transformer and XLR connector. Also comes with same accessories as **Model 14**.
**Model B-60M Twin Model:** similar to the **Model 30** but two units mounted side by side to give greater reliability in live broadcasting situations. Range of accessories and fittings.
**KEITH MONKS (UK)**
Keith Monks (Audio) Ltd, South Fleet, 26-28 Reading Road, Fleet, Hampshire. Phone: 02514 20586. Telex: 858808.
USA: Keith Monks (USA) Inc, 652 Glenbrook Road, Stamford, Connecticut 06906. Phone: (203) 348-4969/1045. Telex: 643678.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------|-----------------|----------------|---------------|--------|---------|
| C133D | D | O | 200 | — | —71dB | Hand or stand |
| C133K | As C133D with on/off switch |
| C133SU | As C133X with XLR connector |
| The C133SU is also available in a 30Ω version (—83dB output). |
| MO97D | D | O | 200 | — | —55dB | DIN and switch |
| Output values are referenced to 0dBm = 1mW/10µB. |
**MELODIUM (France)**
UK: Amdio Ltd, 26-28 Reading Road South, Fleet, Hants. Phone: 02514 20568. Telex: 858806.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------|-----------------|----------------|---------------|--------|---------|
| C133 | D | C | 10/200 | — | General purpose, DIN/XLR |
| M110D | D | C | — | — | PA, on/off switch |
| M121E | E | C | 600 | — | On/off switch |
| M097D | D | C | 200 | — | On/off switch, DIN/XLR |
| 79A | D | O | 200/50k | — | Lavaliere |
**MILAB (Sweden)**
CTAB, Knutsgatan 6, S-26500, Astorp. Phone: 042 515 21. Telex: 12442.
UK: Audio Video Marketing, Unit 21, Royal Industrial Estate, Jarrow, Tyne and Wear NE32 9XX. Phone: 0632 893092.
USA: Cara International Ltd, 4145 Via Marina, No. 120, Marina del Rey, Cal 90291. Phone: (213) 821-7898.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------|-----------------|----------------|---------------|--------|---------|
| P-14 | D | SC | 200 | 2 | Handheld |
| F-87 | D | C | 200 | 2 | Handheld robust |
| F-59 | D | C | 200 | 2 | Prof handheld robust |
| HM49 | D | O | 200 | 2 | Robust |
| LD-18 | D | O | 200 | 2 | Robust |
| RD-34 | D | C | 200 | 10 | Lavaliere mic 48V powered |
| CL-4AD | E | O | 200 | 10 | Lavaliere mic bat. powered |
| CL-4BD | E | O | 200 | 10 | Mini mic |
| DC-20 | C | O | 200 | 10 | Mini mic |
| DC-21 | C | O | 200 | 10 | Mini mic |
| DC-63 | C | VS | 200 | 2-8 | 44 combinations |
| DC-73 | C | O | 200 | 8 | Handheld bass cut |
| DC-96 | C | O | 200 | 8 | Low noise |
| LC-25 | C | O | 300 | 250 | Transformerless line level |
| MP-30 | E | H | 200 | 6.3 | Hemispherical |
| MP-31 | E | H | 300 | 250 | Transformerless line level hemispherical |
| TC-4 | C | VS | 200 | 10 | Remote controlled |
| VM-40 | C | O | 200 | 2.5-8 | Pad—roll-off |
| VM-41 | C | C | 200 | 2.5-8 | Pad—roll-off |
| MS-8 | C | VS | 200 | 5 | Stereo mic MS or XY system remote controlled |
| XY-82 | C | VS | 200 | 20 | XY system 48V powered mono system remote controlled |
Condenser mics are powered by MIPOW (equivalent to Phantom system) except for the TC-4 and MS-8 which works on older 120V system.
**NEUMANN (West Germany)**
Georg Neumann GmbH, Charlottenstrasse 3, D-1000, Berlin 61. Phone: 030 251-4091. Telex: 184595.
UK: FOV Bauch Ltd, 49 Theobald Street, Boreham Wood, Herts WD6 4RZ.
USA: Gotham Audio Corp, 1241 Washington Street, New York, NY 10014. Phone: (212) 741-7411. Telex: 129269.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------|-----------------|----------------|---------------|--------|---------|
| KRM82iMT| C | HC | 150 | — | 21mV/Pa Shotgun |
| KMS81 | C | O | 200 | — | —131dBm 10dB cut |
| KMS84i | C | O | 200 | — | —131dBm 10dB cut |
| KMS84i | C | O | 200 | — | —131dBm Pale finish |
| KMS84iMT| C | O | 200 | — | —131dBm Dark finish |
| KM85i | C | C | 200 | — | —133dBm Bass roll-off |
| KM86i | C | VS | 200 | — | —133dBm Switchable responses |
| U67i | C | VS | 200 | — | —133dBm Switchable responses |
| KM88i | C | VS | 200 | — | —133dBm Switchable responses |
| U89i | C | VS | 200 | 8mV/Pa | Switchable responses |
| U47FETi | C | C | 150 | — | —133dBm Bass roll-off |
| SM69FET | C | VS | 150 | — | —125dBm Stereo |
There's only one way to produce a tape that will deliver a consistently super-clean sound.
And that's simply by blowing all compromise in a tape's over-all dynamic design.
Easier said than done, of course. But thanks to 3M tape technology, Scotch 226 Audio Mastering Tape has managed to blast a way through the compromise barrier.
Take the hairy problem of print-through, for instance. Unlike most other state-of-the-art mastering tapes, Scotch 226 Tape, from 3M provides 2 to 3dB less print-through than the best of its rivals.
Which, in itself, is pretty devastating enough.
But what about factors such as headroom and biased tape noise? Or signal-to-noise ratios? Or distortion and frequency response levels? All those factors that directly influence ultimate sound quality?
In two words: no compromise.
Reel after reel, batch after batch, Scotch 226 Tape delivers headroom and distortion properties that are simply second to none.
And the same goes for extended frequency response or modulation noise capability or anything else you might care to name.
All in all, Scotch 226 Tape hands you what no other high-performance mastering tape can: pure, sweet, super-clean sound.
Scotch 226 Audio Mastering Tape. By all means give it whirl. But prepare your ears for some demolishing reverberations.
For further information please contact:
Martin Luddington,
Recording Materials Division,
3M United Kingdom PLC.,
3M House, PO Box 1,
Bracknell, Berkshire RG12 1JU
Telephone: Bracknell (0344) 58398
### Microphones
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------|-----------------|----------------|---------------|--------|----------------------------------------------|
| USM69 | C | VS | 150 | 10mV/Pa| Stereo, local switchability |
| QM69 | C | VS | 150 | —125dBm| Quad |
| KMA | O | | 800 | 5mV/Pa | Lavalier |
**KU801** Dummy head system comprising two KM83 mics for binaural recording.
### PANASONIC (Japan)
Matsushita Electric Co Ltd, PO Box 51, Osaka Central 530-91, 1006 Oaza Kudan, Oashi, Japan. Phone: 06 908-1121. Telex: 63426.
UK: National Panasonic Ltd, 308-318 Bath Road, Slough, SL16JB. Phone: 0753 34522. Telex: 847652.
USA: Panasonic Co, 1 Panasonic Way, Secaucus, New Jersey 07094. Phone: (201) 348-7000. Telex: 710-992 8996.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------|-----------------|----------------|---------------|--------|----------------------------------------------|
| WM-8000 | D | C | 250 | — | For vocal use |
| WM-8050 | D | C | 250 | — | For vocal use |
| WM-8100 | E | C | 250 | —50dB | For phantom or internal battery power. |
| | | | | | Subsonic filter, HF + LF cuts |
| WM-8150 | E | C | 250 | — | Instrument use. Battery or phantom power |
### PASO (Italy)
UK: Amadio Ltd, 26-28 Reading Road South, Fleet, Hants. Phone: 02514 20568. Telex: 858606.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------|-----------------|----------------|---------------|--------|----------------------------------------------|
| M8 | D | C | 200 | — | PA, speech/music, low cut |
| M103 | D | C | 200 | — | Elastic suspension |
| M300 | D | C | 200 | — | Pop shield |
### PEARL (Japan)
UK: Pearl Music Ltd, 29 North Acton Road, London NW10. Phone: 01-961 5055.
USA: Pearl International, 408 Harding Industrial Drive, Nashville, Tennessee 37211.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------|-----------------|----------------|---------------|--------|----------------------------------------------|
| CR57 | E | — | 200 | —62dB | Switchable 12dB attenuator |
| CR55 | E | C | 200 | —62dB | LF and attenuator |
| CR45 | E | C | 200 | —66dB | Vocal mic |
| CR25 | E | C | 200 | —66dB | 8dB attenuator switch |
| DX75 | D | C | 200 | —75dB | Built in pop filter |
| DX98 | D | C | 300 | —76dB | Designed for flat response close miking |
| D700 | D | C | 200 | —76dB | Vocal mic |
| DX65 | D | C | 300 | —76dB | Vocal mic with LF roll-off and presence boost|
| C500 | E | C | 600 | —66dB | On/off switch |
| CX50 | E | C | 600 | —66dB | 9V operation |
### PEAVEY (USA)
Peavey Electronics Corp, 711 A Street, Meridian, Mississippi 39301. Phone: (601) 483 3565.
UK: Peavey Electronics (UK) Ltd, Unit 8, New Road, Ridgewood, Uckfield, Sussex, TN22 5SX. Phone: 0825 5566. Telex: 957098.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------|-----------------|----------------|---------------|--------|----------------------------------------------|
| PBL | D | O | 250 | —52dB | PA mic |
| PBH | D | O | 50k | —52dB | PA mic |
### PHILIPS CCTV (Netherlands)
Philips Industries Elcoma Div, Eindhoven. Phone: 040 72.33.31. Telex: 51121.
UK: Philips Business Systems Ltd, Cromwell Road, Cambridge, CB1 3HE. Phone: 0223 45191. Telex: 81547.
USA: Philips USA, 7530 Frontage Road, Skokie, Illinois 60077.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------|-----------------|----------------|---------------|--------|----------------------------------------------|
| LBB9003/05 | D | O | 200 | — | Lavalier |
| LBB9020/35 | D | C | 200 | — | General purpose |
| LBB9020/45 | D | C | 200 | — | Switch, speech/music filter |
| LBB9031/05 | D | C | 200 | — | With cable |
---
**Not all Best Sellers**
Every mike maker has winners and losers. From the thousands you can buy, only a handful become studio standards.
So here’s a list of our best sellers.
All in stock, for fast delivery and by mail service backup.
And because selling mikes is our business, in most cases, you’ll find our prices better than buying direct.
Wright Microphone A brilliant, transparent response that must be compared against the world’s best. A big capsule sound in miniature. And it’s exclusive to Turnkey.
Wright Microphone £199.00
Sennheiser MD421UN We call it the Black Rogue because it breaks the rules yet performs perfectly for a wide range of pickup in modern music. The new choice for bass drum.
MD421UN dynamic £73.95
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------------|-----------------|----------------|---------------|--------|----------------------------------------------|
| LBB9101 | D | O | 200 | — | Speech/music filter |
| LBB9032/05 | D | C | 200 | — | Switch, gooseneck |
| LBB9033/05 | D | C | 200 | — | Gooseneck |
| LBB9018/07 | D | SC | 200 | — | Restricted sensitivity |
**RWO/FOSTEX**
Canada: Interlake Audio Inc, 680F Dobble Street, Winnipeg, Manitoba R2K 1G4, Phone: (204) 668-0248.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|-----------|-----------------|----------------|---------------|--------|----------------------------------------------|
| M85RP | D | S | 600 | — | Noise cancelling |
| M88RP | D | 8 | 600 | — | Switchable LF filter |
| M80RP | D | 8 | 600 | — | Identical to m88RP but no filter |
| M77RP | D | C | 250 | — | Adjustable frequency response |
| M55RP | D | C | 250 | — | For hand held use |
**SCHOEPS (West Germany)**
Schalltechnik Dr-Ing Schoeps, Spitalstrasse 20, Karlsruhe 41, D-7500 Karlsruhe 41, Phone: 0721 4201/42011, Telex: 7826902.
UK: Schoeps, 50, Southwark, London, SE1 99 Dean Street, London, W1V 5RA, Phone: 01-734 2812, Telex: 27939.
USA: Posthorn Recordings, 142 W 26th Street, 10th floor, New York, NY 10011, Phone: (212) 242-3737.
The CMC series of complete capacitor mic comprise a preamplifier module connected directly, or via an 'active' cable, to an interchangeable capsule. The mics listed below utilise the CMC5 preamps (48V phantom powering); the CMC3 operates from 12V phantom and the CMC4 from 12V 'parallel' powering. The type number of the complete mic is composed of the preamp model plus capsule (eg CMC56 = CMC5 + MK6 capsule).
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------|-----------------|----------------|---------------|--------|----------------------------------------------|
| CMC52U | C | O | 40 | 1.2 | Flat response |
| CMC53U | C | O | 40 | 1.0 | HF boost |
| CMC54U | C | C | 40 | 1.2 | |
| CMC540U | C | C | 40 | 1.6 | Close use |
| CMC541U | C | HC | 40 | 1.3 | |
| CMC55U | C | VS | 40 | various| Two patterns |
| CMC56U | C | VS | 40 | various| Three patterns |
| CMC58U | C | 8 | 40 | 1.0 | |
| CMTS501U | stereo | VS | 200 | various| |
**SENNHEISER (West Germany)**
Sennheiser Electronic, D-3002 Wedemark 2. Phone: 05130 8011. Telex: 0924623.
UK: Hayden Laboratories Ltd, Hayden House, Chiltern Hill, Chalfont St Peter, Bucks SL9 9UG, Phone: 02813 89221, Telex: 849469.
USA: Sennheiser Electronic Corp, 10 W 37th Street, New York, NY 10018, Phone: (212) 239-0190. Telex: 421608.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|---------|-----------------|----------------|---------------|--------|----------------------------------------------|
| 540 | D | O | 200 | — | Phantom power 48 to 24V |
| MD211 | D | O | 200 | 0.13 | Flat response |
| MD214 | D | O | 200 | 0.10 | Lavalier |
| MD408 | D | SC | 200 | 0.13 | Integral gooseneck |
| MD431 | D | SC | 200 | — | Musicians mic |
| MD416 | D | C | 200 | 0.13 | Hand held |
| MD418 | D | SC | 50 | 0.13 | Integral gooseneck |
| MD421 | D | C | 200 | 0.20 | Switched bass EQ |
| MD430-2 | D | SC | 200 | 0.18 | Close use |
| MD441 | D | C | 200 | 0.20 | Shockmount |
| MKE10 | E | O | 47k | 1.00 | Mini lavalier |
| MKE883 | E | HC | 200 | | |
| MKE803 | E | SC | 200 | 0.50 | |
| MKE403 | E | O | 200 | 0.30 | |
| MKE203 | E | O | 200 | 0.30 | |
The MKE883/803/403/203 mics use a common powering module with interchangeable capsules which are also available separately.
---
**come from Austria**
Crown PZM A step forward in microphone technology. The results are outstanding, and the unconventional characteristics provide a host of new possibilities for sound recording.
PZM30GP £225.00
Electrovoice Tough budget microphones and an esoteric dynamic that challenges the quality of the most expensive condenser capsules.
DS35 dynamic £52.95
KE20 dynamic £221.95
Sennheiser Telemike A superior low cost exchange electret system for performance on a budget, offering cardioid, omni and unshotted options.
K31 Unshotted £31.50
ME20 capsule £19.50
ME40 capsule £26.95
Neuman An industry reference. A single master quality condensor, used for vocals and every overdub results in cleaner, more brilliant recordings. Finance available.
U47 Condensor £394.00
U87 Condensor £404.00
Shure The most familiar shape and sound in popular microphones.
SM57 dynamic £67.50
SM58 dynamic £84.90
All prices plus £1.50 P&P plus VAT
8 East Barnet Road
NEW BARNET
Herts EN4 8RW
### Microphones
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|----------------|-----------------|----------------|---------------|--------|----------------------------------------------|
| MKE2002 | E | O | 1k5 | 1.00 | Dummy head pair |
| MKH106 | C | O | 200 | 2.00 | 12V A-B |
| MKH125 | C | O | 200 | 0.32 | Lavalier |
| MKH126P48 | C | O | 200 | 2.00 | As MKH125 |
| MKH406P48 | C | O | 200 | 2.00 | 48V phantom power |
| MKH408 | C | O | 200 | 2.00 | 12V A-B |
| MKH810P48 | SC | O | 200 | 2.50 | 48V phantom power |
| MKH416 | SC | O | 200 | 2.00 | 12V A-B |
| MKH816P48 | HC | O | 200 | 4.00 | 48V phantom power |
| MKH816 | HC | O | 200 | 4.00 | 12V A-B |
Output figures are in units of mV/μB; MKH125 and MKH126P48 share a common capsule (MK12) with different power unit. The former is 12V A-B powered while the latter is 48V phantom powered.
**Telemic**: electret mic module system for live sound recording for film, tape or PA. System includes accessories for fastening to camera, choice of powering modules, capsules, etc.
**SHURE (USA)**
Shure Brothers Inc., 222 Hartrey Avenue, Evanston, Illinois 60204. Phone: (312) 868-2200. Telex: 724981.
UK: Shure Electronics Ltd, Eccleston Road, Maidstone, ME15 6AU. Phone: 0622 59881. Telex: 96121.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|-------|-----------------|----------------|---------------|--------|----------------------------------------------|
| SM7 | D | O | 150 | —79dB | Bass presence |
| SM10 | D | O | 200 | —74dB | Headset mounted |
| SM12 | D | O | 200 | —85dB | Lavalier mic |
| SM17 | D | O | 200 | —85dB | Mounting for guitar etc |
| SM33 | R | HC | 38/150 | —76.5dB| Bass switch |
| SM53 | D | O | 150 | —81dB | Wide range |
| SM54 | D | SC | 38/150 | —82dB | Presence boost |
| SM58 | D | SC | 38/150 | —82dB | 'pop' filter |
| SM59 | D | O | 150 | —83dB | 'pop' filter |
| SM61 | D | O | 150 | —84dB | 'pop' filter |
| SM62 | D | O | 150 | —82dB | 'pop' filter |
| SM63 | D | O | 150 | —76dB | Vocal use |
| SM78 | D | O | 150 | —57.5dB| Vocal mic, stage |
| SM77 | D | O | 150 | —57.5dB| Instrumental mic, stage |
| SM76 | D | O | 38/150 | —86.5dB| Slim line |
| SM81 | E | O | 150 | —84dB | 10dB attenuator, switchable LC |
| SM82 | C | C | 260 | —19dB | Line amps and limiter |
| SM85 | C | C | 150 | —74dB | Handheld vocal mic |
All output figures are referenced to 0dB = 1V/μB, open circuit. There is now an omnidirectional capsule for the SM81 with its own attenuator, known as the R704A.
**SOLIDYNE (Argentina)**
Solidyne SRL, Tres de Febrero 3254, 1429 Buenos Aires. Phone: 701-8622.
USA: Intectra, 2349 Charleston Road, Mountain View, Cal 94043. Phone: (415) 967-8818. Telex: 345545.
Integrated Microphone AMI-100: intended for use on sports transmissions and has an electret type capsule, internal windscreen and its own line amplifier. Four pen-sized batteries give a running time of 25 hours while delivering up to +20dB over a 600Ω line. Two or more units can work in parallel. Due to the fact that each AMI-100 mMIC has one output for headsets, each speaker can hear the other.
**SONY (Japan)**
Sony Corp, PO Box 10, Tokyo Airport, 149, Japan. Phone: 03 448-2111. Telex: 223820.
US: Sony Corporation of America, 9 W 57th Street, New York, NY 10019. Phone: (212) 371-5800. Telex: 424595.
UK: Sony (UK) Ltd, Pyrene House, Sunbury-on-Thames, Middlesex. Phone: 09327 89581/875641. Telex: 266371.
UK: Faldon Audio, 128 Great Portland Street, London W1N 5PH. Phone: 01-580 4314. Telex: 28668.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|-------|-----------------|----------------|---------------|--------|----------------------------------------------|
| C-47 | C | C/O | 50 | 57dB | High quality instrument use |
| C-48 | C | C/O | — | 37.8dB | Dual diaphragm, bass cut |
| C-38B | C | C/O | 250 | 48dB | Instrumental use |
| C-37P | C | C/O | 250 | 50dB | Broadcast use |
| C-55P | C | C | 250 | 50dB | Vocal use |
| C-76 | C | SC | 250 | 38dB | Long shotgun |
| C-74 | C | SC | 250 | 38dB | Short shotgun |
| ECM-30| E | O | 250 | 53dB | Very small |
**SUNN (USA)**
Sunn Musical Equip Co, Amburn Industrial Park, Tuallatin, Oregon 97062. Phone: (503) 638-6551.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|-------|-----------------|----------------|---------------|--------|----------------------------------------------|
| M100 | D | C | 600 | — | Handheld vocal mic, large windshield |
| M200 | D | C | 600 | — | Wider frequency response |
| M300 | D | C | 600/10K | — | Improved HF response |
| M400 | D | C | 250 | — | On/off switch with lock |
**SUPERSCOPE (USA)**
Superscope Tape Duplicating Products Inc, 455 Fox Street, San Fernando, Cal 91340. Phone: (213) 385-1191. Telex: 910-498 1481.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|-------|-----------------|----------------|---------------|--------|----------------------------------------------|
| EC1 | E | O | 'low' | —52dB | Low-cut filter |
| EC3 | E | C | 'low' | —52dB | Tie-clasp or boom |
| EC5 | E | C | 'low' | —52dB | Mini tie-clasp |
| EC9p | E | O | 250 | —58dB | Coincident stereo |
| EC12B | E | O | 250 | —52dB | Coincident stereo |
| EC15P | E | O | 250 | —52dB | Coincident stereo |
| EC33S | E | C | 'low' | —46dB | Coincident stereo |
Output figures are referenced to 0dB = 1V/10μB at 1kHz.
**TURNER (USA)**
Telex Communications Inc, 9600 Aldrich Avenue South, Minneapolis, Minnesota 55420. Phone: (612) 884-4051. Telex: 297053.
UK: Canadian Instruments and Electronics Ltd, Harris-Bass House, Station Road, Ilkeston, Derbyshire DE7 5TX. Phone: 0602 302331. Telex: 377755.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|-------|-----------------|----------------|---------------|--------|----------------------------------------------|
| SE11 | D | C | 150 to 200 | 77dB | Isolated from handling noise |
| SE13 | D | C | 150 to 200 | 77dB | Differs from SE11 in casing |
| SE16 | D | C | 150 to 200 | 77dB | Gold-plated mounted version SE13 |
| TC20 | D | C | 200 | 77dB | Principally for vocal use |
| SE14 | D | O | 150 to 200 | 80dB | Switch |
| 2760 | D | O | 150 to 200 | 81dB | Robust |
| 35 | D | O | 150/40K | 84/2dB | Lavalier with accessories |
| 35A | D | O | 150 to 200 | 84dB | Lavalier with HF boost |
| S35A | D | O | 150 to 200 | 84dB | Identical to 35A but with soft switch |
Output levels measured at 1kHz, open circuit with reference to 1V/microbar.
**WRIGHT (USA)**
Wright Microphones, 2093 Faulkner Road NE, Atlanta, Georgia 30324. Phone: (404) 321-3886.
UK: Bandive Ltd, 8 East Barnet Road, New Barnet, Herts EN4 8RW. Phone: 01-440 9221. Telex: 25769.
| Model | Transducer type | Polar response | Impedance (Ω) | Output | Remarks |
|-------|-----------------|----------------|---------------|--------|----------------------------------------------|
| SR-1 | E | C | 150 | — | Phantom powered 12 to 48V, small |
| TSR-1 | E | C | 150 | — | Solid state output stage |
Sony have just made the world's most advanced 24-track analogue recorder...
Double Standards
What really puzzles me about the industry we are all involved in is its apparent double standards. Imagine, if you will, what would happen if a record company issued bootleg copies of early performances by The Beatles, Rolling Stones and Bee Gees made specially to boost the morale of the armed forces, for instance in Vietnam, but specifically barred from commercial release? Imagine also that the recording contracts had called for the destruction of all the masters to prevent commercial release, but an enterprising record company got hold of some of the original pressings and re-mastered. Imagine even that the HMV shop in Oxford Street sold them at above list price. The Musicians Union, the MCPS, the BPI, the IFPI and probably the CBI, FBI and CIA as well, would all be down on the record company and shop like a ton of bricks. The music trade press, which has (rightly) fought the good fight against commercial piracy, would be in there rooting too.
Now stop imagining and, if you keep back numbers, turn to page 10 of Music and Video Week, December 12, 1981. Under the headline Victory for Jazz Lovers an M and VW correspondent writes about the release of 10 LPs of V-disc recordings. Although the recordings were made in the 40s many of the listed artists, like Woody Herman, Peggy Lee, Ella Fitzgerald, Frank Sinatra, Lena Horne, Red Norvo, Count Basie, Teddy Wilson, Les Paul and Roy Eldridge are still alive. M and VW described the issue of their 40s work as "a major coup" and a cause for "rejoicing". Well, yes, if (like me) you like jazz. But perhaps no, if (also like me) you reckon a law for one is a law for all.
The story of V-discs is well known by anyone who has been in the music business for a while, or has an interest in music industry history. It's told partly in Italian on the sleeve note for the new issues. To cut a long story short the US recording industry ground to a halt with a musicians' union strike between August 1942 and November 1944. The president of the American Federation of Musicians, James Caesar Petrillo, was worried about the loss of employment for musicians through the boom in radio listening and the craze for juke boxes in bars which had previously employed bands. Instead of attacking the broadcasters and juke box owners, Petrillo just pulled the carpet from under the recording industry. Hence the AFM strike. Only vocal groups, or harmonica players, could record. (Have you ever wondered why there were so many harmonica bands in the 40s?) The only other exceptions to the rule were records made for the armed forces, christened V-for-Victory discs. To help the war effort the best musicians of the day recorded free for the troops. The scheme continued after the end of the strike. At the end of the war the masters were smashed with sledge-hammers. It was an act of artistic vandalism, but if the promise of destruction hadn't been made, V-discs would never have been recorded. Once the promise was made, the law dictated that it had to be honoured. The new V-disc LPs are dubbed from collectors' copies of the original pressings that went to the troops. Musically they are superb. But legally? Isn't it commercial piracy?
I put this question to M and VW in a published letter (January 23, 1982). In a published footnote the editor defended his paper's praise of the re-issue of historic jazz tracks re-recorded from albums which are no longer commercially available. "The record company," he said, "is to be congratulated." No, I said in a private letter, the whole point of V-discs was that they were never commercially available nor ever intended to be. I waited for a reasoned reply to put me right if I was wrong. "Please do not bother me with any more of your nit-picking pedantry," I was told. Meanwhile none of those guardians of the music industry soul and purse like the BPI, MU or IFPI said a word.
The V-disc LPs have a recommended retail price of only £4.50 each, even though they are being imported from abroad. Clearly both the record company and the importer are playing fair over price. But at the HMV shop in Oxford Street V-discs were being sold for £5.99, making an extra £1.49 of clear, unadulterated profit for HMV.
Jazz musicians are used to being ripped off, so whatever their legal rights, it's unlikely that any of the artists on the V-discs will waste time, money and effort in picking a fight. Most of them are too old, tired and rich, or too old, tired and poor, to care. But what will happen if some middle-aged pop star with a hot shot manager under contract to a greedy record company finds himself in a similar position? The V-disc issue and trade press stance may have created an interesting precedent.
Weather or not
In the build up to the Falklands confrontation, the London news radio station LBC was broadcasting reports on the weather in the South Atlantic. The idea was to give the families of the forces out there some idea of what they were going through. LBC was getting its weather reports from the Meteorological Office. But the 'Met' is part of the Ministry of Defence.
Within a few days the Met. Office staff received an edict from the MOD: don't talk to LBC or any other radio station about the weather in the South Atlantic. To ram the message home the MOD classified the Falklands' weather as an Official Secret. So, on pain of jail, the reports had to stop. Presumably this meant that the Argentine naval captains sailing in the South Atlantic could no longer rely on messages from their London-based spies, to tell them what the weather was like on deck.
Paying for publicity?
Anyone in the business of making or selling audio equipment, either professional or domestic, will sometimes need to demonstrate it publicly. British hi-fi shows, like that held every year at Harrogate, are a Babel of sound. So are some of the smaller pro audio shows. For convenience most demonstrators re-record discs onto tape. But this is of course illegal. There are two approaches which the manufacturer can adopt; either play honest and pay for a copyright licence, or pay nothing and hope no one finds out. A recent incident explains why more and more firms are likely to opt for the dishonest approach.
One of Britain's major loudspeaker manufacturers was exhibiting at last year's Harrogate show, and tried to play it straight. They approached the Mechanical Copyright Protection Society for a licence to dub a few minutes of music on to tape for use at the four-day show. The price quoted was around £400. Nonsense, they said, we'll negotiate direct with the record companies who usually waive any copyright fees because of the publicity they get. Obviously it helps to sell a record if a major manufacturer uses it to demonstrate a hi-fi system. The MCPS then had second thoughts. They came back with a quotation of £10 + VAT for a music copyright licence. But the manufacturer still had to negotiate a separate copyright payment or waiver direct with the individual record companies. All very confusing. The incident raises both a question and a moral. The question is how many firms, wanting to do the honest thing, have been deterred by the time-consuming confusion and an absurdly high quote from the MCPS and simply paid nothing to anyone? The moral is, if the MCPS quotes you a daft price for playing honest with them, don't be afraid to haggle.
Spoiled
On June 26, 1980 Gerry Bron, managing director of the Bron Organisation told the Annual General Meeting of the BPI what everyone present wanted to hear. Bron's associated company, Design Electronics, thought it had finally come up with a spoiler system to stop people copying records on to tape.
"I can't guarantee anything at this stage," said Bron. "What we have come up with so far looks promising but will need at least six months for rigorous testing." The spoiler, according to Bron, would give the tape recorder the 'heebiejeebies'. According to music press reports, Bron reckoned that practical demonstrations of the spoiler could be staged in about three weeks time, ie July 1980.
If it had been almost anyone other than Gerry Bron talking, it would have been easy to dismiss it all as technical ignorance typical of the record industry. But Bron, and the people like Peter Osborn working at Design Electronics, are nobody's fools. Inevitably, news of Bron's spoiler spread. The Sunday Times reported on how the impossible was close to achievement; for £500 extra on disc production the threat of home taping would be banished for ever. The magazine Engineering Today carried a similarly optimistic report. But three weeks passed without any demonstration. Six months passed without any demonstration. Every few months I'd phone the Bron Organisation and ask for an update on spoiler progress. It was, I was told, 'in limbo'. Design Electronics had been wound down and folded up, after the failure of its Cuemix foldback system. Finally, early in 1982, Bron quietly—and with none of the publicity which surrounded the original announcement at the BPI's 1980 AGM—threw in the towel.
They abandoned the patent application which had been filed by Design Electronics. So once again spoilers are dead; at least until the next time someone announces that they've invented one and the music press and music industry is daft enough to believe them.
By the way, I have invented a spoiler. With each new record you buy, you also get a free representative of the BPI. He sits quietly by your gramophone until you try and tape the record. Then he pulls out a gun and shoots you dead.
Even the finest 24-track analogue recorder money can buy can't compete with the Sony PCM-3324 Digital Multi-Track recorder. Its unbeatable sound quality takes recording performance that much closer to reality.
With punch-in/punch-out recording, variable speed and splice edit, the PCM-3324 has all the features you'd expect from the ultimate analogue machine. But with the added benefits of Digital technology.
Because with a dynamic range in excess of 90 dB, undetectable wow and flutter, no print-through, no loss of quality on repeated copying, and variable cross-fade, Sony are revolutionising multi-track mastering.
Giving the recording engineer unprecedented control over the creative recording process and making better use of valuable studio time.
And because the PCM-3324 is fully tape compatible with comparable 24-track systems from other leading makers such as Studer and MCI, Sony have ensured you won't be tying up capital in a format which doesn't even cross the boundaries of your own studio.
If you'd like to know more, contact Keith Smith or Mike Jopp at Sony (UK) Ltd, Pyrene House, Sunbury Cross, Sunbury-on-Thames, Middlesex, or telephone Sunbury (09327) 81211.
And find out how Sony are making even the newest analogue recorder out of date.
Pressure Zone Microphones
There have been several articles published extolling the virtues of the pressure zone microphone developed by Ken Wahrenbrock, and now manufactured and marketed by Crown International Inc, in the USA and handled by HHB in the UK. They mention the basic principles behind the particular design parameters, and suggested mic positions which could possibly pick up the best sound of the instrument focused on, but none really went into any depth when it came to the practical applications. This piece is primarily concerned with how the mics have been accepted and incorporated into the mainstream of professional audio.
Bob Anthony
It's been almost four years since the first PZMs were available to a significant number of people who could utilise their unique characteristics. I've questioned engineers who have spent a significant length of time working with the mics in a variety of applications. Their thoughts, feelings and recommendations are herein recorded for your reference and evaluation. I hope they shed some more light on this exciting new breakthrough in microphone technology.
Background
Ed Long and Ron Wickershim pioneered the pressure zone recording process. Instead of flush-mounting pressure calibrated microphones, as had been the practice, they turned the mic elements over and made them face the boundary surface. (The original microphone employed a modified ½in diameter B&K measurement capsule.) This innovation eliminated some of the comb filtering and anomalies inherent in the previous methods of microphone mounting.
In February of 1978, after completing several reference recordings, they demonstrated their Pressure Recording Process, or PRP (both are trademarked names) to a Syn-Aud-Con seminar in San Francisco. Two months later, a demonstration was performed at Filmways/Heider Recording Studios in Hollywood using the basic design on a session with a contralto soloist, a pianist, a bass player and a guitar player. Ken Wahrenbrock was so impressed with the outcome that he set about trying to perfect the concept. He was able to reduce the cost by utilising a small electret condenser capsule that was pressure calibrated. Together, he and the Davis's tested the design, and soon distributed it to Syn-Aud-Con graduates for further experimentation.
Wahrenbrock became the licensed manufacturer and within a year hundreds of microphones had been sold. In 1980, Crown bought the world licensing rights from Syn-Aud-Con and the product was standardised at the 150dB SPL characteristic.
Robert Margouleff and Howard Siegel
Of the five mics that engineer Howard Siegel owns and carries with him from studio to studio, three of them are PZMs. He has those mics because PZMs are not yet available at all studios. He has two of the original Ken Wahrenbrock-made PZMs, and one small Crown that he likes to use on kick drum. The location changes depending on the sound he's going for, the kind of kick drum, the kind of music, how much low frequency he needs, and how hard the drummer plays.
"I've used the Crown slightly up the side on the inside of the bass drum. I think once you get the PZM that close to the sound source, or inside it as with a bass drum, the mic couples with the surface of the entire cylinder. Using a larger back-plate wouldn't really make that much difference because only the two edges of the plate would be touching the drum shell. I usually put something like foam rubber underneath the plate so it doesn't actually come in contact with the surface. That way I don't get any clicks when the drum is hit."
After a great deal of trial and error, the most successful set-up entails laying the mic on top of a breezeblock that's turned up on end. The block is directly in front of the bass drum, and raises the PZM to the level of the drum's centre, where it picks up fundamental and very few harmonics. Siegel occasionally extends the kick to about three times its length by hanging moving blankets from the front of the drum, to a mic stand placed beyond the breezeblock in much the same way you would put up a one man puppet.
"The best thing we've done," remarks the engineer, "is tape two PZMs together back to back. We recently did some things with saxophonist David Sanborn in a rehearsal room, where Bob wanted me to record the rehearsals. I really only had my mics to work with, and a couple of extras. I did a whole drum kit with a PZM on the kick, a pair of PZMs overhead, and a snare mic—nothing else. I really loved it. If I was going to do it for an album, I would add tom tom mics for the fact that the tom toms were a little distant-sounding. The hi-hat was incredible. The mics were taped together for a stereo field, or rather..."
a dual-hemispherical field. (The backing-plate of a PZM determines what the condenser capsule will 'hear'. Any sound that occurs on the same side as the capsule will be picked up. A sound even the slightest bit beyond the plane of the backing plate is almost completely isolated from the mic. Hence, the hemispherical field or pattern.) It's amazing how it cuts off right at the plate plane. We've been doing percussion, too, in basically the same way. The player can move his instruments underneath the two PZMs that are taped together, and they cross the field beautifully.
"We've experimented with mounting them on the chest of a conga player, or rhythm player who is constantly moving around. Whenever and wherever he plays, he's always about the same distance away from the instrument. If he has three or four drums, it saves a lot of hassles. Doing that in stereo didn't work; doing it in mono did."
"I never use screens around the drums," stresses producer and Grammy winner Robert Margouleff. "The drum kit is a collection of instruments. It's the foundation of the music and usually takes the most mics. We try to leave the kit open as much as possible, to let the vibrations couple to the space for a bigger sound."
"We've had the PZMs for about a year," says Howard Siegel. "The mic is not for everything, but once you develop a technique for it it's very useful. There's a lot of leakage involved with these mics. You either have to have them in an isolated situation, or you have to like the leakage. It's a subjective type of thing.
"David Sanborn's rehearsal was held in a small rehearsal room with all the amps aimed at the drum kit, and the sax amplified through a PA. All of that went into the PZMs over the drums, and it sounded wonderful. As long as it sounds good, it doesn't matter how much leakage you have. In some spots, there was more sax through the PZM than there was on the sax mic. It sounded good though."
"People try so hard to eliminate leakage," continues Siegel, "because they think it sounds awful. When you record an acoustic piano that's covered completely with blankets, the leakage you get is all below 400Hz. But if you leave all the blankets off the piano the leakage sounds incredible. What makes the sound so good is the addition of the high-end leakage which is what you hear when you listen to a live performance. Most engineers don't listen to the piano until they have all the blankets on it. At that point, the leakage sounds bad, and they try even harder to eliminate it. If they listened to it naturally, they might like it."
Siegel suggests trying a simple experiment. "Place a guitar player and drummer in the studio together. The guitar will leak across the room into the kick-drum mic, but it will sound fine until you put something in between those two instruments that eliminates all the high frequencies and leaves all the lows. What you have is rumble going into the kick mic; that sounds terrible. Boosting the kick-drum at 60Hz makes it even worse, because you're equalising the leakage, not just the primary instrument on the track. If you choose the right mic, and the right location, the track naturally has the right LF content you need."
Bob Margouleff agrees, but is quick to point out that there's a time to use leakage and a time not to. "That's a very subjective decision that the producer and engineer have to make. The artful use of leakage is the kind of awareness you have to have if you're doing a lot of live recording, where your primary concern is to serve the audience. If you know how to use leakage properly, it's another technique in your bag of tricks that you can use in your favour."
Siegel finds that "the reason most engineers go for microphones other than PZMs is because even with the backing plate that the manufacturer recommends, you don't get anywhere near as much bottom as you do with a conventional, large-diaphragm condenser. Where you use it depends on the sound you're going for. It can work well on just about anything as long as you like the sound you get out of it, because it's a completely different sound than you would get out of any other kind of mic."
The PZM is often referred to as a mic that gives an accurate representation of the sound source with a minimum of coloration. Siegel states: "I view 'colouration' as a term used to describe a mic that gives you peaks at certain frequencies. The PZM has a very heavy slope of frequency response; it has a great deal of HF content, and very little LF. It seems to be a straight line that goes from way-down at low frequencies to way-up at high frequencies. You might call that coloration. I would say that the PZM colours the sound, because it gives a certain frequency characteristic of its own, although it heavily weights it towards the high frequency.
"I don't think the response is musical; you have to work to make it musical. The secret is to look at the mic as another tool to work with. In order to get the same sound with another mic, you'd have to resort to all sorts of EQ and other tricks that would create distortions and noise problems. The PZM gives you a lot of top end and a lack of near reflections without the disadvantages you'd get with another mic."
Margouleff's experience with
recording two acoustic guitars simultaneously was positive. He attached one PZM to the hard-surfaced side of each of two screens. One player faced one screen, and the other player was 180° opposite with the screen on the other side facing him. "I used very little equalisation, but did a good bit of limiting, and the sound was incredible. I don't like EQ that much. The law is: use the right mic, or DI, at the right place, at the right time, and get your sound at the instrument. That's secret rule number one."
During his numerous years of studio work, Robert Margouleff has observed: "Many engineers have learned mic placement by rote, and for the rest of their life, that's where they put the microphone. Before even listening to the sound of the instrument in the studio, the inexperienced engineer will run right back into the control room, and immediately start to EQ. Wrong! Always listen to the instrument in the room first! Each mic will give the snare, for example, a slightly different sound. The mic is, in a sense, an equaliser, and the choice of whether or not to use a PZM should be based on that criterion."
The production team of Margouleff and Siegel concentrates primarily on self-contained groups, so for that reason, the opportunity to record a horn section with a PZM hasn't come up. They are recording a lot of sax with David Sanborn, but haven't found the PZM to be the right mic. In addition, the duo have discounted the idea of mounting a PZM on a guitar amp. "The mic seems to accentuate the things I don't like about the guitar amp such as the unpleasant distortion in the super high-end," says Howard Siegel. "There's a lack of warmth, because the bottom end is lacking."
Margouleff sums up their experiences with the view that, "The PZM is like any other mic in that it transforms sound into an electrical signal. It's not the ultimate answer—it's a useful tool for particular applications."
Biff Dawes
Biff Dawes is an independent engineer who does most of his work at Wally Heider's recording studio in Hollywood. He gets calls regularly to do remotes with the Heider truck, and 90% of his sessions include amplified instruments. "I use PZMs basically for ambience or audience mics. They're great in places where I can't easily mount a mic stand or holder. I can mount them on the walls, and they pick up an incredible amount of sound. I have to add, though, that it doesn't always work. I can't say the sound is always right, but they do give you more freedom in live applications."
Aside from the ambient use, Dawes doesn't recommend them on stage, because they'd pick up everything: "Sometimes you can get away with them for acoustic grand piano. The loudness of the monitors will determine if it will work or not. Sometimes it turns the whole soundboard into a microphone and you literally pick up everything. Inside a console or upright piano isn't too bad, because you can eliminate a whole lot of leakage—they work really well there. As far as putting them in front of a drum set or a string section, I haven't done that live."
In the controlled environment of a recording studio, the PZMs fare much better, but again, that's mostly for ambience. "You can put them in front of a drum set for stereo by mounting them on surfaces such as plywood or music stands. I'll usually fasten them on the glass for string dates, or to get a big, rock drum sound. The distance from the drum kit varies depending on how big a sound I want. I've found that approximately 20 or 30ft is good. I use them instead of delay or echo in a drum mix. Of course, if there are other instruments in the room, you'll end up with leakage."
Heider's facility includes a large scoring room—Studio A. Permanently hung across the ceiling about 15ft in the air, are four PZMs, each mounted on a 4 x 4ft plate, and facing down at about a 45° angle. Two mics are in the middle of the room with one at each side. "The room is used for big string dates," says Dawes, "and if your track assignments allow it, you can throw the PZMs on separate tracks. A lot of times you can start with those, and add in whatever close-section mixing you need for the mix. It's cleaner and quieter.
"In terms of frequency, I don't find them too warm sounding. They are nice for cymbal mics; they're real smooth. The ones we use here are all the original ones that Ken made by hand. Even in an ambient situation where I've had them on a very large surface, I still find that they're rather thin. Supposedly, the new ones have an improved low-end."
Another of Heider's studios possesses an overhang. Placing a set of drums under the lowered ceiling allows for a closer and more directional effect from the mic once it is mounted on the underside of that lower surface.
Guitar overdubs are often done with four or five mics at one time. Dawes uses a PZM on the glass or on the floor in front of the amp. "It's like any other microphone," says Dawes. "There are no absolutes. You can't say it's going to work every time on drums or on strings. All you can do is put it up and try it."
Bill House
Bill House was one of the first engineers to use PZMs in England, and so far, is enthusiastic about the new concept. "If you like the sound of a room, it will give you more of that sound than any other mic I've seen! Well, a good condenser will do that, too, if it's open all round, but there's something about the sound hitting a flat plate like that that really gives me a sound I like. For ambience, it's probably the best mic there is, and it's really durable. It can take high volumes—150dB SPL.
"I like its frequency response. If it's close enough to the source, I get all the bottom-end I need. On the original demos we did for Rocky Burnett, we were having trouble with his proximity to the mic. We taped a PZM to the studio window, and set up an 87 in front of that. He appeared to be singing into the 87, but we were actually taking the vocals from the PZM. It sounded really good. I was surprised. It sounds good on just about anything, depending on the surface you have it on. It might sound better for vocal on glass than it does on wood or metal. It definitely sounds different. It picks up the sound of the surface that it's on as opposed to just the sound of the element inside the mic like a Neumann. On anything that's percussive we've ended up rolling off the bottom end—everything below 100Hz or so. The mic spits a little."
One of the recommendations from the PZM notes is to stick the mic in a bass drum. "That's where it seems a little bottom shy," says House. "To get a good drum sound during a Beach Boys' session, we were trying all sorts of things. We used a wooden drum riser, and laid the PZMs on that. All we used was a kick-drum mic and the two PZMs. The mics were picking up the reflection of the sound off the wood of the riser. The balance of the snares and tom was perfect, and sounded better than any of the overheads or close mics. We used the PZMs and six other mics, but with just the two PZMs and the kick-drum mic, it was incredible. From the drummer's perspective, one was about 2ft to the left of him and another 2ft to the right. The entire riser was a microphone. Somehow, the sound hitting the riser seemed to even out the response; it evened out the levels. The mix was much easier than trying to balance out the level of each mic.
"I've found that the only equalisation the PZMs take well are cuts. You can't really boost them that much, because they get really noisy, although I've never got any feedback from them. But the reason you're using them in the first place is for a natural sound. If you want to get some creative tones, you can use two mics, severely EQ your conventional mic, and leave the PZM in for some natural sound.
"I haven't used them on bass yet," continues Bill House, "but I bet they'd be pretty good, if you set them on the floor in front of the amp. But that's the good thing about using a new mic; you just keep trying things. I tried taping a PZM to an acoustic guitar, and except for
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the fact that it had a tendency to pick up too much finger noise or cufflink noise of the player, the actual sound of the instrument was very good. Now that was the mic with the large backing-plate. With the smaller plate, it may not be such a problem. The only place I could put it was behind the bridge."
**The next step: evolution**
"I work with Crown now in a consultant capacity by continuing to develop new models, and helping people learn how to use the existing products," says Ken Wahrenbrock, sitting behind his office desk in Downey, California. "I also edit a monthly *PZM* newsletter that Crown distributes to owners in order to keep them informed, and up-to-date with what other users around the world have gathered from their experiments. For example: we've discovered that as a result of the backing plate, the *PZM* comes across about 6dB hotter than a regular mic with no backing plate. Even though they're actually the same distance from the sound source, the *PZM* seems like it's half as close."
The pressure zone microphone has been developed by committee. Wahrenbrock emphasises the fact that there are three or four people across the USA who have worked extensively with the original prototypes, and were instrumental in suggesting and shaping the present improvements that are coming out of the Downey laboratory.
The two main criticisms that Ken Wahrenbrock kept encountering referred to the comb-filtering effects, and the absence of a strong bass response. To directly confront the first weakness, the capsule was standardised at 0.001in above the backing-plate. That tactic raised the comb filtering above the audible range to about 46kHz. The second issue involved radical design changes, yet adherence to the basic principles characteristic to the pressure zone concept.
Any sound on the same side of the plate as the capsule gets picked up; anything to the far side of the boundary plate is ignored. Wahrenbrock decided to build various combinations and shapes of backing plates to customise the mics to particular needs.
Instead of metal, he chose the versatility of plastic. The converging plates actually form corners and their intersecting angles define the area to which the microphone is live, thus making the pick-up pattern more directional. "The ¼in plastic is pretty rugged. We've made some with ½in plastic, but they're light, and you have to be careful with them. The direction of the capsule into the corner (whether along one plane or bisecting the angle between two sides) doesn't alter the response of the microphone. We just happened to mount them along one plane. The important consideration is to get the element as close to the corner as possible in order to keep the reflections that hit the capsule to a minimum.
"Some of these versions (the smallest, 3-sided *PZMs*) are becoming popular on pulpits or altars of churches, or on lecterns. They work better than the flat models, because the three sides provide better isolation, and eliminate any residual comb filtering that results when two of the flat models are placed too close together."
In addition, the larger the backing plate, the better the bass response. The previously mentioned shapes in the 12in size have a larger boundary on the vertical surface, and afford the enhanced low-end. A quarter wavelength of the lower frequency limit is represented by the distance from the centre of the capsule to the edge of the boundary. Using just the backing plate that comes on the Crown versions, that frequency is about 200Hz. Below that, the response drops 6dB, and continues down to whatever the frequency response of the capsule is in a free field. At that point, it loses its pressure zone mode, and becomes a free field microphone. The small diaphragm, however, still reproduces the articulation obtained with other mics.
A variation on the 3-sided boundary designs is a pyramid that's meant to be hung upside down over the stage. Again, the pick-up pattern is an extension of the planes, and anything outside of that pyramid shape is not 'heard'. There is also a right-angled corner that recreates the corner of a room in an open space. This may be placed on the floor, on a stand, or hung upside down above a sound source.
Another remarkable innovation is the 8in or 12in plexiglass dish. Once attached to a boom stand or goose-neck, the dish can be faced in any direction with the resultant pattern being an almost perfect parabola. Like the other boundaries, only the sound within the parabola is of any significance. As far as the microphone is concerned, nothing else exists.
The fact that the plexiglass is clear makes it invaluable on low-visibility situations. No matter where they are located, the dishes, or the other new designs for that matter, don't obstruct lines of sight, and for most applications are practically invisible. "The dishes are made for us by an outside contractor," says Ken Wahrenbrock. "We distribute them, but it's quite a problem. We're considering—in conjunction with Crown—marketing just the bar, cable and power supply, and suggesting that the purchasers put together their own backing plates for their specific purposes."
**Symphonic applications**
When Ken Wahrenbrock isn't on the road for Crown, or working in his California laboratory, he spends much of his time in San Diego testing his prototypes with David Johnson, a production engineer for Communications Company, owner of Studio West Recording Studio and, most importantly, consultant to the San Diego Symphony Orchestra.
In recent years, the Symphony had been plagued with, and criticised for, poor sound reinforcement. It owns a portable stage and half-shell, and usually does a series of four or five one-night concerts per week during the summer tourist season. The demands of this kind of performance philosophy created a need for equipment that's durable and dependable as well as versatile. Fortunately, the timing was right. The experimental *PZMs* found a live workshop, and the Symphony returned to the good graces of its sponsors.
The sound reinforcement system consists of a set of *Stanley Screamer* subwoofers, Stan's 8/17 bass bin, and an Altec *Manta Ray* for the top end on either side of the stage, powered by Altec 9440s for the subs, BGW 750s for the mid-lows, and the BGW 250s for the highs.
All the mics are *PZMs*. David Johnson points out, "I used to use Neumanns on the high strings and celli, and Sennheiser 421s on the basses—usually one mic for every two players. Now I'm using either the dishes or the 2½ design in varying sizes. The 2½s are set on the floor in front of what I want to pick up. The distance isn't really too critical. The players are in the habit of moving them around. They're really easy to work with, and the bass is surprising. I generally allocate one dish for every two chairs of strings, and locate it approximately 3ft above and directly between the players."
The pick-up pattern of the *PZM* dish is a 3-dimensional parabola.
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AGENTS:
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The field extends off the edges, and when faced downwards, forms a bell or cone shape with excellent isolation. "That's one problem I had with the Neumanns," notes Johnson. "You wouldn't believe the coloration we got with all those live mics on stage. That's why I put three Crowns on the ceiling, which is actually a 6 x 42ft decoratively-covered wood boundary that hangs above the stage floor. I did that for a whole year, but we weren't getting the richness of the high strings. With the addition of the new designs, I removed the PZM over the basses, because the 12in x 2½ pick those up easily. I have one in the centre towards the back to fill in the brass, and another towards the front at stage right just for experimentation."
The newest prototype is the handheld model. According to Dave Johnson, the mics are not prone to popping, and are great for the troublesome vocalist or announcer who insists on eating the mic or punctuating Ps.
"I'm using almost no EQ," says Johnson. "The board is flat for the PZMs. With the other mics, we were using some bizarre settings to try to get the sound we wanted. For the first concert we did here on the 4th of July, we set the mics up at random. It was like we took a blanket off our heads. There was a very open sound; the high end was excellent. What's even more amazing is the low end we got from the string section."
One major drawback still to be ironed out is the matter of monitors and feedback. With such a large pickup pattern, loud monitors are prone to causing hot spots and feedback loops. If the volume is kept low, some of that can be eliminated.
Bits and pieces
Here are a few suggestions for microphone placement that really take no explanation, but have been tried, and recommended to me.
- Place a PZM in an echo chamber for an ambient richness and naturalness.
- Fasten a Crown model to the inside top of a Leslie cabinet.
- Attach one to a wall or other large surface to record sound effects.
- Lay one on the floor to pick up tap dancing or sound for a play. (Don't forget to tell the dancers that it's there!)
Biographies
Ken Wahrenbrock is credited as being the first to come up with a workable and practical application of the pressure zone recording process. He is presently a PZM research consultant to Crown International, and an independent acoustical consultant.
Bliff Dawes joined the staff at Wally Heider Recording about 10 years ago and has been engineering for the last six. Although he is independent now, he still does most of his work at that facility, specialising in remote recording. His recent projects include live albums for Fleetwood Mac, the Eagles and Devo, and a couple of location broadcasts.
Bill House is a musician, producer and engineer who divides his time equally between LA and London. In the last 18 months he's done projects for Rocky Burnett, the Pirates, the Hitmen, Shonna Lang and Carla DeVito. He prefers to work at either Wally Heider's Recording Complex in Hollywood, California, or Rockfield in Wales.
Robert Margouleff is best known for his work as Stevie Wonder's engineer/producer. During that time, he garnered three Grammy nominations, and a Grammy Award for Wonder's Innervisions LP.
When Margouleff decided to produce full-time in 1975, he recruited Howard Siegel as his engineer, and together they were instrumental in the reorganisation and substantial redesign of Los Angeles' Record Plant Recording Studios in 1977. Their two latest projects were albums for studio sax master David Sanborn and blues-rocker Elvin Bishop.
David Johnson met Ken Wahrenbrock through Syn-Aud-Con and has since been testing Wahrenbrock's new prototypes in real-life situations like the San Diego (California) Symphony concerts. Together they plan on writing several in-depth pieces on PZM theory and technique.
Conclusions
I hope the previous suggestions have given you a little insight into the practical uses of the Pressure Zone Microphone, and stimulated your creative juices so you'll try a few experiments on your own. No new concept or technology can progress without the feedback of the people in the field. If you discover any unique, innovative, or just plain interesting applications, please let us know, or contact Ken Wahrenbrock, so the information can be added to the storehouse of PZM theory.
For more information on presently available product line, a copy of the Crown PZM Application Notes, information on new designs and the PZ Memo (a newsletter to keep users of PZMs abreast of current developments), please use the following addresses: Crown International Inc, 1718 W Mishawaka Road, Elkhart, Indiana 46517, USA, and HHB Hire and Sales, Unit F, New Crescent Works, Nicoll Road, London NW10 9AX, UK.
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Control room acoustics
Part two
Andy Munro (Turnkey Two)
"The hall itself is a monument to the imprecision of acoustical science, with its battery of glass resonators suspended from the roof like so many Cona coffee machines and already gathering dust, which will presumably in due course affect their resonance." (1)
"There should be an effectively anechoic path between the monitor loudspeakers and the mixer's ears that extends for at least 2 to 5ms beyond the initial time delay gap." (2)
"The shorter the time intervals between the individual reflections and the direct sound, the less is the ear able to detect acoustic comb filter effects. Also such reinforced music is often evaluated as more pleasing simply because of this variety of phase effects." (3)
These three statements each by an acknowledged writer in his own field show the difficulty in determining a logical approach to acoustic design given that the final judgement will be totally subjective.
The acoustic parameters for the recording or performing environment itself should be clear cut - such auditoria have been built and used for the purpose for at least 3,000 years. The Greek amphitheatre at Epidaurus was constructed around 400 BC, seated 14,000 people and gave birth to the legend of 'perfect acoustics'. Let us analyse the sound field propagation of such a theatre (Fig 2). The open air theatre cannot sustain a reverberant sound field and will be considered anechoic. (In fact discrete reflection may occur depending on the architectural features within the area.)
A sound source such as a single voice in raised conversation would have an approximate level of 73dB SPL at 1m.
Using inverse square law decay the level at a distance of 30m would be 43.5dB or 29.5dB less! This could account for the fact that most Greek amphitheatres were situated on a hillside facing towards a nearby forest in order to avoid environmental noise levels such as passing chariots. Certainly it shows why sound reinforcement is used in the same auditoria today.
The sound level achieved by the same voice in an enclosed space is given thus:
for a room volume $V = 43,000 \text{ m}^3$,
$RT60 = 3s$
$S\bar{f} = 2,300$ (using classical Sabine analysis).
Taking the mid frequency $Q$ of the talker as 5 we find:
$\Delta Dx(1m) - \Delta Dx(30m) = 26.5 - 4 = 22.5 \text{ dB}$
$\therefore$ level at 30m from stage would be $73 - 22.5 = 50.5 \text{ dB}$.
$\% AL CONS = \frac{D2^2 RT60^2}{VQ}$
$\frac{VQ}{1000} = \frac{215,000}{1000} = 215$
Suppose the hall is much smaller, say 15,000m$^3$, at 30m max distance area
$\% AL CONS = 20\%$
$\frac{VQ}{1000} = 75$
$(VQ/1000)$ is a multiplier used in the articulation formula.)
Therefore for a given RT60 a large hall or studio will give articulate sound coverage far more readily and small halls must be less reverberant for the same value of $\% AL CONS$.
It can be seen that a long reverberation decay in a smaller auditorium or recording studio will give rise to considerable masking effects which will totally change the subjective quality of any sound source heard or recorded within that space.
This fact was recognised in the early '30s by BBC engineers who published preferred reverb time curves for rooms of any given size. The curves differ for speech and music indicating a subjective recognition that articulation losses can be a positive feature in environments intended for music reproduction. For example a typical medium sized studio of 100m$^3$ would be specified by BBC designers as requiring an RT60 of 1.4s for music and 0.85s for general purpose speech and drama. They also determined that an RT60 of less than 0.3 was extremely undesirable for either speech or music unless under special circumstances.
The articulation loss in a music studio of the above specification would be 10% at worst for a maximum performer-to-microphone distance of 10m. Other work carried out in the same period compared reverberation with frequency and determined that an increase of RT60 with decreasing frequency was desirable although difficult to define as the type of music recorded was an overriding consideration.
How does the monitoring environment relate to the foregoing descriptions of acoustic performance? The most important factors for a monitoring environment can be defined as follows:
1. To give an accurate representation of the recorded or transmitted programme material in terms of:
(a) amplitude - frequency linearity;
(b) phase linearity;
(c) dynamic linearity;
(d) psycho-acoustic integrity;
(e) acoustic compatibility with end user.
2. To be sufficiently isolated from the recording environment with minimal ambient noise.
3. To be environmentally conducive to intense concentration for long periods in terms of:
(a) Temperature and air quality;
(b) Lighting quality;
(c) 'Creative comfort';
(d) Absence of distraction.
4. To be technically and ergonomically interactive with involved personnel.
For the purposes of this article factor 1 only shall be considered, the remainder forming the basis for future discussion.
The monitor system comprises a pair of louspeaker units radiating into an enclosed space. The purpose of the system is to:
(i) Determine the optimum recording parameters (track
laving) ie microphone position, use of screens etc;
(ii) Quality control the recording process ie to check what goes in comes out as it went in. (A/B monitoring);
(iii) Provide the means to produce a product compatible with and pleasing in a domestic playback situation (Mixdown).
Although seemingly compatible, purposes (i) and (ii) are distinctly separate from (iii).
Relating (i), (ii) and (iii) to factor 1 in our list of monitoring parameters we find some interesting conflicts.
During the initial recording process it is vital that the engineer hears an uncoloured impression of the recording environment. Any important reflections and early reverberation characteristics should not be masked by a stronger early sound field in the monitoring environment. However, in the final analysis the finished products will almost certainly be heard in an extremely coloured early reverberant sound field (Walkman users excused!)
Another important factor in rock studios at least, is distortion created by the monitor speakers themselves, not to mention certain amplifiers driven to and beyond their linear capabilities. The constantly increasing demand for sound levels peaking at 120dB SPL has resulted in a breed of horn loaded compression drivers delivering anything up to 20% harmonic distortion. It should be duly noted that the amplifier power required to produce such levels with linearity must be in excess of 4kW for a system of sensitivity 93dB/1W/1m in an effectively anechoic room using horn loaded speakers. The cynical may at this point question the validity of such levels but there is a case for high level monitoring in that psycho-acoustically the level of performance in the studio should be accurately reproduced in the control room in order to interpret its musical value. Rock music has brought about the means by which the recording industry has grown as a whole and in the process has produced both the best and the worst in every facet of that industry.
Phase linearity within the monitoring environment falls into two categories: linearity within the monitor chain - replay heads, console, crossover, amplifiers, speakers; and interference patterns caused by discrete reflections interfering to produce comb filter effects within specific time zones.
Those in the first category are relatively straightforward aspects of electronic design but it is remarkable how little attention seems to be paid by both manufacturers and users to publication of phase response data of the equipment they use. (5)
The second aspect of phase response only became apparent when time delay spectrometry was developed in the late '60s. This form of measurement is well documented although still financially beyond the reach of almost all but the larger acoustic consultancies and industrial users. The results of TDS, however, have changed several well entrenched attitudes to the design of listening environments and there is a slow, almost embarrassed movement towards many of the concepts originally dismissed by traditional purists as "just another trendy American marketing exercise".
Specifically, TDS enables acoustic performance to be measured in exactly the same way the ears/brain do, as a Fast Fourier Transform function operating in both time and energy domains.
The early reflected energy in a room can be shown to distort the amplitude-frequency curve severely at the specific points in time before an overall masking effect can be applied by the remaining energy in the room.
Conventional acoustical measurement such as impulse and pink noise give no indication of such early effects although they are useful in many steady state assessments of a room performance.
Much can be determined by the use of geometric and wave analysis and control rooms lend themselves to such treatment by virtue of their smaller size. Part one of this article discussed reasons why a small room is incapable of sustaining a true reverberant sound field without considerable modification of its acoustic parameters and even then will not completely satisfy statistical analysis beyond a few basic criteria.
It is important to realise that all rooms determine the development of the sound field by virtue of their shape, size and acoustic absorption. At low frequencies sound radiates as a spherical wave from a point source and any point on that wave may be considered a point source of secondary radiation (Huygens Law). This phenomenon accounts for the ability of sound to travel around corners and to fill every corner and crack of a room with alarming ease.
At higher frequencies sound propagates more and more in a predictable geometric fashion and obeys 'ray' theory to a useful degree. The crossover between geometric and wave propagation is determined by the smallest dimension of the room which in the case of control rooms, is almost invariably the ceiling height. Below this frequency acoustic energy is distributed as a series of harmonically structured peaks and nulls relating to resonant standing wave conditions.
As each standing wave corresponds to a half wavelength room path (or multiple thereof) it is obvious that a large number of different pathlengths are required to give even energy distribution. This is most easily achieved in an asymmetrical shell, with overlap of each of the fundamental dimensions. The shell should be rigid enough to act as a reflector to the lowest frequency given by the particular room. The actual crossover from geometric to wave frequencies is given by:
\[ f_c = \frac{3v}{d} \]
where \( d \) is smallest room dimension and \( v \) is sound velocity. (6)
This gives our original room (see part one) a crossover at 343.25Hz, but it should be realized that the changeover is gradual and not fully accomplished until two octaves lower in the case of 'wave theory' acoustics at 86Hz.
As control rooms are invariably used for the monitoring of stereo material the higher frequencies must be radiated into the room in such a way that any anomalies in the geometry of one side of the room are matched by the other, in order to preserve phase integrity. Failure to achieve this will result in poor centre image and at worst a noticeable difference in left-right monitor response. This effect is most critical for early reflections and becomes insignificant for reflections arriving within the "Haas Zone".
This requirement obviously conflicts with the low frequency geometry of the room and therefore an inner symmetrical shell must be constructed with a crossover frequency to the outer structural shell as defined. For the faint-hearted (and cramped) it is possible to create a combination of these two shells providing the original room dimensions are within certain preferred ratios. It is possible to make the outer shell symmetrical but of such structural geometry as to create the correct overlapping standing wave pattern.
The alternative approach to the low frequency shell is to absorb virtually all bass frequencies after they have passed the monitoring position. Although sometimes a necessity due to design constraints (extremely small rooms, mobiles etc), this approach has inherent disadvantages:
1. Higher monitor power needed;
2. Loss of space using large traps;
3. 'Unreal' or non-existent reverberant field.
To compensate for bass traps several designers make the front and side walls hard and reflective causing many early order reflections. Fig 3 shows a TDS comparison of the two types of room.
Each vertical line represents a complete frequency sweep of a heterodyne analyser tracking its own oscillator with respect to time. The FFT analyser displays time and level as 400 discrete bands of information with, in the case of B & K at least, the facility to 'window' by a further magnitude of 10. In other words each individual line may be viewed by integration as a complete 20 to 20kHz frequency level spectrum.
The great advantage of TDS and a time related approach to design in general is that any control room may be significantly improved almost overnight by use of specialist materials requiring a minimum of down time and building work. This is particularly true of frequencies above 1Kc and by skilful use of Helmholtz resonators even low frequency problems can be eliminated or improved.
Considering the high capital cost of the recording studio and the competitive nature of the business, improved acoustic performance should be considered a vital investment particularly as most other forms of potential signal distortion are slowly being removed from the chain.
REFERENCES
(1) Sunday Times review of Barbican concert.
(2) Don Davis, AES Journal 1980
(3) M. Reilly, BBC magazine June 1980
(4) Studio System Engineering, Dan and Carolyn Davis
\[ \Delta D_x = 10 \log \left[ \frac{Q}{4\pi D_x^2} + \frac{4}{53} \right] \]
(5) Richard Heyser, AES Journal 1969
(6) Sov And Con Vol 9 Number 3.
Ambience Recordings, Michigan
"For an Italian kid from Brooklyn, it's a dream come true." That's how Jerry Silecchia, president, describes Ambience Recordings, Inc, a three-studio complex 20min from downtown Detroit. Silecchia, who "didn't want to live and die within a five-block area of Flatbush, like so many people I knew," came to the area in 1974, after many years in New York radio. His experience has included holding the post of production director at WCBS-FM, and more recently, at CKLW in nearby Windsor, Ontario.
"I left New York after CBS instituted a promotion freeze," Silecchia says, "and I told myself at the time that I would have my own recording and production studio within five years." Twelve days before that deadline, Silecchia was handed the keys to Ambience.
The first thing that strikes the visitor to the studio is the pastoral setting. Farmington Hills is on the fringes of suburbia, with lakes, parks, homes, shopping malls, and some low-rise industry. There are two large old trees in the front yard, one of which Silecchia says is a candidate for a tyre swing. "Saving the trees was a priority," he explains. "The parcel of land next door was actually cheaper to buy, but it had no trees." The building looks small from the outside, but is actually quite spacious, and houses, besides the three studios, an extensive sound-effects library and Silecchia's office, the walls of which are lined with Emmys, Clos, and other industry awards.
The two 4-track production rooms, mirror images of each other, feature customised Quad-Eight boards with nine inputs and Penny & Giles faders. Tape machines—4-track, 2-track and mono—are Scully 280Bs. Each studio has a Nakamichi 58/ cassette deck. Reverb and effects are handled by Ursa Major Space Stations, and monitors are the French-made Cabasse, which resemble medium-sized hi-fi speakers but cost, Silecchia says, $1,000 each. The rooms are long and narrow, and the overdub booths are positioned so that the engineer and producer have close eye contact with the talent, while the client can sit at the other end, out of the way.
The main control room was designed by George Augspurger, late of Westlake Audio, and wired by Mark Lantz, an engineer at CKLW. Silecchia says it is the only 24-track studio in the Detroit area that was built from the ground up as a studio. The centrepiece is a Quad-Eight Pacifica console with 24 inputs and four equalisable echo returns. Modified Scully 280Bs are used here as well for mixdown, and an MCI JH-24 with Autoplocator III handles the 2in tapes. A pair of JBL 4343Bs hang from the ceiling on chains, while 431s and Auratones are closer to the console. There are 24 channels of dbx noise reduction wired in, but Silecchia says that since the studio has switched from Ampex 456 to Agfa PEM468, which he finds has a 6dB better noise floor, he uses the noise reduction less.
Outboard gear includes a pair of UREI 1176s, a dbx 900 rack with comp/limiters, a de-esser, and four gates, and an Eventide 949 Harmonizer. A newly-reprogrammed Lexicon 224 digital reverb was a recent purchase, after the studio had been renting the unit for some time. The monitors are powered by Crown, Spectro-Acoustics, and Sanyo amplifiers, and the large JBLs are biamped through AB Systems crossovers and equalised with UREI ½-octave graphics.
The studio room has a wood tile floor, much of which is usually covered by a foam pad to control the liveness. The piano is a 1923 Steinway grand, once the property of a local physician, that has been completely rebuilt. A pair of Crown PZMs are semi-permanently mounted in the lid, and Silecchia occasionally uses an AKG 414 to soften the sound. The studio also owns a set of Ludwig drums. A pair of JBL L300s on the floor provide playback monitoring.
Although Detroit's recording scene was set back when Motown moved its operations out to the West Coast, there is still enough business around that Ambience, one year after its January 1980 opening, was operating in the black. Commercials occupy about half of the studio's time, mostly during the day. Among the many accounts the studio has hosted have been Coca-Cola, the Big Boy hamburger chain, and the Detroit Red Wings hockey team.
Musicians doing tracks here have included former Ray Charles associate Marcus Belgrave, R J Rice, and a 15-year-old singer named Dmitri. "He just got signed with Buddah on the basis of a tape he did here," says Silecchia. "They're calling him the next Michael Jackson. He's really the quietest kid you've ever seen. He just walks in, wearing his baseball cap, and sits over in a corner until we're ready for him. But when he sings, he's all energy."
Chet Atkins heard a live remote that Silecchia and his crew did from the Joe Louis Arena in Detroit and was impressed. Atkins is now doing tracks at Ambience for a Roger Whittaker album. "Chet likes the strings in Detroit better than what he can get in Nashville," Silecchia explains, "so we're going to record a section in Orchestra Hall on an 8-track, and then bump it up to 24 back here".
Probably the biggest project to come through Ambience's doors so far is the recent Nine Tonight double-live album by Michigan's favourite son, Bob Seger. The album was based on tapes from Seger's 1980 concert tour, recorded by the Record Plant Mobile Unit. The work at Ambience has consisted mostly of "... a lot of hairy edits. Seger is very picky about his lead vocals, and we ended up combining parts of songs from different nights," says Silecchia.
Punch Andrews, Seger's manager, made the original connection with Ambience through Jerry Adams, the head of Harmony House, a local record retail chain, and a commercial client at the studio. "We started getting these strange phone calls asking if we could get anything they wanted on a day's notice," recalls Silecchia. "Punch eventually came in, and he liked what he saw. One thing they needed was 24 tracks of Dolby, so I got on the phone, and within two hours, it was on its way. Mark Lantz took the day off from CKLW and wired it in."
Seger travels with his own engineer, but at one point, that gentleman began to have a lot of trouble with some 2in edits, and, at a particularly tense moment, Andrews asked Ambience's chief engineer, Gerard Smerek, if he could handle the session. "Within a week," says Silecchia, "they had got so much confidence in Gerard that Seger would go out in the parking lot and play catch while Gerard was doing edits. Seger now calls him 'the man with golden hands'.
"At a mixing session, you'll usually see three heads bowed over the board, with Seger at the vocal fader, Punch on the crowd level, and Gerard in the middle, doing the rest."
One of the happier outgrowths of the sessions with Seger started when a young lady named Donna Watton came into the studio dressed like Wonder Woman to deliver a singing birthday telegram for Seger. Donna, who Silecchia thinks sounds like Liza Minelli, is now working on her own project at Ambience.
Ambience Recordings, Inc. 27920 Orchard Lake Road. Farmington Hills, Michigan 48018, USA. Phone: (313) 851-9766. Paul D. Lehrman
Can you afford to ignore the most significant development in microphone technology of the last fifty years?
The revolutionary Pressure Zone Microphone (PZM™) family comprises a range of hemispherical response microphones which give a transparently natural sound, free from non-linear characteristics – such as proximity effect and comb filtering – that are exhibited by all conventional microphones.
Traditional microphones exhibit frequency response anomalies, due to an inherent inability to satisfactorily combine direct and reflected signals, thus leading to phase-induced amplitude cancellations and reinforcements, or comb filtering.
Amcron PZMicrophones™ eliminate this effect because they detect sound by means of a new process. This takes advantage of the fact that, as a sound wave approaches a boundary (such as a wall, table or floor), there is formed at this boundary a pressure field four or five mm. deep, within which the direct signal and its reflection from the boundary remain in phase and add coherently.
The Amcron PZM places a small pressure transducer inside the primary boundary pressure zone, facing the boundary. This prevents any direct signal reaching the microphone, thus eliminating the possibility of phase-induced interference and providing a significant improvement in signal quality.
The PZM response pattern is hemispherical, with no “off-axis” position: gain related to distance will change, but not tonal quality. The PZM responds accurately to up to 150 db spl, yet hears a whispered conversation in an ordinary room at ten metres.
Engineers are finding that the PZM continually suggests new mixing techniques. And that in many applications fewer PZM’s are required than traditional microphones. In fact, the PZM is changing ideas about how a microphone should look, sound, and be used. Don’t you think that it’s time you got in on the act, and gave the PZM a listen?
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PZM and PZMicrophone are registered trade marks of Crown International
Microphones
The measurements on each mic were made under identical conditions with the sensitivity derived from tests with white noise taking the A-weighted mic output in comparison with the A-weighted output from a Brüel and Kjær standard 1m microphone. Self noise is related to a sound pressure level of 74dB, being equivalent to 1µbar or 20dB below 1Pa. Microphone impedance is of course important in relation to loading, which includes both the amplifier load and the cable capacitance. Impedance was therefore measured using 1/3-octave bands of random noise with the mic effectively unloaded and then loaded into 600Ω (or in some cases 100Ω).
As is essential, the frequency response (see page 72) was measured under anechoic conditions using a standard ½in Brüel and Kjær type 4165 mic to drive a compressor loop in the drive to the sound source. Polar responses were also measured under anechoic conditions at 125Hz, 1kHz and 12.5kHz, but for this measurement no compression loop was required (see pages 74 to 78).
Whilst pop sensitivity, sibilance, handling noise and sensitivity to wind noise were subjective assessments, the sensitivity to magnetic fields was evaluated by placing the mic in a coil energised by the 50Hz power line.
CM 2150C
This is a sample of the Calrec 2100 series studio transistor capacitor mics which consist of the type CB 21 amp, and a selection of five different capsules: omnidirectional with an inbuilt windshield; extended response omnidirectional; extended response cardioid; cardioid with reduced bass; and cardioid with a fixed mesh windshield.
The amp consists of a phantom-powered FET amp with the matt black body equipped with a satin chrome XLR plug at one end. At the other end the mic capsule secures to the body with a coarse thread which should be quite difficult to damage.
On test, current consumption was unusually low at 0.44mA at 48V. Two samples of the mic exhibited a self noise of 21dBA SPL or 31dB CCIR-weighted quasi-peak with the sensitivity being 0.4mV/µbar with the output impedance being constant with frequency at 150Ω.
The microphones were very sensitive to wind noise, even with the optional windshield, with medium 'pop sensitivity' and a good performance with sibilants. Sensitivity to handling noise was rated as medium. The microphones were also rather sensitive to external magnetic fields with 10 Oe giving an equivalent 84dB SPL output.
Reference to the plotted frequency response shows a well controlled front response with a front-to-back ratio of about 22dB from 200Hz to 3kHz, both samples being identical in these respects.
Examination of the polar response showed one sample to have an asymmetrical rear response, the performance of the good sample being shown and illustrating a well-balanced cardioid microphone.
Crown PZM
The Crown Pressure Zone Microphones (PZM) are of a novel type which has been available for about two years. The manufacturer claims that these microphones operate only on the direct sound wave by mounting an electret capsule at a non-absorbent boundary. The two types supplied for review, the PZM-6 and PZM-30, have virtually identical specifications except for size, both microphones consisting of an alloy plate with a small 'penthouse', the PZM-6 measuring 2½ x 3in and the PZM-30, 5 x 6in, the latter containing an XLR plug and the former a flying lead with an XLR plug at its end.
A special power supply/amplifier is essential for these mics and two types are available, one using purely active circuits and the other using a transformer. Both types are small boxes 5 x 1½ x 1¼in with an XLR plug in one end and an XLR socket in the other. Powering of these boxes can be either by a 48V phantom feed or two internal 9V PP9 batteries with a specified life >500hr. A slide switch in the top selects internal or phantom powering with the output being balanced for termination into 1kΩ or greater.
The actual current drain from batteries was found to be 0.42mA for the transformer version and 3.1mA for the active version or 0.42mA and 2.9mA respectively when 48V phantom powered.
Both versions exhibited a similar performance with a sensitivity of 0.3mV/µbar from a source impedance of 70Ω. Self noise was good at 20dBA SPL or 33dB CCIR-weighted quasi-peak. Normally handling noise does not apply since the mics should be mounted on a floor or wall, but should they be handled the noise is very bad although sensitivity to wind noise was good with sensitivity to sibilants and pop being excellent.
Both types were very insensitive to external magnetic fields with 10 Oe giving less than an equivalent of −50dB SPL.
As these mics are intended to be mounted at a boundary it is not clear how to interpret the frequency response under anechoic conditions. The response was measured with the mics suspended in the anechoic chamber and as expected the one with the larger plate had the apparent HF shelving shifted down in frequency.
With the smaller PZM-6 one would expect mounting at a boundary to increase the output at long wavelengths (low frequencies) and thus provide a flat response with a non-absorbent boundary which would not appreciably effect the plotted HF performance. In the case of the larger PZM-30 the dip in response at 4kHz gives grounds for suspicion and I cannot see that this mic will have a flat HF response when mounted at a boundary.
The polar response of both types was quite remarkable with the front response of both types being almost perfect over ±60° about the axis with the rear response of course being irrelevant. One would therefore expect an excellent polar response under the recommended operating conditions.
Milab DC63
This is a variable pattern condenser mic incorporating a dual membrane system with dual FET amps supplied by a 48V phantom powering system. The microphone, which is finished in satin...
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chrome, is fitted within an XLR plug in its base above which there are two rings operating internal microswitches. The bottom ring selects flat or a highpass response with or without a 12dB pad, with the top ring selecting the polar diagram in association with a potentiometer which is thumb operated through a slot higher up the mic’s body. In one position of the ring switch the pot varies the polar response between cardioid and figure-of-eight whilst in the other position the polar diagram varies from a cardioid to omnidirectional.
These variables gave a mild shift in sensitivity when tested which was measured at 0.48mV/µbar in the omnidirectional setting when the measured noise was 24dBA SPL or 35.5 dB CCIR-weighted quasi-peak.
The output impedance was adequately low at around 150Ω with the microphone drawing 0.94mA at 48V phantom powering. It was quite insensitive to wind noise and popping with reasonable handling noise and performance on sibilants.
External magnetic fields of 10 Oe gave an equivalent of 6dB SPL which is reasonably good.
The frequency response shown was plotted in the cardioid setting with the upper front response trace showing the effect of the 6dB/octave switchable highpass filter with its –3dB point about 50Hz. Clearly the front to back ratio of this microphone is very well controlled being almost 18dB from 50Hz to 6kHz without much change.
An irritating feature of this mic was that the front was not identified and it is thought that the control settings are confusing.
Three polar responses were plotted, for the cardioid, figure-of-eight and omnidirectional settings. As can be seen the cardioid setting gave good results with the figure-of-eight patterns being rather unbalanced at the sides. The omnidirectional setting was perhaps incorrect.
**Neumann U89i**
The Neumann U89i is a twin membrane capacitor mic designed for 48V phantom powering. The unit, which has a satin chrome finish, incorporates an XLR plug in its base and three recessed rotary switches beneath the grille. Each switch shows a legend through a small hole, one switch being a 6dB attenuator, the second offering a choice of linear of highpass filters at 80Hz or 160Hz and the third selecting the polar response. The latter has a selection of four patterns, omnidirectional, cardioid, hypercardioid or figure-of-eight.
The measured sensitivity was 0.75mV/µbar in the cardioid and figure-of-eight polar patterns from a constant source impedance of 180Ω.
Noise was remarkably low at an equivalent of 18dBA SPL or 29dB CCIR-weighted quasi-peak. Response to both handling noise and sibilant sounds was very good with a medium sensitivity to wind noise and a reasonable anti-pop performance.
Current consumption at 48V was quite low at 0.7mA from the phantom powering. The application of a 10Oe external magnetic field gave an output equivalent to less than 50dB SPL, an excellent performance.
Frequency response was plotted in the cardioid setting for the front and back responses, the upper trace showing the effect of the 160Hz highpass filter setting, the filter having 6dB/octave attenuation. Whilst the frequency response for the front and rear was generally good, there was a peculiar effect at about 40Hz. The response was plotted several times to try to find the cause of this effect, but without success in the time available.
Polar plots were made for the cardioid, figure-of-eight and omnidirectional settings. In the cardioid setting the HF performance at the sides is rather disappointing with the figure-of-eight performance being excellent. As with the cardioid setting the HF performance at the sides was not good in the omnidirectional setting.
**Shure SM63**
The Shure SM63 is the only moving coil microphone included in this review and is intended for either handheld or stand-mounted use.
Finished in satin chrome, this microphone is small and exceptionally lightweight with an XLR plug built into the handle. The unit comes complete with a windshield and a stand adaptor.
The sensitivity to wind noise and popping was good even without the windshield. Handling noise was minimal but the mic did not take too kindly to excessive sibilants.
The sensitivity was quite high for a moving coil unit at 0.16mV/µbar from an impedance which varied from 200Ω at 100Hz to 320Ω at 10kHz. Being a moving coil unit it was more influenced by magnetic fields than the capacitor mics, giving an equivalent 94dB SPL output for a field of 10Oe.
A particularly nice feature was that the non-metallic grille was exceptionally robust and very easy to replace should it be damaged.
The frequency response at the front shows the intentional low frequency roll-off which was very close to the manufacturer’s data with a dip in the response at 6kHz, the performance at the back being good.
The polar response shows a good performance to the front with the anticipated loss of high frequencies to the rear for a microphone design of this type.
**Sony C48**
The Sony C48 is a twin-capsule mic with electrically switchable cardioid, figure-of-eight and omnidirectional patterns with two further switches giving ‘music’ or ‘voice’ filtering and inserting a 10dB attenuator.
These switches are located behind a hinged panel in the lower mic body with a window higher up showing red LED indicators for the three polar diagrams and mechanical indicators for the other two switches. Also behind the hinged panel is a holder for the 9V type PP3 battery which can power the mic in the absence of a phantom supply, an on / off switch in the base being used for battery powering.
The stand adaptor equipped with a ½in female pipe thread hinges on to the body with the XLR connector hinging on to the stand adaptor.
Current consumption from the 48V phantom powering was 0.7mA, or 4.6mA when battery powered. In the cardioid setting the sensitivity was 0.8mV/µbar with the self noise being reasonable, equivalent to 24dBA SPL or 32dB CCIR-weighted quasi-peak.
The output impedance remained below 150Ω with the sensitivity to external magnetic fields being equivalent to 84dB SPL to 10 Oe – rather sensitive. The performance against sibilants and
THE CONVERTIBLE.
Omni, cardioid, bi-directional or something in between. Flat or low cut, highly sensitive or with a 12 dB pad. The DC 63 turns into anything you please, but it will always be true to its sources.
Manufactured by CTAB, S-265 00 Åstorp, Sweden
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DRAWMER DUAL GATE DS 201
THE DRAWMER D.S.201 IS A LOW COST, SOPHISTICATED DUAL AUDIO SWITCH INCORPORATING A NUMBER OF EXTRA FEATURES, INVALUABLE TO THE RECORDING ENGINEER, WHICH ARE NOT FOUND ON CONVENTIONAL NOISE GATES.
* FREQUENCY CONSCIOUS KEYING Setting up noise gates on drums can be tedious and unrewarding. Cymbal noise appearing on drum microphones can cause erratic gating which has to be overcome by setting threshold levels high. The result is to lose a large portion of the rising edge of the drum envelope with consequent corruption of the original sound. The D.S.201 provides the complete answer to this problem by the inclusion of the "KEY FILTER". Offending frequencies can be removed from the key section only, enabling threshold levels to be set very much lower, thus preserving the original attack envelope.
ATTACK, HOLD AND DECAY — STEREO LINK — SELF-POWERED, 1u RACK MOUNTING — 80dB ATTENUATION RANGE GATING OR DUCKING — THREE L.E.D. ENVELOPE DISPLAY
ALSO AVAILABLE IS THE D.S.100: A SINGLE NOISE GATE WITH ALL THE ABOVE FEATURES EXCEPT THE STEREO LINK, WHICH IS DESIGNED TO FIT INTO THE "SCAMP" MODULAR RACK SYSTEM.
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Touch button delay selectors allow instant variations to be made to the processed signal, so effects can be silently dropped in and out or modified during a performance or a mix.
● D.S.201 £250 ● D.S.100 £115 ● DMT 1080 £450
For further details contact: Worldwide Agents, Recording Maintenance & Services, 01-943 1368
popping was very good with the sensitivity to wind noise being very good in the omni pattern, medium in other settings. This mic was relatively insensitive to handling noise.
Reference to the frequency response plot for the cardioid pattern shows that the 'voice' filter had a peculiar effect in that it tilted the frequency response rather than acting as a highpass filter. As confirmed by the polar response, the front-to-back ratio was not very good but remained constant with frequency over a wide range.
Reference to the polar plots shows a rather irregular rear response at high frequency in the cardioid mode but an excellent figure-of-eight performance. In the omnidirectional mode the performance is excellent at low and mid frequencies but is lacking at ±90° at 12.5kHz.
**Sony ECM 989**
The Sony ECM 989 is a battery-powered capacitor mic of the mid-side configuration incorporating three capsules, one facing the front and the others at ±90°. The outputs of the three capsules are mixed in a matrix to theoretically synthesise two cardioid mics, the angle between the axes of which can be electrically altered.
Other than the supplied windshield and stand adaptors the microphone comes with a special cable which plugs into the 5-pin XLR in the base and provides the two outputs at 3-pin XLR male connectors, the right channel being identified with a red dot. The microphone body can be separated from the capsules and connected by a 5-way XLR lead - thus allowing remote control of the angle between the two cardioid patterns at distances said to be up to 100m.
Other than the capsule lock there are two controls on the microphone body, the angle pot calibrated at 0°, 90°, 120° and 150° and the 3-position on/off switch. When the latter is switched on a red LED flashes if the battery is usable with the two on positions giving 'music' and 'speech' filtering.
Unscrewing the bottom half of the microphone gives access to the single AA size 1.5V battery from which the microphone draws 28mA for its internal 1.5V-to-9V DC-DC converter.
In the straight ahead mode the sensitivity was 0.3mV/µbar with the noise performance not being good at 27dBA SPL or 38dB CCIR-weighted quasi-peak for the two outputs.
The source impedance remained constant at 200Ω with the sensitivity to external magnetic fields being rather poor at an equivalent of 92dB SPL for 10 Oe. The sensitivity to wind noise, handling noise and popping was good with a medium sensitivity to sibilants.
Reference to the frequency response plot made in the 0° setting will show that the 'music' response was very flat with the 'speech' setting introducing a 6dB/octave roll-off below 150Hz. The front-to-back ratio in this setting remained fairly constant with frequency up to 4kHz.
Checking the polar response for the two channels in the straight ahead setting showed them to be effectively identical with the right hand polar response being shown.
Changing the angle between the effective cardioids played havoc with the polar diagram with the plots for the two outputs becoming dissimilar and a resemblance to a cardioid pattern being difficult to see as shown in the two polar diagrams for the 120° setting.
**Sony C-36P**
This is a cardioid capacitor microphone with the cardioid pattern horizontal (90° to the mic axis) when held vertically. The mic, finished in satin chrome, includes an XLR plug in its base with the capsule screwing on to the other end by means of a rather fine thread. The top of the capsule is identified with a cardioid symbol.
Intended for handheld or stand use, a stand adaptor is supplied with a ½in pipe thread and adaptors. Powering via a 48V phantom circuit the microphone drew 1.7mA with a sensitivity of...
Introducing the New VFM
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Trident Audio Developments Ltd.,
Shepperton Studio Centre,
Shepperton, Middx. TW17 0QD, U.K.
Tel: Chertsey (09328) 60241.
Telex: 8813982 (TRIMIX G.)
Trident (U.S.A.) Inc.,
652 Glenbrook Road, Stamford,
Connecticut 06906 U.S.A.
Tel: 203-348-4969
0.95mV/μbar from a source impedance remaining below 120Ω.
Self noise was on the high side at an equivalent of 24dBA SPL or 33dB CCIR-weighted quasi-peak with the sensitivity to external magnetic fields being good at an equivalent of less than 6dBA SPL for a 10Oe field. Sensitivity to wind noise was poor without the supplied windshield with the mic being rather sensitive to handling noise. Sibilants were handled well with the mic being fairly insensitive to popping.
The frequency response plot shows a well maintained response at front and back with a satisfactory front-to-back ratio. These matters are confirmed by the polar diagram plot which shows a very good performance over ±90°.
**Conclusions**
The mics reviewed show large differences in all performance parameters, particularly in respect of polar diagrams. Simply to say that a microphone has, for instance, a cardioid response hardly defines its performance.
Whilst multipattern mics are an attractive idea as they provide several polar responses at less cost than a set of dedicated mics, in my opinion the performance tends to be good only for a single pattern and a compromise for the others.
Whilst these reviews give a guide to the mics, as with other transducers, measurements tell only part of the story. The choice between mics which measure well will depend upon individual taste and the particular application.
*Hugh Ford*
STURDY DURABLE VERSATILE STANDS
FOR MICROPHONES, LOUDSPEAKERS, LIGHTING
We supply British made, purpose-built stands. A full range is available, both lightweight and heavy duty. Illustrated here are two of our models.
The HD1, with castors, incorporates pneumatically damped vertical extension tubes with compression rings, ideal for carrying 8 ft boom arm with microphone or strobe lights.
The HD4 heavy duty stand includes alloy castings on spiders. An extendable leg eliminates stability problems when in use on O/B location work.
For more details of our range, post the coupon or telephone for literature.
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A FULL RANGE OF STANDS AVAILABLE: CLIP COUPON FOR DETAILS.
NAME _______________________________________________________
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WALTER LUTHER LTD
AKG acoustics
Your Professional Partner
Equip yourself for the Digital Age with the AKG C 414 EB-P48
The C 414 EB-P48 is the latest development in a long line of famous AKG large diaphragm microphones, all employing the acclaimed CK 12 one inch dual diaphragm capsule. The electronics of the new C 414 EB-P48 are a completely new departure, and the key to the digital-level performance of the microphone.
The C 414 EB-P48 features:
- Large, one-inch dual-diaphragm system
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reviews
CALREC CM 2150C
MILAB DC63—OMNI
CROWN PZM 6LPB
MILAB DC63—FIG-OF-EIGHT
CROWN PZM 30GPG
MILAB DC63—CARDIOID
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If you're committed to making it in the pro world, give yourself some professional advantages – like dbx noise reduction.
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reviews
NEUMANN U89i—OMNI
NEUMANN U89i—FIG-OF-EIGHT
NEUMANN U89i—CARDIOID
SHURE SM63
SONY C48—OMNI
SONY C48—FIG-OF-EIGHT
YAMAHA Q1027
1/3 OCTAVE GRAPHIC EQUALISER
List Price £478 + VAT
Pro Price £360 + VAT
PREFERRED BY MOST PROFESSIONALS
27 × 1/3 octave bands, 40Hz to 16kHz, ±12dB cut and boost per band, 40Hz/80Hz High Pass Filter, EQ Defeat switch, Ground Lift on Inputs and Outputs, Output Phase Reversal switch, Peak Output L.E.D. indication, Unbalanced Jack and Transformer Balanced XLR Inputs and Outputs.
YAMAHA PROFESSIONAL SERIES
SWINTEK FOR THE BEST IN RADIOMICROPHONES
The photograph shows the Swintek dB-S hand-held radio microphone and its receiver. The 2 units can be as much as 1500 feet apart and still deliver clear, crisp, broadcast quality sound – sound so excellent it can confidently be mixed with sound from the best hard wire microphones. This exceptional performance is achieved by combining Swintek narrow-band technology with the unique dB-S system, which eliminates "buzz noise" interference from electronic sources, allowing the highest fidelity recording and transmission.
With Swintek you get all the advantages: the mobility and versatility of a wireless microphone with the quality and clarity of a cord microphone; you get a wide dynamic range and a signal-to-noise-ratio unmatched by any other wireless mic, and up to 8 mics on one set can be operated simultaneously within the legal UK band.
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Home Office Approved
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SONY C48—CARDIOID
SONY ECM 989—120° RIGHT OUTPUT
SONY ECM 989—0° RIGHT OUTPUT
SONY C-36P
SONY ECM 989—120° LEFT OUTPUT
CALREC (UK)
Calrec Audio Ltd, Hangingroyd Lane, Hebden Bridge, Yorkshire HX7 7DD.
USA: Audio & Design Recording Inc, PO Box 786, Bremerton, Washington 98310.
CROWN/AMCRON (USA)
Crown International Inc, 1718 West Mishawaka Road, Elkhart, Indiana 46515.
UK: HHB Hire and Sales, Unit F, New Crescent Works, Nicoll Road, London NW10 9AX.
MILAB (Sweden)
Creative Trade CTAB AB, Knutsgatan 6, S-26500 Asmundtorp.
UK: Radio Video Marketing Ltd, Unit 21, Royal Industrial Estate, Jarrow, Tyne & Wear NE32 9XX.
USA: Cara International Ltd, 4145 Via Marina, No 120, Maina del Rey, Cal 90291.
NEUMANN (West Germany)
Georg Neumann GmbH, Charlottenstrasse 3, D-1000 Berlin 61.
UK: Neumann Brothers Ltd, 49 Theobald Street, Boreham Wood, Herts WD6 4RZ.
USA: Gotham Audio Corp, 741 Washington Street, New York, NY 10014.
SHURE (USA)
Shure Brothers Inc, 222 Hartrey Avenue Evanston, Illinois 60204.
UK: Shure Electronics Ltd, Eccleston Road, Maidstone ME15 6AU.
SONY (Japan)
Sony Corp, PO Box 10, Tokyo Airport, 149.
UK: Sony (UK) Ltd, Pyrene House, Sunbury-on-Thames, Middlesex.
UK: Feldon Audio, 126 Great Portland Street, London W1N 5PH.
USA: Sony Corporation of America, 9 W 57th Street, New York, NY 10019.
Unbeatable! The RMX16.
The A.M.S. RMX 16. 9 controllable programs, 18 KHz bandwidth in a 3½" high rack mount case. The ultimate quality reverberator.
Advanced Music Systems
England.
Tel: (0282) 36943
U.S.A.
Tel: (213) 980-5717
COMPLEMENTARY PAIR
The 828, a high quality stereo output mixer with 8 or 12 mono mic/line inputs, HF, MF & LF equalisation, echo and foldback sends, PFL on headphones, limiters on outputs. PPMS & phantom power optional.
The 828-S, a broadcast quality stereo output mixer with 3 mono mic/line inputs and 5 stereo RIAA (phono) or line inputs. Comprehensive monitoring facilities include stereo ‘B’ check input with gain control, phase reverse, mono and dim, PFL on meters, VU’s or PPMS to order. 48v phantom power standard. LS mute by fader micro-switch available.
Alice (Stancoil Ltd.)
Alexandra Road, Windsor, England. Tel: (075-35) 51056/7 Telex: 849323 Aegis G.
The Soundfield microphone system is a unique combination of mics permitting ambisonic recording in such a manner that enables retention not only of front and back signals but also information in the vertical plane. This all comes from NRDC 'ambisonic' technology developed by a team including Professor Peter Fellgett at the University of Reading and Michael Gerzon of the Mathematical Institute in Oxford.
The real beauty of the Soundfield system is that it records the soundfield which can later be manipulated by panning and steering the signals in the horizontal and vertical planes.
The microphone consists of four subcardioid mic capsules mounted very close together in a symmetrical format shown in Fig 1, which gives left front up, left back down, right front down and right back up signals. These outputs from the microphone are known as the A-format signals which are processed in the control unit into what is called the B-format which is recorded on to tape—more about this shortly.
The four capsules are identical capacitor units with a cardioid type response pattern of $(2 + \cos \theta)$ which feed FET preamps in the mic head. These preamps are phantom powered down their balanced output lines which can deliver +20dBm corresponding to 138dB SPL which is an extremely loud sound.
Psychoacoustic studies show that below 700Hz (where the half-wavelength corresponds to the distance between the ears) the sound perceived corresponds to the sum and difference signals between the ears which is equivalent to the output from an omnidirectional mic and a figure-of-eight mic with its axis crossing the head. Because the head may be rotated, a further figure-of-eight response is needed with its axis in line with the head. In addition to this, vertical information can be derived from a figure-of-eight response in the vertical plane.
What this boils down to is that we require the equivalent of an omnidirectional pressure mic (W) and three pressure gradient mics with figure-of-eight responses in the front/back plane (X), the left/right plane (Y) and the vertical plane (Z). These W, X, Y and Z signals are known as the B-format signals and it is these which are recorded on to four tape tracks for subsequent manipulation.
The derivation of the omnidirectional W signal is simple as it is the result of adding the outputs of the four mic capsules in phase. Consideration of Fig 2 shows that the front/back (X) figure-of-eight can be derived from adding the two diagonal patterns (left front — right back) +
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particular mic using tests in an anechoic chamber. This module also includes switches for electrically inverting the mic which is necessary if, for instance, it is suspended from a ceiling.
The B-format signals then pass to the B-gain module which includes fixed high and lowpass filters in addition to drive amps, the gain of which is controlled by two front panel switches giving +6dB or +14dB gain (+20dB when both are operated). In addition there is a 4-gang gain pot for controlling the recording level.
Finally, before the tape recorder outputs, there is the monitor module which includes a PPM which may be switched to monitor any of the four B-format signals with the facility to switch in 20dB of gain in the PPM amplifier.
This module can also be switched to monitor the inputs from tapes. There is also a test tone facility which feeds a test tone to X, Y, Z or all outputs at PPM 4 according to the position of the PPM monitor switch. Tape outputs and inputs take the form of unbalanced XLR connections at the rear panel, having a nominal level of +4dBm corresponding to the PPM 4 calibration.
With the exception of the power supply module with its illuminated on/off switch the rest of the soundfield control unit is concerned with manipulation of the B-format signal from tape or from the B-format signals derived from the inputs.
The first of these modules is concerned with effectively rotating and tilting the microphone, that is controlling azimuth and elevation. When changing azimuth it is necessary to maintain a constant mic sensitivity for the X and Y components and this requires the law $X' = X \cos \beta + Y \sin \beta$ and $Y' = Y \cos \beta - X \sin \beta$. This requirement is achieved simply by using a 2-gang $\sin/\cos$ pot which gives a full $360^\circ$ control of azimuth.
Tilting of the microphone is by means of the elevation control which operates on the X and Z signals to give $\pm 45^\circ$ tilt. This more simple requirement is achieved by producing the separate $\pm 45^\circ$ components and mixing them in the required proportion to give the desired $X'$ and $Z'$ signals. Careful choice of the values of the resistive components around the elevation pot allows the desirable $\sin/\cos$ law to be followed.
The next Soundfield module is concerned with 'dominance'. This allows the direction of the dominant sound to be shifted to the front/back or up/down in eight switched steps and can for instance be used to give an orchestra dominance over the noise from the audience. This control manipulates not only the effective polar diagram but also the amplitude of the X/W or Z/W signals for back/front or up/down dominance respectively.
Following the two soundfield control modules a number of options are available in the output module. Firstly, if 'B output' is selected, the B-format signals may be recorded on to tape via the gain control—this facility may be used for dubbing using the soundfield controls—or for direct recording also using the soundfield controls. The second option is to use the 'ambisonic decode' setting. This allows the use of four loudspeakers connected to the output sockets for monitoring whilst employing the soundfield controls with the direct B-format signals being recorded on to tape. In this condition the loudspeaker outputs are compensated in amplitude and phase to give the optimum psychoacoustic effects with the four loudspeakers in a square 2 to 3 yards from the listeners. Where a square layout is not possible a loudspeaker layout control optimises the outputs for rectangular layouts between 1:2 and 2:1 in aspect ratio.
Further alternative outputs are the quadruple and the mono/stereo formats. In these formats the compensation of phase and amplitude is removed and the mics act as four cardioids with the rear mics being switched off in the mono/stereo setting. In both these formats a polar pattern and angle module is switched into action. This allows the angle between the effective stereo pair to be changed continuously between $0^\circ$ (corresponding to mono) and $180^\circ$. In addition, the effective polar pattern of the stereo pair may be continuously varied between omnidirectional through cardioid and hypercardioid to figure-of-eight.
Headphone monitoring of the front effective microphone pair is provided with its separate gain control and a stereo width control which may be reduced to mono.
The complete control unit is housed in a 19in wide unit, 3U in height. All modules are easily removable for servicing, having gold plated connectors which plug into sockets within the rack unit.
The layout of the controls is uncluttered with all the controls being clearly identified and readily mastered once the complexities of the system are understood.
So far as information on the system is concerned the manufacturer provided me with an excellent manual including description of the system, alignment, full circuit diagrams, PCB layouts, circuits and parts lists.
**Inputs and outputs**
The basic maximum sensitivity of the sound-field system was found to be 64dB sound pressure level for 0dBm output at the X, Y and Z outputs, with the actual microphone system sensitivity being 5.4mV/$\mu$bar for each capsule.
The mic input attenuator which switches the gain of the input amps, was found to offer 9.4dB attenuation for the four inputs against a nominal 10dB with a flat frequency response. The two gain switches in the B-format gain module offered 5.8dB and 13.6dB additional gain or with both switched in an extra 19.8dB gain, the frequency response remaining flat up to above 20kHz.
By applying a signal to the common polarisation voltage feed to the four capsules, the sensitivity and overload performance of the system was explored. Frequency response of the four channels was found to be matched to within $\pm 0.2$dB from 20Hz to 20kHz.
The overload limit on the microphone head was reached when the output hit the $\pm 15$V rails corresponding to 140dB SPL. This level is well above anything likely to be met in practice; however, the input module was not capable of accepting anything like this. With the 10dB attenuator out of circuit the input module could manage 114dB SPL at the onset of clipping, or 124dB SPL with the attenuator in circuit. Certainly this performance would be a limitation in some applications and an input overload indicator would be highly desirable.
Turning to the eight unbalanced outputs, four to tape and four to loudspeakers, these could all deliver in excess of +20dBm loaded into 600$\Omega$ from a very low source impedance of less than 2$\Omega$. The two stereo headphone outputs could deliver a similar level, but each from separate source impedances of 160$\Omega$.
Tape return inputs, also unbalanced, were found to be able to handle in excess of +20dBm with a rather low input impedance which varied with control settings between 1650$\Omega$ and 4500$\Omega$.
**A/B matrix**
The performance of the A- to B-format matrix was explored by again applying a signal to the mic's common polarisation feed and measuring the X, Y and Z outputs with a selective voltmeter at 1kHz whilst switching various combinations of mutes.
Checking the rejection of unwanted combinations gave the results shown in Table 1 which vary widely. These figures relate to the unit as set up for a particular mic head which has been compensated using tests in an anechoic chamber.
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It follows that small differences between mic capsules will make large differences to the figures given in Table 1.
With certain combinations of control settings or soundfields it was possible for waveform clipping to occur in the A/B matrix at quite low levels, for instance, if the left back and right front channels alone were present, clipping occurred at an equivalent of only 103dB SPL with the 10dB pad out of circuit.
**General**
As the metering is after the B gain control it does not give any indication of clipping in the input or B matrix modules, the B gain control having excellent tracking between the four channels down to −20dB.
An indication of PPM 4 on the meter corresponded to −0.5dBm output with the division between PPM indications being 4dB within the readability of the meter.
Selection of the test tone gave a level of 0dBm on the four outputs at 1043.9Hz with the third harmonic distortion being 0.05% and the second harmonic 0.01%.
Operation of the azimuth control gave most desirable effects. With omnidirectional mic settings the azimuth control shifted levels only 0.5dB, but with crossed 90° cardioid settings the azimuth control gave 22dB rejection at 45° and 135°. In a figure-of-eight configuration in line the off-axis rejection was as much as 43dB. Similarly the elevation control gave only 0.5dB level shift over its full range.
**Distortion**
Subject to avoiding clipping, which could occur in several parts of the system without any warning—the manufacturer should certainly look into the clipping problems in various sections and fit appropriate indicators—distortion was always at a very low level.
Within the mic input section and the A/B matrix the harmonic and twin tone intermodulation distortion remained below 0.01% irrespective of level. Measurement of the same distortion products from the tape inputs to the loudspeaker outputs with the azimuth/elevation and the dominance modules in circuit, again showed distortion at any level below clipping to be less than 0.01%. In fact intermodulation distortion did not exceed 0.01% until 32kHz was reached.
**Frequency response and noise**
The frequency response for the four channels from the mic head to the B-format outputs is shown in Fig 3, which demonstrates very close matching in sensitivity and level from 20Hz to 20kHz.
The continuation of the chain from the tape inputs to the loudspeaker outputs gave the frequency response as shown in Fig 4, with no deviations from 20Hz to 20kHz.
Noise in this section to the loudspeaker outputs depended to a large extent on the decoder settings and where appropriate the synthesised microphone polar diagram. Noise referred to the tape inputs was as given in Table 2.
Measurement of the mic noise in terms of a pair of synthesised cardioid mics as a coincident stereo pair produced good results. In terms of A-weighted sound pressure level the noise was 24dBA or CCIR-weighted quasi-peak 32dB SPL.
**Summary**
In measurement terms the overall performance of this microphone system is certainly very good with low noise and low distortion. However accidental clipping in several sections could be a problem with no user indication of clipping conditions although clipping can, of course, usually be overcome by altering control settings.
In view of the infinite variety of polar diagrams available the mic was not tested under anechoic conditions. Whilst a separate user report will appear with this technical review I cannot resist some subjective comments.
My impression is that this is the smoothest microphone that I have come across with the minimum of coloration. In particular the reproduction of the human voice and environmental sounds is uncannily natural.
Used purely as a stereo microphone the Soundfield has a great deal to offer, let alone its more sophisticated applications. **Hugh Ford**
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Calrec Model 3A
an operational assessment
The Mark 3A microphone differs slightly from the newer Mark 3B described by Hugh Ford; in general terms, the Mark 3B has improved performance and includes a useful LED feature in the microphone itself. The electrical differences between the two would probably not be noticed on a subjective basis.
Many examples are available of the Ambisonic recording capabilities of the Soundfield microphone, issued as consumer-format 2-channel UHJ discs and tape cassettes. I was more interested in seeing how the microphone performed in perhaps more subtle ways when used ambisonically, in exploring the post-production facilities of the soundfield controls, and in a general assessment as a conventional mono/stereo microphone.
Tests and monitoring
The control unit was set up to drive four identical power amps and four phase matched 2-way loudspeakers of around 6 litre capacity. This system was used to monitor the output of the microphone ambisonically, and to replay B-format test recordings taken from the mic or synthesised by other means. B-format recordings were taken from the microphone and made to include Z-channel (height) information; although no use is made of this in horizontal-surround decoding, it was felt prudent to make some recordings including height information against the day a professional ‘with height’ decoder arrives.
In exploring mono and stereo use of the microphone, various arrangements were synthesised using the soundfield controls and recordings made on a conventional stereo machine. The majority of stereo monitoring was carried out using a pair of Mission 730 Mk 1 loudspeakers rather than the much smaller enclosures used for ambisonics, to take advantage of the greater power handling and low frequency extension. The same arrangement was used in post-production stereo synthesis of material already recorded in B-format.
The microphone was set up in rooms of various sizes to record ambience, speech and other sounds at various distances. It was also set up outdoors, on a rooftop 65ft above ground to record the dawn chorus of birds very early on a June morning, and in a garden at ground level to capture the rustic sounds of a summer evening: bees buzzing, birds fluttering, leaves whispering, jet aircraft roaring overhead and railway trains clattering past. Several thunderstorms were also recorded outdoors, the microphone being mounted vertically beneath a large golfing umbrella, or more securely inside the house to take a ‘window’ perspective on the thunder and rain. Murphy’s Law arranged that at no time did any storm (some of which were severe) pass directly overhead; nevertheless, the ‘brooding’ quality of outdoor ambience, with mutterings of storms and thunder rolling around the skies as the edges of storms passed by, made excellent test material.
For direct stereo recording, cardioids or figure-of-eights were synthesised, and set at various angles, mostly between 90° and 120°. Quad pairs were also synthesised, and various angles and patterns tried, such as back-to-back cardioids crossed at 90°. The same patterns were synthesised from B-format recordings, and the various possibilities listened to in conventional stereo. Use was also made of the stereo headphone facility of the control unit, the ‘out of head’ images made possible by some of the synthesised patterns being compared to those obtained by traditional binaural arrangements using miniature omnidirectional electrets mounted on dummy heads or separated by a vertical plate.
The B-format decoder of the control unit was also compared subjectively to the Abacoid Professional Ambisonic Decoder, PAD 9211, using B-format material derived from the Soundfield microphone.
Ambisonic performance
I have never before heard indoor or outdoor ambience captured and reproduced with such stunning reality. In the case of outdoor recordings, one of the promises of this technology—that of ‘transparent walls’—was met. Distant sounds were reproduced far beyond the walls of the listening room, correct in all perspective. Birdsong and all the various minute sounds near and far were effortlessly recreated, and at times it was hard to believe that the loudspeakers in the room had anything to do with the soundfield. Sounds were so natural and convincing that it was often impossible to differentiate those recorded and those audible in the room from outside, particularly if windows were open. This led to amusing incidents like stopping the tape to listen to a bird apparently singing outside, only to discover that the particular bird was not ‘live’ but BASF!
Use of some of the Soundfield controls destroyed the sense of reality with the outdoor recordings. Azimuth rotated the field, elevation up or down changed the angle of ‘view’, but the soundfield remained stable and even. Changes in dominance crumpled perspective; they made the soundfield ‘lumpy’ and immediately made the listener aware of the artificial nature of the soundfield. This is perhaps to be expected; such a control and effect is a new experience in audio terms and no doubt in time listeners will adapt to such effects on outdoor recordings. I would liken the effect to the flattened and distorted perspectives obtained photographically by the use of a lens of extended focal length; we have all seen the effects so often that they are accepted by the eye and the brain does not protest. The dominance controls did not appear to have this effect on recordings made indoors however and I shall deal with this below.
The thunderstorms recorded outdoors were impressively captured, as was the distinct ‘pressure wedge’ of being outdoors under a large umbrella in the rain. But here the soundfield tended to form an annular ring about the listener at full centre, raindrops hitting the umbrella above or adjacent to the microphone being reproduced about 5ft away; that is to say, on the circle passing through the four monitoring loudspeakers. Sounds farther from the microphone were reproduced in correct perspective, rain hitting bushes and trees and thunder rolling at a distance were all ‘out-of-room’ and very realistic.
Indoor recordings recreated the ambience and acoustics of different sized rooms very accurately. Using the microphone in a rather confined space (much smaller than the physical dimensions of the listening area) produced a rather unnerving and claustrophobic effect, reflected sounds appearing to originate uncomfortably close to the listener, with an amount of mental confusion caused by the eye telling the brain that the walls of the (real) room were so far away and the ear perceiving reflections in the soundfield indicating ‘phantom walls’ much closer. There are intriguing possibilities to be explored here: use of the Soundfield mic in drama, for instance, as well as special effects in conjunction with a synthesised soundfield when working from multitrack as source material.
The dominance controls were found to be most useful on indoor recordings: artificially changing the mic’s position in the room, the acoustic view of the room changes but the phantom physical confines of the (recorded) room remaining largely constant. This effect seems to hold good regardless of the size of the original room, which implies that the crumpled perspectives noted on outdoor ambience do not occur when the Soundfield mic is used to capture a soundfield physically limited and confined by reflecting surfaces. Thus, dominance controls are useful in overcoming any compromises in microphone positioning which may have to be...
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made in certain venues, yet do not distort the soundfield or introduce an obvious element of artificiality in the reproduced effect. The effectiveness of dominance and elevation controls was demonstrated when recording a thunderstorm from within a room with the mic positioned close to an open window leaning outwards at around 75°. Use of these controls on the resulting B-format recording allowed useful changes in perspective, increasing or decreasing the acoustic influences of the room and rain on surfaces outside and below the mic. The stability of the window image was remarkable, as was the ability to 'zoom' to and from the window. Probably because of the brain's acceptance of windows admitting outside sounds, distortions in perspective were not found disturbing or unduly artificial.
Tests using voice or other sounds very close to the mic indoors indicate that localisation in the reproduced soundfield became vague and blurred. Since the microphone represents the head of the listener in the soundfield, sounds originating 4m away would have to be reproduced 'in the head' of a listener positioned at full centre. However, my tests seem to indicate that there extends a zone of about 2ft around the mic where the reproduced image refuses to localise. This cannot be wholly attributed to deficiencies in decoder or speaker arrangements, nor to interference fringes from the physical presence of the listener in the soundfield, as experiments—with soundfields synthesised from discrete sources using elementary localisation controls—show it is possible to vector phantom images very close indeed to the listener, to at least halve the 'no admittance' zone around the listener.
At distances of about 2ft localisation is fairly good, although I have doubts about the perspective. Beyond 5 to 6ft, the soundfield falls happily and naturally into place.
**Stereo performance**
Whilst I remain doubtful about some aspects of the *Soundfield* mic's ambisonic performance, it is a very different story when various arrays are synthesised and the mic used for conventional stereo, or mono, recording. There are no doubts at all about localisation in a stereo image of sounds originating just a few inches from the mic—images are stable and as convincing as stereo can ever be.
The mic is without doubt the most 'transparent' type I have ever heard, and I am unable to pinpoint any tell-tale colorations, only those produced by synthesising various polar patterns; for example, the typical bass-humping of cardioids on closely-miked speech.
Because certain of the *Soundfield* controls remain operative when a conventional stereo signal is taken from the control unit, these can be used to clean up or sharpen the pickup of the mic and discriminate against unwanted sound splash. Unless the mic is being used in a live broadcast situation, where the stereo output could be mixed with other conventional or synthesised microphones, it may be wise to record the mic output as a B-format signal and take advantage of the post-production possibilities and re-takes so that the best compromise can be found.
In short, the *Soundfield* is a superb stereo microphone, with many exciting possibilities as a result of the ambisonic technology, and must be assured of a future even if the full production techniques of ambisonics are never employed.
**Ergonomics**
The relative complexity of the microphone makes a dedicated multiway connecting lead necessary, and the MIL C-26482 19-pin multipole connectors used are not readily available as line-mounting mating pairs. Normally, 160 yards of lead restricts SPL handling at high frequencies, but the manufacturer quotes 138dB SPL at 1kHz, 134dB SPL at 10kHz under such circumstances, so long leads are not a problem. In a studio situation, it may not be convenient to operate with a 1-piece lead and cable drum, so that dedicated sectional leads may have to be made up, perhaps using some other type of multipole connectors, such as the circular QM-type.
The connector at the mic-end of the lead supplied was threaded to accept the $\frac{1}{4}$ in Whitworth thread of standard mic stands and booms, allowing it to be mounted readily in a vertical position on a stand. The microphone is light enough to be suspended by its lead without much fear of excessive strain, although the angle of cable entry into the connector/mounting boss causes a slight sideways tilt (nothing the *Soundfield*'s controls can't correct if required). The Mark 3A was found to be sensitive to mild physical shock and care should be taken not to tap the mic stand or allow the cable to flap against it, otherwise disturbing low-frequency thumps and rumbles result.
The Mark 3B, I understand, is fitted with an LED indicator, visible from below when the mic is suspended. Not only does this LED indicate power-on, it also serves to indicate the relative ambisonic 'north' or 0° azimuth. Very useful, and a feature missing from the earlier 3A.
The controls of the various modules comprising the control unit are straightforward for the most part, provided that time is taken to sit down with the manual to work through them and become familiar with the various functions and options. Discard or ignore the operating manual at your peril! A useful adjunct to the Calrec manual is a short-form guide entitled *The XWYZ of the Soundfield Microphone* prepared by Mike Skeet of Whitetower Records.
I found the output level control to mistrack noticeably over the lower part of its range, and as this was used to set the monitor level, it was rather a nuisance. I eventually solved this by arranging L-pad attenuators in the output of the tape recorder, fixing its own output level controls with small blobs of Plasticine after checking for identical levels in each of the B-format channels using a millivoltmeter. This allowed the output level control on the Calrec control unit to be used over the central portions of its range, where
---
**UHJ Encoder**
A 19in rack-mount unit, 1U high, the Calrec UHJ encoder may be used to produce consumer-format 2-channel UHJ software from professional B-format ambisonic masters. Compared to the complexity of the *Soundfield* Mic control unit module rack, the encoder is rather boring to look at, but is a vital link in providing end-user ambisonic software.
The front panel carries the only control—the mains power switch. The encoder operates on 110/240V AC mains, voltage selection effected by a screw on the rear panel which engages an internal switch. The rear panel is furnished with a 3-pole IEC mains input socket, mains fuseholder, voltage selector screw and input and output signal sockets.
B-format input signals X, W and Y only—Z (height) information is not used in the encoding process—are input via 3-pin *XLR* sockets, female contact, wired to BS/IEC standard. UHJ 2-channel signals are output via 3-pin *XLR* sockets, male contact, wired to the same standard.
Tests were carried out using the encoder in conjunction with the Abacoid *Professional Ambisonic Decoder* and the same array of phase-matched speakers and monitor amps used in the subjective evaluation of other ambisonic hardware. By feeding B-format signals in parallel to the inputs of both pieces of equipment, and connecting the UHJ-encoded output to the UHJ input of the decoder, it was possible to make an A/B comparison of the directly decoded B-format signal and the UHJ encoded signal by moving the input selector switch on the decoder.
Such a direct comparison showed up some of the deficiencies of 2-channel UHJ. Generally speaking, the soundfield is not as well defined, images are 'fuzzier' and localisations at 90° and 270° azimuth (east and west positions) are much more unstable and uncertain. Overall, the UHJ soundfield is 'grainier' and details subtly veiled. I would stress that this is a direct A/B comparison, and that 2-channel UHJ is capable of impressive results when heard in isolation.
In terms of audio fidelity, the encoder appeared transparent and noise-free. It will no doubt become a basic but very necessary piece of equipment for any studio using ambisonic recording techniques and where consumer-format stereo-compatible copies are required from the more robust B-format professional masters. It will, of course, allow a client copy of completed or partially-completed work (rough mixes in the case of synthesised soundfields derived from multitrack) playable on domestic stereo equipment and producing an ambisonic soundfield if a domestic UHJ decoder and the necessary additional amps and speakers are used.
Peter Carbinès
tracking of the separate elements is much more acceptable.
This could well be a problem in a studio situation, where accurate channel gains are vital to the proper reproduction of an ambisonic soundfield and monitor levels are much more comfortable at lower SPLs than is usual for stereo monitoring. Perhaps the manufacturer could offer the option of a module incorporating matched VCAs to ensure accuracy of gain setting.
The rear-mounted headphone sockets I found awkward, and if the control unit was rack-mounted, it would be difficult to reach them. I think that the two 6.3mm stereo jack sockets would be better mounted on the front of the headphone module.
Probably the biggest design defect lies in the function selector switch, which is co-axially mounted with the loudspeaker layout control. Misadjustment of the layout control is all too easy when the function selector is moved, and there seems no logic in combining the two controls in this manner. To make matters worse, the layout control is uncalibrated, so the whole process of setting up an accurate soundfield for monitor or replay purposes is rather hit and miss. I strongly advise that the layout control be separated from the function selector and provided with a better indication of the aspect ratios between the monitor speakers—some of the hazards of setting up and working with ambisonic soundfields have been described in *Circles of Confusion* (Studio Sound, August 1982). Ideally, the layout control should be accessible with a screwdriver.
**Which decoder?**
In assessing the soundfields captured by the Soundfield mic and the effects of the soundfield controls, it was felt that the performance of the Calrec decoder could be improved. Although not particularly obtrusive, there was a tendency for a 'noise node' to localise at 180° azimuth at a vector point approximately midway between full centre and the arc between the 'rear' speakers. Positioning oneself at this noise node, a degree of phasiness in the soundfield was perceptible. The noise node appeared to have no effect in terms of stability of images localised there, and did not seem to colour the sound of such images.
This effect has been noted before in earlier designs of B-format decoder, and appears common to domestic 2-channel UHJ decoders. Since the Abacoid *Professional Ambisonic Decoder* (reviewed Studio Sound, August 1982) was still on hand, subjective comparison was possible. The latter decoder tends to spread noise evenly over the soundfield with no obvious node and very little phasiness in the soundfield. In terms of image stability and localisation, there was nothing to choose between the decoders. However, I felt that the Calrec decoder had a slight 'veiling' effect which made it more fatiguing to listen to. I do not feel, though, that the performance of the decoder and the ergonomic problem of the layout control are in any way a real impediment in using the facilities of the Soundfield mic for ambisonic or conventional recording. Its advantages and performance far outweigh the niggles in the control unit.
**Peter Carbinès**
From Audio Ltd.
leading makers of radio-mic systems
the ultimate in sub-miniature microphones
- TR50 sub min electret with accessories
and certainly not expensive! Omni-directional electret, 30Hz-16KHz ±2dB and half the size of your thumbnail! With 5-pin Preh, Lemo 'B' or Lemo FC2308 plugs or powering adaptor to go into a Nagra, etc. Lined and fitted 'mini-case'. With mounting clips, windshield, case, etc. The better the system the more it deserves a TR.50 from Audio Ltd.
RADIO MICROPHONE SYSTEMS
by Audio Ltd in a worthwhile range of standard models or to spec. Used worldwide by the top names in TV, Films, Recording, Stage, etc. Get your enquiries in now!
Audio Ltd., 26-28 Wendell Rd., London W12 9RT
Telephone: 01-743 1518 and 4352
TAPE TIMING
There are several excellent reel to reel tape machines which although having audio specifications equal to studio machines inevitably have electrical and mechanical economies in order to bring them into the price range which is often called 'semi professional'. One such facility is tape timing. Most such machines have a mechanical tape counter driven from the take up spool which obviously cannot be used for timing. Our company has produced a small unit which can be added to most machines with little or no mechanical modification and around which the tape path is diverted. It simply consists of an optically encoded idler wheel linked to an LED display in hours, minutes and seconds. The idea is not new, after all the same principal is used in studio machines. However, we would like to present an off-the-shelf answer for reporters, musicians and engineers who are faced with such problems as running a complete item in order to find its length. For more information and our brochure call Steve Brown on Weybridge (0932) 54778, or write to the address below giving your tape machine and type of work. (The price of the unit illustrated is £69.50 plus VAT (including connecting lead and postage within the U.K.)
APPLIED MICROSYSTEMS Ltd.,
19 Baker Street, Weybridge, Surrey.
Micro-Processors in Sound and Television Broadcasting.
NEW BOOKS FROM LINK HOUSE
In addition to producing "VIDEO" "STUDIO SOUND" and other highly successful professional and consumer magazines, Link House also publish a number of important and well respected reference books on related subjects. The latest editions of these books are now available and each one is an absolute must for the busy professional working within the fields of sound and television recording and broadcasting.
PRO AUDIO YEARBOOK 1982/83
The PRO-AUDIO YEARBOOK is an annual guide to products and services for engineers and technicians operating in the world of professional recording and sound broadcasting around the world. Published in hardback and containing over 650 pages, it contains sections covering every conceivable pro-audio requirement. In addition to the many product sections, there are sections covering Engineering and Consultancy Services, Jargon and Journals, Computer Services and Training, and an important section providing full details of Mains Power Supplies in almost 200 countries.
The 1982/3 edition of the PRO-AUDIO YEARBOOK has been completely revised and updated, providing even better coverage of the ever expanding pro-audio market.
HOME VIDEO YEARBOOK 1982
Aimed directly at the rapidly expanding British home video market, the HOME VIDEO YEARBOOK is unique in that it caters for both the consumer and the retailer of domestic video.
Based on the successful format of the professional VIDEO YEARBOOK, and drawing on the expertise gained from Link House's video magazine publishing activities, the HOME VIDEO YEARBOOK covers not only every piece of home video equipment currently available on the UK market, but also lists and describes almost 2,000 video programmes and films, many with illustrations and reviews. The equipment sections cover not only the more obvious pieces of equipment, like Cameras and Video Recorders, but also many specialised accessories such as Lighting Equipment, Video Furniture and Library Cases.
VIDEO YEARBOOK 1982/83
To anyone engaged in the business of communicating via television, the INTERNATIONAL VIDEO YEARBOOK should need no introduction. This lavish publication has, over the years, become an institution to the buyer of television equipment or services around the world.
The first part contains over 70 separate sections covering every conceivable type of video equipment, ranging from Cameras, through Monitors, Effects, Editing to Video Recorders. In addition there are new sections covering Airborne Video, Satellite Stations, Antenna and Masts, Video Hard Copy and Portable Audio Mixers, and of course the renowned International Television Standards section.
The second part of the book contains the indexes, cross referenced to the product sections, and giving full addresses, phone and telex numbers and principal contact for over 2,500 companies in the video and related industries around the world.
These books are available through bookshops or from selected audio or video dealers. If, however, you experience any difficulty we offer a fast and efficient mailorder service with telephone ordering facilities for credit card holders.
Special Publications Group, Link House Magazines (Croydon) Ltd., Dingwall Avenue, Croydon, CR9 2TA, United Kingdom Phone 01-686 2599 extn 482 during office hours.
PLEASE SUPPLY:
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Classified Advertisements
Advertisements for this section must be pre-paid. The rate is 40p per word, minimum £10.00. Box Nos. £2.50 extra. Semi-display rates on application. Copy and remittance for advertisements in NOVEMBER issue must reach these offices by 12th OCTOBER addressed to: The Advertisement Manager, Studio Sound, Link House, Dingwall Avenue, Croydon CR9 2TA. Cheques made payable to Link House Publications (Croydon) Ltd.
Note: Advertisement copy must be clearly printed in block capitals or typewritten. Replies to Box Nos. should be addressed to the Advertisement Manager, Studio Sound, Link House, Dingwall Avenue, Croydon CR9 2TA, and the Box No. quoted on the outside of the envelope. The district after Box No. indicates its locality. SEX DISCRIMINATION ACT 1975: No job advertisement which indicates or can reasonably be understood as indicating an intention to discriminate on grounds of sex (e.g. by inviting applications only from males or only from females) may be accepted, unless (1) the job is for the purpose of a private householder or (2) it is in a business employing less than six persons or (3) it is otherwise excepted from the requirements of the Sex Discrimination Act. A statement must be made at the time the advertisement is placed saying which of the exceptions in the Act is considered to apply.
The attention of advertisers is drawn to "The Business Advertisements (Disclosure) Order 1977", which requires that, from 1st January 1978, all advertisements by persons who seek to sell goods in the course of business must make that fact clear. From the above date, consumers therefore should know whether an advertisement relates to a sale by a trader or a private seller.
SERVICES
THE COMPLETE SERVICE. Disc cutting (masters and demos), pressings, sleeves, cassettes, labels. Fixed and mobile recording studios. Free brochure. TAM STUDIO, 13a Hamilton Way, London N3. Tel. 01-346 0033. M
CASSETTE DUPLICATING from 38p 1-1/hispeed "SSP were very good quality, the best value for money" - Sound International, July 1981. Simon Stiable, 46 Westend, Launton, Oxon. Tel. 08692 2831. (L)
CASSETTE COPIES from your master (cassette or open spool). Also originals of your choir/orchestra. SOSS, Penny Plain, Metfield, Harleston, Norfolk. Tel. 037986 370. (J)
EVERYTHING FOR YOUR next small cassette production. Duplicating (from 1p per minute). Label printing (100 pairs £4.50). Inlay cards printed or blank. Cassettes wound to any length. Audiocard Records, 59 Mayfield Way, Barwell, Leicester LE9 8BL. Tel. 0455-47298. (M)
WIRING PROBLEMS: Let us wire your Jackfields, G.P. rack, and any special wiring assemblies for racks. Apply to: Media Installations Ltd., 142 Cranbrook Road, Chiswick, London W4 2LJ. Tel. 01-995 9391. (J)
SOLAR SOUND classical recordings on location or in studio, LP's or high quality cassettes. Real time cassette duplication facilities. Why not combine a short break by the coast in West Wales with your sound recording. Accommodation can be arranged. SOLAR SOUND, Seabank, Llanrhystud, Dyfed (09748) 248. (J)
STOP PRESS: Top quality high bias Japanese tape wound to exact lengths. C-10 30p, C-15 34p, C-30 45p. Selecta Sound, 040-24 53424 or 49-53424. (J)
SPEECH RECORDING
(VOICE-OVERS; LANGUAGES; AUDIO-VISUALS)
HIGH-SPEED CASSETTE COPYING
OPEN-REEL COPYING
(ANY SPEED - ALSO TO BROADCAST SPEC)
HIGH QUALITY BLANK CASSETTES
(C1-C96)
LABEL & CARD PRINTING
SPEECH-PLUS RECORDINGS LTD
UNIT 32, NO19, PAGES WALK, LONDON, SE1 4SB.
01-231 0961
Acoustic Technology
• Studio Design
• Sound Systems
• Noise Control
58 The Avenue, Southampton SO1 2TA
Telephone 0703 37811 Telex 47196
MEMO
To All Recorders
From: The Tape Duplicating Company Ltd.
ONE TO A MILLION
We now offer Real Time and High Speed cassette duplication to all.
Ask TODAY for details and get a price list of our services we also have in house computer cassette and ¼" master tape copying at very competitive prices.
Contact JOHN SCHEFEL Studio Manager,
4/10 North Road, Islington, London N7 9HN
Telephone: 01-605 0087 Telex: 264773 METROS G
MAIN 3M WOLLENSAK DEALERS
Meticulous alignment of all machines before sale. Excellent servicing facilities. SCS Cassettes C2, C100 on orders of 100 and over. Stockists for 3M Audio and Video cassettes. Fast-copying service. Prompt personal attention.
SOUND CASSETTE SERVICES LTD.
P.O. Box 2, Chard, Somerset TA20 1LR.
Tel: 04906 5393
RING US...
FOR BLANK CASSETTES
EMPTY SPOOLS
LEADER TAPE
1/4" CARTRIDGE BODIES
1/4" NAB REFILLING SER.
CASSETTE DUPLICATING
WHITE TAPE BOXES
1/4" TAPE IN ALL LENGTHS
SPlicing TAPE
RAZOR BLADES
RING 01-399 2476/7
MEDIATAPE LIMITED
The Courtyard, 152-154 Ewell Road, Surbiton, Surrey KT6 8HE, England
AMPEX MAGNETIC TAPE STOCKISTS
WHY NOT PHONE US NOW FOR A QUOTE?
CAN YOU AFFORD NOT TO
SERVICES
COUNTY RECORDING SERVICE
For super quality Master Discs, Demo Discs and Pressings. Scully lathe with our latest CR 82/01 Stereo Cutting System.
Also half speed cutting for that very special disc. Dolby 'A', Dolby 'B' and DBX noise reduction.
London Rd., Binfield, Bracknell, Berks RG12 5BS
Tel. BRACKNELL (0344) 54935
SERVICING PROBLEMS?
Professional maintenance by qualified Electronic Engineer specialised in the following:
REVOX—TEAC—NAGRA—STUDER
Collection and Delivery by arrangement. Please phone for appointment: 01-301 1864 lanny@tel.
P.A.H. ELECTRONIC SERVICES
42 Sutcliffe Road, Welling, Kent
TANNOY SERVICE
We have an extensive stock of Tannoy spares and exchange units and offer a prompt, efficient service including delivery and collection. We perform B & K analysis on all units to factor out any conditions.
For all repairs, contact the factory accredited service agents: Elliott Bros. Ltd.
ELLIOTT BROS. (Audio Systems) Ltd., 9 Warren Street, London W1. Tel. 380 0511
GATEWAY CASSETTE COPYING
High quality real time cassette copying at the lowest prices.
Phone 01-223 8901
FOR SALE—TRADE
ALICE ACM. 16 x 8 x 16 full patch bay parametric EQ, PPM's, etc. £6,900. Ampex MM1000 16-track 2in with full remote +var., completely reconditioned, spare 8-track H block, £5,550. Package £11,500, Phone 0203-21000. (J)
STUDIO REPUBLIC
47 High Street, Pinner
01-868 5555
TIM WIGHT
Technical Design and Drawing Service
Working drawings for construction or installations, from panel layouts to system schematics.
The Yard, 1 East Dulwich Road, London SE22 01-279 1311
TAPE DUPLICATING
ENDLESS CASSETTES
INDUSTRY SUPPLIES
EXCHANGE CASSETTES
SELECTA SOUND
18 BALMORAL ROAD
GIDEA PARK
ROMFORD, ESSEX
Tel. 040-24 53424 John Smailes
FOR SALE — TRADE
CUT THE COST OF RECORDING. Sale of 1in. ex-master recording tapes. Ampex 406, Scotch 256, Scotch 206, BASF SPR50, £8 plus VAT.
ACTION SOUND, 01-428 3714, 01-734 0135. K
3M WOLLENSAK cassette copier, also endless loop cassettes, single edged razor blades. Sound Marketing. Tel. Norwich (0603) 742538 for catalogue.
TASCAM 22/4 £695. Tascam M144 £473. Credit facilities available. Erricks Bradford 309266 (Julian). (X)
EX-DEMO SALE
8 Kepex Gates in Rack £1700
TAC 16 by 4 mixer £499
TEAC C2 cassette £449
Revox Cassette £562
TEAC Autolocator 85/16 £250
TEAC 80-8 + dbx £160
TEAC 133 AV cassette £340
Klark Teknik DN34 £679
DN27A £420
DN22 £420
Otari 4 Track 5050 £1925
RSD 16 into 4 into 2 £781
TEAC 3440 simul sync £651
Soundcraft 1S 16 by 2 £1443
All prices plus VAT & collect
Call Garry now on 01-440 9221
CALREC CAPACITOR MICROPHONES
Enthusiasts and small studios should contact us—the low cost way of getting CALREC quality is the 600 series—FREE DIY power unit circuit.
Mike Skeet: WHITETOWER RECORDS, 2 Roche Gardens, Milton Keynes MK5 6HR. (0908) 73969
We will also purchase used Calrec mics.
MAGNETIC TAPE HEADS
Manufactured to order for ¼", ½", 1" and 2". Please specify machine type. We also offer a relapping service.
BRANCH & APPLEBY LTD.
Stonefield Way, Ruislip, Middx. HA4 0YL
Tel. 01-864 1577
Sale of 1" tape, excellent condition, no edits. BASF SPR 50 and Scotch 206. Only £5.00 + VAT each. Large range of new and second-hand equipment at competitive prices. Telephone or send s.a.e. for list.
MICHAEL STEVENS & PARTNERS
The Homesdale Centre, 216-218 Homesdale Road, Bromley, Kent BR1 2OZ
Tel. 01-464 4157 day or 01-467 0382 evenings
FOR SALE—PRIVATE
CADEY 16-TRACK 2 inch, £3,250. EMT 140 stereo plate, £2,200. Pace DM 32/16/2, £1,200. Ring Sieve, Whitstable 263847 or Herne Bay 64785 after 6 p.m.
AUDIO DEVELOPMENTS AD007 MIXER. 8-channel 4 group. Individual channel outputs. Comprehensive equalisation. Limiters. Phantom Power. Talkback. Tape monitoring. PPMs. Battery or Mains. £1,980. Tel: 01-891 3095.
A.C.E.S. 12.4-2 mixing desk (XLRS) and multicore, as new, hardly used. £650 o.n.o. Tel: 01-352 6723 after 6pm.
40dB SOUND ATTENUATION partitions with double-glazed windows, door, 4in thick steel frame. Measures approx. 8ft x 6ft 6in. Offers (0252) 723518.
SOUNDCRAFT 1624 mixing console, £7,000 o.n.o., inc. VAT. Also Panasonic Video monitor and camera, £150. Tannoy Berkeleys (damaged) £115. Tel: 0635-253383.
TEAC TASCAM 80/8 multitrack recorder. Revox B77 MkII high speed master with varispeed. Both excellent condition. £2,100 the pair. Buyer collects. Phone Eric 02372 5994.
ITC STEREO CARTRIDGE MACHINE, Model RP. 240 volts 50Hz operation. Tested only and in truly mint condition. Current list price £2,239 plus VAT. One only for sale at £1,600 plus VAT. Please telephone 01-888 1909.
FOR HIRE
½in 8-track package for hire from £75 per week or £50 for 3 days + vat. Phone 549 4800 anytime.
STUDIO FACILITIES
ATTWELL AUDIO for classical sound recordings, location or studio (Steinway Grand), demonstration tapes, records or high quality cassettes. 124 Lower Richmond Road, Putney SW15 1LN. Tel: 01-785 9666.
PUBLICATIONS
MASTER THE RECORDING SCIENCE. Sherman Keene's "Practical Techniques for the Recording Engineer" is a book about the real world of studio recording. Acclaimed by magazines, reviewers, college teachers, studio owners and engineers, 381 pages, 28 chapters (4 on computer mixing). To order, send $29.75, plus $3.00 shipping, to: Sherman Keene Pub., 1626 N. Wilcox No. 677-E, Hollywood.
PROPERTY FOR SALE
GENUINE TUDOR HOUSE
Dated c.1500, with large outbuildings suitable studios or workshop, in Long Whatton, Equidistant Derby, Nottingham, Lincoln, convenient for road and rail and air communications and excellent through-route schools. Three reception, study, 2-4 bedrooms, plus guest suite/granny flat. 2/3 acres with lawns, fruit, fishpond, small stable. £75,500.
Tel: Mr. Cundall, 0509 Loughborough 842245
SITUATIONS WANTED
TOP SOUND ENGINEER. Urgently seeks staff position in major UK studio. Salary negotiable. Box No. 880, c/o Studio Sound.
SITUATIONS VACANT
STUDIO ENGINEER
Europe's foremost A.V. facilities company needs an experienced professional Recording Engineer. This is a rare opportunity to work with an international team of professionals. Voice recording, multitrack recording and mixing experience essential. Please apply in confidence to the Facilities Manager, Sarnen Audio Visual. 01-743 1288.
NATIONAL SALES MANAGER USA
A recently formed subsidiary of UK pro-audio manufacturer located in suburban NY, seeks qualified candidates of U.S. citizenship with several years experience organising dealer/rep networks. Additional responsibilities include ad and promotion campaigns, sales forecasts and budgets. This ground floor opportunity ensures the successful candidate continued advancement. The position requires nationwide travel. Compensation, including Company car, will be commensurate to the position and candidate's experience. Apply in writing or telephone in the first instance to:
John Farrell
Vice President (Sales & Marketing),
Soundtracs Inc,
262A Eastern Parkway, Farmingdale,
NY 11735, U.S.A. Tel. (516) 249 3669
FOR DETAILS OF HOW TO ADVERTISE IN THIS SUCCESSFUL SECTION CONTACT MARTIN J. MILES 01-686 2599 ext. 551
WANTED
8/16 TRACK EQUIPMENT inc mastering and cassette copier mics and stands. Res A. Murphy, 128 Ballylesson Road, Ballylesson, Belfast. Tel: 826827.
COURSES
SHERMAN KEENE Correspondence Course. Author of acclaimed textbook "Practical Techniques for the Recording Engineer" invites you to study recording at home. Course includes reading and homework assignments in two textbooks with personal dialogue via cassette. Eight lessons per level, three levels. $250 per level. For information write: Correspondence Course, 1626 N. Wilcox No. 677E, Hollywood, CA, 90028.
Soundtracs audio mixers require a test engineer for final product test. At least three years experience of testing audio products in a production environment. The position entails final test, some design input, approval, writing test specifications, communication with the design team, and some post-development work. Much of our p.c.b. test is on semi auto jig. Up to £3,000 p.a. depending on experience, 26 days holiday, BUPA and other normal benefits. Todd Wells, 01-399 3392, or write Soundout Laboratories Limited, 91 Ewell Road, Surbiton, Surrey.
HAYDEN LABORATORIES LIMITED
Due to further expansion we are looking for a Sales Representative to join our Professional Audio Products Sales Team.
The applicant chosen will be responsible for selling the following products direct to Recording Studios:
- Sennheiser microphones and headphones
- Nagra/Kudelski portable tape recorders
- AEG Telefunken studio analogue and digital tape recorders
A good salary, a non-contributory pension scheme and an above average company car along with out-of-pocket expenses are offered.
Applications should be in writing and marked 'Private and Confidential' addressed to:
Mr. D W Hughes, Sales Manager,
Hayden Laboratories Ltd., Hayden House,
Chiltern Hill, Chalfont St. Peter, Bucks SL9 9UG
SENIOR DIGITAL DESIGN ENGINEER
Reporting to the Technical Director you will head our expanding digital design department.
The successful applicant will have:
* Evidence of relevant academic achievement
* A minimum of two years experience in Micro Processor Systems design
* Practical and design experience of disk based systems
* Theoretical knowledge of digital filters
* The ability to communicate effectively at all levels within the organisation
In addition it will be desirable, although not essential for applicants to have experience within the Audio Industry, and a practical knowledge of digital filters. We offer an extremely attractive salary and excellent technical facilities.
Please write in confidence with full career details and salary to:
Mr M. Newman
Soundcraft Electronics Ltd.
5-8 Great Sutton Street
London EC1V 0BX
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When you come to choose your new multitrack, deciding on a Studer will probably be easy. What will be a little more difficult will be which Studer to take - the new A80/VU Mk III or the new A800.
Both machines are superb examples of Studer precision. Both come with the new narrow head block that cuts the travel distance between the erase and record heads to 88 millisecs at 30 ips (now available as a conversion for existing A80/VU models). And both are available in several tape width/channel number configurations.
Whatever your criteria, choosing between the A80/VU Mk III and the A800 won't be easy. But then Studer never have been in the habit of taking the easy way out when it comes to performance.
STUDER INTERNATIONAL AG
CH-8105 Regensdorf Telephone (01) 840 29 60
F.W.O. Bauch Limited
49 Theobald Street, Boreham Wood, Hertfordshire WD6 4RZ
Telephone 01-953 0091, Telex 27502
STUDER REVOX AMERICA INC Nashville Telephone (615) 254-5651
STUDER REVOX S A R L Paris Telephone 533 5858
STUDER REVOX CANADA LTD Toronto Telephone (416) 423-2831
HOW WE HELP...
COMMERCIAL STUDIOS, FILM & VIDEO POST PRODUCTION & LIVE BROADCASTING
Solid State Logic design and produce the only totally integrated control room command centre. Modularity of software and hardware development ensures that your control room remains in the forefront. Adaptability of software and logic control enables you to extend your role within the Audio industry in the most cost effective way.
ABC TV's Post Production suite AS-4 in New York.
Danmarks Radio Truck 1, the world's first computer controlled outside broadcast vehicle.
BBC Radio's first computer controlled sound studio. Maida Vale 4
The Record Plant's motion picture scoring studio in Los Angeles.
See us at I.B.C. Brighton, 18th-21st September 1982
Solid State Logic Stonesfield, Oxford, England. Telephone (099) 389-8287
|
Here we investigate the relationships between modern foraminiferal assemblages from Atlantic and Pacific surface sediment samples and multiple environmental properties including water column and preservation variables using Canonical Correspondence Analysis (CCA). CCA finds two faunal dimensions that are highly correlated to the environmental variables included in the analysis, and then selects the best linear combination of environmental variables to explain sample positions along these dimensions. The first dimension (30.4% of the faunal variance) is related primarily to mean annual sea-surface temperature (SST, $r = -0.955$). Salinity, or some property correlated to it, also influences CCA Axis 1 within the tropics. The second dimension (7.9% of the faunal variance) accounts for environmental variability associated with an inverse relationship...
between SST and surface salinity, including variability in pycnocline phosphate concentration, range in nitrate concentration, water depth and chlorophyll. No evidence is found for a significant influence of selective dissolution, suggesting that carbonate ion concentration cannot be estimated for foraminiferal assemblages.
Our results support the use of foraminiferal assemblages preserved in deep-sea sediments to estimate SST. We use our results to develop a CCA-based transfer function using the relationship between SST and CCA Axis 1. We tested this new estimation method by reconstructing modern and LGM SSTs, and the SSTs down an eastern tropical Pacific sediment core, RC13-110.
©Copyright by Ann E. Morey Ross
February 10, 2003
All Rights Reserved
Foraminiferal Assemblages Preserved in Surface Sediments Correspond to Multiple Environmental and Preservation Variables
by
Ann E. Morey Ross
A THESIS
Submitted to
Oregon State University
In partial fulfillment of the requirements for the degree of
Master of Science
Presented February 10, 2003
Commencement June 2003
Master of Science thesis of Ann E. Morey Ross presented on February 10, 2003.
APPROVED:
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Major Professor, representing Oceanography
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Dean of the College of Oceanic and Atmospheric Sciences
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Dean of the Graduate School
I understand that my thesis will become part of the permanent collection of Oregon State University libraries. My signature below authorizes release of my thesis to any reader upon request.
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Ann E. Morey Ross, Author
ACKNOWLEDGEMENTS
The author expresses sincere appreciation to Dr. Alan Mix for his allowing me to make the transition from research assistant to student. I would also like to thank him for his understanding and support during this time of many changes in my life. Thank you to Mom and Dad, Carol, and Deb for their constant encouragement. Finally, I wish to thank Dana for his love, and Zane, for giving me perspective and joy.
Dr. Nick G. Pisias assisted with this project and will be co-author on the published version of this thesis. Dr. Warren Prell and April Martin provided the Brown University Foraminiferal Database. June Wilson’s taxonomic expertise helped create the OSU foraminiferal census dataset. Dr. Michael Behrenfeld provided the Sea-WIFs primary production estimates. Dr. David Archer provided the carbonate ion concentration and saturation state data.
# TABLE OF CONTENTS
## Foraminiferal Assemblages Preserved in Surface Sediments Correspond to Multiple Environmental and Preservation Variables
| Section | Page |
|------------------------------------------------------------------------|------|
| 1. Introduction | 1 |
| 2. Methods | 3 |
| 2.1 Canonical Correspondence Analysis | 3 |
| 2.2 Data | 10 |
| 2.2.1 Species Data | 11 |
| 2.2.2 Environmental and Preservation Data | 14 |
| 3. Results | 16 |
| 3.1. How many Environmental Dimensions can be identified from the Faunal Data? | 16 |
| 3.2. Selection of Environmental Variables within CCA | 21 |
| 3.3. Species-Environment Relationships | 23 |
| 3.3.1. CCA Axis 1 | 28 |
| 3.3.2. CCA Axis 2 | 34 |
| 4. Discussion | 39 |
| 4.1. CCA Axis 1: SST or SST and Salinity? | 39 |
| 4.2. CCA Axis 2: Inter-Ocean Differences | 43 |
| 4.2.1. Environmental Contrasts | 43 |
| 4.2.2. Selective Dissolution | 44 |
4.3. Paleoceanographic Estimation ........................................ 48
5. Conclusions .................................................................. 54
Bibliography ................................................................... 56
Appendix ....................................................................... 65
| Figure | Page |
|--------|------|
| 1. Map of Core Locations | 12 |
| 2. Graphs of stopping criteria | 20 |
| 3. Graphical representation of CCA results | 26 |
| 4. Graphs of the relationships between environmental and faunal variables to CCA Axis 1 | 29 |
| 5. Graphs of the relationships between environmental and faunal variables to CCA Axis 2 | 35 |
| 6. Contour maps of sample scores for CCA Axes 1 and 2 | 38 |
| 7. Relationship of salinity to SST residuals | 41 |
| 8. Inter-ocean differences in environmental and faunal variables with respect to CCA Axis 2 | 45 |
| 9. Graphs of CCA-based transfer function residuals | 50 |
| 10. Contour maps of modern SST reconstruction, residuals, and LGM reconstruction | 51 |
| 11. Graph of SST estimates in RC13-110 | 53 |
| Table | Page |
|----------------------------------------------------------------------|------|
| 1. Species list | 13 |
| 2. Environmental variables | 17 |
| 3. Tables of eigenvalues | 19 |
| 4. Environmental variables selected within CCA | 22 |
| 5. Canonical regression coefficients | 24 |
| 6. Species optima and percent fit | 27 |
Foraminiferal Assemblages Preserved in Surface Sediments Correspond to Multiple Environmental and Preservation Variables
1. Introduction
Foraminifera preserved in deep-sea sediments have been used to estimate sea-surface temperature [Imbrie and Kipp, 1971; Kipp, 1976], primary production [Mix, 1989], annual temperature as a function of mixed-layer depth in the tropical Atlantic [Ravelo et al., 1990], thermocline depth in the tropical Pacific [Andreason and Ravelo, 1997] and, most recently, carbonate-ion saturation at the seafloor [Anderson and Archer, 2002]. Does a unique response to each of these variables exist in the faunal data or is estimation of multiple environmental properties from foraminiferal assemblages an exercise in wishful thinking? Many water column and preservation variables are highly correlated in the modern ocean, making the identification of causal relationships difficult.
Early studies comparing faunal assemblages from plankton tows to water column characteristics suggested that species distributions are most highly correlated to SST, salinity and nutrients [Bradshaw, 1959; Parker, 1960; Berger, 1968], or to integrated water mass characteristics [Berger, 1968; the gyre margin fauna of Imbrie and Kipp, 1971]. Extending the investigation to identify relationships between surface sediment assemblages and water column properties proved to be more difficult, especially in the Pacific. A potential source of error is dissolution, which alters the
original composition of sea floor assemblages [Parker and Berger, 1971; Coulbourn et al., 1980]. This transformation of assemblages, by either selectively removing taxa preferring warm water or those preferring cold water, could influence environmental interpretations based on relative species abundances [Thompson, 1981; Berger, 1970].
CLIMAP [1981] utilized foraminiferal assemblages (and other fossil groups) from surface sediments to calibrate equations using the transfer function method of Imbrie and Kipp [1971] that could be applied to fossil samples, and used these equations to reconstruct SST fields for the Last Glacial Maximum (LGM). Imbrie and Kipp [1971] argued that the strong relationship between modern foraminiferal fauna from surface sediments and SST could have predictive value even if species don’t respond directly to SST. The only requirement is that the relationship between the true causal factors and SST remained constant through time. CLIMAP’s methods have been questioned in light of evidence that suggests CLIMAP may have under-estimated the magnitude of tropical cooling during the Last Glacial Maximum (LGM) [Thompson et al., 1995, Guilderson et al., 1994, Stute et al., 1995 and Rind and Peteet, 1985]. Efforts to resolve this controversy have focused on statistical methodology and avoidance of ‘no-analog’ conditions [Mix et al. 1999; Prell, 1985; Waelbroeck et al., 1998; Pflauman, et al. 1996; Le and Shackleton, 1994] in which past faunal variability exceeds that observed in the modern [Hutson, 1977], the influence of dissolution on estimates [Miao et al., 1994; Prell, 1985; Thunell et al., 1994; Le and
and the influence of environmental variables other than SST on faunal assemblages [Watkins et al., 1996; Watkins and Mix, 1998; Ortiz and Mix, 1995; Ravelo et al., 1990]. In spite of this effort, it remains unknown which (or how many) environmental properties most strongly influence the distributions of species abundances, and how reliably these relationships can be used for paleoenvironmental estimation.
Here we attempt to identify the water column and preservation properties that best describe faunal variability as reflected in surface sediment samples. We first determine how many properties can be resolved by identifying the number of statistically independent dimensions of the environmental and faunal data. We then employ Canonical Correspondence Analysis (CCA), a statistical method proven to be useful in ecology, to identify relationships between community structure and multiple environmental properties.
2. Methods
2.1. Canonical Correspondence Analysis
Canonical Correspondence Analysis [ter Braak, 1986] identifies dominant relationships between community data and multiple environmental variables. CCA is closely related to Reciprocal Averaging Ordination (RA, also known as Correspondence Analysis), and both are derived from Weighted Averaging (WA).
Ordination. Ordination refers to methods that order samples along gradients, and includes the familiar method of Q-mode Factor Analysis (QFA).
CCA, RA and WA are called unimodal methods because they assume the response of species along environmental gradients is unimodal, with a single peak and two tails. Under this model, the environmental preference of each species is represented by its weighted average maximum abundance, which is equivalent to the position of the peak for a symmetric distribution along an environmental gradient.
Gradients can be represented as axes, and samples are positioned relative to one another along these axes based on their faunal composition. Sample positions on these axes are called sample scores and species positions are called species optima, and are conceptually analogous to factor loadings and factor scores (respectively) in QFA. The result of both methods is a simplified model of the original dataset.
How do QFA and CCA differ? QFA is used to simplify a faunal dataset into a few orthogonal factors representing compositional end-members based on the faunal similarity of samples. In contrast, CCA reduces a faunal dataset into a few orthogonal gradients that best reflect the environmental properties included in the analysis. For example, to describe a single temperature gradient along which multiple species rise and fall in abundance, QFA may identify three factors from a faunal dataset that represent cold, intermediate and warm SST, whereas CCA would identify a single SST gradient along which species variability is maximized.
Relationships between QFA faunal factors and environmental properties are identified one at a time. The appropriateness of a defined relationship is typically determined by the ability of the resulting equation to reconstruct the environmental property of interest. Although some investigators check for independence of the environmental properties to be estimated, in many cases variables are highly correlated (such as summer and winter temperature) to one another. In contrast, CCA identifies the faunal dimensions that are most highly correlated to multiple environmental variables included in the analysis, and interprets the dimensions in terms of linear combinations of environmental variables. CCA thus objectively identifies an optimal set of environmental parameters that relate to (and may cause) species variations.
CCA is best understood as a modification of WA and RA. We simplify our description of these methods by limiting the discussion to the first axis only. The faunal and environmental datasets are formatted so that each row represents a sample and each column represents a variable (either a species or an environmental variable).
WA positions samples or species on an environmental gradient represented by a single environmental variable that is chosen by the investigator. To position each species along the environmental gradient, WA simply weights (multiplies) the relative abundance of each species in each sample of the faunal data by the environmental variable associated with that sample, and then averages all weighted abundances for each species (column-wise averaging). The resulting averages for
each species define the species optima. Species optima represent the environmental preference of each species as they approximate the position of maximum occurrence of each species along the gradient. One can then use the optima to find the sample scores by weighting the relative abundance of each species by its respective optimum, then averaging all weighted abundances within a sample (row-wise averaging). This procedure can be performed multiple times, each time relating the faunal data to a different environmental variable. As with QFA, WA provides no specific guidance as to which environmental properties can be estimated reliably.
RA follows the above procedure, but repeatedly alternates between calculating species optima and sample scores, until sample scores converge (no change from iteration to iteration within a defined tolerance). This method of identifying eigenvectors (by column-wise, and then row-wise averaging iteratively until convergence) is called The Power Method [Gourlay and Watson, 1973]. RA does not require any associated environmental data: one uses arbitrary but unequal initial sample scores instead of environmental data to begin the averaging procedure. The arbitrary sample scores are used to calculate species optima, then the optima are used to calculate new sample scores, and so on; repeating until sample scores converge. The resulting gradient, however, is now called a latent environmental gradient and is an eigenvector of the faunal data. As with QFA and WA, sample positions along this RA gradient must be compared to environmental variables after the analysis to describe the gradient in environmental terms.
CCA follows the RA procedure, but includes a regression of sample scores on environmental variables within each iteration. The resulting regression coefficients (called canonical coefficients) within each iteration are used to estimate new sample scores that replace the original sample scores, and are then used to calculate new species optima. The regression of sample scores on environmental variables effectively steers the faunal data to maximize the fit between the faunal composition of samples and the environmental data. The canonical coefficients from the final regression define the best linear combination of environmental variables that describe the final sample positions along the resulting gradient, and provide an environmental description of this gradient.
Final sample scores can be represented in one of two ways within CCA. Sample scores can be calculated either from the final species optima (WA, or weighted averaging, scores), or calculated from the canonical coefficients resulting from the final regression of WA scores on the environmental variables (LC, or linear combination, scores). If LC scores are chosen, the canonical coefficients define the axes as a linear combination of environmental variables, and the samples themselves have been fitted to the environmental variables. If WA scores are chosen, the canonical coefficients represent the best linear combination of environmental variables that describe the sample positions along each axis, but do not actually define the axis. In this case, species optima have been fitted to the environmental variables, but the samples have not. We have chosen to use the WA scores because
the relative positions of samples can be inferred from their faunal compositions and the positions of species optima (unlike the LC scores), and one can calculate the positions of samples from unknown environments (i.e. fossil samples) by using the positions of modern optima.
We summarize this iterative weighted averaging technique here, however algorithm details are given in Appendix A.
1) Choose arbitrary, but unequal, initial sample scores.
2) Calculate species scores by weighted averaging of the sample scores with sample scores as weights.
3) Calculate new sample scores by weighted averaging of the species scores with species scores as weights (at convergence these are the WA scores).
4) Obtain regression coefficients by weighted multiple regression of the sample scores on the environmental variables
5) Calculate new sample scores from the regression coefficients (at convergence these are the LC scores).
6) Center and standardize the sample scores to a mean of zero and variance of 1.
7) Repeat from step 2, using the sample scores from step 6 in place of the initial sample scores. Stop when new sample scores do not change within a prescribed tolerance from the sample scores from the previous iteration. The square root of the dispersion (Appendix A) of sample scores at convergence equals the eigenvalue.
Calculation of a second axis follows the same procedure, however an orthogonalization step (Appendix A) is included within each iteration (after step 6) that removes from the trial sample scores the linear correlation with the first axis.
Trial sample scores for additional axes have the linear correlation with the first axis and all other axes removed.
A well-known problem called the arch effect sometimes arises when using CCA and other unimodal methods. This mathematical artifact distorts sample positions on the second and higher axes. The arch effect occurs because the method assumes that all species distributions are symmetrical when in fact the maximum abundance of a species may occur at gradient extremes. The variance from truncated distributions along gradients is said to fold onto the second (and higher) axes, resulting in these axes having a geometric relationship to the first axis [Jongman et al., 1995]. We detrended by second order polynomials after we confirmed the existence of the arch effect in our results by visual inspection. Detrending by polynomials removes the arch effect by including a step in the orthogonalization procedure of CCA to make the sample scores uncorrelated to the quadratic function of the sample scores along the first axis for the second and higher axes [Jongman et al., 1995].
We select environmental variables in order of the amount of variance explained by the analysis, and exclude variables that are not statistically significant or are highly correlated to others already included in the model. Significance is determined by 199 Monte Carlo randomizations: CCA is performed on each of 199 randomized permutations of the original dataset; a variable is significant if the additional faunal variance explained is greater than that explained by 95% of the permutation tests. To avoid including variables that are highly correlated to one another, we reject
variables that result in variance inflation factors (VIF; Appendix A) greater than 10. A large VIF (> 20) indicates a variable is almost perfectly correlated to other variables already included in the analysis and therefore does not make a unique contribution.
We used the program CANOCO version 4.02 [ter Braak and Smilauer, 1999] to perform the CCA. The forward selection procedure is outlined below:
1. Perform CCA using the manual forward selection option on all faunal and environmental data. CANOCO lists environmental variables in order of how much variance each explains when CCA is run with each variable separately. We select the variable that explains the most variance (after testing for significance; $p < 0.05$) as the first variable.
2. CANOCO lists all remaining variables in order of how much variance each explains in addition to the amount explained earlier variables. We select the variable that explains the largest amount of variance from this list as the second variable after checking for significance. This choice is retained if the VIFs of all variables in the model are below 10 with this variable included. If the VIFs of any of the environmental variables already in the analysis are greater than 10, this choice is discarded and the variable explaining the next largest amount of variance is selected and evaluated similarly for inclusion.
3. Continue selecting variables as in step 2 until each of the remaining variables explains less than 1% of the remaining faunal variance.
2.2. Data
The data consist of foraminiferal assemblages from surface sediment samples throughout the Atlantic and Pacific basins. Corresponding environmental and preservation variables at the location of each sample are derived from published atlases. We have chosen to evaluate both oceans together to determine if the
relationships between fauna and environment in each ocean are consistent between oceans. If they are consistent, relationships missing from one ocean (as an artifact of sampling) will be filled in by relationships in the other ocean, potentially increasing the dynamic range and accuracy of the identified relationships. If the relationships are not consistent in the two ocean basins, the environmental variables must not be causal.
2.2.1. Species data. The faunal data are a compilation of the Brown University Foraminiferal Database [Prell et al., 1999]. Species identifications for samples of this database were made by one research group to reduce identification biases. These data were supplemented with samples from Mix [unpublished data] after intercalibrating with Brown University. These 992 samples are widely distributed throughout much of the Atlantic and Pacific Oceans (Figure 1). Following Mix et al. [1999], we combine the pink and white varieties of *Globigerinoides ruber* into *G. ruber* (total), and *Globigerinoides sacculifer* with and without a final sac into *G. sacculifer* (total). We include *Neogloboquadrina pachyderma* – *Neogloboquadrina dutertrei* (“P-D”) intergrade with *N. dutertrei*, and combine *Globorotalia menardii*, *Globorotalia tumida* and *Globorotalia neoflexuosa* into *Gr. menardii-tumida* complex. We calculate relative abundances with closure around 28 species groups (Table 1).
The faunal data are transformed by ln(percent abundance + 1) prior to the analysis. Relative abundances of species within a sample are frequently log-normal in
Figure 1. Core locations (indicated by ‘+’) of sediment samples containing planktonic foraminiferal species used here to identify the relationship between modern species and environmental and preservation variables. Census data are from the Brown University Foraminiferal Database [Prell et al., 1999] supplemented with data from Mix [unpublished].
Table 1. Species and environmental variables included in the analysis.
| CODE | NAME |
|------|------|
| UNIV | *Orbulina universa* |
| CONG | *Globigerinoides conglobatus* |
| RUBT | *Globigerinoides ruber* (total of white and pink varieties) |
| TENE | *Globigerinoides tenellus* |
| SACT | *Globigerinoides sacculifer* (total with and without final sac) |
| DEHI | *Sphaeroidinella dehiscens* |
| AEQU | *Globigerinella aequilateralis* |
| CALI | *Globigerina calida* |
| BULL | *Globigerina bulloides* |
| FALC | *Globigerina falconensis* |
| DIGI | *Globigerina digitata* |
| RUBS | *Globigerina rubescens* |
| QUIN | *Globigerina quinqueloba* |
| PACL | *Neogloboquadrina pachyderma* (left coiling) |
| PACR | *Neogloboquadrina pachyderma* (right coiling) |
| PDTR | *Neogloboquadrina dutertrei* (including *pachyderma-dutertrei* intergrade) |
| CGLM | *Globoquadrina conglomera* |
| HEXA | *Globoquadrina hexagona* |
| OBLI | *Pulleniatina obliquiloculata* |
| INFL | *Globorotalia inflata* |
| TRUL | *Globorotalia truncatulinoides* (left coiling) |
| TRUR | *Globorotalia truncatulinoides* (right coiling) |
| CRAS | *Globorotalia crassaformis* |
| HIRS | *Globorotalia hirsuta* |
| SCIT | *Globorotalia scitula* |
| MTTL | *Globorotalia menardii, Gr. menardii flexuosa,* and *Globorotalia tumida* |
| GLUT | *Globigerinita glutinata* |
| THEY | *Globorotalia theyeri* |
distribution [MacArthur, 1960]. The log transform normalizes the species data, an assumption of our statistical methods. Transforming these data also prevents the few highly abundant species from dominating the analysis and increases the contributions from less abundant species.
The addition of a constant to each value prior to transformation prevents taking the log of zero. Because the influence of the choice of constant on statistical analyses has not been adequately addressed in the literature, we compare our results using a constant of 1 to those using constants of 0.1, 0.5, 2.0 and 5.0. CCA eigenvalues are similar for all constants except for 5, which appears to increase the noise such that it interferes with the structure of the data. Also, the addition of constants from 0.1 to 2.0 do not influence the canonical coefficients for the first eigenvector and only slightly for the second eigenvector, while the addition of 5.0 greatly influences the canonical coefficients for both the first and second eigenvector. This suggests our choice of one for the constant does not unduly influence the results.
Although we do not transform the environmental data prior to the analysis, CANOCO transforms the data within the analysis such that each variable has a mean of zero and variance of one.
2.2.2. Environmental and preservation data. Physical and chemical water column variables for the sea-surface and the pycnocline were extracted from the World Ocean Atlas Database 1998 [Ocean Climate Laboratory, 1999], hereafter referred to as WOA98. Pycnocline depth was defined as the maximum in the rate of change in
density with depth (averaged over 50 m). If more than one peak in the density gradient was found, the shallowest value was chosen. Annual averages, minima, maxima, and ranges (seasonal maximum minus minimum) of temperature, nutrients and other chemical and physical characteristics of the water are calculated at these levels. Primary production estimates [Behrenfeld et al., 2001], expressed as annual average and seasonal range at each location, were derived from satellite data (SeaWiFS; Sea-viewing Wide Field-of-view Sensor) collected between September 1997 and August 2000 - an interval that includes both El Niño and La Niña conditions. We estimated carbon flux at the seafloor (annual average and range) from this primary production data using the relationship of carbon flux to water depth described in Suess [1980].
Water depth (recorded with the faunal data) and carbonate ion concentration variables [Archer, 1996] are included as calcite dissolution proxies. Water depth was included because it has been used to reflect the influence of water pressure on the solubility of calcite. We included sea-floor values of modeled carbonate ion concentration ([CO$_3^{2-}$]) and calcite saturation state ($\Delta$CO$_3^{2-}$); the difference between [CO$_3^{2-}$] and calcite saturation. These carbonate concentration variables reflect the combined influence of water depth, acidification due to the respiration of organic matter, calcite production, temperature, salinity, and alkalinity of the water at the location of each sample.
The environmental variables were screened prior to analysis to remove redundant or problematic variables. Oxygen concentration at the sea surface was excluded from the analysis as it is primarily a function of temperature. Sea-surface and pycnocline density variables were excluded because they reflect the combined influence of temperature and salinity. Pycnocline nutrient range variables were not included in the analysis because some data are missing in winter for high-latitude samples. Table 2 lists the 35 environmental and preservation variables that are included in our analysis, and their sources.
3. Results
3.1. How many Environmental Dimensions can be Identified from the Faunal Data?
Imbrie et al. [1973] state that the number of statistically independent environmental variables that can be estimated must be less than the number of statistically independent modes of the faunal data. This restriction on the number of environmental properties that can be estimated prevents the estimation of more dimensions than actually exist and therefore is appropriate regardless of method, unless one has additional information. While not explicitly stated, this reflects the need to have at least two unimodal faunal variables (which could be Q-mode factor loadings) with different means with respect to a single environmental variable to provide a unique solution to transfer function inversion [Imbrie et al., 1973; Imbrie and Kipp, 1973].
TABLE 2. Environmental variables used in the analysis. All values are annual averages, except for range values, which are calculated from seasonal averages.
| CODE | VARIABLE | SOURCE | UNITS |
|--------|-------------------|-------------------------|-----------|
| | **Sea-surface variables:** | | |
| SST | Temperature | WOA98<sup>1</sup> | °C |
| SSTrg | Temperature range | WOA98<sup>1</sup> | °C |
| SSTmin | Minimum temperature | WOA98<sup>1</sup> | °C |
| SSTmax | Maximum temperature | WOA98<sup>1</sup> | °C |
| Salt | Salinity | WOA98<sup>1</sup> | psu |
| Saltrg | Salinity range | WOA98<sup>1</sup> | psu |
| Chlor | Chlorophyll | WOA98<sup>1</sup> | µM |
| Chlorrg| Chlorophyll range | WOA98<sup>1</sup> | µM |
| NO<sub>3</sub> | Nitrate | WOA98<sup>1</sup> | µM |
| NO<sub>3</sub>rg | Nitrate range | WOA98<sup>1</sup> | µM |
| PO<sub>4</sub> | Phosphate | WOA98<sup>1</sup> | µM |
| PO<sub>4</sub>rg | Phosphate range | WOA98<sup>1</sup> | µM |
| SiO<sub>2</sub> | Silica | WOA98<sup>1</sup> | µM |
| SiO<sub>2</sub>rg | Silica range | WOA98<sup>1</sup> | µM |
| PP | Primary production | Behrenfeld et al.<sup>2</sup> | g C/m<sup>2</sup>/yr |
| PPrg | Primary production range | Behrenfeld et al.<sup>2</sup> | g C/m<sup>2</sup>/yr |
| Sig(100-0) | Density contrast: 100m density minus surface density | WOA98<sup>3</sup> | σ<sub>t</sub> |
| | **Pycnocline Variables:** | | |
| PD | pycnocline depth | WOA98<sup>3</sup> | meters |
| PDrg | pycnocline depth range | WOA98<sup>3</sup> | meters |
| PT | Temperature | WOA98<sup>3</sup> | °C |
| PTrg | Temperature range | WOA98<sup>3</sup> | °C |
| PSalt | Salinity | WOA98<sup>3</sup> | psu |
| PSaltrg| Salinity range | WOA98<sup>3</sup> | psu |
| PdSig | Rate of change in density | WOA98<sup>3</sup> | σ<sub>t</sub> |
| PdSigrg| Rate of change in density range | WOA98<sup>3</sup> | σ<sub>t</sub> |
| PNO<sub>3</sub> | Nitrate | WOA98<sup>3</sup> | µM |
| PPO<sub>4</sub> | Phosphate | WOA98<sup>3</sup> | µM |
| PSI<sub>2</sub> | Silicate | WOA98<sup>3</sup> | µM |
| PO<sub>2</sub> | Oxygen | WOA98<sup>3</sup> | µM |
| PO<sub>2</sub>SAT | Oxygen percent saturation | WOA98<sup>3</sup> | percent saturation |
| | **Seafloor variables:** | | |
| Depth | Water depth | NGDC<sup>4</sup> | meters |
| SFCO<sub>3</sub> | Carbonate conc. at seafloor | Archer<sup>5</sup> | µM |
| SFdCO<sub>3</sub> | Carbonate conc. minus saturation | Archer<sup>5</sup> | µM |
| Cflux | Carbon flux | Behrenfeld et al.<sup>2</sup> data, and Suess<sup>6</sup> equation | gC/m<sup>2</sup>/yr |
| Cfluxrg| Carbon flux range | Behrenfeld et al.<sup>2</sup> data, and Suess<sup>6</sup> equation | gC/m<sup>2</sup>/yr |
---
<sup>1</sup>Ocean Climate Laboratory, 1999
<sup>2</sup>Behrenfeld et al., 2001
<sup>3</sup>Calculated from WOA98
<sup>4</sup>National Geological Data Center (http://www.ngdc.noaa.gov)
<sup>5</sup>Archer, 1996
<sup>6</sup>Suess, 1980
We investigate the dimensionality of our datasets using R-mode factor analysis, a method that identifies data structure through eigenanalysis of a cross-products matrix (in this case, the correlation matrix among variables) to determine how many significant independent modes of variability exist. We use two stopping criteria to evaluate how many eigenvectors should be retained. The broken-stick method identifies eigenvalues (the amount of variance explained by each eigenvector) as significant if larger than broken-stick eigenvalues (the amount of variance explained by random data) [Frontier, 1976]. This method has been shown by Jackson [1993] to accurately reproduce the dimensions of simulated data matrices. We also apply the commonly used scree plot method, which involves plotting the eigenvalues versus their rank order. The point at which eigenvalues deviate from a straight line drawn through the eigenvalues of higher rank indicates non-random variation. Cattell and Vogelmann [1977] argue all eigenvalues to the left of this point and one to the right should be retained.
R-mode factor analysis of the environmental data results in the eigenvalues shown in Table 3a. Three eigenvalues reflect non-random variation from the comparison of eigenvalues to broken-stick eigenvalues. The scree plot method suggests four eigenvalues should be retained (Fig. 2a). We conclude that three to four independent dimensions of non-random variation exist within our environmental dataset.
R-mode factor analysis of the faunal data results in the eigenvalues shown in Table 3b. Two eigenvalues are greater than broken-stick eigenvalues, however, the
Table 3. Tables of eigenvalues resulting from a) R-mode Factor Analysis of 35 environmental and preservation variables, and b) R-mode Factor Analysis of 28 faunal groups.
a) Environmental Data:
| Axis | Eigenvalue | % of Variance | Cum. % of Var. | Broken-stick Eigenvalue |
|------|------------|---------------|----------------|------------------------|
| 1 | 10.235 | 29.243 | 29.243 | 4.147 |
| 2 | 5.693 | 16.265 | 45.508 | 3.147 |
| 3 | 3.981 | 11.375 | 56.883 | 2.647 |
| 4 | 2.093 | 5.980 | 62.864 | 2.313 |
| 5 | 1.893 | 5.409 | 68.272 | 2.063 |
| 6 | 1.546 | 4.416 | 72.688 | 1.863 |
| 7 | 1.402 | 4.007 | 76.695 | 1.697 |
| 8 | 1.228 | 3.507 | 80.202 | 1.554 |
| 9 | 1.085 | 3.101 | 83.303 | 1.429 |
| 10 | 0.795 | 2.272 | 85.576 | 1.318 |
b) Faunal Data:
| Axis | Eigenvalue | % of Variance | Cum. % of Var. | Broken-stick Eigenvalue |
|------|------------|---------------|----------------|------------------------|
| 1 | 6.814 | 24.337 | 24.337 | 3.927 |
| 2 | 5.257 | 18.775 | 43.111 | 2.927 |
| 3 | 2.339 | 8.354 | 51.466 | 2.427 |
| 4 | 1.883 | 6.726 | 58.191 | 2.094 |
| 5 | 1.400 | 5.002 | 63.193 | 1.844 |
| 6 | 1.114 | 3.979 | 67.172 | 1.644 |
| 7 | 0.932 | 3.328 | 70.500 | 1.477 |
| 8 | 0.887 | 3.169 | 73.669 | 1.334 |
| 9 | 0.806 | 2.878 | 76.547 | 1.209 |
| 10 | 0.710 | 2.534 | 79.081 | 1.098 |
Figure 2. Comparison of stopping criteria for R-mode factor analysis eigenvalues for a) the environmental dataset, and b) the faunal dataset. A straight line through the higher rank eigenvalues indicates random variation (scree plot method). Eigenvalues from random data are plotted for comparison to actual eigenvalues (broken-stick method). Both stopping criteria produce the same results for the environmental eigenvalues, but there are differences between criteria when evaluating the faunal eigenvalues.
scree plot method suggests that five eigenvalues show non-random variation (Fig. 2b). We conclude that at least two, and possibly up to five, independent dimensions exist within the faunal dataset. Therefore, considering the number of both environmental and faunal dimensions in our dataset, at least one and possibly as many as four dimensions may be interpreted ecologically. To be conservative, we will limit our discussion to two species-environment relationships in CCA.
3.2. Selection of Environmental Variables within CCA.
Ten of the 35 variables in the environmental dataset were selected (Table 4) using the manual forward selection protocol within CCA. No environmental variables were rejected based on significance or VIF (based on $p < 0.05$ and VIF < 10), however selection stopped when each variable explained less than 1% of the remaining faunal variance. At this point, many environmental variables explained a similar amount of the remaining variance, making selection of the next variable ambiguous.
Mean annual SST explained more of the faunal variance (29.8%) than any other variable. For comparison, the other temperature variables (all of which are significantly correlated to mean annual SST) include seasonal minimum surface temperature (29.4%), seasonal maximum surface temperature (28.5%), mean annual temperature at the pycnocline (27.7%), range in surface temperature (11.6%) and range in temperature at the pycnocline (11.1%). Water depth (2.4% of the faunal variance) and [CO$_3^{2-}$] (1.0% of the faunal variance) were selected, while $\Delta$CO$_3^{2-}$ was
Table 4. Environmental variables selected for inclusion within CCA using the manual forward selection option in CANOCO (F-values and p-values calculated by CANOCO). Variables are listed in order of inclusion. Variance Explained refers to the percentage of total faunal variance each environmental variable explains for a four-dimensional solution.
| | Variable Name | Variance Explained (%) | F-value | p-value |
|---|------------------|------------------------|---------|---------|
| 1 | SST | 29.75 | 420.0 | <.005 |
| 2 | PPO$_4$ | 7.72 | 122.1 | <.005 |
| 3 | PP | 2.52 | 41.1 | <.005 |
| 4 | Salt | 2.30 | 39.0 | <.005 |
| 5 | Depth | 2.30 | 41.3 | <.005 |
| 6 | Sig(100-0) | 1.56 | 27.9 | <.005 |
| 7 | Chlor | 1.48 | 28.3 | <.005 |
| 8 | SSTrg | 1.48 | 28.6 | <.005 |
| 9 | NO$_3$rg | 1.17 | 22.9 | <.005 |
| 1 | SFCO$_3$ | 0.96 | 19.0 | <.005 |
| 0 | | | | |
not, suggesting that no distinct dissolution signal is represented by the faunal abundance data.
3.3. Species-Environment Relationships.
CCA identifies four faunal axes that have significant ($p < 0.05$) relationships to the 10 environmental properties selected. These four axes explain 51% of the total faunal variance. We previously determined that one to four environmental properties could be estimated from our data, and to be conservative, we will limit the discussion to two CCA dimensions. An additional constraint on the number of dimensions that can be interpreted is the ability of the statistical method to accurately describe the variability along these dimensions. Gradient length is a measure of faunal turnovers along a gradient, and is used to determine if unimodal methods are appropriate to describe the gradient. Gradient length is expressed in standard deviation units of species turnover (SD), and is calculated by dividing the range in sample scores by the average within-species standard deviation along the axis [ter Braak and Smilauer, 1998]. Axes 1 and 2 have gradient lengths greater than 2 (Axis 1 = 3.3 SD, Axis 2 = 2.2 SD), a commonly used cutoff, while Axes 3 and 4 have gradient lengths less than 2 (Axis 3 = 1.0 SD, Axis 4 = 1.8 SD), suggesting unimodal methods are not appropriate to describe variability along those dimensions. We therefore limit the interpretation of the CCA results to the first two axes.
The two retained CCA axes explain 38% of the total variance in the faunal dataset and 75% of the canonical variance (the percent of the faunal variance explained by
Table 5. Regression coefficients scaled to standardized variables (based on the environmental variables centered and standardized to unit variance).
| Name | Axis 1 | Axis 2 |
|----------|----------|----------|
| SST | -0.7485 | 0.3127 |
| Salt | -0.1558 | -0.3030 |
| NO$_3$rg | 0.0178 | 0.2607 |
| Depth | 0.0105 | 0.2213 |
| PPO$_4$ | -0.0486 | 0.2064 |
| Chlor | 0.0175 | 0.1411 |
| SFCO$_3$ | 0.0211 | -0.0725 |
| SSTrg | -0.0138 | -0.0660 |
| Sig(100-0) | -0.0063 | 0.0603 |
| PPavg | 0.0375 | 0.0531 |
all four axes). The relationship between environmental variables and the resulting axes can be inferred from the canonical coefficients (Table 5), which define the best linear combination of environmental variables that describe sample positions along each axis. The distribution of samples and placement of species optima within the two dimensions are shown in Figure 3.
The remaining 62% of the faunal variance is a result of noise (in both species abundance and environmental data), variability that is not explained by the environmental variables included, or non-linear relationships. We perform QFA on the faunal dataset to determine the amount of noise contained within the species percentage data. 60% of the total faunal variance is explained by five QFA factors (calculated from the coefficient of determination between the modeled species variability and the original faunal variability). The remaining 40% cannot be differentiated from noise. The two CCA axes, therefore explain approximately two-thirds (38/60) of the total faunal variance above the noise level. The 20% explained by the five QFA factors not captured by CCA is likely to be a result of environmental properties not included in the analysis, non-linear relationships between sample scores along the axes and the environmental variables, or noisy environmental data.
Percent fit is defined as the ratio of the modeled variance to the original variance for each species, multiplied by 100. Comparing the percent fit to the faunal variance explained by the two retained CCA axes (38%) places a value on each species with respect to its usefulness as an environmental indicator (Table 6). The faunal
Figure 3. Distribution of species optima (inverted triangles) and samples (indicated by ‘+’) within two dimensions identified by Canonical Correspondence Analysis of the foraminiferal data and associated environmental and preservation data. Each dimension represents a faunal gradient that is most highly linearly correlated to the environmental data included in the analysis. Positions of species optima are determined by the relationship of the weighted maximum occurrence of each species with respect to each gradient. The ability of the model to reconstruct the original variance of each species is indicated by symbols representing percent fit.
Percent Fit of Species
(= 100*(var(fitted)/var(orig)))
60-80% □
40-60% ○
20-40% ▼
0-20% △
Table 6. Positions of species optima and percent fit of each species for Axis 1 and Axis 2, and percent fit for both axes together. Species are listed in decreasing order of percent fit for both axes.
| Species | Species Optima | Percent Fit |
|---------|----------------|-------------|
| | Axis 1 | Axis 2 | Axis 1 | Axis 2 | Axes 1 + 2 |
| PACR | 1.26 | 0.48 | 62.5 | 3.7 | 66.2 |
| RUBT | -0.50 | -0.42 | 49.0 | 15.9 | 64.9 |
| AEQU | -0.61 | -0.20 | 58.9 | 3.1 | 62.0 |
| SACT | -0.62 | -0.14 | 57.8 | 1.0 | 58.8 |
| PACL | 2.73 | 0.04 | 58.1 | 0.1 | 58.2 |
| PDTR | -0.07 | 0.95 | 0.4 | 49.4 | 49.8 |
| QUIN | 2.36 | -0.13 | 49.5 | 0.1 | 49.5 |
| BULL | 0.72 | 0.36 | 44.4 | 3.7 | 48.2 |
| MTTL | -0.59 | 0.67 | 26.52 | 19.7 | 46.2 |
| OBLI | -0.71 | 0.70 | 24.7 | 11.5 | 36.2 |
| CALI | -0.42 | -0.38 | 23.4 | 9.2 | 32.5 |
| INFL | 0.90 | -0.28 | 29.9 | 1.9 | 31.8 |
| RUBS | -0.65 | -0.72 | 15.8 | 9.9 | 25.8 |
| TEN | -0.48 | -0.93 | 9.3 | 16.4 | 25.7 |
| TRUL | 0.76 | -1.08 | 12.2 | 13.0 | 25.3 |
| CGLB | -0.60 | -0.46 | 19.6 | 5.0 | 24.6 |
| FALC | 0.33 | -0.68 | 6.4 | 16.7 | 23.1 |
| TRUR | -0.02 | -1.01 | 0.0 | 18.9 | 10.0 |
| HIRS | 0.44 | -1.08 | 4.0 | 14.3 | 18.3 |
| DEHI | -0.71 | 0.78 | 7.9 | 5.5 | 13.4 |
| CGLM | -0.69 | 1.00 | 6.0 | 7.1 | 13.2 |
| SCIT | 0.33 | -0.60 | 3.4 | 8.4 | 11.8 |
| HEX | -0.35 | 1.46 | 0.9 | 10.4 | 11.2 |
| GLUT | -0.14 | -0.10 | 4.7 | 2.7 | 7.4 |
| DIGI | -0.38 | 0.07 | 7.2 | 0.1 | 7.3 |
| THEY | -0.27 | 1.86 | 0.2 | 5.3 | 5.5 |
| CRAS | -0.37 | -0.09 | 3.1 | 0.0 | 3.1 |
| UNIV | -0.11 | -0.26 | 0.9 | 2.1 | 3.1 |
variance is reproduced better than average if the percent fit of that species is greater than 38% and less than average if the percent fit is less than 38%. Species with high percent fit values should be included in next-generation transfer functions, whereas species with low percent fit values could be excluded without substantial loss of information.
3.3.1. CCA Axis 1. CCA Axis 1 explains 30.4% of the total faunal variance (59.4% of the canonical variance). Mean annual SST (canonical coefficient = -0.749, $r = -0.96$) best describes sample positions along this axis (Fig. 4a). Salinity also explains some sample variability along Axis 1 (canonical coefficient = -0.156), but the contribution is much smaller than that of SST. Compared to SST and salinity, contributions from other environmental variables are small (canonical coefficients range between -0.0486 and 0.0375) and of limited value to describe Axis 1 qualitatively.
Four species have obvious relationships to Axis 1 and no clear relationship to Axis 2 (Fig. 4b): *Neogloboquadrina pachyderma* (left coiling), *N. pachyderma* (right coiling), *Globorotalia inflata*, and *Globigerina bulloides*. Living specimens of these taxa are most common outside the tropics, and typically reach greatest abundance in transitional to subarctic/subantarctic environments [Bé and Tolderlund, 1977], although *G. bulloides* is also found in tropical upwelling systems [Prell and Curry, 1981]. *N. pachyderma* (left coiling) abundances are essentially zero at the negative extreme of Axis 1, but increase rapidly between 1.0 and 2.5 on Axis 1, and maintain
very high (near 100%) levels at the positive extreme of Axis 1. *Globigerina quinquiloba* has a similar relationship to Axis 1, however some samples with Axis 1 Figure 4. Relationships between environmental and faunal variables and CCA Axis 1: scatterplots of (a) all ten environmental variables selected by the analysis versus Axis 1, in order of decreasing linear correlation (from left to right, top to bottom), and (b) species with strong relationships to Axis 1 (and highest values of percent fit). Examples of species that increase with higher Axis 1 sample scores (cold-water species) are on the left, those with maxima in the mid-range of Axis 1 are in the center, and those that increase with higher Axis 1 sample scores (warm-water species) are on the right.
Figure 4a.
SST
Salinity
PPO$_4$
PP
SF CO$_3$
NO$_3$rg
Chlorophyll
SSTrg
Water Depth
Sigma(100-0)
Figure 4b.
N. pachyderma (left)
G. quinquiloba
G. bulloides
Gr. inflata
N. pachyderma (right)
G. glutinata
G. ruber
G. aequilateralis
Gr. menardii-tumida complex
scores greater than 2.0 lack *G. quinquiloba*, suggesting that temperature may not be the only influence on this species. *Gr. inflata* and *N. pachyderma* (right coiling) have unimodal distributions that peak near the middle of Axis 1 (between 0.5 and 2.0), but species abundances become more diffuse as scores along this axis increase. *G. bulloides* peaks in abundance near Axis 1 values of 2.0, but it also has a spike in abundance along Axis 1 from about –1.0 to –0.2, which may represent the occurrence of this species in some low latitude upwelling environments.
The negative (warm) extreme of Axis 1 is dominated by tropical/subtropical species such as *Globigerinoides ruber* and *Globigerina aequilateralis* (Fig. 4b). These species show a high degree of variability in abundance along this axis, however, suggesting that they are also distributed along another dimension. Of these species, *G. ruber* appears to be most highly correlated to Axis 1.
*G. glutinata*, like *G. bulloides*, has a bimodal distribution along Axis 1. The warm-water relationship is very similar to that of *G. aequilateralis*, with peak abundances occurring at the negative extreme of Axis 1, and the second abundance maximum occurs between values of 1 and 2 along Axis 1. This bimodal distribution is reflected in the low percent fit of *G. glutinata* (7.4%), reflecting the inability of CCA to accurately reconstruct the variability of this species in our dataset. Species showing bimodal distributions along CCA Axis 1 should not be included in transfer functions of temperature.
A transition zone exists, which separates tropical/subtropical species (such as *G. ruber* and *G. aequilateralis*) from those found outside the tropics, between values of approximately 0 to 1 along Axis 1. Most tropical species respond similarly with a wide range in abundances along Axis 1 from approximately –1 to 0, and then decrease rapidly from 0 to 1, as extra-tropical species increase in abundance. This transition may be an ecotone, a faunal transition resulting from a physical boundary separating two communities [Ricklefs, 1990]. The center of this transition zone corresponds to sea-surface temperatures of about $18^\circ$ to $20^\circ$C, suggesting the physical boundary may be related to the subtropical convergence zone (which is commonly identified by temperatures near $18^\circ$C, Worthington, 1959) currently positioned at about $40^\circ$N and $40^\circ$S.
The subtropical convergence zone separates tropical and subtropical waters, in which a relatively strong thermocline throughout the year and subpolar water where winter cooling breaks down the thermocline and forms subsurface “mode” water. Howard and Prell [1992] found evidence of the subtropical convergence zone in sediment samples of foraminiferal assemblages from Indian Ocean sediments, and used this information to track the convergence zone through time. Plankton tow data from near the south Atlantic subtropical convergence zone show no overlap in the composition of foraminiferal assemblages north and south of the convergence zone supporting the existence of this feature in living communities [Wefer et al., 2001]. It appears that the subtropical convergence zone may be an effective physical boundary.
between different environmental regimes, and that unique faunal assemblages are maintained in each region.
3.3.2. CCA Axis 2. The second axis explains 7.9% of the total variance in the faunal dataset (15.4% of the canonical variance). Several environmental variables contribute to the description of sample positions along Axis 2 as indicated by their canonical coefficients (Table 5). The contributions of mean annual SST (0.3127) and surface salinity (-0.3030) are greatest, although surface nitrate concentration range (0.2607), water depth (0.2213), pycnocline phosphate concentration (0.2064) and surface chlorophyll concentration (0.1411) also contribute to the explanation of sample positions along this axis. Of these variables, only salinity and pycnocline phosphate concentration are moderately \((r > 0.3)\) correlated to sample positions along Axis 1 (Fig. 5a).
Although SST and salinity are most highly correlated to sample scores along both Axis 1 and Axis 2, the environmental interpretation of Axis 2 is fundamentally different from that of Axis 1. Whereas Axis 1 predominantly reflects the latitudinal variability in species (Fig. 6a) associated with the positive correlation between SST and salinity, Axis 2 reflects variability in species associated with the negative correlation between SST and salinity that occurs in the tropics (Fig. 6b). Other environmental variables associated with this axis include nitrate, phosphate, and chlorophyll, suggesting that this inverse relationship between SST and salinity in part reflects a tropical upwelling or fertility gradient.
Figure 5. Relationships between environmental and faunal variables and CCA Axis 2: scatterplots of (a) all environmental variables selected by the analysis versus Axis 2, in order of decreasing linear correlation to Axis 2 (from left to right, top to bottom), and (b) species with strong relationships to Axis 2 (and highest values of percent fit). Examples of species representing more fertile environments increase with increasing Axis 2 sample scores (left), and species from more oligotrophic environments increase with decreasing Axis 2 sample scores. Note that although SST, surface nitrate concentration range, water depth and chlorophyll have relatively large canonical coefficients, salinity and phosphate concentration at the pycnocline (PPO4) have the most consistent relationships to Axis 2 sample positions.
Figure 5a.
SST; $r = 0.082$
Salinity; $r = -0.461$
NO$_3$ rg; $r = 0.281$
Water Depth; $r = 0.058$
PPO$_4$; $r = 0.447$
Chlorophyll; $r = 0.126$
SF CO$_3$
SST rg
Sigma(100-0)
PPavg
Figure 5b.
G. falconensis
G. sacculifer
Gr. menardii - tumida complex
G. ruber
G. bulloides
N. dutertrei
Figure 6. Contour maps of sample scores for CCA Axes. A) CCA Axis 1 sample scores, which are highly correlated to SST, show a strong latitudinal trend as well as equator-ward deflection of latitudinal trends in the eastern boundary currents. B) CCA Axis 2 sample scores vary primarily within the tropics and subtropics.
Several (mostly tropical and subtropical) species have significant relationships along Axis 2 (Fig. 5b). *Neogloboquadrina dutertrei* ($r = 0.78$) and *Gr. menardii–tumida* complex ($r = .52$) are positively correlated to this axis. Negative scores on Axis 2 are represented by high abundances of *G. ruber* ($r = -0.66$) and *Globigerina tenellus* ($r = -0.54$). Maximum abundances of *G. sacculifer* occur in the middle of this axis. These faunal relationships generally support the interpretation of this axis as an upwelling gradient as *G. ruber* favors oligotrophic subtropical environments (higher salinity, lower nutrients and chlorophyll) whereas *N. dutertrei* (plus P-D intergrade) thrives in upwelling environments (generally lower in salinity, higher in nutrients and chlorophyll) [Berger, 1968].
4. Discussion
4.1. CCA Axis 1: SST or SST and Salinity? SST is very highly correlated to sample positions along CCA Axis 1. Because the model also suggests salinity describes some of the variability, we need to evaluate the viability of the relationship.
We re-analyzed the data with SST*salinity included as a term with the environmental variables, to determine if SST and salinity interact together to influence species. The interaction of SST and salinity are selected over SST alone, but a comparison of the variance explained by each term suggests the improvement is very small (for SST*salinity, the variance explained is 0.408; for SST alone the variance explained is 0.401). Furthermore, the average change in sample positions along Axis 1 from the analysis with SST to sample positions from the analysis with
the interaction of SST and salinity (-0.0035) is very small compared to the variability of sample positions from the correlation line between Axis1 and SST (standard deviation of samples about the correlation line = 0.2982 in Axis 1 units).
Culture studies do not support the idea that salinity significantly influences foraminiferal species distributions, leading us to discount a significant salinity influence sample positions along CCA Axis 1. *Bijma et al.* [1990] performed culture experiments on seven tropical and subtropical species (*G. sacculifer*, *G. ruber*, *G. conglobatus*, *G. aequilateralis*, *O. universa*, *N. dutertrei*, and *Gr. menardii*) to determine their biological response to a wide range of temperatures and salinities. The salinities tolerated by these species exceeded those found in modern ocean conditions, suggesting that real-world variations in salinity are not limiting. The temperatures tolerated by these species in culture, however, compares well with those in the real ocean, supporting the influence of temperature on foraminiferal biogeography. Because of the lack of biological evidence supporting a causal relationship between salinity and foraminiferal species, we suspect that the weak relationship between salinity and CCA Axis 1 found here is an artifact of the data, or was included erroneously to reflect the influence of an unidentified regional environmental property.
To gain further insight into the question of the influence of salinity, we examine the residual variability from the prediction of SST from Axis 1. The correlation between salinity and CCA Axis 1 SST residuals (Fig. 7) is essentially zero ($r^2 = 0.08$;
Figure 7. The relationship of residuals from the regression of SST on Axis 1 sample scores to surface salinity. Samples are coded by ocean and by latitude (tropical or extra-tropical). There is no relationship between salinity and residuals outside the tropics, whereas the slopes of the tropical samples are likely different from 0. Because of the moderate to high correlations between salinity and other variables within the tropics, and culture studies that suggest salinity is not limiting to foraminiferal species [Bijma, et al., 1990], the apparent link of SST residuals to salinity in the tropics may not be valid.
slope = 0.55) overall, and outside the tropics in the Pacific ($r^2 = 0.04$; slope = 0.54) and Atlantic ($r^2 = 0.00$; slope = -0.11). This relationship is stronger within the tropics (between $23^\circ N$ and $23^\circ S$) in both the tropical Pacific ($r^2 = 0.37$; slope = 1.45) and Atlantic ($r^2 = 0.25$; slope = 0.81).
The relationship between salinity and the SST/Axis 1 residuals is dominated by tropical variability, but this may be an artifact because many environmental variables are moderately to highly correlated to one another in the tropics (from $23^\circ N$ to $23^\circ S$). For example, variables most highly correlated to tropical sea-surface salinity in our dataset include sea-floor carbonate concentration ($r = 0.67$, possibly an artifact of sample distribution given the relationship between the salinity and carbonate concentration between the Atlantic and Pacific oceans), rate of change in density at the pycnocline ($r = -0.65$), the density contrast between 100 meters and the surface ($r = -0.59$), silica concentration at the pycnocline ($r = -0.57$), the percent oxygen saturation at the pycnocline ($r = 0.45$), and the concentrations of nitrate ($r = 0.39$) and phosphate ($r = 0.37$) at the pycnocline. Most of these variables are also moderately correlated to the SST vs. Axis 1 residuals. Given this apparent intercorrelation of variables in the tropics, it may not be possible to identify or verify secondary environmental influences from this analysis of core top samples. Analyzing high-latitude and low-latitude samples separately may help provide insight into the faunal variability along Axis 1 that was identified by our analysis as correlated to salinity.
4.2. CCA Axis 2: Inter-Ocean Differences.
4.2.1. Environmental Contrasts. CCA Axis 2 represents tropical/subtropical variability not accounted for by Axis 1. Sample positions along Axis 2 reflect a faunal gradient from high abundances of *G. ruber* to high abundances of *Gr. menardii-tumida* and *N. dutertrei* that is related to environmental variability associated with an inverse correlation between mean annual SST and surface salinity within the tropics including variability in surface nitrate concentration range, water depth, pycnocline phosphate and surface chlorophyll concentration. Although SST has the highest canonical coefficient (0.3127), the overall relationship between SST and Axis 2 sample positions is very low ($r = 0.082$).
The Atlantic and Pacific are different in terms of both fauna and environment, and these differences are reflected in the placement of species optima along Axis 2. Did the analysis attempt to describe these faunal differences in terms of environment when the differences are not environmentally determined, or is there an actual environmental gradient that explains these differences? Optima of species that are found in greater abundance in the Atlantic (such as *Gr. hirsuta* and *G. falconensis*) are positioned at the negative extreme of Axis 2, while those that are found in greater abundance in the Pacific (*N. dutertrei*, *Neogloboquadrina hexagona*, *Globigerina congloblerata*, and *P. obliquiloculata*) are positioned at the positive extreme of this axis. Environmental properties differ between oceans also; for example, salinity and
sea floor $[CO_3^{=}]$ are typically higher, and upper ocean nutrients lower in the Atlantic than the Pacific.
Sea-surface salinity and pycnocline phosphate concentration are negatively correlated to one another with respect to Axis 2, but no obvious relationship between salinity and Axis 2 occurs when each ocean is viewed separately (Fig. 8). Only samples from the extra-tropical north Atlantic reflect a correlation between salinity and Axis 2. These samples, however, do not show a clear relationship between *G. ruber* and Axis 2 (Fig. 8). We therefore suggest the relationship of salinity to Axis 2 is an artifact. In contrast, the relationship of pycnocline phosphate concentration to Axis 2 is consistent with the variability of species (especially *N. dutertrei*) along this axis in each ocean. The most robust relationship is between faunal variability and pycnocline nutrient concentration, a likely influence on food supply for these heterotrophs [Watkins et al., 1996; Watkins and Mix, 1998].
4.2.2. Selective Dissolution. Sea-floor $[CO_3^{=}]$ and water depth were selected over sea-floor $\Delta CO_3^{=}$ (Table 4). The inclusion of water depth may have accounted for the portion of the faunal variability reflected by CCA Axis 2 that is correlated to the water pressure influence on $\Delta CO_3^{=}$, which may have resulted in $\Delta CO_3^{=}$ being less well correlated to the residual variance than other environmental variables. $\Delta CO_3^{=}$ and water depth are correlated to each other ($r = -0.52$), however water depth also is a function of distance from land, and therefore cannot interpreted strictly as a dissolution variable. Reanalysis of the data with $\Delta CO_3^{=}$ in place of water depth does
Figure 8. The relationships between CCA Axis 2 and a) species, and b) environmental variables, highlighted by ocean and latitude. Variations in species along Axis 2 reflect variations in pycnocline phosphate concentration more than variations in sea-surface salinity when viewed within each ocean separately.
not change canonical coefficients for either axis. We find no evidence here for an identifiable, unique response to carbonate under-saturation at the sea floor.
This finding conflicts with work by Berger [1968], Parker and Berger [1971], Coulbourn et al. [1980], and others that suggests selective dissolution, especially in the Pacific, alters faunal assemblages such that the environmental interpretations based on these assemblages are biased. Our CCA Axis 2 appears to reflect faunal variability that Berger [1968] described as a dissolution gradient within the low-latitude Pacific. Some species generally thought to be more solution susceptible (G. ruber, G. tenellus and G. rubescens) are most abundant with negative scores along Axis 2, while some species generally thought to be dissolution resistant (P. obliquiloculata, Gr. menardii-tumida complex, Globigerina conglomera) are most abundant with positive scores along Axis 2. However, other dissolution resistant species are most abundant with negative scores Axis 2 (Gr. hirsuta and left and right coiling Gr. truncatulinoides). We infer that this axis is not simply a dissolution gradient. A comparison of Gr. menardii-tumida relative abundance to our preservation variables (water depth and $\Delta CO_3^-$) within each ocean separately supports this inference (Fig. 8). To determine if inter-ocean differences confound the resolution of a dissolution response, we suggest analyzing the Atlantic and Pacific data separately.
Selective dissolution may influence assemblages, but CCA reveals that this effect is small relative to (or cannot be differentiated from) primary environmental
influences in the upper ocean. It is therefore unlikely that paleo-estimation methods using foraminiferal assemblages can be used to reconstruct the extent of dissolution, unless the primary environmental components are removed first. This finding calls into question recently published estimates of $\Delta \text{CO}_3^{\circ}$ at the Last Glacial Maximum based on modern analogs of species assemblages [Anderson and Archer, 2002].
4.3. Paleoceanographic Estimation.
The strong relationship between sample positions and SST leads us to explore the use of this model as a paleoestimation tool. Sample positions of unknown samples along each axis can be calculated from the log-transformed abundances using the following calculations (all referenced equations are numbered in Appendix A):
1) Use species optima in Table 6 to calculate weighted averages (equation 1).
2) Center and standardize these raw sample scores (equation 4) by subtracting the centroid (equation 2) and dividing by the square root of the dispersion (equation 3).
3) Multiply the sample scores from the previous step by the scaling factor calculated by equation 5.
Expressing samples from unknown environments onto the dimensions of our model in this way can also be done by re-analyzing the data with the fossil samples included as supplementary, an option within the program CANOCO.
To estimate SST from CCA sample scores one can apply the empirical relationship between SST and sample scores along CCA Axis 1 based on simple linear regression of the form:
$$\text{SST} = a(\text{Axis 1}) + b, \ (r^2 = xx, \ \text{Std. Err.} = xx).$$
Alternatively, one can use the empirical relationship between SST and sample scores along both CCA Axes 1 and 2 based on multiple linear regression of the form:
\[ \text{SST} = a(\text{Axis 1}) + b(\text{Axis 2}) + c, (r^2 = xx, \text{Std. Err.} = xx). \]
These two equations yield SST estimates that are very similar; therefore we restrict the following discussion to the results from the relationship between SST and CCA Axis 1. To test this CCA-transfer function approach we use the LGM dataset of CLIMAP [1981] supplemented with samples from Mix [1989], and the down-core data from the eastern tropical Pacific core RC13-110 (located at 0.1°N, 95.7°W, 3231 m) published by Feldberg and Mix, 2003.
The relationship between CCA Axis 1 and SST (Fig. 4a) is described by the following equation:
\[ \text{SST} = -6.54 (\text{CCA Axis 1}) + 23.32, (r^2 = 0.91, \text{Std. Err.} = 2.04^\circ\text{C}). \]
The statistics of this equation are similar to others created using the transfer function and related methods (see, for example, Mix et al., 1999). In general, SST is estimated well (Fig. 9a), although a systematic trend toward negative residuals (i.e., estimates that are cooler than modern values) occurs at temperatures > 26°C (Fig. 9b). A similar effect occurs in many transfer functions based on foraminiferal species [Mix et al., 1999; Feldberg and Mix, 2002].
A map of estimated SST (Fig. 10a) suggests this equation reconstructs the modern SST pattern well. The pattern is primarily one of cooling at higher latitudes,
Figure 9. Graphs of a) estimated versus actual (observed) SST, and b) SST residuals (estimated minus actual SST).
Figure 10. Map patterns of CCA-based transfer function SST estimates (a), residuals (estimated minus actual) (b), and LGM reconstruction (c).
however the correct pattern of cool eastern boundary currents in both oceans, and the presence of a cool tongue in the eastern equatorial Pacific, is simulated well. Regions with positive residuals tend to be in the southeast Pacific and the mid-latitudes of the Atlantic, while regions with negative residuals are located primarily in the western Pacific (northern hemisphere) and the north Atlantic (Fig. 10b).
The application of this equation to sample scores calculated from down-core samples of RC13-110 produces SST estimates through time that are generally similar to SST estimates from an equation using a combination of core-top and down-core samples from Feldberg and Mix [2002] (Fig. 11). These results suggest CCA model results can be useful for estimating SSTs.
The CCA-based transfer function yields a lower total range of temperatures in core RC13-110 than the tropical transfer function of Mix et al. [1999] and the eastern Pacific downcore plus coretop equation of Feldberg and Mix [2002]. This difference may indicate either that the down-core factor analysis method of Mix et al., [1999] yielded a temperature equation too sensitive to faunal change, or that the inclusion of high latitude samples in the analyses (the ecotone effect mentioned earlier) desensitizes the CCA-based transfer function (and other transfer functions that include high-latitude samples) to effects that are unique to the tropics. Application of the CCA method to tropical and subtropical samples alone could address this issue.
Figure 11. SST estimates of samples in the sediment core RC13-110. Green symbols refer to the downcore equation of Mix et al., 1999, the red symbols refer to the downcore plus corerop equation of Feldberg and Mix, 2002, and the black symbols represent the estimates from this study.
Two environmental dimensions are resolved from the faunal and environmental data using CCA. The first is most highly correlated to mean annual SST, supporting the use of sediment assemblages of planktonic foraminifera to estimate temperature. A slight influence of salinity may be spurious. A second dimension is dominated by faunal variability in the tropics and may represent a nutrient or fertility gradient. If robust, this finding supports the use of foraminiferal assemblages to estimate aspects of biological production, although current reconstructions of annual average production do not adequately represent this pattern. Analyzing samples from the Atlantic and Pacific oceans, and from low and high latitudes separately may improve the resolution of secondary gradients.
Our results also suggest that primary environmental influences of the upper ocean on foraminiferal assemblages dominate over preservation influences. CCA did not include $\Delta CO_3^-$ in the description of sample variability, and the results of the analysis did not resolve a unique faunal response that can be attributed to selective dissolution.
A CCA-based transfer function was developed to evaluate the usefulness of this model as a paleoestimation tool. The resulting equation explained 91% of SST variability, with a standard error of 2°C, comparable to other faunal estimation methods. The CCA-based transfer function was used to reconstruct modern, LGM
and down-core SST variability, suggesting CCA model results can be useful to estimate SSTs.
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APPENDIX
APPENDIX A. Mathematical descriptions of 1) the CCA algorithm, 2) centering and standardizing and 3) orthogonalization procedures.
1. CCA Algorithm (ter Braak 1986, p. 1169; with ‘sample scores’ replacing ‘site scores’ and ‘species optima’ replacing ‘species scores’ to be consistent with terminology used in this thesis):
The faunal dataset (Y; each element represented as $y_{ik}$) contains $i$ samples ($i = 1$ to $n$) and $k$ species ($k = 1$ to $m$). The environmental dataset (represented by Z, which includes a column of ones) contains environmental variables for the same $i$ samples:
1) Choose arbitrary, but unequal, initial sample scores ($x_i$).
2) Calculate species optima ($u_k$) by weighted averaging of the sample scores:
\[
u_k = \frac{\sum_{i=1}^{n} y_{ik} x_i}{\sum_{i=1}^{n} y_{ik}}
\]
3) Calculate new sample scores by weighted averaging of the species optima (at convergence these are the WA scores):
\[
x_i^* = \frac{\sum_{k=1}^{m} y_{ik} u_k}{\sum_{k=1}^{m} y_{ik}} \quad (1)
\]
4) Obtain regression coefficients by weighted multiple regression of the sample scores on the environmental variables (b is a column vector of canonical coefficients, $x^*$ is a column vector of the new sample scores and R is a diagonal matrix of sample totals):
\[
b = (Z' R Z)^{-1} Z' R x^*
\]
5) Calculate new sample scores from the regression coefficients (at convergence these are the LC scores):
\[
x = Z b
\]
6) Center and standardize the sample scores (see section 2 of this Appendix).
7) Repeat from step 2, using the sample scores from step 6. Stop when the new sample scores do not change within a prescribed tolerance from the sample scores from the previous iteration (using the strict tolerance level of $10^{-15}$ suggested by Oksanen and Minchin [1997]). The square root of the dispersion of sample scores at convergence equals the eigenvalue.
8) Additional axes may be extracted by repeating this procedure with the inclusion of an orthogonalization step (section 4 of this Appendix) to make trial sample
scores of the current axis uncorrelated to sample scores of previous axes within each iteration after step 5.
2. Centering and Standardizing Procedure in CCA:
(Jongman et al., 1995, p. 100; with ‘sample scores’ replacing ‘site scores’ to be consistent with terminology used in this thesis)
The following procedure is performed within each iteration of CCA after step 5 (section 1 of this Appendix).
Step 1. Calculate the centroid, $z$, of sample scores ($x_i$)
$$z = \frac{\sum_{i=1}^{n} y_{+i} x_i}{y_{++}}$$
(2)
Step 2. Calculate the dispersion of the sample scores
$$s^2 = \frac{\sum_{i=1}^{n} y_{+i} (x_i - z)^2}{y_{++}}$$
(3)
Step 3. Calculate $x_{i,new} = (x_{i,old} - z)/s$
(4)
3. Scaling of Ordination Scores in CCA:
Three options exist to scale ordination scores when using biplot scaling (the centering and standardizing in section 2 of this Appendix). These options are 1) scale ordination scores so that species optima approximate the chi-square distance between species, 2) scale ordination scores so that sample scores approximate the chi-square distance between samples, or as we have chosen, 3) to scale ordination scores such that the positions of species optima are placed so that they approximate the position of the species maximum relative to sample positions along a gradient. The third option is commonly referred to as a compromise between options 1 and 2. The constant used for rescaling using option 3 is
$$\sqrt{\lambda^\alpha},$$
where $\lambda$ is the eigenvalue of the axis and $\alpha = 0.5$.
4. Orthogonalization Procedure in CCA:
(Jongman et al., 1995, p. 100; with ‘sample scores’ replacing ‘site scores’ to be consistent with terminology used in this thesis)
The following procedure is performed within each CCA iteration after step 6 (section 1 of this Appendix). For detrended CCA by second order polynomials, the new sample scores are also made to be orthogonal to the square of the sample scores of previous axes in the same fashion. See Appendix A for a definition of symbols.
Step 1. Denote the sample scores of the previous axis by $f_i$ and the trial scores of the present axis by $x_i$.
Step 2. Calculate $\nu = \sum_{i=1}^{n} y_{+i} x_i f_i / y_{++}$, where $y_{+i} = \sum_{k=1}^{m} y_{ik}$ and $y_{++} = \sum_{i=1}^{n} y_{+i}$.
Step 3. Calculate $x_i$, new = $x_i$, old - $\nu f_i$. These are the new trial sample scores, which are now orthogonal to those of previous axes.
Step 4. Repeat Steps 1-3 for all previous axes.
|
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
In re OATLY GROUP AB SECURITIES LITIGATION
Consolidated Civil Action No. 1:21-cv-06360-AKH
[PROPOSED] ORDER GRANTING UNOPPOSED MOTION FOR PRELIMINARY APPROVAL OF CLASS ACTION SETTLEMENT
WHEREAS, on February 14, 20, the Parties to the above-entitled action (the “Federal Action”) and *Hipple v. Oatly Group AB, et al.*, Index No. 151432/2022 (Sup. Ct. N.Y.) (the “State Court Action”) entered into a Stipulation of Settlement (the “Stipulation” or “Settlement”), which is subject to review by this Court and which, together with the exhibits thereto, sets forth the terms and conditions for the Settlement and dismissal of the claims alleged in the Federal Action and State Court Action; and the Court having read and considered the Stipulation and the accompanying documents; and the Parties to the Stipulation having consented to the entry of this Notice Order; and, unless otherwise indicated, all capitalized terms used herein having the meanings defined in the Stipulation;
NOW, THEREFORE, IT IS HEREBY ORDERED, this 27th day of March 2024, that:
1. The Court preliminarily finds that:
(a) the Settlement resulted from informed, extensive arm’s-length negotiations, including mediation among Plaintiffs, Oatly, and the Individual Defendants under the auspices of Layn R. Phillips (Ret.) of Phillips ADR;
(b) the Settlement eliminates risks to the Parties of continued litigation;
(c) the Settlement does not provide undue preferential treatment to Plaintiffs or to segments of the Settlement Class; and
---
1 As used herein, the term “Parties” means Federal Plaintiffs Mario Bello, Mark D. Hayden, and Kai Jochims (the “Federal Court Plaintiffs”), Bruce Hipple (the “State Court Plaintiff”), and Defendants Oatly Group AB (“Oatly” or the “Company”), Toni Petersson, Christian Hanke, Björn Öste, Fredrik Berg, Ann Chung, Bernard Hours, Hannah Jones, Mattias Klintemar, Po Sing Tomakin Lai, Eric Melloul, Yawen Wu, Tim Zhang, Steven Chu, Frances Rathke, Morgan Stanley & Co. LLC, J.P. Morgan Securities LLC, and Credit Suisse Securities (USA) LLC, Nativus Company Limited, and China Resources Verlinvest Health Investment Ltd.
(d) the Settlement is sufficiently fair, reasonable, and adequate to warrant providing notice of the Settlement to the Settlement Class.
2. The Court does hereby preliminarily approve the Settlement and finds, pursuant to Rule 23(e)(1)(B)(i) of the Federal Rules of Civil Procedure, that it will likely be able to order final approval of the Settlement under Rule 23(e)(2) as it will likely find that the Settlement is fair, reasonable, and adequate to the Settlement Class, subject to further consideration at the Settlement Hearing described below.
3. For purposes of the Settlement only, and preliminarily, for purposes of this Order, the Actions shall proceed as a class action, pursuant to Fed. R. Civ. P. 23(a) and (b)(3), on behalf of a Settlement Class consisting of: (i) all Persons who purchased or acquired Oatly American Depositary Shares (“ADS”) between May 20, 2021 and November 15, 2021, inclusive (the “Class Period”), or otherwise pursuant to Oatly’s Offering Documents, and were damaged thereby (the “ADS Class”); and (ii) all Persons who purchased or acquired call options on Oatly ADS or sold put options on Oatly ADS during the Class Period, or otherwise pursuant to Oatly’s Offering Documents, and were damaged thereby (the “Options Class,” and with the ADS Class, the “Settlement Class”). Excluded from the Settlement Class are Defendants; their respective successors and assigns; the past and current executive officers and directors of Oatly, Nativus Company Limited (and any of its subsidiaries and affiliates), and China Resources Verlinvest Health Investment Ltd. (and any of its subsidiaries or affiliates); the Underwriter Defendants; the Immediate Family Members of the Individual Defendants and of Oatly’s past and current executive officers and directors; the legal representatives, heirs, successors, or assigns of any excluded Person, and any entity in which any of the excluded Persons have or had a controlling interest, and the legal representatives, heirs, successors-in-interest or assigns of any such
excluded Persons, provided, however, that any Investment Vehicle shall not be excluded from the Settlement Class. Also excluded from the Settlement Class are any Persons who would otherwise be Settlement Class Members but who timely and validly exclude themselves therefrom.
4. For purposes of the Settlement only, and preliminarily, for purposes of this Order, (a) Plaintiffs are hereby certified as Class Representatives, and (b) Lead Counsel and State Court Counsel are appointed as Class Counsel.
5. A Settlement Hearing is hereby scheduled to be held before the Court at Daniel Patrick Moynihan United States Courthouse, 500 Pearl St., New York, NY 10007, on July 17, 2024, at 2:30 p.m., for the following purposes:
(a) to determine whether the proposed Settlement is fair, reasonable, and adequate, and should be approved by the Court;
(b) to determine whether the Judgment as provided under the Stipulation should be entered;
(c) to determine whether the proposed Plan of Allocation for the distribution of the Net Settlement Fund should be approved by the Court as fair, reasonable, and adequate;
(d) to determine whether to grant final certification of a Settlement Class for purposes of the Settlement;
(e) to consider Lead Counsel’s application for an award of attorneys’ fees and expenses;
(f) to consider Plaintiffs’ request for awards pursuant to the Private Securities Litigation Reform Act of 1995 (“PSLRA”) for their efforts in prosecuting the Actions on behalf of the Settlement Class;
(g) to consider any objections or opt outs received by the Court; and
(h) to rule upon such other matters as the Court may deem appropriate.
6. The Court reserves the right to approve the Settlement with or without modification and with or without further notice to the Settlement Class and may adjourn the Settlement Hearing without further notice to the Settlement Class. The Court reserves the right to enter the Judgment approving the Stipulation regardless of whether it has approved the Plan of Allocation, Lead Counsel’s request for an award of attorneys’ fees and expenses or Plaintiffs’ request for reimbursement for their time and expenses incurred in their representation of the Settlement Class.
7. The Court approves the form, substance, and requirements of the Notice of Proposed Settlement of Class Action (the “Notice”), the Proof of Claim and Release (the “Proof of Claim”), and the Summary Notice of Proposed Settlement of Class Action (the “Summary Notice”), annexed hereto as Exhibits 1, 2, and 3, respectively. In addition, Oatly shall include a link to the Settlement Website on its investor relations webpage, starting on April 27, 2024, and continuing through July 25, 2024.
8. The Claims Administrator shall cause the Notice and the Proof of Claim, substantially in the forms annexed hereto, to be mailed, by first class mail, postage prepaid, or via email where email addresses are available, within twenty-one (21) calendar days of this Notice Order, to all Settlement Class Members who can be identified with reasonable effort. Within ten (10) calendar days of this Notice Order, Oatly, at its expense, shall provide or cause to be provided to Plaintiffs’ Counsel or the Claims Administrator, at no cost, its reasonably available record shareholder lists (including email addresses where available) for shareholders during the Settlement Class Period as appropriate for providing notice to the Settlement Class.
9. The Claims Administrator shall use reasonable efforts to give notice to nominee purchasers such as brokerage firms and other persons or entities who purchased Oatly ADSs or call options on Oatly ADSs, or sold put options on Oatly ADS during the Class Period or otherwise pursuant to Oatly’s Offering Documents as record owners but not as beneficial owners. Such nominee purchasers shall: (a) within seven (7) calendar days of receipt of the letter providing notice of the Settlement, request from the Claims Administrator sufficient copies of the Notice and Proof of Claim to forward to all such beneficial owners, and within seven (7) calendar days of receipt of those copies of the Notice and Proof of Claim forward them to all such beneficial owners; (b) within seven (7) calendar days of receipt of the letter, request from the Claims Administrator an electronic copy of the Notice and Proof of Claim and within seven (7) calendar days of receipt of the electronic Notice and Proof of Claim, email the Notice and Proof of Claim to beneficial owners for which the broker or nominee has valid email addresses; or (c) within seven (7) calendar days of receipt of the letter, send a list of the names, mailing addresses, and, if available, email addresses, of all such beneficial owners to the Claims Administrator in which event the Claims Administrator shall promptly mail or email the Notice and Proof of Claim to such beneficial owners. Upon full compliance with this Order, such nominees may seek payment of their reasonable expenses actually incurred in complying with this Order, up to a maximum of $0.03 per Notice and Proof of Claim plus postage at the current pre-sort rate used by the Claims Administrator if the Notice and Proof of Claim is mailed by the broker or nominee; or $0.03 per Notice and Proof of Claim transmitted by email by the broker or nominee; or $0.03 per name, mailing address, and email address (to the extent available) provided to the Claims Administrator, by providing the Claims Administrator with proper documentation supporting the expenses for which reimbursement is sought. Such properly
documented expenses incurred by nominees in compliance with the terms of this Order shall be paid from the Settlement Fund, with any disputes as to the reasonableness or documentation of expenses incurred subject to review by the Court.
10. The Claims Administrator shall cause the Summary Notice to be published once in the national edition of *The Wall Street Journal* and once over a national newswire service, within ten (10) calendar days after the mailing of the Notice.
11. Plaintiffs’ Counsel shall, at least seven (7) calendar days before the Settlement Hearing, file with the Court and serve on the Parties proof of mailing of the Notice and Proof of Claim and proof of publication of the Summary Notice.
12. The form and content of the Notice and the Summary Notice, and the method set forth herein of notifying the Settlement Class of the Settlement and its terms and conditions, meet the requirements of Fed. R. Civ. P. 23, the PSLRA, due process, and all other applicable laws and constitute the best notice practicable under the circumstances, and shall constitute due and sufficient notice to all persons and entities entitled thereto and reasonably calculated under the circumstances to describe the terms and effect of the Settlement and to apprise the Settlement Class Members of their right to object to the proposed Settlement and to exclude themselves from the Settlement Class. No Settlement Class Member will be relieved from the terms and conditions of the Settlement, including the releases provided pursuant thereto, based upon the contention or proof that such Settlement Class Member failed to receive actual or adequate notice.
13. In order to be entitled to participate in the Net Settlement Fund, in the event the Settlement is consummated in accordance with its terms set forth in the Stipulation, each
Settlement Class Member shall take the following actions and be subject to the following conditions:
(a) Within ninety (90) calendar days after such time as set by the Court for the Claims Administrator to mail the Notice to the Settlement Class, each Person claiming to be an Authorized Claimant shall be required to submit to the Claims Administrator a completed Proof of Claim, substantially in a form contained in Exhibit 2 attached hereto and as approved by the Court, signed under penalty of perjury and supported by such documents as are specified in the Proof of Claim and as are reasonably available to such Person. The Proof of Claim shall be timely if postmarked or submitted electronically no later than July 25, 2024.
(b) Except as otherwise ordered by the Court, all Settlement Class Members who have not sought exclusion from the Settlement Class and who fail to submit a Proof of Claim within such period, or such other period as may be ordered by the Court, shall be forever barred from receiving any payments pursuant to the Stipulation and the Settlement set forth therein, but will in all other respects be subject to and bound by the provisions of the Stipulation, the releases contained therein, and the Final Judgment. Notwithstanding the foregoing, Plaintiffs’ Counsel may, in their discretion, accept for processing late submitted claims so long as the distribution of the Net Settlement Fund to Authorized Claimants is not materially delayed. In connection with processing the Proofs of Claim, no discovery shall be allowed on the merits of the Actions or the Settlement. No Person shall have any claim against Plaintiffs, Plaintiffs’ Counsel, or the Claims Administrator by reason of the decision to exercise such discretion whether to accept late-submitted claims.
(c) As part of the Proof of Claim, each Settlement Class Member shall submit to the jurisdiction of the Federal Court with respect to the claim submitted, and shall (subject to effectuation of the Settlement) release all Released Claims as provided in the Stipulation.
14. Settlement Class Members shall be bound by all determinations and judgments in this Action, whether favorable or unfavorable, unless they request exclusion from the Settlement Class in a timely and proper manner, as hereinafter provided. A Settlement Class Member wishing to make such request shall, no later than sixty (60) calendar days after the date set for the initial mailing of the Notice to Settlement Class Members, mail a request for exclusion in written form by first class mail postmarked to the address designated in the Notice. Such request for exclusion shall clearly indicate the name, address and telephone number of the Person seeking exclusion, that the sender requests to be excluded from the Settlement Class, and must be signed by such Person. Such Persons requesting exclusion are also directed to state the date(s), price(s), and number of shares of Oatly ADSs or call options or put options on Oatly ADS they purchased, acquired or sold during the Class Period. The request for exclusion shall not be effective unless it is made in writing within the time stated above, and the exclusion is accepted by the Court. Settlement Class Members requesting exclusion from the Settlement Class shall not be entitled to receive any payment out of the Net Settlement Fund as described in the Stipulation and Notice.
15. The Court will consider objections to the Settlement, the Plan of Allocation, the awards to Plaintiffs, and/or the request for an award of attorneys’ fees and expenses. Any Person wanting to object must do so in writing and may also appear at the Settlement Hearing. To the extent any Person wants to object in writing, such objections and any supporting papers, accompanied by proof of Settlement Class membership, shall be filed with Clerk of the Court,
U.S. District Court, Southern District of New York, Daniel Patrick Moynihan United States Courthouse, 500 Pearl St., New York, NY 10007, and copies of all such papers served no later than June 16, 2024, which is at least sixty (60) calendar days after the date set for the initial mailing of the Notice to the Settlement Class, to each of the following: William C. Fredericks, Scott + Scott Attorneys at Law LLP, 230 Park Avenue, 17th Floor, New York, NY 10169 and Michael G. Capeci, Robbins Geller Rudman & Dowd LLP, 58 South Service Road, Suite 200, Melville, NY 11747 on behalf of the Plaintiffs and the Settlement Class; and William O. Reckler, Latham & Watkins LLP, 1271 Avenue of the Americas, New York, NY 10020 on behalf of the Oatly Defendants; and Brian S. Weinstein, Davis Polk & Wardwell LLP, 450 Lexington Avenue, New York, NY 10017 on behalf of the Underwriter Defendants. Persons who intend to object in writing to the Settlement, the Plan of Allocation, the request for an award of attorneys’ fees and expenses and/or Plaintiffs’ request for awards in connection with representing the Settlement Class and desire to present evidence at the Settlement Hearing must include in their written objections proof of membership in the Settlement Class and copies of any exhibits they intend to introduce into evidence at the Settlement Hearing. In addition, the objection must state whether it applies only to the objector, to a specific subset of the Settlement Class, or to the entire Settlement Class, and the objector must identify all other class action settlements to which they, he, she, or it, or their counsel, has previously objected in the past five (5) years. The objection must be signed by the objector, even if the objector is represented by counsel. If an objector hires an attorney to represent them, him, her, or it for the purposes of making an objection, the attorney must both effect service of a notice of appearance on counsel listed above and file it with the Court by no later than June 16, 2024. A Settlement Class Member who files a written objection does not have to appear at the Settlement Hearing for the Court to consider their, his,
her or its objection. If the Settlement Class Member intends to appear at the Settlement Hearing, the Settlement Class Member shall identify any witnesses they may seek to call and exhibits they intend to offer at the Settlement Hearing in the papers served as set forth above no later than June 16, 2024. Any member of the Settlement Class who does not make their, his, her, or its objection in the manner provided shall be deemed to have waived such objection and shall forever be foreclosed from making any objection to the fairness or adequacy of the Settlement set forth in the Stipulation, to the Plan of Allocation, and to the award of attorneys’ fees and expenses to Plaintiffs’ Counsel and Plaintiffs’ request for payment, unless otherwise ordered by the Court.
16. Any Person that submits a request for exclusion may thereafter submit to the Claims Administrator and to Plaintiffs’ Counsel a written and signed revocation of that request for exclusion, provided that it is received no later than five (5) business days before the Settlement Hearing, in which event that Person will be included in the Settlement Class.
17. All papers in support of the Settlement, the Plan of Allocation, and any application by Plaintiffs’ Counsel for attorneys’ fees and expenses and payment to Plaintiffs shall be filed fourteen (14) calendar days prior to the deadline in paragraph 14 for objections to be filed. All reply papers shall be filed and served at least seven (7) calendar days prior to the Settlement Hearing.
18. Defendants shall serve the notice required under the Class Action Fairness Act, 28 U.S.C. §1715, et seq. (“CAFA”) no later than ten (10) calendar days following the filing of the Stipulation with the Court. Oatly is solely responsible for the costs of the CAFA notice and administering the CAFA notice. No later than seven (7) calendar days before the Settlement
Hearing, Defendants shall cause to be served on Lead Counsel and filed with the Court proof, by affidavit or declaration, regarding compliance with the notice requirements of CAFA.
19. All funds held by the Escrow Agents shall be deemed and considered to be in custodia legis of the Court, and shall remain subject to the jurisdiction of the Court, until such time as such funds shall be distributed pursuant to the Stipulation and/or further order(s) of the Court.
20. The Claims Administrator, Defendants’ Counsel, and Plaintiffs’ Counsel shall promptly furnish each other with copies of any and all objections that come into their possession.
21. Unless and until the Stipulation is cancelled and terminated pursuant to its terms, all proceedings in the Actions, other than such proceedings as may be necessary to carry out the terms and conditions of the Settlement, are hereby stayed and suspended until further order of the Court.
22. All reasonable expenses incurred in identifying and notifying Settlement Class Members, as well as administering the Settlement Fund, shall be paid as set forth in the Stipulation and herein. In the event the Settlement is not approved by the Court, or otherwise fails to become effective, neither Plaintiffs nor any of their counsel shall have any obligation to repay any amounts actually and properly disbursed from the Settlement Fund, except as provided for in the Stipulation.
23. If the Settlement is terminated as provided in the Stipulation, the Settlement is not approved, or the Effective Date of the Settlement otherwise fails to occur, then, in any such event, the Stipulation, including any amendment(s) thereof, shall be vacated, rendered null and void and of no further force or effect (except to the extent otherwise expressly provided in the Stipulation), without prejudice to any party, and may not be introduced as evidence or referred to
in the Actions, or any action or proceeding by any person or entity for any purpose, and each Party shall be restored to his, her, or its respective position as it existed on October 26, 2023; and the Settlement Fund, less any Notice and Administration Costs actually incurred, paid, or payable and less any Taxes paid, due, or owing, subject to appropriate adjustment in the event any tax refund is obtained pursuant to the Stipulation, shall be refunded by the Escrow Agents as provided by the Stipulation and as directed by Defendants’ Counsel.
24. The Court may adjourn or continue the Settlement Hearing without further written notice.
25. The Court retains exclusive jurisdiction to consider all further matters arising out of or connected with the Settlement. The Court may approve the Settlement, with such modifications as may be agreed to by the Parties, if appropriate, without further notice to the Settlement Class.
DATED: March 27, 2024
THE HONORABLE ALVIN K. HELLERSTEIN
UNITED STATES DISTRICT JUDGE
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As we move towards April we start thinking of Maternal and Child Health month in the Rotary Calendar.
I know there are going to be a couple of outstanding articles in the April edition of Rotary Africa regarding Maternal and Child Health and I will not attempt to compile anything in Outa Space when you are able to read about it in the Rotary Africa magazine.
How did you celebrate World Water Day on 22nd March?
I read an interesting and quite alarming article about the devastating effects of sand mining. I wondered whether there might not also be a World Sand Preservation Day but couldn't find any reference to one.
https://www.theguardian.com/cities/2017/feb/27/sand-mining-global-environmental-crisis-never-heard
With a headline and opening paragraph of:
"Sand mining: the global environmental crisis you've probably never heard of
From Cambodia to California, industrial-scale sand mining is causing wildlife to die, local trade to wither and bridges to collapse. And booming urbanisation means the demand for this increasingly valuable resource is unlikely to let up" it is certainly something interesting to read. Simply follow the link provided at the foot of the previous column.
After reading the article you may have the same feeling that I had – utter devastation! And yet the price of progress ticks another box on the ‘wrong’ side of real progress as man continues to cause havoc on earth.
Have FUN
Gerald Sieberhagen - Editor
STILL TWO SUBSCRIPTIONS OUTSTANDING! WHY?
RI AND DIST DUES AND ROTARY AFRICA SUBS HAVE BEEN PAID. ARE YOU ONE OF THE 2?
PRESIDENT IRENE'S CORNER
[Early morning Literacy Classes Down Under]
Dear Fellow Rotarians,
Can't believe how quickly my time in Oz passed. One more week and it's goodbye to the family. Before flying home, we are heading up the West Coast for a long relaxing weekend with some interesting places to visit along the route.
One of the subjects having major coverage on TV here is the threat to the Great Barrier Reef due to global warming. We saw an interesting video the other night showing how the corals are losing their colour. The Great Barrier Reef has always been considered to be one of nature's wonders. I want to share with you what the scientists have established. Probably in due course global warming will also affect the plant and fish life on many shores around the world.
Global Warming and the Great Barrier Reef
"Coral expel algae when under stress. This expulsion leads to coral bleaching, a phenomenon currently occurring in all of the planet's coral ecosystems. National Geographic reports that bleaching occurs when ocean temperatures become abnormally high, are exposed to unhealthy levels of ultraviolet light, and experience changes in salt content (salinity). Daily Galaxy cites Australian Institute of Marine Science scientist, Charlie Veron. The former head scientist reported at a London conference that the Great Barrier Reef is experiencing such degradation from warming sea water that "it will be unrecognizable within 20 years."
As if Veron's prediction is not sufficiently dire, here is the bad news. The tipping point has passed. It is almost certain death for the Great Barrier Reef. Veron claims to have the support of "every coral reef scientist." The reality could not be grimmer! The Christian Science Monitor cites another scientist from the Australian Institute of Marine Science, Glenn De'ath: "The decline is severe, sudden, and is unprecedented in at least 400 years." Dr. De'ath's research team admits more research is necessary to pinpoint the specific causes of coral bleaching. However, the team maintains that warming ocean temperatures and acidification are at the top of the list. This is only a short resume. There are a lot of more detailed articles explaining this phenomenon. In a nutshell, we are successfully destroying our ecosystems!
See you back in SA soon
Irene
TOPIC of the Week duties and the dates for GoToMeeting are highlighted in larger print to ensure that members do not overlook them.
**TOPIC of the Week ROSTER**
MAR 2017 to JUNE 2017
THIS IS YOUR REMINDER
Thank you to the following volunteers! PLEASE NOTE YOUR DATE
3rd Apr – Pat Draper
10th Apr – Ockie Esterhuyse
17th Apr – Peter Brauteseth
24th Apr – Angie Mitchell
8th May – Monique Labat
15th May – Hans Hon
22nd May – Suzanne Edmunds
29th May – Alastair Stead
5th June – Steven Lancaster
12th June – Johan Krugel
19th June – Greg Cryer
26th June – Amanda van Rooyen
3rd July –
10th July –
17th July –
24th July –
31st July –
7th Aug –
14th Aug –
21st Aug –
28th Aug –
Please send your TOPIC of the Week to our Club Admin Director, Gerald Sieberhagen, by at least the THURSDAY preceding the date of your turn. It makes it easier if Rotarians send in their TOPIC of the Week well ahead of time.
**GoToMeeting @ 19h00 TUESDAY**
4TH APRIL – RYLA student, Alizwa Tuku; STEP students, Amber Tweedie & Junior Dyantije [Port Alfred High School]
18TH APRIL
2ND MAY
16TH MAY
30TH MAY
13TH JUNE
27TH JUNE
11TH JULY
25TH JULY
8TH AUG
22ND AUG
During the week preceding the GTM, the login details REMINDER will be emailed to each member.
If you have any suggestions regarding a Guest Speaker please let me know – Gerald – Club Admin
DATES TO REMEMBER
BIRTHDAYS
MARCH
28th – Ailsa Kaminski
APRIL
1st – Arlene Arnold
14th – Alastair Stead
15th – Jerry Brown
22nd – Keith Kirton
MAY
5th – Diane Main
12th – Candelaria Zapp
12th – Melanie Hegemann
12th – Zwakele Ngubane
13th – Dhiviyan Kalidas
15th – Aadila Sabat
17th – Gillian Stark
23rd – Angie Goody
27th – Gerald Sieberhagen
28th – Andisha Maharaj
31st – Andrea Mellon
ANNIVERSARIES
MARCH
APRIL
6th – Gerald & Sue Sieberhagen
8th – Pat & Beryl Draper
11th – Johan & Angela Krugel
27th – Keith & Rae Kirton
30th – Peter & Sandy Brauteseth
MAY
13th – Cyril & Clementine Phakathi
17th – Mike & Lynette Millard
23rd – EARLYACT CLUB of OUR LADY OF FATIMA
25th – Aadila & Brian Sabat St Clair
UPCOMING EVENTS 2017
24th to 30th Apr – World Immunisation Week – Theme ‘Vaccines Work’
10th May – TRF 100 YEARS CELEBRATION – more info to follow
25th to 27th May – District Conference in Grahamstown
‘Kindle a Spark’
Make an extra effort to attend
10th to 14th June – Rotary International Convention in Atlanta
4th July – Rotary E-Club of South Africa One Induction Dinner
1st to 7th September – Arbor Week – ideal time to plant a tree in South Africa
14th to 16th September – Rotary Zone 20A Institute in Johannesburg
21st September – International Day of Peace
15th October – Global Handwashing Day
19th November – World Toilet Day
2018
27th April – Arbor Day in USA and deadline day for planting a tree
Rotarian Bill Main (VK4ZD) and his wife Diane (VK4DI) are very active Amateur Radio enthusiasts and members of the Rotary Fellowship, Rotarians Of Amateur Radio (R.O.A.R). Bill is the Immediate International Past President of the Fellowship.
How does this tie in with the The Rotary Foundation?
Amateur Radio operators or “hams” as they are known communicate on a worldwide basis with other hams. There are many facets to the hobby including Morse Code (or CW as it is colloquially known), Voice communications and many more.
Hams are identified by a “callsign” which indicates to others what country they are in, what state etc. For example South African’s are prefixed by ZS or ZR; you may have seen this on the side of aircraft etc.
In most countries, radio clubs can apply for a “Special Event “call to commemorate a milestone event. It was therefore decided by the Australian members of ROAR to apply for the call VI100TRF (VI designates Australia, 100 for 100 Years and TRF for The Rotary Foundation), for a period of 3 months commencing close to Rotary’s Birthday.
The callsign was approved and rosters of Australian Rotarian Hams are now activating the callsign to publicise the Foundation’s 100 Years and its success.
As well as the “On Air” activity hams use an international website www.qrz.com where they can look up information by typing a callsign in the search facility. The VI100TRF page has been set up reflect the Rotary Foundation’s ethos and focus.
When making a contact with other hams we talk about Rotary and the Foundation and recommend they look up the information on the QRZ page.
Hams also exchange postcard size confirmation of contact cards called “QSL Cards”. These contain the details of the contact exchange and also information about the reason behind the Special Event callsign.
The expectation is that the fellowship members will make in excess of 3,000 contacts with other hams worldwide for the duration of the activation of the call from Feb 26th to May 26th 2017, and highlight the good work of The Rotary Foundation.
Editor – Bill and Diane will once again be flying the flag for our E-Club at the Convention – this time in Atlanta
D9370 has an upcoming Friendship Exchange with Rotarians from New Delhi, India. The dates confirmed by our guests are the nights between Saturday 20th May and Saturday 27th May 2017 – both nights included. There are 5 couples and a teenage male who is the son of one of the couples and we have been informed that he may share a room with his parents, if an additional room was not available.
Presently we have planned that they will spend 3 nights in the KZN South Coast, 3 nights in the KZN Midlands and 2 or maybe 3 nights in the greater Durban area.
It has been decided that Durban hosts will collect the guests from the King Shaka Airport around 10:00am on the 20th May and transport them to the Blue Marlin Hotel in Scottburgh where the South Coast team will take them to their respective homes/hosts.
After spending 3 nights in the South Coast, that team will drive the guests to the Blue Marlin Hotel to meet around 10:00am on Tuesday 23rd May 2017. The visitors will be taken to Cato Ridge by the Durban hosts/RFE committee (exact meeting place to be confirmed) and will be met around 11:00am by the Midlands Team.
After spending 3 nights in the Midlands area, that team will drive the guests to Cato Ridge to meet around 10:00am on 26th May 2017. The visitors will be taken to their respective homes/hosts where they will spend 2-3 nights. The guests will be taken to King Shaka Airport by the hosts to catch a connecting flight out of SA.
As a guide, we need to be mindful of the following:
a. That the guests will need rest time between visits to places of interests which will include Rotary business
b. That I will enquire about their meal preferences, allergies, classification etc. and inform you accordingly
c. That the cost of all expenses to places of interest will be for the account of the visitors and that only bed and breakfast will be for the cost of host families/clubs. Dinners may be a part of a cost to the visitors, but this also depends on the generosity of the hosts and Rotary clubs.
d. We would like to be given an approximate cost of any places of interest, meals etc. which will be forwarded to the guests for their financial planning before they depart for our shores.
e. Details of the visitors will be forwarded to the respective organisers for onward forwarding to host families/clubs closer to the arrival date.
f. Do onto them what you would expect to be done to you should you be a visitor to another country/club. Do not over promote Rotary projects, select a couple only.
g. You are also not to make direct approaches to individuals for financial assistance of projects and the like. Let the guests take the initiative. You may promote such projects should you have club visits.
h. Preference will be given to hosts when a reciprocal visit is planned to India at the end of 2017/early 2018 (December to February being the best time considering their weather). When options run out with hosts, we will then open it to other Rotarians. The maximum number will be 10 persons, or 5 couples.
Should you wish to discuss any aspect of this or any RFE related matter, please feel free to contact me. I am also willing to meet with clubs, provided time is on my side.
Ash Maharaj, Chair RFE Committee. D9370
She drove five hours just to get them there: Story by Elizabeth Claire Alberts 17.03.2017
This week, baby rhinos at Rhino Revolution, an orphanage in South Africa, got an unexpected and very snugly surprise — blankets. Not just any blankets, but hand-knitted quilts made by people who belong to a group called Blankets for Baby Rhinos.
Believe it or not, blankets play a vital role in keeping baby rhinos healthy, especially small rhinos that have been injured and traumatized after poachers killed their moms. The blankets regulate the rhinos' body temperatures, keep any wounds clean and provide comfort.
A volunteer for the group, Angie Goody, drove five hours from Pretoria and Limpopo in South Africa to personally deliver the blankets to five rhino orphans — Ringo, Ubuntu, Masingita, Chipoko and Nkonzo.
"The babies were very interested in these blankets," Natalie Rogers, a veterinary nurse at the rhino orphanage, told The Dodo. "The new material was something new to them, and they had a huge interest in the new smells and gave them a good sniff."
While these rhino babies clearly enjoyed receiving the gifts, the blankets aren't actually meant for them — they were produced with much smaller rhinos in mind.
"The blankets we received will be used for future neonate calves that are admitted," Rogers said. "It was an absolute delight to receive the blankets and you can rest assured they will be put to very good use with future neonate calves and carers sleeping with these young babies, bringing comfort to both. The love and attention that has gone into each and every blanket we have received is clear to see."
That love is well and truly needed after everything the baby rhinos have been through.
"The babies who will be wrapped in these blankets are likely to have been through the worst possible trauma after losing their mothers," Rogers added. "In the war against poaching, kind gestures such as these are vital in supporting the rehabbers on the ground."
While the rhino orphans at the sanctuary are all under a year old, they're still vulnerable to poaching. Earlier this month, armed men broke into Thula Thula Rhino Orphanage and killed two baby rhinos for their horns.
To prevent a similar tragedy from happening at Rhino Revolution, the caretakers have decided to keep even the younger rhinos dehorned.
"We dehorned all our rhinos at the facility as one of many security measures," Rogers said. "We would normally wait till our calves are weaned off milk, but with recent escalations with poachers targeting hand-reared calves, we made the decision to dehorn Nkonzo at 11 months."
"We only removed a small amount of horn, but sadly it could tempt a poacher, so the decision was made to take that temptation away to protect them all," Rogers said.
If you'd like to make your own blanket for an orphaned rhino, you can find more information on the Blankets For Baby Rhinos Facebook page. You can also help the rhinos at Rhino Revolution by making a donation.
What has Rotaract done for me?
By Emily Wood, Rotaract Club of South-West Brisbane, Australia
I’ve been a member of Rotaract — Rotary’s community service and professional development programme for young leaders age 18-30 — for ten years. As I age out or “graduate,” I’ve started thinking about what Rotaract has done for me and how it’s shaped who I am today. A decade is a long time to stick with something. So, why have I?
**Opportunity:** Through Rotaract, I’ve had the opportunity to do many amazing things:
- I’ve travelled the world to experience different cultures and participate in projects.
- I’ve lived and studied abroad as a Rotary Ambassadorial Scholar.
- I’ve attended four Rotary International Conventions (Montreal, Bangkok, Lisbon and Sydney) where I’ve heard from and connected with some truly impressive individuals who are making the world a better place.
- I’ve attended RYLA (Rotary Youth Leadership Award), a week-long personal and professional development program that helps you figure out what you want in life and equips you with the skills you need to achieve your goals.
- I’ve received training in leadership, time management, project planning, event coordination, public speaking, governance, and much more.
- I’ve served on local, national and international committees, helping shape the future of this great organisation.
- I’ve been given free rein to develop and implement public relations, marketing and advertising campaigns for my club and district.
**Experience:** At the age of 23, I was invited to serve on the Rotary District 9630 Public Relations Committee. In my first year, I helped deliver new brand positioning (informed by research I undertook as part of my post-graduate degree), a bus advertising campaign, a new district website, new marketing collateral, and media and communication skills training. I will be forever grateful to the Rotarians who put their faith in me, and gave me the opportunity to test and further develop my skills. Not many people receive opportunities like this so early in their careers.
**Confidence:** Long gone is the girl who was terrified of public speaking — or even putting forward opinions in a meeting. Rotaract helped me overcome my fears. It’s amazing how fear slips away when you are in a comfortable, supportive environment, surrounded by people who share your passions. As president of my club, I gained invaluable people and project management skills, and developed the confidence to chair meetings, plan projects and run training sessions. I’ve since served as a keynote speaker and panellist at local, national and international conferences, speaking to audiences of 200-plus people. I’ve also established a reputation at work for being calm and confident under pressure.
**Life-long friendships:** Rotaract has given me the most amazing network of friends — here at home and in almost every corner of the globe. These wonderful individuals have made my life so much richer. They are passionate and talented, and make a real and tangible difference in the lives of others. We’ve shared many adventures and I look forward to sharing many more.
This week is World Rotaract Week. It’s the last time I’ll be celebrating as a Rotaractor, but not the last time I’ll be celebrating this great organisation. If you’re a young adult aged 18 to 30 interested in helping others, developing new skills and having a great time, then Rotaract is for you. Find a club and get involved — you won’t regret it!
The 2017 Swimathon was held at Port Alfred High School on Saturday 11th March.
Since we are only 3 E-Club Members in Port Alfred, Mike Tina and Hans we decided to organize this event together with the Rotary Club of Port Alfred and to split the proceeds. For those of our Members who have not done a Swimathon, try it! It is a fun event and reasonably easy to organize. You simply arrange sponsorships from Companies to enter a team. We have done this twice before and have noticed that Companies rather give you the money than entering their own team again. The reason is simple, it sounds easy to have a team of 6 swimmers to swim relay style for 40 minutes. In practice, however, it is extremely exhausting and adults usually crawl out of the pool within the first 20 minutes. Thus, the only adult teams we had this year were NSRI and the Port Alfred Teachers team. NSRI won the last 2 events with ease and were favourites this time. The Teachers team included our two German Volunteers Tolben and Antonia who also assisted Tina at the food stand. The other 10 teams comprised kids of all ages including INTERACT and EarlyAct and one team from Station Hill Primary School. The latter was the only township school because none of the schools have pools or give swimming lessons. The Station Hill Primary School arranged scholars who usually train in the river.
In total we had 12 sponsored teams each comprising at least 6 swimmers and they swam a total of 1166 laps. The sponsorship raised by our E-Club members was tremendous. Mike Millard, together with Multi Security entered the INTERACT team, Tina Hon and Kwena Air sponsored the NSRI and Port Alfred High School Gala Team and Mario and Kita Hegemann provided the funds for the Station Hill Primary School team.
In addition Mike raised the sponsorship for an additional 4 teams. Well done to our E-Club. Of the 12 teams entered we organized 8!!! It was truly a fun event and the swimmers had fantastic support from scholars and parents. In the end, NSRI was beaten by the Port Alfred High School Gala Team by 11 laps (148 to 137). Enquiring about the reason for NSRI’s performance, the answer from the rather out of breath team leader was simply “we are like Rotarians now – older and fewer”.
The total raised for our Club amounted to R 3 350 which we allocated to Port Alfred High School and End Polio.
If any of our E Club Members would like to support Polio eradication, sponsor a team for the next SWIMATHON in March 2018 and simply deposit $40-00 or R 500-00 into the Club Account. I am sure President Irene Kotze or President Elect Gerald Sieberhagen would gladly arrange additional SWIMATHON events with other schools. It is a wonderful community project whilst raising funds for Polio.
GG1744284 – PRIMARY CONTACT – PAT DRAPER
For Pat, the itching to get going is over – the funds have arrived from The Rotary Foundation, ironically on his birthday!!!
So everything is now full steam ahead – budgets have been adjusted to take into account the Exchange rate change – thank goodness the new Global Grants include a contingency amount which covers exchange rate fluctuations.
DISTRICT GRANT – 2017/18 ROTARY YEAR
All documentation for the next District Grant for R5 000 has been submitted to our District. This consists of:
- Club Qualification MOU
- D9370 District Grant Agreement
- District Grant Application
Proceeds should be received during July 2017.
DISTRICT GRANT – 2017/18 ROTARY YEAR
With the Rotary Club of Mont Albert and Surrey Hills D9810 Australia
This Grant, for upgrading facilities at St Thomas’ Children’s Home is now scheduled to take place in the Rotary Year commencing July 2017.
The contribution from D9810 would probably be increased from AUD3 000 to AUD5 000.
All the necessary documentation is in place.
Thinking of doing a Global Grant – this is the link to the guidelines.
https://my.rotary.org/en/document/guide-global-grants
1000_guide_to_global_grants_en
A GUIDE TO GLOBAL GRANTS
This is the 2016 edition of A Guide to Global Grants, which replaces the Grant Management Manual. It’s for all Rotary members who are interested in applying for global grants or developing more effective and sustainable service projects. Members and leaders can also use this publication as a training resource at district grant management seminars. The information it contains comes from The Rotary Foundation Code of Policies, Terms and Conditions for Rotary Foundation District Grants and Global Grants, and Areas of Focus Policy Statements. Any changes to those policies override statements in this publication.
QUESTIONS
If you have questions about your role, contact your district’s leaders, such as the district Rotary Foundation committee chair. You can also consult experienced Rotary members who have worked with global grants or served as club Rotary Foundation committee chair.
The Rotary Support Centre can answer general questions on grants and qualification. Our staff at Rotary headquarters and our international offices offers support in eight languages. Regional grants officers are also available to answer specific questions about grants.
If you have questions about this manual or other Rotary training material, send them to firstname.lastname@example.org.
We have planted 1 x *Schotia brachypetala* or common name Weeping Boer-bean.
Name derivation: *Schotia* named after Richard van der Schot, head gardener of the Schönbrunn Gardens located in Vienna, Austria and *brachypetala* - short petal. A semi-deciduous to evergreen tree which grows up to 25 m tall. The tree flowers from August through to November and fruits from January to May. The Weeping boer-bean has medicinal uses and its powdered leaves are applied to tropical ulcers to speed up the healing process. The Weeping boer-bean is often utilised by game and is always conspicuous in the veld. Black rhino eats its bark, and the leaves are eaten by giraffe, kudu, nyala and impala. Vervet monkeys, turacos and parrots feast on the flower buds and seeds. A Weeping boer-bean in flower is a stunning sight. The flowers produce abundant nectar and it is this nectar dripping from the flowers which gives it the common name ‘Weeping boer-bean’. Large numbers of various bird species visit the flowers for the nectar. It also attracts many insects and these in turn attract insect-eating birds to the garden.
We have planted 5 x *Indigofera frutescens* or common name River Indigo.
This tree was originally called *Indigofera frutescens*. It is a small evergreen tree which is frost resistant and will thrive in the sun or semi-shade. The delicate pink flowers open in summer which makes a stunning sight. Eve Palmer describes them as “pretty things all lightness and grace”. They are pollinated by bees. It is useful for containers and is a popular garden tree. It can be cut back to make a multi stemmed shrub or left as a single stemmed tree. It produces strong wood and is used magically as the roots are used as a love charm. They are also used medicinally as a worm remedy. It is the larval host to the Common Blue, Lucerne Blue, Grass Jewel Blue, Grizzled Blue, Karkloof Blue, Restless Blue, Clover Blue, Striped Policeman and the African Clouded Yellow butterflies. The leaves are used to make dye. This is a popular bonsai subject.
2 pictures of our tree planting project which we did on the 14th of March. It may look like a hair-raising experience but we had gale force winds in Port Alfred that day. It also does not take 25 people to plant a tree, we only chose that date to coincide with the meeting of the Interact Club to have some fellowship. The actual planting was done by Mike’s faithful workforce. In total we planted 4 wild olive trees sponsored by Mike, Tina, Mario and Hans in celebration of our Foundation’s 100 years anniversary.
The trees were planted on the grounds of Port Alfred High School and each tree has our Club’s logo attached, thanks to Mike’s efforts.
The story about how many people it took to plant 1 wild olive tree of course immediately brings to mind the many stories about how many people are needed to change a light bulb. I have often wondered where the light bulb story had its origin but I will know for sure where the olive tree story had its origin.
Our tree planting is ongoing. Since we came to Mvumi (Dodoma Region of Tanzania) in April 2016 we have planted 40 new trees in our own garden at home, and provided 24 trees to the student nurses who have planted behind the classroom. We are in the process of planting another 100 trees related to a special kitchen improvement project. The main aim of the kitchen project is to stop the use of firewood for cooking meals for the 500 students; we have installed a 1000 L solar water heating panel to provide hot water for the kitchen and we are awaiting a 2 ton gas tank. The gas will finish heating the water and complete the cooking of the food; we hope that having hot water will reduce the use of gas. So far we have planted 25 of the 100 trees in this batch. So in total so far we have planted 89 trees and will continue with another 75, but we are also helping to reduce tree cutting by conversion to solar + gas in the kitchen.
Editor – See next page for photos of trees and also a wood pile that they wish to eliminate in future.
ANGELA & BRIAN SAVAGE ABOUT TREE PLANTING AND OTHER THINGS
Some of the trees that have been planted at their home
Some of the trees at the Nursing school
This is the firewood pile that we want to stop using … solar hot water system in place to get water up to 60+ degrees and we hope to have gas installed this week to finish off the cooking. We aim to stop tree use in the health schools as well as continuing to plant. There are 500 students so in a year there have been lots of loads of firewood used. We are so glad Rotary is very keen on environmental issues.
Here is your owner's manual for how to be a better human being.
**Be kind.** When people are kind to each other, it’s contagious. Kindness breeds kindness, and there’s nothing wrong with that. It takes more energy to be unkind, so why bother?
**Care about and help others.** Caring about and helping others should be a basic human instinct. When you see people in need, ask what you can do to help. Donate to charities when you can. We need to be a more compassionate society.
**Be grateful for what you have.** For so many these days it’s all about what they don’t have instead of what they do have. Let’s stop trying to outdo each other and instead be grateful for what we’ve got.
**Enjoy every day like it’s your last.** Yesterday is gone and tomorrow isn’t here yet. So what’s the sense in dwelling on the past or the future? Live in the moment! Live each day to its fullest!
**Love more.** There is so much hatred in the world. People hate people for the colour of their skin or their political or religious beliefs. Love is so much easier than hate. So, let’s love our fellow humans (and animals, too).
**Set an example for your kids.** Children are the most impressionable beings on the planet. If you want them to act a certain way, be the example for them. Like it or not, you are your child’s biggest role model.
http://www.huffingtonpost.com/dean-dauphinais/10-ways-to-be-a-better-hu_b_5760778.html
And now we are once again OUTA SPACE
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Pruning Evergreens
Agricultural Experiment Station, South Dakota State College
Follow this and additional works at: http://openprairie.sdstate.edu/agexperimentsta_horticulture
Recommended Citation
Agricultural Experiment Station, South Dakota State College, "Pruning Evergreens" (1945). Agricultural Experiment Station Horticulture Pamphlets. Paper 9.
http://openprairie.sdstate.edu/agexperimentsta_horticulture/9
This Pamphlet is brought to you for free and open access by the SDSU Agricultural Experiment Station at Open PRAIRIE: Open Public Research Access Institutional Repository and Information Exchange. It has been accepted for inclusion in Agricultural Experiment Station Horticulture Pamphlets by an authorized administrator of Open PRAIRIE: Open Public Research Access Institutional Repository and Information Exchange. For more information, please contact firstname.lastname@example.org.
Horticulture Pamphlet September 20, 1945
LINCOLN MEMORIAL LIBRARY
South Dakota State College, Brookings, South Dakota
PRUNING EVERGREENS
THIS BOOK DOES NOT CIRCULATE
Department of Horticulture
South Dakota State College
Brookings, South Dakota
630.7
So87.2
No 35
C.1
PRUNING EVERGREENS*
Any consideration of the subject of pruning evergreens, particularly conifers, should first make recognition of several separate and distinct problems of pruning.
As the use of evergreens increases around residences, where trees are used in confined areas, such as foundation plantings, the need of pruning becomes most important. In years past, when evergreens were used largely in parks and cemeteries and on estates, for windbreaks, shelters and other purposes requiring tree-like forms, pruning was of small importance. If nurserymen hope to encourage the planting of evergreens on small residential properties, there is a vital need that they follow some program of pruning which will help to confine trees to certain limits of size for a much longer period than normal.
Pruning also divides itself into two distinct operations, first, pruning in the nursery to develop attractive and compact trees and, second, pruning of the trees after they are on the customer's grounds, which requires an entirely different procedure.
Nursery pruning can be quite severe when trees are not to be sold for two or three years after pruning, and this procedure is done along somewhat different lines than the type of pruning recommended for trees on the customer's grounds.
The subject of pruning is one which depends upon so many conditions that any rules on the subject must take into consideration varied circumstances. Among these varying factors are soil conditions, length of the growing season, space available for development of the tree and the general vitality of the particular specimen. The suggestions which follow are general in character and cannot be applied to all trees under all conditions.
Evergreens, especially conifers, require pruning techniques different from those applied to deciduous trees and shrubs, because once branches are removed they are at best only partially replaced and usually not at all. Pruning or disbudding evergreens requires intelligent work, and the pruner must be cautious and observant and have the desired result well in mind before he starts.
Evergreens generally are most beautiful and thrive best when allowed to grow in their natural forms. However, there are times when proper pruning can be of much benefit, artistically as well as physically. If a tree is uneven or straggly in appearance, if some of its branches are weak or certain parts are injured or diseased, if a tree has grown too large for its setting or if some special shaping is desired, judicious pruning is often the solution. Certain types of evergreens are regularly pruned in the nursery, especially when small, to insure the symmetrical development desired.
*Article written by the American Nurseryman June 15, 1945, page 9
The individual growing habits and other characteristics of the various genera differ, and the general pruning techniques must be varied accordingly. Most conifers can be put into one of two groups: Those which are pruned after the new growth has started, such as pines, firs, spruces and hemlocks, or those which are pruned before the new growth is made, such as junipers, arborvitae, yews and retinosporas.
The pruning of the first group (pines, firs, spruces and hemlocks) is generally limited to correcting defects and cutting back to insure compact growth. These evergreens ordinarily do not have the ability to produce new buds along their branches, so that once they are cut back all growth must come from the already existent buds on the ends of the branchlets. With any of these types, pruning should begin at an early age and be attended to regularly. One sudden shearing will not correct years of neglect.
Firs, spruces and some pines which are naturally pyramidal in form and are at their best if symmetrical are best kept in shape if the terminal buds on the main branches are removed as soon as any irregularity in growth is noted. This may be done with a small knife or even with the fingers. Clipping off the new growth forces the branches to grow from the side buds and also helps the weaker shoots to make additional growth. Or, as with hemlocks especially, owing to the nature of their terminal growth, the previous year's terminal growth may be cut back to a strong bud, twig or cluster of branches on the main limbs, and this treatment also results in a more dense lateral growth.
Pines probably require the least pruning of all evergreens because they are more or less informal in appearance. They should be pruned when the new growth is at its fullest, but before it has hardened. The new shoots, or candles, are cut to about an inch in length.
The mugho pine, differing greatly in form of growth from the other types of pines, requires a little different treatment. In order to keep this pine compact, pruning is usually done annually, late in May or early in June depending on when the buds have reached their fullest growth before they open into leaves. Normally each branch makes a candle-like growth from two to five or six inches in length, of which approximately two-thirds should be cut off with a knife.
The lower branches of evergreens, particularly pines, firs, spruces and hemlocks, should never be removed unless dead or diseased. Such species look stiff and unnatural if their trunks are bare. If these trees grow quite closely together, nature will take care of the necessary pruning. If, however, lower or excess branches must be of necessity be removed, this may be done at any season, since the wounds are self-protected by a resinous sap. Large branches can be removed without cutting or splitting the wood if this kind of pruning is done with care.
Those evergreens which grow with a single main stem or trunk are often injured through damage to the top or leader. Such loss may be remedied by selecting a side branch growing just below the injury and tying it to a wooden or wire stake with soft cord. After a year or so it will grow upright into a new leader, and the loss of the original will hardly be noticeable. Sometimes double leaders develop,
and one of these should be cut out as early as possible, preferably while in bud. Cutting back injured branches to sound, live wood will stimulate new growth and often will save a dying tree. If the roots are well established, most evergreens can stand severe cutting back in the case of injuries.
Pruning can be the cure for many diseases which attack evergreen trees. With pines, brown tips killed by sphaeropsis may be cut off, branches badly weakened by matsuococcus can be pruned in summer and leaders infested with pine weevil can be cut or burned off early in the season. Often with spruces and occasionally with nemlocak, there is cytospora infection, for which no satisfactory control is known except cutting off the affected branches. In some cases adjacent branches may be trained to fill the place formerly occupied by the diseased limb.
If a tree appears one-sided, the overlong branches may be cut back early in spring just above the vigorous side shoots so that this pruning takes off at least one or two years' full growth. If the branches are cut below the foliage line, there will seldom be any new growth and so it is best to prune cautiously and allow a margin of safety.
The softer foliage types, such as the yews, arborvitae, retinosporas and junipers, and all species with many small buds and the branches not in layers or whorls are usually pruned to insure even growth or to create a more formal shape. Most of these species require only occasional treatment late in summer or early in spring.
The informal types of junipers, whether creeping or upright, need some treatment to keep them within bounds. In the nursery they usually receive their first pruning after the first normal growing season in the fields. Again at the end of the second summer and so on during each year of growth the tops are cut back a little to strengthen the branches. Arborvitae, yews, cypress and false cypress may all be pruned this way.
When dense pyramidal growth is desired, pyramidal junipers and arborvitae can be clipped in spring before the new growth is made. It is best to use a sharpknife or standard pruning shears and cut back the branches in a shingling fashion. If skillfully done, this method will leave little evidence of pruning.
Some spreading types of evergreens such as Pfitzer juniper and Japanese yew, and the Canaert red cedar usually require regular trimming to keep them within bounds. The top branches of the Pfitzer juniper and Japanese yew should be trimmed so that they do not overhand the lower ones. The yews, especially, need severe pruning if they are to remain compact plants.
In keeping an evergreen down to a certain height or in keeping it in proportion to adjacent plants, it is necessary to begin pruning before the plant has grown large. If one waits until the tree has outgrown its space so that it must be bended to be brought down to size, there is no way of concealing the butchery. If one anticipates the growth by two or three years, pruning can be done so that it is concealed. The leader or main stem should be cut off well below the maximum height desired and the smaller branches allowed to take its place. Lateral branches may be trimmed in the shingling fashion so
that the smaller branches will cover the cuts. Scotch pines purchased for certain size can be retarded in growth and at the same time kept more dense if one-quarter to three-quarters of each tip of new growth is pinched back each year. This can also be done for Norway spruce, white pine and dwarf mugho pine.
Formal and artificial specimens and hedges require regular shearing once or even twice each year. If little shaping is desired, the tree should be trimmed only once or twice when small. In pruning formal specimens the tips of the branches are clipped with a pair of hedge scissors just as the new growth appears. It is usually best to prune into shapes not too remote from the tree's natural form. Curiosities, such as boxes, pyramids, globes, animal figures, etc. are not results of normal pruning operations. This type of pruning is best called shearing and is done with hedge-trimming shears, preferably the multiple-blade type. Evergreens with small blanchlets, or with so-called soft foliage, such as arborvitae, junipers, cypress, yews and hemlocks, are best suited to this kind of trimming, while pines and spruces used for tall hedges will often also respond to surface shearing. It usually takes four or five years to develop a solid-wall hedge. The first shearing of a hedge should not be too severe, and thereafter only the necessary trimming and shaping should be done. However, constant care is required, because if it is once neglected, it is usually impossible to restore a hedge to its full beauty.
Root-pruning is done at the nursery and thereafter whenever one wishes to transplant evergreens. The roots should be pruned from six months to a year before trees are to be moved, especially if the specimens are large. Cut around the plant with a sharp spade or lawn edger in a shape like the ball of soil that is to be taken out with the entire tree. This develops a mass of fibrous roots near the base of the tree to take the place of the naturally long spreading ones.
The broad-leaved evergreens require little pruning and are naturally irregular. If they do grow out of bounds or straggly, they may be cut back slightly after all blooming is finished. In old specimens the old wood may be removed to make room for the new.
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Welfare Reform: An Historical Overview
Richard K. Caputo
Follow this and additional works at: http://scholarship.richmond.edu/pilr
Part of the Legal History Commons, and the Legislation Commons
Recommended Citation
Richard K. Caputo, Welfare Reform: An Historical Overview, 1 RICH. J.L. & PUB. INT. xvii (1996).
Available at: http://scholarship.richmond.edu/pilr/vol1/iss2/4
This Article is brought to you for free and open access by the Law School Journals at UR Scholarship Repository. It has been accepted for inclusion in Richmond Public Interest Law Review by an authorized administrator of UR Scholarship Repository. For more information, please contact email@example.com.
WELFARE REFORM:
AN HISTORICAL OVERVIEW
Richard K. Caputo, Ph.D.*
Abstract
This essay provides an historical overview of welfare reform efforts prior to enactment of The Personal Responsibility and Work Opportunity Reconciliation Act of 1996 by the 104th Congress. The author argues that the 1996 Act reaffirmed the labor market as the major arbiter of economic well-being of American citizens. In so doing, passage of the Act signified the formal end of income maintenance for able-bodied parents and released the federal government from assuming major responsibility for reducing poverty per se.
WELFARE REFORM: AN HISTORICAL OVERVIEW
This essay provides an historical overview of welfare reform efforts prior to enactment of The Personal Responsibility and Work Opportunity Reconciliation Act of 1996, signed into law by President Clinton on 22 August.\(^{91}\) Although the end of the entitlement nature of welfare was largely unforeseen, the emphasis in the Act on self-sufficiency and work for able-bodied parents, particularly for mothers with young children, had controversial roots since the 1960s. This essay explores those roots chronologically, highlighting the major provisions of earlier welfare reform efforts through the 103rd Congress. It documents a shift in the philosophy from income maintenance to self-support. This essay suggests
* Richard K. Caputo, Ph.D. is Professor of Social Policy and Research, Barry University, School of Social Work. He has authored three books. Two of these, *Welfare and Freedom American Style* (1991) and *Welfare and Freedom American Style II* (1994), both published by University Press of America, deal with the role of the federal government in the economy and society during the 20th century. Professor Caputo has also authored many articles related to family poverty and welfare programs in journals such as *Families in Society*, *Journal of Sociology & Social Welfare*, and *Social Service Review* and in encyclopedias such as *Survey of Social Science: Government and Politics Series* (1995) and *Survey of Social Science: Sociology Series* (1994), both published by Salem Press.
\(^{91}\) The Personal Responsibility and Work Reconciliation Act, Pub. L. No. 104-193 (1996).
that passage of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 signified the formal end of income maintenance for able-bodied parents and released the federal government from responsibility for reducing poverty per se by reaffirming the labor market as the major arbiter of economic well-being for American citizens.
WELFARE REFORM BEFORE THE REAGAN ERA
To set the stage and grasp the rationale behind changes incorporated into The Personal Responsibility and Work Opportunity Act of 1996, an historical review is in order. Title IV of the 1935 Social Security Act established the Federal-State program for aid to dependent children, formally called Aid to Families with Dependent Children (AFDC). In 1962, federal matching was made available for states whose AFDC recipients aged eighteen or older and living with dependent children participated in community work and training programs if certain conditions regarding health and safety regulations, minimum-wage pay, and income criteria were met. States, however, determined what constituted deductible work expenses. As a result, allowances for work expenses varied tremendously across the country. Some states included child care and work-related taxes such as social security, while others did not. Some had flat allowances for work expenses while others treated them on an "incurred" basis.
The 1967 Social Security amendments created the Work Incentive Program (WIN) and required that AFDC recipients be referred to the WIN program unless 1) under age sixteen, 2) ill or incapacitated, 3) attending school, 4) needed to be continually present in the home because of the illness or incapacity of another household member, or 5) exempted by decision of the State agency. The 1967 amendments called for services to former (within the previous two years) and potential (within the next five years) AFDC recipients and broadened purchase of services by the welfare agency to include private as well as public agencies. Like the 1962 changes, the 1967 amendments were meant to reduce the welfare rolls by preventing family break-up and encouraging work. Regulations from these amendments authorized twenty-one services, sixteen of which were mandatory. The theoretically expanded target population and the service emphasis diverted Congressional intent. Concrete services such as child protective care, legal services, and
---
92 James T. Patterson, America's Struggle Against Poverty: 1900–1985, 67 (1995).
93 June Axinn & Herman Levin, Social Welfare: A History of the American Response to Need (3d ed. 1990).
94 Mildred Rein, Dilemmas of Welfare Policy: Why Work Strategies Haven't Worked 67-68 (1982).
95 See id. at 68.
homemaker services had little bearing on employment but concerned aspects of daily functioning. Competence-enhancing services designed to strengthen family life, such as "family-planning information and counseling," were difficult to monitor and assess in relation to employment.\textsuperscript{96} Early studies showed that only thirty-six percent of AFDC families receiving child care as a service, for example, included mothers who were working, training, or awaiting training. For the most part, childcare services went to families with nonworking and nontraining mothers, many of whom were not AFDC recipients, but former or potential recipients.\textsuperscript{97}
Services and expenditures exploded between 1971 and 1972.\textsuperscript{98} The threat of further increases prompted Congress in 1972 to put a limit on 1973 federal social services payments to states and to focus on self-support, not strengthening family life.\textsuperscript{99} Only three of eleven services were mandatory.\textsuperscript{100} Child care under AFDC was made optional, except for WIN participants. Regulations further restricted eligibility by reducing "former" AFDC recipients to within three months and "potential" AFDC recipients to the next six months.\textsuperscript{101} A coalition of sixteen national welfare organizations formed to oppose the changes. Many denounced deletion of strengthening family life as a goal.\textsuperscript{102} And the social service industry objected to the reduction of mandatory services.\textsuperscript{103}
On 4 January 1975, the Social Service Amendments of 1974 became law.\textsuperscript{104} Title XX of the Social Service Act replaced Title IV-A (the adult social services title) and virtually repudiated the 1972 amendments. Under Title XX, states assumed responsibility for social services and eligibility for services was expanded to include nonwelfare categories such as the working poor and middle-income families. Half of Title XX money had to be spent on welfare recipients.\textsuperscript{105} The 1974 amendments placated the social service and welfare organization communities, but they also eroded the goal of the work-through-services strategy for AFDC recipients. Throughout the remainder of the 1970s, AFDC service recipients and expenditures accounted for a smaller proportion of Title
\textsuperscript{96} See id. at 20. See generally Joel F. Handler & Yeheskel Hasenfeld, The Moral Construction of Poverty: Welfare Reform in America (1991).
\textsuperscript{97} See Rein, supra note 4, at 23-24.
\textsuperscript{98} See id. at 26.
\textsuperscript{99} See id. at 29-30.
\textsuperscript{100} See id. at 30.
\textsuperscript{101} See id.
\textsuperscript{102} See id. at 31.
\textsuperscript{103} See id. at 33-34.
\textsuperscript{104} See id. at 35.
\textsuperscript{105} See id. at 36.
XX recipients and funds expended, including day care, education-training, and employment.\textsuperscript{106}
As the work-through-services strategy receded, national policy also sought to encourage work through incentives. The 1962 amendments legislated exclusion of work expenses in the computation of a family's welfare budget, but the states defined such expenses.\textsuperscript{107} The 1967 amendments mandated that each state disregard a certain portion of recipients' earnings, for the explicit purpose of inducing work. The law stipulated that the first $30 per month of earnings plus one-third of the remainder would be exempt as income to be counted toward reducing the assistance payment. It affected only families already on AFDC, thereby reinforcing its purpose to encourage those on welfare to work, not to encourage those at work to become welfare-eligible.\textsuperscript{108} Studies reported by Mildred Rein in \textit{Dilemmas of Welfare Policy}\textsuperscript{109} showed that work effort, as measured by those at work while on welfare and cases closed for employment, did not increase after the implementation of the thirty and one-third disregard. On the whole, increased benefits and reduced income incentives, such as including casual income in determining family income, resulted in decreased work effort among AFDC recipients throughout the country.\textsuperscript{110}
Another work-through-incentive strategy, the negative income tax (NIT), found favor in the 1970s.\textsuperscript{111} The NIT, however, was aimed at the working, not the welfare poor. It was to be attached to the universal federal income tax system. Those whose income exceeded a certain amount would pay and those with incomes below that level would receive payment. The intent was to reduce the stigma associated with AFDC receipt, as well as state discretion and variability among AFDC policies and benefit levels.\textsuperscript{112} The NIT ideology influenced Nixon's failed Family Assistance Plan (FAP) in 1969 and 1972, as well as Carter's aborted Better Jobs and Income Program (BJIP) in 1977.\textsuperscript{113} The Seattle-Denver income maintenance (SIME/DIME) experiment, conducted between 1970 and 1978, showed that the NIT incentive plan reduced work effort, but that decreases in work activity could be avoided by combining incentives with job opportunities and work requirements.\textsuperscript{114} These lessons were incorporated into AFDC work-related demonstration projects in the 1980s
\begin{itemize}
\item \textsuperscript{106} See id. at 35-37.
\item \textsuperscript{107} See id. at 17.
\item \textsuperscript{108} See id. at 19.
\item \textsuperscript{109} See id. at 49-50, 53-55.
\item \textsuperscript{110} See id. at 58-59.
\item \textsuperscript{111} See id. at 60.
\item \textsuperscript{112} See id. at 59; Handler & Hasenfeld, \textit{supra} note 6, at 143-44.
\item \textsuperscript{113} See Handler & Hasenfeld, \textit{supra} note 6, at 146.
\item \textsuperscript{114} See id. at 144-46.
\end{itemize}
and eventually became part of the Job Opportunity and Basic Skills (JOBS) program of the Family Support Act of 1988.\textsuperscript{115}
**Welfare Reform During the Reagan and Bush Administrations**
This section discusses state-level and national reforms that occurred during the Reagan and Bush administrations.\textsuperscript{116} These reforms provided the context of the welfare "experiments" the Clinton Administration approved during the 103rd Congress and they constituted the ashes, so to speak, from which The Personal Responsibility and Work Opportunity Act of 1996 rose in the 104th Congress.
In 1981, federal legislation permitted states to establish a Community Work Experience Program (CWEP) designed to improve the employability of AFDC recipients.\textsuperscript{117} In addition, states were permitted to develop and operate a work supplementation program as an alternative to AFDC. Participation was voluntary, but states could vary benefit levels geographically and/or by categories of recipients. Federal requirements regarding treatment of income could be waived under this program. The work-through-requirement employment experiments offered a variety of educational, training, and other, supportive services such as health and child care, to AFDC recipients. The mix of services varied from program to program, in part reflecting differences among states and other political subdivisions.\textsuperscript{118}
Results of seven WIN and WIN Demonstration studies showed that in most cases, programs lead to consistent and measurable increases in employment and earnings.\textsuperscript{119} Positive impacts continued for three years in states where data were available. During the final year of study, earnings gains of 10 to 30 percent per eligible person in the AFDC caseload were found. Welfare savings were usually smaller and less consistent than employment gains.\textsuperscript{120} There were two notable exceptions. West Virginia experienced higher unemployment than many other areas and its workfare program did not lead to increased employment and earnings.\textsuperscript{121} The Cook County, Illinois study also resulted in no statistically significant
\textsuperscript{115} See, e.g., Rebecca M. Blank, *The Employment Strategy: Public Policies to Increase Work and Earnings*, in Confronting Poverty: Prescriptions for Change 168-204 (Sheldon H. Danzinger et al. eds., 1994); Richard Caputo, Welfare and Freedom American Style II: The Role of the Federal Government 1941-80 (1994).
\textsuperscript{116} See, e.g., Judith Gueron & Edward Pauly, From Welfare to Work (1991); M. Wiseman, *Welfare Reform in the States: The Bush Legacy*, 15, 1 Focus 18-36 (1993).
\textsuperscript{117} See Handler & Hasenfeld, supra note 6, at 178-79.
\textsuperscript{118} See Gueron & Pauly, supra note 26, at 54-55.
\textsuperscript{119} See Handler & Hasenfeld, supra note 6, at 179.
\textsuperscript{120} See Handler & Hasenfeld, supra note 6, at 180-82.
\textsuperscript{121} See Handler & Hasenfeld, supra note 6, at 179.
employment gains.\textsuperscript{122} The Cook County program's mix of services, however, was considered quite sparse in comparison to other programs across the country. Aside from monitoring functions, the Cook County program provided little direct assistance.\textsuperscript{123} The West Virginia and Cook County programs served as useful reminders of the importance of labor market conditions and of the need to provide at least minimal assistance to get employment results. These lessons were applied in the formulation of the Family Support Act of 1988 legislation.\textsuperscript{124}
In 1988, Congress passed the Family Support Act (FSA), affirming an evolving vision of the responsibilities of parents and government for the well-being of poor adults and their dependent children.\textsuperscript{125} The new law left intact the basic entitlement nature of AFDC and even expanded it by requiring states to extend coverage to certain two-parent families.\textsuperscript{126} In addition, FSA sought to shift the balance between permanent income maintenance and temporary support for the latter.\textsuperscript{127} The anchoring principle of FSA was that parents, fathers and mothers should be the primary supporters of their children and that, for many people, public assistance should be coupled with encouragement, supports, and requirements to aid them in moving from welfare to self-support.\textsuperscript{128} FSA placed a responsibility both on welfare recipients to take jobs and participate in employment services and on government to provide the incentives and services to help welfare recipients find employment. For the noncustodial parent, usually absent fathers, this was reflected in greater enforcement of child support collections.\textsuperscript{129} For the custodial parent, usually mothers, this meant new obligations to cooperate in child collection efforts, as well as new opportunities for publicly supported child care, education, training, and employment services, coupled with obligations to take a job or cooperate with the program.\textsuperscript{130}
FSA established the Job Opportunities and Basic Skills (JOBS) Training program to assure that needy families with children would obtain education, training, and employment necessary to help avoid long-term welfare dependency.\textsuperscript{131} The JOBS program replaced several other work-incentive programs, such as WIN and WIN DEMO projects of the 1980s. Child care and supportive services had to be provided to enable
\begin{itemize}
\item Judith M. Gueron, \textit{Work and Welfare: Lessons on Employment Programs}, 4 J. Econ. Persp. 79 (1990).
\item See Gueron & Pauly, \textit{supra} note 26, at 85.
\item See Handler & Hasenfeld, \textit{supra} note 6, at 209.
\item P. L. No. 100-485.
\item See Gueron & Pauly, \textit{supra}, note 26, at 1.
\item See id. at 1.
\item See id. at 1.
\item See id. at 1.
\item See Handler & Hasenfeld, \textit{supra} note 6, at 209-10.
\item See Gueron & Pauly, \textit{supra} note 26, at 55-56.
\end{itemize}
individuals to accept employment or receive training.\textsuperscript{132} State JOBS programs had to include appropriate educational activities, including high school or equivalent education (combined with training as needed); basic and remedial education to achieve functional literacy; job skills training; job readiness activities; and job development and placement.\textsuperscript{133} State programs must have also included, but were limited to two of the following services: 1) group and individual job search; 2) on-the-job training, during which the recipient is placed in a paid job for which the employer provides training and wages and in return is paid a supplement for the employee's wages by the state Title IV-A (AFDC) agency; 3) work supplementation in which the employed recipient's AFDC grant may be diverted to an employer to cover part of the cost of the wages paid to the recipient; and 4) community work experience programs or other Department of Health and Human Services (HHS) approved work programs that generally provide short-term work experience in public projects.\textsuperscript{134}
The JOBS program also amended the "unemployed parent" component of AFDC to provide that at least one parent in a family must participate for a minimum of sixteen hours a week in a work program specified by the state. If a parent was under age twenty-five and had not completed high school, the State could require the parent to participate in educational activities directed at attaining a high school diploma or in another basic education program. The second parent could be required to participate at State option unless he or she met another exemption criteria.\textsuperscript{135}
In \textit{Welfare Reform or Revision: The Family Support Act of 1988}, Catherine S. Chilman criticized many aspects of the FSA legislation, not the least of which was JOBS.\textsuperscript{136} She noted that many requirements did not apply to recipients in two-parent families. Where they did, fathers were placed mainly in on-the-job training or "workplace" programs and were provided with far fewer services than available to mothers. A possible reason for this differential treatment was that work training and placement experiments with AFDC men had resulted at best in only marginal, if at all measurable, gains when experimental groups were compared with controls.\textsuperscript{137} Another criticism was that funding for JOBS was a "capped" entitlement. The federal government matched expenditures of each state up to a fixed amount. Congressional
\textsuperscript{132} C.S. Chilman, \textit{Welfare Reform or Revision? The Family Support Act of 1988}, 66 Soc. Serv. Rev. 349, 392-63 (1992).
\textsuperscript{133} See Handler & Hasenfeld, \textit{supra} note 6, at 211.
\textsuperscript{134} See Chilman, \textit{supra} note 42, at 359.
\textsuperscript{135} See Gueron & Pauly, \textit{supra} note 26, at 56-59.
\textsuperscript{136} See Chilman, \textit{supra} note 42, at 359.
\textsuperscript{137} See id.
appropriations for this part of FSA could not legally exceed the "cap," regardless of state need or demand.\textsuperscript{138}
Implementing JOBS presented further problems. Central to these problems was the targeting of probably the most difficult groups, particularly the long-term poor. Many of the long-term poor required intensive individual remedial education, job training, numerous health and social services, and carefully supervised job placement. To economize, states and localities were tempted to train and place more readily employable individuals and to use cheaper work-placement methods, such as counseling recipients regarding their job-search activities.\textsuperscript{139} Training and placement of the more readily employable were not seen as cost efficient in the long run based on the likelihood of these individuals to find employment on their own. State and local administrators of FSA needed to foster close relationships with already existing job-training programs. The Job Training Partnership Act of 1982 (JTPA), which already had close working relationships with the private sector, was looked to as a recommended training resource.\textsuperscript{140} Because of stringent performance standards set by the government, JTPA had tended to "cream" the most job-ready trainees.\textsuperscript{141}
\textbf{STATE AND CONGRESSIONAL REFORM INITIATIVES DURING THE FIRST TWO YEARS OF THE CLINTON ADMINISTRATION}
During his presidential campaign, Bill Clinton promised to end welfare as we know it. President Clinton unveiled his Administration's proposal for reform on 14 June 1994.\textsuperscript{142} He did so in light of requests by over two dozen states for waivers allowing them to make major changes in their welfare programs.\textsuperscript{143} These initiatives, like the Administration's plan itself, encompassed three main issues: having babies while on welfare, mandatory employment, and deadlines. In regard to single parents and their babies, New Jersey, for example, provided free health insurance, food stamps, and $64 a month for each child to mothers on welfare, but the state's "child exclusion" provision drew the line at children born to mothers already on welfare.\textsuperscript{144} Having additional children no longer increased the monthly check. In August and September
\begin{itemize}
\item \textsuperscript{138} See id.
\item \textsuperscript{139} See id.
\item \textsuperscript{140} 29 U.S.C. 1577(a)(2) (1997).
\item \textsuperscript{141} See Chilman, \textit{supra} note 42, at 360.
\item \textsuperscript{142} Jeffrey L. Katz, \textit{Long-Awaited Welfare Proposal Would Make Gradual Changes}, Cong. Q. Wkly. Rep., June 18, 1994, at 1622.
\item \textsuperscript{143} Michael Weisman, \textit{State Strategies for Welfare Reform: The Wisconsin Story} Discussion Papers (Institute for Research on Poverty, Univ. of Wis., Madison, Wis.), June 1995, at 1, endnote 1.
\item \textsuperscript{144} Megan Garvey, \textit{Welfare: What States Have Done}, Wash. Post, Dec. 27, 1993, at A9.
\end{itemize}
1993, welfare mothers who had conceived after the program took effect had 1,678 babies, 336 fewer than for the same two months in 1992.\textsuperscript{145} Georgia required unmarried women under the age of eighteen who were pregnant or already mothers to live with a parent or guardian to be eligible for welfare.\textsuperscript{146} Georgia also froze the welfare benefits of mothers on welfare for two years if they had another child.\textsuperscript{147} And Minnesota automatically withheld child and spousal support from paychecks of "deadbeat" parents.\textsuperscript{148}
In regard to mandatory employment, Florida's $30 million-a-year "Project Independence" required its 18,000 single-parent participants to attend orientation sessions and to contact at least twelve employers in their job search.\textsuperscript{149} Project Independence required enrollees with a tenth-grade education or recent work experience to find jobs. It also taught job-seeking skills such as resume-writing, and interviewing techniques to those who did not find work immediately.\textsuperscript{150} More extensive and costlier training programs were for those with less education or work experience.\textsuperscript{151} A study by an independent research group found that the program, which started in 1990, reduced the welfare rolls by about five percent and the earnings of program participants were seven percent higher than those of welfare recipients not in the program.\textsuperscript{152} California's Greater Avenues for Independence (GAIN) program cost more than $120 million a year and had about 60,000 participants who trained for several months, in some cases up to a year, before seeking work.\textsuperscript{153} One study found that two years after entering the program, single parents, on average, earned about twenty percent more than a similar group of non-participants.\textsuperscript{154} Like Florida's program, GAIN reduced the welfare rolls by about four to five percent.\textsuperscript{155}
In regard to the issue of deadlines, Wisconsin's "Work Not Welfare," signed into law in December 1993 by Governor Tommy G. Thompson, called for two counties to require welfare recipients to work for their benefits.\textsuperscript{156} In 1995, about 1,000 Wisconsin welfare enrollees were required to have found full-time work or a job training program within thirty days of signing up for assistance. After two years, their cash
\textsuperscript{145} See id.
\textsuperscript{146} See id.
\textsuperscript{147} See id.
\textsuperscript{148} See id.
\textsuperscript{149} See id.
\textsuperscript{150} See id.
\textsuperscript{151} See id.
\textsuperscript{152} See id.
\textsuperscript{153} See id.
\textsuperscript{154} See id.
\textsuperscript{155} See id.
\textsuperscript{156} See id.
benefits were cut off although they still received health care and food stamps.
Still other states requested to experiment with the Food Stamps program to turn it into a job subsidy. Oregon's JOBS Plus and Missouri's 21st Century Communities, for example, converted Food Stamp and AFDC benefits to wages.\textsuperscript{157} Reorienting food stamp money into a job subsidy enticed Democrats and Republicans eager to require welfare recipients to work, but aware of the money necessary to underwrite such efforts. Converting food stamp grants to cash could be viewed as providing those funds.\textsuperscript{158} The federal government had approved eight "cash out" demonstration projects along these lines.\textsuperscript{159}
In 1994, Georgia and Wisconsin joined New Jersey in placing a family cap on AFDC benefits.\textsuperscript{160} Five states (Colorado, Florida, Iowa, South Dakota, and Vermont) followed Michigan's 1993 initiative to set time limits on benefits and to require AFDC recipients to work after a transition assistance period.\textsuperscript{161} The programs included placement in public service jobs or community service as well as flexible time tables.\textsuperscript{162}
Several states cracked down on welfare parents whose children missed too many school days. Wisconsin's Learnfare program, begun in 1988, became the model for reducing welfare benefits where there was unreasonable truancy among teenagers in the family.\textsuperscript{163} Ohio's Learning, Earning, and Parenting Program (LEAP) reduced by $62 the AFDC benefit of teens with more than two unexcused absences a month.\textsuperscript{164}
An anti-welfare rhetoric pervaded the 1994 midterm elections.\textsuperscript{165} A consensus emerged to the effect that 1) the welfare system promoted dependence on government, discouraged recipients from working, penalized them for being married and provided bonuses for having additional children, 2) welfare changed from being a temporary safety net to a way of life with increasing numbers of long-term users, and 3) welfare should involve the recipient's part responsibility beyond child
\textsuperscript{157} See Sondra J. Nixon, \textit{Assistance Experiments}, Cong. Q. Wkly. Rep., Aug. 6, 1994, at 2262.
\textsuperscript{158} Jeffrey L. Katz, \textit{Food Stamp Experiments Spark Welfare Debate}, Cong. Q. Wkly. Rep., Aug. 6, 1994, at 2261-63.
\textsuperscript{159} See id. at 2262.
\textsuperscript{160} Susan Kellam, \textit{Welfare Experiments}, Cong. Q. Researcher, Sept. 16, 1994, at 804.
\textsuperscript{161} See id. at 804.
\textsuperscript{162} See id.
\textsuperscript{163} See id. at 805.
\textsuperscript{164} See id.
\textsuperscript{165} See, e.g., Jason DeParle, \textit{Way Out Front on a Hot-Bottom Issue}, N.Y. Times, Oct. 20, 1994, at A25; Charisse L. Grant & Tim Nickens, \textit{Chiles, Bush Clash on Welfare Reforms}, Miami Herald, Oct. 16, 1994, at A1, A16.
care per se and toward self-support, entailing work requirements for mothers and a crackdown on child support payments for fathers.\textsuperscript{166} Several legislative proposals introduced into Congress prior to the Clinton Administration plan reflected this consensus and drew from many state initiatives. HR 3500, sponsored by Minority Leader Robert Michel (R-IL), for example, would have imposed a two-year time limit on welfare benefits, capped federal funding on several anti-poverty programs, and ended welfare for most non-citizens.\textsuperscript{167} S 16, sponsored by Senate Finance Committee Chairman Daniel Patrick Moynihan (D-NY), authorized additional funding for the Job Opportunities and Basic Skills (JOBS) program, created in 1988, which provided AFDC recipients with work, remedial education, and training.\textsuperscript{168} HR 4051, sponsored by Representative Lynn Woolsey (D-CA) created a child-support assurance program, guaranteeing that the federal government would provide child support if the non-custodial parent did not.\textsuperscript{169} S 1795, sponsored by Senator Hank Brown (R-CO), established time limits on welfare, restricted benefits to legal aliens and required states to set up job programs using vouchers.\textsuperscript{170} And S 1891, sponsored by Senator Nancy Kassenboum (R-KS) provided for enhanced federal funding of Medicaid in exchange for state takeover of AFDC, food stamps and WIC, the special supplemental food program for Women, Infants and Children.\textsuperscript{171} The Clinton Administration's plan essentially embraced the consensus and reflected state efforts.
\textbf{THE ADMINISTRATION'S PLAN: THE WORK AND RESPONSIBILITY ACT OF 1994}
Americans had come to know welfare primarily in two senses: 1) as an administrative culture more concerned with eligibility rules and compliance with regulations and 2) as an income maintenance program structured so that those who work were no better off than if they had remained on welfare.\textsuperscript{172} The Work and Responsibility Act of 1994 aimed to change both aspects of welfare, i.e., to instill a culture of self-support that structured interactions and expectations around work and the preparation of work, with the goal of moving clients off welfare and into a labor market that offered increased opportunities for jobs paying wages
\textsuperscript{166} Jeffrey L. Katz, \textit{Clinton Plans Major Shift in Lives of Poor People}, Cong. Q. Wkly. Rep., Jan. 22, 1994, at 116-22.
\textsuperscript{167} \textit{See id.} at 117.
\textsuperscript{168} Jeffrey L. Katz, \textit{Welfare Overhaul Forces Ready to Start Without Clinton}, Cong. Q. Wkly. Rep., Apr. 2, 1994, at 802.
\textsuperscript{169} \textit{See id.} at 802.
\textsuperscript{170} \textit{See id.}
\textsuperscript{171} \textit{See id.}
\textsuperscript{172} Mary Jo Bane & David T. Ellwood, Welfare Realities: From Rhetoric to Reform (Harv. U. Press 1994).
and providing benefits exceeding those on welfare. The plan took an incremental approach to changes in AFDC such as imposing time limits on benefits, providing job-related education and training, and assisting states with child support enforcement.\textsuperscript{173}
A. \textit{Time Limits}
The Administration's plan required recipients to work within two years of accepting welfare benefits. Recipients who were capable of working would have been limited to two years of government cash assistance throughout their lifetime. Exemptions would have been provided to those who were seriously ill or were caring for a disabled or seriously ill child. As they entered the welfare system, recipients would have received a twelve-month deferral from the time limits for their first child, and a twelve-week deferral for another child. In addition, any time spent on welfare up to age eighteen would not have been counted toward the two-year limit. States would have been permitted to extend time limits for a variety of reasons, provided these extensions amounted to no more than ten percent of the eligible caseload.\textsuperscript{174}
B. \textit{Work Requirements}
Recipients who could not find a job would have been placed in federally subsidized jobs. Each state would run a WORK program that would make paid work assignments available to recipients who reached the time limit.\textsuperscript{175} States would provide child care, transportation and other services to help individuals participate in the program. WORK recipients would be paid the minimum wage, with each assignment between fifteen and thirty hours per week. By fiscal year 2000, the plan estimated that 394,000 people would have been in subsidized jobs under the WORK program, at a cost of $1.2 billion.\textsuperscript{176} If a job did not pay as much as AFDC benefits, the worker would get funds to make up the difference. Additional money would be spent on job training and education to ease the transition into work, $2.8 billion over five years.\textsuperscript{177} The plan applied only to people born after 1971, because it would have been too costly to include all welfare recipients immediately. This group would have constituted about one-third of the welfare caseload in 1997 and two-thirds of all welfare recipients by 2004. States would have had the option of including more of their caseloads.
C. \textit{Teen Pregnancy, Child Support, and Other Provisions}
\textsuperscript{173} See, e.g., Katz, \textit{supra} note 76, at 117-22; Katz, \textit{supra} note 52, at 1622-24.
\textsuperscript{174} See Katz, \textit{supra} note 52, at 1622-24.
\textsuperscript{175} See \textit{id.} at 1623.
\textsuperscript{176} See \textit{id.}
\textsuperscript{177} See \textit{id.}
The Clinton Administration plan also envisioned a national information clearing house and grants to local programs to combat teen pregnancy, with a five-year cost of $300 million.\textsuperscript{178} Every school-age parent or pregnant teenager who received or applied for welfare would have been required to finish school or enroll in a JOBS program. Parents who were minors would have been required to live with a responsible adult, preferably a parent, and states would have had the option to limit benefit increases when all welfare recipients, including those born after 1972, had more children, as New Jersey, Georgia, and Arkansas had done.\textsuperscript{179} The plan also suggested that more efforts would have been made to establish paternity at birth, and it proposed to spend $600 million over five years to improve enforcement of court orders for child support and related services.\textsuperscript{180} The plan would have also permitted states to make it easier for two-parent families to be eligible for AFDC payments. (At the time, AFDC eligibility for two-parent families was limited to those in which the principal wage earner was unemployed but had worked in six of the last thirteen calendar quarters.\textsuperscript{181} Loosening the laws however, might have encouraged married couples to apply for welfare and thereby expand the rolls significantly). Finally, the plan rejected the lead of House Republicans and some moderate Democrats to cut off most welfare benefits to immigrants, although some restrictions on aid to immigrants and small cuts in benefits to alcoholics and addicts under the Supplemental Security Income (SSI) program and in emergency assistance, among other provisions, would have helped finance the changes.\textsuperscript{182}
Neither Clinton nor Congress claimed that the objective of welfare reform was to end poverty per se. In light of the cost of job training, deference to deficit reduction, and reluctance to slow down or reverse expenditures for entitlements, it remained doubtful that the Administration's plan, or any of those proposed in the 103rd Congress or experimented with by states, would have adequately addressed poverty as we currently understand it.\textsuperscript{183} At one of the early House Ways and Means Committee's Human Resources Subcommittee meetings, both Republicans and liberal Democrats challenged the Clinton Administration's plan.\textsuperscript{184} Under questioning by Robert T. Matsui (D-CA),
\textsuperscript{178} See id. at 1624.
\textsuperscript{179} See id.
\textsuperscript{180} See id.
\textsuperscript{181} See id.
\textsuperscript{182} See id. at 1622.
\textsuperscript{183} See Robert H. Haveman & J.K. Scholz, \textit{The Clinton Welfare Reform Plan: Will It End Poverty As We Know It?}, Discussion Papers, at 1037-94 (Institute for Research on Poverty, U. Wis., Madison, Wis., July 1994).
\textsuperscript{184} See Jeffrey L. Katz, \textit{Chances for Overhaul in Doubt as Time for Action Dwindles}, Cong. Q. Wkly. Rep., July 30, 1994, at 2150.
Administrative officials David Ellwood and Mary Jo Bane admitted that there was little research at the present time to support proposals to impose time limits or permit states to deny additional benefits to AFDC recipients when they had more children.\textsuperscript{185} Under questioning by Rick Santorum (R-PA) and E. Clay Shaw, Jr. (R-FL), officials sought to explain why work requirements for welfare recipients would be waived for a year after the birth of their first child while the Family and Medical Leave Act entitled working people to only twelve weeks of leave. Bane replied that lowering the exemption would have required more federal funds be spent on child care.\textsuperscript{186}
The Work and Responsibility Act of 1994 sought to reduce teen pregnancy, improve child support, provide more money for job training and education, impose time limits on unconditional welfare payments, and make work pay. These goals obscured what remained the binary powder keg of the reform effort: revenue neutrality and mandatory work. Questions like "Where will the money will come from to cover costs for educational, job training, and child support services?" "What is the best way for local welfare agencies to increase the flow of welfare parents into private-sector jobs?" "How will agencies find and administer a million or more placements in community jobs for mothers who do not find private-sector jobs?" and "How can the opposition of public employee labor unions be overcome?" begged to be answered.
In the name of family stability and togetherness, Clinton told the nation in his January 25, 1994, State of the Union address his Administration would no longer give adolescent mothers a check to set up separate households.\textsuperscript{187} In his message to Congress transmitting his Administration's proposal, Clinton highlighted teen pregnancy and out-of-wedlock births. "To prevent welfare dependency," Clinton admonished, "teenagers must get the message that staying in school, postponing pregnancy, and preparing to work are the right things to do."\textsuperscript{188} To the extent that autonomous household units served an emancipatory function of enabling such parents to escape abusive situations, such a policy would be a disservice and would subject both mother and infant to potentially greater harms than bearing the wrath of an increasingly mean-spirited public.
Some of the legislation's proposals involved enormous costs, especially time-limited welfare, which, while holding promise of saving
\textsuperscript{185} See id.
\textsuperscript{186} See id.
\textsuperscript{187} President's State of the Union Address, Wkly. Comp. Pres. Doc. 148-57 (Jan. 31, 1994).
\textsuperscript{188} President's Message to Congress Transmitting the "Work and Responsibility Act of 1994," Cong. Q. Wkly. Rep., at 1320-21 (June 21, 1994).
money in the long run, required creating new jobs in an economy with 8.3 million out of work.\textsuperscript{189} Based on the then current AFDC caseload, between 1.2 million and 1.5 million families would have been in need of placements in either private-sector jobs or community service positions.\textsuperscript{190} Each job created for recipients forced off welfare at the end of two years was estimated to cost $3,000, resulting in an annual cost of just the jobs component between $3 billion and $5 billion.\textsuperscript{191} Harold E. Ford (D TN), Chair of the House Ways and Means Human Resources Subcommittee, recoiled from the prospect of forcing many mothers into minimum-wage jobs and proclaimed deficit-neutral welfare reform plans to be unrealistic.\textsuperscript{192} Other estimates put the child care component, which would allow welfare mothers to accept jobs, and transportation allowances at an additional $3,000 per person a year, thereby doubling the annual total.\textsuperscript{193}
Proposals to supplement welfare benefits for working families when their jobs paid less than welfare could have added billions of dollars to the reform plan. The Earned Income Tax Credit, which was the only anti-poverty program to survive the Clinton Administration's first budget battle in Congress, has been expanded three times in seven years.\textsuperscript{194} When the 1993 expansion is fully implemented, the EITC will augment earned income by as much as $3,500 per year for low- and moderate-income working families.\textsuperscript{195} Between 1993 and 1998, taxpayers will have contributed roughly $105 billion to working families through the EITC.\textsuperscript{196} By the end of 1996, nearly 18.7 million taxpayers were expected to take advantage of the EITC, at an annual cost of $25 billion; about double the 1993 federal share of AFDC expenditures.\textsuperscript{197}
Republicans had drafted their own version of welfare reform in an effort to ride a wave of public opinion that seemed to favor transforming welfare from an entitlement to a benefit that must be earned through work. House Republicans introduced welfare reform legislation to Congress both in 1993 and 1994.\textsuperscript{198} In the first session of the 104th Congress, Republicans introduced HR 4. The Republican plan cut benefits to welfare mothers who continued having children out of
\textsuperscript{189} See Jeffrey L. Katz, \textit{Clinton’s Attention to Welfare Boosts Supporters’ Hopes}, Cong. Q. Wkly. Rep., at 176 (Jan. 29, 1994).
\textsuperscript{190} See id.
\textsuperscript{191} See id.
\textsuperscript{192} See id.
\textsuperscript{193} See id.
\textsuperscript{194} See Saul D. Hoffman & Laurence S. Siedman, \textit{The Earned Income Tax Credit} (Upjohn Institute, Kalamazoo, Mich. 1990).
\textsuperscript{195} See H.R. Comm. on Ways and Means, Overview of Entitlement Programs (1994).
\textsuperscript{196} See id.
\textsuperscript{197} See id.
\textsuperscript{198} See Clinton, \textit{Congress Talk of Welfare Reform}, 1993 C. Q. Almanac at 373-75; see also Welfare Reform Takes a Back Seat, 1994 C. Q. Almanac at 364-65.
wedlock; forced teen mothers on welfare to live at their parents' homes; required mothers who apply for welfare to identify the child's father in order to receive maximum benefits; cut welfare and Supplemental Security Income (SSI) benefits to immigrants; and ended SSI benefits for those whose disabilities were related to alcoholism or drug addiction.\footnote{Welfare Bill Clears Under Veto Threat, 1995 C. Q. Almanac at 7-35 through 7-52.} Their 1995 plan also required that AFDC parents begin working within two years of receiving aid and federal funds for cash welfare generally could not be provided to any adult for more than five years.\footnote{See id. at 7-51.} After three years of participation in the Work Program (and a total of five years on AFDC), states had the option of dropping recipients from the AFDC rolls, although recipients would continue to be eligible for Medicaid, Food Stamps, and other benefits to which they were entitled. HR 4 was estimated to save about $62.1 billion over five years and $102 billion over seven years.\footnote{See id.} Savings were to derived from AFDC, food stamps, and SSI.\footnote{See, e.g., Jason DeParle, \textit{New Majority's Agenda: Substantial Changes May Be Ahead}, N.Y. Times, Nov. 11, 1994, at A10; Jeffrey L. Katz, \textit{Welfare: Approaching an Overhaul}, Cong. Q. Wkly. Rep., Oct. 15, 1994, at 2957.}
On the whole, Congressional Republicans promised to place many more welfare recipients in work programs, with less training, lower benefits, and fewer protections than Democrats had proposed.\footnote{Katz, \textit{supra} note 93, at 2957.} With a Republican Congress and a shift of the political center to the right, the prospect of eliminating benefits for young mothers, even those willing to work, had become politically plausible. One such measure, sponsored by Rep. James M. Talent (R-MO) and Sen. Lauch Faircloth (R-NC), would have permanently denied benefits to children of unmarried mothers younger than twenty-six, thereby removing 3.5 million children from the welfare rolls.\footnote{Katz, \textit{supra} note 94, at 2150.} Rep. E. Clay Shaw (R-FL), who came to head the Ways and Means Subcommittee which had jurisdiction over welfare in the 104th Congress, had reservations about eliminating benefits to mothers older than eighteen.\footnote{See, e.g., Jeffrey L. Katz, \textit{Key Members Seek to Expand State Role in Welfare Plan}, Cong. Q. Wkly. Rep., Jan. 14, 1995, at 159-62; Katz, \textit{Concerns Over House Bill}, Cong. Q. Wkly. Rep., Jan. 28, 1995, at 282; Welfare Bill Clears Veto Threat, \textit{supra} note 109, at 7-35.} In 1995, he would play a large role in moving the Republican welfare proposal, HR 4, to centerstage in Congress. President Clinton vetoed HR 4 on January 9, 1996, saying it would do too little to replace welfare with work and to make deep budget cuts.\footnote{Katz, \textit{supra} note 94, at 2150.}
Many scholars and others recoiled from the provisions in both the Clinton Administration's plan and in the Republican alternatives.\textsuperscript{207} Research by the Manpower Development Corporation had indicated that even the best designed education and training programs produced only small gains for welfare recipients.\textsuperscript{208} Eleanor Holmes Norton, head of the Children's Defense Fund, remained sharply critical of the two-year limit and she criticized the Clinton Administration for raising expectations about radical change that it could not possibly bring about, although the 104th Congress proved her wrong.\textsuperscript{209} It was possible, as Robert Greenstein, director of the Center for Budget and Policy Priorities, noted, that the current system, despite its offensive aspects to conservatives and liberals, could be made worse than it had been.\textsuperscript{210}
Many viewed workfare efforts as another way of punishing the poor. As this author and others have noted, for example, there was no economically and politically practical way to replace welfare with work with an annual average unemployment rate hovering around seven percent and with the proliferation of low-wage employment.\textsuperscript{211} Furthermore, there was little evidence that putting welfare recipients to work would transform family structure, community life, and the alleged "culture of poverty" as welfare reformists Mickey Kaus\textsuperscript{212} and Lawrence Mead\textsuperscript{213} so forcefully asserted. Laurence Lynn\textsuperscript{214} argued that pushing ill-prepared young mothers and nearly disabled older ones into the deteriorating job market, while seeking to get support from increasingly destitute fathers, two FSA cornerstones, made no sense. Lynn called for the end of welfare reform as we know it.
The composition of the 104th Congress was such that the ideological center had shifted to the right of the political spectrum. Concerns about social issues such as crime, illegal immigration, family values and welfare reform had eclipsed economic issues, such as unemployment and
\textsuperscript{207} See, e.g., Douglas J. Besharov, \textit{Orphanages Aren't Welfare Reform}, N.Y. Times, Dec. 20, 1994, at A23; Jason DeParle, \textit{Better Work Than Welfare. But What If There's Neither?}, N.Y. Times, Dec. 18, 1994, at 42-49, 56, 58, 74.
\textsuperscript{208} See, e.g., Gueron & Pauly, \textit{supra} note 23, Jeffrey L. Katz, \textit{System Failings Highlighted at Welfare Reform Hearing}, Cong. Q. Wkly. Rep., Aug. 21, 1993, at 2263.
\textsuperscript{209} Katz, \textit{supra} note 118, at 2265.
\textsuperscript{210} Jeffrey L. Katz, \textit{The New Vision of Welfare: Offer More, Demand More}, Cong. Q. Wkly. Rep., June 5, 1993, at 1420-24.
\textsuperscript{211} See, e.g., Richard Cloward & Frances Fox Piven, \textit{Punishing the Poor Again: The Fraud Welfare}, The Nation, May 24, 1993, at 693-96; Richard K. Caputo, \textit{Limits of Welfare Reform}, 70 Soc. Casework 85-95 (1989).
\textsuperscript{212} Mickey Kaus, \textit{The End of Equality} (1992).
\textsuperscript{213} Lawrence M. Mead, \textit{The New Politics of Poverty} (1992).
\textsuperscript{214} Laurence E. Lynn, \textit{Ending Welfare Reform as We Know It}, 15 The American Prospect 83-92 (1993).
inflation in importance.\textsuperscript{215} Popularized books, such as Hernstein and Murray's \textit{The Bell Curve},\textsuperscript{216} added respectability to fringe conservative concerns about the "dilution" of American culture from both exogenous (immigrant) and indigenous (underclass) forces and, at best, encouraged nineteenth century social Darwinian solutions to contemporary problems.\textsuperscript{217} The political right seemed less likely to overhaul the current welfare system than to eliminate Federal involvement and impose strict sanctions for work- and/or other-related noncompliance. The abandoned Reagan promise to devolve AFDC to the states, as exemplified in the plan Jeb Bush put forth in his quest to be Governor of Florida and the legislation Governor Tommy Thompson of Wisconsin had signed, became the exemplars of what became national policy.\textsuperscript{218} Welfare reform themes like time limits, learnfare, workfare and mandates returning to their parents unwed teen parents who reside independently, all resonated with a public that had lost confidence in a national government overwrought with "centralized interest groups" seemingly beyond popular influence\textsuperscript{219} and that remained determined to retain its government entitlements.\textsuperscript{220} This public, in effect, demanded that those on welfare face the same risks and play by the same rules as many working poor parents who primarily rely on their own resources in times of need. Rather than a liberal consensus expanding benefits to the working poor and some middle class families, the prevalence of an anti-tax and anti-government mood among the populace and the Administration's deference to deficit reduction set the stage for the Congressional consensus more concerned with shrinking the welfare rolls and reducing costs than with helping AFDC recipients escape poverty.
\textsuperscript{215} See, e.g., David S. Broder, \textit{The Deflation of Bill Clinton}, Wash. Post Nat'l Wkly. Edition, Oct. 17-23, 1994, at 6-7; Thomas B. Edsall, \textit{An Up-Close Look at the 'Values' Battle}, Wash. Post Nat'l Wkly. Edition, Oct. 17-23, at 24-25.
\textsuperscript{216} Richard J. Hernstein & Charles Murray, \textit{The Bell Curve: Intelligence and Class Structure in American Life} (1994).
\textsuperscript{217} See, e.g., M. Land, \textit{From the Fringe to the Forefront}, Wash. Post Nat'l Wkly. Edition, Oct. 24-30, 1994, at 24; R.S. Boyd, \textit{IQ Controversy}, Miami Herald, Oct. 23, 1994, at A1-20; J. Leo, \textit{Return to the IQ Wars}, Newsweek, Oct. 24, 1994, at 24; E.J. Dionne, \textit{Discredited Notions About Race and IQ}, Miami Herald, Oct. 23, 1994, at M1-4; Mickey Klaus, \textit{TRB: Behind the Curve}, New Republic, Oct. 31, 1994, at 4; T. Morganthau, \textit{IQ: Is It Destiny?}, Newsweek, Oct. 24, 1994, at 52-55.
\textsuperscript{218} See, e.g., Jason DeParle, \textit{Charles Murray: Daring Research or 'Social Science Pornography'?} N.Y. Times Magazine, Oct. 9, 1994, at 48ff; A. Devroy & C. Chandler, \textit{The Truth Nobody Wants to Talk About in Public}, Wash. Post Nat'l Wkly. Edition, Oct. 31-Nov. 6, 1994, at 14; Grant & Nickens, \textit{supra} note 60.
\textsuperscript{219} President's Radio Address, Pub. Papers 1676-78 (Oct. 1, 1994); President's News Conference, Pub. Papers 1714-1724 (Oct. 7, 1994); Remarks at a Reception for Senate Candidate Ann Wynia in Minneapolis, Minnesota, Pub. Papers 1607-1611 (Sept. 24, 1994); Kevin Phillips, \textit{Arrogant Capital: Washington, Wall Street, and the Frustration of American Politics} (1994).
\textsuperscript{220} A. Lewis, \textit{Pie in the Sky}, N.Y. Times, Oct. 31, 1994 at A15; Jonathan Rauch, \textit{Demosclerosis: The Silent Killer of American Government} (1994).
|
SUBJECT: Sponsored Program Policies
WHEREAS, the District of Columbia law (D.C. Official Code § 1201.01(a) provides for the Board of Trustees of the University of the District of Columbia to adopt, prescribe, amend, repeal, and enforce such bylaws, rules, and regulations as it may deem necessary for the governance and administration of the University; and
WHEREAS, the University entered into a compliance agreement with the National Science Foundation in October 2012; and
WHEREAS, the University agreed to implement a Sponsored Projects Compliance Program; and
WHEREAS, the Sponsored Projects Compliance Program included a provision that the University adopt written policies that formalized its practices and processes with regard to sponsored programs; and
WHEREAS, the University has drafted the following policies governing sponsored programs for approval by the Board of Trustees: Allowable Costs; At-Risk Accounts; Direct Charging of Administrative and Clerical Costs; Cost Allocation; Cost Sharing; Cost Transfers; Equipment; Financial Reporting and Closeout; Program Income; Retention of and Access to Records for Sponsored Programs; Subrecipient Monitoring; and Time and Effort Reporting;
NOW, THEREFORE, BE IT RESOLVED THAT the Board of Trustees hereby adopts the above-referenced policies as attached and incorporated hereto.
Approved by the Executive Committee: July 15, 2014
Ratified by the Board of Trustees:
September 16, 2014
Elaine A. Crider
Chairperson of the Board
FISCAL IMPACT STATEMENT
TO: The Board of Trustees
FROM: Office of the Chief Financial Officer (UDC)
DATE: May 22, 2014
SUBJECT: Sponsored Program Policies
Conclusion
It is concluded that there is no fiscal impact to effect new policies and procedures for University of the District of Columbia’s Sponsored Programs Department per the compliance agreement with the National Science Foundation.
Background
The University entered into a compliance agreement with the National Science Foundation in October 2012 and agreed to implement a Sponsored Projects Compliance Program to include a provision that the University adopt written policies that formalized its practices and processes with regard to sponsored programs.
The University has drafted the following policies governing sponsored programs for approval by the Board of Trustees: Allowable Costs; At-Risk Accounts; Direct Charging of Administrative and Clerical Costs; Cost Allocation; Cost Sharing; Cost Transfers; Equipment; Financial Reporting and Closeout; Program Income; Retention of and Access to Records; Sub recipient Monitoring; and Time and Effort Reporting;
Financial Impact
The funding requirement associated with adopting these new policies appears to be negligible and appears to have no tangible foreseen fiscal impact. As such, the Executive Management within the Budget Department of the Office of the Chief Financial Officer of UDC has approved this request based on the information provided. We do not anticipate any risks at this time.
The Office of the General Counsel is submitting twelve policies relating to sponsored programs for the Board of Trustees’ consideration at the Executive Committee meeting on July 10, 2014.
These policies are required pursuant to an agreement entered into by the University with the National Science Foundation in October 2012. In accordance with the terms of the agreement, the University is obligated to implement a Sponsored Projects Compliance Program, one aspect of which is the implementation of written policies that relate to a number of processes with regard to cost accounting for sponsored programs. The following policies are being submitted to the Board of Trustees: Allowable Costs; At-Risk Accounts; Direct Charging of Administrative and Clerical Costs; Cost Allocation; Cost Sharing; Cost Transfers; Equipment; Financial Reporting and Closeout; Program Income; Retention of and Access to Records; Subrecipient Monitoring; and Time and Effort Reporting. The Office of the General Counsel has reviewed these policies with relevant University stakeholders to ensure that these policies accurately capture University practices and processes, while at the same time assuring compliance with OMB Circular A-21 and other applicable regulations.
Should there be any further questions or concerns, please contact the Office of the General Counsel.
The purpose of this Policy is to establish general guidelines on the allowability of costs incurred on sponsored projects and to provide specific guidance on selected items of cost related to federally funded projects. The Policy applies to all Principal Investigators (PIs), co-PIs, and any other person with a role or responsibility in the application for, receipt of, or administration of sponsored projects.
II. DEFINITIONS
A. OMB Circular A-21: The document published by the federal government’s Office of Management and Budget that sets forth the governing cost principles for educational institutions.
B. Unallowable costs: Those expenses which are not reimbursable by the federal government.
C. Principal Investigator: The individual designated by the University as responsible for the scientific or technical direction of the sponsored project. The Principal Investigator is also part of the University team responsible for a sponsored project’s financial and administrative compliance.
III. PROCEDURE
A. Cost Principles
OMB Circular A-21 set forth four tests that govern the allowability of costs under federal sponsored projects. The tests are as follows:
1. Reasonableness. A cost may be considered reasonable if the nature of the goods or services acquired or applied, and the associated dollar amount, reflect the action that a prudent person would have taken under the circumstances prevailing when the decision to incur the cost was made. One of the major considerations involved in the determination of reasonableness is necessity.
2. **Allocability.** A cost is allocable to a specific sponsored project, function, department, or other component (known as a cost objective), if the goods or services involved are chargeable or assignable to that cost objective in accordance with the relative benefits received or other equitable relationship. A cost is allocable to a sponsored project if it is (1) incurred solely in order to advance work under the sponsored project; or (2) it benefits both the sponsored project and other work of the institution (including work on other sponsored projects), in proportions that can be approximated through reasonable methods.
3. **Consistency.** UDC will be consistent in charging costs incurred for the same purpose and in like circumstances as either direct costs or Facilities & Administrative (F&A) costs, depending on their identifiable benefit to a particular sponsored project or program. Therefore, although costs may be charged to sponsored project as either direct costs or F&A costs, they must be treated consistently for all work of the organization under similar circumstances, regardless of the source of funding, so as to avoid duplicate charging.
4. **Allowability.** A cost is allowable if it is not expressly made unallowable by the OMB Circular A-21, other applicable federal agency guidance, or award terms and conditions. OMB Circular A-21, Section J provides principles to be applied in establishing the allowability of certain items of cost, irrespective of whether the item of cost is a direct cost or an F&A cost.
B. Unallowable Costs
An unallowable cost or unallowable activity is one that is not eligible for reimbursement by the federal government. OMB Circular A-21, Section J and other federal guidelines identify specific categories of costs and certain activities that cannot be charged, directly or indirectly, to federally sponsored projects.
1. The following non-exhaustive list provides a few examples of costs made expressly unallowable by OMB Circular A-21. Failure to mention a specific item of cost is not intended to imply that it is either allowable or unallowable. Determination as to allowability of costs not expressly addressed in OMB Circular A-21, other applicable federal guidance, or award terms and conditions should be based on the treatment or principles provided for similar or related items of cost. Please refer to Section J of OMB Circular A-21 for more detail.
- Advertising (advertising for recruitment for employees or human subjects is allowable)
- Alcoholic Beverages
- Bad Debts
- Contingency Provisions
- Donations and Contributions
- Entertainment Costs
- Fines and Penalties
- Fund Raising and Investment Costs
- Goods and Services for Personal Use
- Housing and Personal Living Expenses of Organization’s Officers
- Interest Expense (with limited exceptions)
- Lobbying Costs
- Losses on Other Sponsored Agreements
- Patent Costs (with limited exceptions)
- Pre-award Costs (unless approved by the sponsoring agency)
- Selling and Marketing Costs
C. Sponsor Prior Approval
There are certain costs that require sponsor prior approval, such as costs incurred prior to the award of the sponsored project. UDC will ensure that, when required, it obtains sponsor prior approval and will maintain a record of approvals granted.
D. Failure to Comply with Allowable Costs Policy
Failure to comply with the Policy set forth above may result in disciplinary action up to and including termination of employment.
IV. EMPLOYEES OF OTHER DISTRICT OF COLUMBIA AGENCIES
To the extent the foregoing Policy is relevant to employees of District of Columbia agencies over whom the University lacks personnel authority, the University will work in good faith with those employees to effectuate adherence to the Policy.
V. CONTACTS
University Office of the Chief Financial Officer
University Office of Sponsored Programs
VI. COMMITTEES REVIEWING/APPROVING PROCEDURE:
Sponsored Programs Policy Committee
Audit, Administration and Governance Committee of the Board of Trustees
Board of Trustees of the University of the District of Columbia
This Policy sets forth requirements for establishing at-risk accounts prior to the start of a sponsored project. The Policy applies to all Principal Investigators (PIs), co-PIs, and any other person with a role or responsibility in the application for, receipt of, or administration of sponsored projects.
II. DEFINITIONS
A. **At-Risk Accounts**: Accounts set up to allow the University to incur expenses relating to a sponsored project before the sponsored project begins.
B. **OMB Circular A-21**: The document published by the federal government’s Office of Management and Budget that sets forth the governing cost principles for educational institutions.
C. **Principal Investigator**: The individual designated by the University as responsible for the scientific or technical direction of the sponsored project. The Principal Investigator is also part of the University team responsible for a sponsored project’s financial and administrative compliance.
III. PROCEDURE
A. Situations Meriting an At-Risk Account
The University allows establishment of at-risk accounts in two situations:
1. Pre-award at-risk account: This type of at-risk account allows the PI or other authorized University official to charge expenses to a sponsored project up to 90 days prior to the start date of the project if the sponsor’s prior approval to charge pre-award expenses, if required, is obtained in accordance with OMB Circular A-21, sponsor-specific guidance, and/or award terms and conditions.
2. Delayed notice of award at-risk account: This type of at-risk account allows the PI or other authorized University official to charge expenses to a sponsored project prior to the receipt of the official notice of
award, but after learning from the sponsor that a proposal will be funded.
B. Requesting an At-Risk Account
If one of the two situations set forth in Section A of this Policy exist, the PI or authorized University official must request approval to establish an at-risk account from the Chief Financial Officer. Further, all compliance reviews (e.g., Institutional Review Board approval) must be completed before establishing an at-risk account.
The approval request should be accompanied by the following documentation:
- Documentation showing that funding for the charges is forthcoming, such as sponsor approval to charge pre-award costs (if required) or communication from the sponsor that a sponsored project has been funded and an official notice of award will be sent.
- Documentation supporting the expenses the PI or authorized University official would like to charge to the at-risk account, as well as a written explanation of the need to incur the costs prior to the start date of the project or receipt of a notice of award.
- Documentation showing all necessary compliance reviews have been completed.
Once approved by the Responsible Division VP or CEO, each at-risk account approval request will then be forwarded to the CFO to set up the at-risk account in the University’s financial system.
C. Expenses Charged to At-Risk Accounts Not Subsequently Funded
If an expense is charged to an at-risk account and is not subsequently funded by the sponsor, the Responsible Division VP or CEO must assume full responsibility for paying the expense.
D. Timing of At-Risk Accounts
All at-risk accounts will be set up for a period not to exceed 30 days. This timeframe may be extended by following the procedure for requesting an at-risk account outlined in Section B of this Policy.
E. Failure to Comply with At-Risk Account Policy
Failure to comply with the Policy set forth above may result in disciplinary action up to and including termination of employment.
IV. EMPLOYEES OF OTHER DISTRICT OF COLUMBIA AGENCIES
To the extent the foregoing Policy is relevant to employees of District of Columbia agencies over whom the University lacks personnel authority, the University will work in good faith with those employees to effectuate adherence to the Policy.
V. CONTACTS
University Office of the Chief Financial Officer
University Office of Sponsored Programs
VI. COMMITTEES REVIEWING/APPROVING PROCEDURE:
Sponsored Programs Policy Committee
Audit, Administration and Governance Committee of the Board of Trustees
Board of Trustees of the University of the District of Columbia
The purpose of this Policy is to establish general guidelines for charging administrative or clerical labor and non-labor costs directly to a sponsored project. Special care should be exercised to ensure that costs incurred for the same purpose in like circumstances are treated consistently as either direct or indirect costs. The Policy applies to all Principal Investigators (PIs), co-PIs, and any other person with a role or responsibility in the application for, receipt of, or administration of sponsored projects.
II. DEFINITIONS
A. **Direct Costs**: Costs that can be identified specifically with a particular sponsored project relatively easily and with a high degree of accuracy.
B. **Indirect Costs**: Costs that are incurred by a grantee for common or joint objectives and that, therefore, cannot be identified specifically with a particular sponsored project. These costs are also known as Facilities & Administrative (F&A) costs.
C. **OMB Circular A-21**: The document published by the federal government’s Office of Management and Budget that sets forth the governing cost principles for educational institutions.
D. **Principal Investigator**: The individual designated by the University as responsible for the scientific or technical direction of the sponsored project. The Principal Investigator is also part of the University team responsible for a sponsored project’s financial and administrative compliance.
III. PROCEDURE
A. Direct Charging Administrative and Clerical Costs
Consistent with Section F.6(b) of OMB Circular A-21, administrative or clerical costs that fall within the routine services normally provided by University departments should generally be treated as indirect costs. This includes both salary and non-salary costs. There are, however, limited
instances when these types of costs may be charged directly to a sponsored project.
B. Direct Charging Administrative and Clerical Salary Costs
Administrative or clerical salaries may be charged directly to a sponsored project where a “major project” or activity explicitly budgets for administrative or clerical services and the individuals involved can be specifically identified with the sponsored project. A “major project” is one that requires an extensive amount of administrative or clerical support, which is significantly greater than the routine level of such services provided by academic departments.
Below is a list of six examples of the kinds of projects that may be considered major projects. This list is non-exhaustive, and is not intended to represent all possible major projects. Similarly, this list does not imply that direct charging administrative or clerical salaries would always be appropriate in these situations.
1. Large, complex programs such as General Clinical Research Centers, Primate Centers, Program Projects, environmental research centers, engineering research centers, and other grants and contracts that entail assembling and managing teams of investigators from a number of institutions.
2. Projects which involve extensive data accumulation, analysis and entry, surveying, tabulation, cataloging, searching literature, and reporting (such as epidemiological studies, clinical trials, and retrospective clinical records studies).
3. Projects that require making travel and meeting arrangements for large numbers of participants, such as conferences and seminars.
4. Projects whose principal focus is the preparation and production of manuals and large reports, books and monographs (excluding routine progress and technical reports).
5. Projects that are geographically inaccessible to normal departmental administrative services, such as research vessels, radio astronomy projects, and other research fields sites that are remote from campus.
6. Individual projects requiring project-specific database management; individualized graphics or manuscript preparation; human or animal protocols; and multiple project-related investigator coordination and communications.
C. Direct Charging Administrative and Clerical Non-Salary Costs
Administrative or clerical non-salary costs may be charged directly to a sponsored project where the cost can be identified readily and specifically with that sponsored project. Identification with a sponsored project functions as the “unlike circumstances” needed to directly charge costs that would otherwise be recouped through the University’s indirect cost rate. Common examples of typical administrative or clerical non-salary costs include office supplies, postage, local telephone costs, and memberships.
D. Process to Directly Charge Administrative and Clerical Costs
When a PI or other authorized University official recognizes that direct charging of administrative and clerical costs is warranted, the PI or authorized official must maintain the documentation described below in accordance with applicable record retention requirements.
**Salary Costs.** If direct charging administrative and clerical salaries, the PI must maintain the following:
- Written narrative explaining why the sponsored project is a “major project” requiring an unusually high demand for administrative support that cannot be satisfied with normal departmental resources; and
- Copies of the sponsored project budget and budget narrative demonstrating that the salaries which will be directly charged to the sponsored project were explicitly budgeted for and explaining the job duties of the employees who are being charged to the sponsored project.
**Non-Salary Costs.** If direct charging administrative and clerical non-salary costs, the PI must maintain the following:
- Documentation of the items to be charged directly to the sponsored project; and
- Written narrative explaining why these items can be identified readily and specifically with a particular sponsored project.
E. Allocation of Administrative and Clerical Charges
To the extent administrative and clerical salary and non-salary costs that are appropriate for direct charging benefit multiple sponsored projects, please see the University Cost Allocation Policy for guidance on proper allocation of these costs.
F. Failure to Comply with Direct Charging Administrative and Clerical Costs Policy
Failure to comply with the Policy set forth above may result in disciplinary action up to and including termination of employment.
IV. EMPLOYEES OF OTHER DISTRICT OF COLUMBIA AGENCIES
To the extent the foregoing Policy is relevant to employees of District of Columbia agencies over whom the University lacks personnel authority, the University will work in good faith with those employees to effectuate adherence to the Policy.
V. CONTACTS
Office of the Chief Financial Officer
VI. COMMITTEES REVIEWING/APPROVING PROCEDURE:
Sponsored Programs Policy Committee
Audit, Administration and Governance Committee of the Board of Trustees
Board of Trustees of the University of the District of Columbia
All charges to sponsored projects must be reasonable, allowable, allocable, and accounted for consistently. The purpose of this Policy is to establish general guidelines on allocating allowable direct costs across multiple benefitting cost objectives (i.e., sponsored projects). The Policy applies to all Principal Investigators (PIs), co-PIs, and any other person with a role or responsibility in the application for, receipt of, or administration of sponsored projects. Please refer to the University’s Allowable Cost Policy for a further discussion of what constitutes a reasonable, allowable, allocable, and consistently accounted for cost.
II. DEFINITIONS
A. OMB Circular A-21: The document published by the federal government’s Office of Management and Budget that sets forth the governing cost principles for educational institutions.
B. Principal Investigator: The individual designated by the University as responsible for the scientific or technical direction of the sponsored project. The Principal Investigator is also part of the University team responsible for a sponsored project’s financial and administrative compliance.
III. PROCEDURE
A. Allocating Costs
Goods and services purchased by the University may benefit one or more sponsored projects. There are three circumstances under which a cost may be allocated to a sponsored project:
1. The cost is incurred solely to advance the work under the sponsored project being charged;
2. The cost benefits both the sponsored project and other work of the institution (including other sponsored projects), in proportions that can be approximated through proportional benefit or, in certain cases, another reasonable method; or
3. The cost is necessary to the overall operation of the institution and, in light of the principles provided in OMB Circular A-21, is deemed to be assignable in part to one or more sponsored projects.
If it is not possible to allocate a cost to the benefitting sponsored project at the time of purchase, the cost must initially be charged to a non-sponsored account and then transferred to the appropriate sponsored project in accordance with the University’s Cost Transfer Policy once the University has determined the proper allocation.
B. Methods of Allocating Costs
If a cost solely benefits a single sponsored project, it should be charged entirely to that benefiting project. Sometimes, however, a cost benefits two or more projects or activities. If a cost benefits more than one sponsored project or activity, the charge must be allocated using one of the following methods.
1. **Proportional benefit.** If a cost benefits two or more projects or activities in proportions that can be determined without undue effort or cost, the cost should be allocated to the sponsored projects based on the proportional benefit.
2. **Other equitable relationship.** If a cost benefits two or more sponsored projects or activities in proportions that cannot be determined because of the interrelationship of the work involved, then costs may be allocated to benefiting projects on any reasonable basis. This method of allocation should only be employed if proportional benefit cannot be determined without undue effort or cost.
When a cost is allocated to multiple sponsored projects, the PI or other authorized University official must document the basis for employing the selected cost allocation methodology. This documentation should be maintained by the PI or other authorized University official in accordance with applicable record retention requirements.
Below is a non-exhaustive list of methodologies that could be used as a basis for reasonably allocating costs under this methodology. This list is not intended to represent all possible reasonable methods of allocation:
- Quantity of items used on each project
- Effort of research personnel
- Number of clients served
- Square footage of laboratory space
- Number of experiments or procedures performed
- Number of FTEs working on each sponsored project
• PI Effort on each sponsored project
3. Allocating costs based on availability of funding, the need to clear a deficit, rotation of budgets, or any other reason of convenience is prohibited and will be considered a violation of this Policy.
C. Allocation of Charges for Equipment or Other Capital Items
Where the purchase of equipment or other capital items is specifically authorized under a sponsored project, the charges for such purchases are assignable to the sponsored project regardless of the use that may subsequently be made of the equipment or other capital items involved.
D. Failure to Comply with Cost Allocation Policy
Failure to comply with the Policy set forth above may result in disciplinary action up to and including termination of employment.
IV. EMPLOYEES OF OTHER DISTRICT OF COLUMBIA AGENCIES
To the extent the foregoing Policy is relevant to employees of District of Columbia agencies over whom the University lacks personnel authority, the University will work in good faith with those employees to effectuate adherence to the Policy.
V. CONTACTS
Office of Sponsored Programs
VI. COMMITTEES REVIEWING/APPROVING PROCEDURE:
Sponsored Programs Policy Committee
Audit, Administration and Governance Committee of the Board of Trustees
Board of Trustees of the University of the District of Columbia
This Policy establishes requirements for identifying, accounting for, and reporting cost sharing associated with sponsored projects. The Policy applies to all Principal Investigators (PIs), co-PIs, and any other person with a role or responsibility in the application for, receipt of, or administration of sponsored projects.
II. DEFINITIONS
A. **OMB Circular A-110**: The document published by the federal government’s Office of Management and Budget establishing uniform administrative requirements for grants to and agreements with institutions of higher education, hospitals, and other non-profit organizations.
B. **Cost Sharing**: A portion of total sponsored project costs not funded by the sponsor. Cost sharing is classified as either: mandatory, voluntary committed, or voluntary uncommitted, and may be in the form of cash or in-kind contributions.
C. **Mandatory Cost Sharing**: Cost sharing that is required by a sponsor as a condition of obtaining a sponsored project award. This type of cost sharing is a binding commitment on the University.
D. **Principal Investigator**: The individual designated by the University as responsible for the scientific or technical direction of the sponsored project. The Principal Investigator is also part of the University team responsible for a sponsored project’s financial and administrative compliance.
E. **Voluntary Committed Cost Sharing**: Cost sharing that is not required by the sponsor, but nevertheless is promised by the University to the sponsor. Some examples of voluntary committed cost sharing are: (1) a percentage of effort a researcher included in a proposal budget for which salary compensation was not requested; or (2) purchase of equipment for a project that is included in a proposal budget but for which no funding was requested.
F. **Voluntary Uncommitted Cost Sharing**: Cost sharing that is not required by the sponsor and is not committed to the sponsor by the University. This includes
effort a researcher commits to a sponsored project that is over and above the effort committed to in the sponsored project proposal.
III. PROCEDURE
A. Types of Contributions Eligible for Cost Sharing
Contributions must meet the following criteria in order to be eligible for cost sharing:
1. Verifiable from the recipient's records;
2. Not already included as contributions for any other federally-assisted project or program;
3. Necessary and reasonable for proper and efficient accomplishment of project or program objectives;
4. Allowable under the applicable cost principles (see Allowable Costs Policy for guidance on allowability of costs);
5. Not paid by the federal government under another award, except where authorized by federal statute to be used for cost sharing;
6. Provided for in the approved budget when required by the Federal awarding agency; and
Any unrecovered indirect costs from the sponsored project may be used as cost sharing only with prior approval of the sponsor. Cost sharing expenditures must be allowable, allocable and reasonable (see Allowable Costs Policy for further guidance).
The Principal Investigator or other authorized official is responsible for monitoring cost sharing for timeliness and adequacy.
B. Valuation of Items Provided for Cost Sharing
Contributions of services and property toward cost sharing must be valued in accordance with the applicable cost principles. Please consult award terms and conditions, OMB Circular A-110, and any sponsor-specific guidance when valuing items contributed for cost sharing purposes.
C. Documenting Cost Sharing
All cost-shared expenses must be treated consistently in proposal preparation and financial accounting and reporting. The source of funding for cost sharing must be approved by the responsible division’s VP or CEO, unless the cost sharing is voluntary uncommitted cost sharing in which case no prior approval is required.
Office of the CFO and Office of the Sponsored Programs should maintain all records of cost sharing, including documentation of the valuation of the cost share, in accordance with applicable record retention requirements.
D. Failure to Comply with Cost Sharing Policy
Failure to comply with the Policy set forth above may result in disciplinary action up to and including termination of employment.
IV. EMPLOYEES OF OTHER DISTRICT OF COLUMBIA AGENCIES
To the extent the foregoing Policy is relevant to employees of District of Columbia agencies over whom the University lacks personnel authority, the University will work in good faith with those employees to effectuate adherence to the Policy.
V. CONTACTS
University Office of the Chief Financial Officer
University Office of Sponsored Programs
VI. COMMITTEES REVIEWING/APPROVING PROCEDURE:
Sponsored Programs Policy Committee
Audit, Administration and Governance Committee of the Board of Trustees
Board of Trustees of the University of the District of Columbia
This Policy establishes general guidelines on the allowability of cost transfers on to sponsored projects. The Policy applies to all Principal Investigators (PIs), co-PIs, and any other person with a role or responsibility in the application for, receipt of, or administration of sponsored projects.
II. DEFINITIONS
A. **OMB Circular A-21**: The document published by the federal government’s Office of Management and Budget that sets forth the governing cost principles for educational institutions.
B. **OMB Circular A-110**: The document published by the federal government’s Office of Management and Budget establishing uniform administrative requirements for grants to and agreements with institutions of higher education, hospitals, and other non-profit organizations.
C. **Cost Transfer**: Re-allocation of an expense (either labor or non-labor) to a sponsored project after the expense was initially charged to another sponsored or non-sponsored account, but not including those scenarios described in Section III(A) of this Policy.
D. **Principal Investigator**: The individual designated by the University as responsible for the scientific or technical direction of the sponsored project. The Principal Investigator is also part of the University team responsible for a sponsored project’s financial and administrative compliance.
III. PROCEDURE
A. Transfers of Costs Not Subject to Cost Transfer Policy
Not all movement of costs onto a sponsored agreement constitutes a cost transfer within the scope of this Policy. This Policy applies to all cost transfers onto a sponsored agreement, except in the following scenarios:
1. A redistribution of salary charges that results from a change in effort allocations made before or during the effort certification process. In unusual circumstances it may be necessary to effect a payroll cost transfer after effort certification. Any such request is subject to the requirements of this policy.
2. Movement of salary or non-salary costs from a University at-risk account (See At-Risk Account Policy).
3. Other movement of costs as identified on a case-by-case basis.
All subsequent references in this Policy to cost transfers shall be deemed to refer only to cost transfers within the scope of this Policy.
B. Need for Cost Transfers
Cost transfers are appropriate when they are allowable direct costs of the sponsored project (see Allowable Costs Policy to determine whether the costs are allowable), and their purpose is to correct clerical or bookkeeping errors in processing the original charges. There may be other permissible reasons to transfer a cost onto a sponsored project; the appropriateness of such transfers should be determined on a case-by-case basis. Allowability of a cost transfer onto a sponsored project shall be determined on the basis of federal laws and regulations, as well as sponsor requirements.
Inappropriate circumstances for cost transfers include, but are not limited to the following:
1. A cost transfer solely for the purpose of utilizing unexpended funds of a sponsored project;
2. A cost transfer for the purpose of eliminating or reducing a cost overrun by charging another, unrelated sponsored project; or
3. A cost transfer for any other reason of convenience not related to the benefit received by the sponsored project.
C. Timely Accomplishment of Cost Transfers
Except in cases where the sponsor’s terms and conditions are stricter than this Policy, cost transfers generally must be effectuated within ninety (90) days after the date when the need to execute a cost transfer is initially discovered. In order to timely complete the cost transfer process within the ninety (90) day timeframe, initiation of the cost transfer process should begin as soon as possible after the need for the cost transfer is discovered. Further, whenever possible, cost transfers should be completed in the same fiscal year in which the charging error or other reason for the transfer occurred.
D. Cost Transfers Within 90 Days
If the cost transfer is initiated within ninety (90) days of the date when the need to execute the cost transfer is initially discovered, the request must be submitted to the responsible division’s VP or CEO for review and approval. The request must be submitted on the “UDC Cost Transfer Form” and should clearly identify the charge to be transferred, the sub-ledger numbers and account numbers where the charge should be transferred to and from. Each UDC Cost Transfer Form should be accompanied by supporting documentation (original invoice, effort report, etc.) and include a written explanation as to how the error occurred, or why the transfer is necessary, when and how it was discovered, and how the cost benefits the sponsored project to which it is being transferred. An explanation merely stating that the transfer was made ‘to correct error’ or ‘to transfer to correct project’ is not sufficient. The request must be signed by the PI or responsible administrative staff in that area and must contain the following certification:
“I certify to the best of my knowledge that this cost transfer is correct and complete and that the costs transferred are allowable charges to the sponsored project to be charged.”
Once approved by the responsible division’s VP or CEO, each cost transfer request will then be forwarded to the Office of the CFO for entry into the University’s accounting system. Documentation of each cost transfer will be maintained in the Office of the CFO and the Office of Sponsored Programs in accordance with applicable record retention requirements.
E. Cost Transfers After 90 Days
If more than ninety (90) days have passed from the date of initial discovery of the need to execute a cost transfer, an explanation for the delay is required in addition to the information and documentation required by Section C of this Policy. Approval for cost transfers submitted after ninety (90) days will only be granted in extenuating circumstances. Absence of the PI or responsible administrator, staff shortage or lack of staff experience are not acceptable reasons for a late cost transfer. It is the responsibility of the PI to ensure the availability of qualified staff to administer and exercise stewardship over sponsored projects in accordance with appropriate policies and regulations, including those relating to regular monitoring of expenditures and timely correction of errors.
A non-exhaustive list of examples of acceptable extenuating circumstances includes:
1. Full execution of a subcontract after the start of the budget period; or
2. Failure of another department to take appropriate action to charge or correct a charge after notification to do so.
F. Removing Costs from Sponsored Projects
Cost transfers removing expenditures from sponsored projects are not subject to the foregoing timeliness policies; any unallowable charges to sponsored projects must be removed upon discovery.
G. Failure to Comply with Cost Transfers Policy
Failure to comply with the Policy set forth above may result in disciplinary action up to and including termination of employment.
IV. EMPLOYEES OF OTHER DISTRICT OF COLUMBIA AGENCIES
To the extent the foregoing Policy is relevant to employees of District of Columbia agencies over whom the University lacks personnel authority, the University will work in good faith with those employees to effectuate adherence to the Policy.
V. CONTACTS
University Office of the Chief Financial Officer
University Office of Sponsored Programs
VI. COMMITTEES REVIEWING/APPROVING PROCEDURE:
Sponsored Programs Policy Committee
Audit, Administration and Governance Committee of the Board of Trustees
Board of Trustees of the University of the District of Columbia
This Policy sets forth the requirements for acquisition, stewardship and disposal of equipment purchased with sponsored projects funds, as well as equipment owned by the Federal government and in the University’s possession for use on a sponsored project. The Policy applies to all Principal Investigators (PIs), co-PIs, and any other person with a role or responsibility in the application for, receipt of, or administration of sponsored projects.
II. DEFINITIONS
A. **Equipment**: Tangible nonexpendable personal property that has a useful life of more than one year and an acquisition cost of $5000 or more per unit.
B. **Exempt Property**: Tangible personal property acquired in whole or in part with Federal funds, where the Federal awarding agency has statutory authority to vest title in the recipient without further obligation to the Federal government.
C. **Government-Furnished Property**: Property the Federal government provides to the University in order to fulfill the terms and conditions of a sponsored project. Title to all such government-furnished property remains vested in the Federal government. Such property may only be used for the specific purposes set forth in the provisions of the grant or contract.
D. **OMB Circular A-110**: The document published by the federal government’s Office of Management and Budget establishing uniform administrative requirements for grants to and agreements with institutions of higher education, hospitals, and other non-profit organizations.
E. **Principal Investigator**: The individual designated by the University as responsible for the scientific or technical direction of the sponsored project. The Principal Investigator is also part of the University team responsible for a sponsored project’s financial and administrative compliance.
III. PROCEDURE
A. Title
Purchased Equipment. Title to equipment acquired using Federal funds shall generally vest in the University, subject to the sponsor’s regulations implementing OMB Circular A-110 and the terms and conditions of the award.
With respect to “exempt property,” when statutory authority exists, a Federal awarding agency has the option to vest title to property acquired with Federal funds in the recipient without further obligation to the Federal government and under conditions the Federal awarding agency considers appropriate. Should a Federal awarding agency not establish such conditions, title to exempt property shall vest in the recipient upon acquisition of the property without further obligation to the federal government. NIH may require transfer of exempt property to the Federal government or an eligible third party within 120 days of project completion or termination, or within 120 of receiving of a final project inventory, whichever is later.
Transferred Equipment. Subject to sponsor regulations and the terms and conditions of the sponsored project, title to transferred equipment shall vest in the University upon receipt. If the equipment was purchased with Federal funds, it will be subject to the property management requirements of the sponsor’s regulations implementing OMB Circular A-110.
If an investigator is transferring items of equipment from another institution to UDC, he/she must provide the Office of Facilities and Real Estate with a list of all such equipment, proof of the equipment’s release from the other institution, and, if applicable the grant or contract that paid for the item(s).
Government-Furnished Property: It is sometimes necessary or desirable for the Federal government to provide property to the University in order to fulfill the terms and conditions of a sponsored project. Title to all such government-furnished property remains vested in the Federal government. Government-furnished property may only be used for the specific purposes set forth in the provisions of the grant or contract.
Equipment owned by the Federal government shall be identified to indicate Federal ownership.
B. Equipment Records
UDC will maintain accurate and timely records of all equipment acquired with sponsored project funds or used for any sponsored project, as well as
government-furnished property. The equipment records will contain the following information:
1. A description of the equipment;
2. Manufacturer's serial number, model number, Federal stock number, national stock number, or other identification number;
3. Source of the equipment, including the award number;
4. Whether title vests in the recipient or the Federal government (items owned by the Federal government shall be tagged to identify Federal ownership);
5. Acquisition date (or date received, if the equipment was furnished by the Federal government) and cost;
6. Information from which one can calculate the percentage of Federal participation in the cost of the equipment (not applicable to equipment furnished by the Federal government);
7. Location and condition of the equipment and the date the information was reported;
8. Unit acquisition cost; and
9. Ultimate disposition data, including date of disposal and sales price or the method used to determine current fair market value where a recipient compensates the Federal awarding agency for its share.
C. Physical Inventory of Equipment
At least once every two years, Facilities and Real Estate will conduct a physical inventory of all equipment and reconcile the results of the physical inventory with the equipment records described in Section B of this Policy. Departments are responsible for notifying Facilities and Real Estate of any relocation of equipment between inventories. The University will investigate any differences between the quantities of equipment found in the physical inventory and the quantities of equipment in the University’s equipment records to determine the cause of the difference. UDC shall, in connection with the inventory, verify the existence, current utilization, and continued need for the equipment.
D. Disposal of Equipment
The University shall use the equipment in the sponsored project for which it was acquired as long as needed. If the equipment was purchased with Federal funds, the University shall not encumber the property without approval of the Federal awarding agency. When no longer needed for the original project or program, the University shall use any non-exempt equipment in connection with its other Federally-sponsored activities, in the following order of priority: (i) activities sponsored by the Federal awarding agency which funded the original project, then (ii) activities sponsored by other Federal awarding agencies.
If the University no longer needs the non-exempt equipment for either of the aforementioned priorities, the equipment may then be used for other activities in accordance with the following standards. For equipment with a current per unit fair market value of $5000 or more, the University may retain the equipment for other uses provided that compensation is made to the original Federal awarding agency or its successor. The amount of compensation shall be computed by applying the percentage of Federal participation in the cost of the original sponsored project to the current fair market value of the equipment. If the University does not wish to keep the equipment, the University shall request disposition instructions from the Federal awarding agency. The University should then dispose of the non-exempt equipment in accordance with the Federal awarding agency’s instructions and procedures set forth in OMB Circular A-110.
If the University is authorized or required to sell the non-exempt equipment, proper sales procedures shall be established which provide for competition to the extent practicable and result in the highest possible return.
E. Transferring Equipment to Other Institutions
When a PI moves to another institution and transfers a grant or contract to the new institution, he/she may request to transfer equipment purchased under the transferring grant or contract to the new institution. To initiate any equipment transfer, the PI must submit a list of the equipment he/she wishes to transfer to Facilities and Real Estate. The equipment transfer request should include the following information:
1. Description of each item of equipment;
2. The tag number of each item; and
3. Description of the source of funds used to purchase the equipment.
When reviewing the equipment transfer request, Facilities and Real Estate should consider if the loss of the equipment would jeopardize the research or scholarly activities of the University. If the equipment the PI wishes to transfer was purchased from unrestricted funds or from a grant or contract that has expired and the University has clear title, the University may consider sale of the equipment to the PI’s new institution at fair market value.
F. Failure to Comply with Equipment Policy
Failure to comply with the Policy set forth above may result in disciplinary action up to and including termination of employment.
IV. EMPLOYEES OF OTHER DISTRICT OF COLUMBIA AGENCIES
To the extent the foregoing Policy is relevant to employees of District of Columbia agencies over whom the University lacks personnel authority, the University will work in good faith with those employees to effectuate adherence to the Policy.
V. CONTACTS
University Office of Sponsored Programs
University Office of Facilities and Real Estate
VI. COMMITTEES REVIEWING/APPROVING PROCEDURE:
Sponsored Programs Policy Committee
Audit, Administration and Governance Committee of the Board of Trustees
Board of Trustees of the University of the District of Columbia
This Policy describes the University’s compliance obligations to sponsors regarding reporting requirements for both interim and final financial reporting, as well as award closeout. The Policy applies to all Principal Investigators (PIs), co-PIs, and any other person with a role or responsibility in the application for, receipt of, or administration of sponsored projects.
II. DEFINITIONS
A. **Closeout**: The process by which the sponsor determines that all applicable administrative actions and all required work under an award have been completed by both the University and the sponsor.
B. **Financial Report**: An accounting of expenditures and obligations incurred during the performance period and/or conclusion of a sponsored project.
C. **OMB Circular A-110**: The document published by the federal government’s Office of Management and Budget establishing uniform administrative requirements for grants to and agreements with institutions of higher education, hospitals, and other non-profit organizations.
D. **Principal Investigator**: The individual designated by the University as responsible for the scientific or technical direction of the sponsored project. The Principal Investigator is also part of the University team responsible for a sponsored project’s financial and administrative compliance.
III. PROCEDURE
A. Preparing Financial Reports
It is the responsibility of the CFO to prepare all interim and final financial reports based on institutional financial records and in compliance with the sponsor’s reporting requirements as set forth in OMB Circular A-110, sponsor regulations, or award terms and conditions. The CFO will sign and submit all financial reports to the sponsor.
Unless sponsor requirements differ, the University must submit all financial reports within 90 calendar days following the expiration of either the budget year of the sponsored project or the expiration of a competitive segment of the sponsored project.
PIs or other authorized University officials are responsible for ongoing review and monitoring of charges to sponsored projects. The PI or other authorized official must ensure that all necessary adjustments to charges are made so that the expenditures reflected on financial reports are consistent with those reflected on the University’s accounting records.
It is the University’s policy that all financial reports will reflect only reasonable, allowable, and allocable charges. For guidance, please refer to the University’s Allowable Costs Policy.
B. Award Closeout
The University is responsible for timely closeout of all sponsored projects consistent with the sponsor’s requirements. Unless sponsor requirements differ, the University must submit a final financial report, final progress report and final Invention Statement and Certification within 90 calendar days of the end of the sponsored project in order to close out the award.
It is the University’s policy that all final financial reports will reflect only reasonable, allowable, and allocable charges. For guidance, please refer to the University’s Allowable Costs Policy.
C. Failure to Comply with Financial Reporting and Closeout Policy
Failure to comply with the Policy set forth above may result in disciplinary action up to and including termination of employment.
IV. EMPLOYEES OF OTHER DISTRICT OF COLUMBIA AGENCIES
To the extent the foregoing Policy is relevant to employees of District of Columbia agencies over whom the University lacks personnel authority, the University will work in good faith with those employees to effectuate adherence to the Policy.
V. CONTACTS
University Office of the Chief Financial Officer
VI. COMMITTEES REVIEWING/APPROVING PROCEDURE:
Sponsored Programs Policy Committee
Audit, Administration and Governance Committee of the Board of Trustees
Board of Trustees of the University of the District of Columbia
This Policy sets forth guidelines for identifying, accounting for, and reporting program income associated with sponsored projects. The Policy applies to all Principal Investigators (PIs), co-PIs, and any other person with a role or responsibility in the application for, receipt of, or administration of sponsored projects.
II. DEFINITIONS
A. **Additive Use of Program Income**: Program income is added to funds already committed to the sponsored project and used to further the sponsored project’s objectives.
B. **Deductive Use of Program Income**: Program income is used to reduce the sponsor’s share of sponsored project funding.
C. **Matching Use of Program Income**: Program income is used to meet the non-federal cost sharing portion of the sponsored project.
D. **OMB Circular A-110**: The document published by the federal government’s Office of Management and Budget establishing uniform administrative requirements for grants to and agreements with institutions of higher education, hospitals, and other non-profit organizations.
E. **Principal Investigator**: The individual designated by the University as responsible for the scientific or technical direction of the sponsored project. The Principal Investigator is also part of the University team responsible for a sponsored project’s financial and administrative compliance.
F. **Program Income**: Gross, and if authorized by the sponsor net, income that is directly generated by the sponsored project or earned as a result of the sponsored project. There are generally three methods for using program income: additive, deductive and matching.
III. PROCEDURE
A. Examples of Program Income
The following is a non-exhaustive list of examples of program income:
- Income from fees for services performed;
- Income generated from rental fees for items purchased using project funds;
- Proceeds from the sale of commodities created using project funds; and
- Fees from participants attending conferences or symposia supported by a sponsored project.
B. Accounting for Program Income Earned During the Sponsored Project Period
There are generally three acceptable uses for program income earned during the sponsored project period: Additive Use, Matching Use, or Deductive Use. Please consult award terms and conditions, OMB Circular A-110, and any sponsor-specific guidance when determining how to account for program income earned on a specific sponsored project.
If authorized by sponsor regulations, sponsor guidance, or award terms and conditions, the University may deduct costs incidental to generating program income from the gross program income to calculate total program income. The University may not deduct from its program calculation any incidental costs charged to the program income generating sponsored project.
C. Program Income Earned After the End of the Sponsored Project Period
The University has no obligation for any program income earned after the end of the sponsored project period, unless sponsor regulations, sponsor guidance or award terms and conditions provide otherwise.
D. Program Income Earned Through Intellectual Property
The University has no obligation for any program income earned from license fees and royalties for copyrighted material, patents, patent applications, trademarks, and inventions produced under a sponsored project, unless sponsor regulations, guidance or award terms and conditions provide otherwise.
E. Reporting Program Income
Total program income should be reported on the sponsors’ financial reporting form.
F. Failure to Comply with Program Income Policy
Failure to comply with the Policy set forth above may result in disciplinary action up to and including termination of employment.
IV. EMPLOYEES OF OTHER DISTRICT OF COLUMBIA AGENCIES
To the extent the foregoing Policy is relevant to employees of District of Columbia agencies over whom the University lacks personnel authority, the University will work in good faith with those employees to effectuate adherence to the Policy.
V. CONTACTS
University Office of the Chief Financial Officer
University Office of Sponsored Programs
VI. COMMITTEES REVIEWING/APPROVING PROCEDURE:
Sponsored Programs Policy Committee
Audit, Administration and Governance Committee of the Board of Trustees
Board of Trustees of the University of the District of Columbia
This Policy sets forth the requirements for effectively retaining and managing records and ensuring access to records is granted in accordance with applicable law, regulation, and sponsor policy. This Policy applies to all Principal Investigators (PIs), co-PIs, and any other person with a role or responsibility in the application for, receipt of, or administration of sponsored projects.
II. DEFINITIONS
A. OMB Circular A-110: The document published by the federal government’s Office of Management and Budget establishing uniform administrative requirements for grants to and agreements with institutions of higher education, hospitals, and other non-profit organizations.
B. Principal Investigator: The individual designated by the University as responsible for the scientific or technical direction of the sponsored project. The Principal Investigator is also part of the University team responsible for a sponsored project’s financial and administrative compliance.
C. Record: Financial, supporting, or statistical information that is pertinent to a sponsored project and that is either tangible or stored electronically on any media or in any format including, but not limited to: paper, writings, emails with attachments, electronic or microfilm document, photograph, blueprint, or audio or video recording.
III. PROCEDURE
A. Retention Period
Unless sponsor terms and conditions provide for a longer retention period, the appropriate University official will retain financial records, supporting documents, statistical records, and all other records pertinent to a sponsored project for a period of three years from the date of submission of the final expenditure report or, for awards that are renewed quarterly or annually, from the date of the submission of the quarterly or annual financial report.
Copies of original records may be maintained in place of the original records if authorized by the sponsor.
B. Exceptions to Retention Period
Records must be maintained beyond the three year retention period if any of the following situations apply:
1. If any litigation, claim, or audit commences before the expiration of the three year period, the records shall be retained until all litigation, claims or audit findings involving the records have been resolved and final action taken.
2. Records for real property and equipment acquired with Federal funds shall be retained for three years after final disposition of the real property or equipment.
3. Indirect cost rate proposals and cost allocation plans should be retained in accordance with OMB Circular A-110.
C. Access to Records
The award sponsor or duly authorized representative will have timely and unrestricted access to any books, documents, papers, or other records of recipients that are pertinent to the awards, in order to make audits, examinations, excerpts, transcripts and copies of such documents. If the sponsored project was Federally-funded, the Inspector General, Comptroller General of the United States, or any of their duly authorized representatives will have this same right of access.
This access right also includes timely and reasonable access to the University’s personnel for the purpose of interview and discussion related to such documents.
The University will make records or personnel available in accordance with any sponsor terms or conditions exceeding the foregoing, which is derived from OMB Circular A-110.
D. Disposal of Records
If, consistent with this Policy, it is appropriate to dispose of any sponsored project records, these records should be destroyed using one of the following methods:
1. Recycle non-confidential paper records;
2. Shred or otherwise render unreadable confidential paper records; or
3. Erase or destroy electronically stored data with assistance from the Office of Information Technology.
University records should be reviewed to determine whether disposal is appropriate no less than once every 2 years.
E. Failure to Comply with Retention of and Access to Records Policy
Failure to comply with the Policy set forth above may result in disciplinary action up to and including termination of employment.
IV. EMPLOYEES OF OTHER DISTRICT OF COLUMBIA AGENCIES
To the extent the foregoing Policy is relevant to employees of District of Columbia agencies over whom the University lacks personnel authority, the University will work in good faith with those employees to effectuate adherence to the Policy.
V. CONTACTS
University Office of Sponsored Programs
VI. COMMITTEES REVIEWING/APPROVING PROCEDURE:
Sponsored Programs Policy Committee
Audit, Administration and Governance Committee of the Board of Trustees
Board of Trustees of the University of the District of Columbia
This Policy sets forth the requirements for assessing subrecipient capacity to properly manage subawards, and also for evaluating and monitoring financial and programmatic performance of subrecipients. The University is ultimately responsible for financial and programmatic monitoring of sponsored project funds and, accordingly, remains responsible to the sponsor for management of funds and performance goals when the University enters into a subaward. This Policy applies to all subawards issued under the University’s sponsored projects, but does not apply to consultant agreements or to the procurement of goods or services from vendors. To the extent this Policy conflicts with the Government of the District of Columbia Subrecipient Monitoring Manual (DC Subrecipient Manual) the procedures set forth in the DC Subrecipient Manual shall govern. The DC Subrecipient Manual is available at http://cte.ed.gov/FMI/app/webroot/files/VFMI_2012_Session_5_District_of_Columbia_Subrecipient_Monitoring_Manual.pdf. The Policy applies to all Principal Investigators (PIs), co-PIs, and any other person with a role or responsibility in the application for, receipt of, or administration of sponsored projects.
II. DEFINITIONS
A. OMB Circular A-133: The document published by the federal government’s Office of Management and Budget assigning certain responsibilities to primary recipients of sponsored project funds. This document requires that the University monitor the activities of subrecipients as necessary to assure that sponsored project funds are used appropriately and that performance goals are achieved.
B. Principal Investigator: The individual designated by the University as responsible for the scientific or technical direction of the sponsored project. The Principal Investigator is also part of the University team responsible for a sponsored project’s financial and administrative compliance.
C. Subaward: A legal instrument by which the University provides funds (or property in lieu of funds) to an eligible subrecipient (or a lower-tier transaction) to perform a substantive portion of a sponsored project. The term
does not include procurement of goods and services from vendors or to consultant agreements.
D. **Subrecipient:** The legal entity that receives a subaward from the University under a sponsored project and that is accountable to the University for the use of the funds provided by the subaward.
E. **Vendor:** A dealer, distributor, merchant, or other seller providing goods or services that support a sponsored project. These goods or services may be for an organization's own use or for the use of beneficiaries of the sponsored project. Additional guidance on distinguishing between a subrecipient and a vendor is provided in OMB Circular A-133.
### III. PROCEDURE
A. **Preliminary Procedures**
The University will assess the subrecipient’s financial status and internal controls based on documentation from the subrecipient and other independent sources (including, for example, audit reports, past monitoring reports, corrective action reports, etc.), in order to establish terms and conditions in the subaward agreement and a strategy for monitoring the subrecipient consistent with the level of perceived risk.
Based on this assessment, the University will place each subrecipient in one of the following categories: low risk, medium risk or high risk.
B. **Subrecipient Monitoring**
Based on the information obtained in the Preliminary Procedures process described in Section A of this Policy, the Offices of Sponsored Programs and CFO will collect data and information during the period of the subaward in order to monitor the financial controls and programmatic progress of the subrecipient. The University will use different monitoring processes depending on whether the subrecipient is designated as low risk, medium risk or high risk. Please see the DC Subrecipient Manual for further details on the specific requirements for monitoring each category of subrecipient.
C. **Monitoring Reports**
If any findings or concerns regarding a subrecipient are uncovered during the monitoring process, the University should communicate these findings or concerns to the subrecipient in a monitoring report. Copies of the monitoring report should be distributed to the Principal Investigator or Project Director and appropriate program and fiscal staff of the subrecipient, and others as appropriate.
The monitoring report should include the following information:
- Identification of the subrecipient and the program monitored;
- Description of the sponsored project activities the subrecipient is performing, including information about the eligible client population (if applicable);
- The dates of the monitoring review;
- University personnel who conducted the monitoring;
- Description of the monitoring activities and the information collected;
- Description of any findings or concerns made as a result of the monitoring activities;
- Corrective action recommendations and a timeline for a corrective action plan; and
- Any relevant University observations regarding the subrecipient’s strengths and weaknesses.
D. Monitoring Follow-Up
To the extent necessary, the University will follow-up on any issues identified in the subrecipient monitoring report.
E. Failure to Comply with Subrecipient Monitoring Policy
Failure to comply with the Policy set forth above may result in disciplinary action up to and including termination of employment.
IV. EMPLOYEES OF OTHER DISTRICT OF COLUMBIA AGENCIES
To the extent the foregoing Policy is relevant to employees of District of Columbia agencies over whom the University lacks personnel authority, the University will work in good faith with those employees to effectuate adherence to the Policy.
V. CONTACTS
University Office of the Chief Financial Officer
University Office of Sponsored Programs
VI. COMMITTEES REVIEWING/APPROVING PROCEDURE:
Sponsored Programs Policy Committee
Audit, Administration and Governance Committee of the Board of Trustees
Board of Trustees of the University of the District of Columbia
This Policy sets forth the requirements for ensuring that effort devoted to sponsored projects is appropriately documented and reasonably reflected on effort reports. The Policy applies to all Principal Investigators (PIs), co-PIs, and any other person with a role or responsibility in the application for, receipt of, or administration of sponsored projects.
II. DEFINITIONS
A. **Effort**: Time spent on any activity by an individual, expressed as a percentage of the individual’s total University Effort. Total effort cannot exceed 100%.
B. **Committed Effort**: The amount of effort proposed in a grant or other project application and accepted by a sponsor, regardless of whether salary support is requested for the effort.
C. **Effort Certification**: Affirmation by an individual with a suitable means of verification that the percentages of effort reported on the effort report are reasonable in relation to work performed.
D. **Effort Reporting**: The process by which the University determines and documents the effort individuals expend on sponsored projects during each effort reporting period. UDC uses the after-the-fact method of effort reporting.
E. **OMB Circular A-21**: The document published by the federal government’s Office of Management and Budget that sets forth the governing cost principles for educational institutions.
F. **Principal Investigator**: The individual designated by the University as responsible for the scientific or technical direction of the sponsored project. The Principal Investigator is also part of the University team responsible for a sponsored project’s financial and administrative compliance.
G. **University Effort**: The effort that the employee devotes in the aggregate to the professional activities for which he or she receives Institutional Base Salary compensation from the University.
III. PROCEDURE
A. Requirements for Time and Effort Certification
Federal regulations require recipients of Federal funds to maintain a system allowing for periodic certification of effort devoted to sponsored projects. This is a requirement of OMB Circular A-21, Section J-10 (codified at 2 CFR Part 220) (Attachment I). Recipients of sponsored projects, such as the University, must exercise due diligence in the review of periodic effort reports to ensure reasonableness in charging salary/wage costs to external sponsors and to formally document cost share commitments (Please refer to the University’s Cost Sharing Policy). To accomplish those goals, the University uses the after-the-fact confirmation method of effort reporting.
B. Certifying Effort on Sponsored Projects
Each academic term an effort report form will be generated for each University employee whose compensation was charged in whole or in part to a sponsored project or who has Committed Effort to a sponsored project during the effort reporting period. The effort report will reflect the percentage distribution of activity expended by each employee on individual sponsored projects and all other University activities.
The effort report must be reviewed and certified by the employee, the PI or another responsible official with a suitable means of verification that the effort report reasonably reflects the activities for which the employee was compensated by the University during the reporting period.
OMB Circular A-21 recognizes that in an academic setting, teaching, research, service and administration are often inextricably intermingled. A precise assessment of factors that contribute to costs is not always feasible, nor is it expected. Reliance, therefore, is placed on estimates in which a degree of tolerance is appropriate.
There are three effort reporting periods at the University: summer, fall and spring. Certified effort reports are due September 1 for the summer term, January 15 for the fall term, and June 1 for the spring term.
C. Institutional Base Salary (IBS)
IBS is the annual compensation paid by the University for an employee’s appointment, whether that individual’s time is spent on research, teaching or other activities. The IBS does not include any compensation that an individual may be permitted to earn outside of duties for the University. IBS cannot be increased by replacing University funds with sponsored funds.
The amount of salary support requested in a sponsored project proposal should normally be determined by multiplying the person’s proposed level of effort by the person’s IBS.
D. Compliance with Sponsor-Imposed Salary Caps
Certain sponsors impose a limit or “cap” on the annual rate of salary reimbursement for a given amount of effort. The difference between the reimbursed salary (“capped amount”) and the un-reimbursed salary is considered committed cost sharing. Where such limitations apply, the requested salary support on a sponsored project is determined by multiplying the proposed level of effort by the maximum IBS allowed under the cap. The University will pay an employee’s IBS portion in excess of a salary cap using non-sponsored funds.
E. Roles and Responsibilities
**Office of Sponsored Programs (OSP):** The department at UDC that is responsible for oversight of the time-and-effort certification process, including the following:
- Establishing and communicating the Policy and any other effort reporting procedures within the University.
- Assisting Schools/Departments, faculty, and administrative offices and staff in understanding and implementing this Policy.
- Reviewing proposals prior to submission in order to ensure that effort commitments have been made according to University policy and Federal law.
- Providing assistance to individuals supported by sponsored activities to ensure that his/her effort report accurately captures his/her effort commitments, and that salaries charged to sponsored activities reflect the actual effort applied to the sponsored project.
- Ensuring the Office of Grant Accounting (OGA) is informed about cost shared effort applied to sponsored projects, so that total cost share contributions can be tracked.
- Maintaining after-the-fact certified effort reports consistent with the University’s Record Retention Policy.
**Principal Investigators/Program Directors:** Individuals responsible for the following:
- Understanding the principles and policies (Federal and UDC-specific) behind reporting effort expended on sponsored project activities.
- Committing effort on sponsored projects as deemed appropriate for the scope of work at hand and as approved by the relevant Department
Head/Dean/Vice-President and verified by signatures on the OSP Proposal Routing Sheet.
- Ensuring that effort commitments (directly paid or cost shared) are met and that after-the-fact effort reports are completed for all personnel whose effort is committed to or paid by the sponsored project. Both cost shared and compensated effort must be accounted for in the context of the total effort of the individual (100%), using the effort reporting form (Form TE-1, Attachment II).
- Alerting OSP promptly if any concerns arise regarding actual or potential significant changes in PI or key personnel effort applied versus effort committed to sponsored projects or any PI or key personnel absences from sponsored projects.
- Ensuring that after-the-fact effort reports are certified by the relevant employee or someone with a suitable means of verification and are submitted to OSP prior to the due dates (September 1 for the summer term, January 15 for the fall term, and June 1 for the spring term).
**Department Chairs, Division Heads, Deans, and Vice Presidents:** These individuals are responsible for the following:
- Understanding this Policy and Federal requirements for certifying effort on sponsored programs.
- Ensuring that processes are in place within the unit to identify and capture effort on Federal and Federal flow-through sponsored projects.
- Reviewing effort commitments on proposals to confirm reasonableness and achievability for proposed effort.
- Providing oversight and proper and effective implementation of this Policy in their school/college/unit.
**F. Failure to Comply with Time and Effort Reporting Policy**
If effort reports are not completed, certified, or submitted properly and in a timely manner, OSP will take action to ensure compliance with this Policy. These actions may include, but are not limited to:
- Placing active projects/awards ‘on hold;’
- Adjusting uncertified labor distributions and the effort they represent to non-sponsored accounts as cost share; or
- Barring non-compliant individuals from serving as a PI, and non-compliant units from submitting or administering Federal sponsored projects.
**IV. EMPLOYEES OF OTHER DISTRICT OF COLUMBIA AGENCIES**
To the extent the foregoing Policy is relevant to employees of District of Columbia agencies over whom the University lacks personnel authority, the
University will work in good faith with those employees to effectuate adherence to the Policy.
V. CONTACTS
University Office of Sponsored Programs
VI. COMMITTEES REVIEWING/APPROVING PROCEDURE:
Sponsored Programs Policy Committee
Audit, Administration and Governance Committee of the Board of Trustees
Board of Trustees of the University of the District of Columbia
|
IN THE SUPREME COURT OF BRITISH COLUMBIA
BETWEEN:
ALL CANADIAN INVESTMENT CORPORATION
PLAINTIFF
AND:
BDO CANADA LLP
DEFENDANT
NOTICE OF CIVIL CLAIM
All Canadian Investment Corporation
c/o 490 – 1177 West Hastings Street
Vancouver, British Columbia V6E 2K3
BDO Canada LLP
Suite 201, 571 6th Street NE
Salmon Arm, British Columbia V1E 1R6
This action has been started by the plaintiff for the relief set out in Part 2 below.
If you intend to respond to this action, you or your lawyer must
(a) file a response to civil claim in Form 2 in the above-named registry of this court within the time for response to civil claim described below, and
(b) serve a copy of the filed response to civil claim on the plaintiff.
If you intend to make a counterclaim, you or your lawyer must
(a) file a response to civil claim in Form 2 and a counterclaim in Form 3 in the above-named registry of this court within the time for response to civil claim described below, and
(b) serve a copy of the filed response to civil claim and counterclaim on the plaintiff and on any new parties named in the counterclaim.
JUDGMENT MAY BE PRONOUNCED AGAINST YOU IF YOU FAIL to file the response to civil claim within the time for response to civil claim described below.
**Time for response to civil claim**
A response to civil claim must be filed and served on the plaintiff,
(a) if you were served with the notice of civil claim anywhere in Canada, within 21 days after that service,
(b) if you were served with the notice of civil claim anywhere in the United States of America, within 35 days after that service,
(c) if you were served with the notice of civil claim anywhere else, within 49 days after that service, or
(d) if the time for response to civil claim has been set by order of the court, within that time.
**CLAIM OF THE PLAINTIFF**
**Part 1: STATEMENT OF FACTS**
1. The Plaintiff is a company incorporated under the laws of British Columbia and has an address for service for this action only care of suite 490 – 1177 West Hastings Street, Vancouver, British Columbia.
2. The Defendant is a limited liability partnership and operates both nationally and internationally. It is a firm of chartered professional accountants and auditors and has a place of business within British Columbia of Suite 201 – 571 6th Street NE, Salmon Arm, British Columbia, V1E 1R6.
3. The Defendant prides itself on its professionalism and commitment to clients. In its website, the Defendant promises, and the Plaintiff expected same of the Defendant:
**Quality in all that we do**
- Strong sense of professionalism, urgency, commitment and loyalty
- An enthusiastic devotion to service
**Honesty and Integrity**
- Honesty means being open and transparent
- Integrity means we do what we say
Accountability for our actions and results
• We take ownership at both an individual and collective level
Respect for ourselves, each other, our clients and our communities
• Understanding that we are all different and that we all have great things to offer
and the Defendant promises it will:
• Communicate effectively and collaboratively
• Lead towards a common goal – no matter your role
• Collaborate to accomplish common goals and objectives
• Solve Problems and recommend/implement solutions
• Act with Professionalism by working in a respectful, ethical, confidential, and independent manner
• Complete Quality Work in an effective and timely manner
• Serve Clients, internally and externally, by providing excellent service and fulfilling client expectations
and:
With local, national, and global teams, our accounting professionals help clients address important matters in their financial statements. Utilizing our extensive global resources, we help clients in Canada and abroad navigate financial reporting and accounting standards that differ across industries and countries.
BDO is committed to professionalism, collaboration, and providing exceptional client service, and this is evident by the thorough involvement from our partners in the work we do. No matter the assignment, we always rely on our deep industry knowledge and insight from our partners to find solutions to our clients’ biggest challenges. Our services include:
• Financial statement audits ...
Tax compliance has become increasingly difficult to manage amid changing laws and regulations. BDO tax professionals have the resources and experience necessary to ensure that our clients not only remain compliant, but stay on track with new developments. Our partners are deeply involved in the work we do, and they bring deep industry experience to help our teams solve our clients' biggest issues.
BDO serves a wide range of companies, from small businesses to large enterprises. Each client is unique, and as such, we tailor our strategies to specifically meet their needs. Many of our professionals have experience in more than one area of domestic tax, allowing us to provide fully integrated, multidisciplinary tax services, and address multiple client issues simultaneously. As a result, we are able to provide rapid turnaround, even for especially complicated issues.
and:
Ultimately, the best reason to choose BDO comes down to the relationships we build with our clients and communities. Because at the end of the day, ours is a business of people working with, for, and in the service of others. And when you think about it that way, client service becomes more than just client service; it becomes a firm-wide dedication to helping the people we serve succeed – whatever they need, wherever they are, however we can.
4. The Plaintiff is a mortgage investment corporation pursuant to the provisions of section 130.1 of the *Income Tax Act*. It raises from time to time funds from members of the investment public and issues preferred shares.
5. The preferred shares issued by the Plaintiff are an eligible investment for a Registered Retirement Savings Plan ("RRSP") or Registered Retirement Investment Fund ("RRIF").
6. Pursuant to Part 7 of the *Business Corporations Act*, SBC 2002, c. 57, the Plaintiff is required to have an auditor for its financial statements.
7. Audited financial statements are critical to the Plaintiff maintaining its preferred shares as eligible investments under a RRSP or RRIF and to raise additional capital under an Offering Memorandum.
8. Audited financial statements must be presented to the shareholders at the Plaintiff’s annual general meeting.
9. On December 1, 2009, the Plaintiff and the Defendant entered into a contract by which the Defendant agreed to act as an independent auditor of the Plaintiff.
10. The Defendant, in addition to conducting the audit agreed, amongst other things:
i. to conduct the audit in accordance with generally accepted auditing standards;
ii. to communicate in writing any significant deficiencies in internal control relevant to the audit;
iii. to communicate to the Board of Directors on any matter regarding:
- misstatements;
- fraud;
- illegal acts;
- significant weaknesses in internal control.
iv. to communicate on any matter that it feels should be brought to the attention of the Board of Directors;
v. to provide letters to Trustees regarding RRSP eligibility of investments in the Plaintiff;
vi. to prepare the Plaintiff’s federal and provincial income tax returns, as required;
vii. to discuss with the Plaintiff any filing positions which, if taken, have the potential to give rise to a material adverse assessment or reassessment by the taxing authorities.
11. The Defendant performed audits of the financial statements of the Plaintiff for the year ending September 30 for 2009, 2010, 2011, 2012, 2013 and 2014.
12. In its report addressed to the Plaintiff’s shareholders in each of its audits for the years 2009, 2010, 2011, 2012, 2013 and 2014, the Defendant provided an audit opinion that the financial statements presented fairly, in all material respects, the financial position of the Plaintiff.
13. No qualification to this opinion was ever expressed.
14. The Defendant was engaged to perform the independent audit for the 2015 financial statements.
15. The Chartered Professional Accountants Code of Professional Conduct requires that an auditor may not cease to act after commencement of an audit engagement, except for good and sufficient reason.
16. In such a circumstance, the auditor has a duty to inform the shareholders of the reasons for the resignation.
17. The Defendant was to deliver its independent audit report on or before March 30, 2016.
18. On March 29, 2016, without notice and without warning, the Defendant wrongfully resigned from its role as auditor effectively immediately and
advised the Plaintiff it would not fulfill its obligation to complete the audit for the 2015 financial statements.
19. The Defendant refused the Plaintiff’s request to meet with the directors or management of the Plaintiff to provide an explanation for its resignation.
20. By its wrongful act of resignation, the Defendant:
i. breached its contractual duties owed to the Plaintiff; and
ii. breached its professional and ethical duties under the Chartered Professional Accountants Code of Professional Conduct which are an implied obligation of the Defendant to the Plaintiff.
21. The lack of audited financial statements caused shareholders and security holders in the Plaintiff to lose faith in the viability of the Plaintiff and to request the redemption of their investments. In the period between July 2015 and December 2017, investors sought to withdraw some $19,367,000 from the Plaintiff.
22. The Defendant was the only accounting firm in Salmon Arm that performed audits.
23. Immediately following the wrongful resignation by the Defendant the Plaintiff attempted to engage a successor auditor in the cities of Vernon, Kamloops and Kelowna, but was unable to do so.
24. It was not until November 10, 2016, that the Plaintiff was able to engage a new auditor. However, the successor auditor was unable to perform an audit for the 2015 fiscal year.
25. The Defendant breached its duties of good faith and honest performance it owed to the Plaintiff by its unjustified refusal to perform and complete the audit it was engaged to do and agreed to perform.
26. The Defendant knew at the time it resigned as auditor on March 29, 2016, that the Plaintiff was required to file its 2015 tax return with Canada Revenue Agency by March 31, 2015, only two days later.
27. The Plaintiff was unable to file its 2015 tax return in time as it could not file audited financial statements.
28. The Defendant knew that, by reason of its resignation, the Plaintiff could no longer raise capital as audited financial statements were essential to that ability.
29. All capital raising activities by the Plaintiff had to be halted.
30. The Defendant knew that by resigning without explanation and an acceptable reason that the shareholders, the regulatory authorities, the security holders, and the investing public would lose confidence in the financial viability and stability of the Plaintiff.
31. The absence of 2015 audited financial statements meant:
i. the Plaintiff was unable to raise additional capital;
ii. the Plaintiff had to resort to borrowing funds at high rates of interest to meet funding commitments;
iii. the Plaintiff had to lower its dividend payments to shareholders; and
iv. unprecedented redemption requests by investors.
32. Due to the Plaintiff’s inability to raise additional capital or pay dividends, some 65% of the Plaintiff’s preferred shareholders submitted redemption notices.
33. As a result the Plaintiff applied for creditor protection pursuant to the Companies’ Creditor Arrangement Act.
34. The Plaintiff has also suffered:
i. loss of profits;
ii. loss of opportunities;
iii. a loss of value; and
iv. loss of reputation.
35. All of these impacts were reasonably foreseeable by the Defendant when it wrongfully terminated its engagement as auditor.
36. The Defendant had an ethical and contractual duty to explain the reasons for its resignation to the Plaintiff and its shareholders. The Defendant failed to do so and breached this duty.
37. The Defendant had an ethical duty to explain to a successor auditor the reasons for its resignation. The Defendant failed to do so, and breached this duty.
38. The action of the Defendant in resigning, without notice or explanation, on the eve of the deadline for filing the Plaintiff’s tax return with Canada Revenue Agency warrants an award of exemplary and punitive damages.
Part 2: RELIEF SOUGHT
1. Damages for breach of contract.
2. General damages.
3. Damages for loss of reputation.
4. Punitive damages.
5. Exemplary damages.
6. Special damages, including the costs of the Monitor.
7. Interest pursuant to the Court Order Interest Act.
8. Costs on a basis or scale as this Honourable Court may deem just.
Part 3: LEGAL BASIS
1. The Defendant wrongfully terminated its contract with the Plaintiff.
2. The Defendant breached the fiduciary duty it owes to the Plaintiff and its shareholders to report on the financial statements of the company.
3. The Defendant breached its ethical duties as an auditor according to general accepted auditing principles.
4. The Defendant breached its fiduciary duty owed to the Plaintiff.
5. The Defendant breached its ethical duty to disclose an acceptable reason for its resignation.
6. The Plaintiff will rely, in part, on the judgment of the Supreme Court of Canada in the following cases:
i. Bhasin v. Hrynew, 2014 SCC 71; and
ii. Deloitte & Touche v. Livent Inc., 2017 SCC 63.
Plaintiff’s address for service:
SHIELDS HARNEY
Litigation Counsel
Suite 490 - 1177 West Hastings Street
Vancouver, B.C. V6E 2K3
Telephone: (604) 682-7770
Fax number address for service: (604) 682-1822
E-mail address for service: email@example.com
Place of trial: Vancouver, British Columbia
The address of the registry is:
800 Smithe Street
Vancouver, B.C.
Date: March 1, 2018
Alastair Wade and
John Douglas Shields
Counsel for Plaintiff
Rule 7-1 (1) of the Supreme Court Civil Rules states:
(1) Unless all parties of record consent or the court otherwise orders, each party of record to an action must, within 35 days after the end of the pleading period,
(a) prepare a list of documents in Form 22 that lists
(i) all documents that are or have been in the party's possession or control and that could, if available, be used by any party at trial to prove or disprove a material fact, and
(ii) all other documents to which the party intends to refer at trial, and
(b) serve the list on all parties of record.
APPENDIX
Part 1: CONCISE SUMMARY OF NATURE OF CLAIM:
Damages for breach of contract to perform and complete an independent audit of financial statements.
Part 2: THIS CLAIM ARISES FROM THE FOLLOWING:
A personal injury arising out of:
- [ ] a motor vehicle accident
- [ ] medical malpractice
- [ ] another cause
A dispute concerning:
- [ ] contaminated sites
- [ ] construction defects
- [ ] real property (real estate)
- [ ] personal property
- [x] the provision of goods or services or other general commercial matters
- [ ] investment losses
- [ ] the lending of money
- [ ] an employment relationship
- [ ] a will or other issues concerning the probate of an estate
- [ ] a matter not listed here
Part 3: THIS CLAIM INVOLVES:
- [ ] a class action
- [ ] maritime law
- [ ] aboriginal law
- [ ] constitutional law
- [ ] conflict of laws
- [x] none of the above
- [ ] do not know
|
EXPERT SYSTEM FOR SCHEDULING SIMULATION LAB SESSIONS
By Chet Lund
Lockheed Engineering & Sciences Company
2400 NASA Road One MC/C07
Houston, TX 77058
ABSTRACT. Implementation and results of an expert system used for scheduling session requests for the Systems Engineering Simulator (SES) laboratory at the NASA Lyndon B. Johnson Space Center (JSC) are discussed. Weekly session requests are received from astronaut crew trainers, procedures developers, engineering assessment personnel, software developers, and various others who wish to access the computers, scene generators, and other simulation equipment available to them in the SES lab. The expert system under discussion is comprised of a data acquisition portion - two Pascal programs run on a personal computer - and a CLIPS program installed on a minicomputer. A brief introduction to the SES lab and its scheduling background is given. A general overview of the system is provided, followed by a detailed description of the constraint-reduction process and of the scheduler itself. Results from a ten-week trial period using this approach are discussed. Finally, a summary of this expert system's strengths and shortcomings are provided.
INTRODUCTION
The Systems Engineering Simulator (SES) lab at the NASA Lyndon B. Johnson Space Center (JSC) provides the real-time engineering simulation capability needed to support various aspects of the Space Shuttle and the Space Station Programs. The SES has been used as a design and analysis tool throughout the Space Shuttle Program.
Early in the Space Shuttle Program the SES was used to conduct conceptual design studies concerned with Orbiter handling qualities, displays and controls, and orbital operations. As the Shuttle Program advanced, the SES provided a testbed in which flight software requirements (mainly guidance, navigation, and control) could be evaluated. The SES was also used extensively in supporting the design of the Remote Manipulator System (RMS). In 1984 the Manned Maneuvering Unit (MMU) was added to the SES. It has provided on-line support during several Space Shuttle missions, most notably the Solar Maximum repair mission.
More recently, the SES developed the Orbiter/Space Station docking simulation. To develop the capability, reasonably sophisticated mathematical models of the Space Station were installed in the simulation. Mass properties, docking port geometry, RMS grapple fixture geometry, aerodynamics, attitude control system, reaction control system (RCS), and visual models are included in the mathematical models. Additionally, a complex Orbiter-to-Space Station Thruster plume impingement model was developed and installed. The plume impingement model produces reasonably accurate forces and moments on the Space Station that would result from any of the Orbiter's 38 primary RCS thruster exhaust plumes impinging on the Space
Station's surfaces during an Orbiter approach.
These are just some of the many functions that the SES has played a role in, and will continue to serve in, throughout the Space Shuttle and Space Station Programs. Interested readers may find a more detailed description of the SES lab and its functions in [1].
**SES Lab Equipment**
The SES lab is a large complex consisting of dedicated computers, crew stations, computer-generated imagery visual systems, and graphics systems. Minicomputers provide interfaces to the crew stations, host the graphics systems which generate cockpit displays and real-time displays for test evaluators, and also provide the data recording function for the simulations. The mathematical models are also stored here. A large mainframe computer hosts the Space Shuttle entry and landing simulation and is used in conjunction with the Shuttle forward crew station (or forward cockpit).
The SES crew stations include the aforementioned forward cockpit, the Shuttle aft crew station (aft cockpit), a MMU crew station, and a Space Station crew station (cupola). All stations include flight-like displays provided by electronic scene generators so as to make a simulation session as realistic as possible to the participants. The crew stations are arranged in separate enclosures to facilitate parallel simulations.
Approximately 15 lab equipment pieces - i.e., computers (and the math models), crew stations, scene generators, etc. - are available to the lab users.
**Where An Expert System Comes In**
In earlier times and with a smaller lab, the SES lab manager generated the weekly schedule manually and fairly easily. However, the lab has grown over the years and so has the level of complexity, causing management to consider automating this task.
Some examples of this complexity: Two parallel simulations may proceed during a scheduled session - one on the "A-Side" and one on the "B-Side" - as long as the equipment that each person has requested is mutually exclusive of the other's hardware needs.
Furthermore, an increased workload in SES activities has recently forced the lab to expand its working hours. Altogether, there are 76 schedulable sessions in a week
\[
( \lfloor 5 \text{ days/week} * 3 \text{ shifts/day} * 2 \text{ sessions/shift} * 2 \text{ parallel simulations/session} \rfloor + \lfloor 2 \text{ days/week} * 2 \text{ shifts/day} * 2 \text{ sessions/shift} * 2 \text{ simulations/session} \rfloor )
\]
On the average, between 60-75 session requests are submitted each week. Those who need the Aft Cockpit and/or the MMU for their simulations must run on the A-Side. Others who can accomplish their tasks without these equipment pieces can usually run on the B-Side. On infrequent occasions a requestor will ask for both sides simultaneously.
Another factor considered is the relative priority of each project. Certain recurring events such as astronaut crew training are given a high priority. Priorities of other projects such as conceptual design studies or software development work change weekly according to each project's due date. The lab manager must be fully aware of each project's status so as to make the most effective usage of the lab's resources.
Also, the time slots requested are considered whenever possible. There are those who would rather not work third shifts and/or weekends. An attempt is made to accommodate these requests when feasible. Projects also dictate that work must be completed on/before a given date, thereby making some sessions useless to the requestor.
Taking all these factors into consideration when scheduling is a monumental task for the SES lab manager, particularly when scheduling is only one of the many functions that this individual is responsible for. Human errors can and do appear occasionally. The scheduler can inadvertently assign a lab equipment to two people simultaneously, or some hardware that is unavailable or down for repair might get assigned. Some projects cannot run opposite others. Because of the dynamic nature of the job, last-minute changes can cause a completed schedule to be entirely revamped.
In summary, scheduling relies heavily upon human knowledge and experience. But humans are prone to make mistakes as well as subjective judgments. And because the job is very demanding, human scheduling experts are hard to come by and retain. It is for these reasons that an attempt has been made to automate the scheduling process.
OVERVIEW OF THE SYSTEM
The system was developed to mimic the actual process used in generating a weekly schedule. The weekly requests are first reviewed for completeness and accuracy. Requests containing noticeably incorrect or inconsistent data are corrected or resolved by the lab manager. He also assigns a relative priority to each request based upon his knowledge of the various projects' upcoming due dates or the relative importance of the requested session. A data entry specialist then keys the information from the request into a PC-based Pascal program, using both the mouse and the keyboard interfaces. The graphics/mouse interface is vital to this aspect of the system in that, with over 70 data fields associated with each request, the time spent on the data entry phase has been cut in half (versus using a keyboard interface only).
After the requests have been entered and saved to disk, a second Pascal program is called to update the availability statuses of the various equipment found in the lab. For example, any equipment scheduled for preventative maintenance during a session can be marked as being "unavailable" for that session.
From this second program (and assuming that both of the above tasks have been completed, resulting in a request file and an equipment configuration file), one can then initiate that portion of the expert system that looks for "compatible" pairs of session requests - i.e., those pairs of users who can run simulations in parallel because the equipment requested by each is mutually exclusive of the other person's (and they have both specified a given time slot as being "acceptable").
When two compatible requests are found, they are further constrained by checking the Equipment Configuration File for equipment availability during a given time slot. Should at least one equipment requested be found unavailable, this compatible pair is no longer considered as a candidate for that time slot. This process continues exhaustively until all compatible pairs have been considered for the time slots they deemed desirable.
Those pairs having passed this constraining test are written to a file in CLIPS deffacts format. This will serve as an input file to a CLIPS program (the third and final one in the expert system), which does the actual assigning of compatible pairs to sessions, by priority. If a compatible pair cannot be found for a given session, then that time slot will be assigned to just one person who has the highest remaining priority of those tasks being scheduled. Before completing, this CLIPS program writes a schedule to a disk file, which is then printed out and reviewed by the manager. He has the final decision of whether to use any or all portions of it.
DETAILED DESCRIPTION OF SYSTEM
Start of the Scheduling Process
The first constraint check compares a requestor's list of equipment against the Equipment Configuration File for all schedulable sessions. If a person has requested an equipment that is not available for a given session, that requestor is not considered as a candidate for that session. But assuming that his/her requested equipment are all available, this single user is written to the CLIPS file (in the event that no pair can be found for
this slot), and the next constraint check is made - comparing that person's equipment requests against the next person's in the linked list data structure.
User 1's list of requested equipment is compared against User 2's list. The check made is that of a Boolean Exclusive-Or function. That is, if User 1 has requested Equipment X and so has User 2, then these two users are no longer considered compatible. This might be referred to as a "hard" constraint. Now, there also exists a case of a "soft" constraint, and it has to do with a user requesting one or more of the three scene generators (referred to as the ESG2, the POLY, and the CT6). Let us briefly look at this issue before continuing on with the scheduling process.
"Soft" Constraints
There are situations where a user needs a specific scene generator, in effect saying: "I've got to have the (ESG2/POLY/CT6) scene generator, or else I can't do my job." One reason for this is that not all scene generators are capable of generating the desired scene for a simulation session. This again would be considered a hard constraint.
But then there are occasions where any one of the three scene generators is acceptable to the requestor. "I don't care which one you assign to me, just as long as I get one." This would be considered a "soft" constraint. Listed below are the different possibilities that must be considered when verifying a soft constraint between two users.
(Requesting the same generator)
| | User 1 | User 2 |
|-------|--------|--------|
| Case 1| NEEDS | NEEDS |
| Case 2| NEEDS | WANTS |
| Case 3| WANTS | NEEDS |
| Case 4| WANTS | WANTS |
Case 1 is the "hard" constraint example. If both requestors say they "need" it, then these two are considered incompatible. Cases 2, 3, 4, where "wants" is one of the choices specified, are examples of "soft" constraints and require further investigation.
Consider the following example: User 1 and User 2 match up compatibly on all equipment, excepting the scene generators. Assume all three scene generators are available. User 1 "needs" ESG2 and POLY. User 2 "wants" either the ESG2 or the POLY, but just one of the two is sufficient. In this case, User 1 and User 2 would be incompatible because if User 1 needs them, User 2 would be "locked out."
What if User 1 "needs" ESG2 and POLY, and User 2 "wants" POLY or CT6? Now, they would be considered compatible, because User 1 can be assigned his/her equipment, and User 2 can be assigned the CT6 scene generator.
As long as ONE of the scene generators not "needed" by User i is available and deemed as "wanted" by User j, then Users i and j are compatible, and this soft constraint is resolved. Similarly, for the case where both users "want" a scene generator and at least one of the two has requested TWO or more scene generators, then the soft constraint is resolved (our implicit rule is to assign just ONE scene generator if the requestor specifies "wants" and not "needs").
Cases 2, 3, and 4 above can be expressed in Boolean Algebra terminology. Using the following notation for these Boolean variables:
Case 2: User 1 "needs" and User 2 "wants". Then -
Compatible := (¬A₁ & B₁) OR (¬A₂ & B₂) OR (¬A₃ & B₃)
or, to generalize:
Compatible := OR(i, i=1,N) { ¬Aᵢ & Bᵢ }
As long as "Compatible" evaluates to TRUE, User 1 and User 2 are compatible on this soft constraint.
Case 3: User 1 "wants" and User 2 "needs". Then -
Compatible := (A₁ & ¬B₁) OR (A₂ & ¬B₂) OR (A₃ & ¬B₃)
or, to generalize:
Compatible := OR(i, i=1,N) { Aᵢ & ¬Bᵢ }
Case 4: User 1 "wants" and User 2 "wants". Then -
Compatible := (¬A₁ & B₁) OR (¬A₂ & B₂) OR (¬A₃ & B₃) OR
(A₁ & ¬B₁) OR (A₂ & ¬B₂) OR (A₃ & ¬B₃) OR
(A₁ & B₂) OR (A₁ & B₃) OR (A₂ & B₁) OR
(A₂ & B₃) OR (A₃ & B₁) OR (A₃ & B₂)
or, to generalize:
Compatible := [ OR (i i=1,N) { ¬Aᵢ & Bᵢ } ] OR
[ OR (i i=1,N) { Aᵢ & ¬Bᵢ } ] OR
[ OR (i,j i=1,N j=1,N i.NE.j) { Aᵢ & Bⱼ } ]
Back to the Scheduling Process
Assuming that User 1 and User 2 have passed the first two constraint checks, the last constraint check made in this program determines that if either User 1 or 2 has requested an equipment, the Equipment Configuration File is checked to see if the equipment is available for this session. If it is, then User 1 and User 2 (with their associated priorities and the session number) are written as a "compatible-pair" entry to a CLIPS-formatted def-facts file. This file will be the input file to the third and final (CLIPS) program in the expert system.
This entire constraint-reduction process is repeated - that is, User 1 is compared with User 3, User 1 with User 4, and so forth - until all combinations have been exhausted.
Schedule Compatible Pairs for Available Sessions
This third and final program is written in CLIPS, as mentioned earlier. The "deffacts" file created by Program 2 is opened/read. Also, the Request File created by Program 1 is read in; it contains the auxiliary request-related information - such as requestor's name, phone number, activity description, etc. - that is used for listing out the people scheduled for the various sessions.
The program schedules sessions in order from the most desirable (first shift Monday through Friday) to the least desirable (third shift). Two deffacts, shown below, are used here. Deffact "next-session" contains the next session number to be scheduled, where 1 = Session 1 on Monday, 2 = Session 1 on Tuesday, 8 = Session 2 on Monday, etc. Deffact "sessions_left" is a list structure showing those remaining sessions to be scheduled, in the order specified. After a session has been scheduled, the "next-session" fact is modified to contain the left-most number from the "sessions_left" fact. Then, "sessions_left" is also changed to remove a session number from its list once it has been "moved" to "next-session."
When the final value (0) in "sessions_left" is encountered, the program halts. Note that third shift on weekends (numbers 34, 35, 41, and 42) have been omitted from "sessions_left" because these time slots are currently not used.
(next-session 1 Monday)
(sessions_left 2 3 4 5 8 9 10 11 12 15 16 17 18 19
6 7 13 14 22 23 24 25 26 20 21 27 28 29
30 31 32 33 36 37 38 39 40 0)
The general searching order is to:
- find a compatible pair where both have the current highest priority,
- find a pair where one of the two has the highest priority,
- find just one person (leaving the other slot open for anyone who can use it) having the current highest priority, and
- leave the slot open because no one remaining had specified this session as an acceptable choice.
Also factored into these searching rules is a check to see if either one or both of the current pair being scrutinized were assigned to the last session as well. The reasons behind this are twofold: Those requesting multiple sessions will have a tendency toward wanting to work consistent hours that week (instead of first shift today, third shift tomorrow, etc), and second, this scheme tends to not schedule a multiple session requestor twice on any given day with a gap between sessions (first and third session, for example). A gap would require lab participants to work a non-contiguous eight-hour day.
RESULTS
This system was run for a ten-week trial period. The criteria used for comparison was the number of requests assigned versus the total number requested that week. Shown below are the results.
| WEEK | NUMBER ASSIGNED | NUMBER REQUESTED | PERCENTAGE ASSIGNED |
|------|-----------------|------------------|---------------------|
| Week 1 | 45 | 55 | 81.8 |
| Week 2 | 52 | 59 | 88.1 |
| Week 3 | 54 | 59 | 91.5 |
| Week 4 | 53 | 58 | 91.4 |
| Week 5 | 47 | 54 | 87.0 |
| Week 6 | 48 | 54 | 88.9 |
| Week 7 | 49 | 65 | 75.4 |
| Week 8 | 59 | 76 | 77.6 |
| Week 9 | 55 | 66 | 83.3 |
| Week 10| 56 | 71 | 78.9 |
These results are consistent with those obtained by manual scheduling before making forced adjustments. That is, a high percentage of the requests can be satisfied by assigning those with the highest priority to the slots they deemed acceptable. But to fit in the remaining requests, the lab manager must force-assign people to slots they did not specify, or he may assign slots to requestors if they can forgo the use of equipment that is unavailable during that session.
WHAT WAS LEARNED
The approach taken towards the scheduling task had its strong points and its shortcomings. One positive aspect was that the high-priority requests were almost always scheduled, leaving the lower-priority requests to be assigned manually by the lab manager. Another was that a multiple session requestor would often be assigned contiguous sessions as designed. And seldom did a project request get assigned non-contiguous slots within the same day.
A negative point is that a user who requested sessions for two or more DIFFERENT projects that week was often assigned non-contiguous slots within a given day (no check was made to see if the same person was assigned to an earlier session that day). Also, the program found only one schedule. Perhaps better schedules could have been generated to fit in more requests, had some factor of randomness and a looping mechanism been introduced into the program.
Another very influential aspect that became self-evident during the project was the importance of getting requestors to abide by the request submission deadline. Unfortunately, some people at times would not know what their workload for the following week was until the request deadline had passed. Hence, their requests often came in late - typically up until four hours before a completed schedule was to be reviewed by NASA officials. With manual scheduling, one could make certain allowances to accommodate the late entries. However, four hours leaves very little time for the CLIPS program to execute on a minicomputer, particularly with 20 or more interactive users logged in at the time.
SUMMARY
Because of the aforementioned problems, the CLIPS scheduler was eventually replaced by a FORTRAN program on a mainframe to utilize its CPU speed. Most of the problems encountered with the
CLIPS version have been addressed successfully in the new one. The names of users requesting time for different projects are now checked so non-contiguous slots within a day are not assigned to any user. Subject to the above criteria, compatible pairs are randomly selected and assigned to a schedule slot. A completed schedule is then evaluated according to several grading factors, and the 10 schedules with the highest scores are always saved (and later printed at a specified timeout period). The lab manager now has a choice of which schedule to use as a starting base.
One method of circumventing the late submission problem has worked with limited success. "Dummy" requests with the same priority and with the same typical equipment requested by those expected latecomers are entered to serve as place-holders. This allows the scheduler to be started up with more lead time than previously permitted, thus yielding higher-quality schedules.
Because of the constantly changing requirements brought on by new projects, it is felt that it would be difficult, at best, to program in all the constraint checks that are needed. The best that one can expect from the scheduler output is that it is just a starting base that will still require at least some human manipulation to satisfy the constraints associated with that week's requests and to force-fit in any requests that the scheduler cannot handle.
REFERENCES
[1] St. John, R. H., Moorman, G. J., and Brown, B. W., "Real-Time Simulation for Space Stations", PROCEEDINGS OF THE IEEE, Vol. 75, No. 3, March 1987.
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Development of the sectoral system of remuneration of medical workers of state healthcare institutions of the constituent entities of the Russian Federation
Irina Omelchenko\textsuperscript{1}, Oleg Dozortzev\textsuperscript{1}, Marina Danilina\textsuperscript{1,2,3,*}, Alexander Vas’kov\textsuperscript{1}, and Olga Zabelina\textsuperscript{1}
\textsuperscript{1}Research Institute VNII of Labor, Ministry of Labour of Russia, Zemlyanoy Val, 34, 105064 Moscow, Russia
\textsuperscript{2}Finance University under the Government of the Russian Federation, Leningradsky prosp., 49, 125993 Moscow, Russia
\textsuperscript{3}Russian Economic University, Stremyanny per., 36, 117997 Moscow, Russia
Abstract. The article analyses the Development of a sectoral system of remuneration of medical workers of state healthcare institutions of the constituent entities of the Russian Federation. It was determined, the PM differentiation, as well as the differentiation of the cost of a fixed set of consumer goods and services, is too low for use in the OSS, while the value of the coefficient of variation for the median wage is much higher, and at the same time, if this indicator is used in the OSS, with a significant decrease in the differentiation between the most the richest and poorest budgets will not experience the problems. Thus, the most appropriate indicator, taking into account the existing resources of the federal budget, for use in order to take into account the economic differentiation of a constituent entity of the Russian Federation is the median salary of employees of organizations.
1 Introduction
The determination of the minimum tariff rate (minimum salary) is the central point for the development of a remuneration system, regardless of the level at which it is supposed to be applied. The minimum wage rate is the rate of payment for the labor standard (standard), having the lowest characteristics for all factors that could form a tariff. The level of remuneration of an employee engaged in such work, provided full performance of his work duties must provide him the consumption level sufficient to reproduce its ability to labor.
The size of the minimum wage rate (official salary) must be at a level not less than the minimum wage, established at the state level. From a scientific point of view, the most justified criterion for ensuring the share of salaries in the wage structure at a level of at least 50%, according to the Unified Recommendations, it is advisable to preserve the use of the PCG (modified taking into account the current labor functions of medical workers), but with
*Corresponding author: firstname.lastname@example.org
the use of basic minimum salaries, the establishment of which is enshrined in Article 144 of the Labor Code of the Russian Federation, while linking the size of the minimum wage of a worker of the 1st category to the size of the value of the concept of "minimum consumer budget".
2 Materials and methods
To date, there are no guidelines for setting salaries in budgetary institutions, with the exception of the minimum wage, which is equal to the subsistence minimum, but is not mandatory in terms of setting minimum salaries. In turn, the PM is formed on the basis of the consumer basket and reflects the value of the minimum set of food products, non-food goods and services, as well as mandatory payments and fees, necessary to preserve human health and ensure his life.
At the same time, the minimum permissible level of satisfaction of the material and spiritual needs of a person employed in labor, as well as the basic value and structure of consumption of goods and services necessary for a person for normal life, are more accurately and reasonably characterized by the concept of "minimum consumer budget".
The consumer budget is a broad concept that characterizes the structure and balance of incomes and expenses of people (families and single people, employed and unemployed, etc.), as well as the structure of needs that determines the directions of using income for the purchase of various goods and services, for investments, savings and other purposes.
The consumer budget expresses the value of a set of food and non-food goods and services. Consumer budgets differ in the degree to which basic physiological social and spiritual needs are met. The expenditure side of the consumer budget is determined by the following factors:
1. Physiological needs of people (biological factor).
2. Type and nature of work (professional factor).
3. The level of cultural development of a person (general cultural factor).
4. Working conditions: the level of mechanization, automation, hygienic conditions, working hours and rest (production factor).
5. Habitual lifestyle and standard of living (socio-historical factor).
6. Age composition of the family (demographic factor).
7. Natural and climatic conditions (geographic factor).
8. National customs (ethnic factor).
9. Intentions and moods of people (psychological factor).
There are a large number of combinations of the above factors that determine the needs and form consumer budgets for various categories of people. At the same time, the minimum consumer budget is one of the main system-forming basic budgets (along with the subsistence minimum). The minimum consumer budget is a criterion for a socially acceptable level of reproductive consumption (calculated at the lowest level of welfare).
Taking into consideration the fact that the level of wages should contribute to the reproduction of the labor force and correspond to the cost estimate of the restoration of the ability to work, the sociocultural needs of a person, it is the minimum consumer budget that should be used as the base salary (official salary). An example of the formation of the structure and calculation of the cost of the minimum consumer budget of a man of working age engaged in light physical labor (with a minimum level of labor complexity) is presented in the previous report on the research work "Development and scientific substantiation of proposals to improve wage systems ...". The cost of the consumer budget in March 2019 prices amounted to 13,432.51 rubles, which exceeds the minimum wage set as of 01.01.2020.
Another scientifically grounded approach to setting the minimum wage rate is to determine the ratio of the minimum consumer wage relative to the average wage for the
relevant period. If this ratio is at a level exceeding 45-50%, then the corresponding value cannot be taken as the minimum tariff rate, since there will be no funds left for normal differentiation by other tariff-forming factors (complexity, working conditions), as well as for incentives for over-fulfillment of norms labor costs and bonus indicators. If this ratio is in the range of 35-45%, then this calculated value can be taken as the minimum tariff rate.
In practice, taking into consideration the tight deadlines and the lack of flexibility of domestic legislation, it was decided to accept the minimum wage as of 01/01/2020 as the minimum value that can correspond to the minimum wage rate (salary). The use of the minimum wage, taking into consideration the complete reduction of its separation from the minimum necessary physiological conditions for the reproduction of labor (PM), can be considered a reasonable decision, but not optimal.
At the same time, the OSS takes into consideration the differentiation in the size of wages in the constituent entities of the Russian Federation due to the application of the coefficient of regional economic differentiation. The second no less complex and difficult task in the development of a wage system is to determine the composition of tariff-forming factors, their relationships with each other and the principles of differentiation of tariff payment.
Taking into consideration a wide range of compensation and incentive payments, taking into consideration the impact on wages of various working conditions, including the establishment of compensations for the negative impact of unfavorable environmental conditions on the body of workers, the main tariff-forming factor will be the complexity of labor. The complexity of labor, expressed both in the direct physiological zeal of the employee and in the qualification requirements for the work performed, as well as, in general, labor functions are described in detail in professional standards, and the differentiation by levels of complexity is reflected when the positions of medical workers are divided according to the PCG.
Taking into consideration the large number of meetings of the working group on the development of the OSHP, which includes specialized experts from the Ministry of Health of the Russian Federation, expressing their opinion on the complexity of work (in particular, on the level of responsibility in certain positions), it was decided to update the existing CAP in order to form more objective differentiation by the complexity of job positions. The PKG “Medical and pharmaceutical personnel of the first level” (2 qualification levels), “Nursing and pharmaceutical personnel” (6 qualification levels), “Doctors and pharmacists” (6 qualification levels) were expanded. The number of qualification levels in the PCG “Heads of structural units of institutions with higher medical and pharmaceutical education (specialist doctor, pharmacist)” has not been changed.
Taking into account the complexity coefficients agreed with the experts of the Ministry of Health of the Russian Federation during the development of the model, reflecting fair differentiation in the remuneration of medical workers, the most relevant grid of complexity coefficients for use in OHS when excluding qualification categories from salaries is the UTS dated 01.12.2001, which has 18 digits and the ratio of the 18th to the first digit is 4.5: 1. Taking into account the fact that in the new PCG (developed by the Ministry of Health of Russia and the Ministry of Labor of Russia) differentiation by 16 qualification levels is used, it seems justified to use the first 16 categories of the proposed UTS, taking into account the decrease in coefficients in proportion to a certain influence on the complexity of labor of qualification categories to the value "no category".
3 Results and discussions
The most controversial issue in the course of determining the complexity coefficients, reflecting the differentiation between the qualification levels of medical workers, was the question of including the complexity coefficients of qualification categories in the grid. On
the one hand, employees who confirm the category can perform more complex work, on the other hand, all the work that employees must perform in one position, regardless of the qualification category, are described in job descriptions. Thus, it is not clear how the confirmation of the qualification category affects the complexity and quality of the services provided by health workers.
If the accounting of qualification categories is included in the coefficient grid, it is necessary to revise and update absolutely all job descriptions, which should reflect the specific duties that the employee must perform, taking into consideration the confirmation of a particular qualification category. As a result, it was decided not to include qualification category coefficients in the grid.
A distinctive feature of the post-Soviet period of development of the economic system of the Russian Federation is an extremely high degree of stratification of the constituent entities of the Russian Federation according to the socio-economic level of development, which is expressed in all aspects of society, including wages. In the Russian Federation, there is a high differentiation of wages, and it is impossible not to take into consideration the economic component when determining the fair amount of wages, since the purchasing power of money in the constituent entities differs significantly. In this regard, as well as taking into consideration the need to reduce the differentiation of wages of medical workers in different constituent entities of the Russian Federation, when developing an OSHP, it is necessary to reasonably take into consideration economic differentiation.
For this purpose, it is proposed to take into consideration economic differentiation when calculating the official salary of medical workers using the concept of “coefficient of regional economic differentiation”.
The basis for determining this coefficient at various stages of the study of the problem was:
- the cost of a fixed set of consumer goods and services;
- living wage;
- average monthly accrued wages of employees of organizations;
- average monthly accrued wages of employees in organizations, individual entrepreneurs and individuals (hereinafter - ZNR);
- the median value of the accrued wages of employees of organizations.
For interregional comparisons of the purchasing power of the population in the Russian Federation and individual constituent entities of the Russian Federation, the cost of a fixed set of consumer goods and services is calculated on the basis of consumption volumes that are uniform for all constituent entities of the Russian Federation, as well as regional average prices. The set includes 83 items of goods and services, including 30 types of food products, 41 types of non-food products and 12 types of services. The cost of the set is given per month.
Taking into account the task of objectively assessing economic differentiation in the OSS, the cost of a fixed set is the most appropriate indicator for the formation of official salaries.
However, the financial capabilities of the state cannot provide such a rapid reduction in the gap between the wages of workers in various constituent entities of the Russian Federation, the consequences of using this indicator in determining official salaries will lead to very high costs for OSH, to an imbalance in the labor market in the public sector, to protest moods of employees of state and municipal organizations in other social spheres.
Therefore, as a basis for determining the coefficient of regional economic differentiation, alternative options were proposed, assessed by the coefficient of variation of the sample (for the constituent entities of the Russian Federation).
*Preparation of proposals for the formation of lists and conditions for the establishment of compensation and simulation payments.*
For a number of compensatory and incentive payments, the amounts and conditions for implementation are determined by the Labor Code of the Russian Federation and decrees of
the Government of the Russian Federation (payments for regional regulation of wages, bonuses for detecting oncological diseases and payments for birth certificates, etc.). For the rest, it is proposed to establish the size and conditions of implementation separately by the Government Decree.
In accordance with Article 147 of the Labor Code of the Russian Federation, the minimum wage increase for employees engaged in work with harmful and (or) hazardous working conditions is 4% of the tariff rate (salary) established for various types of work with normal working conditions. It is proposed to establish the amount of additional payments depending on the class of labor conditions from 4 to 12% (3.1 - 4%; 3.2 - 6%; 3.3 - 8%; 3.4 - 10; 4 - 12%), which will ensure optimal differentiation of these payments by degrees of hazard.
In accordance with the Law of the Russian Federation of July 2, 1992 No. 3185-1 "On psychiatric care and guarantees of the rights of citizens in its provision", Federal Law of June 18, 2001 No. 77-FZ "On the prevention of the spread of tuberculosis in the Russian Federation" [49] and Federal Law of March 30, 1995 No. 38-FZ "On the prevention of the spread in the Russian Federation of a disease caused by the human immunodeficiency virus (HIV)", the order and size of an increase in wages for work with harmful and (or) dangerous working conditions for medical workers of state institutions of the constituent entities of the Russian Federation involved in the provision of psychiatric care, directly involved in the provision of anti-tuberculosis care, carrying out diagnostics and treatment of HIV-infected, as well as persons, whose work is related to materials containing the human immunodeficiency virus are established in the manner determined by the executive authorities of the constituent entities of the Russian Federation.
In order to unify the approaches to the establishment of these compensation payments, the Project proposes the establishment of uniform amounts of compensation payments to medical workers directly involved in the provision of anti-tuberculosis care in the amount of 40%; medical workers who diagnose and treat HIV-infected people, and persons whose work is associated with materials containing the human immunodeficiency virus in the amount of 60%; medical professionals involved in the provision of mental health care 30%.
In accordance with Article 154 of the Labor Code of the Russian Federation, the increase in wages for night work is established by collective agreements, but not lower than the minimum amount established by the Government of the Russian Federation.
According to the Decree of the Government of the Russian Federation No. 554 of July 22, 2008, the minimum wage increase for night work is 20 percent of the hourly wage rate (salary (official salary) for each hour of night work).
At the same time, in a number of regions, in the remuneration systems introduced after 2005, the rates of increase in the payment for hours of night work of medical workers, previously established within the framework of regional tariff scales, were retained - 50%.
In this connection, it is proposed to establish a single general requirement for compensation payments in all regions for work at night in the amount of 50% of the official salary calculated per hour of work.
It is also proposed to include in the list of incentive payments a supplement for work in an ambulance in the amount of - 50%, in the same amount to establish extra charges to the hourly rates of consultant doctors (specialist doctors) attracted from other institutions; an allowance for medical specialists for medical care provided on an outpatient basis in the amount of 30% and an allowance for medical workers of feldsher-obstetric points (heads of feldsher-obstetric points, feldshers, obstetricians (midwives), nurses, including nursing nurses) for the provided medical care on an outpatient basis in the amount of 30%; allowances for the precinct: to district doctors - district therapists, district pediatricians, general practice doctors (family doctors), district nurses, district therapists, district pediatricians and nurses of general practitioners (family doctors) for medical care provided on an outpatient basis at a rate of 40%; bonus for work in mobile teams.
These payments are offered instead of previously paid within the framework of the national project "Health", as well as in exchange for payments for work experience or seniority.
In accordance with article 105 of the Labor Code of the Russian Federation, in those jobs where it is necessary due to the special nature of work, as well as in the production of work, the intensity of which is not the same during the working day (shift), the working day can be divided into parts so that the total duration of the working time did not exceed the established duration of the daily work.
In order to unify payments for the allowance for dividing the working day into parts, it is proposed to establish a single amount of the said allowance at a rate of 30%.
At present, in most regions, payments are made "bonus for work in rural areas" in the amount of 25%. It is envisaged to preserve it in the systems of remuneration of employees of institutions, since it is important for attracting qualified medical personnel to the village.
Incentive payments in the form of bonuses for work in hospitals for war veterans and bonuses for work in children's homes are established in the current remuneration systems of the regions. In connection with the social significance of the institutions, it is also envisaged to preserve the specified payment in the amount established in the existing systems of remuneration of labor in the regions.
The payment for mentoring evaluates the contribution of specialists to the accelerated development of practical skills of young specialists, as well as their professional adaptation, consolidation and development of professional skills among young specialists. Improving the efficiency of employment of graduates who have passed the accreditation of specialists, including those who have completed targeted training. In this connection, it is proposed to establish the specified mark-up at a rate of 15%.
It is proposed to establish the remuneration based on the results of work according to indicators and criteria at a minimum amount (10%) in order to exclude employers' abuse in the appointment of these payments and to establish the transparency of their calculation.
4 Conclusion
As it was determined, the PM differentiation, as well as the differentiation of the cost of a fixed set of consumer goods and services, is too low for use in the OSS, while the value of the coefficient of variation for the median wage is much higher, and at the same time, if this indicator is used in the OSS, with a significant decrease in the differentiation between the most the richest and poorest budgets will not experience the problems described above.
Thus, the most appropriate indicator, taking into account the existing resources of the federal budget, for use in order to take into account the economic differentiation of a constituent entity of the Russian Federation is the median salary of employees of organizations.
References
1. Allegretto, Sylvia, Arindrajit Dube, Michael Reich, and Ben Zipperer, *Credible Research Designs for Minimum Wage Studies* (Working paper, Institute for Research on Labor and Employment, UC Berkeley, 2013)
2. P. Bastos, N. Monteiro, Journal of Economics and Management Strategy, **20**(4), 957 (2011)
3. Belman, Dale and Paul Wolfson, *What Does the Minimum Wage Do?* (Kalamazoo, MI: W.E. Upjohn Institute for Employment Research, 2014)
4. Belser, Patrick and Uma Rani, *Minimum Wages and Inequality*, Janine Berg (Ed.) *Labour Markets, Institutions and Inequality: Building Just Societies in the 21st Century* (Edward Elgar Publishing, Cheltenham, UK, 2015)
5. V. Gimpelson, R. Kapelyushnikov, A. Lukyanova, Comparative Economic Studies, **52**(4), 611 (2010)
6. S. Kapelyuk, Economics of Transition, **23**(2), 389 (2015)
7. A. Lukiyanova, N. Vishnevskaya, The Decentralization of Minimum Wage Setting in Russia. Working papers by NRU Higher School of Economics. Series WP BRP "Economics/EC", **90** (2015)
8. A. Muravyev, Europe-Asia Studies, **66**(8), 1270 (2014)
|
The Punjab Pre-emption Act, 1913
Act I of 1913
Keyword(s):
Agricultural Land, Village Immovable Property, Urban Immovable Property, Member of Agricultural Tribe
DISCLAIMER: This document is being furnished to you for your information by PRS Legislative Research (PRS). The contents of this document have been obtained from sources PRS believes to be reliable. These contents have not been independently verified, and PRS makes no representation or warranty as to the accuracy, completeness or correctness. In some cases the Principal Act and/or Amendment Act may not be available. Principal Acts may or may not include subsequent amendments. For authoritative text, please contact the relevant state department concerned or refer to the latest government publication or the gazette notification. Any person using this material should take their own professional and legal advice before acting on any information contained in this document. PRS or any persons connected with it do not accept any liability arising from the use of this document. PRS or any persons connected with it shall not be in any way responsible for any loss, damage, or distress to any person on account of any action taken or not taken on the basis of this document.
THE PUNJAB PRE-EMPTION ACT, 1913
CONTENTS
CHAPTER I
Preliminary
Sections
1. Short title and local extent.
2. Repeal of certain enactments.
3. Definitions.
CHAPTER II
General Provisions
4. Right of pre-emption: application of.
5. No right of pre-emption in certain cases.
6. Exists in agricultural land and village immovable property.
7. Exists under certain conditions in urban immovable property.
8. State Government may exclude areas from pre-emption.
9. Exclusion of pre-emption in respect of certain alienations.
10. Party to alienation cannot claim pre-emption.
11. Sum deposited by pre-emptor not to be attached.
CHAPTER III
Persons in whom the right of pre-emption vests.
12. The law determining the right of pre-emption.
13. Joint right of pre-emption how exercised.
14. Limit of exercise of right in respect of land sold by member of an agricultural tribe.
15. Right of Pre-emption to vest in tenant.
16. Person in whom right of pre-emption vests in urban immovable property.
17. Exercise of right of pre-emption where several persons equally entitled.
18. Provisions of sections 15 and 17 applicable to foreclosures mutatis mutandis.
CHAPTER IV
PROCEDURE
SECTIONS
19. Notice to pre-emptors.
20. Notice by pre-emptor to vendor.
21. Suit for pre-emption.
21-A. When improvement of status of a vendor after institution of suit not to affect right of pre-emptor.
22. Plaintiff may be called on to make deposit or to file security.
23. Special conditions relating to sales of agricultural land.
24. Procedure on determination of the said issues.
25. Fixing of price for purposes of suit in case of sales.
26. Fixing of price for purposes of suit in case of foreclosure.
27. "Market value" how to be determined.
28. Concurrent hearing of suits.
28-A. Postponement of decision of pre-emption suits in certain cases.
29. Copy of decree to be sent to Deputy Commissioner; application for revision.
CHAPTER V
LIMITATION
30. Limitation.
31. Punjab Pre-emption (Amendment) Act, 1960, to apply to all suits.
THE PUNJAB PRE-EMPTION ACT, 1913
PUNJAB ACT I OF 1913
[4th March, 1913]
| Year | No. | Short title | Whether repealed or otherwise affected by legislation |
|------|-----|-------------|------------------------------------------------------|
| 1913 | 1 | The Punjab Pre-emption Act, 1913 | Amended by Punjab Act 2 of 1928<sup>2</sup>
Amended, Government of India (Adaptation of Indian Laws) Order, 1937.
Amended by Punjab Act 1 of 1944,
Amended by the Indian Independence (Adaptation of Bengal and Punjab Acts) Order, 1948 (GGO. 40)
Amended by Adaptation of Laws Order, 1950.
Amended by Adaptation of Laws (Third Amendment) Order of 1951<sup>3</sup> Extended to the territories which, immediately before the 1st November, 1956, were comprised in the State of Patiala and East Punjab States Union by Punjab Act No. 23 of 1957<sup>4</sup>
Amended by Punjab Act 10 of 1960<sup>5</sup>
Amended by Punjab Act 13 of 1964<sup>6</sup>
Haryana Adaptation of Laws (State and Concurrent Subjects) Order, 1968.<sup>7</sup>
Amended by Haryana Act 10 of 1995<sup>8</sup> |
An Act to amend the Law relating to Pre-emption in [Haryana.]
Whereas, it is expedient to amend the Law relating to pre-emption in [Haryana.]. It is hereby enacted as follows:
1. For Statement of Objects and Reasons, see Punjab Gazette, 1912, Part V, page 189.
2. For Statement of Objects and Reasons, see Punjab Gazette, 1928, Part V, page 189. It came into force on 1st December, 1928,—vide Punjab Government notification No. 5489, dated 16th November, 1928.
3. For Statement of Objects and Reasons, see Punjab Gazette, (Extraordinary), 1957, page 689.
4. For Statement of Objects and Reasons, see Punjab Gazette, (Extraordinary), dated 27th June, 1959, page 993.
5. For Statement of Objects and Reasons, see Punjab Gazette, (Extraordinary), 1964, page 680.
6. For Statement of Objects and Reasons, see Haryana Gazette, (Extraordinary), dated 29th October, 1968.
7. Substituted for the word "Punjab" by the Haryana Adaptation of Laws Order, 1968.
8. For Statement of Objects and Reasons, see Haryana Government Gazette, (Extraordinary), dated the 15-3-1995 page 400.
CHAPTER I
PRELIMINARY
1. (1) This Act may be called the Punjab Pre-emption Act, 1913.
(2) It extends to ¹[Haryana].
2. (1) The Punjab Pre-emption Act, 1905, is hereby repealed.
(2) Nothing in this Act shall affect the provisions of Order 21, rule 88, of the Code of Civil Procedure, 1908, or sections 53 and 54 of the Punjab Tenancy Act, 1887.
(3) Notwithstanding anything to the contrary in section 4 of the Punjab General Clauses Act, 1898, the Courts shall in all suits, appeals and proceedings pending at the commencement of this Act give effect, so far as may be, to the procedure prescribed by this Act.
3. In this Act, unless a different intention appears from the subject or context,—
(1) ‘agricultural land’ shall mean land as defined in the ²Punjab Alienation of Land Act, 1900, (as amended by Act 1 of 1907), but shall not include the right of a mortgagee, whether usufructuary or not, in such land;
(2) ‘village immovable property’ shall mean immovable property within the limits of a village, other than agricultural land;
(3) ‘urban immovable property’ shall mean immovable property within the limits of a town, other than agricultural land. For the purposes of this Act a specified place shall be deemed to be a town (a) if so declared by the ³[State] Government by notification in the Official Gazette, or (b) if so found by the Courts;
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1. Substituted for the word “Punjab” by Haryana Adaptation of Laws Order, 1968.
2. Repealed by the Adaptation of Laws (Third Amendment) Order, 1951.
3. Substituted for the word “Provincial” by the Adaptation of Laws Order, 1950.
(4) 'member of an agricultural tribe' and group of agricultural tribes' shall have the meanings assigned to them, respectively, under the Punjab Alienation of Land Act, 1900.
(5) Sale shall not include —
(a) a sale in execution of a decree for money or of an order of a Civil, Criminal or Revenue Court or of a Revenue Officer;
(b) the creation of an occupancy tenancy by a landlord, whether for consideration or otherwise;
(6) any expression which is defined by section 3 of the Punjab Land Revenue Act, 1887, shall, subject to the provisions of this Act, have the meaning assigned to it in the said section.
CHAPTER II
GENERAL PROVISIONS
4. The right of pre-emption shall mean the right of a person to acquire agricultural land or village immovable property or urban immovable property in preference to other persons, and it arises in respect of such land only in the case of sales and in respect of such property only in the case of sales or of foreclosures of the right to redeem such property.
Nothing in this section shall prevent a Court from holding that an alienation purporting to be other than a sale is in effect a sale.
2[5. No right of pre-emption shall exist in respect of —
(a) the sale of or foreclosure of a right to redeem—
(i) a shop, serai or katra;
(ii) a dharmsala, mosque or other similar building; or
(b) the sale of agricultural land being waste land reclaimed by the vendee.
1. Repealed by the Adaptation of Laws (Third Amendment) Order, 1951.
2. Sections 5 and 6 substituted by Punjab Act 10 of 1960, sections 2 and 3.
Explanation.— For the purposes of this section the expression "waste land" means land recorded as banjar of any kind in revenue records and such ghair mumkin lands as are reclaimable.
6. A right of pre-emption shall exist in respect of village immovable property, and, subject to the provisions of clause (b) of section 5, in respect of agricultural land, but every such right shall be subject to all the provisions and limitations in this Act contained.]
7. Subject to the provisions of section 5 a right of pre-emption shall exist in respect of urban immovable property in any town or sub-division of a town when a custom of pre-emption is proved to have been in existence in such town or sub-division at the time of the commencement of this Act, and not otherwise.
8. (1) Except as may otherwise be declared in the case of any agricultural land in a notification by the [State] Government, no right of pre-emption shall exist within any cantonment.
(2) The [State] Government may declare by notification that in any local area or with respect to any land or property or class of land or property or with respect to any sale or class of sales, no right of pre-emption or only such limited right as that the [State] Government may specify, shall exist.
9. Notwithstanding anything in this Act, a right of pre-emption shall not exist in respect of any sale made by or to [Government] or by or to any local authority or to any company under the provisions of part VII of the Land Acquisition Act, 1894, or in respect of any sale sanctioned by the Deputy Commissioner under section 3 (2) of the Punjab Alienation of Land Act, 1900.
10. In the case of a sale by joint-owners, no party to such sale shall be permitted to claim a right of pre-emption.
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1. Substituted for the word "Provincial" by the Adaptation of Laws Order, 1950.
2. Substituted for the word "Crown" by the Adaptation of Laws Order, 1950.
3. Repealed by the Adaptation of Laws (Third Amendment) Order, 1951.
11. No sum deposited in or paid into Court by a pre-emptor under the provisions of this Act or of the Code of Civil Procedure shall, while it is in the custody of the Court, be liable to attachment in execution of a decree, or order of a Civil, Criminal or Revenue Court, or of a Revenue Officer.
CHAPTER III
PERSONS IN WHOM THE RIGHT OF PRE-EMPTION VESTS
12. In respect of all sales and foreclosures not completed before the commencement of this Act right of pre-emption shall be determined by the provisions of this Act; but in respect of all sales and foreclosures completed before the commencement of this Act the right of pre-emption shall be determined by the law in force at the time of such completion.
13. Whenever according to the provisions of this Act a right of pre-emption vests in any class or group of persons the right may be exercised by all the members of such class or group jointly, and, if not exercised by them all jointly by any two or more of them jointly, and, if not exercised by any two or more of them jointly, by them severally.
14. No person other than a person who was at the date of sale a member of an agricultural tribe in the same group of agricultural tribes as the vendor shall have a right of pre-emption in respect of agricultural land sold by a member of an agricultural tribe.
2[15. The right of pre-emption in respect of sale of agricultural land and village immovable property shall vest in the tenant who holds under tenancy of the vendor or vendors the land or property sold or a part thereof.]
16. The right of pre-emption in respect of urban immovable property shall vest in the tenant who holds under tenancy of the vendor the property sold or a part thereof.
17. Where several pre-emptors are found by the Court to be equally entitled to the right of pre-emption, the said right shall be exercised—
1. Sections 15 and 16 substituted by Punjab Act 10 of 1960, section 4.
2. Substituted by Haryana Act 10 of 1995.
(a) if they claim as co-sharers, in proportion among themselves to the shares they already hold in the land or property;
(b) if they claim as heirs, whether co-sharers or not, in proportion among themselves to the shares in which but for such sale they would inherit the land or property in the event of the vendor's decease without other heirs;
(c) [Omitted]
(d) [Omitted]
(e) in any other case, by such pre-emptors in equal shares.
18. In the case of a foreclosure of the right to redeem village immovable property, the provisions of sections 15 and 17 and in the case of a foreclosures of the right to redeem urban immovable property, the provisions of sections 16 and 17 shall be construed by the Court with such alterations, not affecting the substance, as may be necessary or proper to adopt them to the matter before the Court.
CHAPTER IV
PROCEDURE
19. When any person proposes to sell any agricultural land or village immovable property or urban immovable property or to foreclose the right to redeem any village immovable property or urban immovable property, in respect of which any persons have a right of pre-emption, he may give notice to all such persons of the price at which he is willing to sell such land or property or of the amount due in respect of the mortgage, as the case may be.
Such notice shall be given through any Court within the local limits of whose jurisdiction such land or property or any part thereof is situate, and shall be deemed sufficiently given if it be stuck up on the chaupal or other public place of the village, town or place in which the land or property is situate.
20. The right of pre-emption of any person shall be extinguished unless such person shall, within the period of three months from the date on which the notice under section 19 is duly given or within such further period, not exceeding one year from such date, as the Court may allow, present to the Court a notice for service on the vendor or mortgagee of his intention to enforce his right of pre-emption. Such notice shall state whether the pre-emptor accepts the price or amount due on the footing of the mortgage as correct or not, and if not, what sum he is willing to pay.
When the Court is satisfied that the said notice has been duly
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1. Clauses (c) and (d) omitted by Punjab Act 10 of 1960, section 5.
served on the vendor or mortgagee, the proceedings shall be filed.
21. Any person entitled to a right of pre-emption may, when the sale or foreclosure has been completed, bring a suit to enforce that right.
1[21-A. Any improvement, otherwise than through inheritance or succession, made, in the status of a vendee defendant after the institution of a suit for pre-emption shall not affect the right of the pre-emptor plaintiff in such suit.]
22. (1) In every suit for pre-emption the Court shall at, or at any time before, the settlement of issues, require the plaintiff to deposit in Court such sum as does not, in the opinion of the Court, exceed one-fifth of the probable value of the land or property, or require the plaintiff to give security to the satisfaction of the Court for the payment, if required, of a sum not exceeding such probable value within such time as the Court may fix in such order.
(2) In any appeal the Appellate Court may at any time exercise the powers conferred on a Court under sub-section (1).
(3) Every sum deposited or secured under sub-section (1) or (2) shall be available for the discharge of costs.
(4) If the plaintiff fails within the time fixed by the Court or within such further time as the Court may allow to make the deposit or furnish the security mentioned in sub-section (1) or (2) his plaint shall be rejected or his appeal dismissed, as the case may be.
(5) (a) If any sum so deposited is withdrawn by the plaintiff, the suit or appeal shall be dismissed.
(b) If any security so furnished for any cause becomes void or insufficient, the Court shall order the plaintiff to furnish fresh security or to increase the security, as the case may be, within a time to be fixed by the Court, and if the plaintiff fails to comply with such order, the suit or appeal shall be dismissed.
(6) The estimate of the probable value made for the purpose of sub-section (1) shall not affect any decision subsequently come to
1. Added by Punjab Act I of 1944, section 2. It applies to all suits or appeals pending on, or instituted after, the commencement of this Act.
as to what is the market value of the land or property.
23. No decree shall be granted in a suit for pre-emption in respect of the sale of agricultural land until, the plaintiff has satisfied the Court:
(a) that the sale in respect of which pre-emption is claimed is not in contravention of the Punjab Alienation of Land Act, 1900; and
(b) that he is not debarred by the provisions of section 14 of this Act from exercising the right of pre-emption.
24. In a suit for pre-emption in respect of a sale of agricultural land, if the Court finds that the sale is in contravention of the Punjab Alienation of Land Act, 1900, the Court shall dismiss the suit.
25. (1) If in the case of a sale the parties are not agreed as to the price at which the pre-emptor shall exercise his right of pre-emption, the Court shall determine whether the price at which the sale purports to have taken place has been fixed in good faith or paid, and if it finds, that the price was not so fixed or paid, it shall fix as the price for the purposes of the suit the market value of the land or property.
(2) If the Court finds that the price was fixed in good faith or paid, it shall fix such price as the price for the purposes of the suit:
Provided that when the price at which the sale purports to have taken place represents entirely or mainly a debt greatly exceeding in amount the market value of the property, the Court shall fix the market value as the price of the land or property for the purposes of the suit, and may put the vendee to his option either to accept such value as the full equivalent of the consideration for the original sale or to have the said sale cancelled, and the vendor and vendee restored to their original position.
26. If in case of a foreclosure the parties are not agreed as to the amount at which the pre-emptor shall exercise his right of pre-emption, the Court shall determine whether the amount claimed by the mortgagee is due under the terms of the mortgage,
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1. Repealed by the Adaptation of Laws (Third Amendment) Order, 1951.
and whether it is claimed in good faith. If it finds that the amount is so due and is claimed in good faith, it shall fix such amount as the price for the purposes of the suit; but if it finds that the amount is not so due, or, though due, is not claimed in good faith, it shall fix as the price for the purposes of the suit the market value of the property.
27. For the purpose of determining the market value, the Court may consider the following among other matters as evidence of such value—
(a) the price or value actually received or to be received by the vendor from the vendee or the amount really due on the footing of the mortgage, as the case may be;
(b) the amount of interest included in such price, value or amount;
(c) the estimated amount of the average annual net assets of the land or property;
(d) the land revenue assessed upon the land or property;
(e) the value of similar land or property in the neighbourhood;
(f) the value of the land or property as shown by previous sales or mortgages.
28. When more suits than one arising out of the same sale or foreclosure are pending, the plaintiff in each suit shall be joined as defendant in each of the other suit, and in deciding the suits the Court shall in each decree state the order in which each claimant is entitled to exercise his right.
1[28-A. (1) If in any suit for pre-emption any person bases a claim or plea on a right of pre-emption derived from the ownership of agricultural land or other immovable property, and the title to such land or property is liable to be defeated by the enforcement of a right of pre-emption with respect to it, the court shall not decide the claim or plea until the period of limitation for the enforcement of such right of pre-emption has expired and the suits for pre-emption (if any) instituted with respect to the land or property during the period have been finally decided.
(2) If the ownership of agricultural land or other immovable property is lost by the enforcement of a right of pre-emption, the Court shall disallow the claim or plea based upon the right of the pre-emption derived therefrom.]
1. Inserted by Punjab Act 3 of 1928, section 2.
29. (1) The Court shall send to the Deputy Commissioner a copy of every original decree granting pre-emption other than a decree granting pre-emption in respect of a building or site of a building in a town or sub-division of a town, and the Deputy Commissioner may, within two months from the date of the receipt of such copy, apply to the Court to which the appeal in the pre-emption suit would lie, or if no appeal lies, to the Divisional Court for revision of the decree on the ground that the decision of the Court of first instance is contrary to the provisions of the ¹Punjab Alienation of Land Act, 1900.
(2) No stamp shall be required upon such application, and the provision of the ²Code of Civil Procedure as regards appeals shall apply, as far as may be, to the procedure of the Appellate Court on receipt of such application.
(3) No appearance by or on behalf of the Deputy Commissioner shall be deemed necessary for the disposal of the application.
CHAPTER V
LIMITATION
30. In any case not provided for by article 10 of the ³Second Schedule of the Indian Limitation Act, 1908, the period of limitation in a suit to enforce a right of pre-emption under the provisions of this Act shall, notwithstanding anything in article 120 of the said schedule, be one year —
(1) in the case of a sale of agricultural land or of village immovable property;
from the date of the attestation (if any) of the sale by a Revenue Officer having jurisdiction in the register of mutations maintained under the Punjab Land Revenue Act, 1887; or
from the date of which the vendee takes under the sale physical possession of any part of such land or property;
whichever date shall be the earlier;
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1. Repealed by the Adaptation of Laws (Third Amendment) Order, 1951.
2. Act 5 of 1908.
3. See now article 97 of the schedule to the Limitation Act, 1963 (Act 36 of 1963).
(2) in the case of a foreclosure of the right to redeem village immovable property or urban immovable property; from the date on which the title of the mortgagee to the property becomes absolute;
(3) in the case of sale of urban immovable property, from the date on which the vendee takes under the sale physical possession of any part of the property.
1[31. No court shall pass a decree in a suit for pre-emption whether instituted before or after the commencement of the Punjab Pre-emption (Amendment) Act, 1960, which is inconsistent with the provisions of the said Act.]
1. New section 31, added by Punjab Act 10 of 1960, section 6.
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The Punjab Restitution of Mortgaged Lands Act, 1938
Act 4 of 1938
Keyword(s):
Land
DISCLAIMER: This document is being furnished to you for your information by PRS Legislative Research (PRS). The contents of this document have been obtained from sources PRS believes to be reliable. These contents have not been independently verified, and PRS makes no representation or warranty as to the accuracy, completeness or correctness. In some cases the Principal Act and/or Amendment Act may not be available. Principal Acts may or may not include subsequent amendments. For authoritative text, please contact the relevant state department concerned or refer to the latest government publication or the gazette notification. Any person using this material should take their own professional and legal advice before acting on any information contained in this document. PRS or any persons connected with it do not accept any liability arising from the use of this document. PRS or any persons connected with it shall not be in any way responsible for any loss, damage, or distress to any person on account of any action taken or not taken on the basis of this document.
CONTENTS
Preamble
Sections
1. Short title, extent and commencement.
2. Application of Act to subsisting mortgages effected prior to 8th June, 1901.
3. Definitions.
4. Petition for restitution.
5. Procedure for dealing with petitions for restitution.
6. Petition when to be dismissed.
7. Power of the Collector to declare and enforce orders in favour of mortgagor and to grant compensation to mortgagee in certain cases.
8. Effect of order of restitution, when compensation is payable.
9. Power of the Collector to eject mortgagee.
10. Appeals.
10-A. Revision.
11. Limitation of appeal.
12. Jurisdiction of Civil Courts barred.
13. Rule-making power.
THE PUNJAB RESTITUTION OF MORTGAGED LANDS ACT, 1938
PUNJAB ACT NO. 4 OF 1938
[Received the assent of His Excellency the Governor on the 1st September, 1938, and was first published in the Punjab Gazette, Extraordinary, of the 6th September, 1938].
| Year | No. | Short title | Whether repealed or otherwise affected by legislation |
|------|-----|-------------|-----------------------------------------------------|
| 1938 | 4 | The Punjab Restitution of Mortgaged Lands Act, 1938 | Amended by Punjab Act 1 of 1943<sup>2</sup>. Amended by the Indian Independence (Adaptation of Bengal and Punjab Acts) Order, 1948 (G.G.O. 40). Amended by the Adaptation of Laws Order, 1950. Amended by the Punjab Act 18 of 1958<sup>4</sup>. Amended by the Haryana Adaptation of Laws Order, 1968<sup>5</sup>. |
An Act to provide for the restitution of lands on which a mortgage subsists, which was effected prior to 8th June, 1901.
WHEREAS it is expedient to provide for the restitution of certain mortgaged lands in the manner hereinafter appearing, it is enacted as follows:
1. (1) This Act shall be called the Punjab Restitution of Mortgaged Lands Act, 1938.
(2) It shall apply to <sup>3</sup>[Haryana].
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1. For Statement of Objects and Reasons, see Punjab Government Gazette (Extraordinary), 1938, page 89; for the Select Committee's report see ibid, 1938, Part V, pages 151-161; and for proceedings in Assembly, see Punjab Legislative Assembly Debates, Volume V, pages 114-157, 585-590, 904-940, 1336-1405, 1416-1463 and 1493-1519.
2. For Statement of Objects and Reasons, see Punjab Government Gazette, Part I, 1942, page 1421; and for proceedings in Assembly, see Punjab legislative Assembly Debates, Volume XXI, pages 617-18.
3. The word "Punjab" substituted by the word "Haryana" by the Adaptation of Laws Order, 1968.
4. For Statement of Objects and Reasons, see Punjab Government Gazette (Extra.), dated the 15th May, 1958.
5. See Haryana Government Gazette (Extra.), dated the 29th October, 1968.
(3) It shall come into force [in the principal territories] on such date as the [State] Government may by notification direct [and in the transferred territories on the 15th May, 1968].
2. Notwithstanding anything contained in any enactment for the time being in force, this Act shall apply to any subsisting mortgages of land, which were effected prior to 8th June, 1901, [in the principal territories and prior to 17th February, 1915, in the transferred territories.].
Explanation. — A mortgage shall be deemed to subsist notwithstanding a decree or order for its redemption having been passed provided redemption has not taken place before the commencement of this Act. [or in the case of a mortgage in the transferred territories before the date on which the Act is extended to those territories.]
3. (1) The expression "land" means land which is not occupied as the site of any building in a town or village and is occupied or let for agricultural purposes or for purposes subservient to agriculture or for pasture, and includes—
(a) the sites of building and other structures on such land;
(b) a share in the profits of an estate or holding;
(c) any dues or any fixed percentage of the land revenue payable by an inferior land-owner to a superior land-owner;
(d) a right to receive rent;
(e) any right to water enjoyed by the owner or occupier of land as such;
(f) any right of occupancy; and
(g) all trees standing on such land.
(2) The expression "Collector" means the Collector of the district in which the mortgaged property or any part thereof is situated, and shall include an Assistant Collector of the 1st grade specially empowered by the [State] Government to perform the duties of the Collector for the purposes of this Act.
1. Substituted for the word "Provincial" by the Adaptation of Laws Order, 1950.
2. It came into force on the 15th May, 1939,-vide Punjab Government Notification No. 2653-R, dated 12th May, 1939.
3. Inserted by the Adaptation of Laws Order, 1968.
4. Ibid.
The expression "Commissioner" means the Commissioner of the division in which the mortgaged property or any part thereof is situated, and shall include any officer specially empowered by the [State] Government to perform the duties of a Commissioner for the purposes of this Act.
(3) "Prescribed" means prescribed by rules made under this Act.
(4) "Mortgagor" or "mortgagee" respectively shall include the assignee and the representative-in-interest of such "mortgagor" or "mortgagee" as the case may be.
4. A mortgagor to whose land the provisions of this Act apply, may at any time present a petition to the Collector praying for restitution of possession of the land mortgaged. The petition shall be duly verified in the manner prescribed for such petitions.
5. On receipt of such petition the Collector, after such enquiries as may be prescribed, shall record an order in writing with reasons standing whether the mortgage in question is one to which that Act applies.
6. If the Collector finds that the mortgage is one to which this Act does not apply, he shall dismiss the petition.
7. (1) If the Collector finds that the mortgage is one to which this Act applies he shall, notwithstanding anything contained in any other enactment for the time being in force in cases where he finds that the value of the benefits enjoyed by the mortgagee, while in possession, equal or exceed twice the amount of the principal sum originally advanced under the mortgage, order in writing:
(a) that the mortgage be extinguished, and
(b) where the mortgagee is still in possession, that the mortgagor be put into possession of the mortgaged land as against the mortgagee and that the title deeds, if any, be restored to the mortgagor.
(2) If in cases to which this Act applies, the Collector finds that, the value of the benefits enjoyed by the mortgagee while in possession is less than twice the amount of the principal sum originally advanced and some payment is still due to the mortgagee according to the terms of the mortgage, the Collector shall, by order in writing and notwithstanding anything contained in any other enactment for the time being in force
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1. Substituted for the word "Provincial" by the Adaptation of Laws Order, 1950.
2. Inserted by Punjab Act I of 1943, section 2.
direct that the land be restored to the mortgagor and he be put into possession subject, however, to the payment of compensation by the mortgagor to the mortgagee at rates not exceeding the following scale:—
(i) thirty times the land revenue assessed on the land at the time when it was mortgaged if the mortgagee has been in possession for a period exceeding thirty years but not exceeding forty years;
(ii) fifteen times the land revenue assessed on the land at the time when it was mortgaged if the mortgagee has been in possession for a period exceeding forty years but not exceeding fifty years;
(iii) five times the land revenue assessed on the land at the time when it was mortgaged if the mortgagee has been in possession for a period exceeding fifty years.
Explanation.—The Collector shall for the purposes of this section compute the period of possession from the date on which the mortgagee entered into possession, to the date of the presentation of the petition under section 4.
8. If the Collector finds that any sum is due to the mortgagee by way of compensation under sub-section (2) of section 7, he shall require the mortgagor to deposit the amount, in such manner as shall be prescribed; and on deposit of the amount, he shall declare the rights of the mortgagee extinguished and require the mortgagee to deliver possession of the land to the mortgagor together with all documents of title relating to the land.
9. The Collector may after declaring the rights of the mortgagee extinguished, eject the mortgagee and order delivery of possession of the mortgaged land to the mortgagor. In case of resistance the Collector may exercise all the powers conferred on a civil court by rules 97 and 98 of Order XXI of the Code of Civil Procedure.
10. An appeal shall lie from an original or appellate order made under this Act, as follows, namely:
(a) to the Commissioner when the order is made by a Collector;
1. Substituted for the old section by Punjab Act I of 1943, section 3.
(b) to the Financial Commissioner when the order is made by a Commissioner:
Provided that when an original order is confirmed on first appeal a further appeal shall not lie.]
10-A. The Financial Commissioner may, at any time, of his own motion or on application made, call for the record of any case pending or decided under this Act and may in any such case pass such order as he thinks fit:
Provided that he shall not under this section pass any order reversing or modifying any proceedings or order without giving the person concerned an opportunity of being heard.]
11. (1) The period of limitation for an appeal under the last foregoing section shall run from the date of the order appealed against, and shall be as follows:—
(a) when the appeal lies to the Commissioner—Sixty days;
(b) when the appeal lies to the Financial Commissioner—Ninety days.
(2) In computing the period of limitation for an appeal under this section the period requisite for obtaining copies of the order appealed against shall be excluded.
(3) The provisions of section 5 of the Indian Limitation Act shall apply to all appeals under this Act.
12. No civil court shall have jurisdiction to entertain any claim to enforce any right under a mortgage declared extinguished under this Act, or to question the validity of any proceedings under this Act.
13. (1) The [State] Government may, subject to the condition of previous publication, make rules for the purpose of giving effect to the provisions of this Act.
(2) In particular and without prejudice to the generality of the foregoing power, the [State] Government shall make rules regulating or
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1. Added by Punjab Act 1 of 1943, section 4.
2. Substituted for the word "Provincial" by the Adaptation of Laws Order, 1950.
determining the following matters, namely:
(a) the presentation and verification of petitions under section 4 of this Act;
(b) the procedure by which the Collector shall deal with such petitions under sections 5, 6 and 7 of the Act and assess compensation, if any;
(c) the procedure and principles by which the Collector shall assess the amount due under the mortgage, and the value of the benefits accruing to the mortgagee while in possession;
(d) the procedure for making the deposit prescribed by section 8 of this Act; and
(e) the procedure for enforcing ejectment of the mortgagee and delivery of possession to the mortgagor under section 9 of this Act.
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Prenatal Exposure to Maternal Cigarette Smoking, Amygdala Volume, and Fat Intake in Adolescence
Amirreza Haghighi, MD; Deborah H. Schwartz, MA; Michal Abrahamowicz, PhD; Gabriel T. Leonard, PhD; Michel Perron, PhD; Louis Richer, PhD; Suzanne Veillette, PhD; Daniel Gaudet, MD, PhD; Tomáš Paus, MD, PhD; Zdenka Pausova, MD
Context: Prenatal exposure to maternal cigarette smoking is a well-established risk factor for obesity, but the underlying mechanisms are not known. Preference for fatty foods, regulated in part by the brain reward system, may contribute to the development of obesity.
Objective: To examine whether prenatal exposure to maternal cigarette smoking is associated with enhanced fat intake and risk for obesity, and whether these associations may be related to subtle structural variations in brain regions involved in reward processing.
Design: Cross-sectional study of a population-based cohort.
Setting: The Saguenay Youth Study, Quebec, Canada.
Participants: A total of 378 adolescents (aged 13 to 19 years; Tanner stage 4 and 5 of sexual maturation), half of whom were exposed prenatally to maternal cigarette smoking (mean [SD], 11.1 [6.8] cigarettes/d).
Main Outcome Measures: Fat intake was assessed with a 24-hour food recall (percentage of energy intake consumed as fat). Body adiposity was measured with anthropometry and multifrequency bioimpedance. Volumes of key brain structures involved in reward processing, namely the amygdala, nucleus accumbens, and orbitofrontal cortex, were measured with magnetic resonance imaging.
Results: Exposed vs nonexposed subjects exhibited a higher total body fat (by approximately 1.7 kg; $P = .009$) and fat intake (by 2.7%; $P = .001$). They also exhibited a lower volume of the amygdala (by 95 mm$^3$; $P < .001$) but not of the other 2 brain structures. Consistent with its possible role in limiting fat intake, amygdala volume correlated inversely with fat intake ($r = -0.15; P = .006$).
Conclusions: Prenatal exposure to maternal cigarette smoking may promote obesity by enhancing dietary preference for fat, and this effect may be mediated in part through subtle structural variations in the amygdala.
JAMA Psychiatry. 2013;70(1):98-105.
Published online September 3, 2012.
doi:10.1001/archgenpsychiatry.2012.1101
The growing prevalence of obesity is a major public health concern in most industrialized countries. Prenatal exposure to maternal cigarette smoking (PEMCS) is a likely contributor to this problem, as PEMCS is a well-established risk factor for obesity, and a significant proportion of the current population has been exposed in utero to maternal cigarette smoking. For example, in Canada and the United States, close to 40% of pregnant women smoked in the 1960s and 1970s, and 10% of pregnant women still smoke at present (eFigure 1, http://www.jamapsych.com.).
The mechanisms of PEMCS-related risk for obesity are not known. Maternal smoking may affect the fetus in several ways:
1. Inhaled nicotine induces vasoconstriction of the uteroplacental vasculature that leads to uteroplacental underperfusion and, in turn, decreased flow of nutrients and oxygen to the fetus.
2. Increased levels of carboxyhemoglobin reduce tissue oxygenation of the fetus.
3. Nicotine suppresses the mother’s appetite, leading to poor nutrition of the mother and fetus.
4. Nicotine causes alterations in the cellular growth and activity of the central and peripheral nervous systems; it passes easily through the placenta to the fetal circulation and stimulates, with inappropriate timing and intensity, the nicotinic acetylcholine receptors expressed in the developing central nervous system.
Obesity develops as a result of a chronic energy imbalance in which energy intake...
exceeds energy expenditure. Excess dietary fat may contribute to this imbalance and development of obesity, as fat compared with other macronutrients (ie, carbohydrates and protein) is of higher energy density and efficiency. Dietary preference for fat is a complex behavior regulated by (1) homeostatic mechanisms involving brain structures such as the brainstem and hypothalamus, which serve to maintain energy balance, and (2) reward-related mechanisms involving brain structures such as the amygdala, nucleus accumbens, and orbitofrontal cortex (OFC), which process the hedonic properties of food independently of the body’s energy status.
The latter structures also process the hedonic properties of drugs of abuse; in this context, it is of note that PEMCS has been associated with structural changes in the brain reward system and an increased rate of experimentation with drugs of abuse in childhood, adolescence, and adulthood.
We have shown previously that PEMCS enhances accelerated weight gain during late puberty, increasing both whole-body and intra-abdominal adiposity. The aim of our study was to investigate whether this PEMCS-related risk for obesity is associated with enhanced dietary intake of fat and with structural variations in brain regions involved in processing rewards. The study was conducted in a population-based sample of 378 adolescents studied in late puberty in whom fat intake was assessed with a 24-hour recall performed by a qualified nutritionist, and volumetric measurements of the key structures of the brain reward system, namely the amygdala, nucleus accumbens, and OFC, were made with magnetic resonance imaging.
METHODS
PARTICIPANTS
We studied 378 adolescents aged 13 to 19 years who were recruited through regional high schools from the genetic founder population living in the Saguenay Lac St. Jean region of the Canadian province of Quebec, as part of the ongoing Saguenay Youth Study. One of the hallmarks of puberty is an accelerated weight gain that occurs in most boys and girls at Tanner stages 4 and 5 of pubertal re-development. Given our previous findings of an association between PEMCS and obesity during late puberty (Tanner stages 4 and 5) but not early (Tanner stages 2 and 3) puberty, only adolescents at stages 4 and 5 were examined in the present study.
Adolescents exposed (n=180) and nonexposed (n=198) prenatally to maternal cigarette smoking were matched at recruitment by maternal education and participant’s school attended to minimize the potentially confounding influence of socioeconomic status (SES). Being exposed was defined as having a mother who smoked more than 1 cigarette per day during the second trimester of pregnancy and being nonexposed was defined as having a mother who did not smoke 1 year before (and throughout) the pregnancy. With these selection criteria, all mothers of exposed participants reported smoking throughout all 3 trimesters of pregnancy. The information on maternal cigarette smoking during pregnancy was ascertained from the mother using a structured telephone interview at the time of our study and was subsequently validated against medical records from the time of pregnancy in a subset of 260 adolescents; Kappa statistics with a mean [SD] value of 0.69 [0.04] indicated a good strength of agreement in this subset (good agreement, >0.6 to 0.8).
The main exclusion criteria were (1) premature birth (<35 weeks) or detached placenta, (2) maternal alcohol abuse during pregnancy, (3) positive medical history of the mother including diabetes mellitus, hypertension, heart disease requiring surgery or sustained medication, and (4) contraindications of magnetic resonance imaging. Additional details of recruitment have been described elsewhere. Written consent of the parents and assent of the adolescents were obtained. The research ethics committee of the Chicoutimi Hospital approved the study.
OUTCOMES AND POTENTIAL CONFOUNDERS
Twenty-four-hour food recall was used to obtain information on the foods and drinks consumed during the past 24 hours in a structured interview conducted in person by a trained nutritionist on a Saturday during a hospital session of our protocol. A 24-hour food recall is a widely established method of assessing diet used, for example, in the US National Health and Nutrition Examination Surveys, the only nationally representative dietary survey in the United States. The obtained information on the foods and drinks consumed during the past 24 hours was then analyzed with the recipe file to obtain energy and macronutrients (ie, fat, carbohydrates, and protein) intake. This instrument has been validated for Quebec youth. The proportions of energy consumed in the form of fat, carbohydrates, and protein, as well as total energy intake were calculated. In addition, the 24-hour food recall was complemented with a questionnaire related to 6 questions about their eating habits and fruit/vegetable consumption (in the last 7 days); these questions were selected from the Santé Québec Nutrition Survey of Quebec Youth.
ANTHROPOMETRY AND MULTIFREQUENCY BIOIMPEDANCE
Weight (0.1-kg precision) and height (1-mm precision) were measured. Total body fat was assessed using multifrequency bioimpedance analysis (Xitron Technologies), as reported previously. Adolescents were asked to abstain from caffeine, alcohol, and vigorous activity 24 hours before the measurement, which was made after a 20-minute stabilization period during which the participants rested in a supine position.
MAGNETIC RESONANCE IMAGING OF THE BRAIN
Magnetic resonance T1-weighted images (1-mm isotropic) of the brain were acquired on a Phillips 1.5-T superconducting magnet (Gyroscan NT; Philips Healthcare). The details of magnetic resonance imaging data collection were reported previously. Volumes of the whole brain and of the right and left amygdala, nucleus accumbens, and OFC were obtained with FreeSurfer version 5 (FreeSurfer). Briefly, FreeSurfer is a collection of image-analysis algorithms that assigns automatically anatomical labels to each voxel of the magnetic resonance volume; this is achieved by combining probabilistic information about the spatial location of a structure in the brain space with hierarchical relationships between adjacent structures. In this manner, we obtained the volumes of subcortical structures examined here, namely the left and right amygdala and the left and right nucleus accumbens. In addition, FreeSurfer consists of a set of automated tools for recovering the geometry and topology of the pial surface and the gray/white interface of the left and right hemispheres. The total surface area of a particular cortical region can be estimated as a sum of vertiTable 1. Basic Characteristics of Adolescents Nonexposed and Exposed Prenatally to Maternal Cigarette Smoking
| Characteristic | Mean (SD) | | |
|---------------------------------|--------------------|-------|-------|
| | Nonexposed | Exposed| |
| Current | | | |
| Sex, No. | | | |
| Males | 71 | 61 | .69 |
| Females | 127 | 119 | |
| Age, y | 15.6 (1.8) | 15.0 (1.7) | .19 |
| Height, cm | 165.1 (8.7) | 164.7 (8.2) | .60 |
| Tanner puberty stage, No. | | | |
| 4 | 149 | 123 | .13 |
| 5 | 49 | 57 | |
| Physical activity, No. of sessions/last 7 d | 3.8 (2.1) | 3.6 (2.3) | .34 |
| Family income, Can$Y | 55 644 (22 325) | 52 017 (24 214) | .13 |
| Parturition | | | |
| Gestation length, wk | 39.1 (1.5) | 39.3 (1.4) | .29 |
| Birth weight, g | 3503 (453) | 3202 (464) | <.001 |
| Breastfeeding length, wk | 9.4 (11.9) | 4.9 (9.0) | <.001 |
Abbreviation: Can$, Canadian dollar.
aNonadjusted means (SD) and proportions are shown for individuals exposed and nonexposed prenatally to maternal cigarette smoking.
bP values indicate statistical significance of differences between nonexposed and exposed individuals evaluated with 2-sided t test or, when appropriate, with $\chi^2$ statistic.
cEvaluated with $\chi^2$ statistic.
ces having the same anatomic label, while the cortical thickness is measured as the mean difference between the position of equivalent vertices in the pial and gray/white surfaces for the same cortical region. What we used in this study was the OFC. FreeSurfer classified as the lateral OFC. Based on the anatomic parcellation of the OFC by Chiavaras et al., we defined the OFC as including the anterior, medial, and posterior OFCs but excluding the adjacent gyrus rectus (defined by FreeSurfer as the medial OFC) and the lateral orbital gyrus (defined by FreeSurfer as the pars orbitalis). The latter 2 FreeSurfer-based segments extend beyond the OFC onto other frontal areas on the medial and lateral convexities. In the analyses reported here, we used the total (left + right) volumes of the 3 brain structures.
QUESTIONNAIRES TO PARTICIPANTS ON PHYSICAL ACTIVITY AND PUBERTY STAGE
Physical activity was assessed with a questionnaire validated for Quebec youth that asked about the number of 20-minute exercise sessions they completed in the previous 7 days. In addition, participants completed a self-report of pubertal development using the Puberty Development Scale, which was validated previously against physician ratings of pubertal development; this is an 8-item self-report measure of physical development based on the Tanner stages with separate forms for males and females. For this scale, there are 5 stages of pubertal status: (1) prepubertal, (2) early/mid-pubertal, (3) mid-pubertal, (4) advanced pubertal, and (5) postpubertal. Participants answer questions about their growth in stature and pubic hair, as well as menarche in females and voice changes in males.
QUESTIONNAIRES TO PARTICIPANTS ON CIGARETTE SMOKING, ALCOHOL USE, AND DRUG EXPERIMENTATION
Adolescents were asked 15 questions about the use of alcohol, cigarettes, marijuana, and other illicit drugs, namely stimulants, psychedelics, phencyclidine, ecstasy (street name for 3,4-methylenedioxymethamphetamine), prescription drugs, inhalers, cocaine, opiates, tranquilizers, heroin, anabolic steroids, and other drugs; these questions had been used previously and, for this study, were incorporated in the GRIPado (Groupe de Recherche sur l’Adaptation psychosociale chez l’enfant [Research Unit on Children’s Psychosocial Maladjustment]) questionnaire. The outcome measure was the sum of positive answers to the 15 questions regarding lifetime history of drug use. As part of the same questionnaire, the participants were also asked questions on cigarette smoking and alcohol use in the previous 30 days.
QUESTIONNAIRES TO PARENTS ON CURRENT FAMILY SES AND PARTICIPANTS’ PERINATAL FACTORS
Parents completed questionnaires ascertaining information on SES (current family income), as well as pregnancy and early postnatal environment (birth weight and duration of breastfeeding in weeks). The questionnaire was administered by a research nurse during a home visit as described previously.
STATISTICAL METHODS
Descriptive statistics used to characterize the study population included means and standard deviations for continuous variables and proportions for categorical variables. The main analyses focused on examining putative associations between PEMCS (exposed prenatally to maternal cigarette smoking vs nonexposed) and main outcomes: (1) total body fat, (2) dietary fat intake (percentage of 24-hour energy intake consumed as fat), and (3) total volume of the 3 brain regions (the amygdala, nucleus accumbens, and OFC). These analyses relied on the multivariate linear model. For each outcome, we examined the normality assumption and the values of outcomes with substantial positive skewness, namely body weight, body mass index (BMI, calculated as weight in kilograms divided by height in meters squared), and total body fat were log transformed. In all analyses, we adjusted for sex (males = 0, females = 1), age, and, if appropriate, height (model 1). In addition, we assessed to what extent the putative associations of PEMCS with outcomes might be mediated by...
PEMCS associations with lower birth weight and a shorter period of breastfeeding.\textsuperscript{39,40} To this end, we repeated the analyses of main outcomes with additional adjustment for birth weight, duration of gestation, and duration of breastfeeding (model 2). We also examined whether the putative associations of PEMCS with outcomes might be mediated by lower SES with additional adjustment for current family income (model 3). However, note that exposed and nonexposed individuals were matched by maternal education during ascertainment; therefore, we did not observe any significant differences between the 2 groups in SES (Table 1). Furthermore, we examined whether the putative associations of PEMCS with outcomes might be mediated by maternal obesity, an important risk factor for offspring obesity,\textsuperscript{41} with additional adjustment for maternal BMI (model 4). Moreover, we explored whether the putative associations of PEMCS with outcomes are present across the entire range of adiposity. To address this question, we assessed the associations in individuals with above median and below median BMI. The median split was performed separately in exposed and nonexposed individuals on age-adjusted and sex-adjusted BMI. With a path analysis, we also examined whether variations in brain regions associated with reward processing impacted adiposity (ie, BMI) by way of higher fat intake. This analysis was conducted separately in exposed and nonexposed individuals and only for the association that showed a significant association with fat intake in model 1-4 (ie, the amygdala). Finally, supplementary analyses focused on examining putative associations of PEMCS with cigarette smoking, alcohol intake, and drug experimentation. All hypotheses were tested using 2-tailed tests at $\alpha = .05$. All analyses but the path analysis, which was performed using R version 2.14 (R Project for Statistical Computing), were carried out with JMP version 8.02 (SAS Institute Inc).
**RESULTS**
On average, mothers of exposed participants smoked a mean (SD) of 11.1 (6.8) cigarettes per day throughout their pregnancies (eTable 1). Exposed compared with nonexposed adolescents did not differ by sex, age, puberty stage, or height (Table 1). They also did not vary in physical activity and family income (Table 1) or in their eating habits such as having dinner with the family, alone, or with friends (eTable 2). As expected,\textsuperscript{42} exposed vs nonexposed individuals were lighter at birth (by 301 g; $P < .001$) and were breastfed for a shorter period of time (by 4.5 weeks; $P < .001$, Table 1).
**PEMCS AND OBESITY**
Exposed vs nonexposed adolescents had a marginally higher body weight (by approximately 1.7 kg; $P = .10$) and BMI (by approximately 0.7 kg/m$^2$; $P = .05$) and a significantly higher total body fat (approximately by 1.7 kg; $P = .009$, Table 2). These differences were present while adjusting for a basic set of potential confounders, namely age, sex, and, when appropriate, height (body weight and total body fat). Importantly, they remained virtually unchanged after additional adjusting for variables frequently associated with maternal cigarette smoking during pregnancy and implicated on their own in increasing the risk for obesity (ie, lower birth weight, shorter duration [or lack of] breastfeeding, and lower SES).\textsuperscript{39,40,43}
---
**Table 2. Adiposity, Fat Preference, and the Brain Reward–Related Structures in Adolescents Nonexposed and Exposed Prenatally to Maternal Cigarette Smoking**
| Outcome | Means | Model 1 | Model 2 | Model 3 |
|---------|-------|---------|---------|---------|
| | | Difference, Exposed vs Nonexposed (95% CI) | Difference, Exposed vs Nonexposed (95% CI) | Difference, Exposed vs Nonexposed (95% CI) |
| | | $P$ Value | $P$ Value | $P$ Value |
| Adiposity, anthropometry, and multifrequency bioimpedance | | | | |
| Body weight, kg\textsuperscript{a} | 59.6 | 61.1 | 0.03 (-0.0 to 0.06) | 0.10 | 0.04 (0.0 to 0.07) | 0.04 | 0.03 (0.0 to 0.07) | 0.06 |
| BMI\textsuperscript{b} | 21.7 | 22.5 | 0.03 (0.0 to 0.06) | 0.05 | 0.04 (0.0 to 0.07) | 0.02 | 0.04 (0.0 to 0.07) | 0.03 |
| Total body fat, kg\textsuperscript{c} | 12.8 | 14.7 | 0.1 (0.0 to 0.2) | 0.009 | 0.1 (0.0 to 0.3) | 0.01 | 0.1 (0.0 to 0.2) | 0.03 |
| Macronutrient preferences and energy intake, 24-h recall | | | | |
| Fat intake (% of energy) | 30.4 | 33.1 | 2.7 (1.1 to 4.3) | 0.001 | 3.4 (1.6 to 5.2) | <.001 | 3.4 (1.6 to 5.2) | <.001 |
| Carbohydrate intake (% of energy) | 54.3 | 52.3 | -2.0 (-3.9 to -0.0) | 0.05 | -3.3 (-5.5 to -1.2) | 0.002 | -3.3 (-5.4 to -1.1) | 0.003 |
| Protein intake (% of energy) | 15.0 | 14.4 | -0.6 (-1.4 to 0.3) | 0.17 | -0.2 (-1.2 to 0.7) | 0.62 | -0.2 (-1.1 to 0.7) | 0.66 |
| Energy intake, kcal | 2306 | 2449 | 150 (-7 to 308) | 0.06 | 180 (-6 to 356) | 0.04 | 176 (-6 to 354) | 0.05 |
| Brain reward–related structures, magnetic resonance imaging | | | | |
| Total amygdala volume, mm$^3$ | 3038 | 2933 | -95 (-140 to -40) | <.001 | -66 (-126 to -5) | 0.03 | -67 (-130 to -6) | 0.03 |
| Total NAc volume, mm$^3$ | 1240 | 1196 | -39 (-71 to -6) | 0.02 | -22 (-58 to 13) | 0.22 | -21 (-57 to 16) | 0.26 |
| Total OFC volume, mm$^3$ | 17533 | 17369 | -44 (-329 to 417) | 0.82 | 162 (-250 to 576) | 0.44 | 145 (-270 to 561) | 0.49 |
| Total brain volume, cm$^3$ | 1210 | 1196 | -11 (-29 to 6) | 0.21 | 0 (-19 to 20) | 0.97 | 1 (-18 to 21) | 0.89 |
Abbreviations: BMI, body mass index (calculated as weight in kilograms divided by height in meters squared); NAc, nucleus accumbens; OFC, orbitofrontal cortex.
\textsuperscript{a}Nonadjusted means and adjusted differences with 95% confidence intervals (CI) are presented for individuals exposed and nonexposed prenatally to maternal cigarette smoking. The differences between exposed and nonexposed individuals were adjusted for potential confounders in the 3 models:
\textsuperscript{b}Model 1: sex + age + (height, when appropriate).
\textsuperscript{c}Model 2: sex + age + (height, when appropriate) + birth weight + breastfeeding duration + gestation duration.
\textsuperscript{d}Model 3: sex + age + (height, when appropriate) + birth weight + breastfeeding duration + gestation duration + family income.
\textsuperscript{e}Adjusted differences were calculated with log-transformed values.
Figure. Association of prenatal exposure to maternal cigarette smoking with amygdala volume (A) and fat intake (B) in individuals with above median and below median body mass index (BMI). The median split was performed separately in exposed (E) and nonexposed (NE) individuals on age-adjusted and sex-adjusted BMI. The data are presented as age-adjusted and sex-adjusted means and standard deviations.
(models 2 and 3 in Table 2). They also remained virtually unchanged after additional adjusting for maternal BMI, a known risk factor for offspring obesity\textsuperscript{41} (model 4 in eTable 3). Thus, it appears that the association between PEMCS and greater adiposity is independent of these factors and, as such, may be specific to maternal cigarette smoking. The exposure-associated differences in adiposity (higher by 13% in exposed vs nonexposed individuals) is likely clinically relevant, as previous research showed that a difference of 9% of total body fat is associated with a significantly higher risk for the metabolic syndrome in adolescents.\textsuperscript{42}
**PEMCS AND FAT INTAKE**
In addition to higher adiposity, exposed vs nonexposed participants showed higher intake of fat, expressed as percentage of energy intake consumed in the form of fat (by +2.7%; \(P = .001\); Table 2). This difference remained highly significant (\(P < .001\); Table 2) when adjusted also for the previously mentioned perinatal and socioeconomic factors (ie, birth weight, breastfeeding, and family income) and maternal BMI (Table 2 and models 2-4 in eTable 3).
Furthermore, consistent with the possibility that greater fat intake increases the risk for obesity, lat intake correlated modestly with total body fat in the whole sample \((r = 0.13; P < .02)\), with similar trends being observed in exposed \((r = 0.14; P = .06)\) and nonexposed \((r = 0.11; P = .17)\) participants.
Apart from fat intake, exposed vs nonexposed participants showed tendencies toward higher energy intake (by +150 kcal; \(P = .06\)) and lower carbohydrate intake (by −2%; \(P = .05\)) but no difference in protein intake \((P = .17\); Table 2). These differences in energy, carbohydrate, and protein intake became significant when adjusted for perinatal and socioeconomic factors and maternal BMI (models 2 and 3 in Table 2, and model 4 in eTable 3).
**PEMCS AND THE BRAIN**
Exposed vs nonexposed participants demonstrated significantly smaller amygdala volume (by 95 mm\textsuperscript{3}; \(P < .001\); Table 2); this difference remained significant when adjusted for perinatal and socioeconomic factors and maternal BMI (models 2 and 3 in Table 2, and model 4 in eTable 3). In addition, amygdala volume correlated inversely with fat intake \((r = −0.15; P = .006)\), and this correlation was seen in exposed \((r = −0.16; P < .04)\) but not in noneexposed \((r = −0.08; P = .29)\) participants.
Furthermore, exposed vs nonexposed participants showed a moderately lower volume of the nucleus accumbens (by 39 mm\textsuperscript{3}; \(P = .02\)), but this difference became nonsignificant when adjusted for perinatal and socioeconomic factors and maternal BMI (Table 2 and eTable 3). No differences were observed in volumes of the OFC and the whole brain (Table 2 and eTable 3).
Moreover, exposed vs nonexposed individuals demonstrated lower amygdala volume and higher fat intake only among individuals with above median BMI (obese) and not among individuals with below median BMI (Figure), indicating that the nonobese subset of exposed individuals might be protected from the adverse outcomes of the exposure.
Finally, we tested the hypothesized relationships between lower amygdala volume, higher fat intake, and higher adiposity with a path analysis. In exposed individuals, this model provided good fit \((\chi^2 = 0.01; P = .92;\) root mean square error of approximation = 0; 90% CI, 0.0-0.07; comparative fit index = 1), but in nonexposed individuals, the model provided poor fit \((\chi^2 = 1.36; P = .24;\) root mean square error of approximation = 0.04; 90% CI, 0-0.20; comparative fit index = 0.74). In exposed individuals, smaller amygdala volume predicted higher fat intake \((P = .03)\), while higher fat intake showed a trend toward higher BMI \((P = .06)\), whereas in nonexposed individuals, smaller amygdala volumes did not predict higher fat intake \((P = .27)\), and higher fat intake did not predict higher BMI \((P = .18\); eFigure 2).
**PEMCS AND CIGARETTE SMOKING, ALCOHOL INTAKE, AND DRUG EXPERIMENTATION**
Exposed vs nonexposed participants showed higher alcohol use and drug experimentation but not cigarette
smoking, and these differences remained essentially unchanged when adjusted for perinatal and socioeconomic factors (eTable 4). Alcohol intake and drug experimentation did not correlate with amygdala volume, indicating that the exact mechanisms of PEMCS associations with these behaviors may not be the same as those underlying the association between PEMCS and fat preference. In addition, amygdala volume remained significantly lower in exposed vs nonexposed individuals after adjusting not only for age and sex but also for cigarette smoking (number of cigarettes per day in the last 30 days; $P = .001$; estimated mean difference = 93 [95% CI, 37-148] mm$^3$), alcohol intake (number of days drinking in the last 30 days; $P < .001$; estimated difference = 101 [95% CI, 45-157] mm$^3$), or drug experimentation (number of drugs tried in life; $P = .002$; estimated mean difference = 88 [95% CI, 32-143] mm$^3$).
**COMMENT**
The results of our study suggest that PEMCS may increase the risk for obesity by enhancing dietary intake of fat, and that this effect may be mediated in part through subtle changes in brain structures involved in reward processing.
Prenatal exposure to maternal cigarette smoking is a well-established risk factor for obesity,\textsuperscript{17} but the underlying mechanisms are not known. Our study suggests that PEMCS-induced modifications of the neural pathways enhancing preference for fat may represent one such mechanism. Although not yet reported in the context of PEMCS, enhanced preference for fat has been observed previously in association with another prenatal factor, namely maternal undernutrition during gestation.\textsuperscript{18} Both maternal malnutrition\textsuperscript{19} and cigarette smoking during pregnancy\textsuperscript{20} are adverse intrauterine environments leading to fetal growth restriction, which itself is a strong predictor of future obesity.\textsuperscript{21-24} For this reason, we also tested to what extent the association of PEMCS with fat preference might be mediated by PEMCS-related low birth weight (model 2). This analysis showed that, after adjusting for birth weight, the association between PEMCS and preference for fat remained highly significant ($P < .001$; Table 2), thus suggesting that PEMCS may enhance preference for fat independently of birth weight through mechanisms specific to cigarette smoking. This is also suggested by previous epidemiologic research reporting that the PEMCS association with obesity is independent of birth weight.\textsuperscript{47,48}
Diets high in fat are considered highly rewarding.\textsuperscript{49,50} The hedonic properties of fat are processed by similar structures of the brain reward system as the hedonic properties of drugs of abuse.\textsuperscript{16} Animal research suggests that prenatal exposure to nicotine, the main psychoactive compound in cigarette smoke, causes long-term changes in the developing brain and in the brain reward system in particular. Acting on the nicotinic cholinergic receptors, nicotine modulates the release of neurotransmitters (eg, dopamine) within the brain reward system.\textsuperscript{51} Studies in adolescent rats demonstrated that prenatal exposure to nicotine reduces both expression of the nicotinic cholinergic receptors\textsuperscript{52} and nicotine-stimulated neurotransmitter release in this system.\textsuperscript{53} Moreover, nicotine exerts trophic effects during brain development,\textsuperscript{54} and prenatal exposure to nicotine has been shown to cause subtle structural changes in the brain.\textsuperscript{55} In our study, exposed vs nonexposed individuals exhibited lower amygdala volume and the amygdala volume correlated inversely, albeit modestly, with fat preference. The amygdala is a structure of the brain reward system studied extensively in the context of both drug addiction and the regulation of fat preference. With respect to the former, lower amygdala volume has been observed in individuals with alcohol addiction\textsuperscript{56} in whom it was associated with greater alcohol craving and more likely relapse into alcohol consumption.\textsuperscript{57} Lower amygdala volume has also been observed in adolescent and young-adult offspring of individuals with alcohol addiction, suggesting that it may be a risk factor for alcohol addiction rather than its consequence.\textsuperscript{58} With respect to the regulation of fat preference, activation of the amygdala by intra-amygdalar administrations of neuropeptide Y\textsuperscript{59} and enterostatin\textsuperscript{60} decreases preference for fat in experimental animals. Taken together, the current research indicates that reduced size and/or lesser activation of the amygdala may increase the risk for addiction and augment fat preference. These observations are consistent with the possible role of the PEMCS-induced reduction of the amygdala size in increasing fat preference and in turn the risk for obesity, as suggested by the results of this study.
In our study, exposed vs nonexposed individuals showed lower amygdala volume by 66 mm$^3$ to 95 mm$^3$. Although this is a relatively subtle difference, it could translate into meaningful differences in the number of neurons and possibly function. For example, it has been shown that the (right) posterodorsal subnucleus of the rat amygdala (at postnatal day 26) is larger in males than females by approximately 0.042 mm$^3$ (total volume of 0.238 mm$^3$ in juvenile males) and that volumetric difference is largely due to a higher number of neurons (by 5471 neurons).\textsuperscript{61} Nevertheless, future functional imaging studies in humans and preclinical studies in animal models are required to further our understanding of how the exposure impacts the amygdala and the reward aspects of fat intake.
In our study, we observed that only about half of the exposed individuals showed significantly lower amygdala volume and higher fat intake (Figure). The vulnerability of these individuals may in part be due to their genetic makeup. It may be mediated by genes that change expression/function in response to the exposure (gene-environment interactions), and by genes that are shared between the mother and offspring and play a role in increasing both the mother’s inability to quit smoking during pregnancy and the offspring’s preference for fat and obesity (gene-environment correlations). To dissect these complexities, further large-scale studies into the genetic underpinnings of brain structure and behavior are required, and these studies need to be conducted not only in exposed/nonexposed individuals but also in their parents.
Hedonic properties of food are considered the main driving force behind food choices.\textsuperscript{62} Other factors, such
as eating habits, culture, economics, and availability, also play a role.\textsuperscript{62} In our study, both exposed and nonexposed individuals were drawn from the genetic founder population of the Saguenay Lac St. Jean region of the Canadian province of Quebec; this population is characterized by a relatively high genetic and cultural homogeneity.\textsuperscript{23} In addition, exposed and nonexposed individuals were matched at recruitment by maternal education; as a result of this design, exposed and nonexposed participants did not differ by current family income, a key index of SES (Table 1). Furthermore, exposed and nonexposed participants did not differ by obesogenic behaviors such as a lack of family meals (eTable 2). They also did not differ in the frequency of consuming fruits and vegetables, although consistent with their higher intake of fat and lower intake of carbohydrates, exposed vs nonexposed subjects showed trends toward eating fruits and vegetables less frequently; these trends remained unchanged when additionally adjusted for family income, suggesting they were not due to socioeconomic disparities (eTable 2).
In summary, the results of our study are consistent with the fetal-programming hypothesis of obesity,\textsuperscript{39,63} and suggest that PEMCS may contribute in this context by modifying fat intake through neural mechanisms involving the amygdala.
Submitted for Publication: March 12, 2012; final revision received May 31, 2012; accepted June 27, 2012.
Published Online: September 3, 2012. doi:10.1001/archgenpsychiatry.2012.1101
Author Affiliations: The Hospital for Sick Children (Drs Haghighi and Pausova), Rotman Research Institute (Ms Schwartz and Dr Paus), University of Toronto, Toronto, Department of Epidemiology, Biostatistics, and Occupational Health (Dr Abrahamowicz), Montreal Neurological Institute (Drs Leonard and Paus), McGill University, Montreal; Ecogene-21 Clinical Research Center and Lipid Clinic, Department of Medicine, Université de Montréal, Chicoutimi Hospital (Dr Gaudet), Québec; Groupe ÉCOBES, Recherche et transfert, Cégep de Jonquière, Jonquière (Drs Perron and Veillette); and Université du Québec à Chicoutimi (Dr Richer), Canada.
Correspondence: Zdenka Pausova, MD, The Hospital for Sick Children, University of Toronto, 555 University Ave, Toronto M5G 1X8, Canada (firstname.lastname@example.org).
Author Contributions: Dr Pausova had full access to all of the data in the study and takes responsibility for the integrity of the data and the accuracy of the data analysis.
Financial Disclosure: None reported.
Funding/Support: The Saguenay Youth Study is funded by the Canadian Institutes of Health Research (Drs Pausova and Paus), the Heart and Stroke Foundation of Quebec (Dr Pausova), and the Canadian Foundation for Innovation (Dr Pausova). Dr Abrahamowicz is a James McGill professor of biostatistics at McGill University. Dr Paus is the Tanenbaum chair in population neuroscience at the Rotman Research Institute, University of Toronto.
Online-Only Material: The eTables and eFigures are available at http://www.jamapsych.com.
Additional Contributions: We thank the following individuals for their contributions in acquiring data: Manon Bernard, MSc (database architect, The Hospital for Sick Children), Jacynthe Tremblay, RN, and her team of research nurses (Saguenay Hospital), Helene Simard, MA, and her team of research assistants (Cégep de Jonquière), and Rosanne Aleong, PhD (program manager, Rotman Research Institute).
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Frisbee World
European Update
Eastern Illinois
1970 Results
The Frisbee in Effect
July 1970 issue - June 1971
A DISGRUNTLED SUBSCRIBER
Dear (read sarcastically) People Responsible for Getting Frisbee Worlds to the Subscribers on Time:
How come I keep getting my latest Frisbee World the latest? If I lived on the moon, I would get it sooner. Maybe a couple of months are of little concern to you down there where it's warm all year, but that's half of our summer here and it's depressing to read about the "recent" August meets while snow envelopes the entire state. GEEZ! By now you may have guessed that I am mildly perturbed, but if my Frisbee Worlds continue to arrive antiquated, I shall have no choice but to become totally outraged and eliminate your outpost from the face of the Earth. How? You may inquire smugly. Well, when my flotilla of thermonuclear Fastbacks annihilates your puny shack, then you will have known how. And don't give me that you must have been in prison or something like that. If you would just send the March/April issues in January, you wouldn't have to try to read ill-conceived, illegible and bitchy letters like this one. Thank you for your consideration.
Eric Lambie
Grand Forks, North Dakota
Dear (read sincerely) Eric:
We do have a little problem here, although it is not exactly the problem that most people think it is. If you looked over the year, you will find that you have gotten six issues and that they are roughly two months apart. Clearly then, producing six issues a year is not the problem. Producing an issue every two months is not the problem. We have even managed to mail out the issues very close to our chosen time; that is, the last week of the leap month or first week of the second month of the issue date. For example, the July/August issue is to be mailed either during the last week of July or the first week of August with projected arrival by second class postage at the end.
Continued on Page 14
GOING, GOING, GONE
The festivities of W.F.C. '78 will for the first time occupy a full week from August 22nd to the 29th. Aside from the competition, other activities are planned to make the week the finest festival/conference/competition in the history of the sport. Plans include organizational clinics, skill fairs, new event presentations and slide and movie presentations. There will also be a trip to Laguna Beach.
A very limited number of positions are open for non-qualifiers who wish to attend this historic event. First selection will go to guests of qualifiers. The remainder will be made available on a first-come, first-served basis.
THE W.F.C. PACKAGE INCLUDES:
Housing, food and local transportation to all W.F.C. sites from noon of the 22nd until the morning of the 29th. Also included is admission to all scheduled events and the trip to Laguna.
The price of the complete package is $195.00 per person.
SAVE THE WORLD
Now you can protect the issues of Frisbee World in a custom designed library case or binder. The handsome blue holders provide a convenient and attractive way to store the increasingly valuable back issues of the magazine. Gold imprinting of the Frisbee World logo makes it a beautiful addition to any bookshelf. Each case holds 18 issues (3 years) and each binder holds 12 issues (2 years).
To order, just fill in and mail the coupon below:
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Frisbee South offers a variety of entertaining and educational programs, demonstrations, clinics and lectures as well as organization of tournaments, teams and Frisbee Golf courses.
Frisbee South members have played in the Super Dome, the Omni (Atlanta), the Rose Bowl, and various universities, shopping centers, sporting goods shows, etc., and have been seen in newspaper articles and television shows around the country.
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London, April 14-16, 1978
Over the weekend of April 14-16, the United Kingdom Frisbee Association organized a series of events with an Italian touring team. The Italian team had been generously sponsored by a large clothing manufacturer. Their team consisted of seven playing members and an entourage of wives, girlfriends and bambinos making a total of twelve.
On Friday afternoon, the Italian team played Purley High School Ultimate Team in their sports hall. The playing area was much smaller than a full-size pitch and the end zones were considerably reduced. Consequently quick movement and short passing was essential. Purley excels in both of these areas and won the game comfortably 22-11. Unfortunately two members of the Italian team (Renato de Chiara and Daniel Vyhrol) sustained injuries as a result of running into the walls and were unable to play on Saturday or Sunday.
The England and Italy Ultimate match was scheduled for 2.00 PM on Saturday, April 15 and as a result of the two Italian injuries, we had to reduce the game to a five-a-side contest. We had selected twelve players for the England side so that the maximum number of people could gain playing experience. The Italian team was forced to play the same five throughout the match; Valentino de Chiara (captain), Franco Figari, Michele Festa, Marco Vaiani and Giancarlo Smurra. We started the match with the strongest England side; Andy Fletcher, Pete Wade, Andy Gravell Ashton Moody and Stephen Swallow (captain), and built a lead of 5-2 before any substitutions were made. We substituted players into and out of the England side from so that everyone who wanted to played. At half time, the score was England 18, Italy 7. The Italian side was good in the air but they frequently lost possession as a result of wild throws. Valentino de Chiara played a crucial role in their midfield and was the most talented Italian player. During half time, members of each team were interviewed for London radio and photographed for the Sunday Times. Keith Heatherley, our team photographer, was also present.
In the second half, the England team extended their lead to a final score of England 18, Italy 9. Andy Gravell was the outstanding England player. He combined good positional sense with strong running and either scored or made the final throw for 13 of the 18 England points.
The England players were:
Stephen Swallow, Pete Wade, Andy Gravell, Andy Fletcher, Richard Hicks, Nick Way, Rodi Tilton, Aston Moody, Nick Cash, Allan Thomas, Ron Huggins and Jeremy Way.
In the evening the two teams visited a local restaurant where a rather confused Indian gentlemen attempted to serve eighteen rather hungry disc players with eighteen different sorts of curry and make sure that everybody got the right meal. Before leaving, we arranged to meet in Hyde Park at 2.00 PM on Sunday to Freestyle and exchange playing ideas.
We met in Hyde Park and managed to coincide with the regular Sunday meetings of the Ally Pally Tossers whose club includes Nick Shariand ('76 champion), Rob Howe ('77 champion), Les Bryant (354 foot throw, unofficial) Steve Hurrell (UK Distance record holder) and Ron Huggins (UK M.T.A. record holder).
The meet featured another Ultimate game, Guts games and a lot of Freestyling. The Italians have not really done much Freestyling although Valentino had a few impressive moves. I hope that at the time of visit like there will be a few Italians with a nail delay down.
The UKFA has arranged a return visit to Italy on July 24-31, 1978. We hope to have some sponsorship for the visit. Everyone who took part enjoyed the Italian visit. We look forward to regular international Ultimate play particularly against the Swedes. The UKFA will shortly be recognized by the English Sports Council. This should help considerably in obtaining funds for such visits.
Over the last year and a half, Ron Kaufman has held the rather ambiguous title of International Representative of the I.F.A. Ron began his involvement in the disc world with the Ultimate program at Staples High School in Westport, Connecticut and Yale University.
His international work began in 1976 when he studied his Fall semester at the London School of Economics, Department of International Relations. In the summer of 1977, he formed a unique I.F.A. affiliate club, Disc Covering the World, as a group to facilitate international contact between disc players. In the Fall of 1977, he studied at the University of Aix-Marseille in the South of France where he had a great time teaching disc sports in the local schools and travelling during the Spring through France, Italy, Belgium, Holland, Germany, Sweden, Denmark and the United Kingdom. During his travels, he worked with local distributors and manufacturers in each of those countries and aided the I.F.A. national affiliates in each country. In several cases such as Belgium, he was responsible for the development of the national chapter. This coming Fall he will be finishing his Bachelor's Degree work in History and International Relations at Brown and plans more international travel after graduation.
In short, Ron's working knowledge of the European disc scene is unexcelled. If you have any urge to fly abroad, I think you'll find his comments helpful and encouraging.
Stork
The recent growth of disc sports in Europe is tremendous. Exposure, popularity and social acceptance are taking off like a solar-powered M.T.A. The I.F.A. is working with national divisions in Sweden, England, Belgium, Italy and France. Tournament events have multiplied five-fold during the past two years.
Visits by top American players have helped develop the quality and sophistication of European disc activities. When Mike and Sue Schneider toured Europe in 1972, their visit created a popular sensation. The Schneider brothers travelled in Great Britain and on the Continent, giving Europe an initial surge of publicity and flying disc exposure.
By the time Dan Roddick and Peter Bloeme (then Men's Overall Champion) visited Europe in 1977, player groups and national associations were growing full blast. Dan and Peter shared the elements of top-flight performance with players in England, Paris and Sweden. Stork worked with each national I.F.A. division to plan upcoming tournament events and to develop the programs of regional club affiliation.
The initial growth of a players' organization requires generous quantities of time, resources, group and individual energy. The I.F.A. really began when Wham-O Vice President Ed Headrick focused resources toward the Association in 1968. Ten years later, we all share the exponential returns of size, scope and popularity. In Europe, manufacturers and distributors recognize the importance of an early and firm commitment to the development of flying disc sports. International participation is the key. Multi-national tournaments and an All-European Championship are events for the immediate future. A World Championship in Europe will surely be a reality in the years that lie ahead.
This year, the World Freestyle Championship Velasquez brothers spent seven weeks in Europe as guests of the European Associations. Jens and Erwin were featured in numerous television and newspaper specials. The brothers' extended visit will have a profound impact upon the quality of all European Freestyle competition.
International exchange of disc players will grow every year with the natural increase in our overall size as a group. Travel arrangements for 1979 already involve a larger number of participants than in any previous year. In 1977, an I.F.A. affiliate club, Disc Covering the World, was founded to investigate international group travel opportunities. Each club member receives assorted benefits including annual travel and product information. Group travel reduces individual costs and boosts the European scene with a maximum of North American input.
Disc Covering the World and the I.F.A. are now pleased to announce the first International Friendship Tours, two week group vacations that are going to Europe for tournaments and travel in June and July, 1979. Friendship tours are open to anyone who wants to participate in, or just enjoy, the European tournament events in 1979. The cost of each trip includes roundtrip flights on a regularly scheduled airline, hotel accommodations and breakfast every day of the tour, ground transportation between European cities and airport transfers within Europe and the U.K. The travel groups will be composed of players from all over the United States and Canada. This is an opportunity to meet and play with enthusiasts from North America and Europe. One hundred disc lovers travelling together is always a good time! Publicity will be tremendous. The quality of European play will soar. Collecting and international communications will never be the same. These are going to be two unforgettable vacations.
Both of the 1979 International Friendship Tours are fully guaranteed by the professional travel services of Thomas Cook, Inc. Space on these group vacations is limited and will be awarded solely on a first come, first served basis. Complete details will be posted to you by writing to International Friendship Tours, Thomas Cook, Inc., 127 Broad Street, Stamford, CT 06901. A coupon in this issue is available for your use.
Sweden is the European country with the largest quantity and highest quality of flying disc play. A national players' organization, the Svenska Frisbee Forbundet, was founded in 1972 by Mikael Hjartsjo, a college student from Helsingborg, and Johny Gustafson, the Scandinavian distributor of Frisbee flying discs. Today affiliate clubs are scattered throughout the country and tournament activity is intense. The 1978 Series Circuit includes five regional contests and a three-day invitational championship in Stockholm. A six-member national team will be selected to represent Sweden at the 1978 World Frisbee discs Championships in Los Angeles.
The first International Friendship Tour travels for two weeks in Scandinavia during June, 1979. The American group flies into Stockholm on June 14th in time for the Stockholm Oppna Mesterskap (Open Championship) held that weekend. This championship is the largest held in Sweden each year. During the next week, the group crosses to Gothenburg on the west coast for a flying disc festival which includes competition in Ultimate and disc golf. Later in the week, the travel south to Helsingborg for a tournament event in the birthplace of Swedish disc enthusiasm. The Friendship tour will remain in Helsingborg throughout "Midsummers Weekend", June 23rd and 24th. Midsummers Weekend is an annual Swedish celebration that warrants description as an enormous, nation-wide party! The mood of our travelling group should fit right in. The last days of this tour take place in Copenhagen, a European capital of lively entertainment. After brewery visits, museum tours and more disc play in the Tivoli Gardens, the International Friendship Tour returns to the United States via services of Scandinavian Airlines.
Disc players throughout Scandinavia are kept in touch by Frisbeelagian magazine, a tri-monthly publication of the Svenska Frisbee Forbundet. Frisbeelagian sports excellent composition and frequent translations from Frisbee World. Scandinavian Frisbee discs are manufactured in Denmark under license from the Wham-O corporation. Very few knock-offs are produced in Scandinavia and none of sufficient quality for sport use. American World Class discs are available to Scandinavians through the Swedish distributor. Also available are decals, patches, assorted T-shirts and Delay-X disc lubrication. Foreigners can mail order all the above items and join the excellent players' organization by writing directly to the Svenska Frisbee Forbundet.
Scandinavians show a very special type of hospitality to friends and high-flying guests. Swedish disc play, whether in the snow or on the beach, is Great! This
travel experience is highly recommended.
In other countries around Europe, discs are being distributed and sport activities are catching on. The Association Francais de Frisbee was created in Paris during Dan Roddick and Peter Bloeme's visit in 1977. Dan Habeeb was active for several months in the Loir Valley and I spent the better part of a year teaching disc sports to school children in Aix-En-Provence. Work is underway to develop a national competitive circuit. Players who will be in France for a while and can help the Association are urged to contact the bi-lingual secretary, Mr. Jean-Pierre Euvrard.
Since 1977, the Associazione Italiana del Frisbee has been growing strong under the direction of Italian disc distributor, Valentino de Chiara. The Association is based in Milan and has already hosted two national flying disc championships. In April, 1978, a twelve-member touring squad travelled to London for competition with players from the U.K. This international "All Star" match (the first of its kind) included contests in Ultimate, Freestyle and Distance. The Italians are a fast-moving people and we can all expect a great deal more from them in the future.
Belgium is a small country with a very active players' organization. The Belgian branch of the International Frisbee Association (B.B.I.F.A.) was founded in 1977 by Jacques Doetsch, an avid player and the regional distributor of British-made Frisbee discs. The first Belgian National Championship was held in Brussels on May 15, 1978. Competition included Distance, Freestyle and Double Disc Court. An exhibition Ultimate game was played by teams from two of the American foreign schools.
Belgium's position "in the heart of Europe" gives it an important role in the conduct of global affairs. Benelux (Belgium, the Netherlands and Luxembourg), is a historic crossroads region for goods and information travelling North, South, East and West. The growth of disc sports in this area will influence development of the sport throughout the world. Brussels already hosts a range of international conference activities. A world flying disc convention cannot be far behind.
In the Belgian town of Namur, there is an International Youth Hostel that doubles for everyone's enjoyment as an Official Flying Disc Sanctuary. This hostel is not at all like the other youth hostels to be found in Europe. Run by the family of Host/Director Jacques Thibaut, the hostel in Namur exposes every visitor to discs and flying disc sports. For many travellers, this is a first-time introduction to the pleasures and possibilities of the plastic flying disc. The nearby park offers Ultimate space and a nine-hole Disc Golf course. The river flowing in front of the hostel offers a formidable challenge to the daring distance thrower. In the winter, on rainy days and habitually at night, the large dining room is cleared of tables and chairs and becomes an indoor court for clinics, tight Freestyle practice and Mini-disc three-man Guts.
Discs also receive sanctuary in Namur. Donated saucers are subject to continual use until breakage renders them "grounded". When this finally occurs, the disc is washed and joins the hostel's unique collection of shattered plastic. The hostel library includes I.F.A. rules, copies of Frisbee World, and several books on flying disc sports literature in many languages. Namur is half-way distance between Brussels and Luxembourg City. The hostel door is always open and the spirit of family is contagious. If you are planning to travel in Europe, the Sanctuary in Namur gets a five-star Frisbee World rating. (*****)
The second Flying Friendship Tour flies from the United States to Amsterdam on July 12, 1979. Amsterdam is a swinging center of diverse entertainment. Thousands come to the city each year to experience the festivals, museums, breweries, spectacular parks and numerous red lights. Tour participants are free to explore every aspect of this classic European adventure. After five days and nights in Amsterdam, the Friendship Tour will drive south to meet members of the national player's association in Brussels. We travel for two days in Belgium, visiting and playing towns along the Belgian coast and stopping at the Official Flying Disc Sanctuary in Namur. The first week of this vacation concludes with a daytime steamer ride, crossing the English Channel to Great Britain.
London is the theater capital of the world, the bustling center of international economic activity and the home town of the United Kingdom Frisbee Association. Our Friendship Tour will be in London for one week during July, 1979. A three-day United Kingdom -vs- United States Challenge Match will be held in Hyde Park, London's enormous central playground. All-Star squads are scheduled to compete in Ultimate, Guts, Double Disc Court, Freestyle, Disc Golf and each of the standard field events. This event looks to be one of the biggest and best of the 1979 international circuit.
The United Kingdom Frisbee Association (U.K.F.A.) was formed in 1972 and national championships have been held in London every year since that time. An eight-member steering committee was recently selected by the U.K.F.A. to coordinate tournament and promotional events. Stephen Swallow is acting as the U.K.F.A. secretary and may be contacted for information on events that are coming up or going down. Language is no barrier in the Anglo-American communications and Frisbee World is mailed directly to British subscribers.
Much of the recent quality development in the U.K. has come from the Ally Pally Tossers (A.P.T.), England's largest club. At A.P.T. meetings, past, present and future British champions gather for clinics of jamming and assorted club events. Players have a tendency to fly as long and as high as the M.T.A.'s they throw.
Dave "Distance" Johnson tripped to Europe in 1977 and met with a group of English throwers. Distance shots have improved. Dave "Buddha" Meyer spent one school year in London and helped to plant the seeds of English Ultimate activity. Today, Ultimate is played by nationwide high school and college leagues. Disc Golf is also on the rise. Mark Sharland (1975 - U.K. Discob Champion) as liaison to the P.D.G.A. Ron Huggins, one of London's up and coming All-Stars, has peppered local parks with nine and eighteen-hole courses. English Freestylers are especially conscious of the role ambidexterity plays in disc and body flow. This awareness makes for terrifically smooth performance and is an infinite personal challenge to every developing player. Les Bryant has pioneered much of the activity in this area, charting proficiency qualifications far beyond the tests for World Class Frisbee = Master.
Frisbee discs manufactured in England use a variety of American, German and native English molds. Retholing is underway to approach American World Class styles. Former U.K.F.A. secretary, Jeremy Way, has maintained records of British Frisbee disc production. Collectors can contact Jeremy for statistical information via the offices of the U.K.F.A. The current English line includes Regulars, "Dogbees" for Fido and Spot, Pro models, Moonlighters, All-Americans, Super Pros and an attractive, black U.K. Championship disc. Knock-off trend is widespread throughout Great Britain with local stores selling imitations of discs that resemble everything from a coffee can top to a garbage can lid. They fly just as well and come in a wide assortment of colors. One exception to this low quality knock-off trend is the Ariel Sky Surfer, a highly durable, 136-gram disc.
Thinking about the international development of flying disc sports is an optimistic and very encouraging thing to do. Our sport fosters a positive and cooperative approach. The "spirit" of the game relies upon personal integrity and mutual respect. The attitudes which promote friendship at home can do the same abroad.
Disc talent flourishes wherever discs and players combine. Twelve-year old wizards are cropping up in London and Stockholm just as they do in New York and California. Teaching French school children how to play can be as easy as teaching your next door neighbor. If the words are harder, you simply laugh a lot more. Invariably, the disc will communicate when words fall short.
Travellers have long known about the special communicative properties of a disc. After all, what other umbrella can make friends with the flick of a wrist? What other bowl or spaghetti plate draws consistent smiles from a curious crowd? The future will create numerous opportunities for disc enthusiasts to act as goodwill ambassadors abroad. Our responsibilities are to be considerate of foreign diversity and lavish in the giving of our time, energy and praise. The flying disc knows no national bounds. A wealth of international experience is waiting to be shared. Join us.
CONTACTS FOR FURTHER INFORMATION
DISC COVERING THE WORLD
9 Converse Drive
Westport, Connecticut 06880
USA
UNITED KINGDOM FRISBEE ASSOCIATION
29 Dogmer Road
Kingston-on-Thames, Surrey
ENGLAND
BELGIAN BRANCH OF INTERNATIONAL FRISBEE ASSOC
Avenue Montana No. 20
1180 Bruxelles
BELGIUM
L'ASSOCIATION FRANCAIS DE FRISBEE
80 Avenue Louis-Ernest
93120 La Courneuve
FRANCE
ASSOCIAZIONE ITALIANA DEL FRISBEE
Via DePretis 79
20142 Milano
ITALY
YOUTH HOSTEL DISC SANCTUARY
Jacques Thibaut
c/o Youth Hostel
(Official Flying Disc Sanctuary)
Ave. Felicien Rops 8
La Plaine, Namur
BELGIUM
SVENSKA FRISBEE FORBUNDET
P.O. Box 16601
161 38 Bromma
SWEDEN
AN INTERNATIONAL FLYING DISC CLUB
MEMBERSHIP ...........................................$12.00
• Certificate
• D.C.W. Club Disc
• Annual information
ALSO AVAILABLE
... Additional Club Discs ..................$ 6.00 postpaid
(Blue or Yellow — Specify)
... 10 D.C.W. Discs (yellow only) .......$50.00 postpaid
... 20 D.C.W. Discs (yellow only) ......$80.00 postpaid
... English, German or Danish
"Professional" Frisbee disc ........$ 6.00 postpaid
... Flying Fruit — a set of two
(grapefruit and oranges only) .......$ 3.00 postpaid
AND MORE!! Send order or self addressed, stamped,
business size envelope to:
DISC COVERING THE WORLD
19 Covelee Drive
Westport, Connecticut
U.S.A. 06880
DISC COVERING SCANDINAVIA
June 14 - 28, 1979
This tour coincides with three Swedish Flying Disc Events: The Stockholm Open Championship, the Gothenberg Frisbee Disc Festival and the Helsingborg Midsummer's Weekend.
Tour Package Includes:
• Round-trip economy class air fare on regularly scheduled SAS flights
• 14 nights in hotel, with breakfast
4 nights in Stockholm
2 nights in Gothenberg
5 nights in Helsingborg
3 nights in Copenhagen
• Ground transportation from Stockholm to Gothenberg to Helsingborg to Copenhagen via Motor Coach
• Airport transfers within Scandinavia
• Participation in all three festival and tournament events
DISC COVERING AMSTERDAM, BELGIUM AND GREATER LONDON
July 12 - 26, 1979
Spread Disc enthusiasm in Amsterdam — join two Festival Events in Belgium — Participate in the UK vs. US Hyde Park Challenge Match.
Tour Package Includes:
• Round trip economy class air fare on regularly scheduled British Air ways flights
• 14 nights in hotel, with breakfast
5 nights in Amsterdam
2 nights in Brussels
7 nights in London
• Motor Coach Tour from Amsterdam to Brussels, throughout Belgium.
• Ground transportation from Brussels to London
• Airport transfers within Europe and the U.K.
• Participation in all Festival and Tournament Events.
Mail Coupon or Write Directly To
INTERNATIONAL FRIENDSHIP TOURS
THOMAS COOK, INC.
127 Broad Street
Stamford, CT 06901
Please send me information on
______ Scandinavian Tour _______ Amsterdam/Belgium/London Tour
My departure city will be: New York ______ Chicago ______ Atlanta ______ Los Angeles ______
Other (please specify) ____________________________
Preferred rooming accommodations: ______ single ______ double ______ triple
Name __________________________________________________________ Telephone _______________________
Address __________________________________________________________ Zip _________________
of August which seems reasonable because the July August issue reports on the months of July and August which have to occur before they can be reported on. The issue may seem somewhat late because it's easy to compare with the bogus dating given by many magazines.
For example, the August issue of Playboy is available almost a month before August. Then again, much of their material is timeless. The real problem that we have is a relatively long lead time. That is, because we have a very small staff to produce and print the magazine, we must submit the final copy for the July/August issue on the 23rd of June. During the next three weeks, type is set, boards pasted up and the dated material gets old.
Sports Illustrated does several things differently:
1. They have more than three people working on the magazine.
2. Their deadline for most material is three days before printing.
3. They airfreight the magazines to various zip code points around the country and they mail them from there, thus cutting about two weeks off of the time the material is handled by the government.
Meanwhile we struggle along in our puny shack trying to get the World Champion results to you before your wrist flip freezes over. Several solutions are possible:
1. If everyone who read Frisbee World would subscribe, we would have enough money to hire additional staff to cut the lead time down. The additional subscribers would also make it easier to attract additional advertisers who would in turn produce more money, etc.
2. We could initiate a special program for super eager subscribers who are willing to pay a premium price for special handling and first class mailing of their issue in an envelope. Is that worth $10 a year? If so, perhaps we should consider it.
3. The last possibility that comes to mind is having each issue personally delivered by your "Itolita of thermonuclear Fastbacks" which are apparently at your disposal!
Seriously Eric, we do have some problems we are trying to work out so please keep the faith and we'll get there eventually.
Stork
Want to help break someone of the SPHEROID HABIT
The Educator Package for schools' and recreation departments' use...
Includes:
A free Teacher's Manual "The Discourse" — 64 pages of instructions on throws, catches, and games with over 250 pictures and illustrations, and references to both Danna's and Tip's books.
If you're a student get your teachers interested; if your a teacher get your students interested.
The disc: An inexpensive way to learn and enjoy at the same time.
Inquiries should be sent to:
Educator Package
c/o the I.F.A.
P.O. Box 970
San Gabriel, CA 91776
Frisbee discs make a unique and colorful decoration in a den, family room, office or personal room.
6 Hangers for $1.00. Calif. add 6% Sales Tax.
Send Check or Money Order to: IFA, P.O. Box 970, San Gabriel, CA 91776
INTERCEPTION
From the THOUGHT FACTORY of internationally renown cartoonist Gary Patterson
This full-color, 16" x 20" poster is the First-ever non-tournament flying disc poster.
• a great gift — a classic scene
• a collector's dream
• and it will be a great addition to your disc wall of fame
Only $3.50 each postpaid
Make checks payable to the I.F.A.
Californians add 6% sales tax
Send $3.50 for each "Interception" to:
THOUGHT FACTORY POSTER
c/o I.F.A.
P.O. Box 970
San Gabriel, CA 91776
Evan David and Corey Basso – United Flyers of Sonoma
DALLAS, TEXAS
The Texas frisbee family had a reputation for Distance competition and this year's Series meet did nothing to detract from tradition. Highlight of the Distance event was in the prelims as both John Kirkland and Ken Westerfield threw three over 400 foot marks with John's throw going 444 feet to break Dave Johnson's previous world outdoor mark of 412 feet. The scoring for the event was done differently for Distance throwing as the winds were strong and constant off a nearby lake. First-time senior competitor Roy Pledger also posted a new world record in the Distance as he threw 378.5 feet.
In the women's event Cynthia Allen displayed a new-found power in the Distance event throwing over 260 feet. Her full-armed, high backhand delivery shows evidence of a season's worth of training and holds promise for some new women's power marks.
In the Double Disc Court event, the California combination of Dan Roddick and John Kirkland won a close three-game match over the Canadian pair of Bill King and Ken Westerfield. The women's division winners, Cynthia Allen and Gene Kirkland also did well in the open competition as they advanced from their preliminary pool by defeating four men's teams.
The continued growth and development of the Texas clubs was quite evident as Moses Alfaro and the Dallas Club coordinated a state-wide effort to pull off a very successful and smoothly run operation.
Distance Results:
Open:
1. Ken Westerfield 378.5 ft. (115.4m)
2. Tom Monroe 359.0 ft. (109.4m)
3. John Kirkland 334.0 ft. (101.8m)
4. Rickie McCurley 307.0 ft. (93.6m)
5. Kevin Sullivan 307.0 ft. (93.6m)
Women:
1. Cynthia Allen 291.5 ft. (88.7m)
2. J. Hendon 208.5 ft. (63.6m)
3. Shell Storbeck 205.5 ft. (62.6m)
Senior:
1. Roy Pledger 288.0 ft. (87.8m) (NEW WORLD RECORD)
Double Disc Court Results:
Open:
1. Dan Roddick/John Kirkland
2. Bill King/Ken Westerfield
3. Tom Monroe/John Hatfield
4. Ken Bache/John Miller
Women:
1. Cynthia Allen/Gee Kirkland
2. Shell Storbeck/L. Thompson
Senior:
1. Roy Pledger
SARASOTA, FLORIDA
Like the Texas event, the Florida Series meet was an impressive display of the organizational progress in the state over the past year. Competitor attendance tripled with a record number of thirty women entered in the competition.
In the Golf event, young local Jeff Watson posted a two-throw victory over a strong Golf field. Cynthia Allen dominated the large women's field with a same mark.
In M.T.A., Michael Conger turned in a consistently strong performance as he had at least two throws of 10.5 or better at each level of the competition. Cynthia Allen posted a double with her 8.79 at the competition.
The non-congruent time at the event was quite pleasant as a series of Ultimate games, Guts challenges, Double Disc play and Freestyle competition filled out the time. The California combination of Soto, Roddick and Kirkland took the Freestyle title.
Golf Results:
Open:
1. Jeff Watson 54
2. Michael Conger 56
3. John Kirkland 58
4. Randy Osborne 58
Women:
1. Cynthia Allen 67
2. Marie Bracciale 69
3. Shell Storbeck 73
Distance Results:
Open:
1. George Morris 346.5 ft. (105.2m)
2. Victor Malafonte 345.5 ft. (105.3m)
3. Steve Pezzoli 328.0 ft. (100.0m)
4. Alan Bonopane 325.0 ft. (99.2m)
5. John Kirkland 266.0 ft. (81.2m)
Women:
1. Jo Cahow 214.0 ft. (65.3m)
2. Cyndi Birch 210.5 ft. (64.2m)
3. Laura Engel 197.0 ft. (60.1m)
Senior:
1. Oliver Morse 187.0 ft. (57.0m)
Double Disc Court Results:
Open:
1. Alan Bonopane/Mark Horn
2. Charlie Duvall/Harold Duvall
3. Evan David/B. Caplin
Tom McRann/Victor Malafonte
Women:
1. Gee Kirkland
2. Michelle Pezzoli/Cyndi Birch
Senior:
1. Oliver Morse
HUNTSVILLE, ALABAMA
Freestyle Results:
Open:
1. Mitch Smith/Kurt Hollander/John Dwork
2. Tom Monroe/Dave Marini/Dan Elliott
3. Krae VanSickle/Clarence Braithwaite/
Mark Eure
4. Chau Rottman/Jeff Watson/Mark Watson
5. Randy Osborne/Jim Herrick
Women:
1. Terrie Houle/Marie Bracciale
2. Michelle Marini/Cynthia Allen
3. Kelly Bird/Cheryl Harmon
Senior:
1. Roy Pledger
Distance Results:
Open:
1. Krae VanSickle 332.0 ft. (101.2m)
2. Jeff Watson 318.5 ft. (97.1m)
3. Tom Monroe 310.5 ft. (94.6m)
4. J. Stephens 303.5 ft. (92.5m)
5. Clarence Braithwaite 295.0 ft. (89.3m)
Women:
1. Cynthia Allen 231.5 ft. (70.6m)
2. Michelle Marini 211.0 ft. (64.3m)
3. Marie Bracciale 212.5 ft. (64.8m)
Senior:
1. Roy Pledger 223.5 ft. (68.1m)
Maximum Time Aloft Results:
Open:
1. Krae VanSickle 11.53 seconds
2. Tom Monroe 10.73 seconds
3. Ross Snyder 10.14 seconds
4. Karl Krohne 9.73 seconds
5. Scott Zimmerman 9.72 seconds
Women:
1. Cynthia Allen 8.79 seconds
2. Marie Bracciale 8.18 seconds
3. Terrie Houle 7.63 seconds
SEATTLE, WASHINGTON
Distance Results:
Open:
1. Krae VanSickle 339.0 ft. (103.3m)
2. Tim Carmel 303.0 ft. (.92.4m)
3. Doug Newland 269.0 ft. (.81.7m)
4. Charlie Mott 260.0 ft. (.79.2m)
5. Michael Casey 225.0 ft. (.68.6m)
Women:
1. Cyndi Birch
2. Lauri Brighton
3. G. Rose
Senior:
1. John Nelson
Freestyle Results:
Open:
1. Krae VanSickle/John Kirkland
2. Dave Marini/Jeff Jorgenson
3. Brian Roberts/Matt Roberts/-
Pauline Roberts
4. Michael Young/Kevin Givens
5. Corey Basso/Evan David
Women:
1. Cyndi Birch
2. Michelle Pezzoli
3. Laura Engel
Senior:
1. Ralph Williamson
Both the weather and the Freestyle was hot. Fortunately, however, Huntsville features the only indoor facility capable of hosting a final on the tour. The New York group of Mitch Smith, Kurt Hollander and John Dwork used the conditions to their advantage as they beat three other threesomes in the final. A notable feature of the Freestyle was Jim Herrick of Cornell Ultimate not previously known for his Freestyle. Jim teamed with Randy Osborne to post his highest finish in that event ever. The Florida pair of Terri Houle and Marie Bracciale took the women's point event in Freestyle.
In Distance, Krae VanSickle continued his domination of the event as he again beat the field by almost 30 feet. Cynthia Allen won the women's Distance by almost the same margin.
PHILADELPHIA, PENN.
Double Disc Court Results:
Open:
1. John Bird/Ken Darns
2. Krae VanSickle/Karl Krohne
3. Dan Roddick/Alan Bonopane
Jon Cohn/Ken Westerfield
Women:
1. B. Sail McColl
2. Joanne Loftus
3. Jennifer Iverson
4. Michelle Marini
Senior:
1. Jack Roddick
2. Ken VanSickle
Maximum Time Aloft Results:
Open:
1. Michael Broughton 10.95 seconds
2. Jon Cohn 9.95 seconds
3. Michael Cushman 8.82 seconds
4. Jim Morgans 8.16 seconds
5. Peter Bloeme 8.00 seconds
Women:
1. B. Sail McColl 8.10 seconds
2. Michelle Marini 7.37 seconds
3. J. Seitz 6.40 seconds
Senior:
1. Ken VanSickle 14.19 seconds (cumulative)
2. Jack Roddick 13.45 seconds (cumulative)
Feature on Octad next issue — "How We Drew 15,000 Spectators"
**CHICAGO, ILLINOIS**
**Distance Results:**
**Open:**
1. Joseph Youngman 351.5 ft. (107.1m)
2. Jon Cohn 344.5 ft. (105.0m)
3. George Morris 319.5 ft. (97.4m)
4. Dave Johnson 308.5 ft. (94.0m)
5. Eric Mix 278.5 ft. (84.9m)
**Women:**
1. Jo Calvert 238.0 ft. (72.5m)
2. Gail McColli 226.0 ft. (68.8m)
3. Michelle Marin 225.0 ft. (68.6m)
**Senior:**
1. John Roberts
**Golf Results:**
**Open:**
1. George Morris 48
2. Jeff Deane 50
3. Tom Monroe 50
4. Scott Dickson 51
5. Eric Mix 52
**Women:**
1. Cynthia Allen 56
2. Jo Calvert 57
3. Marie Murphy 59
4. Gail McColli 59
**Senior:**
1. John Roberts
Reigning World Distance champion, Joseph Youngman survived a marathon prelim and cross-wind final to win over an extremely strong field. He was aided by a usually strong women's division for the title.
The Golf event went to Oak Grove Gopher, George Morris. In the women's event Cynthia Allen beat Jo Calvert in the strike. Cynthia's victory broke Jo's chain of consecutive competitive Golf victories which has stretched over the history of competitive Golf.
A very lively Guls match with several top-level teams competing, was held as their non-point event.
---
**Eastern Ultimate Championships**
*by Larry Schindel*
Cold weather, gusty, 50 mph winds, man-to-man defense and the long bomb prevailed in the Eastern Ultimate Championships held in Amherst, MA, April 28-30. Coordinated by Bob Neuman and Daryl Elliott, the tournament was held on the campuses of the University of Massachusetts and Amherst College with additional support services coming from Hampshire College.
Regional qualifying tournaments were used to determine the first 17 teams. Four of the teams that won complete the Eastern Championships. Round robin tournaments had been held during April at Cornell (NY), Michigan State, Earlham College (IN), Bucknell (PA), Rutgers (NJ); U. Conn. as well as in Boston and Tampa. Florida Technical University travelled over 50 hours round-trip to compete in Amherst. The tournament was played on four fields in Amherst. The limit and quarterfinal rounds of play featured round-robin play with each team playing all of the other teams in their bracket. The first round games (with each team playing three) were 20 minutes each. Each team that advanced played three games in the quarterfinals (25 minutes), the semifinal games (30 each) and was 40 minutes while the final match was 45 minutes. Total playing time for the top two teams was 223 minutes or almost 5 full-length games in 50 hours.
The first series of games Friday afternoon featured an upset. The Knights of New York took an early lead at 4-0 over the highly favored New Englanders and the New Jersey team 6-5. Bucknell came from a 6-3 deficit against Princeton to tie the game at 10. Bucknell then won in overtime 14-11. In their first games of the afternoon, two midwest teams prevailed over New England teams (Kalamazoo defeated Bryan, 6-5 and Michigan beat Brandeis, 8-7 in overtime). Pennsylvania's Penn State team was eliminated in the first round of play with losses to Glassboro, 9-5 and U. Conn., 9-7.
The third series of games in the first round featured three upsets. Michigan State, Kentucky and Kalamazoo all established and held onto halftime leads to defeat Bucknell (6-5), Rutgers (8-7) and Knights of Nee (8-6). The midwestern teams established themselves as credible forces to be contended with at the national level in the future.
The first game of the round was played under the lights at U. Mass. with a little less wind and temperatures in the 40's. This game would determine which team would advance to the quarterfinals. Discos Violent (Ohio) and Knights of New Jersey (NJ) traded goals in the first goal but Discos captured the lead, 2-1. They held onto the lead until Nee tied the game at 4 with 42 seconds left in the half. Nee controlled the second half, jumping to an 8-4 lead. The Discos started to come back but ran out of time with the score 8-4.
The winds were gusty on Saturday morning stay as the quarterfinal round began matches began. The author managed to catch a stomach virus which kept him in bed during all of these matches but informed players relayed the following brief results. Bucknell advanced to the semifinals by beating U. Conn. by 6. Hampshire, by 3 to 2, beat Nee of New Jersey advancing to the beating Hampshire but lost their match with U. Conn. Hampshire was able to better U. Conn. in the sixth game of the bracket. The second bracket featured three teams from New Jersey, Nee, and the fourth Jersey team in the tourney was in the other bracket. Cornell beat the teams from Cornell, Glassboro, Princeton by beating Rutgers and Princeton maintained their pride by beating Rutgers.
Tradition continued as the semifinal games were played with windless but cold conditions under the lights at U. Mass. Glassboro was able to control the game against the Knights of New Jersey by using a short, fast throws, very few drops and a tenacious man defense that centered tightly around the thrower. Cornell prevailed the entire game over Bucknell which had lost the services of Harvey Edwards, their captain.
The crowd of 400 spectators that watched the finals huddled in small groups along the field and beside the hills at Amherst College in order to avoid the 50 mph winds and 40-degree temperatures. A TV crew from WBZ Evening Magazine in Boston covered the entire championship game between Cornell and Glassboro.
Glassboro played their strong zone defense and managed to gain a 4-2 lead early in the first half. Then Jon Cornell started to throw his infamous long passes, pinpoint passes to teammates who were downfield. After leading by 6-4, 6-5 and 8-5, Cornell gained possession of the disc with 7 seconds in the half and called time out. On a play called during the time out, Jon threw a 50-yard strike to Jim Herrick who made a leaping catch for the 9-5 goal as time ran out.
Glassboro started the second half with a 10-yard goal but for the rest of the game, throwers were bothered by the wind and the tight man-to-man Cornell defense. Cornell led 12-6 and 13-8 and then Glassboro started to make them fight for each goal. Glassboro scored three consecutive goals. Cornell responded with two and the teams exchanged goals to make the score 15-15.
The game was nip and tuck down to the wire. Glassboro scored three goals making them only one point behind. With only a minute and a half left, Cornell scored to bring the match to 16-16. Glassboro scored their 17th goal with 45 seconds remaining. Glassboro had possession of the disc with only a few seconds left but their pass was blocked and their hopes for the Eastern Championship in 1978 expired.
Cornell was presented with the trophy and the crowd, film crew and team drifted home to relax and prepare for next year's tournament.
NOTE: NATIONAL ULTIMATE CHAMPIONSHIP DATE CHANGE: Cornell University will play the Condors of Santa Barbara for the National Ultimate Championship title on the evening of August 29 in Santa Barbara, Ca.
COMING UP
STATE TOURNAMENTS - 1978
(Note: These dates may well be tentative. Be sure to contact host for details.)
ORLANDO, FLORIDA
AUGUST 12,13
Ed Kirkland
924 N. Texas Avenue
Orlando, FL 32804
(305) 299-5540
SPRINGFIELD, MISSOURI
AUGUST 12,13
Stephen Smith
1324 S. Florence
Springfield, MO 65807
(417) 862-4151
WESTPORT, CONNECTICUT
AUGUST 12
Dan Buckley
286 Main Street
Westport, CT 06880
(203) 226-9061
TULSA, OKLAHOMA
AUGUST 12,13
Terry Henderson
3337 E. 27th Street
Tulsa, OK 74114
PHILADELPHIA, PENN.
AUGUST 19
Jim Powers
P.O. Box 322
Wayne, PA 19087
(215) 687-1917
OGDEN, UTAH
AUGUST 19
Don Blair
1773 Park West Drive
Ogden, UT 84404
(801) 782-8404
READING, MASS.
AUGUST 19
Kevin Fuller
29 Peter Road
North Reading, MA 01864
(617) 664-4824
QUINCEY, ILLINOIS
AUGUST 19,20
Greg Boyer
436 State
Quincy, IL 62301
(217) 224-6068
ELMWOOD, WISCONSIN
AUGUST 19
Bruce Wilk
Rt. 2
Elmwood, WI 54740
OLEAN, NEW YORK
AUGUST 27
Larkin J. Gram
305 York Street
Olean, New York 14760
(716) 372-0174
NEW BRUNSWICK, N.J.
AUGUST 27
Tom Gockel
77 Safran Avenue
Edison, NJ
(201) 738-7824
HELENA, MONTANA
SEPTEMBER 9,10
Pat Tubbs
933 12th Avenue
Helena, MT
(406) 443-4772
OCEAN CITY, MARYLAND
SEPTEMBER 16
Mark Cogger
P.O. Box 43
Wallops Island, VA 23337
(301) 651-2925
SEATTLE, WASHINGTON
SEPTEMBER 16
Doug Newland
Box 5312
Seattle, WA 98105
(206) 454-0493
SONOMA, CALIFORNIA
OCTOBER 13,14,15
John Wright
P.O. Box 4103
Santa Rosa, CA 95402
(707) 526-2994
LAS VEGAS, NEVADA
NOVEMBER 4
Dorn Blake
400 East Stewart
Las Vegas, NV 89101
(702) 386-6211
TEMPE, ARIZONA
NOVEMBER 4
Rick Mitchell
617 East Apache #99
Tempe, Arizona
OTHER IMPORTANT DATES:
AMHERST, MASS.
SEPTEMBER 16
New England Invitational Tournament
Contact: Daryl Elliott
19 Mc Clellan #2
Amherst, MA 01002
(413) 253-5674
CARBONDALE, ILLINOIS
SEPTEMBER 16,17
Site: Southern Illinois University
Host: Carbondale Frisbee Club
Events: Invitational Ultimate; Golf; Distance; Freestyle; Accuracy
Contact: Bob Chaney
Rt. 2
Crab Orchard Estates
Hughes #4
Carbondale, IL 62901
WASHINGTON, D.C.
SEPTEMBER 3
Second Annual Smithsonian
Frisbee/dac Festival
Demonstrations and workshops for skill levels.
Contact: Bill Good
Rm. 3311, National Air and Space Museum
Smithsonian Institution
Washington, D.C. 20560
THE PRECESSION EFFECT
or Why It is Harder Than It Looks
By Steve Longley
I had a Chinese physics professor once who introduced his course in mechanics by discussing Isaac Newton's importance in the history of physical ideas. "Many people think Newton great because he says, 'Why apple fall? Why apple fall?' But this not true", he assured us with a significant pause. "Newton great because he say, 'Why moon not fall?'".
The idea is simple. What Newton saw (which no one had seen before) was that the apple and the moon were responding to the same force field (pulling them toward the center of the earth) but they behaved very differently because the apple was initially at rest with respect to the earth while the moon was zipping along with some tremendous initial velocity (due to an astronomical explosion which Newton probably knew as much about as I do). In other words, the behavior of an object is determined not only by the forces acting on it but also by the initial conditions of its motion. This is considered precession. Balance one on your fingertip and then touch the right side from above with your other hand. Lo and behold, the right edge goes down (and experienced freestylers can make it fall off their finger). But put that disc in a delay, spinning clockwise as you look down on it, and perform the very same top tip. Surprisingly, the edge that drops is now the right one, but the one closest to your hand! This effect is called precession and the fact that the spinning disc behaves differently than the still one, under the same external force, is no more mysterious than that the moon orbits while the apple plummets. It is just a difference in initial conditions.
Still, precession is intuitively baffling and since this effect explains a wide range of disc phenomena, from skips and top tips to rim delays and curve rollers, we would like to try to get some feeling for why it happens and how we can use it. We can hope for two things by looking at the physics of any situation: 1) to explain "strange" behaviors which are more palatable to our common sense and 2) to find a way of predicting what will happen under certain circumstances based on the understanding gained by this explanation. So let's give it a whirl.
A little background first: let me introduce a simple graphical device called vectors. A velocity vector will just be an arrow pointing in the direction of an object's motion. The longer the arrow, the faster the object is going. So we may say the vector has a direction and a magnitude. For instance, a man boating across a lake from West to East at 4 mph may be represented as in Figure 1. Now, if the same guy tries to cross the lake while also moving South at 3 mph, we get the situation shown in Figure 2. Here, two velocity vectors (solid lines) contribute to the boat's motion and we must somehow "add" their effects to find the actual resulting velocity of the boat. We do this by taking the short-cut from the tail of the first arrow to the head of the second. The result is the dotted line, which shows the direction the boat will actually go in as well as its speed which, for those of you who know the Pythagorean theorem, is 5 mph. We can be satisfied with this result since, if we try to go directly across a river, we expect to be washed diagonally downstream.
OK. Now that we know how to add two vectors, let's get back to the spinning disc which is shown from the top in Figure 3. I have singled out two areas on the rim (A & B) and drawn in their velocity vectors indicating that the disc is rotating clockwise. I have also labeled some directions as if you were at the bottom of the picture holding this disc in a delay. What happens to the chunk of plastic near area A when we try to tip the disc at point B? There will be two contributions to its motion: the spin velocity vector pointing in the "near" direction and the tip velocity vector pointing down. So, looking at the disc from the right, we get the vector diagram of Figure 4. We see that vector addition tells us the resulting motion of A will be in the direction of the dotted arrow and this can only be true if the disc tilts as shown in Figure 5. Notice that the near edge has dropped, as claimed earlier.
As confirmation, let's see what's happening at B. Because the disc is a relatively rigid body and we are supporting it at its center (notice that this support need not be supplied by a fingernail but could instead be the aerodynamic lift of a moving disc), pushing down on the right side will have the effect of pushing up on the left. This explains why skipping the disc on one edge has the same effect as topping it on the other. In any case, if we look at the disc now from the left we see Figure 5. Again the vector addition tells us that the near edge must drop.
Notice how the initial conditions (the spin velocity) have appeared so importantly in our analysis. Also notice that this is by no means a proof that the near edge will drop since we have only considered the motion of two specific points. It can be shown, however, that any arbitrary point on the disc will contribute harmoniously to the dropping of the near edge and since we're just trying to get a feel for what's going on, we won't go into the additional complications.
We can phrase our results in terms of a rule predicting how a disc, with a particular direction of spin, will react to an upward or downward force on one of its edges. There are many equivalent ways of stating the rule and I have chosen one which, although it prostitutes the physics involved, is easy to remember and work with and preserves a little of the flavor of the analysis we've just done. Here it is:
The effect which the applied force would have produced on a non-spinning disc will be carried by the spin to a point a quarter of a revolution (90 degrees) farther along.
For example, our rule immediately predicts the skipping of a disc whose forward-moving edge touches the ground. An upward force is applied by the ground and the spin "carries" this upward effort on around to the leading edge. As a result, the nose rises and the disc planes upward.
In working out a new freestyle maneuver, it is often more convenient to use the converse of this rule. In other words, if you know the attitude you want the disc to take, how do you get it to do it? Just figure out what force you would apply to a nonspinning disc to get the effect, then "back up" 90 degrees against the spin you anticipate and that is where you should apply the force.
But, of course, if a left-hander throws a disc-screwed BTB to his arm and you want to top it so it will nose up to your co-op partner (In addition to Stork's insights in the January/February issue, I think a good co-op partner can be defined as "the only one who knew what you were trying to do"), there's no way you'll have time to say, "Let's see, on a still disc I'd have to push down on the back edge and the spin here is clockwise as seen from the top so, moving counterclockwise 90 degrees from the tail, I ought to touch it on the left edge." That kind of talk is for when you are lying in bed, or eating lunch or sitting in class or whenever you do your scheming. Simpler rules are needed for when you are out jamming. I just want to know which edge the thrower is holding when he releases. This will always be the backward spinning edge, no matter which hand he favors or what type of delivery he uses. Then I know that if I want to top it, I have to top that edge. If I want to roll or guide it, I have to control that edge with my palm. But if I want to skip it off my forearm, I have to touch the opposite edge from underneath. The first and last of these assertions (and of course much more) can be worked out ahead of time using the 90 degree rule.
All right, enough. Perhaps in another article we can get into the more elegant physical formalisms designed just for understanding rotating objects (angular momentum, torques, etc.). Until then, here's a homework problem: If a right-handed person throws a spinning roller straight up and down, where does it curve left? (Hint: Where is the center of mass of a disc?).
Watch us throw the book at you!
If you react quickly, you will catch the latest and most unique book in the sport of Frisbee disc.
The Frisbee Player's Handbook — shaped like a Frisbee disc is a new and exciting book by Mark Danna (a top world ranked disc player) and Dan Poynter (one of the world's foremost authorities on sports books). Special disc cut to a circular format, the book comes nested and shrink wrap packaged in a custom designed 119gm Frisbee disc. All this to inspire the world to think circular.
Written for easy reading by both the casual beach player and the accomplished player, this fascinating 187 page book offers an interesting method and a systematic step-by-step approach to basic, special and advanced disc throws and catches. Other chapters cover rules, competition, Frisbee disc lore and origin, and describe and then training methods for teaching dogs how to catch a disc. The appendix lists disc books, magazines and clubs throughout the world in order to direct the reader to the local action. Enhancing the text are over 200 action photos, including sequential shots and overhead views, and nearly all of which were staged by the authors with motorized equipment to illustrate the essential parts of every throw and catch. The Frisbee Player's Handbook is a complete, comprehensive, up-to-date, how-to, where-to disc manual and the disc in which it is packed is sure to become a collector's item.
Mark Danna is a World Class Master in the sport of Frisbee disc, which he has played for twenty years. Living in New York City, he serves as a Regional Director for the International Frisbee Association. Dan Poynter is a professional player and free-lance writer. Dan Poynter is a well known, widely read aviation author and publisher with ten books and more than a hundred magazine articles to his credit.
The perfect gift. Don't you know someone who needs this text? Now it's your turn to throw the book at them!
The price for both the book and disc and the custom Frisbee disc together is just $9.95 in the U.S., $9.45 (Californiaans add 5% sales tax). Postage is FREE if you order today from this special ad. Satisfaction guaranteed.
PARACHUTING PUBLICATIONS
P.O. Box 4232-700
Santa Barbara, CA 93103
Dealer's inquiries invited
DISC COVERING THE WORLD
An I.F.A affiliate club for collectors, competitors and enthusiasts with extended interest. International travel groups are formed for Europe in 1979 and the sport of flying discs is now available. An I.F.A. club publication, "Discs," tips on "travelling with the disc" and an extensive listing of Frisbee disc resources, films, services, information, individuals and clubs internationally.
Lifetime membership in Disc Covering the World costs twelve dollars (U.S.) and gets you a membership certificate, a subscription to Discs, membership to the club's annual publication and full eligibility for the international travel groups. All applications must include a membership fee and full name, address and telephone. I.F.A number or name of local affiliate club. Help the international (human) exchange rate grow. Join.
DISC COVERING THE WORLD
19 Cinclee Drive
Westport, Connecticut, 06880, USA
Be sure to include your date of birth, t-shirt size and IFA number or name of local affiliate club.
READ THE WINDSPEED
with a Dwyer Wind Meter: • Lifetime Accuracy • Pocket Size Convenience • Simple To Use • Rugged Enough For Sea-Going Use • Dual-Range 2-10; 4-66 mph • Low Cost $8.95 — Ideal for portable use in distance, maximum time aloft, and catch events. Wind Meter is complete in waterproof plastic case, with maintenance kit and instructions. Send $8.95 (postpaid) for your Dwyer Wind Meter today, to:
I.F.A.
P.O. Box 970-wm
San Gabriel, CA 91776
Allow 4 weeks for delivery. Checks payable to the I.F.A. Californians add 6% sales tax. Foreign orders add $3.00.
The Ultimate in Boundary Markers
No more "Where's the sideline?"
Bright Yellow, Flexible, Durable Plastic
10 Markers $12.00 postpaid
(Similar cones cost up to 4 times as much from sports supply houses.)
Good for marking Ultimate, Guts, or Double Disc Court sidelines
Send $12.00 for each 10
Boundary Markers Ordered to:
Boundary Markers
c/o International Frisbee® Association
P.O. Box 970-U
San Gabriel, CA 91776
For free catalog (please send 15 cent stamp to ensure immediate mailing) or to place order:
Write: DWU/Box 333/Amherst, Ma. 01002
Darrel Elliot
97G $2.00 Professional $2.20 SHPG & HDLG.
119G 2.50 Moonlighter 2.25 Up to $1.00 ADD $.75
141G 3.50 Super Pro 2.75 4.00 - 10.00 ADD $1.25
165G 4.00 Master 3.90 10.00 + up ADD $1.75
NEW ENGLAND FRISBEE® ATHLETICS
... is a new discount catalog available from a long-standing disc enthusiast who has been and is still concerned that Frisbee® discs are frequently expensive and so often hard to find. This catalog should solve both of those problems. The concept is simple; if one player would take the time to sell discs and paraphernalia at very low prices, all of the thousands of other players would support the effort. The prices are as low as feasible to make it worth while to make a full-time job out of providing this service. Allow 2-6 weeks for delivery.
SERVICES:
Professional shows individually designed to meet any organization's needs
Will run tournaments or consult
Design Frisbee Disc Golf courses
Club organizing and strengthening consultation
Curriculum design with coaches' clinics
FOR MORE INFO CALL (413) 253-5674 OR WRITE BOX 333 AMHERST, MASS. 01002
FRISBEE® disc SANCTUARY = 006
BUY ONE
pfda
done's pure food and drink act
246 south lake avenue, pasadena, 792-8276
GET ONE FREE
Any breakfast or dinner item and receive the second free. Specials & Sunday brunch not included
Students discount does not apply to this special
Sept. 15, 1978
With This Coupon
Mon.—Thurs. 8-10
Fri.—Sat. 8-11
Sunday 10-10
Sunday Brunch 10-2
Frisbee World, July/August 1978 27
ACU-I 77-78 Intercollegiate Championships
By Goldy Norton
Dave Morris, 21, a senior at the University of Southern California, and Tita Ugalde, 18, a freshman at Cal State LA are the 1977-78 Intercollegiate Frisbee disc champions. Morris and Ugalde won their honors in competition at Northwestern University at Evanston, Illinois, sponsored by the Association of College Unions — International, an organization of more than 900 colleges and universities. Both were among the 15 men and 15 women who had won the ACU-I regional titles and were invited to the final competition. This year's event encompassed Golf, Distance and Accuracy. Weather conditions in the midwest, however, caused several changes in the tournament format.
The Golf round, played in Gilson Park in Wilmette, Illinois, was shortened to nine holes due to bitter cold and a biting wind coming from Lake Michigan. Contestants were also affected in Distance competition by the cold winds and Accuracy was moved indoors for that reason also. Due to the size of the indoor facility, one of the Accuracy distances had to be modified.
Morris ended the Golf event in a three-way tie for first place and was tied with two others at the conclusion of Distance. He scored 16 out of 28 in Accuracy and then had to sit back while the other contestants took their runs at him.
Last year's champion, Eric Marx of Illinois State, Normal, was tied with Morris after Golf and Distance but could manage only 13 hits in Accuracy, ultimately finishing in third place.
The most dramatic aspect of the event was the Accuracy tossing of Moses Garcia of Queens College, New York. Seeing out of competition for first place, Garcia started his Accuracy throwing needing a 22—one better than the world record—to tie Morris. He scored 10 out of 16 on his angle shot, moving to the straight throws needing all 12 for the tie.
Garcia started at the farthest distance, working forward. The tension mounted as he scored all four from the farthest straight distance, all four from the middle distance and moved to the 15-yard line needing all four throws for the tie. The crowd held its collective breath; his first two were clean but number three was a miss. Garcia finished with a 21 which would have equalled the world record but for the modifications made, and finished second overall.
Tita Ugalde started out very strongly and held a four-point lead after Golf, maintaining that four-point bulge after Distance. She then proceeded to sail away the victory with a solid 15 of 28 in Accuracy, finishing 10 points ahead of runner-up Leslie Scott of the University of Colorado.
Final Point Standings:
MEN
1. Dave Morris (USC)
2. Robert Garcia (Queens College)
3. Eric Marx (Illinois State U.)
4. Don Blaine (Shoreline CC — Seattle)
5. Steve Barre (Ghath U. — Washington)
6. Dan Bucklin (U of Conn.)
7. Robert Ennis (U of Texas)
8. Jeff Hungerford (U of Colorado)
9. Chris Passamani (Cen. Mo. State)
10. Cory Hines (U of Wisconsin)
11. Bruce Day (U of Florida)
12. Steve Hubbard (U. of Minnesota)
13. Robert Spitzer (V.P.I.)
14. Charles Schultz (R.P.I.)
15. Frank Colatroglio (Bowling Green)
WOMEN
1. Tita Ugalde (Cal State L.A.)
2. Leslie Scott (U of Colorado)
3. Connie Bond (Illinois State U.)
4. Maureen Weber (SE Mo. State)
5. Jan Taylor (U. of Florida)
6. Norma Jean Rowe (Penn. State)
7. Meghan Coleman (Bemidji Minn.)
8. Debbie Chapman (SUNY at Buffalo)
9. Jenny Meledini (U. of Wisconsin — LC)
10. Sue Kosher (Kent State)
11. Rita Shanahan (West Conn. State)
12. Donna Wilson (Montgomery C. College)
13. Debbie Entringer (U. of New Orleans)
The Factory Connection
YELLOW PREMIUMS
Limited quantity. 1976 WFC premiums. $2.75 postpaid.
THE 1977 NATIONAL SERIES DISCS
119-G Black Blue Red
141-G White Red
Due to shortages in some colors, we cannot guarantee color choice. Please state second choice. $5.25* postpaid.
1977 CLEAR SERIES REJECTS
Reject Pot Luck (No choice of color) 41 mold 119-G only all colors. $2.25* postpaid
THE WHAM-O PREMIUM FRISBEE® DISC
LAST RUN of the famous #3 prior to mold rebuilding. A super M.T.A./T.R.C. disc. Limited quantity. $5.25* postpaid.
1974 WHITE ROSE BOWL PREMIUM. Limited quantity. $2.75* postpaid
1974 WFC MINI. The yellow mini from the Rose Bowl meet. $3.25 each, postpaid or 3 for $9.25, postpaid.
1975 W.F.C. #41-G white and black-Peak logo Long considered some of the finest G series discs ever produced, these classic items are now available in limited quantities $6.25* each, postpaid.
I.F.A. REPLICA SERIES — A very special rerun of Sailing Satellites. From the original mold in white.
Clearance Special — $3.25* each, postpaid or $9.95* for 3, postpaid. Add 6% on all California orders.
GREEN COLOR PROTOTYPE SUPER PRO'S — From the original no-mold number run offered in Collector's Corner of the I.F.A. Newsletter. Only 35 in stock — $15.00 postpaid. NOTE: We will accept all orders up until September 15. A random drawing will then be made if orders exceed stock. No orders filled before that date.
Write:
The Factory Connection
c/o International Frisbee Association
P.O. Box 970
San Gabriel, Ca. 91776
Classified Ads
Ads are available to subscribers for $3.00 per item (50 word limit). Write for commercial rates.
Collecting
PLUTO PLATTERS — SAILING SATELLITES — FLYING SAUCERS — You name it — we'll show you how to find it.
"Frisbee Collecting By The Master" Blows The Lid Off die Collector's Secrets. 8 sure-fire tips that make simple, Who'da-think-of-that methods of finding the toughies. Send 2 one dollar bills to: The Frisbee Hunting House, 225 Circle Dr., Las Vegas, NV 89101. Satisfaction Guaranteed.
For Sale
FRISBEE ZAPPER, bright flash of light recharges moonlight disc. Portable. Offer $15.00 for one year. 16 Joule model $25.00. 40 Joule model $35.00. Electro Intelligent Systems, Box 72, College Station, TX 77840.
GREAT BUY — State of Kansas Tournament T-shirt (S,M,L,XL,K.U.) Club design on front. Official tournament disc design covering back, $5.00. Tournament 119 disc: (Beautiful design) $5.00. Contact: Wayne Glass, 113 South 1st Street, #6, Lawrence, KS 66044.
OLYMPIC WINDJAMMER CLUB LOGO. $6.00. — club box. 100% cotton. Club logo Faber $10.00 — Postpaid. Send money to: Windjammers, P.O. Box 5312, Seattle, Washington 98105.
BOOMERANGS — Partly serious, partly sporting, mostly eccentric, just plain fun. Three charming Styles to help you play catch with yourself. Nicely complements the disc. Price list from: Ruhe-Rangs, P.O. Box 2004, Washington Station, Washington, D.C. 20044.
DES MOINES FRISBEE DISC EXCHANGE: Will purchase or trade for any miniature disc, especially colored Wham-O minis.
Contact: Des Moines Frisbee Exchange; c/o Gary Johnson, 100 S.E. Watrous, Des Moines, Iowa 50315. Phone (515) 282-3645
CUSTOM MADE DISC GOLF BAGS/TOTE BAGS: Made from coated nylon and/or leather. Many styles and colors. Send for brochure: Pacific Link, 15833 S.E. 169th Place, Renton, WA 98055.
DISC GOLF EQUIPMENT FOR SALE: Three (3) Disc Pole Holes. Three (3) Indoor Nets/Baffles. Price $500.00 or best offer. Contact: Robert L. Smith, 161 Davey Jones Way, Warrensburg, MO 63383. (660) 858-6185, (660) 693-4197.
40 MOLD 119's AVAILABLE FROM ALAMEDA COUNTRY CLUB. Rite style design. 100% new. 100% put to work down the road. White with blue H.S. $5.00 postpaid. Send check or M.O. to: Cliff Towne, 1318 Danieleon Road, Santa Barbara, CA 93108.
PUT YOUR FACE, your lover's face, or anything on a Wham-O Fastback Frisbee Disc. Send color, or b&w slide, or 8x10 photo returned undamaged — (designate what area to be duplicated) along with $5.50 (postpaid) to: CREATIVE DISCS, 1772 Star Road B, Columbus, OH 43212.
Frisbee World
Volume I, #1 — Scala cover — Frisbee Behind Back. $7.50. (C. report/Canadian Open '76 D.O. $1.75)
Volume I, #2 — McRae cover — A Field Meet/Neil Delap. $7.50. Accuracy/Santa Barbara $1.75
Volume I, #3 — Griswold cover — Triskel Golf/Taking the Choke out of Frisbee. $7.25
Volume I, #4 — Montalvo cover — W.F.C. '76/M.T.A./World Records/Serena Map $1.75
Volume I, #5 — Whippet cover — The Tee Shot/Frisbee as Conversation/Texas Clubs/'76 Junior Championships. $1.75.
Volume I, #6 — Photo Contest cover — 1977 World Premium/'77 Calendar/Sixty Hours of Curl. $1.75.
Volume II, #1 — Banghart/Talkington cover — The Swedish Championships/Fitness for Play/Constrastion/Lubrication. $1.75.
Volume II, #2 — Perez cover — Looking Ahead/Flora. $1.75.
Volume II, #3 — Half cover — The Fastback Frisbee/Freestyle/How to Play the Tourney Frisbee/Skateam. $1.75.
Volume II, #4 — Japan/Guts cover — Japan/Guts. $1.75.
Volume II, #5 — Hudolkin cover — WFC '77 Review/Ultimate Review/'77 Series Map. Going Down. $1.75.
Volume II, #6 — Dwork/Michaels cover — '78 North American Series/Double Disc Court/'78 Calendar/Second Annual Photography Contest. $1.75.
Volume III, #1 — Schmitt cover — Attitude Change/'77 State Meets/Frisbee Skiing/Wheelchair Ultimate. $1.75.
Volume III, #2 — King cover — The Aces/Professional/Canada/Poster Golf. $1.75.
Volume III, #3 — Engler cover — Galactic Security Council/Impossible Turnover/Plothing the Course/The Venice Green. $1.75.
Wanted
CLEVELAND FRISBEE CLUB seeking new members. We will field a summer Ultimate team. Other interests include MTA, golf and lifestyle. Also seeking other people who want to play ultimate Disc. We will travel. (Within a days drive) Contact Chris Ball, 11505 Lake Shore Blvd. East, Bratenahl, Ohio, 44108 or phone (216) 851-4562.
GOOD NEWS FOR GOOD PLAY. Determine days a week, in and out of U.S.A. October through March. One-month minimum. Call or write for information: Frisbee South, 200 E. Cleveland St., Huntsville, AL 35801. Phone (205) 534-2733.
HESIVE? Ultimate team given select rating upon submission of appropriate materials. Contact Bud Danley, 286 Main Street, Westport, CT 06880.
PROFESSIONAL TOURING OPPORTUNITY with the Aces. Positions for six advanced commercially experienced players needed to form Marc Schramm assembled programs in midwest. Send resume to: John Connelly, 655 Harmony Lane, Glenview, IL 60025. Phone (312) 729-9150.
Send check or money order to: I.F.A., P.O. Box 970, San Gabriel, CA 91776.
Services
SEE YOURSELF IN PICTURES — Frisbee World photographer Larry LaSota, will be at most Western tourneys. If you would like photos of yourself at any event, contact him at: 16269 Cathy Street, Sylmar, CA 91342. Phone (213) 363-3687.
Coming Up
BONG! First Annual Bayou Open. National Games will celebrate the Autumn Equinox, September 22nd and 23rd. Baton Rouge, Louisiana. Expect to see Freestyle, M.T.A. Accuracy, Golf and Distance. For further information, contact the LSU Frisbee Club, Box 26252, Baton Rouge, LA 70808. Phone (504) 343-3310.
The World Frisbee® Championship Belt Buckles
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Send Check or Money Order to INTERNATIONAL FRISBEE ASSOCIATION P.O. Box 970, San Gabriel, Ca. 91776
PHOTO CREDITS
Page 7
Harvey Brandt snapped a critical moment during the Eastern Ultimate Championships as Paul Brenner pulled down the disc.
Page 8
I moves an item by Danny McNinis
Page 10
Team Italia vs UKFA by K. Rosenthal
Page 14
Professor Perbing by Kevin Van Sickle
Page 16
Evan Hunt and Corey Bassio by Larry LaSota
Page 18
By Larry LaSota
Page 20
Carmen Scappettuolo blocks a shot by the Italian defender by Harvey Brandt
Page 22
Krae Van Sickle by Kevin Van Sickle
Button — "The Johnson catches." Goggle scumball — "Google by Ian Van Sickle
Page 28
Dave Morris and Tita Upside Down by Golly Norton
Back Cover
Cyndi Birch by Donnell Tate
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Electrorhythmogenesis and anaesthesia in a physiological mean field theory
I. Bojak\textsuperscript{1}, D.T.J. Liley, P.J. Cadusch and K. Cheng\textsuperscript{2}
Centre for Intelligent Systems and Complex Processes, BSEE, Swinburne University of Technology, PO Box 218, Hawthorn, VIC 3122, Australia
Abstract
We solve eight partial-differential, two-dimensional, nonlinear mean field equations, which describe the dynamics of large populations of cortical neurons. Linearized versions of these equations have been used to generate the strong resonances observed in the human EEG, in particular the $\alpha$-rhythm (8-13 Hz), with physiologically plausible parameters. We extend these results here by numerically solving the full equations on a cortex of realistic size, which receives appropriately “colored” noise as extra-cortical input. A brief summary of the numerical methods is provided. As an outlook to future applications, we simulate the effects of GABA-enhancing general anaesthetics.
Key words: electroencephalogram; alpha rhythm; cortical mean field theory
1 Introduction
Rhythmic cortical activity has been observed with the electroencephalogram (EEG) for 74 years. The EEG has become a standard tool for examining brain function in a clinical setting [1]. One recent clinical application is monitoring the progress of anaesthesia by its effect on the EEG. Nevertheless, the underlying physiological mechanisms of even prominent EEG features, like the $\alpha$-rhythm at 8-13 Hz, remain poorly understood. We demonstrate here that the model of Liley \textit{et al.} [2,3] produces stable $\alpha$-rhythms and qualitatively accounts for the effects of GABA-enhancing general anaesthetics. Physically, the EEG is generated by current flowing in response to synaptic activity in the apical dendrites of pyramidal neurons perpendicular to the cortical surface [4].
\textsuperscript{1} Corresponding author. Supported by grant DP0209218 from the ARC.
\textsuperscript{2} Supported by grant EPPNSW067/2002 from the VPAC.
Electrodes sample the electric activity of this two-dimensional, cortical current dipole layer. On the scalp, they average over the potential of more than 1 cm$^2$ of the cortex, or $\sim 10^7$ neurons. Thus the recorded electrode voltage will vary smoothly across the cortex, even though the activity of individual neurons may fluctuate strongly.
Similarly, the electric activity of macrocolumns, defined by the typical size 0.5-3 mm of the axon collateral systems, varies smoothly over the cortex. One can define the average over the $\sim 10^5$ neurons of a macrocolumn as one “spatially averaged neuron”. A two-dimensional mean field model can describe the collective actions of such large ensembles of neurons, just like the *macroscopic* effects of large numbers of gas atoms can be described by thermodynamics. Liley *et al.* [2,3] have suggested such a model and they and others [5] have shown that even simplified versions of it can reproduce typical EEG features. Here we go further by numerically solving the full model:
\begin{align}
\tau_k \frac{\partial h_k(\vec{x}, t + \xi)}{\partial t} &= - \left[ h_k(\vec{x}, t + \xi) - h_k^{\text{rest}} \right] + \sum_l \psi_{lk}(h_k) I_{lk}(\vec{x}, t) \ , \\
\psi_{lk}(h_k) &= \left[ h_{lk}^{\text{eq}} - h_k(\vec{x}, t + \xi) \right] / \left| h_{lk}^{\text{eq}} - h_k^{\text{rest}} \right| \ ,
\end{align}
\begin{align}
\left( \frac{\partial}{\partial t} + \gamma_{lk} \right)^2 I_{lk}(\vec{x}, t) &= \exp(1) \Gamma_{lk} \gamma_{lk} \left[ N_{lk}^\beta S_l(h_l) + \Phi_{lk}(\vec{x}, t) + p_{lk}(\vec{x}, t) \right] \ ,
\end{align}
\begin{align}
S_k(h_k) &= S_k^{\text{max}} / \left\{ 1 + (1 - r_{\text{abs}} S_k^{\text{max}}) \exp \left[ -\sqrt{2} \frac{h_k(\vec{x}, t + \xi) - \bar{\mu}_k}{\hat{\sigma}_k} \right] \right\} \ ,
\end{align}
\begin{align}
\left[ \left( \frac{\partial}{\partial t} + v \Lambda_{ek} \right)^2 - \frac{3}{2} v^2 \nabla^2 \right] \Phi_{ek}(\vec{x}, t) &= v^2 \Lambda_{ek}^\alpha N_{ek}^\alpha S_e(h_e) \ ,
\end{align}
\begin{align}
\Phi_{lk}(\vec{x}, t) &\equiv 0 \ ,
\end{align}
with $k,l = e$ (excitatory), $i$ (inhibitory) denoting the two distinct types of spatially averaged sub-populations. The subscripts $lk$ means $l \rightarrow k$, i.e., type $l$ acting on type $k$. EEG voltage is expected to be linearly related to $h_e$, the spatially averaged excitatory soma membrane potential [2,4].
In this model the mean soma membrane potentials $h_k$ of Eq. (1) relax to their resting values $h_k^{\text{rest}}$ with characteristic time constants $\tau_k$, in the absence of any synaptic input. The factor $\psi_{lk}$ of Eq. (2) takes into account the reversal (Nernst) potentials $h_{lk}^{\text{eq}}$ associated with excitation and inhibition. Although this is basic membrane physiology, it is a new feature in mean-field models and crucial for avoiding unphysiological solutions. The postsynaptic activations $I_{lk}$ in Eq. (3) are taken to have the impulse response $\Gamma_{lk} \gamma_{lk} t \exp(1 - \gamma_{lk} t)$, based on “fast” excitatory (AMPA/kainate) and inhibitory (GABA$_A$) neurotransmitter kinetics, respectively. Presynaptic activity in Eq. (3) has three sources: short-range via *intra-cortical* connections $N_{lk}^\beta$ with mean firing rates $S_l(h_l)$, long range *cortico-cortical* activity $\Phi_{lk}$, and *extra-cortical* input $p_{lk}$. Since the
Fig. 1. Mean firing rate $S_e(h_e)$ frame with standard parameters (but $v = 2$ m/s) after 15 s. Maximum and minimum $h_e$ are $-62.2$ mV and $-65.5$ mV, respectively.
$\alpha$-rhythm is attenuated or blocked by sensory stimuli, alerting, mental concentration, or drowsiness, one can speculate that it is the natural rhythm of the awake cortex in the absence of structured extra-cortical input. This motivates using noise for $p_{ik}$, as specified below. Mean firing rates are given by the sigmoid of Eq. (4). Finally, one can derive Eq. (5) by assuming homogeneous, isotropic connectivity functions that fall off $\sim \Lambda_{ek}^2 \exp(-\Lambda_{ek} \Delta x)$. The mean cortico-cortical conduction velocity enters via the conduction time delay $\Delta x/v$ and the Laplacian represents a first order approximation. It is assumed that cortico-cortical fibers are exclusively excitatory, see Eq. (6).
All 36 parameters in Eqs. (1)-(6) can be related to physiological or anatomical data. However, available experimental constraints are generally weak, see Ref. [2] for further discussion. In the following we will set $\xi$ and $r_{abs}$ to zero. Our canonical choice for the other parameters is: $(h_k^{\text{rest}}, h_{ek}^{\text{eq}}, h_{ik}^{\text{eq}}, \bar{\mu}_k, \bar{\sigma}_k, \Gamma_{ek}, \Gamma_{ik}) = (-70, 45, -90, -50, 5, 0.18, 0.37)$ mV, $(N_{ek}^0, N_{ik}^0, N_{ik}^0) = (2000, 3034, 536)$, $(\gamma_{ek}, \gamma_{ik}, S_k^{\text{max}}) = (300, 65, 500)$ s$^{-1}$, and $\Lambda_{ek} = 0.4$/cm for both $k = e$ and $k = i$; $v = 300$ cm/s, and $(\tau_e, \tau_i) = (0.1, 0.02)$ s. Shaping noise for the extra-cortical input $p_{ik}$ is computationally expensive. Since thalamocortical connections to pyramidal cells in the cortex are mainly excitatory, we fill only $p_{ee}$ and set the other $p_{ik} = 0$. The noise is distributed normally (mean 5000 s$^{-1}$, variance 1000 s$^{-1}$), but its variation over grid and time steps is low-pass filtered (cutoffs: $k_c = 2\pi/5$ mm, $f_c = 75$ Hz) to avoid unphysiologically rapid changes. Note that in Ref. [5] all $p_{ik}$ were filled with unshaped white noise.
Fig. 2. Normalized maximum “radial” power in $h_e$ for the run of Fig. 1. The last 8.192 s have been sampled. A clear $\alpha$-peak is seen at $f = 12.2$ Hz and $\lambda = 7.31$ cm in the spectrum. Contour lines $0.01 + (0, 1, \ldots) \cdot 0.2$ are shown at the base.
2 Implementation and Results
The model is solved numerically by discretizing it in time and space. Eqs. (1)-(4) are transformed to a set of first order differential equations and solved by forward Euler iterations. Eq. (5) is iterated directly with three point time derivatives and a five point Laplacian. A full size cortex is simulated by employing a $512 \times 512$ toroidal space grid with a grid spacing of 1 mm. Time steps of 50 $\mu$s are sufficient to obtain stable and convergent solutions at this grid spacing up to the highest tested conduction velocities of $v = 1000$ cm/s. It is tempting to view the numerics as a cellular automaton with macrocolumns as cells. However, the local rules encode large range behavior, like cortico-cortical interactions at scales of $1/\Lambda_{ek} = 2.5$ cm. The program writes “frames”, the grid values of a chosen state variable, at regular time intervals, typically every 2 ms. It can tile the whole grid, averaging over each tile, and output only these averages. On one hand this simulates sampling by regularly spaced electrodes, on the other hand this is a simple form of data reduction. In the following, tiles of $16 \times 16$ grid points (1.6 cm $\times$ 1.6 cm) are used. Frames then contain only $32 \times 32$ values, reducing the output by a factor of 256. The program code has been parallelized using MPI Fortran [6]. On 34 Pentium IV (2 GHz) machines, one run with 7500 frames (15 s) takes about three hours to complete. A typical frame is shown in Fig. 1.
Fig. 3. Normalized maximum “radial” power in $h_e$ for scans of $\gamma_{ik}$ and $v$. Contours are drawn for 0.7 and 0.9. Labels indicate the variations: $\gamma_{ii} \equiv \gamma_{ie}$ from 25 to 75 s$^{-1}$ and $v$ from 1 to 10 m/s. Lines connecting maximum power guide the eye.
We analyze the frames by applying either two- (space) or three-dimensional (space and time) fast Fourier transforms (FFT). The three-dimensional power spectrum displays the dispersion relation between the frequency $f$ (or $\omega = 2\pi f$) and the wavenumber $\vec{k}$. Since we are not interested in the direction of the waves, we bin the maximum “radial” power in $k \equiv |\vec{k}|$, with wavelength $\lambda = 2\pi/k$. Fig. 2 shows such a normalized maximum “radial” power spectrum from the run that produced Fig. 1. The spectrum is essentially zero for all frequencies not shown. A strongly dominant peak has developed. It is important to note that the result in no way resembles the extra-cortical $p_{ee}$ noise. A plot of that noise would be entirely flat over the shown range, as the noise attenuates only above 50 Hz and its 5 mm spatial correlations are averaged out by the 1.6 cm “electrodes”.
In Fig. 3 we show the results of varying the inhibitory postsynaptic potential rate constant $\gamma_{ik}$ from 25 to 75 s$^{-1}$ and the mean cortico-cortical conduction velocity $v$ from 1 to 10 m/s. The difference between the runs $\gamma_{ik} = 65$ s$^{-1}$ and $v = 2$ m/s indicates typical uncertainties, as they have the same parameters. In order to keep the figure uncluttered, sub-dominant peaks at other “dispersion” locations have been suppressed by showing only normalized power > 0.7.
Conduction velocity is scanned as an example of a global parameter and one finds two broad regions of dominant $\alpha$-rhythm: 1 to 4 m/s and 6 to 8 m/s. The jump at 5 m/s remains unexplained, but has been confirmed with more detailed scans. Variations of the rate constant, a local parameter, are motivated by the supposed action of GABA-enhancing general anaesthetics, like propofol or benzodiazepines. By keeping chloride-ion channels open longer, they increase the duration of the inhibitory impulse response. This can be simulated in the model by decreasing the appropriate decay rate constant, $\gamma_{ik}$. The result is an almost linear shift of the strongest resonance from high to low frequencies and from short to large wavelengths. A scan of $\gamma_{ik}$ with $v = 7$ m/s has shown the same behavior. Often a measure for the “strength” of the EEG in a specified frequency band $[f_1, f_2]$ is adopted, e.g., integrated power. Upon lowering $\gamma_{ik}$ with anaesthetics, our model qualitatively predicts first an increase and then a decrease of “strength”, as the resonance moves through the chosen frequency band. Experiments have been observing such “biphasic” behavior, for example in the aperiodic analysis amplitude in Ref. [7].
3 Conclusions
The full mean field theory of Liley et al. [2,3] has been solved numerically on a “cortex” of realistic size for the first time. Like in previous simplified analyses, EEG resonances like the $\alpha$-rhythm can be generated with physiologically plausible parameters. The impact of anaesthesia has been simulated by changing one parameter systematically and the experimentally observed “biphasic” response was qualitatively reproduced without further tuning. Comparisons with experimental EEG data and other model tests are in preparation.
References
[1] B.J. Fish, *Fish & Spehlmann’s EEG Primer*, Elsevier, Amsterdam, 1999.
[2] D.T.J. Liley et al., *Comput. Neural Syst.* **13** (2002) 67.
[3] D.T.J. Liley et al., *Neurocomputing* **26-27** (1999) 795.
[4] P.L. Nunez, *Electric Fields of the Brain: the Neurophysics of EEG*, Oxford University Press, New York, 1981.
[5] M.L. Steyn-Ross et al., *Phys. Rev.* E**60** (1999) 7299.
[6] MPI Forum, http://www.mpi-forum.org.
[7] K. Kuizenga et al., *Brit. J. of Anaesthesia* **80** (1998) 725.
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Dear Members of WBI,
As I reflect on this past year and review everything we have accomplished, I am proud to say that we achieved the goals we set in January. WBI had a significant impact not only among our membership but throughout the NVBIA organization. Our accomplishments include:
- Lead With a Handshake seminar to address the #MeToo movement
- Secured a 6 ft. tall WBI banner to recognize our group at all NVBIA events
- Increased attendance by women and men—all our events SOLD OUT this year!
- Recognition by Home Builders Association of Va. (HBAV), our statewide affiliate of NAHB
- A significant Leadership Workshop that gave all who attended useful tools to enhance their job performance
- Events that gave back to our community through HomeAid, Fairfax ReLeaf, Women Giving Back and For Children’s Sake of Virginia
We have raised the bar this year and proven that WBI is more than a book club. A special thank-you to the awesome WBI Board members that helped make this year happen—my right hand Jessica Harrison who served as VP and made all my ideas come to life; Sophie Swartzendruber who handled all our community events and expanded our service opportunities to include new organizations; and last but not least Annie Colturi who did a wonderful job keeping us all informed of our events through her timely newsletters and social media updates.
It has been an honor to serve as the 2018 WBI President. Thank you to all who attended our meetings and events and helped make this a fantastic year! Please continue to support WBI in 2019! I look forward to celebrating with everyone at our Holiday party December 11th.
Sincerely,
Carmela Patrick
Members of the 2018 WBI Executive Board - Sophie, Annie, Jessica, and Carmela at the WBI Lead Star event
What was your first job in construction? What led you to the construction industry?
My life consisted of part time and seasonal jobs in the industry. My first real job was a summer job as an on-site community representative for Lowes Island Estates. This was while I was still in college and it was summer of 1993. I also grew up going to my father’s office to help whenever I could. I have memories of answering phones, spending the day on construction sites, highlighting construction plans in phases, etc.
Do you have a mentor? How has that individual affected your path?
Obviously my dad. I actually wanted to not be in the industry when I was growing up but the pull back to it was strong. I started as a sales person and worked my way up to sales and marketing management positions. I switched to land acquisition because my draw to the land side was due to him. He created communities, which was amazing to see. It is fascinating to see a farm become a community like South Riding (which was a community he worked on). I also had many female mentors when I was in the sales and marketing arena. There was a strong female presence in that aspect of construction. I learned a lot from the women who had been in the industry longer than I had. Many of them are my good friends now. I still look up to what some of them accomplished, in a male dominated industry, in awe. I wanted to emulate them and how they shattered glass ceilings.
Are you a mentor? Why?
I try to be as much as I can! It was one of the reasons Soledad and I created WBI. Other than the sales and marketing arena, there weren’t many areas where women (who were part of the industry in other aspects) could network and communicate. I relished in the opportunity I had by starting in sales and marketing, and having those relationships. A group of women who support you and cheer for your success is so necessary in our industry. I was hoping to create a similar network for others. Women add so much to our industry, that I want to build as many women up to be great leaders on their own. For me, giving back and mentoring others is something very important.
What inspires you to accept the role of President of NVBIA?
NVBIA has been a great organization for me. I was able to meet many people, advance my career, and grow into a leader through NVBIA. I had the ability to take classes through NVBIA to become a NAHB certified in Master in Residential Marketing, and eventually a trainer in several of the classes. I have been on the board for 6 years and involved in committees for many years prior to then. The only place we can all network as industry individuals, regardless of company, is through NVBIA events. Networking with other builders allows you to expand your thoughts and process. It makes you become better at your craft, by learning from others that are doing things different than you. In the past several years, we have been primarily focused on legislation. Legislation is vital to our industry. Understanding that priority and importance, I want to get back to bigger regional events that everyone can network. When I first joined NVBIA, there was almost a tribal environment where everyone was involved and knew each other. Events were big and fun. I want to bring that type of environment back to the association. We are all working hard in our day to day jobs. Let’s enjoy each other, and expand our knowledge through NVBIA.
What changes would you like to see for the organization? For the industry?
Our industry is an aging industry. I think we need to focus on getting more women and younger generations involved in the industry. I have seen a rise in younger people becoming involved in NVBIA through Future Leaders and WBI. I would like to see that spiral into a whole new leadership group. We haven’t been an industry of changes or technological advances. I think we need to start changing. I am hopeful of the next leaders to help continue that change.
Fun fact? What would surprise us about you?
I have 5 kids! Many people don’t realize that I have so many children. My oldest is a senior this year, and my youngest is in 2nd grade. We love it.
EVENTS RECAP
WBI LEAD STAR EVENT
On November 13th, WBI hosted the New York Times best-selling author and co-founder of Lead Star, Angie Morgan. Angie spoke to NVBIA and WBI members about identifying leadership skills, time management, work/life balance, and how to prioritize time and energy in every day life. Angie’s energy was infectious – she engaged members by sharing personal stories from her time in the Marines and provided guidance to build trusting relationships to find success.
We started the day by reflecting on leaders we admire, identifying the qualities of leaders that we personally look up to. In small groups, we discussed the skills that we admired of these leaders and discussed how we can focus our energy to grow and improve our own leadership skills, both professionally and personally. Angie engaged the group through insightful questions and personal stories to express challenges of communication between levels of management, coworkers, and family and friends. We were tasked with a small group exercise to solve a puzzle, forcing us to think outside of the standard rule book to find solutions to a seemingly simple task. At the end of the session, we were inspired to reflect on our new-found leadership and set goals for the coming months.
Thank you to all who attended and participated in this year’s Lead Star seminar! We hope to host more events like this that inspire and engage members to be leaders in the industry!
WOMEN IN RESIDENTIAL CONSTRUCTION CONFERENCE
In September, a group of eight women from Van Metre’s leadership team attended Professional Builder’s Women in Residential Construction conference in Scottsdale, Arizona. The conference was titled “The Challenge of Change” and hosted various speakers on topics such as Women in the trades, Emotional Intelligence, Grace under fire and Attracting Millennial Buyers, to name just a few. While we found most of the sessions interesting, our team found the segment “Bringing Women into the Trades” intriguing. It talked about what we can do as women in the industry to encourage the future generations to pick this industry for their careers. They encouraged more women as ambassadors at career fairs and trade shows, one trade puts on a Fashion show with tradeswomen from all aspects of the industry in their uniform and gear. At this fashion show they had work stations for young girls to use equipment to try out different jobs. We learned about the Tradeswomen of Instagram and Kobalt Tools upcoming marketing campaign that focuses on women with their tools. The conference hosted a breakout session with Poker Divas, which was founded by a woman to teach other women the art of poker which was then translated into skills to use in your business.
The conference was well attended by private and public home builders, custom builders, renovation companies, trade partners, members of NAHB and other fabulous women. This may be a great conference for you to check out for 2019. For more information, http://pbprwomen.probuilder.com/2018/ or for more details on the Van Metre team’s takeaways, feel free to contact Jenn Keesling for more information.
MEET THE 2019 WBI EXECUTIVE BOARD
President - Mary Pitman
Mary Pitman works in site development as a Project Engineer at SMITH Engineering, working on commercial and residential projects. She is coming up on three years working in Northern Virginia and has degrees in Civil Engineering: a bachelor’s from Georgia Tech and master’s from the University of Wisconsin-Madison. Having lived in five states in ten years, she understands the importance of building community and connections and has been heavily involved in organizations ranging from professional to civil liberties and education to activism to non-profit, with leadership positions in many. Mary consistently has fresh, new ideas that will allow WBI to pick up steam in 2019 and continue to grow with enthusiasm. Since Mary has been so involved in the behind-the-scenes of WBI and its events committee, she will exceed the expectations of this role and will be a huge asset to the WBI leadership team.
Vice President - Sophie Swartzendruber
Sophie is an Environmental Project Manager with TNT Environmental, Inc. and specializes in natural resource consulting. She graduated from Virginia Tech with a BS degree in Environmental Science in 2014. Sophie is involved in multiple aspects of natural resource projects and provides valuable consulting services to assist developers and builders on their projects in the region. In addition to Sophie’s involvement with WBI, she actively helps with NVBIA’s Future Leaders and co-developed the game list for their annual Field Day event. Sophie enjoys meeting and networking with peers in the industry and is appreciative of the opportunity to connect with them through WBI. Sophie is reliable, hardworking, organized, team-oriented and friendly and will undoubtedly bring fresh new ideas to WBI while continuing to utilize what has worked for WBI.
Public Relations/Communications Chair - Melissa Farrar
Melissa is the Business Relationship Manager for Washington Gas. In her role, she serves as a liaison between the homebuilder and the internal departments to navigate the system and make sure the builder needs are met and there is communication throughout the process. She also coordinates and promotes programs put together by Washington Gas for the builder community. She has been in this role less than a year but immediately became an active member of NVBIA and Women in the Building Industry. Melissa Farrar has been an active member of the PR committee during 2018, so she is familiar with the mission of the committee and tasks that need to be completed. She actively participates in the WBI Public Relations Committee, working with committee members to brainstorm content, discussing latest industry news, and writing articles for quarterly newsletters and various social media posts. Melissa has an outgoing personality and will be a great ambassador for WBI.
Community Service Chair – Jenn Keesling
Jenn Keesling is the Director of Customer Experience for the New Homes division of Van Metre Companies. She has worked in the building industry for over 15 years, all of those on the home builder side working with Customer Care. Her current role works with multiple departments to help shape the Customer Experience at Van Metre Homes. She has been an active volunteer with the Northern Virginia chapter of HomeAid for over 14 years, volunteering on various Builder Captain projects throughout the years, and HomeAid’s Annual Gala and Auction Committee. Jenn has been a member of the WBI Community Service Committee since its inception and has worked on multiple volunteer projects for the WBI group. She is excited to take the opportunity to lead the Community Service committee and join the WBI leadership team in 2019.
JOB OPENINGS
Apex Companies, LLC is seeking Environmental Project Managers, Staff Scientists, and Industrial Hygiene Professionals in their Maryland and Virginia offices. Apply now through their website: www.apexcos.com
TNT Environmental, Inc. is seeking an Environmental Scientist with 0-5 years of relevant experience for its Chantilly office. For more information, please visit www.tntenvironmentalinc.com. Submit your resume, cover letter and compensation requirements to email@example.com.
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